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

Federal RegisterApr 13, 2009

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DEPARTMENT OF ENERGY

10 CFR Part 430

[Docket Number 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:

Notice of proposed rulemaking.

SUMMARY:

The Energy Policy and Conservation Act (EPCA) prescribes energy conservation standards for various consumer products and commercial and industrial equipment, including general service fluorescent lamps (GSFL) and incandescent reflector lamps (IRL), and the statute also requires the Department of Energy (DOE) to subsequently determine whether more stringent, amended standards for GSFL and IRL would be technologically feasible and economically justified, and would save a significant amount of energy. In addition, EPCA directs DOE to consider adoption of standards for additional GSFL not already covered by EPCA-prescribed standards. In this notice, DOE proposes amended energy conservation standards for certain GSFL and IRL and new energy conservation standards for certain additional GSFL not currently covered by standards.

DATES:

DOE held a public meeting on Tuesday, February 3, 2009 in Washington, DC. DOE began accepting comments, data, and information regarding this notice of proposed rulemaking (NOPR) at the public meeting, and will continue to accept comments until no later than June 12, 2009. See section VIII, “Public Participation,” of this NOPR for details.

ADDRESSES:

The public meeting was held at the U.S. Department of Energy, Forrestal Building, Room 1E-245, 1000 Independence Avenue, SW., Washington, DC 20585-0121.

Any comments submitted must identify the NOPR for Energy Conservation Standards for Lighting Products, and provide the docket number EE-2006-STD-0131 and/or regulatory information number (RIN) number 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-0131and/or RIN 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, 950 L'Enfant Plaza, SW., Suite 600, 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 VIII 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, Resource Room of the Building Technologies Program, 950 L'Enfant Plaza, SW., Suite 600, Washington, DC, (202) 586-2945, between 9 a.m. and 4 p.m., Monday through Friday, except Federal holidays. Please call Ms. Brenda Edwards at the above telephone number 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.

Mr. Eric Stas or Ms. Francine Pinto, U.S. Department of Energy, Office of the General Counsel, GC-72, Forrestal Building, Mail Station GC-72, 1000 Independence Avenue, SW., Washington, DC 20585-0121. Telephone: (202) 586-9507. E-mail:

Eric.Stas@hq.doe.gov

Francine.Pinto@hq.doe.gov.

For information on how to submit or review public comments, 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. Summary of the Proposed Rule

II. Introduction

A. Consumer Overview

B. Authority

C. Background

1. Current Standards

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

III. Issues Affecting the Scope of This Rulemaking

A. Additional General Service Fluorescent Lamps for Which DOE is Proposing Standards

1. Scope of EPCA Requirement that DOE Consider Standards for Additional Lamps

2. Identification of the Additional Lamps for Which DOE Proposes Standards

a. Coverage of T5 Lamps

b. Extension of Lamp Wattage Ranges

3. Summary GSFL Lamps to Which DOE Proposes to Extend Coverage

B. Exempted Incandescent Reflector Lamps

C. Amended Definitions

1. “Rated Wattage”

2. “Colored Fluorescent Lamp”

D. Off Mode and Standby Mode Energy Consumption Standards

E. Color Rendering Index Standards for General Service Fluorescent Lamps

IV. General Discussion

A. Test Procedures

B. Technological Feasibility

1. General

2. Maximum Technologically Feasible Levels

C. Energy Savings

1. Determination of Savings

2. Significance of Savings

D. Economic Justification

1. Specific Criteria

a. Economic Impact on Manufacturers and Consumers

b. Life-Cycle Costs

c. Energy Savings

d. Lessening of Utility or Performance of Products

e. Impact of Any Lessening of Competition

f. Need of the Nation to Conserve Energy

g. Other Factors

2. Rebuttable Presumption

V. Methodology and Discussion of Comments

A. Product Classes

1. General Service Fluorescent Lamps

a. T12 and T8 Lamps

b. T5 Lamps

c. Correlated Color Temperature

2. Incandescent Reflector Lamps

a. Modified-Spectrum Lamps

b. Long-Life Lamps

c. Lamp Diameter

d. Voltage

B. Screening Analysis

1. General Service Fluorescent Lamps

a. Higher-Efficiency Lamp Fill Gas Composition

b. Higher-Efficiency Phosphors

c. Glass Coating

d. Lamp Diameter

e. Multi-Photon Phosphors

2. Incandescent Reflector Lamps

C. Engineering Analysis

1. Approach

2. Representative Product Classes

3. Baseline Lamps and Systems

a. General Service Fluorescent Lamps

b. Incandescent Reflector Lamps

4. Lamp and Lamp-and-Ballast Designs

a. General Service Fluorescent Lamps

b. Incandescent Reflector Lamps

5. Efficiency Levels

a. General Service Fluorescent Lamps

i. Revisions to ANOPR Efficiency Levels

ii. Four-Foot T5 Miniature Bipin Efficiency Levels

b. Incandescent Reflector Lamps

6. Engineering Analysis Results

a. General Service Fluorescent Lamps

b. Incandescent Reflector Lamps

7. Scaling to Product Classes Not Analyzed

a. General Service Fluorescent Lamps

i. Correlated Color Temperature

ii. U-Shaped Lamps

b. Incandescent Reflector Lamps

i. Modified-Spectrum IRL

ii. Lamp Diameter

iii. Voltage

D. Life-Cycle Cost and Payback Period Analyses

1. Consumer Product Price

2. Sales Tax

3. Installation Costs

4. Disposal Costs

5. Annual Operating Hours

a. Sectors Analyzed

b. Regional Variation

c. Building Type

6. Product Energy Consumption Rate

7. Electricity Prices

8. Electricity Price Trends

9. Lifetime

a. Ballast Lifetime

b. Lamp Lifetime

10. Discount Rates

11. Analysis Period

12. Effective Date

13. Payback Period Inputs

14. Lamp Purchase Events

E. National Impact Analysis—National Energy Savings and Net Present Value Analysis

1. General

a. Overview of NIA Changes in This Notice

2. Shipments Analysis

a. Lamp Inventory

b. Shipments Growth

i. Floor Space and Building Growth

ii. Lamps per Household

iii. Wider Spacing of More-Efficient Fixtures

c. Base-Case Scenarios: Emerging Technologies and Existing Technologies

i. General Service Fluorescent Lamps

ii. Incandescent Reflector Lamps

d. Fluorescent Market Sectors Analyzed

e. GSFL Product Migration

i. Ballast Rule Effective Start Date

ii. Four-Foot Medium Bipin T12 Lamp Replacements

iii. Eight-Foot Single Pin Slimline T12 Lamp Replacements

iv. Four-Foot T5 Lamps

3. Base-Case Market-Share Matrices

a. General Service Fluorescent Lamps

b. Incandescent Reflector Lamps

4. GSFL Standards-Case Shipment Scenarios and Forecasts

a. Shift/Roll-Up Scenarios

b. Lighting Expertise Scenarios

c. Voluntary Retrofits

5. IRL-Standards-Case Shipment Scenarios and Forecasts

i. Shift/Roll-Up Scenarios

ii. Product-Substitution Scenarios

6. Other Inputs

a. Analysis Period

b. Total Installed Cost

c. Electricity Price Forecast

d. Energy Site-to-Source Conversion

e. HVAC Interaction Factor

f. Rebound Effect

g. Discount Rates

F. Consumer Subgroup Analysis

G. Manufacturer Impact Analysis

1. Overview

a. Phase 1, Industry Profile

b. Phase 2, Industry Cash-Flow Analysis

c. Phase 3, Subgroup Impact Analysis

2. Discussion of Comments

3. Government Regulatory Impact Model Analysis

4. Manufacturer Interviews

a. Key Issues

i. GSFL

ii. IRL

b. Government Regulatory Impact Model Scenarios and Key Inputs

i. GSFL Base-Case Shipment Forecast

ii. IRL Base Case Shipments Forecast

iii. GSFL Standards Case Shipments Forecast

iv. IRL Standards-Case Shipments Forecast

v. Manufacturing Production Costs

vi. Amended Energy Conservation Standards Markup Scenarios

vii. Product and Capital Conversion Costs

H. Employment Impact Analysis

I. Utility Impact Analysis

J. Environmental Analysis

VI. Analytical Results

A. Trial Standard Levels

1. General Service Fluorescent Lamps

2. Incandescent Reflector Lamps

B. Economic Justification and Energy Savings

1. Economic Impacts on Consumers

a. Life-Cycle Cost and Payback Period

i. General Service Fluorescent Lamps

ii. Incandescent Reflector Lamps

b. Consumer Subgroup Analysis

i. Low-Income Households

ii. Institutions of Religious Worship

iii. Institutions That Serve Low-Income Populations

iv. Historical Facilities

v. Consumers of T12 electronic ballasts

2. Economic Impacts on Manufacturers

a. Industry Cash-Flow Analysis Results

i. General Service Fluorescent Lamps

ii. Incandescent Reflector Lamps

b. Cumulative Regulatory Burden

c. Impacts on Employment

d. Impacts on Manufacturing Capacity

e. Impacts on Manufacturer Subgroups

3. National Impact Analysis

a. Significance of Energy Savings

b. Net Present Value

c. Impacts on Employment

4. Impact on Utility or Performance of Products

5. Impact of Any Lessening of Competition

6. Need of the Nation to Conserve Energy

C. Proposed Standard

1. Overview

2. General Service Fluorescent Lamps Conclusion

a. Trial Standard Level 5

b. Trial Standard Level 4

c. Trial Standard Level 3

3. Incandescent Reflector Lamps Conclusion

a. Trial Standard Level 5

b. Trial Standard Level 4

VII. Procedural Issues and Regulatory Review

A. Review Under Executive Order 12866

B. Review Under the Regulatory Flexibility Act

C. Review Under the Paperwork Reduction Act

D. Review Under the National Environmental Policy Act

E. Review Under Executive Order 13132

F. Review Under Executive Order 12988

G. Review Under the Unfunded Mandates Reform Act of 1995

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

I. Review Under Executive Order 12630

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

K. Review Under Executive Order 13211

L. Review Under the Information Quality Bulletin for Peer Review

VIII. Public Participation

A. Submission of Comments

B. Issues on Which DOE Seeks Comment

IX. Approval of the Office of the Secretary

Acronyms and Abbreviations

ACEEE American Council for an Energy Efficiency Economy

AEO Annual Energy Outlook

ANOPR advance notice of proposed rulemaking

ANSI American National Standards Institute

ASAP Appliance Standards Awareness Project

ASE Alliance to Save Energy

BF ballast factor

BLS Bureau of Labor Statistics

BPAR bulged parabolic aluminized reflector

BR bulged reflector (reflector lamp shape)

BT Building Technologies Program

BTU British Thermal Unit

CAIR Clean Air Interstate Act

CAMR Clean Air Mercury Rule

CBECS Commercial Buildings Energy Consumption Survey

CCT correlated color temperature

CFR Code of Federal Regulations

CFL compact fluorescent lamp

CIE International Commission on Illumination

CMH ceramic metal halide

carbon dioxide

CRI color rendering index

CSL candidate standard level

DIY do-it-yourself

DOE U.S. Department of Energy

DOJ U.S. Department of Justice

E26 Edison screw-base (incandescent lamp base type)

EERE Office of Energy Efficiency and Renewable Energy

EIA Energy Information Administration

EISA 2007 Energy Independence and Security Act of 2007

EL efficacy level

EPA Environmental Protection Agency

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

GW gigawatt

Hg mercury

HID high-intensity discharge

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

INPV industry net present value

I-O input-output

IPCC Intergovernmental Panel on Climate Change

IR Infrared

IRFA initial regulatory flexibility analysis

IRL incandescent reflector lamp

K degrees Kelvin

kt kilotons

LCC life-cycle cost

LED Light-Emitting Diode

LMC U.S. Lighting Market Characterization Volume I

Lm/W lumens per watt

MBP medium bipin

MECS Manufacturer Energy Consumption Survey (MECS)

MIA Manufacturer Impact Analysis

MMt million metric tons

Mt metric tons

MW megawatts

NAICS North American Industry Classification System

NCLC National Consumer Law Center

NEEP Northeast Energy Efficiency Partnership

NEMA National Electrical Manufacturers Association

NEMS National Energy Modeling System

NEMS-BT National Energy Modeling System—Building Technologies

NES national energy savings

NIA National Impact Analysis

NIST National Institute of Standards and Technology

NOPR notice of proposed rulemaking

nitrogen oxides

NPCC Northwest Power and Conservation Council

NPV net present value

NRDC Natural Resources Defense Council

NVLAP National Voluntary Laboratory Accreditation Program

OEM Original Equipment Manufacturer

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

quad quadrillion BTU

R reflector (reflector lamp shape)

R-CFL reflector compact fluorescent lamp

R&D research and development

RDC recessed double contact

RECS Residential Energy Consumption Survey

RIA regulatory impact analysis

RoHS Restriction on Hazardous Substances directive

SBA Small Business Administration

SCF Survey of Consumer Finances

SEC Securities and Exchange Commission

SEL spectrally-enhanced lighting

SG&A selling, general, and administrative costs

SO standard output

sulfur dioxide

SP single pin

S&P Standard & Poor's

T8, T10, T12 tubular fluorescent lamps, diameters of 1, 1.25 or 1.5 inches, respectively

TSD technical support document

TSL trial standard level

TWh terawatt-hour

UMRA Unfunded Mandates Reform Act

U.S.C. United States Code

UV ultraviolet

V volts

VHO very high output

W watts

I. Summary of the Proposed Rule

The Energy Policy and Conservation Act (EPCA or the Act) (42 U.S.C. 6291

et seq

.), as amended, requires DOE to consider whether to amend the existing energy conservation standards for GSFL and IRL, and to also consider whether to adopt new energy conservation standards for additional types of GSFL beyond those already covered by EPCA-prescribed standards. (42 U.S.C. 6295(i)(3)-(5)) The Act also specifies that any new or amended energy conservation standard DOE prescribes for certain consumer and/or commercial products, such as GSFL and IRL, shall be designed to “achieve the maximum improvement in energy efficiency * * * which the Secretary determines is technologically feasible and economically justified.” (42 U.S.C. 6295(o)(2)(A); 6316(a)) Furthermore, the new or amended standard must “result in significant conservation of energy.” (42 U.S.C. 6295(o)(3)(B); 6316(a)) In accordance with these and other statutory provisions discussed in this notice, DOE proposes new and amended energy conservation standards for GSFL and IRL, as shown in Table I.1 and Table I.2. The proposed standards would apply to all products listed in Table I.1 and Table I.2 that are manufactured in or imported into the United States on or after June 30, 2012.

