# Energy Conservation Program: Energy Conservation Standards for General Service Fluorescent Lamps and Incandescent Reflector Lamps > Briefs, arguments, decisions, and more. URL: https://www.frixlaw.com/law-library/documents/fr%3AE8-4018 ## Record - **Collection:** Federal Register - **Document type:** Proposed Rule - **Published:** March 13, 2008 - **Citation:** 73 FR 13620 ## Text DEPARTMENT OF ENERGY 10 CFR Part 430 [Docket No. EE-2006-STD-0131] RIN 1904-AA92 Energy Conservation Program: Energy Conservation Standards for General Service Fluorescent Lamps and Incandescent Reflector Lamps AGENCY: Office of Energy Efficiency and Renewable Energy, Department of Energy. ACTION: Advance notice of proposed rulemaking. SUMMARY: The Energy Policy and Conservation Act authorizes the Department of Energy (DOE) to establish energy conservation standards for various consumer products and commercial and industrial equipment, including general service fluorescent lamps and incandescent reflector lamps, for which DOE determines that energy conservation standards would be technologically feasible and economically justified, and would result in significant energy savings. In this advance notice of proposed rulemaking (ANOPR), DOE is considering amendment of existing energy conservation standards for general service fluorescent lamps and incandescent reflector lamps, and it is also considering whether standards should apply to additional general service fluorescent lamps. In addition, this ANOPR considers various amendments to lighting-related definitions DOE previously developed and incorporated into the CFR. DATES: DOE held a public meeting in Washington, DC, that began on March 10, 2008. The agenda for the public meeting covered first the concurrent test procedure rulemaking for general service fluorescent, incandescent reflector, and general service incandescent lamps (see proposal in today's Federal Register ), and then this energy conservation standards rulemaking for these lighting products. DOE began accepting comments, data, and information regarding the ANOPR at the public meeting and will continue to accept comments until, but no later than April 14, 2008. See section V, “Public Participation,” of this ANOPR for details. ADDRESSES: The public meeting was held at the U.S. Department of Energy, Forrestal Building, Room 8E-089, 1000 Independence Avenue, SW., Washington, DC 20585-0121. Any comments submitted must identify the ANOPR for Lighting Standards, and provide the docket number EE-2006-STD-0131 and/or Regulatory Information Number (RIN) 1904-AA92. Comments may be submitted using any of the following methods: • Federal eRulemaking Portal: http://www.regulations.gov. Follow the instructions for submitting comments. • E-mail: fluorescent_and_incandescent_lamps.rulemaking@ee.doe.gov. Include the docket number EE-2006-STD-0131 and/or RIN number 1904-AA92 in the subject line of the message. • Postal Mail: Ms. Brenda Edwards, U.S. Department of Energy, Building Technologies Program, Mailstop EE-2J, 1000 Independence Avenue, SW., Washington, DC 20585-0121. Please submit one signed paper original. • Hand Delivery/Courier: Ms. Brenda Edwards, U.S. Department of Energy, Building Technologies Program, 6th Floor, 950 L'Enfant Plaza, SW., Washington, DC 20024. Telephone: (202) 586-2945. Please submit one signed paper original. For detailed instructions on submitting comments and additional information on the rulemaking process, see section V of this document (Public Participation). Docket: For access to the docket to read background documents or comments received, visit the U.S. Department of Energy, 6th Floor, 950 L'Enfant Plaza, SW., Washington, DC 20024, (202) 586-2945, between 9 a.m. and 4 p.m., Monday through Friday, except Federal holidays. Please call Ms. Brenda Edwards at (202) 586-2945 for additional information regarding visiting the Resource Room. FOR FURTHER INFORMATION CONTACT: Ms. Linda Graves, U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy, Building Technologies Program, EE-2J, 1000 Independence Avenue, SW., Washington, DC 20585-0121. Telephone: (202) 586-1851. E-mail: Linda.Graves@ee.doe.gov. Ms. Francine Pinto or Mr. Eric Stas, U.S. Department of Energy, Office of the General Counsel, GC-72, Forrestal Building, Mail Station GC-72, 1000 Independence Avenue, SW., Washington, DC 20585. Telephone: (202) 586-9507. E-mail: Francine.Pinto@hq.doe.gov or Eric.Stas@hq.doe.gov. For information on how to submit or review public comments and on how to participate in the public meeting, contact Ms. Brenda Edwards, U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy, Building Technologies Program, EE-2J, 1000 Independence Avenue, SW., Washington, DC 20585-0121. Telephone: (202) 586-2945. E-mail: Brenda.Edwards@ee.doe.gov. SUPPLEMENTARY INFORMATION: Table of Contents I. Introduction A. Purpose of the Advance Notice of Proposed Rulemaking B. Authority C. Summary of Proposed Coverage for Lamps D. Overview of the Analyses Performed 1. Engineering Analysis and Product Price Determination 2. Energy-Use Characterization 3. Life-Cycle Cost and Payback Period Analyses 4. National Impact Analysis E. Background 1. History of Standards Rulemaking for General Service Fluorescent Lamps, Incandescent Reflector Lamps, and General Service Incandescent Lamps 2. Energy Independence and Security Act of 2007 a. General Service Fluorescent Lamps b. General Service Incandescent Lamps c. Incandescent Reflector Lamps d. Off Mode and Standby Mode Energy Consumption 3. Test Procedures II. Consideration Regarding the Scope of Energy Conservation Standards Coverage A. Introduction B. Additional General Service Fluorescent Lamps Being Considered Under EPCA Section 325(i)(5) 1. Scope 2. Rationale for Coverage 3. Analysis of Individual General Service Fluorescent Lamps C. Amended Definitions 1. “Rated Wattage” 2. “Colored Fluorescent Lamp” III. Energy Conservation Standards Analyses for Fluorescent and Incandescent Reflector Lamps A. Market and Technology Assessment 1. Market Assessment 2. Product Classes a. General Service Fluorescent Lamps i. Class Setting Factors ii. Other Potential Class-setting Factors Considered, But Not Adopted iii. Product Class Results b. Incandescent Reflector Lamps i. Class Setting Factors ii. Other Potential Class-setting Factors Considered, But Not Adopted iii. Product Class Results 3. Technology Assessment a. General Service Fluorescent Lamps b. Incandescent Reflector Lamps B. Screening Analysis 1. Technology Options Screened Out a. Multi-photon Phosphors b. Microcavity Filaments c. Novel Filament Materials d. Crystallite Filament Coatings e. Luminescent Gases f. Non-Tungsten-Halogen Regenerative Cycles g. Infrared Phosphor Glass Coatings h. Integrally Ballasted Low Voltage Lamps i. Trihedral Corner Reflectors 2. Design Options Considered Further in Analysis C. Engineering Analysis 1. Approach 2. Representative Product Classes and Baseline Lamps a. General Service Fluorescent Lamps b. Incandescent Reflector Lamps 3. Lamp and Lamp-and-Ballast Designs a. General Service Fluorescent Lamps b. Incandescent Reflector Lamps 4. Candidate Standard Levels a. General Service Fluorescent Lamps b. Incandescent Reflector Lamps 5. Engineering Analysis Results a. General Service Fluorescent Lamps b. Incandescent Reflector Lamps 6. Scaling to Product Classes Not Analyzed a. General Service Fluorescent Lamps b. Incandescent Reflector Lamps D. Energy-Use Characterization 1. Operating Hours 2. Results E. Product Price Determination 1. Introduction and Methodology a. Overview b. General Service Fluorescent Lamps c. Incandescent Reflector Lamps 2. End-User Price Results a. General Service Fluorescent Lamps b. Incandescent Reflector Lamps 3. Sales Taxes F. Rebuttable Presumption Payback Periods G. Life-Cycle Cost and Payback Period Analyses 1. Approach 2. Life-Cycle Cost Inputs a. Total Installed Cost Inputs b. Operating Cost, Replacement Cost, and Residual Value Inputs i. Electricity Prices ii. Lamp Lifetime iii. Discount Rates iv. Analysis Period v. Effective Date 3. Payback Period Inputs 4. Lamp Purchasing Events 5. Life-Cycle Cost and Payback Period Results a. General Service Fluorescent Lamps b. Incandescent Reflector Lamps H. Shipment Analysis 1. Historical Shipments 2. Shipment Projections to 2011 and Calculations of Stock of Lamps in 2011 3. Base-Case and Standards-Case Shipment Forecasts to 2042 4. Market-Share Matrices a. General Service Fluorescent Lamps b. Incandescent Reflector Lamps 5. Shipment Forecast Results I. National Impact Analysis 1. Approach 2. Base-Case and Standards-Case Forecasted Efficacies 3. National Impact Analysis Inputs 4. National Impact Analysis Results J. Life-Cycle Cost Subgroup Analysis K. Manufacturer Impact Analysis 1. Cumulative Regulatory Burden 2. Preliminary Results of the Manufacturer Impact Analysis a. Retooling Equipment to Produce Standards-Compliant Lamps b. Availability of Materials to Produce Standards-Compliant Lamps c. Maintaining Product Availability and Features L. Utility Impact Analysis M. Employment Impact Analysis N. Environmental Assessment O. Regulatory Impact Analysis IV. Candidate Energy Conservation Standards Levels V. Public Participation A. Submission of Comments B. Issues on Which DOE Seeks Comment 1. Consideration of Additional General Service Fluorescent Lamps 2. Amended Definitions 3. Product Classes 4. Scaling to Product Classes Not Analyzed 5. Screening of Design Options 6. Operating Hours 7. General Service Fluorescent Energy Consumption 8. Life-Cycle Cost Calculation 9. Installation Costs 10. Base-Case Market-Share Matrices in 2012 11. Shipment Forecasts 12. Base-Case and Standards-Case Forecasted Efficiencies 13. Trial Standard Levels 14. Lamp Production Equipment Conversion Timeframe VI. Regulatory Review and Procedural Requirements VII. Approval of the Office of the Secretary Acronyms and Abbreviations AEO Annual Energy Outlook ANOPR advance notice of proposed rulemaking ANSI American National Standards Institute BEF ballast efficacy factor BF ballast factor BR bulged reflector (reflector lamp shape) CBECS Commercial Buildings Energy Consumption Survey CCT correlated color temperature CEC California Energy Commission CEE Consortium for Energy Efficiency CFR Code of Federal Regulations CFL compact fluorescent lamp CIE International Commission on Illumination CO 2 carbon dioxide CRI color rendering index CSL candidate standard level DOE U.S. Department of Energy E26 Medium screw-base (incandescent lamp base type) EIA Energy Information Administration EISA 2007 Energy Independence and Security Act of 2007 EPACT 1992 Energy Policy Act of 1992 EPACT 2005 Energy Policy Act of 2005 EPCA Energy Policy and Conservation Act ER elliptical reflector (reflector lamp shape) FEMP Federal Energy Management Program FR Federal Register FTC Federal Trade Commission GE General Electric Lighting and Industrial GRIM Government Regulatory Impact Model GSFL general service fluorescent lamp GSIL general service incandescent lamp HIR halogen infrared reflector HO high output HVAC Heating, Ventilating and Air-Conditioning IESNA Illuminating Engineering Society of North America ImSET Impact of Sector Energy Technologies I-O input-output IR Infrared IRL incandescent reflector lamp K degrees Kelvin LCC life-cycle cost Lm lumens LMC U.S. Lighting Market Characterization Volume I Lm/W lumens per watt MECS Manufacturer Energy Consumption Survey (MECS) MIA Manufacturer Impact Analysis NAICS North American Industry Classification System NEEP Northeast Energy Efficiency Partnership NEMA National Electrical Manufacturers Association NEMS National Energy Modeling System NES national energy savings NIA National Impact Analysis NOPR notice of proposed rulemaking NO X nitrogen oxides NPV net present value OIRA Office of Information and Regulatory Affairs OMB U.S. Office of Management and Budget PAR parabolic aluminized reflector (reflector lamp shape) PBP payback period PG&E Pacific Gas and Electric R reflector (reflector lamp shape) RECS Residential Energy Consumption Survey SBA Small Business Administration SO 2 sulfur dioxide T5, T8, T10, T12 tubular fluorescent lamps, diameters of 0.625, 1, 1.25 or 1.5 inches, respectively TSD technical support document TSL trial standard level U.S.C. United States Code UV ultraviolet V volts W watts I. Introduction This advance notice of proposed rulemaking (ANOPR) serves two primary purposes: (1) Providing a preliminary determination regarding additional general service fluorescent lamps (GSFL) that DOE is considering for coverage and standards; and (2) initiating rulemaking to consider amending DOE's energy conservation standards related to coverage of GSFL and incandescent reflector lamps (IRL). The ANOPR is intended to help DOE satisfy two statutory directives, namely to make a preliminary determination representing the Secretary's initial assessment of additional GSFL to consider for energy conservation standards under section 325(i)(5) of the Energy Policy and Conservation Act (hereinafter “EPCA”) (42 U.S.C. 6295(i)(5)), and to conduct an energy conservation standards rulemaking for general service fluorescent lamps and incandescent reflector lamps under Section 325(i)(3) of EPCA (42 U.S.C. 6295(i)(3)). Because the preliminary determination for certain additional lamps is positive, DOE is including such lamps in the ANOPR analyses for standard-setting purposes. DOE welcomes comment on any relevant issue related to this ANOPR. However, throughout this Federal Register notice, DOE identifies specific areas and issues on which it specifically invites comment. These critical issues are summarized in section V.E of this notice. A. Purpose of the Advance Notice of Proposed Rulemaking The purpose of the ANOPR is to provide interested parties with an opportunity to comment on: 1. The preliminary determination of additional GSFL being considered for energy conservation standards; 2. The product classes DOE is planning to analyze in this rulemaking; 3. The analytical framework, methodology, inputs, and models (e.g., life-cycle cost (LCC) and national impact analysis (NIA) spreadsheets) that DOE developed to evaluate energy conservation standards for GSFL and IRL (collectively referred to in this ANOPR as the “two categories of lamps”); 4. The analyses conducted for the ANOPR, including the preliminary results for the engineering analysis, product price determination, LCC and payback period (PBP) analysis, and NIA. These analyses are summarized in this ANOPR and presented in detail in the ANOPR technical support document (TSD), Energy Conservation Standards for General Service Fluorescent Lamps and Incandescent Reflector Lamps, 1 published in tandem with this ANOPR; and 1 To view the technical support document for this rulemaking, visit DOE's website at: http://www.eere.energy.gov/buildings/appliance_standards/residential/incandescent_lamps.html. 