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

Lamp type

Correlated color

temperature

Proposed level

lm/W

Percent

increase over current

standards or

baseline

4-Foot Medium Bipin

≤ 4,500K

12%

> 4,500K

2-Foot U-Shaped

≤ 4,500K

15%/22%*

> 4,500K

7%/14%*

8-Foot Slimline

≤ 4,500K

19%

> 4,500K

14%

8-Foot High Output

≤ 4,500K

10%

> 4,500K

4-Foot Miniature Bipin Standard Output

≤ 4,500K

103

20%

> 4,500K

13%

4-Foot Miniature Bipin High Output

≤ 4,500K

16%

> 4,500K

10%

* For these product classes, EPCA has different efficacy standards for lamps with wattages less than 35W and greater than or equal to 35W.

Table I.2—Summary of the Proposed Energy Conservation Standard for IRL

Lamp type

Diameter

Voltage

Proposed level

lm/W

Percent

increase over current standards or

baseline

Standard Spectrum 40W-205W

> 2.5 inches

≥ 125

7.1P

0.27

69%-100%

< 125

6.2P

0.27

47%-75%

≤ 2.5 inches

≥ 125

6.3P

0.27

50%-78%

< 125

5.5P

0.27

31%-55%

Modified Spectrum 40W-205W

> 2.5 inches

≥ 125

5.8P

0.27

38%-63%

< 125

5.0P

0.27

19%-41%

≤ 2.5 inches

≥ 125

5.1P

0.27

21%-44%

< 125

4.4P

0.27

7%-27%

Note:

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

DOE's analyses indicate that the proposed standards would save a significant amount of energy—an estimated 3.2 to 7.3 quads (for GSFL) and 1.3 to 2.3 quads (for IRL) of cumulative energy over 31 years (2012-2042). The economic impacts on most GSFL and all IRL individual and commercial consumers (

i.e.

, the average life-cycle cost (LCC) savings) are positive.

The cumulative national net present value (NPV) of total consumer costs and savings of the proposed standards from 2012 to 2042 in 2007$ ranges from $3.2 billion (at a 7-percent discount rate) to $25.7 billion (at a 3-percent discount rate) for GSFL. For IRL, the NPV from 2012 to 2042 in 2007$ ranges from $3.7 billion (at a 7-percent discount rate) to $14.0 billion (at a 3-percent discount rate). This is the estimated total value of future operating-cost savings minus the estimated increased product costs, discounted to 2007. DOE estimates the GSFL industry net present value (INPV) to currently be $575-602 million in 2007$. If DOE were to adopt the proposed standards, it expects that manufacturers may lose up to 24 percent of their INPV, which is approximately $139 million. The NPV of the proposed standards for GSFL consumers (at least $3.2 billion at the 7-percent discount rate) would exceed anticipated industry losses by at least 23 times. DOE estimates the IRL industry net present value to be $207-267 million in 2007$. If DOE were to adopt the proposed standards, it expects that manufacturers may lose 29-46 percent of their INPV, which is approximately $77-94 million. The NPV of the proposed standards for IRL consumers (at least $3.7 billion at the 7-percent discount rate) would exceed anticipated industry losses by at least 39 times.

In addition, the proposed standards would have significant environmental benefits. All of the energy saved would be in the form of electricity, and DOE expects the energy savings from the proposed standards to eliminate the need for approximately 1100 to 3400 megawatts (MW) of generating capacity for GSFL and up to 450 MW for IRL by 2042. This would result in cumulative (undiscounted) greenhouse gas emission reductions of 184 to 395 million metric tons (MMT) of carbon dioxide (CO

) for GSFL and 59 to 114 MMT for IRL from 2012 to 2042. During this same period, the standard would result in power plant emission reductions of 12 to 623 kilotons (kt) of nitrogen oxides (NO

) for GSFL and 4 to 181 kt NO

for IRL. Mercury (Hg) emission reductions would be up to 6.9 tons for GFSL and up to 1.7 tons avoided for IRL.

DOE has tentatively concluded that the proposed standards represent the maximum improvement in energy efficiency that is technologically feasible and economically justified, and would result in significant conservation of energy. DOE further notes that products achieving these standard levels are already commercially available. Based upon the rulemaking analyses culminating in this proposal, DOE found that the benefits (energy savings, consumer LCC savings, national NPV increase, and emission reductions) to the Nation of the proposed standards outweigh the burdens (INPV decrease and LCC increases for some lamp users). DOE considered higher efficacy levels (ELs) as trial standard levels (TSLs), and is still considering them in this rulemaking; however, DOE has tentatively concluded that the burdens of the higher efficiency levels outweigh the benefits. Based upon consideration of public comments and related information, DOE may adopt either higher or lower ELs presented in this proposal or some level in between.

II. Introduction

A. Consumer Overview

EPCA currently prescribes efficacy standards for certain IRL and GSFL. (42 U.S.C. 6295(i)(1)) DOE proposes to raise these standards and to set efficacy standards for certain other GSFL, as shown in Table I.1 and Table I.2 above. The proposed standards would apply to products manufactured in the United States, or imported to it, three years after the final rule is published in the

Federal Register

Table I.1 and Table I.2 also show the percentage improvement in efficacy that each standard level represents, relative to the current standard levels or to products typically on the market today. The proposed standards represent an overall improvement of approximately 4 to 22 percent and 7 to 100 percent in the efficacies of the GSFL and IRL baselines, respectively, covered by the standards.

The final rule is expected to be published by June 30, 2009; therefore, the effective date would be June 30, 2012.

DOE's analyses suggest that residential and commercial consumers would see benefits from the proposed standards. Although DOE expects that under the proposed standards, the purchase price of high-efficacy GSFL would be higher (up to three times higher) than the average price of these products today, but that the energy efficiency gains would result in lower energy costs that more than offset such higher costs. When the potential savings due to efficiency gains are summed over the lifetime of the high-efficacy products, consumers would be expected to save up to $56.60 (depending on the lamp type), on average, compared to their expenditures on today's baseline GSFL.

The results of DOE's analyses for IRL follow a similar pattern. Although DOE expects the purchase price of the high-efficacy IRL would be higher (ranging from 56 to 63 percent) than the average price of these products today, the energy efficiency gains would result in lower energy costs that more than offset the higher costs. When these potential

savings due to efficiency gains are summed over the lifetime of the high-efficacy IRL, it is estimated that consumers would save between $1.62 and $8.14, on average, compared to their expenditures on today's baseline IRL.

B. Authority

Title III of EPCA sets forth a variety of provisions designed to improve energy efficiency. Part A

of Title III (42 U.S.C. 6291-6309) established the “Energy Conservation Program for Consumer Products Other Than Automobiles.” The program covers consumer products and certain commercial products (referred to hereafter as “covered products”), including GSFL and IRL. (42 U.S.C. 6292(a)(14) and 6295(i)) EPCA prescribes energy conservation standards for certain GSFL and IRL. (42 U.S.C. 6295(i)(1)) The statute further directs DOE to determine whether the existing standards for fluorescent and incandescent lamps should be amended and whether to adopt standards for additional GSFL. (42 U.S.C. 6295(i)(3)-(5)) This rulemaking represents the first round of amendments to the GSFL and IRL energy conservation standards as directed by 42 U.S.C. 6295(i)(3).

This part was originally titled Part B; however, it was redesignated Part A after Part B was repealed by Pub. L. 109-58.

The scope of coverage for these requirements for GSFL and IRL is dictated by EPCA's definitions of these and related terms, as explained below. 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 nongeneral 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))

EPCA defines “incandescent reflector lamp” as follows: * * * [A] lamp in which light is produced by a filament heated to incandescence by an electric current * * * [and] (commonly referred to as a reflector lamp) which is not colored or designed for rough or vibration service applications, that contains an inner reflective coating on the outer bulb to direct the light, an R, PAR, ER, BR, BPAR, or similar bulb shapes with E26 medium screw bases, a rated voltage or voltage range that lies at least partially within 115 and 130 volts, a diameter which exceeds 2.25 inches, and has a rated wattage that is 40 watts or higher.

(42 U.S.C. 6291(30)(C), (C)(ii) and (F))

EPCA further clarifies this definition of IRL by defining the lamp types excluded from the definition: The term “rough service lamp” means a lamp that—(i) has a minimum of 5 supports with filament configurations that are C-7A, C-11, C-17, and C-22 as listed in Figure 6-12 of the 9th edition of the IESNA Lighting handbook, or similar configurations where lead wires are not counted as supports; and (ii) is designated and marketed specifically for `rough service' applications, with (I) the designation appearing on the lamp packaging; and (II) marketing materials that identify the lamp as being for rough service. (42 U.S.C. 6291(30)(X))

The term “vibration service lamp” means a lamp that—(i) has filament configurations that are C-5, C-7A, or C-9, as listed in Figure 6-12 of the 9th Edition of the IESNA Lighting Handbook or similar configurations; (ii) has a maximum wattage of 60 watts; (iii) is sold at retail in packages of 2 lamps or less; and (iv) is designated and marketed specifically for vibration service or vibration-resistant applications, with—(I) the designation appearing on the lamp packaging; and (II) marketing materials that identify the lamp as being vibration service only. (42 U.S.C. 6291(30)(AA))

The term “colored incandescent lamp” means an incandescent lamp designated and marketed as a colored lamp that has—(i) a color rendering index of less than 50, as determined according to the test method given in C.I.E. publication 13.3-1995; or (ii) a correlated color temperature of less than 2,500K, or greater than 4,600K, where correlated temperature is computed according to the Journal of Optical Society of America, Vol. 58, pages 1528-1595 (1986). (42 U.S.C. 6291(30)(EE))

DOE notes that the publication year of the referenced article in the definition of “colored incandescent lamp,” as printed in section 321(a)(1)(B) of EISA, contains two typographical errors. The citation should read as follows: Journal of Optical Society of America, Vol. 58, pages 1528-1535 (1968).

The advance notice of proposed rulemaking (ANOPR) in this proceeding (73 FR 13620, 13622, 13625, 13628-29 (March 13, 2008)), as well as subsection II.C and section III below, provide additional detail on the nature and statutory history of EPCA's requirements for GSFL and IRL.

Under the Act, DOE's energy conservation program for covered products consists essentially of four parts: (1) Testing; (2) labeling; (3) Federal energy conservation standards, and (4) certification and enforcement procedures. The Federal Trade Commission (FTC) is responsible for labeling, and DOE implements the remainder of the program. Section 323 of the Act authorizes DOE, subject to certain criteria and conditions, to develop test procedures to measure the energy efficiency, energy use, or estimated annual operating cost of each covered product. (42 U.S.C. 6293) The test procedures for GSFL and IRL appear at title 10 Code of Federal Regulations (CFR) part 430, subpart B, appendix R.

EPCA provides criteria for prescribing new or amended energy conservation standards for covered products. As indicated above, any new or amended standard for a covered product under Part A must be designed to achieve the maximum improvement in energy efficiency that is technologically feasible and economically justified (42 U.S.C. 6295(o)(2)(A)), although EPCA precludes DOE from adopting any standard that would not result in significant conservation of energy. (42 U.S.C. 6295(o)(3)(B)) Moreover, DOE may not prescribe a standard: (1) For certain products, including GSFL and IRL, if no test procedure has been established for that type (or class) of product, or (2) if DOE determines by rule that the standard would not result in significant conservation of energy or is not technologically feasible or economically justified. (42 U.S.C. 6295(o)(3)) The Act also provides that, in deciding whether a standard is economically justified, DOE must determine whether the benefits of the standard exceed its burdens. (42 U.S.C. 6295(o)(2)(B)(i)) DOE must do so after receiving comments on the proposed standard and by considering, to the greatest extent practicable, the following seven factors:

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

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

(3) The total projected amount of energy savings likely to result directly from the imposition of the standard;

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

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

(6) The need for national energy conservation; and

(7) Other factors the Secretary considers relevant. (42 U.S.C. 6295(o)(2)(B)(i)(I)-(VII))

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

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

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

Id.

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

Id.

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

Federal energy efficiency requirements generally supersede State laws or regulations concerning energy conservation testing, labeling, and standards. (42 U.S.C. 6297(a)-(c)) DOE can, however, grant waivers of Federal preemption for particular State laws or regulations, in accordance with the procedures and other provisions of section 327(d) of the Act. (42 U.S.C. 6297(d))

C. Background

1. Current Standards

EPCA prescribes the energy conservation standards that are currently applicable to specified types of GSFL and IRL. More specifically, the standards set efficacy levels and color rendering index (CRI) levels for certain GSFL, and efficacy standards for certain IRL. (42 U.S.C. 6295(i)(1); 10 CFR 430.32(n)) These statutory standard levels are set forth in Table II.1 and Table II.2 below.

Table II.1—EPCA Standard Levels for GSFL

Lamp type

Nominal lamp wattage

Minimum CRI

Minimum

average

efficacy

lm/W

4-Foot Medium Bipin

> 35W

75.0

≤ 35W

75.0

2-Foot U-Shaped

> 35W

68.0

≤ 35W

64.0

8-Foot Slimline

> 65W

80.0

≤ 65W

80.0

8-Foot High Output

> 100W

80.0

≤ 100W

80.0

Table II.2—EPCA Standard Levels for IRL

Wattage

Min. avg.

efficacy

lm/W

40-50

10.5

51-66

11.0

67-85

12.5

86-115

14.0

116-155

14.5

156-205

15.0

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

As stated above, EPCA established energy conservation standards for certain types of GSFL and IRL. (42 U.S.C. 6295(i)(1)) EPCA also requires that DOE conduct two cycles of rulemakings to determine whether to amend these standards, and that DOE initiate a rulemaking to determine whether to adopt standards for additional types of GSFL. (42 U.S.C. 6295(i)(3)-(5)) This rulemaking addresses both the amendment of existing GSFL and IRL standards, and the adoption of standards for additional GSFL.

DOE initiated this rulemaking on May 31, 2006, by publishing on its Web site its “Rulemaking Framework Document for General Service Fluorescent Lamps, Incandescent Reflector Lamps, and General Service Incandescent Lamps.”

DOE also published a notice in the

Federal Register

announcing the availability of the framework document

and a public meeting on the document, which requested public comments on the matters raised in the framework document. 71 FR 30834 (May 31, 2006). The framework document described the procedural and analytical approaches that DOE anticipated using to evaluate energy conservation standards for the products covered by this rulemaking, and it identified various issues to be resolved in conducting the rulemaking.

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.

DOE held the public meeting on June 15, 2006, to present the framework document, describe the analyses it planned to conduct during the rulemaking, seek comments from stakeholders on these subjects, and inform stakeholders about and facilitate their involvement in the rulemaking. At the public meeting and during the comment period, DOE received many comments that both addressed issues raised in the framework document and identified additional issues relevant to this rulemaking.

As the title of the framework document indicates, DOE initially included general service incandescent lamps (GSIL) in this rulemaking. This was done to address the requirement then present in section 325(i)(5) of EPCA that DOE consider energy conservation standards for additional GSIL. (42 U.S.C. 6295(i)(5)) However, section 321(a)(3)(A)(iii) of the Energy Independence and Security Act of 2007,

(EISA 2007) amended EPCA to remove this requirement, thereby eliminating DOE's authority to regulate additional GSIL. Instead, section 321(a)(3)(A)(ii) of EISA 2007 amended EPCA to prescribe energy conservation standards for GSIL. Therefore, this rulemaking no longer addresses GSIL.

Pub. L. 110-140 (enacted Dec. 19, 2007).

DOE issued the ANOPR for this rulemaking on February 21, 2008 and published it in the

Federal Register

on March 13, 2008. 73 FR 13620. On February 22, 2008, DOE posted the ANOPR, as well as the complete ANOPR technical support document (TSD), on its Web site.

The TSD includes the results of the following DOE preliminary analyses: (1) Market and technology assessment; (2) screening analysis; (3) engineering analysis; (4) energy use characterization; (5) product price determinations; (6) life-cycle cost (LCC) and pay back period (PBP) analyses; (7) shipments analysis; and (8) national impact analysis (NIA).

PDF copies of the ANOPR and ANOPR TSD published in March 2008 are available at:

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

In the March 2008 ANOPR, DOE invited comment in particular on the following issues: (1) Consideration of additional GSFL; (2) amended definitions; (3) product classes; (4) scaling to product classes not analyzed; (5) screening of design options; (6) lamp operating hours; (7) energy consumption of GSFL; (8) LCC calculation; (9) installation costs; (10) base-case market-share matrices; (11) shipment forecasts; (12) base-case and standards-case forecasted efficiencies; (13) trial standard levels; and (14) period for lamp production equipment conversion. 73 FR 13620, 13686-88 (March 13, 2008).

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

e.g.

, LCC and national energy savings (NES) spreadsheets) DOE was using to analyze the impacts of energy conservation standards for GSFL and IRL. DOE held a public meeting in Washington, DC, on March 10, 2008, to present the methodologies and results for the March 2008 ANOPR analyses. At this meeting, stakeholders recommended that DOE revise certain analyses in the energy conservation standard ANOPR and the scope of covered products. DOE later received written comments from the National Electrical Manufacturers Association (NEMA). In addition, DOE received a joint comment from several stakeholders. The Joint Comment was submitted by the American Council for an Energy Efficient Economy (ACEEE), Alliance to Save Energy (ASE), Appliance Standards Awareness Project (ASAP), National Consumer Law Center, National Grid, Natural Resources Defense Council (NRDC), Northeast Energy Efficiency Partnerships (NEEP), Northwest Power and Conservation Council (NPCC), Pacific Gas and Electric Company (PG&E), and Vermont Energy Investment Corporation. The comments received since publication of the March 2008 ANOPR and during the March 10, 2008 public meeting have contributed to DOE's proposed resolution of the issues in this rulemaking. This NOPR quotes, summarizes, and responds to the issues raised in these public comments. (A parenthetical reference at the end of a quotation or paraphrase provides the location of the item in the public record.)

Subsequent to the public meeting and at NEMA's request, DOE and NEMA met on June 26, 2008 to discuss appropriate lumens per watt (lm/W) standards for high correlated color temperature (CCT) fluorescent lamps. (DOE, No. 27)

NEMA subsequently submitted a written comment documenting its presentation at this meeting (hereafter the “June 2008 NEMA meeting”). (NEMA, No. 26) Topics covered at this meeting included the expected market share of high-CCT fluorescent lamps, appropriate efficacy standard scaling factors for GSFL with a CCT greater than 4,500K but less than or equal to 7,000K, and coverage of GSFL with a CCT greater than 7,000K. See sections III.C.2, V.A.1.c, and V.C.7.a.i of this notice for a more detailed discussion of NEMA's comments at this meeting, as well as DOE's responses.

A notation in the form “DOE, No. 27 ” identifies a written comment that DOE has received and has included in the docket of this rulemaking or a written docket submission. This particular notation refers to a comment: (1) Submitted by DOE; and (2) in document number 27 in the docket of this rulemaking.

III. Issues Affecting the Scope of This Rulemaking

A. Additional General Service Fluorescent Lamps for Which DOE Is Proposing Standards

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

As discussed above, EPCA established energy conservation standards for certain general service fluorescent lamps, (42 U.S.C. 6295(i)(1)) and directed the Secretary to “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]. * * *” (42 U.S.C. 6295(i)(5)) Thus, DOE must consider whether to adopt energy efficacy standards for additional GSFL beyond those already covered by the statutorily-prescribed standards.

The March 2008 ANOPR notes that a wide variety of GSFL are not currently covered by energy conservation standards, and they are potential candidates for coverage under 42 U.S.C. 6295(i)(5). 73 FR 13620, 13628-29 (March 13, 2008). However, the requirement that DOE consider additional GSFL appears to conflict with EPCA's definitions of key terms, which it might be argued would preclude coverage of additional GSFL. As explained below, DOE has carefully considered these statutory provisions and is interpreting them in a manner so as to give effect to the requirement to consider additional GSFL.

Specifically, the conflict is centered on the statutory definition of “general service fluorescent lamp.” As set forth above and repeated here for purposes of this discussion, “general service fluorescent lamp” is defined in 42

U.S.C. 6291(30)(B) to mean: “fluorescent lamps which can be used to satisfy the majority of fluorescent lamp applications, but does not include any lamp designed and marketed for the following nongeneral lighting applications: [list of eight exclusions not relevant to the present issue].”

As such, the term “general service fluorescent lamp” appears to be defined by reference to the term “fluorescent lamp,” which is also defined under the statute as follows: “Except as provided in subparagraph (E), the term `fluorescent lamp' means a low pressure mercury electric-discharge source in which a fluorescing coating transforms some of the ultraviolet energy generated by the mercury discharge into light, including only the following: (i) Any straight-shaped lamp (commonly referred to as 4-foot medium bi-pin lamps) with medium bi-pin bases of nominal overall length of 48 inches and rated wattage of 28 or more. (ii) Any U-shaped lamp (commonly referred to as 2-foot U-shaped lamps) with medium bi-pin bases of nominal overall length between 22 and 25 inches and rated wattage of 28 or more. (iii) Any rapid start lamp (commonly referred to as 8-foot high output lamps) with recessed double contact bases of nominal overall length of 96 inches and 0.800 nominal amperes, as defined in ANSI C78.1-1978 and related supplements. (iv) Any instant start lamp (commonly referred to as 8-foot slimline lamps) with single pin bases of nominal overall length of 96 inches and rated wattage of 52 or more, as defined in ANSI C78.3-1978 (R1984) and related supplement ANSI C78.3a-1985.” 42 U.S.C. 6291(30)(A) (Emphasis added).

The term “fluorescent lamp” is, by its terms, limited to four enumerated types of lamps. Further, the four types of lamps set forth in the definition of “fluorescent lamp” have corresponding energy conservation standards prescribed under the statute at 42 U.S.C. 6295(i)(1)(B). Given that the statutory definition of “fluorescent lamp” is limited to four specified types of lamps and that the statute prescribes standards for those four lamps, it is not possible to give effect to the congressional directive to consider establishing standards for additional GSFL if the term “general service fluorescent lamp” is limited by the definition of “fluorescent lamp.”

Given this identified conflict, DOE has determined that there is an inherent ambiguity in the statute in terms of how these provisions are to be implemented. In order to move forward with this standards rulemaking, DOE must resolve this legal conundrum.

Although there is no legislative history to clarify this point, there are a number of reasons to believe that Congress did not intend to strictly limit consideration of “additional” GSFL. First, Congress adopted both the relevant statutory definitions and the “additional” lamps requirement as part of Energy Policy Act of 1992 (EPACT 1992; Pub. L. 102-486). DOE does not believe Congress would intentionally insert a legislative provision that, when read in conjunction with a simultaneously added provision, amounts to a nullity. Second, reading the definition to preclude consideration of additional GSFL would run counter to the energy-saving purposes of EPCA. It is reasonable to assume that Congress would not have intended to limit energy conservation standards to only those technologies available in 1992, but would instead cast a broader net that would achieve energy efficiency improvements in lighting products incorporating newer technologies.

Consequently, DOE interprets these statutory provisions such that, in defining “general service fluorescent lamp,” Congress intended to incorporate the term “fluorescent lamp” in a broader, more generic sense. DOE understands that the industry routinely refers to “fluorescent lamps” as including products in addition to the four enumerated in the statutory definition of that term. In fact, in the March 2008 ANOPR, DOE presented its plan for including additional GSFL for coverage, and did not receive adverse comment. Thus, DOE has determined to read the statutory definition of “general service fluorescent lamp” in this broader context.

For these reasons, and for the additional reasons set forth in the March 2008 ANOPR,

DOE views “additional” GSFL, as that term is used in 42 U.S.C. 6295(i)(5), as lamps that: (1) Meet the technical portion of the statutory definition of “fluorescent lamp” (

i.e.