5. The candidate standard levels (CSLs) that DOE developed for the ANOPR. B. Authority Title III of EPCA (42 U.S.C. 6291 et seq.) sets forth a variety of provisions designed to improve energy efficiency. Part B of Title III (42 U.S.C. 6291-6309) established the “Energy Conservation Program for Consumer Products Other Than Automobiles,” which includes major household appliances. Subsequent amendments expanded Title III of EPCA to include additional consumer products and certain commercial and industrial equipment, including certain fluorescent and incandescent lamps—the products that are the focus of this document. In particular, amendments to EPCA in the Energy Policy Act of 1992 (EPACT 1992), P.L. 102-486, established energy conservation standards for certain classes of GSFL and IRL, and authorized DOE to amend these standards if such amendments were warranted. (42 U.S.C. 6291(1), 6295(i)(1) and (3)-(4)) The same EPACT 1992 amendments to EPCA also authorized DOE to adopt standards for additional GSFL and general service incandescent lamps (GSIL), if such additional standards were warranted. (42 U.S.C. 6295(i)(5)) Subsequent amendments to EPCA in the Energy Independence and Security Act of 2007 (EISA 2007), P.L. 110-140, amended the existing energy conservation standards for IRL and removed DOE's authority under 42 U.S.C. 6295(i)(5) to adopt standards for additional GSIL. Before DOE establishes any new or amended energy conservation standards, it must first solicit public comments on a proposed standard. EPCA, as amended, specifies that any new or amended energy conservation standard that DOE prescribes for consumer products shall be designed to “achieve the maximum improvement in energy efficiency * * * which the Secretary [of Energy] determines is technologically feasible and economically justified.” (42 U.S.C. 6295(o)(2)(A)) Moreover, EPCA states that the Secretary of Energy (the Secretary) may not establish an amended standard if such standard would not result in “significant conservation of energy,” or “is not technologically feasible or economically justified.” (42 U.S.C. 6295(o)(3)(B)) To determine whether a proposed standard is economically justified, DOE must, after receiving comments on the proposed standard, determine whether the benefits of the standard exceed its burdens to the greatest extent practicable, weighing the following seven statutory factors: (1) The economic impact of the standard on manufacturers and consumers of the product subject to the standard; (2) 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, initial charges, or maintenance expenses for the covered product that are likely to result from the imposition of the standard; (3) The total projected amount of energy savings (or, as applicable, water savings) likely to result directly from the imposition of the standard; (4) Any lessening of the utility or the performance of the covered product likely to result from the imposition of the standard; (5) The impact of any lessening of competition, as determined in writing by the Attorney General, that is likely to result from the imposition of the standard; (6) The need for national energy and water conservation; and (7) Other factors the Secretary considers relevant. (42 U.S.C. 6295(o)(2)(B)(i)) C. Summary of Proposed Coverage for Lamps DOE's regulations currently set energy efficiency standards for certain classes of general service fluorescent lamps and incandescent reflector lamps. 10 CFR 430.32(n). However, section 325(i)(5) of EPCA directs the Secretary of Energy to consider whether the standards in effect for GSFL should be amended so as to apply to “additional general service fluorescent lamps.” (42 U.S.C. 6295(i)(5)). Accordingly, in section II of this notice, DOE presents its preliminary determination regarding additional lamps that may be considered as part of the standards rulemaking. Section II provides a summary of DOE's authority under EPCA to consider additional lamps for coverage. In addition, because the preliminary determination was positive, section II also presents, by lamp type, the additional lamps for which DOE intends to consider setting standards. D. Overview of the Analyses Performed As noted above, EPCA authorizes DOE to consider establishing or amending energy conservation standards for various consumer products and commercial and industrial equipment, including the two categories of lamps that are the subject of this ANOPR. For each of these products, DOE conducted key technical analyses for this ANOPR in the following areas: (1) Engineering; (2) energy-use characterization; (3) product price determination; (4) LCC and PBP analyses; and (5) NIA. DOE performed a separate set of the requisite analyses for each of the two categories of lamps examined in this rulemaking. This ANOPR presents the methodology and results of each of these analyses (first an overview, followed by a more in-depth discussion). For each type of analysis, Table I.1 identifies the sections in this document that summarize the methodologies, key inputs, and assumptions for the analysis. In addition, DOE conducted several other analyses that either support the five analyses discussed above or are preliminary analyses that will be expanded upon during the NOPR stage of this rulemaking. These analyses include the market and technology assessment, a screening analysis which contributes to the engineering analysis, and the shipments analysis which contributes to the national impacts analysis. In addition to these analyses, DOE has begun some preliminary work on the life-cycle cost subgroup analysis, manufacturer impact analysis, utility impact analysis, employment impact analysis, environmental assessment analysis, and the regulatory impact analysis for the ANOPR. These analyses will be expanded upon during the NOPR stage of this rulemaking. DOE consulted with interested parties as part of its process for conducting all of the analyses for the ANOPR and invites further input from the public on these topics. While obtaining such input is the primary purpose of this stage of the rulemaking, this notice also contains a synopsis of the preliminary analytical results. (The TSD contains a complete set of results.) The purpose of publishing these preliminary results in this notice is to: (1) Facilitate public comment on DOE's analytical methodology; (2) illustrate the level of detail found in the TSD; and (3) invite comment on the structure and the presentation of those results. The preliminary analytical results presented in the ANOPR are subject to revision following review and input from the public. Table I.—1 Key Technical Analyses Conducted for the ANOPR Analysis area Methodology Key inputs 2 Key assumptions ANOPR section and TSD chapter Engineering Analysis Design option analysis to establish lamp and lamp-and-ballast designs at each CSL Published catalog data on performance values such as operating life, rated power, efficacy, and light output Analysis can be extended to product classes and efficiency levels for which DOE did not conduct analysis; ballast system power varies linearly by ballast factor Section III.C and TSD Chapter 5. Energy-Use Characterization Multiply lamp power, or lamp-and-ballast system power, by annual operating hours Annual operating hours by lamp type; lamp, or lamp and ballast, energy consumption. Energy Information Administration (EIA) 2001, 2002, and 2003 survey data and 2002 U.S. Lighting Market Characterization Study Vol. I Data sources are indicative of current lighting use Section III.D and TSD Chapter 6. Product Price Determination Mark up manufacturer price schedules to develop low, medium, and high end-user retail prices Manufacturer price schedules. Publicly available discount schedules from State procurement contracts and other users Future pricing for more efficacious products will reflect discounts used with today's commodity products Section III.E and TSD Chapter 7. Life-cycle Cost and Payback Period Analyses Use Monte Carlo simulation in combination with inputs that are characterized with probability distributions to establish a distribution of consumer economic impacts (i.e., LCC savings and PBP); capture variability in annual energy use; correlate electricity prices with building samples to capture regional and sector-specific variability; use residual value to account for any remaining life of a lamp at the end of the analysis period; report LCC savings by event type and CSL Lamp and ballast installation costs; annual energy consumption; electricity prices and future trends; product lifetimes; discount rates; consumer “lamp purchasing events” that cause purchase of a new lamp / system; building samples based on the EIA's Commercial Building Energy Consumption Survey (CBECS), EIA's Residential Energy Consumption Survey (RECS), and EIA's Manufacturing Energy Consumption Survey (MECS) and the U.S. Lighting Market Characterization Vol. I (LMC) AEO 2007 basis for energy price forecasts and EIA 2005 basis for distribution of electricity prices; average discount rate is 5.6% for the residential sector, 6.2% for the commercial sector, and 7.5% for the industrial sector Section III.G and TSD Chapter 8. National Impact Analysis and Shipment Analysis Forecasts of national GSFL and IRL costs and energy consumption; forecast shipments through the use of a stock accounting model. DOE used the lamp purchase events to divide the market into segments—new construction, replacements, and early retrofit (only for GSFL); use multiple scenarios to forecast the technology mix of lamps (and ballasts) sold at each CSL Historical and forecasted annual shipments; lamp stock; total installed product costs; unit annual energy consumptions; AEO2007 energy price forecasts; site-to-source conversion factors for electricity; discount rate; HVAC interaction, and rebound effect Annual shipments; forecasted base-case and standards-case efficacy improvements based on market-share matrices and historical trends; AEO2007 basis for site-to-source conversion factors; discount rates are 3 percent and 7 percent real; future costs discounted to present year (2007) Sections III.H and III.I; TSD Chapters 9 and 10. 1. Engineering Analysis and Product Price Determination DOE uses the engineering analysis and product price determination together to characterize the relationship between the end-user (consumer) price and the efficiency of the product DOE evaluates for standards. The relationship between the efficiency of a product and the price of that product is essential in determining the relative cost of a more efficient product over its lifetime (i.e., the purchase price of the product plus maintenance and operating costs) as compared to a less efficient product. This calculation is necessary to determine whether individual consumers and the nation will benefit under an efficiency standard. DOE's approach to these analyses is explained briefly below. 2 The data sources cited in this table were the most current available at the time DOE prepared this ANOPR. In the future, should more up-to-date sources become available, DOE will incorporate those more up-to-date sources into its analysis. The engineering analysis identifies the representative baseline lamps, or lamp-and-ballast combinations, that DOE will evaluate in the engineering analysis. The term “baseline” refers to a lamp (or lamp-and-ballast system) that has features and technologies typically found in equipment currently offered for sale and is representative of the characteristics of products in a given product class; for products which are already subject to an energy efficiency standard, the baseline unit is typically one which just meets the current regulatory requirement. DOE based the product price determination for lamps and ballasts on marked-up manufacturer price schedules, developing low, medium, and high end-user retail prices. Section III.C and Chapter 5 of the TSD discuss the engineering analysis, and section III.E and Chapter 7 of the TSD discuss the product price determination in further detail. 2. Energy-Use Characterization The energy-use characterization provides estimates of annual energy use for the two categories of lamps which are the subject of the present rulemaking. DOE uses these estimates in the LCC and PBP analyses, as well as the NIA. To develop annual energy use estimates, DOE multiplied annual usage (in hours per year) by the system power estimates (in watts). In order to obtain the inputs for these calculations, DOE took the following steps. DOE developed the system power estimates in the engineering analysis. To derive annual energy usage, DOE used data published in the U.S. Lighting Market Characterization: Volume I (LMC) 3 , the Residential Energy Consumption Survey (RECS) 4 , the Commercial Building Energy Consumption Survey (CBECS) 5 , and the Manufacturer Energy Consumption Survey (MECS) 6 . More detail on the calculation of operating hours is available in section III.D.1 of this notice, and Chapter 6 of the TSD. 3 U.S. Department of Energy. Office of Energy Efficiency and Renewable Energy, Energy Conservation Program for Consumer Products: Final Report: U.S. Lighting Market Characterization, Volume I: National Lighting Inventory and Energy Consumption Estimate (2002). Available at: www.eere.energy.gov/buildings/info/documents/pdfs/lmc_vol1_final.pdf. 4 U.S. Department of Energy. Energy Information Agency, Residential Energy Consumption Survey: File 1: Housing Unit Characteristic (2006). Available at: http://www.eia.doe.gov/emeu/recs/recs2001/publicuse2001.html. 5 U.S. Department of Energy. Energy Information Agency, Commercial Building Energy Consumption Survey: Micro-level data, file 2 Building Activities, Special Measures of Size, and Multi-building Facilities (2003). Available at: http://www.eia.doe.gov/emeu/cbecs/public_use.html. 6 U.S. Department of Energy. Energy Information Agency, Manufacturing Energy Consumption Survey, Table 1.4: Number of Establishments by First Use of Energy for All Purposes (Fuel and Nonfuel) (2002). Available at: http://www.eia.doe.gov/emeu/mecs/mecs2002/data02/shelltables.html. 3. Life-Cycle Cost and Payback Period Analyses The LCC and PBP analyses determine the economic impact of potential standards on individual consumers. The LCC is the total consumer expense for a product over the life of the product (i.e., purchase price plus maintenance and operating costs). The LCC analysis compares the LCC of products and equipment designed to meet possible energy conservation standards with the LCC of the products and equipment likely to be installed in the absence of standards. The PBP represents the number of years required to recover the increase in purchase price (including installation cost) of a more-efficient product through savings in the operating cost of the product. The PBP is calculated by dividing the change in total installed cost due to increased efficacy by the change in annual operating cost from increased efficacy. More detail on the calculation of LCC and PBP is available in section III.G of this notice and Chapter 8 of the TSD. 4. National Impact Analysis The NIA estimates the national energy savings (NES) and the net present value (NPV) of total customer costs and savings expected to result to the nation from new standards at specific efficiency levels. Stated another way, in the NIA, DOE calculates NES and NPV for any given potential standard level for each of the two categories of lamps as the difference between a base-case forecast (i.e., without new standards) and the standards-case forecast (i.e., with new standards). To start, DOE determines national annual energy consumption by multiplying the number of units in use which are expected to be purchased after the standard takes effect by their average unit energy consumption. Using that input, the NES is calculated as the sum of the cumulative annual energy savings over the analysis period (2012-2042). 