, a low-pressure mercury electric-discharge source in which a fluorescing coating transforms some of the ultraviolet energy generated by the mercury discharge into light) (42 U.S.C. 6291(30)(A)) without restriction to the four specified lamp types in that definition; (2) can be used to satisfy the majority of fluorescent lighting applications (42 U.S.C. 6291(30)(B)); (3) are not within the exclusions from the definition of GSFL specified in 42 U.S.C. 6291(30)(B); and (4) are ones for which EPCA does not prescribe standards. Such an interpretation does not alter the existing statutory provision or standards for “fluorescent lamps,” but it does permit DOE to give effect to section 6295(i)(5) of EPCA by expanding the universe of GSFL open to potential regulation. The scope of coverage reflected in this NOPR is in keeping with the interpretation outlined above.

73 FR 13620, 13629 (March 13, 2008).

2. Identification of the Additional Lamps for Which DOE Proposes Standards

As set forth more fully in the March 2008 ANOPR, DOE took the following three steps in terms of identifying additional GSFL for which standard setting might be appropriate. DOE first conducted a comprehensive review of the fluorescent lighting market in order to identify particular types of lamps that meet the four criteria above to determine the additional GSFL for which DOE would consider adopting standards. Second, DOE examined each lamp type to determine potential energy savings that energy conservation standards would bring for that lamp. Third, DOE further evaluated selected lamps to determine if such standards would be technologically feasible and economically justified. In carrying out these steps before issuance of the March 2008 ANOPR, DOE considered comments on these issues that it had received previously. 73 FR 13620, 13629-30 (March 13, 2008).

In implementing the first of these three steps, DOE identified the following categories of GSFL as meeting the four criteria for consideration as “additional” GSFL under 42 U.S.C. 6295(i)(5):

• 4-foot, medium bipin (MBP), straight-shaped lamps, rated wattage of < 28W;

• 2-foot, medium bipin, U-shaped lamps, rated wattage of < 28W;

• 8-foot, recessed double contact (RDC), rapid start, high output (HO) lamps not defined in ANSI Standard C78.1-1991

or with current other than 0.800 nominal amperes;

Titled “for Fluorescent Lamps—Rapid-Start Types—Dimensional and Electrical Characteristics.”

• 8-foot single pin (SP), instant start, slimline lamps with a rated wattage ≥ 52, not defined in ANSI Standard C78.3-1991

;

Titled “for Fluorescent Lamps—Instant-Start and Cold-Cathode Types—Dimensional and Electrical Characteristics.”

• Very high output (VHO) straight-shaped lamps;

• T5

miniature bipin (MiniBP) straight-shaped lamps;

T5, T8, T10, and T12 are nomenclature used to refer to tubular fluorescent lamps with diameters of 0.625, 1, 1.25, and 1.5 inches, respectively.

• 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 compact fluorescent lamps (CFL)).

73 FR 13620, 13630 (March 13, 2008).

DOE then assessed the potential energy savings of standards for these GSFL (second step) and whether candidate standards for those GSFL would be technologically feasible and economically justified (third step), in order to determine which GSFL to analyze in depth regarding whether, and at what levels, standards would be warranted under the EPCA criteria in 42 U.S.C. 6295(o). DOE's analytical process related to these additional GSFL categories is discussed generally below.

In a review of 4-foot medium bipin lamps, DOE found that the current market lacked any products with a rated wattage below 25W. Therefore, in the March 2008 ANOPR, DOE preliminarily decided not to extend coverage to 4-foot medium bipin lamps below 25W. In the following section, DOE discusses its consideration in the March 2008 ANOPR of possibly regulating lamps with rated wattages less than 28W and greater than or equal to 25W.

Similar to the 4-foot medium bipin lamps, in the March 2008 ANOPR, DOE investigated the potential for regulating 2-foot U-shaped lamps less than 28W. A review of available manufacturer catalogs found no commercially-available products in that category. Therefore, DOE concluded that lowering the minimum wattage threshold of 2-foot U-shaped lamps would likely not result in substantial energy savings and preliminarily decided not to expand coverage to these lamps.

DOE also considered whether to expand coverage to include VHO fluorescent lamps. While VHO lamps consume large amounts of energy, they are commonly used in outdoor applications where high-intensity discharge (HID) lamps are rapidly gaining market share. Further research indicated that shipments of VHO T12 lamps are declining rapidly. Although individually these products have greater per-lamp energy savings than high output or standard output lamps, the total energy savings resulting from regulation would be small and would be expected to decrease over time as these lamps disappear from the market. Therefore, DOE preliminarily decided not to extend coverage to VHO lamps.

In the March 2008 ANOPR, DOE also preliminarily decided not to expand coverage to T5 fluorescent lamps. DOE's initial analysis showed that T5 lamps currently have a relatively small share of the GSFL market, and, therefore, have limited potential to contribute to total energy savings. Although T5 lamps can serve as a substitute for T8 or T12 lamps, DOE found that T5 lamps tend to have higher efficacy. Research showed that the highest efficacy 32W 4-foot medium bipin T8 lamp is 95 lm/W, compared to 104 lm/W for a standard output 4-foot miniature bipin T5 lamps. Thus, DOE stated 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

Lastly, DOE preliminarily decided not to extend coverage to fluorescent lamps that had alternate lengths, diameters, bases, or shapes (or a combination thereof) than the lamps specifically mentioned. DOE reasoned that the products it had already selected for coverage represented the significant majority of the GSFL market, and, thus, the bulk of the potential energy savings. Furthermore, DOE tentatively concluded there was limited potential for lamps with miscellaneous lengths and bases to grow in market share, given the constraint of fixture lengths and socket compatibility.

After eliminating the lamps aforementioned lamps from further consideration for the reasons cited above, DOE was left with the following additional GSFL to consider evaluating in depth for potential standards:

• 4-foot, medium bipin lamps with wattages ≥ 25 and < 28;

• 8-foot, recessed double contact (RDC), rapid start, high output (HO) lamps not defined in ANSI Standard C78.1-1991 or with current other than 0.800 nominal amperes;

• 8-foot single pin (SP), instant start, slimline lamps with a rated wattage ≥ 52, not defined in ANSI Standard C78.3-1991;

73 FR 13620, 13632 (March 13, 2008).

As mentioned in the March 2008 ANOPR, DOE explored extending coverage to 4-foot medium bipin lamps with wattages less than 28W. A product review found that manufacturers marketed and sold 25W 4-foot medium bipin T8 fluorescent lamps as replacements for higher wattage 4-foot medium bipin T8 fluorescent lamps. Thus, DOE concluded that lowering the minimum wattage threshold to include these lamps would mitigate the risk of 25W lamps becoming a loophole and would maximize potential energy savings. In addition, as the technology and incremental costs associated with increased efficacy of 25W lamps are similar to their already regulated 28W counterparts, DOE tentatively concluded that standards for these lamps would be technologically feasible and economically justified.

In the March 2008 ANOPR, DOE also preliminarily decided to extend coverage to 8-foot recessed double contact, rapid start, HO lamps not defined in ANSI Standard C78.1-1991. Due to the ampere specification in the definition, the statutory standards covered 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). Since the T8 8-foot lamps serve as substitutes for their T12 counterparts, DOE risked losing potential energy savings unless such lamps are also covered by energy conservation standards. Consequently, DOE preliminarily extended coverage to T8, 8-foot recessed double contact HO lamps, thereby adding lamps previously restricted by the 0.800 nominal ampere limitation in the definition of “general service fluorescent lamp.”

Furthermore, DOE planned to expand coverage to 8-foot recessed double contact, rapid start, high output fluorescent lamps not listed in ANSI Standard C78.1-1991. DOE made this decision because the ANSI standards referenced in DOE regulations were outdated.

As new lamps are introduced to the market, it is likely they would not be covered by the 1991 ANSI standard and potentially even the currently most up-to-date standard. Any of these lamps could serve as substitutes for regulated lamps. To maximize energy savings from these standards, DOE extended coverage to 8-foot recessed double contact, rapid start, high output fluorescent lamps not listed in ANSI Standard C78.1-1991.

ANSI Standard C78.1-1991 has been updated and replaced by ANSI Standard C78.81-2005, “for Electric Lamps—Double Capped Fluorescent Lamps—Electrical and Dimensional Characteristics.”

Because the technologies of T8, 8-foot recessed double contact HO lamps and the 8-foot recessed double contact HO lamps not listed in the ANSI Standard C78.1-1991 were similar to the technologies of their already-regulated T12 counterparts, DOE tentatively concluded that standards for these lamps would meet the statutory criterion of technological feasibility. Preliminary analysis of these lamps in the LCC and NIA demonstrated substantial economic savings. Therefore, DOE tentatively concluded that energy conservation standards for these lamps would be expected to be economically justified.

Similar to 8-foot recessed double contact HO lamps, in the March 2008 ANOPR, DOE considered extending coverage to 8-foot, single pin, instant start, slimline lamps not included in ANSI Standard C78.3-1991 (which includes T8 lamps as well). DOE's preliminary analysis indicated that regulation of these lamps has the potential to achieve substantial energy savings. Therefore, DOE preliminarily decided to expand the scope of energy conservation standard coverage to 8-foot single pin slimline lamps with a rated wattage greater than or equal to 52W not listed in ANSI Standard C78.3-1991. Since 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 counterparts, DOE tentatively concluded that standards for these lamps would be expected to meet the statutory criterion of technological feasibility. Analyses in the LCC and NIA confirmed the potential for substantial economic savings associated with regulation of these lamp types. As a result, in the March 2008 ANOPR, DOE tentatively concluded that energy conservation standards for these lamps would be economically justified.

During and after the public meeting, DOE received numerous verbal and written comments regarding the lamps included in or excluded from coverage in the March 2008 ANOPR. As a general matter, commenters supported DOE's approach for consideration of additional GSFL for coverage by energy conservation standards. However, commenters urged DOE to consider changes in its approach in two areas, specifically coverage of T5 lamps and extension of lamp wattage ranges. Sections III.A.2.a and III.A.2.b of this notice immediately below discuss the submitted comments and DOE's responses.

a. Coverage of T5 Lamps

At the March 2008 ANOPR public meeting, NEMA announced that it was considering supporting coverage of T5 lamps to prevent the introduction of less-efficient T5 lamps into the market, particularly those containing halophosphors. (Public Meeting Transcript, No. 21 at pp. 71-72)

ACEEE likewise suggested that DOE should analyze opportunities involving regulation of T5 lamps. (Public Meeting Transcript, No. 21 at p. 73) In its written comments, NEMA stated that it would not oppose covering newer T5 fluorescent lamp technology (

e.g.

, 28W 4-foot T5 lamps), but would not recommend covering older technology (

i.e

., T5 preheat fluorescent lamps). (NEMA, No. 22 at p. 3) In addition, the Joint Comment stated that DOE should extend coverage to T5 lamps. These organizations argued that if only T8 and T12 lamps are covered by the standard, it could possibly spur market introduction of less-efficient halophosphor T5 lamps with a lower first cost. Such a development would increase the overall market share of T5 lamps and decrease the potential energy savings associated with this rulemaking. (Joint Comment, No. 23 at pp. 2-5)

A notation in the form “Public Meeting Transcript, No. 21 at pp. 71-72” identifies a written comment that DOE has received and has included in the docket of this rulemaking. This particular notation refers to a comment: (1) Submitted during the public meeting on March 10-11, 2008; (2) in document number 21 in the docket of this rulemaking; and (3) appearing on pages 71 through 72 of the transcript.

DOE agrees with these comments. While most T5 lamps are currently more efficient than the T8 and T12 lamps for which they can be substituted, excluding them from energy conservation standards could provide an incentive for less-efficient T5 lamps to enter the market. Such trend would result in increased market share of less-efficient products, thereby creating the potential for significant energy savings losses unless these lamps are regulated. Because this potential substitution effect is a primary criterion which DOE uses to determine coverage for additional GSFL, DOE is proposing in this NOPR to extend coverage to T5 miniature bipin lamps.

DOE researched the market and product availability of T5 lamps and found they exist in a variety of lengths and wattages. Standard T5 lamps include wattages ranging from 14W to 80W, and lengths ranging from nominally 2 feet to 6 feet. DOE's research indicates that the primary driver of T5 market share growth is substitution for currently regulated 4-foot MBP lamps. Therefore, DOE proposes to cover only the nominally 4-foot lengths of T5 miniature bipin lamps. DOE believes that alternate lengths of T5 lamps are not likely to gain significant market share as they are not easily substitutable for 4-foot MBP systems which represent the majority of the total fluorescent market. In addition, interviews with manufacturers and a review of product literature indicate that standard-output (approximately 28W) and high-output (approximately 54W) lamps are the highest volume T5 miniature bipin lamps. In addition to the full-wattage versions of these lamps, DOE has found that reduced-wattage versions of the standard- and high-output T5 lamp (26W and 51W respectively) are available. Therefore, in this NOPR, DOE proposes to extend coverage to 4-foot nominal, straight-shaped, T5 miniature bipin standard output lamps with rated wattages ≥ 26W and to 4-foot nominal, straight-shaped, T5 miniature bipin high output lamps with rated wattages ≥ 51W, as they present the greatest potential for energy savings. DOE estimates potential energy savings from these lamps of up to 2.05 quads over the analysis period (2012 to 2042). Because higher-efficacy versions of some of these lamps are already present in the market, DOE tentatively concludes that standards for these lamps are technologically feasible.