7 The national NPV is then calculated from the discounted net savings each year for the products purchased over that same analysis period. The NPV sums the discounted net savings each year, consisting of the difference between the savings in total operating costs and increases in total installed costs. More detail on the NIA is available in sections III.H and III.I of this notice and Chapters 9 and 10 of the TSD. 7 DOE uses 31 years as the time period of analysis for its NES calculations in many of its rulemakings, in order to enable stakeholders to understand the relative magnitude of energy savings potentials of the various products and standard levels being considered. E. Background 1. History of Standards Rulemaking for General Service Fluorescent Lamps, Incandescent Reflector Lamps, and General Service Incandescent Lamps As noted above, EPCA established energy conservation standards for GSFL, requiring that certain fluorescent lamps meet prescribed minimum efficacy levels and minimum color rendering index (CRI) levels. EPCA also established efficacy standards for certain IRL. (42 U.S.C. 6295(i)(1)) For both categories of lamps, EPCA requires that DOE conduct two cycles of rulemakings to determine whether the standards should be amended. (42 U.S.C. 6295(i)(3)-(4)) In addition, EPCA provides that within 24 months after U.S. Federal Trade Commission (FTC) labeling requirements become effective for GSFL and GSIL, DOE must initiate a rulemaking to determine if the standards in effect for fluorescent and incandescent lamps should be amended so that they would be applicable to additional general service fluorescent lamps. (42 U.S.C. 6295(i)(5)) Within 18 months of initiating the rulemaking, EPCA further requires DOE to publish a final rule containing such amendment, if any. (42 U.S.C. 6295(i)(5)) The FTC published a final rule establishing labeling requirements for covered lamps on May 13, 1994, with an effective date of May 15, 1995. 59 FR 25176. In this rulemaking, DOE is addressing two statutory directives under 42 U.S.C. 6295(i). First, DOE is reviewing and deciding whether to amend EPCA's prescribed energy conservation standards for GSFL and IRL. (42 U.S.C. 6295(i)(3)) Second, DOE is reviewing whether energy conservation standards should be made applicable to additional GSFL. (42 U.S.C. 6295(i)(5)) To initiate the current energy conservation standards rulemaking, on May 31, 2006, DOE published on its Web site the Rulemaking Framework Document for General Service Fluorescent Lamps, Incandescent Reflector Lamps, and General Service Incandescent Lamps 8 (“Framework Document”), which describes the procedural and analytical approaches it anticipated using to evaluate potential energy conservation standards for these products. 9 DOE published a notice to announce the availability of the Framework Document, to schedule a public meeting on the planned analytical framework for this rulemaking (hereafter, “Public Meeting”), and to invite written comments concerning this analytical framework. The title of that Federal Register notice published on May 31, 2006 is “Energy Conservation Standards for General Service Fluorescent Lamps, Incandescent Reflector Lamps, and General Service Incandescent Lamps: Notice of Public Meeting and Availability of the Framework Document,” 10 —71 FR 30834. 8 A PDF copy of the framework document published in May 2006 is available at: http://www.eere.energy.gov/buildings/appliance_standards/residential/pdfs/lamps_framework.pdf. 9 At the time of publication of the Framework Document, EPCA gave DOE authority to consider energy conservation standards for additional GSIL under 42 U.S.C. 6295(i)(5). However, subsequent amendments to EPCA in EISA 2007 removed that authority. 10 This rulemaking notice is available at: http://www.eere.energy.gov/buildings/appliance_standards/residential/incandescent_lamps.html. A Public Meeting was held on June 15, 2006, whose purpose was to discuss the analyses and issues identified in various sections of the Framework Document. At the Public Meeting, DOE described the different analyses it would conduct, such as the LCC and PBP analyses, the methods it planned to employ when conducting them, and the relationship among the various analyses. 11 Manufacturers, trade associations, environmental advocates, and other interested parties attended the Public Meeting. Issues discussed included: (1) The rulemaking's scope of coverage and definition of exclusions; (2) the development of product classes; (3) lamp-life variation; (4) selection of representative lamps for analysis and baseline models; (5) appropriate methods and sources for developing end-user price estimates; (6) test procedures; (7) the methodology for developing shipment estimates; (8) the need for systems analysis for GSFL (i.e., analyzing a lamp and a ballast in some scenarios); (9) the impact of higher efficacy lamps on building space conditioning loads; and (10) the use of average electricity rates. Comments submitted during the Framework Document comment period elaborated upon these major issues raised at the June 2006 Public Meeting. DOE worked with its contractors to address these issues in the ANOPR analyses. 11 PDF copies of the slides and other material associated with the public meeting are available at: http://www.eere.energy.gov/buildings/appliance_standards/residential/lamps_meeting_061506.html. Comments received in response to the Framework Document helped identify further issues involved in this rulemaking, and such input contributed to the overall analytical process. This document summarizes the comments DOE has received to date, each with a parenthetical reference at the end citing the location of the item in the docket for this rulemaking (i.e., the public record). 2. Energy Independence and Security Act of 2007 On December 19, 2007, during the ANOPR phase of this rulemaking, the Energy Independence and Security Act of 2007 was signed into law. In relevant parts, EISA 2007 amends various EPCA provisions regarding GSFL, IRL, and GSIL, and considerably changes the scope of this rulemaking and the structure of DOE's ANOPR analyses. Accordingly, DOE has incorporated these changes in both the preliminary determination and energy conservation standards analyses contained in this ANOPR. DOE notes that the relevant amendments in EISA 2007 are effective on the date prescribed by the legislation, not on the effective date of this rulemaking. As stated earlier, in May 2006 DOE published a Framework Document outlining the procedural and analytical approaches it anticipated using for this rulemaking. In addition, DOE received both written and oral comments in response to the Framework Document. Due to the recent amendments to EPCA in EISA 2007, the scope of coverage and analytical approach presented in this ANOPR by necessity differs from that which was previously outlined in the Framework Document. In addition, given these latest legislative amendments, numerous comments submitted no longer hold relevance to this rulemaking and, therefore, are not addressed in this ANOPR. The following section summarizes various sections of EISA 2007 relevant to this rulemaking and discusses their effect on the preliminary determination and ANOPR analyses contained in this notice. a. General Service Fluorescent Lamps Regarding GSFL, section 316(b) of EISA 2007 amends section 321(30)(B)(viii) of EPCA (42 U.S.C. 6291(30)(B)(viii)) by modifying the definition of “general service fluorescent lamp” so as to exclude lamps with a CRI of 87 or greater (as compared to the previous exclusion for lamps with a CRI of 82 or greater). This amendment effectively changes the scope of coverage of energy conservation standards for GSFL to now include additional fluorescent lamps with a CRI rating from 82 up to 87. The ANOPR analyses reflect this change in scope of coverage by analyzing lamp designs with CRI ratings up through 86 and also by accounting for the national impacts due to the regulation of this full range of GSFL. In addition, section 322(b) of EISA 2007 amends section 325(i) of EPCA (42 U.S.C. 6295(i)) by moving the table of efficacy requirements for fluorescent lamps from section 325(i)(1)(A) to section 325(i)(1)(B). However, every aspect of the table is identical to the previous standard as enacted by EPACT 1992, including the product groupings, and the minimum efficacy and CRI requirements. 12 Therefore, the amendment in section 322(b) of EISA 2007 results in no substantive change in DOE's approach toward GSFL. Furthermore, the legislation does not modify the authority to consider extending coverage to additional GSFL under section 325(i)(5) of EPCA (42 U.S.C. 6295(i)(5)). 12 These CRI requirements reflect minimum CRI standards for covered fluorescent lamps. These minimum requirements are not affected by the exclusion in the definition of “general service fluorescent lamp” for lamps with a CRI of 87 or greater, as amended by EISA 2007. b. General Service Incandescent Lamps Regarding GSIL, section 321(a)(1) of EISA 2007 amends section 321(30) of EPCA (42 U.S.C. 6291(30)) by deleting the existing definition and inserting a new definition for “general service incandescent lamp.” In the context of redefining “general service incandescent lamp,” this section also introduces new definitions for several lighting-related terms, some of which were previously defined by DOE in the CFR. Definitions contained in section 321(a)(1) of EISA 2007 relevant to this rulemaking include the following terms: (1) “Modified spectrum;” (2) “rough service lamp;” (3) “vibration service lamp;” and (4) “colored incandescent lamp.” The effect that the incorporation of these definitions has on this rulemaking will be discussed in section I.E.2.c of this notice. In addition, section 321(a)(3) amends section 325 of EPCA (42 U.S.C. 6295) by prescribing separate energy conservation standards and minimum rated lifetimes for general service incandescent lamps and modified spectrum general service incandescent lamps, with effective dates ranging from January 1, 2012 to January 1, 2014. In addition, this section also directs DOE to conduct two future standards rulemakings to review and possibly amend the standards. Furthermore, although EPACT 1992 gave DOE authority under 42 U.S.C. 6295(i)(5) to consider additional general service incandescent lamps for energy conservation standards coverage, section 321(a)(3) of EISA 2007 amends section 325(i)(5) of EPCA and removes this provision. Accordingly, DOE has terminated its preliminary determination regarding the expansion of scope to additional GSIL. In addition, as EISA 2007 prescribed energy conservation standards for GSIL, this ANOPR does present any analyses or candidate standard levels related to GSIL. c. Incandescent Reflector Lamps Regarding IRL, section 322(a)(1) of EISA 2007 amends section 321(30)(C)(ii) of EPCA (42 U.S.C. 6291(30)(C)(ii)) by modifying the portion of the definition of “incandescent lamp” which is applicable to reflector lamps so as to expand that definition to include lamps with a diameter between 2.25 and 2.75 inches, as well as BPAR-, ER-, and BR-shaped lamps. In addition, section 322(a)(2) of EISA 2007 adds new statutory definitions for a BPAR incandescent reflector lamp, a BR incandescent reflector lamp, and an ER incandescent reflector lamp. These new statutory definitions supersede the existing CFR definitions for “ER incandescent reflector lamp” and “BR incandescent reflector lamp” that were developed by DOE (62 FR 29221 (May 29, 1997)), and thereby remove DOE's authority to amend these definitions. In addition, section 322(b) of EISA 2007 amends section 325(i) of EPCA (42 U.S.C. 6295(i)) by moving the table of minimum average lamp efficacy requirements for IRL from section 325(i)(1)(A) to section 325(i)(1)(B). However, as noted above for GSFL, every aspect of this table of IRL efficacy requirements is identical to the previous standard as enacted by EPACT 1992. Section 322(b) also amends EPCA to incorporate several new exemptions to the IRL standards in a newly-adopted section 325(i)(1)(C) of EPCA. These exemptions are as follows: (1) Lamps rated at 50 watts or less that are ER30, BR30, BR40, and ER40; (2) lamps rated at 65 watts that are BR30, BR40, or ER40 lamps; and (3) R20 incandescent reflector lamps rated 45 watts or less. DOE notes that the expanded scope of IRL, as presented in EISA 2007, is consistent the proposal contained in a joint comment submitted by the American Council for an Energy Efficient Economy (ACEEE) and the National Electrical Manufacturers Association (NEMA) regarding this rulemaking. (ACEEE and NEMA, No. 14 at pp. 3-8) The effective date of energy conservation standards for BPAR, ER, and BR shaped lamps as prescribed by EISA 2007 is January 1, 2008. The effective date of standards for smaller diameter IRL as prescribed by EISA 2007 (i.e., diameter of more than 2.25 inches, but not more than 2.75 inches) is the later of January 1, 2008 or 180 days after the date of enactment of EISA 2007. Given that EISA 2007 was enacted on December 19, 2007, the effective date of these standards for smaller diameter IRL is June 16, 2008. In both of these cases, the EISA 2007 standards come into effect well before an amended IRL standard (as would be prescribed by this rulemaking) would come into effect. DOE's draft ANOPR analyses were modified to account for this expanded scope of IRL coverage by selecting IRL baselines which DOE expects to be the least efficacious covered lamp design that would comply with the amended standard. In addition, DOE updated its IRL shipment forecasts in response to EISA 2007 to account for both the expansion of scope for Federally-regulated reflector lamps and the exemptions to the standards. In addition, it is also important to note that, as previously discussed, EISA 2007 introduced statutory definitions for “rough service lamp,” “vibration service lamp,” and “colored incandescent lamp,”—lamp types which are explicitly excluded from the definition of “incandescent reflector lamp,” as contained in the referenced definition of “incandescent lamp.” DOE had previously developed and adopted into the CFR definitions for these three terms in the context of IRL; however, as previously mentioned, these DOE definitions are now superseded by the statutory definitions in EISA 2007. As these terms are used to define that portion of the definition of “incandescent lamp” that corresponds to the definition of “incandescent reflector lamp,” any amendments to these terms affect the scope of energy conservation standards coverage of IRL. In examining the new definitions for “rough service lamp” and “vibration service lamp,” DOE recognizes that they differ from the earlier CFR definitions DOE had adopted. In response to the changes to these definitions, DOE attempted to account for these changes in the ANOPR analyses. Similarly, the new EISA 2007 definition for “colored incandescent lamp” effectively expands the scope of coverage for IRL. That is, IRL containing five percent or more of neodymium content and plant light IRL are now subject to energy conservation standards. DOE accounts for this expanded coverage of IRL by creating a separate product class for these lamps, termed “modified spectrum lamps.” This decision to treat modified spectrum lamps separately is consistent with the approach taken in EISA 2007 with respect to GSIL. Finally, although EPACT 1992 gave DOE authority under U.S.C. 6295(i)(5) to consider additional general service incandescent lamps (which included IRL) for energy conservation standards coverage, section 321(a)(3) of EISA 2007 has amended section 325(i)(5) of EPCA to remove this provision. Accordingly, DOE has terminated its preliminary determination regarding the expansion of scope to additional GSIL and IRL. However, as discussed above, in the ANOPR analyses, DOE accounts for the new scope of coverage for IRL for purposes that remain relevant to this rulemaking (i.e., considering amended efficacy standards for all covered IRL). d. Off Mode and Standby Mode Energy Consumption In addition to the specific relevant actions described above, EISA 2007 also places various requirements on all covered products. Of particular note here, section 310(3) of EISA 2007 amends section 325 of EPCA (42 U.S.C. 6295) by mandating that any final rule establishing or revising a standard for a covered product that is adopted after July 1, 2010 shall incorporate standby mode and off mode energy use into the standard, if feasible. DOE notes that final rule for this energy conservation standards rulemaking on fluorescent and incandescent lamps is scheduled for publication by June 2009. In addition, after careful review, DOE has preliminarily determined that for the GSFL and IRL which are the subjects of this rulemaking, current technologies for these products do not employ a standby mode or off mode, so a determination of the energy consumption of such features is inapplicable. Given EISA 2007's definitions of “active mode,” “off mode,” and “standby mode” 13 applicable to both GSFL and IRL, the lamp must be entirely disconnected from the main power source (i.e., the lamp is switched off) in order not to provide any active mode function (i.e., emit light), thereby meeting the second provision in the definition of “off mode.” However, if the lamp is disconnected from the main power source, the lamp clearly does not satisfy the requirements of operating in off mode. In addition, DOE believes that all covered products that meet the definitions of “GSFL” and “IRL” are single-function products and do not offer any secondary user-oriented or protective functions. Therefore, DOE has tentatively concluded that it is not feasible to incorporate off mode or standby mode energy use into the energy conservation standards for GSFL and IRL. DOE welcomes comment on its understanding of off mode and standby mode energy consumption for the products addressed by this rulemaking. 13 In amending 42 U.S.C. 6295(gg)(1)(a)(i), (ii), and (iii), EISA 2007 defines “active mode,” “off mode,” and “standby mode” as follows: “ The term ‘active mode’ means the condition in which an energy-using product—(I) is connected to a main power source; (II) has been activated; and (III) provides 1 or more main functions.” “The term `off mode' means the condition in which an energy-using product—(I) is connected to a main power source; and (II) is not providing any stand-by or active mode function.” “The term ‘standby mode' means the condition in which an energy-using product—(I) is connected to a main power source; and (II) offers 1 or more of the following user-oriented or protective functions: (aa) To facilitate the activation or deactivation of other functions (including active mode) by remote switch (including remote control), internal sensor, or timer. (bb) Continuous functions including information or status displays (including clocks) or sensor-based functions.” 3. Test Procedures DOE test procedures outline the method by which manufacturers must determine the efficiency of their products and equipment, and thereby assess and certify compliance with the energy conservation standards adopted pursuant to EPCA. DOE established test procedures for fluorescent and incandescent lamps in a final rule published in the Federal Register on May 29, 1997 (hereafter “1997 Test Procedure Final Rule”). 62 FR 29222 (adopting 10 CFR part 430, Subpart B, Appendix R 14 ). In addition, the test procedures incorporate by reference American National Standards Institute (ANSI), Illuminating Engineering Society of North America (IESNA), and International Commission on Illumination (CIE) standards to measure lamp efficacy and CRI. In their totality, the DOE test procedures provide detailed instructions for measuring the performance of GSFL and IRL and certain performance attributes of GSIL. 14 “Uniform Test Method for Measuring Average Lamp Efficiency (LE) and Color Rendering Index (CRI) of Electric Lamps.” The National Electrical Manufacturers Association (NEMA) submitted a comment identifying what it perceived to be problems with several of the industry standards incorporated in DOE's test procedures. Specifically, NEMA stated that many of the standards referenced in the test procedures are outdated, have been replaced, or are no longer available. (NEMA, No. 12 at pp. 2-4) 15 15 A notation in the form “NEMA, No. 12 at pp. 2-4” identifies a written comment that DOE has received and has included in the docket of this rulemaking. This particular notation refers to a comment (1) by the National Electrical Manufacturers Association (NEMA), (2) in document number 12 in the docket of this rulemaking, and (3) appearing on pages 2 through 4. Prompted by the NEMA comment, DOE reviewed the DOE test procedures for GSFL, IRL, and GSIL, and DOE has tentatively concluded that they should be revised because many of industry standards cited in the test procedures are out of date, are not available for purchase, or are no longer maintained. Therefore, DOE has initiated a test procedure rulemaking, in parallel with this energy conservation standards rulemaking, to review and revise the test procedures for these three categories of lamps—GSFL, IRL and GSIL (even though GSIL is no longer part of this ANOPR). To this end, DOE is publishing a notice of proposed rulemaking (NOPR) in today's Federal Register that proposes to amend the lighting test procedures. The following briefly summarizes the major points in the test procedures NOPR; however, for a complete discussion on these and other points, please consult the NOPR. In the test procedure NOPR, DOE is proposing primarily to update the references to outdated industry standards for fluorescent and incandescent lamps. DOE believes this update is necessary in order to ensure that stakeholders and testing laboratories are able to follow DOE's test procedures, which require obtaining and using several industry standards incorporated by reference. DOE believes that the proposed test procedure amendments would not impact the measured efficacy of a lamp. In the test procedure NOPR, DOE is also proposing a few definitional and procedural modifications to accommodate technological migrations in the GSFL market and approaches DOE is considering in this energy conservation standards rulemaking. Specifically, DOE is proposing to mandate that GSFL testing continue to be conducted on low-frequency ballasts whenever possible. By maintaining fluorescent lamp testing on low-frequency ballasts when possible, DOE's proposed updates to more current ANSI standards would not alter the measured efficacy of fluorescent lamps and maintain consistent testing across manufacturers. In addition, DOE is proposing amendments related to the calculation of “lamp efficacy” for GSFL. Presently, manufacturers are directed to report efficacies to differing degrees of accuracy for fluorescent and incandescent lamps. For example, fluorescent lamp efficacies are rounded off to the nearest whole number, while incandescent lamp efficacies are reported to the tenths decimal place. DOE is proposing to revise the reporting requirements for GSFL, such that all covered lamp efficacies are reported with an accuracy to the tenths decimal place. DOE believes that such change would not only promote consistency among the various lamp categories, but also would coincide with the significant digits presented in the EPCA efficacy standard. In addition DOE found that in order to have standard levels for GSFL that are best able to maximize energy savings, it must utilize the tenths decimal place in its energy conservation standards analysis. DOE is also proposing in the test procedure NOPR to adopt a testing and calculation method for measuring the correlated color temperature (CCT) of fluorescent and incandescent lamps, a provision that is not currently contained in the test procedure. DOE is considering using CCT to differentiate between product classes for GSFL, and DOE notes that the definitions of “colored fluorescent lamp” and “colored incandescent lamp” both incorporate CCT ranges, which, in part, determine whether lamps are subject to regulation. The test procedure NOPR also recognizes that DOE is considering the possibility of extending coverage to certain additional GSFL (see section II of this notice). In addition, the test procedure NOPR recognizes and accounts for the fact that EISA 2007 has extended statutorily-prescribed energy conservation standards to specified types of GSIL. Thus, the NOPR informs the public that DOE intends to amend the test procedures to accommodate these additional lamps, and to provide appropriate test methods, should DOE adopt standards for them. Overall, and as stated in the NOPR, DOE believes that most of the proposed revisions to the test procedures would not significantly change the reported efficacy of covered lamps or result in a significant increase in testing burden. For any that do have an appreciable impact on the reported efficacy, DOE is proposing to delay the effectiveness of such test procedure revision until the effective date of any new energy conservation standard for these products. DOE held a public meeting to discuss both the test procedure NOPR and energy conservation standards ANOPR for fluorescent and incandescent lamps. DOE intends to issue a final rule for the lamps test procedure prior to issuing the NOPR for the energy conservation standards rulemaking. II. Consideration Regarding the Scope of Energy Conservation Standards Coverage A. Introduction As noted previously, section 325(i)(5) requires DOE to consider whether to adopt energy efficiency standards for additional GSFL beyond those already covered by the statutorily-prescribed standard. (42 U.S.C. 6295(i)(5)) More specifically, EPCA directs that the Secretary “shall initiate a rulemaking procedure to determine if the standards in effect for fluorescent lamps should be amended so that they would be applicable to additional general service fluorescent [lamps] * * * ” Id. Pursuant to this mandate and as explained in this section of the notice, DOE has made a preliminary determination that expanded coverage would be appropriate. The public is invited to review and comment on the initial findings and analyses, as set forth below, regarding which additional fluorescent lamps should be evaluated for possible coverage by energy conservation standards. Furthermore, DOE was urged to make this preliminary determination by comments received at the Public Meeting. For example, the Appliance Standards Awareness Project (ASAP) recommended that DOE should permit the public to comment on consideration of the scope of additional product coverage, and that DOE should define that scope of coverage early in the rulemaking process in order to prevent any scheduling delays. (Public Meeting Transcript, No. 4.5 at pp. 34-36) DOE agrees with the ASAP comment, and consequently, this notice provides the public with the opportunity to submit comments regarding DOE's preliminary determination. Below, DOE discusses the range of additional lamps that EPCA authorizes DOE to consider. Then, DOE identifies those additional GSFL that it believes warrant further consideration for possible energy conservation standards, and why. DOE requests comment on these subjects. After consideration of these comments, DOE may propose additional lamps to be covered, along with proposed standard levels for these lamps, during the NOPR stage of this standards rulemaking. After further public comment, DOE will publish a final rule which includes its final decision regarding coverage of additional lamps (and applicable standards levels, as appropriate). In addition, the following sections also discuss modifications of various existing lighting-related definitions DOE developed and incorporated into the CFR. These modifications reflect market migrations or changes in industry standards and often have the effect of increasing or decreasing DOE's scope of energy conservation standards coverage. B. Additional General Service Fluorescent Lamps Being Considered Under EPCA Section 325(i)(5) 1. Scope Prior to embarking on a discussion of additional coverage of general service fluorescent lamps, it is first necessary to explain the extent of coverage under the present standard. Section 325(i)(1) of EPCA established energy conservation standards for certain 4-foot medium bipin lamps, 2-foot U-shaped lamps, 8-foot recessed double contact high output lamps, and 8-foot single pin slimline lamps. (42 U.S.C. 6295(i)(1)) The relevant standard levels for the products can be found in DOE's regulations at 10 CFR 430.32(n). As the next step in this inquiry, DOE notes that section 325(i)(5) of EPCA directs DOE to determine if the standards in effect should be amended so as to apply to “additional general service fluorescent [lamps] * * *” (42 U.S.C. 6295(i)(5)) There are currently a wide variety of fluorescent lamps being used in broad, general service lighting applications 16 that are not covered by existing energy conservation standards. Accordingly, these lamps are potential candidates for expanded coverage pursuant to 42 U.S.C. 6295(i)(5). 