Based on DOE's LCC and NIA analyses, coverage of the T5 lamps discussed above would be economically justified. These analyses show that T5 lamp coverage has the potential to achieve on average $47.03 per standard-output lamp system and $56.60 per high-output lamp system in LCC savings. In addition, DOE's NIA indicates that regulating these lamps could result in an NPV of up to $6.84 billion to the Nation (discounted at 3 percent). See section VI.B.1.a.i and section VI.B.3 of this document and chapters 8 and 11 of the TSD for more details on these results.

b. Extension of Lamp Wattage Ranges

Regarding fluorescent lamp coverage, the Joint Comment suggested that DOE should extend wattage ranges to cover lower-wattage products. (Joint Comment, No. 23 at p. 4) In relevant part, section 123 of EPACT 1992 amended EPCA to establish standards for 4-foot medium bipin lamps of 28W or more. The Joint Comment notes that since that law took effect, “new products continue to be introduced, and there is an incentive to circumvent standards by producing lamps just outside of the watt range (e.g. the current 25W residential lamp).”

Id.

NEMA commented that while current standards cover 2-foot U-shaped medium bipin lamps greater than or equal to 28W, new products have been introduced at 25W. (Public Meeting Transcript, No. 21 at p. 73) To prevent this trend from continuing, the Joint Comment recommended substantially lowering watt ranges for GSFL product classes to protect the energy savings that would be accomplished by this rule. If niche products exist in the new range, the Joint Comment expressed a preference for using narrowly drawn exemptions rather than limiting the covered watt range. (Joint Comment, No. 23 at p. 4)

DOE agrees with the Joint Comment regarding the appropriateness of extending wattage ranges when commercially-available products exist. As discussed in the March 2008 ANOPR, DOE proposed to extend coverage to 4-foot medium bipin fluorescent lamps with wattages between 25W and 28W. DOE discovered these lamps were being marketed as substitutes for currently regulated lamps subject to the current and amended standards (proposed in this NOPR) on 4-foot medium bipin lamps. Therefore, consistent with that approach, in this NOPR, DOE proposes to extend coverage to 2-foot U-shaped lamps with wattages greater than 25W.

The Joint Comment expressed concern that substitutable products outside the range of covered wattages will emerge in other product classes. It suggested a proactive approach of lowering the watt ranges even further, although no products may currently exist in that range. (Joint Comment, No. 23 at p. 4) While DOE understands the Joint Comment's concern, DOE disagrees with this approach. DOE is required to consider energy conservation standards that are technologically feasible. If a lower wattage lamp does not yet exist, DOE cannot confirm that it would be technologically feasible or economically justified for such a lamp to meet a set energy conservation standard. In addition, lower wattage lamps may provide different lumen outputs, and thereby different utility. Therefore, if DOE were to include these lamps in its coverage without determining if the set energy conservation standard is technologically feasible, DOE could be reducing the utility of covered product or precluding its development entirely. Further, DOE encourages the introduction of lamps at lower wattages. Thus, DOE will only propose to extend wattage ranges for 4-foot medium bipin lamps and 2-foot medium bipin U-shaped lamps to the extent specified in this NOPR.

3. Summary GSFL Lamps to Which DOE Proposes To Extend Coverage

With the exception of the above-discussed comments, DOE received no other input related to coverage of GSFL. In addition, DOE's revised analyses indicate that energy conservation standards for the lamps which DOE preliminarily decided to extend coverage in the March 2008 ANOPR are still expected to be technologically feasible, economically justified, and would result in significant energy savings. Therefore, in summary, DOE is proposing to cover the following additional GSFL:

• 2-foot, medium bipin U-shaped lamps with a rated wattage ≥ 25 and less than < 28;

• 4-foot, medium bipin lamps with a rated wattage ≥ 25 and less than 28;

• 4-foot T5, miniature bipin, straight-shaped, standard output lamps with rated wattage ≥ 26;

• 4-foot T5, miniature bipin, straight-shaped, high output lamps with rated wattage ≥ 51;

• 8-foot recessed double contact, rapid start, HO lamps other than those 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.

B. Exempted Incandescent Reflector Lamps

Section 322(a)(1) of EISA 2007 amended section 321(30)(C)(ii) of EPCA to expand the portion of the definition of “incandescent lamp” applicable to incandescent reflector lamps to include lamps with a diameter between 2.25 and 2.75 inches, as well as ER, BR, BPAR, or similar bulb shapes. (42 U.S.C. 6291(30)(C)(ii)) Furthermore, section 322(b) of EISA 2007 incorporates several new exemptions to the IRL standards in the new section 325(i)(1)(C) of EPCA. (42 U.S.C. 6295(i)(1)(C)) These exemptions are as follows: (1) Lamps rated 50 watts or less that are ER30, BR30, BR40, or ER40; (2) lamps rated 65 watts that are BR30, BR40, or ER40 lamps; and (3) R20 incandescent reflector lamps rated 45 watts or less.

At the ANOPR stage, DOE concluded that it does not have the authority to set standards for these lamps, for the following reasons. Although Congress included ER, BR, and small-diameter (less than 2.75 inches) lamps in the definition of an “incandescent lamp,” it specifically exempted certain wattages and diameters from the prescribed efficacy standards, thereby indicating Congress's intent not to set standards for those products. Furthermore, DOE's reading of 42 U.S.C. 6295(i)(3), which directs DOE to amend the standards in paragraph (1), led it to believe that DOE's authority to amend the standards does not include the authority to amend the exemptions. Specifically, under 42 U.S.C. 6295(i)(1)(C), “Exemptions,” the statute refers to “the standards specified in subparagraph (B),” whose title is “Minimum Standards.” Therefore, in amending the standards in paragraph (1), under 42 U.S.C. 6295(i)(3), DOE reasoned that it had the authority to change the efficacy values but not the exemptions. Accordingly, DOE conducted its ANOPR analyses under the premise that it could not extend coverage to these statutorily-exempted products.

The Joint Comment argued that by covering these products in EISA 2007, Congress effectively brought them into the Federal standards program and, thus, granted DOE the authority to regulate them. The Joint Comment recommended extending coverage to 65-watt ER and BR lamps. In addition, it encouraged DOE to evaluate standards for ER and BR lamps less than 65 watts and for R20 lamps less than 45 watts. The Joint Comment further contended that by failing to extend coverage to these lamps, DOE is not meeting its obligation to maximize energy savings. The Joint Comment argued that the exempted lamps represent a large, growing market share and are a substitute for products that DOE plans to regulate. The Joint Comment stated that because 65-watt BR lamps represent a low-cost, low-efficacy alternative to the more-efficient products covered by the standards, continued exemptions could decrease the potentially significant energy savings associated with the present rulemaking. (Joint Comment, No. 23 at p. 12-14)

Accompanying the Joint Comment were two legal memoranda from the National Consumer Law Center (NCLC), maintaining that not only does DOE have the authority to regulate ER and BR lamps, but that DOE is obligated to regulate them. NCLC pointed out that with the passage of EISA 2007, Congress included BR and ER lamps that have a “rated wattage that is 40 watts or higher” within the definition of “incandescent lamp” [EISA 2007, section 322(a), amending 42 U.S.C. 6291(30)(C)] and, thus, included these BR and ER lamps as covered products under 42 U.S.C. 6291(2) and 6292(a)(14). NCLC further contended that the only explanation for Congress adding ER and BR lamps to the definition was to include them among the covered products. (Joint Comment, No. 23 at p. 27) NCLC cited the rulemaking for microwave and electric ovens as an example of a rulemaking in which DOE is considering applying standards to products for which no prescriptive efficiency standards exist. (Joint Comment, No. 23 at p. 28)

Through the initial drafting of this NOPR, DOE adhered to its earlier conclusion that it lacked authority to consider standards for ER, BR, and small-diameter lamps that had been

specifically exempted by Congress. However, after carefully considering the testimony of the February 3, 2009 NOPR public meeting and reexamining the ANOPR public comments on this issue, DOE reexamined its authority under EPCA to amend standards for ER, BR, and small-diameter lamps and has concluded that its earlier view may have been in error. DOE is further considering if it has authority to consider energy conservation standards for ER, BR, and small-diameter lamps for the reasons that follow.

DOE agrees with the Joint Comment, that prior to enactment of EISA 2007 on December 19, 2007, ER, BR, and small-diameter lamps were by definition excluded from coverage under EPCA; however, once EISA 2007 amended the definition of “incandescent lamp,” ER, BR, and small-diameter lamps become products by the new definition. (Joint Comment, No. 23 at p. 27) Congress proceeded to expressly exempt certain types of ER, BR, and small-diameter lamps from the statutorily-set IRL standards established by EISA 2007. However, given that these expressly exempted lamp types constitute the overwhelming majority of the ER, BR, and small-diameter lamps market, DOE's original construction of the relevant statutory provisions (as expressed in the ANOPR) would have the effect of once again moving most ER, BR, and small-diameter lamps beyond the reach of energy conservation standards. Accordingly, DOE is reconsidering whether, under 42 U.S.C 6295(i)(3), the directive to amend the standards in paragraph (1) encompasses both the statutory levels and the exemptions to those standards.

As a practical matter, if DOE does conclude that it has authority to establish standards for ER, BR, and small-diameter lamps, it cannot consider such lamps as part of the present rulemaking because it has not conducted the requisite analyses to propose appropriate standard levels. At the same time, DOE does not wish to delay the present rulemaking (and the accompanying energy savings to the Nation) for the sole reason of considering this subset of ER, BR, and small-diameter lamps. The analyses to consider standards for ER, BR, and small-diameter lamps are severable from the analyses underlying the present rulemaking, so separate treatment would not impact the outcomes for any of the lamp types under consideration in this NOPR. Therefore, DOE has decided to proceed with setting energy conservation standards for the lamps that are the subject of the present rulemaking and to commence a separate rulemaking for ER, BR, and small-diameter lamps. DOE believes that much of the analytical work for the current rulemaking will benefit the ER, BR, and small diameter lamps rulemaking, thereby permitting issuance of a new NOPR and final rule on an accelerated basis, if it determined that it has the authority to do so.

For the purposes of the present NOPR, however, DOE notes that the balance of this notice (analyses and related discussions) assumes that the exempted ER, BR, and small-diameter lamps remain unregulated by energy conservation standards. DOE acknowledges that while such an assumption has no impact on the engineering and life-cycle cost analyses, the regulation of these exempted IRL may affect the future shipment of IRL and thereby the national impact and other downstream analyses. However, DOE believes that its analysis of multiple shipment scenarios (as discussed in section V.E.5) captures the broad range of possible impacts were these exempted lamps to be regulated in the future. Therefore DOE's assumption does not impact the standards proposed in this rulemaking or DOE's reconsideration of its authority, nor does it otherwise constrain DOE's ability to conduct further analyses in a separate rulemaking.

C. Amended Definitions

To clarify the scope of EPCA's coverage of GSFL, IRL, and the recently adopted standards for GSIL, DOE proposes to revise its existing definitions of “rated wattage” and “colored fluorescent lamp.” These definitional changes are discussed below.

1. “Rated Wattage”

One element of EPCA's definitions for “fluorescent lamp” and “incandescent reflector lamp” is a lamp's rated wattage, which helps delineate the lamps for which the statute sets standards. (42 U.S.C. 6291(30)(A), (C)(ii) and (F), and 6295(i)). In addition, section 321(a)(3) of EISA 2007 amended EPCA to prescribe energy conservation standards for GSIL, requiring lamps of particular lumen outputs to have certain maximum rated wattages. (42 U.S.C. 6295(i)) However, EPCA does not define the term “rated wattage.”

DOE has defined “rated wattage” in its regulations, but only for 4-foot medium bipin T8, T10, and T12 fluorescent lamps. 10 CFR 430.2. This definition references ANSI Standard C78.1-1991, “for Fluorescent Lamps—Rapid-Start Types—Dimensional and Electrical Characteristics.”

Id.

Although EPCA also uses the term “rated wattage” to delineate 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 IRL (42 U.S.C. 6291(30)(C)), DOE has not defined “rated wattage” for these lamps. In the March 2008 ANOPR, DOE considered revising and updating the definition of “rated wattage” to cite the current version of ANSI Standard C78.1-1991, clarify and improve the definition, and apply the revised definition to those lamps for which rated wattage is a key characteristic but is not currently defined by DOE. In response to the March 2008 ANOPR, DOE received one comment regarding the definition of “rated wattage.” NEMA commented that it agrees with DOE's revised definition. (NEMA, No. 22 at p. 4).

Therefore, DOE proposes the following definition for “rated wattage”:

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.