16 A key provision in the statutory definitions of “general service fluorescent lamp” is that the lamp must satisfy “the majority of fluorescent applications.” (42 U.S.C. 6291(B)) DOE interprets these phrases to mean that these lamps have broad utility in various fluorescent or lighting applications. In general, these lamps will not represent products used solely in niche applications (such as those specifically excluded in the definition of “general service fluorescent lamp”), but rather will represent products that often fulfill general illumination purposes (casting light over a broad area), such as in the following common locations: Office space, warehouses, call centers, schools, health care, government buildings, residential housing, and retail stores. In addition, DOE received a joint comment from several stakeholders (hereafter referred to as “Joint Comment”) concerning the extent of DOE's authority to expand coverage of its energy conservation standard for lighting products. The Joint Comment was submitted by the Alliance to Save Energy, ACEEE, ASAP, Natural Resources Defense Council, Northeast Energy Efficiency Partnerships, Northwest Power and Conservation Council, and PG&E (Pacific Gas and Electric). Given the stakeholders involved, it should be noted that the Joint Comment reflects views of both energy efficiency advocates and utilities. The Joint Comment asserted that section 325(i)(5) of EPCA authorizes DOE to adopt standards for any fluorescent lamp not currently covered by standards so long as standards for that lamp would be technologically feasible, economically justified, and would achieve significant energy savings. The comment seems to argue that in implementing section 325(i)(5), DOE should interpret its mandate broadly to include any GSFL that meet these statutory criteria. (Joint Comment, No. 9 at pp. 1-2; Public Meeting Transcript, No. 4.5, pp. 38-39, and 45) Given that EPCA's statutory definitions of “general service fluorescent lamp” contains a number of express exclusions for certain categories of fluorescent lamps, DOE finds no basis in the language of EPCA to support commenters' assertions that the agency's authority to act under section 325(i)(5) of EPCA is unlimited. As discussed below, DOE believes section 325(i)(5) covers additional GSFL that are not one of the enumerated specialized products that EPCA excludes from coverage (see 42 U.S.C. 6291(30)(B)). EPCA defines “general service fluorescent lamp” as follows: [F]luorescent lamps which can be used to satisfy the majority of fluorescent applications, but does not include any lamp designed and marketed for the following non-general lighting applications: (i) Fluorescent lamps designed to promote plant growth. (ii) Fluorescent lamps specifically designed for cold temperature installations. (iii) Colored fluorescent lamps. (iv) Impact-resistant fluorescent lamps. (v) Reflectorized or aperture lamps. (vi) Fluorescent lamps designed for use in reprographic equipment. (vii) Lamps primarily designed to produce radiation in the ultra-violet region of the spectrum. (viii) Lamps with a color rendering index of 87 or greater. (42 U.S.C. 6291(30)(B)) Both key elements of this definition—i.e., that the lamps can satisfy the majority of lighting applications and the exclusion of certain specialized fluorescent lamps—are consistent with the mandate of section 325(i)(5) that DOE consider and adopt standards for GSFL that currently are not covered by standards. That would allow DOE to cover a broad range of additional products used and viewed as general service fluorescent lamps. In determining which GSFL would be suitable for consideration under 42 U.S.C. 6295(i)(5), DOE limited its inquiry to those fluorescent lamps with generic physical and operational features closely matching the IESNA's widely accepted definition of “fluorescent lamp,” as contained in “The IESNA Lighting Handbook: Reference and Application,” Ninth Edition, 2000, p. G-14. 17 Because only lamps with these features are commonly understood to be fluorescent or general service fluorescent lamps, DOE would apply standards to only such fluorescent lamps, provided that such lamps are not expressly excluded under 42 U.S.C. 6291(30)(B). 17 The definition of fluorescent lamp in the IESNA handbook is a “low-pressure mercury electric-discharge lamp in which a fluorescing coating (phosphor) transforms some of the UV energy generated by the discharge into light.” In summary, in considering whether to amend the standards in effect for fluorescent lamps to apply to “additional” GSFL under section 325(i)(5) of EPCA, DOE has considered all lamps that meet the general description of a “fluorescent lamp” in the introductory language of 42 U.S.C. 6291(30)(A), that can be used to satisfy the majority of fluorescent lighting applications, for which EPCA does not prescribe standards, and that are not within the exclusions specified in 42 U.S.C. 6291(30)(B). 2. Rationale for Coverage In considering which additional GSFL to cover, DOE considered lamps other than those specifically excluded. Among the lamps considered, DOE used potential energy savings of the lamps as the primary criterion in considering preliminarily which should be covered by the standards program. After selecting the lamps for consideration, DOE then conducted a preliminary assessment of whether a standard on those lamps would have the potential to meet the two remaining criteria for prescribing new or amended standards—i.e., being technologically feasible and economically justified. (42 U.S.C. 6295(o)(2)(A)) In the ANOPR (as described in section III below) and NOPR, each lamp selected for coverage would then be the subject of a more comprehensive analysis to determine if there is a reasonable likelihood that standards are justified. DOE assessed the potential to achieve significant energy savings by extending coverage to particular lamps from market-share estimates and from potential incremental energy savings that could result from more-efficacious lamp designs. DOE has quantitative shipment or market share information for certain lamps, such as 8-foot T8 single pin slimline lamps, which it considered and cites in this notice. However, DOE has little to no information on shipments or market share for other lamp types which DOE is considering, such as 8-foot very high output (VHO) fluorescent lamps. In the absence of data, DOE has relied on qualitative assessments of market share (based on discussions with lighting industry experts) to gauge the potential for significant energy savings. DOE invites the public to present further shipment or market share data relevant to consideration of coverage for additional lamps. In addition, DOE assessed the potential to achieve significant energy savings for particular lamps by considering whether these lamps serve as potential substitutes to other regulated lamps. By leaving potential substitutes unregulated, DOE risks that regulating one lamp shape may lead to rapid increased sales of other, unregulated substitutable shapes. This shift of installed stock towards unregulated lamps may result in decreased energy savings, or even the possibility of increased energy use, from energy conservation standards on regulated lamps. In order to avoid this consequence, DOE plans to consider coverage of GSFL lamps that are potential substitutes for any lamps that have high energy savings potential and are likely to be regulated. Though the shipments of these substitute lamps may not currently be high-volume, DOE believes that if the lamps are left unregulated, the shipments have the potential to grow in market share. As long as efficacy improvements are technologically feasible, coverage of these additional substitute lamps has the potential to not only provide energy savings in their own right, but to also prevent potentially significant losses in energy savings through substitution effect. In addition to independently conducting its preliminary determination analysis, DOE considered comments on the additional GSFL it should cover. The following subsections provide a discussion of the GSFL being considered and not considered as expanded coverage, a summary of comments relating to the preliminary determination, and DOE's response to these comments. DOE invites comment on the rationale for coverage presented in this preliminary determination. DOE also invites comment on the scope of coverage defined in this preliminary determination. In addition, the following sections also discuss modifications to various existing lighting-related definitions DOE developed and incorporated into the CFR, which would have the effect of increasing the scope of coverage under applicable energy conservation standards. The new and amended definitions under consideration are discussed and presented in section II.C. 3. Analysis of Individual General Service Fluorescent Lamps Current DOE regulations set standards for the following types of fluorescent lamps: (1) 4-foot, medium bipin, straight-shaped lamps, rated wattage ≥ 28W; (2) 2-foot, medium bipin, U-shaped lamps, rated wattage of ≥ 28W; (3) 8-foot, recessed double contact, rapid start, high output lamps, 0.800 nominal amperes (as defined in ANSI C78.1-1991); and (4) 8-foot, single pin, instant start, slimline lamps, rated wattage of ≥ 52 (as defined in ANSI C78.3-1991). Based on an investigation of available products in manufacturer catalogs, DOE identified various, currently-unregulated general service fluorescent lamps that could be considered for additional coverage under section 325(i)(5) of EPCA, while maintaining the exclusions specified in the definition of “general service fluorescent lamp.” These lamps are as follows: • 4-foot, medium bipin, straight-shaped lamps, rated wattage of < 28W; • 2-foot, medium bipin, U-shaped lamps, rated wattage of < 28W; • Additional 8-foot, recessed double contact, rapid start, high output lamps; • Additional 8-foot single pin, instant start, slimline lamps; • Very High Output (VHO) straight-shaped lamps; • T5 miniature bipin straight-shaped lamps; • Additional straight-shaped and U-shaped lamps, other than those listed above (e.g., alternate lengths, diameters, or bases); and • Additional fluorescent lamps with alternate shapes (e.g., circline, pin-based CFL). The following section discusses DOE's rationale for considering or not considering expansion of coverage to the above-listed lamps. In addition, in section II.C, DOE considers revisions to the definitions of “rated wattage” and “colored fluorescent lamp” which may further affect DOE's scope of energy conservations standards coverage. DOE is considering extension of the standard's coverage to certain 4-foot, medium bipin, GSFL to which standards do not currently apply. Presently, DOE's regulations do not cover or set standards for any 4-foot medium bipin lamp with a wattage less than 28W. As part of this preliminary determination, DOE is considering extension of coverage to 4-foot, medium bipin, straight-shaped fluorescent lamps with wattages between 25W and 28W. DOE understands that 25W, 4-foot medium bipin, T12 fluorescent lamps are manufactured and used primarily in the residential sector for general purpose illumination applications, providing additional opportunity for energy savings. Although DOE received no quantitative shipment information on the market share of these wattages of 4-foot medium bipin lamps, DOE has found that manufacturers currently market and sell 25W, 4-foot medium bipin, T8 fluorescent lamps as replacements for higher-wattage, 4-foot medium bipin, T8 fluorescent lamps. As discussed earlier, by expanding standards coverage to substitute lamps of currently regulated lamps, DOE mitigates the risk of 25W lamps becoming a potential loophole (that decreases energy savings) to the current and pending amended standards on 4-foot medium bipin lamps. For these reasons, DOE believes that 25W 4-foot medium bipin lamps (both T8 and T12) are suitable candidates to be considered for coverage under this rulemaking. In addition, as the technology and incremental costs associated with increased efficiency of 25W lamps are similar to their already regulated 28W counterparts, DOE has tentatively concluded that standards on these lamps have the potential to meet the statutory criteria of being technologically feasible and economically justified. Therefore, in this ANOPR, DOE analyzes these lamps as part of the 4-foot medium bipin product class in the life-cycle cost (LCC) and national impact analysis (NIA) (sections III.G and III.I, respectively). DOE invites comment on this potential expansion of coverage to 4-foot medium bipin lamps with wattages greater than or equal to 25W, including whether T12 lamps (commonly referred to as “residential straight-shaped lamps”) should be covered. Similar to 4-foot medium bipin lamps, DOE's current regulations do not cover or set standards for any 2-foot U-shaped lamp with a wattage less than 28W. In its research of available product in manufacturer catalogs, DOE found no commercially-available 2-foot U-shaped GSFL with wattages less than 28W. Therefore, DOE believes that the current standards cover the majority of the U-shaped general service lighting products available in the market today. Consequently, DOE's preliminary assessment is that lowering the minimum wattage threshold of U-shaped lamps will most likely not result in significant additional energy savings. For this reason, DOE is not considering expanded coverage of 2-foot, medium bipin, U-shaped lamps in this preliminary determination. In this preliminary determination, DOE is considering extension of the standard's coverage to certain 8-foot, recessed double contact, rapid start, high output fluorescent lamps to which energy conservation standards do not currently apply. DOE's definition of “fluorescent lamp,” adopted in accordance with EPCA, includes only those 8-foot recessed double contact HO lamps with 0.800 nominal amperes and which are listed in ANSI Standard C78.1-1991. 10 CFR 430.2. Due to the ampere specification in the definition, the current standards applicable to GSFL (10 CFR 430.32(n)(1)), cover only T12, 8-foot recessed double contact HO lamps but none of the T8, 8-foot recessed double contact HO lamps (which usually have 0.400 nominal amperes). ACEEE and Osram Sylvania (hereafter “Osram”) commented that DOE should cover T8, 8-foot lamps. (Public Meeting Transcript, No. 4.5 at p. 59) According to Osram, T8, 8-foot recessed double contact HO lamps are currently available, and are replacing the older T12 technology. Osram stated its belief that this trend will continue. (Osram, No. 15 at p. 5) Furthermore, DOE is aware that T8, 8-foot lamps are substitutes for T12, 8-foot lamps. As discussed earlier, by not regulating substitutes (e.g., T8, 8-foot recessed double contact HO lamps) of regulated lamps (e.g., T12, 8-foot recessed double contact HO lamps), DOE risks losing the potential energy savings of the current energy conservation standards for T12, 8-foot lamps, as well as any revised standard that may be adopted pursuant to this rulemaking. In addition, because T8, 8-foot recessed double contact HO lamps are predicted to replace the T12 market, the shipments of T8 lamps may increase considerably. For the reasons above, DOE believes that regulating T8, 8-foot recessed double contact HO lamps has the potential to achieve significant energy savings. DOE analyzes these T8 lamps as part of the 8-foot recessed double contact HO product class in the NIA. From this analysis, DOE estimates that the energy savings achieved due to regulation of T8, 8-foot recessed double contact HO lamps could be as high as 0.30 quads over the analysis period. (See section III.I of this notice.) In addition, in this preliminary determination, DOE tentatively plans to expand its coverage of 8-foot recessed double contact, rapid start, high output fluorescent lamps to those not listed in ANSI Standard C78.1-1991. As discussed in the fluorescent and incandescent lamps test procedure NOPR published in today's Federal Register , many of the ANSI standards currently referenced in DOE regulations (e.g., ANSI Standard C78.1-1991) are outdated. DOE understands that as the fluorescent lamp market moves forward and evolves, new 8-foot recessed double contact, rapid start, high output lamps (with 0.800 nominal amperes or other currents) may be introduced into the market. As these lamps would not be listed in the 1991 ANSI standard, they would not be covered under paragraph (3) of the definition of fluorescent lamp, and, therefore, would not be subject to current energy conservation standards. However, DOE understands that though these newly introduced lamps might have different wattages than those listed in ANSI Standard C78.1-1991, they serve as replacements and substitutes for the regulated 8-foot recessed double contact high output lamps. As discussed earlier, by leaving these potential substitute lamps unregulated, DOE risks not achieving the maximum energy savings from its established energy conservation standards. Given the potential energy savings, in this preliminary determination, DOE is considering extension of coverage to T8, 8-foot recessed double contact HO lamps, thereby adding lamps previously restricted by the 0.800 nominal ampere limitation. In addition, DOE is considering extension of coverage to 8-foot recessed double contact HO lamps not listed in ANSI Standard C78.1-1991. As the technologies of T8, 8-foot recessed double contact HO lamps and the 8-foot recessed double contact HO lamps not listed in ANSI Standard C78.1-1991 are similar to the technologies of their already-regulated T12 counterparts, DOE has tentatively concluded that standards on these lamps have the potential to meet the statutory criterion of being technologically feasible. With regards to the statutory criterion of being economically justified, DOE analyzes T8, 8-foot recessed double contact HO lamps in the LCC analysis and NIA. Preliminary results show that regulation of these lamps would be expected to achieve LCC savings up to $3.15 (discounted at 6.2 percent) per lamp system and net present value (NPV) up to $0.73 billion to the nation (discounted at 3 percent) over the analysis period. Also, 8-foot recessed double contact HO lamps not listed in ANSI Standard C78.1-1991 should incur similar economic effects as their already-covered counterparts. Therefore, for the purpose of this preliminary determination, DOE has tentatively concluded that energy conservation standards on these lamps have the potential of being economically justified. Similar to 8-foot recessed double contact HO lamps, in this preliminary determination, DOE is considering extension of the standard's coverage to certain 8-foot, single pin, instant start, slimline lamps to which energy conservation standards do not currently apply. DOE's definition of “fluorescent lamp,” adopted in accordance with EPCA, includes only those 8-foot, single pin, instant start, slimline lamps, with a rated wattage greater than or equal to 52W and listed in ANSI Standard C78.3-1991. 10 CFR 430.2. Under this definition, because they are not listed in ANSI Standard C78.3-1991, no T8, 8-foot single pin slimline lamps would be subject to energy conservation standards. However, as indicated by their inclusion in the updated ANSI Standard C78.81-2005, DOE understands that since the publication of ANSI Standard C78.3-1991, T8, 8-foot single pin slimline lamps have penetrated the GSFL market. Shipment information submitted by NEMA indicates that T8 lamps comprise approximately 15 percent of the total 8-foot single pin slimline market. (NEMA, No. 12 at p. 2) In addition, ACEEE and Osram commented that DOE should cover T8, 8-foot single pin slimline lamps. (Public Meeting Transcript, No. 4.5 at p. 59) For similar reasons as discussed with regard to T8, 8-foot recessed double contact HO lamps, DOE believes that the regulation of T8, 8-foot single pin slimline lamps has the potential to achieve significant energy savings. DOE analyzes these T8 lamps as part of the 8-foot single pin slimline product class in the NIA. From this analysis, the energy savings achieved due to the regulation of T8, 8-foot single pin slimline lamps would be expected to be as high as 0.25 quads over the analysis period (i.e., from the year 2012 to 2042). (See section III.I of this notice.) As such, in this preliminary determination, DOE is considering expanding the standards' scope of coverage of 8-foot single pin slimline lamps with a rated wattage greater than or equal to 52W to those not listed in ANSI Standard C78.3-1991. This would include T8 lamps and any additional 8-foot single pin slimline lamps that might be introduced into the fluorescent lamp market in the future. As the technologies of T8, 8-foot single pin slimline lamps and the 8-foot single pin slimline lamps not listed in ANSI Standard C78.3-1991 are similar to the technologies of their already-regulated T12 counterparts, DOE has tentatively concluded that standards on these lamps have the potential to meet the statutory criterion of being technologically feasible. With regards to the statutory criterion of being economically justified, DOE analyzes T8, 8-foot single pin slimline lamps in the LCC analysis and NIA. Preliminary results show that regulation of these lamps has the potential to achieve LCC savings up to $8.27 per lamp system (discounted at 6.2 percent) and NPV of $1.15 billion to the nation (discounted at 3 percent) over the analysis period (i.e., from the year 2012 to 2042). Also, 8-foot single pin slimline lamps not listed in ANSI Standard C78.1-1991 would be expected to incur similar economic effects as their already covered counterparts. Therefore, for the purpose of this preliminary determination, DOE has tentatively concluded that energy conservation standards for these lamps have the potential to be economically justified. DOE also observed that some 8-foot, single pin, slimline lamps with wattages below 52W are available on the market today. These include 51W and 50W versions. However, DOE notes that published catalogs offered very few models at these wattages. Also, DOE believes that these lower-wattage slimline lamps are used for niche applications and would likely not be used as a substitute for higher-wattage versions. In particular, these lamps offer different lumen packages from their higher-wattage counterparts and are not currently marketed as substitutes. Consequently, DOE believes that the market share of such lamps is and will remain relatively small, thereby making the potential energy savings that would be achieved from their regulation small as well. Therefore, DOE has tentatively decided not to extend coverage of the energy conservation standards to T8, 8-foot single pin slimline lamps with wattages below 52W. DOE requests comment on this approach. In this preliminary determination, DOE also considered whether or not to expand coverage to include very high output (VHO) fluorescent lamps. Philips Lighting (hereafter “Philips”) commented that DOE should set standards for VHO, T12 fluorescent lamps, asserting that these lamps consume a large amount of energy. (Philips, No. 5 at p. 1) DOE research involving review of manufacturer catalog data corroborated the Philips comment, as common VHO fluorescent lamps can have rated wattages ranging from 115W to 215W, while corresponding HO lamps have rated wattages ranging from 60W to 110W. However, in considering the Philips comment, DOE learned from discussions with manufacturers that many VHO lamps are used in outdoor applications, such as parking lot or other area illumination, where high-intensity discharge (HID) lamps are rapidly gaining market share. Research also indicated that shipments of VHO, T12 lamps have been and are continuing to decline rapidly. Overall, DOE understands that these lamps constitute a very low-volume share of the relevant market, and these products will likely further decrease in terms of market share. As such, although these lamps may individually have a per-lamp energy savings potential larger than that of a typical GSFL, DOE believes that the total energy savings from regulating these lamps would be small and decreasing as that these lamps are naturally disappearing from the market in the absence of regulation. Therefore, DOE does not plan to extend coverage of the energy conservation standard to VHO lamps. DOE also considered whether to include T5 fluorescent lamps in its expansion of energy conservation standards coverage. At the Public Meeting on the Framework Document, ACEEE and PG&E commented that DOE should cover T5 lamps. (Public Meeting Transcript, No. 4.5 at pp. 39 and 59) However, ACEEE and PG&E did not provide a rationale for consideration of these lamps, and DOE did not receive any written comments recommending that it consider T5 lamps for coverage. To further investigate this issue, DOE evaluated the market and typical applications for T5 lamps, and has tentatively decided to not extend coverage to T5 lamps, for the reasons that follow. DOE found that T5 systems are used in a wide variety of indoor general illumination applications where T8 and T12 systems could also be used. However, DOE understands that T5 systems are always operated with higher-efficiency, high-frequency electronic ballasts (versus lower-efficiency, low-frequency ballasts). In addition, it was found that these lamps tend to have higher efficacies and that the systems tend to have lower energy consumption than the corresponding T8 and T12 lamps and systems. Therefore, DOE believes that the regulation of T5 lamps may not have the potential for significant per-unit energy savings. In addition, DOE understands that the current GSFL market share of T5 lamps is relatively small, representing low total energy savings potential. DOE also notes that T5 systems tend to be higher in cost than T8 or T12 systems. Thus, DOE believes that excluding T5 lamps from this rulemaking would be unlikely to undermine any energy savings that would result from a T12 and T8 standard, even if the standard caused increased sales of T5 systems. 18 To the contrary, not regulating T5 lamps could provide market incentives for and result in energy savings by encouraging greater end-user use of highly efficacious T5 lamps. For the above stated reasons, DOE does not plan to extend the standards' coverage to T5 lamps. DOE solicits further comment on whether it should extend coverage to T5 lamps, as well as the rationale for doing so. 18 At CSLs four and five, some T8 systems are more efficacious than their T5 counterparts. However, DOE notes that the average cost of a T5 system is more expensive than a T8 system. The fact that T5 lamps are less efficacious and more expensive at these standard levels indicates that there is little or no incentive for stakeholders to migrate to T5 lamps from T8 or T12 lamps in an effort to avoid the fluorescent lamp standard. Furthermore, DOE does not intend to extend coverage to fluorescent lamps that have alternate lengths, diameters, bases, or shapes (or a combination thereof) than the lamps discussed in the preceding section. DOE believes that the lamps currently covered and the additional lamps described above that DOE is considering for coverage (i.e., ones which have lengths and bases the same as those currently regulated) represent the significant majority of the market for GSFL, and, thus, the bulk of potential energy savings. Furthermore, DOE believes that there is limited potential for lamps with miscellaneous lengths and bases to grow in market share, given the constraint of fixture lengths and socket compatibility. DOE requests comment on this approach. In summary, the following list represents the “additional general service fluorescent lamps” which DOE is considering for expanded coverage under the energy conservation standards: • 4-foot, medium bipin lamps with wattages ≥ 25 and < 28; • 8-foot recessed double contact, rapid start, HO lamps not defined in ANSI Standard C78.1-1991; • 8-foot recessed double contact, rapid start, HO lamps (other than 0.800 nominal amperes) defined in ANSI Standard C78.1-1991; and • 8-foot single pin instant start slimline lamps, with a rated wattage ≥ 52, not defined in ANSI Standard C78.3-1991. C. Amended Definitions As part of the examination of the scope of coverage of GSFL, DOE is considering amendments to existing DOE-adopted definitions in order to more clearly and accurately define the scope of GSFL and IRL. The following section describes these planned amendments and requests comment. 1. “Rated Wattage” One element of EPCA's definitions for “fluorescent lamp” and “incandescent reflector lamp” is a lamp's “rated wattage,” which helps to delineate the lamps for which the statute set prescriptive standards. (42 U.S.C. 6291(30)(A), (C)(ii) and (F)). For example, the definition of “fluorescent lamp” includes certain 4-foot medium bipin lamps with “a rated wattage of 28 or more” (42 U.S.C. 6291(30)(A)(i)), and EPCA prescribes standards for these particular lamps (42 U.S.C. 6295(i)(1)(B)). In addition, EISA 2007 prescribed energy conservation standards for general service incandescent lamps that require lamps of particular lumen outputs to have certain maximum rated wattages. (section 321(a)(3) of EISA 2007 amending section 325(i) of EPCA) EPCA does not, however, define “rated wattage.” Therefore, DOE adopted a definition of “rated wattage” for 4-foot medium bipin T8, T10, and T12 fluorescent lamps when it established test procedures for fluorescent and incandescent lamps in 1997. 