2. “Colored Fluorescent Lamp”

Colored fluorescent lamps

are excluded from EPCA's definition of “general service fluorescent lamp.” (42 U.S.C. 6291 (30)(B)(iii)) However, EPCA does not define the term “colored fluorescent lamp.” In order to fully define the scope of EPCA's definition of GSFL, DOE currently defines “colored fluorescent lamp” 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 (10 CFR 430.3), or a correlated color temperature less than 2,500K or greater than 6,600K.

10 CFR 430.2. Because these lamps are not GSFL under EPCA, they are not covered by the standards applicable to GSFL.

The central element of EPCA's definition of “general service fluorescent lamp” is that they are fluorescent lamps “which can be used to satisfy the majority of lighting applications.” (42 U.S.C. 6291(30)(B)) The exclusions, such as the one for colored lamps, are for lamps designed and marketed for “non-general lighting applications.”

Id.

As detailed in the March 2008 ANOPR, DOE became aware of a lamp on the European market that meets the above definition of “colored fluorescent lamp” and that is intended for general illumination applications. 73 FR 13620, 13634 (March 13, 2008). Although DOE is unaware of any similar general purpose fluorescent lamps being introduced into the U.S. market, the availability of the European lamp demonstrates the potential for DOE's definition of “colored fluorescent lamp” to exclude new products with general service applications from the definition of “general service fluorescent lamp,” and thereby from the coverage of standards applicable to GSFL. For this reason, in the March 2008 ANOPR, DOE proposed to revise its definition of “colored fluorescent lamp” by adding the following phrase after the words “colored lamp”: “and not designed or marketed for general illumination applications.”

Id.

In submitted written comments on the ANOPR, NEMA agreed with the proposed revised definition of “colored fluorescent lamp,” while noting that DOE will need to give additional consideration to general illumination fluorescent lamps with higher color temperatures. NEMA cited an example of a lamp with a CCT of 8,000K that could be used for both general illumination and specialty applications (NEMA, No. 22 at p. 9). NEMA requested a meeting to discuss this matter in greater detail, since it was performing research related to this topic. (DOE, No. 27) This meeting is subsequently discussed in section II.C.2 of this NOPR.

At the June 2008 NEMA meeting and in its written comments, NEMA recommended that the range of GSFL affected by standards should be increased to 7,000K from the current coverage, which extends to only 6,600K. NEMA believes that lamps with a CCT between 4,500K and 7,000K are growing in popularity and, therefore, energy conservation standards within that range are justifiable (NEMA, No. 26 at pp. 3-4).

NEMA also stated that an efficacy standard would be inappropriate for GSFL with a CCT greater than 7,000K. Because very few GSFL with a CCT greater than 7,000K are commercially available, NEMA argued that it would be impossible to determine whether there would be an appropriate efficacy standard for these lamps that would be technologically feasible. (NEMA, No. 26 at pp. 5-6) NEMA also stated that it is unlikely that exempting these high CCT lamps would increase their sales after a standard, as these lamps are often too “blue” for typical consumers. Therefore, NEMA urged DOE to exempt all lamps with a CCT greater than 7,000K from energy conservation standards (NEMA, No. 26 at pp. 3-4).

DOE considered NEMA's input and agrees that because so few of these products with a CCT greater than 7,000K exist in the market, there is not enough information to reliably analyze the performance of currently-available products or the expected performance of emerging products. Manufacturing lamps with CCTs greater than 7,000K would likely require the use of new materials not currently utilized in commonly sold lamps today. In addition, manufacturers may encounter different design trade-offs when developing their products Therefore, DOE is unable to determine whether a particular standard level would be technologically feasible for these lamps.

DOE also agrees that it is appropriate to raise the 6,600K limit to 7,000K in the definition of “colored fluorescent lamp.” DOE believes that this amendment would further the statutory objective of maintaining the coverage of GSFL serving general application purposes under DOE's energy conservation standards. Although lamps with CCTs greater than 6,600K and less than 7,000K are not prevalent in the market, DOE's research

indicates that manufacturers would likely be able to produce a lamp at 7,000K using the same materials as a 6,500K lamp (a commonly sold lamp). In consideration of the technological similarity between 6,500K and 7,000K lamps, DOE believes that it would be possible to establish technologically feasible efficacy levels for 7,000K lamps.

Ex parte

communication with Edward Yandek of General Electric Company (Dec. 8, 2008) (DOE, No. 29).

Therefore, DOE proposes to modify the definition of “colored fluorescent lamp” so as to include lamps with CCT less than or equal to 7,000K exclude all lamps with a CCT greater than 7,000K from energy conservation standards. However, DOE notes that NEMA has offered to track the sales of GSFL with a CCT greater than 7,000K in order to determine in the future if energy conservation standards are necessary for these products. (NEMA, No. 26 at p. 4) If these lamp sales show significant growth, and thus the potential for significant energy savings, DOE may consider amending the definition of “colored fluorescent lamp” to provide for coverage of these lamps and setting an appropriate energy conservation standard for them in a future rulemaking.

As discussed in the March 2008 ANOPR, the discovery of a fluorescent lamp in the European market with a CCT of 17,000K being marketed for general illumination applications prompted DOE to consider actions to prevent such lamps from becoming a potential loophole to the GSFL energy conservation standard. However, the inherently “blue” color of these lamps may prevent widespread adoption as substitutes for standard CCT lamps (

e.g.,

4,100K). Therefore, DOE no longer considers these lamps to be a potential loophole to standards set forth by this rulemaking. For this reason and because DOE is unable to determine a technologically feasible standard for these lamps, DOE believes that the addition of the phrase “and not designed or marketed for general illumination applications” with respect lamps with a CCT greater than 7,000K is no longer necessary.

After incorporating the changes discussed above, DOE proposes the following definition of “colored fluorescent lamp” for this notice:

Colored fluorescent lamp

means either: (1) A fluorescent lamp designated and marketed as a colored lamp with a CRI less than 40, as determined according to the method set forth in CIE Publication 13.2 (10 CFR 430.3); (2) a fluorescent lamp designed and marketed as a colored lamp with a correlated color temperature (CCT) less than 2,500K; or (3) a fluorescent lamp with a CCT greater than 7,000K.

D. Off Mode and Standby Mode Energy Consumption Standards

Section 310(3) of EISA 2007 amended EPCA to require future energy conservation standards to address standby mode and off mode energy use. Specifically, EPCA, as amended, now requires that, when DOE adopts standards for a covered product after July 1, 2010, DOE must, if justified by the criteria for adoption of standards in 42 U.S.C. 6295(o), incorporate standby mode and off mode energy use into the standard, if feasible, or adopt a separate standard for such energy use for that product. (42 U.S.C. 6295(gg)(3)) DOE

notes that although the final rule in this standards rulemaking is scheduled for publication by June 2009 (

i.e.,

before the statutory deadline above), DOE nonetheless undertook a preliminary analysis of the potential for energy savings associated with the regulation of standby mode and off mode in covered lamps. DOE has tentatively determined that current technologies for the GSFL and IRL that are the subjects of this rulemaking do not use 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” applicable to both GSFL and IRL, in order to meet the definition of “off-mode” or “standby mode,” the lamp must not be providing any active mode function (

i.e.,

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

i.e.,

the lamp is switched off), thereby not satisfying the requirements of operating in off mode. In addition, DOE believes that all covered products that meet the definitions of “general service fluorescent lamp” and “incandescent reflector lamp” are single-function products and do not offer any secondary user-oriented or protective functions. Thus, GSFL and IRL do not satisfy the definition for “standby mode.” DOE received comments from NEMA in response to the March 2008 ANOPR supporting this characterization of off mode and standby mode energy consumption for these products. (NEMA, No. 22 at p. 1) Therefore, DOE maintains that it is not feasible to incorporate off mode or standby mode energy use into the energy conservation standards for GSFL and IRL and is not proposing amendments to the standard to address lamp operation in such modes. The March 2008 ANOPR provides additional details that support this conclusion. 73 FR 13620, 13627 (March 13, 2008).

E. Color Rendering Index Standards for General Service Fluorescent Lamps

Existing EPCA standards specify both lumens per watt and CRI levels that products must comply with before entering the market. (42 U.S.C. 6295(i)(1)) At the public meeting and in written comments, NEMA and the Joint Comment suggested that it may be necessary to amend the minimum CRI requirements to prevent the possible emergence of loopholes in the product classes structure and standards levels considered in the March 2008 ANOPR. (Public Meeting Transcript, No. 21 at pp. 82-84, 92, 94; Joint Comment, No. 23 at p. 6; NEMA, No. 22 at p. 4-5)

However, because CRI is not a measure of energy consumption or efficacy, but rather a measure of the color quality of the light, DOE has concluded that it does not have the authority to change the CRI standard, for the reasons that follow. According to 42 U.S.C. 6291(6), “energy conservation standard” means either: (1) A performance standard which prescribes a minimum level of energy efficiency or a maximum quantity of energy use; or (2) a design requirement (only for specifically enumerated products). Although CRI is a performance requirement, it is not an energy performance requirement within the meaning of the term “energy conservation standard.” Because, in the case of GSFL, DOE has the authority to regulate only energy conservation standards (

i.e.,

energy performance requirements), DOE is not proposing to amend the existing minimum CRI requirements.

IV. General Discussion

A. Test Procedures

DOE's test procedures for fluorescent and incandescent lamps are set forth at 10 CFR part 430, subpart B, appendix R.

These test procedures provide detailed instructions for measuring GSFL and IRL performance, as well as performance attributes of GSIL, largely by incorporating several industry standards. Prompted by an earlier NEMA comment (NEMA, No. 12, pp. 2-4) at the Framework stage of the energy conservation standards rulemaking, DOE examined these test procedures and decided to initiate a rulemaking, in parallel with this standards rulemaking, to revise its test procedures for GSFL, IRL, and GSIL (even though, as explained above, GSIL are no longer part of this standards rulemaking). These revisions consist largely of: (1) Referencing the most current versions of several lighting industry standards incorporated by reference; (2) adopting certain technical changes and clarifications; (3) expanding the test procedures to accommodate new classes of lamps subject to extended coverage by either EISA 2007 or this energy conservation standards rulemaking; and (4) addressing standby mode and off mode energy consumption (which were found not to apply to GSFL and IRL), as mandated by EISA 2007.

“Uniform Test Method for Measuring Average Lamp Efficiency (LE) and Color Rendering Index (CRI) of Electric Lamps.”

To this end, DOE published a NOPR that proposed to update the current test procedure's references to industry standards for fluorescent and incandescent lamps. 73 FR 13465 (March 13, 2008) (the test procedure NOPR). The test procedure NOPR also proposed the following: (1) A small number of definitional and procedural modifications to the test procedure to accommodate technological migrations in the GSFL market and approaches DOE is considering in this standards rulemaking (73 FR 13465, 13472-73 (March 13, 2008)); (2) revision of the reporting requirements for GSFL, such that all covered lamp efficacies would be reported with an accuracy to the tenths decimal place (73 FR 13465, 13473 (March 13, 2008)); and (3) adoption of a testing and calculation method for measuring the CCT of fluorescent and incandescent lamps (73 FR 13465, 13473-74 (March 13, 2008)). Please see the March 2008 ANOPR (73 FR 13620, 13627-28 (March 13, 2008)) and the March 2008 test procedure NOPR (73 FR 13465, 13472-74 (March 13, 2008)) for a detailed discussion of these proposals and related matters.

The public meeting for the March 2008 ANOPR also served as a public meeting to present and receive comments on the test procedure NOPR. DOE later received written remarks from NEMA responding to the proposals contained in the test procedure NOPR. (NEMA, No. 16)

DOE is considering these comments, and will be publishing a final rule in the near future.

This written comment was submitted to the docket of the test procedure rulemaking (Docket No. EERE-2007-BT-TP-0013; RIN number 1904-AB72).

B. Technological Feasibility

1. General

In each standards rulemaking, DOE conducts a screening analysis, which it bases on information it has gathered on all current technology options and prototype designs that could improve the efficiency of the product or equipment that is the subject of the rulemaking. DOE considers a design option to be “technologically feasible”

if it is in the marketplace or if research has progressed to the development of a working prototype.

DOE's regulations set forth the following definition of “technological feasibility”: “Technologies incorporated in commercially available products or in working prototypes will be considered technologically feasible.” 10 CFR 430, subpart C, appendix A, section 4(a)(4)(i).

In consultation with manufacturers, design engineers, and other interested parties, DOE develops a list of design options for consideration in the rulemaking. In the context of the present rulemaking, when determining

proposed efficacy levels for GSFL, DOE only considered commercially-available products that can meet or exceed each level. For IRL, trial standard levels 2, 3, 4, and 5 are based on commercially-available products. Although TSL1 is not based on product currently sold in the marketplace, DOE has used a design option (

i.e.