62 FR 29222 (May 29, 1997). This definition, located in 10 CFR 430.2, references an ANSI guide from 1991, specifically ANSI Standard C78.1-1991, “for Fluorescent Lamps—Rapid-Start Types—Dimensional and Electrical Characteristics.” Although EPCA also uses the term “rated wattage” when referring to “2-foot U-shaped lamps” (42 U.S.C. 6291(30)(A)(ii)), “8-foot slimline lamps,” (42 U.S.C. 6291(30)(A)(iv)), and “incandescent lamps” (i.e., the portion of that definition pertaining to IRL) (42 U.S.C. 6291(30)(C)), DOE did not define “rated wattage” for these lamps in 1997. In this rulemaking, DOE plans to update its existing definition of “rated wattage” to cite the current version of ANSI Standard C78.1-1991, and to apply this definition to those lamps where rated wattage is a key characteristic but is not currently defined. DOE's current definition of “rated wattage” for 4-foot medium bipin T8, T10, or T12 lamps, in effect, contains three definitions of “rated wattage”: One for those lamps listed in the ANSI Standard C78.1-1991 standard; another for residential straight-shaped lamps; and a third for all other lamps. The definition of “rated wattage” currently contained in DOE regulations is as follows: Rated wattage , with respect to 4-foot medium bi-pin T8, T10 or T12 lamps, means: (1) If the lamp is listed in ANSI C78.1-1991, the nominal wattage of a lamp determined by the lamp designation in Annex A.2 of ANSI C78.1-1991; or (2) If the lamp is a residential straight-shaped lamp, the wattage a lamp consumes when operated on a reference ballast for which the lamp is designed; or (3) If the lamp is neither listed in ANSI C78.1-1991 nor a residential straight-shaped lamp, the wattage a lamp consumes when using reference ballast characteristics of 236 volts, 0.43 amps and 439 ohms for T10 or T12 lamps or reference ballast characteristics of 300 volts, 0.265 amps and 910 ohms for T8 lamps. (10 CFR 430.2) Annex A.2 of ANSI Standard C78.1-1991, referenced in the first part of the definition, discusses how to designate lamps according to industry procedure. It indicates that the lamp abbreviation may include either the rated wattage or nominal wattage for a particular lamp. The most current equivalent industry standard corresponding to ANSI Standard C78.1-1991 is ANSI Standard C78.81-2005, which also includes an equivalent section on lamp abbreviations. However, this equivalent section specifies that lamp abbreviations are to incorporate only the nominal wattage. DOE believes that a different section of ANSI Standard C78.81-2005 more appropriately defines “rated wattage.” Specifically, Clause 11.1 of ANSI Standard C78.81-2005 deals more directly with rated wattage when it refers to rated values in the lamp data sheets of Part IV of the standard and notes the margin that manufacturer's average values must maintain from rated values. In relevant part, Clause 11.1 of ANSI Standard C78.81-2005 states: The values of lamp voltage, current and wattage shown on the individual lamp data sheets in Part IV are rated values that apply after the lamps have been aged for 100 hours. These values were chosen by consensus to represent the industry average at the time of publication. No manufacturer's average wattage shall exceed the rated value by more than 5% plus 0.5 watts * * * Therefore, DOE tentatively plans to update the “rated wattage” definition's reference to ANSI Standard C78.81-2005 and to reference Clause 11.1 of that ANSI standard in place of Annex A.2 of ANSI Standard C78.1-1991. The second part of the “rated wattage” definition addresses residential straight-shaped lamps. DOE adopted a definition for “residential straight-shaped lamp” in 10 CFR 430.2 at the same time it defined “rated wattage” and established the applicable test procedures. 62 FR 29222 (May 29, 1997). This definition applies only to 4-foot medium bipin lamps. The provisions on residential straight-shaped lamps reflect DOE's understanding that lamp wattage differs when a lamp operates on a low-power-factor ballast (typically residential applications) versus a high-power-factor ballast (typically commercial applications). (The measured wattage of a residential straight-shaped lamp could be different depending on the ballast on which it is operated.) 19 Thus, these provisions effectively ensure that lamps designed for residential applications are tested on ballasts typically used for residential applications. Defining “rated wattage” for these lamps is significant, as it clarifies whether DOE's standards are applicable to them. DOE believes that the clarification is still relevant. However, DOE notes that ANSI Standard C78.81-2005 lists a rated wattage value for a 25-Watt, 4-foot T12 rapid start medium bipin fluorescent lamp, operating on a low-power-factor ballast. Thus, it appears that some lamps which could be classified as a residential straight-shaped lamp have rated wattage values listed in ANSI Standard C78.81-2005. Therefore, DOE intends to update the second portion of the definition to state that if a residential straight-shaped lamp is not listed in ANSI, then rated wattage should be based on the wattage a lamp consumes when operated on a reference ballast for which the lamp is designed. 19 If a lamp is not listed in ANSI C78.1-1991, its “rated wattage” would depend on test measurements. The third part of the definition for “rated wattage” (applicable if neither of the first two parts applies) states that the rated wattage is that which results when the lamp is tested under specified testing conditions. DOE is updating the test procedures for fluorescent and incandescent lamps in a concurrent test procedures rulemaking. The NOPR for that rulemaking is published in today's Federal Register . As part of the test procedures rulemaking, DOE is also developing testing methods for lamps not currently listed in ANSI standards which will be included as part of the DOE test procedure. DOE believes that it is preferable to reference these more detailed test procedures, rather than the current approach of specifying testing conditions in the definitions section of 10 CFR 430.2. Therefore, DOE intends to replace the third part of the “rated wattage” definition with a reference to the test procedures that will be set forth in 10 CFR Part 430, Subpart B, Appendix R. EPCA's definition of “fluorescent lamp” uses the term “rated wattage” not only in describing 4-foot medium bipin lamps, but also in describing 2-foot U-shaped and 8-foot single pin slimline lamps. (42 U.S.C. 6291(30)(A)(ii) and (iv)) To clarify rated wattage for 2-foot U-shaped, and 8-foot single pin slimline lamps, DOE has tentatively decided to utilize the same framework to define “rated wattage” as was used for 4-foot medium bipin lamps. In particular, DOE plans to reference ANSI industry standards where they have defined the rated wattage for particular lamps, and to reference DOE's test procedures (as amended) where ANSI has not defined the rated wattage for particular lamps. Thus, DOE intends to modify the current definition of “rated wattage” that applies to 4-foot medium bipin lamps and make it applicable to all covered fluorescent lamps. Because ANSI Standard C78.81-2005 does not include ratings for U-shaped lamps, DOE plans to incorporate by reference and to cite to ANSI Standard C78.901-2005, “for Electric Lamps—Single-Based Fluorescent Lamps—Dimensional and Electrical Characteristics”, which does. ANSI Standard C78.901-2005 also contains Clause 11.1, using text similar to that noted above. The statutory definition for “incandescent lamp” also contains the term “rated wattage,” and the definition for “incandescent reflector lamp” similarly references a portion of the definition of “incandescent lamp” which contains that term. In addition, EISA 2007 set energy conservation standards for general service incandescent lamps which require the lamps to meet a maximum rated wattage for a particular lumen output. For incandescent reflector lamps and general service incandescent lamps, the rated wattage is the same as measured wattage. Therefore, DOE believes that the test procedures outlined in 10 CFR Part 430, Subpart B, Appendix R suffice for determining rated wattage for incandescent lamps. The following summarizes the modified definition of “rated wattage” that DOE intends to consider making applicable to all covered lamps and updated to reference current industry standards: Rated wattage means: (1) With respect to fluorescent lamps and general service fluorescent lamps: (i) If the lamp is listed in ANSI C78.81-2005 or ANSI C78.901-2005, the rated wattage of a lamp determined by the lamp designation of Clause 11.1 of ANSI C78.81-2005 or ANSI C78.901-2005; (ii) If the lamp is a residential straight-shaped lamp, and not listed in ANSI C78.81-2005, the wattage of a lamp when operated on a reference ballast for which the lamp is designed; or (iii) If the lamp is neither listed in one of the ANSI guides referenced in (1)(i) nor a residential straight-shaped lamp, the wattage of a lamp when measured according to the test procedures outlined in Appendix R to subpart B of this part. (2) With respect to general service incandescent lamps and incandescent reflector lamps, the wattage measured according to the test procedures outlined in Appendix R to subpart B of this part. DOE requests comment on its above-discussed modification of the definition of “rated wattage,” applicable to both covered fluorescent and incandescent lamps. DOE recognizes that changes to the definition could affect coverage for fluorescent lamps. However, DOE believes that the modifications would have a relatively minor, if any, impact on the scope of coverage. 2. “ Colored Fluorescent Lamp ” With regard to the definition of “colored fluorescent lamp” that was codified in the CFR as part of the 1997 Test Procedure Final Rule, DOE is requesting comment on the definition for this type of fluorescent lamp which is excluded from energy conservation standards. The current definition of that term reads as follows: Colored fluorescent lamp means a fluorescent lamp designated and marketed as a colored lamp, and with either of the following characteristics: A CRI less than 40, as determined according to the method given in CIE Publication 13.2 (see 10 CFR 430.22), or a lamp correlated color temperature less than 2,500K or greater than 6,600K. 10 CFR 430.2. In its market research, DOE observed that one of the major lamp manufacturers that operates in the European market recently introduced a fluorescent lamp with a correlated color temperature (CCT) of 17,000K. The product literature associated with this new lamp indicates that it is intended for general illumination applications. In the “Product Application” section of the literature, it suggests that this lamp be used for “Indoor working areas (call centers, industry, schools, healthcare etc.), especially where an energizing environment needs to be created.” 20 Even though DOE is unaware of any general purpose fluorescent lamps like this one being introduced into the U.S. market, there is the potential that the current definition of “colored fluorescent lamp” would provide an exclusion for new products being introduced in general illumination lighting applications. Therefore, DOE is considering revising the definition, possibly by adding a phrase such as “and not designed or marketed for general illumination applications.” DOE invites comment on this issue. 20 Philips Lighting Product Specification Document, MASTER TL5 ActiViva Active 54W SLV (published June 29, 2007). III. Energy Conservation Standards Analyses for Fluorescent and Incandescent Reflector Lamps This section addresses the analyses DOE has performed and intends to perform for GSFL and IRL under consideration in this rulemaking and discusses the underlying assumptions applied to the analyses. For both GSFL and IRL, DOE will perform a set of analyses, including: (1) An engineering analysis; (2) a product price determination; (3) an energy-use determination; (4) an LCC and PBP analysis; (5) an NIA; and (6) an MIA. A full description of how these analyses are performed is contained in the TSD. 21 However, this section of the ANOPR provides an overview of these analyses, while focusing on how these analyses are being tailored to this rulemaking and on their underlying assumptions. It also discusses comments received from interested parties since DOE published the lighting products Framework Document. 21 Available at: http://www.eere.energy.gov/buildings/appliance_standards/residential/incandescent_lamps.html. A. Market and Technology Assessment The market assessment provides an overall picture of the market for the products concerned, including the nature of the products, the industry structure, and market characteristics for the products. The technology assessment identifies available technologies for these products, which will be considered in the screening analysis. The subjects addressed in the market and technology assessment include product classes, technology options, manufacturers, quantities and types of products sold and offered for sale, retail market trends, and regulatory and non-regulatory programs. DOE considers both quantitative and qualitative information from publicly available sources and stakeholders in this assessment. The information DOE gathers for the market and technology assessment serves as resource material for use throughout the rulemaking. 1. Market Assessment Issues addressed in the market assessment include: (1) Information about lamp manufacturers; (2) existing regulatory and non-regulatory initiatives; (3) historical shipments and (4) product classes. Each of these topics will be discussed in turn below. NEMA is the trade association that represents many GSFL and IRL manufacturers. NEMA provides an organization framework for manufacturers of lighting products to work together on projects that affect their industry and business. The majority of the domestic market share of GSFL and IRL is held by three manufacturers: (1) GE Lighting (General Electric, Inc.); (2) OSRAM Sylvania (Siemens AG); and (3) Philips Lighting (Royal Philips Electronics). In addition to lamps listed under this rulemaking, the lighting divisions of all three companies manufacture other products, such as lamp ballasts, high intensity discharge lamps, LED lighting, GSIL (already regulated by EISA 2007) and compact fluorescent lamps (CFL). It is noted that DOE is required to consider whether small businesses are likely to be particularly affected by the promulgation of minimum efficacy standards for lamps. (5 U.S.C. 601 et seq.) The Small Business Administration (SBA) defines “small business” manufacturing enterprises for manufacturers of GSFL and IRL as ones having 1,000 or fewer employees. 