, higher-efficiency gas fills) to model the performance of a higher-efficacy lamp that meets TSL1. DOE received input from manufacturers during interviews to verify that such a design option is technologically feasible. Therefore, DOE has concluded that the all design options to achieve the proposed efficacy levels are technologically feasible.

Once DOE has determined that particular design options are technologically feasible, it evaluates each design option in light of the following criteria: (1) Practicability to manufacture, install, or service; (2) adverse impacts on product utility or availability; and (3) adverse impacts on health or safety. Chapter 4 of the TSD accompanying this notice contains a description of the screening analysis for this rulemaking. Also, see section 0 of this notice for a discussion of the design options DOE considered.

2. Maximum Technologically Feasible Levels

When DOE proposes to adopt or to decline to adopt an amended or new standard for a type (or class) of covered product, as part of the rulemaking process, DOE must “determine the maximum improvement in energy efficiency or maximum reduction in energy use that is technologically feasible” for the product. (42 U.S.C. 6295(p)(1)) In response to the ANOPR, stakeholders commented that 42 U.S.C. 6295(o) requires that DOE evaluate the maximum technologically feasible, or “max-tech,” potential standard efficiency levels. They assert that because DOE has gathered only technical information based on products available on the market today, it may not have considered those products that are technically feasible but not yet marketed. If such options are available, stakeholders believe DOE should model them as the max-tech efficiency levels. (Joint Comment, No. 23 at p. 19)

DOE researched whether any technologies could improve the efficacy of GSFL lamps currently marketed. DOE found that higher efficacy GSFL could be achieved but require the use of a higher efficiency fill gas composition. More efficient fill gases often include higher molecular weight gases (

e.g

., krypton) to increase ultraviolet light output, and, thus, visible light output. However, the use of these heavier gases can cause lamp instability, resulting in striations or flickering. Evidence of this effect can be seen with reduced-wattage lamps, which generally incorporate a mixture of krypton and argon gases, versus full-wattage lamps which primarily use only argon. Reduced-wattage lamps are often marketed with several application-limiting performance notes. For example, NEMA stated reduced-wattage lamps can have performance issues in low-temperature applications or when operated on rapid start or dimming ballasts. (NEMA, No. 21 at p. 10) Therefore, DOE did not consider efficacy levels for GSFL that would require the use of higher-efficiency fill gases that would result in reduced utility. DOE was unable to find any higher-efficacy prototypes or commercially-available lamps that provide the same utility and performance required of GSFL. Therefore, DOE has concluded that TSL5 was the maximum technologically feasible level for GSFL.

For IRL, DOE determined that the maximum technologically feasible efficacy level incorporates the highest technologically feasible efficiency reflector, halogen infrared coating, and filament design. From its research, DOE believes that the highest efficiency reflector employs silver, a technology that DOE understands to be proprietary. From discussions with developers of IR coating technology, DOE understands that by modifying the coating pattern and materials used, varying degrees of IR coating efficiencies can be achieved. Finally, altering filament design to obtain the highest temperature filament operation, while maintaining a lifetime similar to the baseline lamp (3,000 hours), would result in the most efficacious filament. Combining all three of these highest efficiency technologies simultaneously results in the maximum technologically feasible level; however, this level is dependent on the use of a proprietary technology (the silver reflector). Because DOE is unaware of any alternate technology pathways to achieve this efficacy level, DOE did not consider it in its analysis. Instead, DOE based the highest efficacy level analyzed for IRL on a commercially-available IRL which employs a silver reflector, an improved (but not most efficient) IR coating, and a filament design that results in a lifetime of 4,200 hours. Although, this commercially-available lamp uses silver technology, DOE believes that there are alternate pathways to achieve this level. A combination of redesigning the filament to achieve higher temperature operation (and thus reducing lifetime to 3,000 hours), employing other non-proprietary high-efficiency reflectors, or applying higher-efficiency IR coatings has the potential to result in an IRL that meets an equivalent efficacy level. For more information regarding these technologies, see chapter 3 of the TSD. Therefore, DOE has concluded that TSL5 is the maximum technologically feasible level for IRL that is not dependent on the use of a proprietary technology.

Table IV.1 and Table IV.2 list the max-tech levels (TSL5 for GSFL and TSL5 for IRL) that DOE determined for this rulemaking.

As discussed in section V.C, due to scheduling and resource constraints, DOE did not analyze all GSFL and IRL product classes. Instead, DOE chose representative product classes to directly analyze and scaled analytical results to the remaining product classes. Table IV.1 and Table IV.2 present max-tech levels for only analyzed product classes. Classes not analyzed include the 2-foot U-shaped and high-CCT product classes (for GSFL) and the modified spectrum, ≥ 125 volts, and ≤ 2.5 inches diameter product classes (for IRL).

Table IV.1—Max-Tech Levels for GSFL

Lamp type

CCT

Max-tech

efficiency

lm/W

4-Foot Medium Bipin

≤ 4,500K

8-Foot Single Pin Slimline

≤ 4,500K

100

8-Foot RDC HO

≤ 4,500K

4-Foot T5 SO

≤ 4,500K

108

4-Foot T5 HO

≤ 4,500K

Table IV.2—Max-Tech Level for IRL

Lamp type

Diameter

Voltage

Max-tech efficiency

lm/W

Standard Spectrum

> 2.5 inches

< 125

6.9P

0.27

* Where P is the rated wattage.

C. Energy Savings

1. Determination of Savings

DOE used its NIA spreadsheets to estimate energy savings from amended standards for the lamps currently covered by standards and from new standards for the remaining additional lamps that are the subject of this rulemaking. (The NIA spreadsheet models are described in section V.E of this notice and in chapter 11 of the TSD.) DOE forecasted energy savings over the period of analysis (beginning in 2012, the year that amended standards would go into effect, and ending in 2042) for each TSL. It quantified the energy savings attributable to amended and new energy conservation standards (

i.e.,

to each TSL) as the difference in energy consumption between the standards case and the base case. The base case represents the forecast of energy consumption in the absence of amended and new mandatory energy conservation standards. The base case considers market demand for more-efficient products. For example, for both GSFL and IRL, DOE models a shift in the base case from covered GSFL and IRL toward emerging technologies such as light emitting diodes (LED). In addition, consistent with current GSFL market trends, DOE models a shift from T12 lamps to higher-efficacy T8 and T5 lamps. For IRL in the commercial sector, the base-case shipments forecast also considers a migration from halogen IRL to higher-efficacy halogen infrared (HIR) lamps. See section 0 of this notice and chapter 10 of the TSD for details.

The NIA spreadsheet models calculate the energy savings in site energy expressed in kilowatt-hours (kWh). Site energy is the energy directly consumed at building sites by GSFL or IRL. DOE reports national energy savings in terms of the source energy savings, which is the savings in the energy that is used to generate and transmit the energy consumed at the site. To convert site energy to source energy, DOE uses annual site-to-source conversion factors based on the version of the National Energy Modeling System (NEMS) that corresponds to Annual Energy Outlook 2008 (

AEO2008)

. The conversion factors vary over time because of projected changes in the nation's portfolio of generation sources. DOE estimated that conversion factors remain constant at 2030 values throughout the remainder of the forecast. See chapter 11 of the TSD for details.

2. Significance of Savings

Section 325 of EPCA prohibits DOE from adopting a standard for a covered product if that standard would not result in “significant” energy savings. (42 U.S.C. 6295(o)(3)(B)) While the term “significant” is not defined in EPCA, the U.S. Court of Appeals, in

Natural Resources Defense Council

Herrington

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

D. Economic Justification

1. Specific Criteria

As noted earlier, EPCA provides seven factors to be evaluated in determining whether an energy conservation standard is economically justified (42 U.S.C. 6295(o)(2)(B)). The following sections discuss how DOE has addressed each of those seven factors in this rulemaking.

a. Economic Impact on Manufacturers and Consumers

To determine the quantitative impacts of a new or amended standard on manufacturers, the economic impact analysis is based on an annual-cash-flow approach. This includes both a short-term assessment—based on the cost and capital requirements during the period between the announcement of a regulation and the regulation's effective start date—and a long-term assessment. The impacts analyzed include INPV (which values the industry on the basis of expected future cash flows), cash flows by year, changes in revenue and income, and other appropriate measures of impact. Second, DOE analyzes and reports the impacts on different types of manufacturers, with particular attention to impacts on small manufacturers. Third, DOE considers the impact of standards on domestic manufacturer employment, manufacturing capacity, plant closures, and loss of capital investment. Finally, DOE takes into account cumulative impacts of different DOE and other regulations on manufacturers.

For consumers, measures of economic impact include the changes in price, LCC, and payback period for each trial standard level. The LCC is one of the seven factors to be considered in determining the economic justification for a new or amended standard. (42 U.S.C. 6295(o)(2)(B)(i)(II))

b. Life-Cycle Costs

The LCC is the sum of the purchase price of a product (including its installation) and the operating expense (including energy and maintenance expenditures) discounted over the lifetime of the product. For each GSFL and IRL product class, DOE calculated both LCC and LCC savings for various efficacy levels. The LCC analysis required a variety of inputs, such as product prices, installation labor costs, electricity prices, annual operating hours, product energy consumption rates, and discount rates.

To characterize variability in electricity pricing, DOE established regional differences in electricity prices. To account for uncertainty and variability in other inputs, such as annual operating hours and discount rates, DOE used a distribution of values with probabilities assigned to each value. Then for each consumer, DOE sampled the values of these inputs from the probability distributions. The analysis produced a range of LCCs. A distinct advantage of this approach is that DOE can identify the percentage of consumers achieving LCC savings due to an increased energy conservation standard, in addition to the average LCC savings. DOE presents only average LCC savings in this NOPR; however, additional details showing the distribution of results can be found in chapter 8 and appendix 8B of the TSD.

In the LCC analysis, DOE also considered several events that would prompt a consumer to purchase a lamp. For GSFL, DOE calculated LCCs for five lamp purchasing events: (1) Lamp failure; (2) standards-induced retrofit;

(3) ballast failure; (4) ballast retrofit; and (5) new construction/renovation. For IRL, DOE calculated LCCs for the lamp failure and new construction/renovation events, as these were the only lamp purchase events deemed applicable to this product type. Because each event may present the consumer with different lamp (or lamp-and-ballast) options and economics, DOE presents the LCC results for several events for each product class in this NOPR. DOE assumed that the consumer purchases the product in 2012 (the effective start date of the standard). For further detail regarding lamp purchasing events and related LCC calculations, see section V.D and chapter 8 of the TSD.

c. Energy Savings

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

d. Lessening of Utility or Performance of Products

In establishing classes of products, and in evaluating design options and the impact of potential standard levels, DOE aimed to develop standards for GSFL and IRL that would not lessen the utility or performance of these products. None of the considered trial standard levels would reduce the utility or performance of the GSFL and IRL under consideration in the rulemaking. (42 U.S.C. 6295(o)(2)(B)(i)(IV))

Since all standard levels for GSFL use full-wattage lamps, rather than requiring a shift to higher-efficacy reduced-wattage lamps (which may have application restrictions), no GSFL efficacy levels reduce the utility or performance of the covered products. For IRL, for all standard levels, there are commercially available IRL with the same utility and performance as the baseline lamps. Therefore, DOE believes that none of the considered trial standard levels would reduce the utility or performance of the IRL under consideration in this rulemaking.

e. Impact of Any Lessening of Competition

EPCA directs DOE to consider any lessening of competition likely to result from standards. It directs the Attorney General to determine the impact, if any, of any lessening of competition likely to result from a proposed standard and to transmit such determination to the Secretary no later than 60 days after the publication of a proposed rule, together with an analysis of the nature and extent of such impact. (42 U.S.C. 6295(o)(2)(B)(i)(V) and (B)(ii)) DOE has transmitted a copy of today's proposed rule to the Attorney General and has requested that the Department of Justice (DOJ) provide its determination on this issue. DOE will address the Attorney General's determination in the final rule.

f. Need of the Nation To Conserve Energy

The non-monetary benefits of the proposed standard are likely to be reflected in improvements to the security and reliability of the Nation's energy system—namely, reductions in the overall demand for energy will result in reduced costs for maintaining the Nation's electricity system. DOE conducts a utility impact analysis to estimate how standards may affect the Nation's needed power generation capacity. This analysis captures the effects of efficiency improvements on electricity consumption by the covered products that are the subject of this rulemaking.

The proposed standard also is likely to result in improvements to the environment. In quantifying these improvements, DOE has defined a range of primary energy conversion factors and associated emission reductions based on the estimated level of power generation displaced by energy conservation standards. DOE reports the environmental effects from each TSL for this equipment in the environmental assessment in the TSD. (42. U.S.C. 6295(o)(2)(B)(i)(VI) and 6316(a))

g. Other Factors

EPCA allows the Secretary of Energy, in determining whether a standard is economically justified, to consider any other factors that the Secretary deems to be relevant. (42 U.S.C. 6295(o)(2)(B)(i)(VII)) Under this provision, DOE considered subgroups of consumers that may be adversely affected by the standards proposed in this rule. Specifically, DOE assessed the impact of standards on low-income consumers, institutions of religious worship, historical facilities, and institutions that serve low-income populations. In considering these subgroups, DOE analyzed variations on electricity prices, operating hours, discount rates, and baseline lamps. See section 0 of this notice for further detail.