22 More specifically, SBA lists small business size standards that are matched to industries as they are described in the North American Industry Classification System (NAICS). A small business size standard is the largest that a for-profit entity can be and still qualify as a small business for Federal Government programs. These size standards are generally related to the average annual receipts or the average employment of a firm. For lamp products, the size standard is matched to NAICS code 335110, Electric Lamp Bulb and Part Manufacturing, which has a size standard of 1,000 employees. DOE identifies several small business manufacturers of GSFL and IRL in Chapter 3 of the TSD. DOE will study the potential impacts on small businesses in detail during the MIA, which it will conduct as a part of the analyses for the notice of proposed rulemaking. 22 Small Business Administration, Table of Small Business Size Standards: Matched to North American Industry Classification System Codes. (Feb. 2007). Available at: http://www.sba.gov/services/contractingopportunities/sizestandardstopics/part121sects/index.html. Furthermore, DOE is aware of several Federal, State, and international regulatory programs that impact the GSFL and IRL markets. Amendments to EPCA in EPACT 1992 established Federal energy conservation standards for residential, commercial, and industrial GSFL and IRL. (42 U.S.C. 6295(i)(1)) In addition to the Federal regulations, the following States have established appliance efficiency regulations for other lamps for which there are no Federal standards (and thus are not preempted): Arizona, California, Connecticut, Maryland, Massachusetts, Minnesota, New Jersey, New York, Oregon, Rhode Island, Vermont, and Washington. DOE also reviewed several voluntary programs promoting the use of energy-efficient GSFL in the United States, including the Federal Energy Management Program's (FEMP) program for energy-efficient lighting, the Consortium for Energy Efficiency (CEE)'s High Performance Commercial Lighting Initiative, the Energy Efficient Commercial Buildings Deduction, and various regional initiatives that work with State utilities to offer rebates for installation of higher efficacy GSFL systems. See Chapter 3 of the TSD for more information regarding regulatory and non-regulatory initiatives. DOE received historical shipment data from NEMA for the years 2001 to 2005 for the two categories of lamps. (NEMA, No. 12 at pp. 5-6) Overall, NEMA's historical lamp shipment data that was incorporated by DOE into the analytical tools for the ANOPR had three main purposes. First, the shipment data and market trend information contributed to the shipments analysis and base-case forecast for each of the two categories of lamps (see Chapter 9 of the TSD). By using recent shipment data and expert opinion on market trends, DOE believes that the shipments model and base-case forecasts are based on a sound dataset. Second, DOE used the data to select the representative product classes and representative units for analysis. Generally, DOE selected representative product classes and units for analysis to reflect the highest volume, most common lamp types and wattages used in the U.S. today (see Chapter 3 of the TSD). And thirdly, DOE used these data to develop the market-share matrices for the NIA (see Chapter 10 of the TSD). Based on its understanding of trends in the market, DOE estimated how the market would respond to the various CSLs. Additional detail on the market assessment can be found in Chapter 3 of the TSD. 2. Product Classes In general, when evaluating and establishing energy conservation standards, DOE divides covered products into classes by the type of energy used, capacity, or other performance-related features that affect efficiency, and factors such as the utility of the product to users. (See 42 U.S.C. 6295(q)) DOE normally establishes different energy conservation standards for different product classes based on these criteria. However, classification of lamps into product classes presents a challenge, because, for example, a fluorescent lamp is a component of a system, and the lamp's performance is directly related to the ballast on which it operates. The following section describes and discusses the product classes of lamps that DOE is considering for this rulemaking. a. General Service Fluorescent Lamps EPCA established eight product classes for GSFL based on the four fluorescent lamp types EPCA describes in its definition for “fluorescent lamp” and based on nominal lamp wattage. (42 U.S.C. 6295(i)(1)(B)) These product classes are outlined in Table III.1. Table III.1.—EPCA Product Classes for GSFL Lamp type Nominal lamp wattage W Min. CRI Min. avg. efficacy lm/W 4-ft Medium Bipin >35W 69 75.0 ≤35W 45 75.0 2-ft U-Shaped >35W 69 68.0 ≤35W 45 64.0 8-ft Single Pin >65W 69 80.0 Slimline ≤65W 45 80.0 8-ft High Output >100W 69 80.0 ≤100W 45 80.0 In the Framework Document for this rulemaking, DOE presented a preliminary discussion of potential revisions to the prescriptive standards established by EPCA. ((42 U.S.C. 6295(i)(1)(B); see 10 CFR 430.32(n)(1)). Specifically, DOE considered subdividing the product categories in EPCA's table of efficacy requirements for fluorescent lamps, nearly doubling the number of product classes by introducing lamp tube diameter as a differentiating variable (i.e., “>T8” and “≤T8”). In presenting this potential modification, DOE used the same wattage divisions and minimum color rendering index (CRI) requirements that EPCA uses for these lamps, with T8 and T12 lamps in the same product class. Several stakeholders provided comment on the draft product classes discussed in the Framework Document, as discussed below. For 4-foot medium bipin lamps, Philips suggested combining all lamps with diameters greater than T8 into one category. Philips then suggested creating a category for T8 and smaller diameters with wattages less than or equal to 32W. (Philips, No. 11 at p. 1) GE and Osram both supported DOE's suggestion for lamps with diameters greater than T8, but they suggested that DOE should change the wattage division from 35W to 31W, and include a correlated color temperature (CCT) division for lamps with diameters less than or equal to T8. (GE, No. 13 at pp. 1-2; Osram, No. 15 at pp. 2-3) The Joint Comment recommended that DOE combine the T8 and T12 product classes, because there are few T8 lamps above 35W, and, therefore, the existing wattage bins could be analyzed by maintaining some separation of T8 and T12 lamps. (Joint Comment, No. 9 at p. 8) For 2-foot U-shaped lamps, Philips suggested modifying the draft product classes by combining wattage ranges, and the commenter also recommended having just two product classes, based upon lamp diameter, that apply to any wattage 2-foot U-shaped lamps. GE and Osram both supported DOE's approach for considering lamps with diameters greater than T8, and these commenters suggested that DOE should change the wattage division from 35W to 31W, and include a CCT division for lamps with diameters less than or equal to T8. (GE, No. 13 at pp. 1-2; Osram, No. 15 at pp. 2-3) For the 8-foot single pin slimline lamps, Philips suggested combining all lamps with diameters greater than T8 into one product class, and then establishing a separate product class for lamps with T8 and narrower diameters, regardless of wattage. (Philips, No. 11 at pp. 1-2) GE and Osram both suggested keeping the T12 category of high output lamps, and creating a separate class for diameters less than T12. For this new separate class, GE and Osram both proposed dividing it further into two subclasses, one including T12 8-foot single pin slimline lamps with wattages greater than 58W and another including T12 8-foot single pin lamps with wattages less than or equal to 58W. (GE, No. 13 at pp. 1-2; Osram, No. 15 at pp. 2-3) For the 8-foot high output lamps, Philips suggested combining all lamps with diameters greater than T8 into one product class, and then establishing a separate product class for lamps with T8 and narrower diameters with a nominal lamp wattage of 86W and below. (Philips, No. 11 at pp. 1-2) GE and Osram both suggested keeping the T12 category of high output lamps, and creating a separate class for lamps with diameters less than T12. (GE, No. 13 at pp. 1-2; Osram, No. 15 at pp. 2-3) GE argued that this class of lamps with diameters less than T12 should encompass all wattages, whereas Osram recommended that the class should encompass only lamps greater than 85W. (GE, No. 13 at pp. 1-2; Osram, No. 15 at pp. 2-3) DOE considered all these comments, and continued to research appropriate product classes for the general service fluorescent lamps being considered for coverage under this rulemaking. DOE identified differential utility and physical attributes of fluorescent lamps around which the development of separate product classes would be based on the statutory criteria. (42 U.S.C. 6295(q)) 23 In this notice, DOE is considering establishing product classes based upon the following three lamp attributes that have differential utility and impact efficacy: (1) Physical constraints of lamps (i.e., lamp shape and lamp length); (2) lumen package (i.e., regular versus high output); and (3) CCT. Following that discussion, this document also analyzes other potential factors that DOE considered as potential product class determinants (i.e., ballast interoperability, lamp wattage, lamp diameter, and color rendering index), but which were not adopted for reasons indicated below. 23 (q) Special rule for certain types or classes of products (1) A rule prescribing an energy conservation standard for a type (or class) of covered products shall specify a level of energy use or efficiency higher or lower than that which applies (or would apply) for such type (or class) for any group of covered products which have the same function or intended use, if the Secretary determines that covered 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 from that which applies (or will apply) to other products within such type (or class). In making a determination under this paragraph concerning whether a performance-related feature justifies the establishment of a higher or lower standard, the Secretary shall consider such factors as the utility to the consumer of such a feature, and such other factors as the Secretary deems appropriate. i. Class Setting Factors Physical Constraints of Lamps. The physical constraints of the lamp relate to the shape of the lamp (e.g., U-shaped versus linear) and the fact that these lamps could not be substitutes for each other, unless the entire fixture is changed. The lamp shapes provide unique utility because the shapes of these lamps prevent them from being used as replacements, even with a ballast replacement, in a given fixture. However, the shape and geometry of a lamp also impact its efficacy. For example, a 2-foot U-shaped lamp, while having the same overall tube length, is less efficacious than a 4-foot linear lamp due in part to the fact that the electrical arc within the tube has to bend to conform to the shape of the lamp. Similarly, a 4-foot lamp has a different utility than an 8-foot lamp, as these lamps generally require different fixtures. And, efficacy tends to increase with length, such that all else being equal, 8-foot lamps generally have higher efficacy values than 4-foot lamps. Given the impact that geometry has on both utility and efficacy, DOE proposes maintaining the division of product classes by lamp geometry. Lumen Package. In addition to the physical constraints of a lamp, DOE also recognizes that the lumen package a lamp provides to consumers is another potential differentiating factor for product classes, because it provides utility in the form of a quantity of light per unit lamp length. In this way, lamps that have high lumen output may be installed in certain high-ceiling or outdoor installations, where large quantities of light are needed. Lamps that have standard levels of light output might be installed in lower-ceiling installations such as offices or hospitals, where distance between the light source and the illuminated surfaces is not as large. DOE notes, however, that efficacy decreases as a fluorescent lamp is driven harder to increase its light output. For example, the efficacy of high output 8-foot lamps are approximately 7 to 10 percent lower than that of slimline 8-foot lamps. Because 8-foot lamps are not already subdivided according to physical constraints, DOE plans to further subdivide the 8-foot linear lamps into slimline and high output. Considering the fluorescent lamps currently covered under EPCA and the additional general service fluorescent lamps discussed in section II which DOE is considering for coverage, DOE is considering establishment of the following four differentiating categories of lamps: (a) 4-foot medium bipin; (b) 2-foot U-shaped; (c) 8-foot single pin slimline; and (d) 8-foot recessed double contact high output. DOE notes that these are the same four categories of lamps that were established by EPCA in section 325(i)(1). (42 U.S.C. 6295(i)(1)(B)) Correlated Color Temperature. Finally, within each of these four categories of fluorescent lamps, DOE recognizes that the CCT of the fluorescent lamps provides a distinct utility (i.e., the light emitted by the fluorescent lamp has different qualities), which impacts the efficacy of the lamp. The CCT describes, in part, how the white light emitted from a fluorescent lamp is perceived. Lower color temperatures correspond to “warmer” light, with more red content in the spectrum, and higher color temperatures correspond to “cooler” light, with more blue content. As the spectral emission of the light radiated from the fluorescent lamp is modified to change the CCT, the light emitted may contain more red light (and less blue) or more blue light (and less red). The measured efficacy of these lamps with different CCT will be different, because efficacy is measured in lumens 24 per watt, and light emitted across the visible spectrum is not given equal weighting under this metric. Lumens are determined using the human eye's sensitivity function, and due to the fact that the human eye is less responsive to blue light, those fluorescent lamps that shift their spectral emission profiles to contain more blue light will have lower efficacies. In sum, the metric that DOE will establish as the mini [Text truncated at 120,000 characters. The full text is on the page linked above.] --- Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/fr%3AE8-4018. Public record. Not legal advice.