2. Rebuttable Presumption

As set forth in section 325(o)(2)(B)(iii) of EPCA, there is a rebuttable presumption that an energy conservation standard is economically justified if the additional cost to the consumer of a product that meets the standard level is less than three times the value of the first-year energy (and, as applicable, water) savings resulting from the standard, as calculated under the applicable DOE test procedure. (42 U.S.C. 6295(o)(2)(B)(iii) and 42 U.S.C. 6316(e)(1)) DOE's LCC and PBP analyses generate values that calculate the payback period for consumers of potential energy conservation standards, which includes, but is not limited to, the three-year payback period contemplated under the rebuttable presumption test discussed above. However, DOE routinely conducts a full economic analysis that considers the full range of impacts, including those to the consumer, manufacturer, Nation, and environment, as required under 42 U.S.C. 6295(o)(2)(B)(i) and 42 U.S.C. 6316(e)(1)). The results of this analysis serve as the basis for DOE to definitively evaluate the economic justification for a potential standard level (thereby supporting or rebutting the results of any preliminary determination of economic justification). Section 0 of this notice addresses the rebuttable-presumption payback calculation.

V. Methodology and Discussion of Comments

A. Product Classes

In general, in 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. (42 U.S.C. 6295(q)) DOE normally establishes different energy conservation standards for different product classes based on these criteria.

1. General Service Fluorescent Lamps

In the March 2008 ANOPR, DOE proposed to establish product classes for GSFL based on the following three attributes that have differential utility and affect efficacy: (1) Physical constraints of lamps (

i.e.

, lamp shape and length); (2) lumen package (

i.e.

, standard versus high output); and (3) correlated color temperature. 73 FR 13620, 13636 (March 13, 2008). The following sections summarize and address comments DOE received in response to the GSFL product classes it considered for the March 2008 ANOPR.

DOE received comments related to product classes on three major topics: T12 and T8 lamps, T5 lamps, and correlated color temperature.

a. T12 and T8 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. In the March 2008 ANOPR, DOE acknowledged that a lamp's diameter can affect its efficacy. However, because the utility provided to the end-user is a function of the light output in lumens (which is comparable between T12 and T8 lamps) and not diameter of the bulb, DOE decided not to establish separate product classes for T12 and T8 lamps.

At the public meeting and in its written comments, NEMA stated that separate product classes might be necessary for T8 and T12 lamps. Both NEMA and General Electric (GE) noted that DOE used the 10-percent efficacy differential between 8-foot slimline and 8-foot high output lamps as one reason for establishing their separate product classes. They reasoned that because T8 lamps are at least 10 percent more efficient that T12 lamps, DOE should also split T8 and T12 lamps into separate classes. (Public Meeting Transcript, No. 21 at pp. 82-86; NEMA, No. 22 at p. 5) GE emphasized that because T8 and T12 lamps require different ballasts and because a growing number of new T8 fixtures will not fit T12 lamps, the two are not always suitable replacements and should therefore have separate product classes. GE also expressed concern that it would be impossible to set a single efficacy standard using a lumen-per-watt metric that would be suitable for both T8 and T12 lamps. (Public Meeting Transcript, No. 21 at pp. 88-89)

Conversely, the Joint Comment strongly supported combining T8 and T12 lamps under one product class because the lamps are the same length, use the same lamp holders, and provide the same utility (as measured by lumen package). At the public meeting, ACEEE emphasized that the two lamps compete directly in the marketplace because of their similar performance features. ACEEE also expressed concern that setting product classes based on efficacy could lead to separate standards for any inefficient product. (ACEEE, No. 22 at p. 91) The Joint Comment also stated that the fact that the two lamps use different ballasts is an economic issue, not a utility issue. The Joint Comment noted that large energy savings would be lost if DOE used separate classes because consumers would not migrate to the more efficient T8 lamps—a factor DOE must consider, given its obligation to set standards at the “maximum improvement in energy efficiency” that is “technologically feasible and economically justified.” (Joint Comment, No. 23 at pp. 4-5)

DOE research shows that T8 lamps are commonly used to replace T12 lamps; this implies that, in this case, lamp diameter does not significantly affect lamp utility. It also illustrates that the lamps share performance features and compete directly in the market. While DOE recognizes that lamp diameter can affect efficacy, lamp efficacy alone is not a criterion DOE uses to establish product classes; to warrant a separate product class, a unique utility feature must be present. As DOE has not identified a unique utility feature of T12 lamps, DOE has decided to combine both T8 and T12 lamps into one product class for each lamp type. However, in response to GE's comment, DOE recognizes that T8 and T12 lamps usually operate on different ballasts. Thus, DOE has structured its analytical tools to consider the impact of standards on consumers of both lamp types. That is, DOE takes the economics of purchasing another ballast into account in its LCC and NIA analyses.

b. T5 Lamps

The Joint Comment stated that T5 lamps (in this rulemaking, referred to as 4-foot miniature bipin lamps) should probably be in the same product class as T8 and T12 lamps because they compete against them in the market. The advocates noted the existence of retrofitting kits for installing T5 lamps into T8 and T12 fixtures, but acknowledged T5 lamps require different lamp holders and are “too bright to use in direct lighting fixtures.” The Joint Comment asked DOE to research the pros and cons of including T5 lamps with T8 and T12 lamps. (Joint Comment, No. 23 at p. 5)

Based on its research and consideration of the above comments, DOE has decided to establish a separate product class for 4-foot miniature bipin lamps because their physical constraints prevent them from being used as direct replacements for T8 and T12 lamps in many applications. For example, applications in which consumers cannot change the lamp fixture (from a 4-foot MBP to a 4-foot MiniBP) may not be appropriate for retrofitting to the 4-foot MiniBP system type. As the Joint Comment noted, these lamps require different lamp holders (due to differences in length and base type), and thereby qualify for a separate product class under the previously established “physical constraints of lamps” class-setting criteria.

In addition, a lamp's lumen package may result in certain application constraints. Because 4-foot T5 MiniBP lamps have similar total lumen output as 4-foot T8 and T12 MBP lamps over a significantly smaller surface area, T5 lamps are often marketed as too bright for use in direct lighting fixtures. If 4-foot T5 MiniBP lamps were regulated in the same product class as 4-foot MBP lamps, the standard could effectively mandate the use of T5 lamps. To prevent eliminating lamps appropriate for direct lighting applications, DOE believes that 4-foot miniature bipin lamps (T5 lamps) warrant a separate product class from 4-foot medium bipin lamps (primarily T8 and T12 lamps).

In researching these lamp types, DOE found that the high output lamp is rated to emit more than one and a half times the number of lumens as the standard output lamp, also potentially affecting utility. In general, 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 also found that this significant lumen output differential in standard output and high output T5 lamps is accompanied by an efficacy difference. Considering the differences in utility (light output and their applicability in direct lighting fixtures) and efficacy, and consistent with DOE's approach in the March 2008 ANOPR, DOE is proposing separate product classes for standard output 4-foot miniature bipin lamps and high output 4-foot miniature bipin lamps.

c. Correlated Color Temperature

Correlated color temperature is a measure of the perceived color of the white light emitted from a lamp, which DOE believes affects lamp utility. Generally, as CCT increases, efficacy of the bulb decreases. The measured efficacy of lamps with different CCT is different because efficacy is measured in lumens 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 the March 2008 ANOPR, DOE established two product classes for GSFL based on CCT: one for high-color-temperature lamps greater than 4,500K, and another for lamps less than 4,500K.

At the public meeting and in its written comments, NEMA agreed with DOE's decision to establish two product classes based on CCT. However, at the public meeting NEMA noted additional divisions may be necessary at higher CCT levels because these lamps—NEMA specifically noted an 8,000K lamp—are capturing an increasing market share of general service applications. (Public Meeting Transcript, No. 21 at pp. 95-97) Industrial Ecology stated that lamps around 6,500K, which were once reserved for specialty applications, are increasingly being used in general service applications. Industrial Ecology argued that such a trend supports the idea of another product class above the 4,500K division. (Public Meeting Transcript, No. 21 at pp. 97-98).

At the June 2008 NEMA meeting and in a written comment, NEMA commented that growth in higher CCT lamps would likely come at the 5,000K level, although they would remain a relatively small portion of the general service market for the foreseeable future. Lamps with CCTs greater than 7,000K represent a very small portion of the general service market because most consumers consider their light to be too blue. Given the small market for lamps above 7,000K, NEMA stated it had very little practical production data related to efficacies and costs. Therefore, NEMA argued, lamps above 7,000K should be exempt from standards, especially considering that the current energy savings potential from their coverage is very small and unlikely to grow anytime soon. (NEMA, No. 26 at pp. 3-4)

NEMA also commented that an equation using a continuous function (without discontinuities) is inappropriate when developing an efficacy standard for GSFL based on CCT. According to NEMA, practical lamp designs used to develop higher CCT lamps—such as phosphor design, weight and coating formulation, and coating adherence—do not provide for a general physical equation that yields an optimum lumens-per-watt standard. Instead, NEMA stated that successive step function factors need to be applied as CCT continues to increase. (NEMA, No. 26 at p. 5) The Joint Comment said that DOE should design CCT product class divisions carefully to prevent “gaming.” The advocates preferred a continuous function to multiple product class divisions because the latter would encourage products to migrate to the lowest CCT value in each product class. If a continuous function were not possible, the Joint Comment strongly recommended raising the 4,500K division to 4,900K. Additionally, the Joint Comment stated, if DOE does set a product class aimed at regulating the 8,000K lamps, the boundary should be approximately 7,900K. (Joint Comment, No. 23 at pp. 5-6)

As noted above, DOE believes CCT affects consumer utility. For example, a lighting designer would likely consider the bluish color of higher color temperature lamps when specifying a luminaire for a particular application. In addition, as NEMA stated, higher CCT lamps are sometimes used for spectrally-enhanced lighting (SEL).

Advocates of spectrally-enhanced lighting believe that lamps with a higher CCT can help save energy and may also have health benefits. (NEMA, No. 26 at pp. 2-3) However, DOE notes that although spectrally-enhanced lighting has benefits, higher CCT lamps do emit a different color light that may not be appropriate for all applications. Given the effect on utility and the fact that lamp efficacy usually decreases with higher color temperatures, it is appropriate to establish different product classes based on CCT.

DOE has conducted several studies on SEL examining whether a significant amount of energy can be saved by using lamps that have less light output, but higher CCT. Lamps with higher CCT appear brighter than those with lower CCT, so the actual light output of higher-CCT lamps can be decreased, while maintaining equivalent perceived brightness and visual acuity. More information on spectrally enhanced lighting is available at:

http://www1.eere.energy.gov/buildings/spectrally_enhanced.html

DOE agrees that a continuous function is not possible because increasing the CCT does not lead to proportional reductions in lumens per watt. This occurs because design factors that do not have a linear relationship with lumens per watt, such as rare earth phosphor mix and reformulation, must be employed to maintain efficacy, particularly as CCT increases.

DOE disagrees that a 4,900K division should be used rather than the proposed 4,500K division. If DOE were to use a 4,900K division and manufacturers introduced a 4,850K lamp to the market, it would be subject to standards based on the performance of a 4,100k lamp, which might be difficult to meet, as 4,100K lamps are generally more efficacious than their higher CCT counterparts. Likewise, if DOE used a 4,200K division and manufacturers developed a 4,300K lamp for commercial use, it would be subject to potentially lower standards based on the performance of a 5,000k lamp. This may result in a significant loss in potential energy savings. Instead, DOE proposes to use a 4,500K division, which effectively represents the midpoint between the most common commercially available “warmer” and “cooler” lamps at 4,100K and 5,000K, respectively. By establishing the product class division at the midpoint, DOE ensures that it is establishing a structure that will not subject lamps to inappropriately high standards and also not result in the loss of potential energy savings.

DOE also disagrees with the Joint Comment's argument for a third product class division around 7,900K aimed at 8,000K lamps. As discussed in section III.C.2, DOE is amending its definition of “colored fluorescent lamp,” such that these lamps above 7,000K would be excluded from coverage by energy conservation standards. In consideration of this exclusion, DOE feels that is unnecessary to establish a third product class for lamps with a CCT greater than 7,900K.

2. Incandescent Reflector Lamps

In the March 2008 ANOPR, DOE considered product classes for IRL based on the standard-spectrum and modified-spectrum of the lamp. DOE received numerous comments regarding establishing separate product classes for: (1) Modified-spectrum lamps; (2) long-life lamps; (3) lamp diameter; and (4) voltage. The following sections summarize and address these comments.

a. Modified-Spectrum Lamps

Modified-spectrum lamps provide a unique performance-related feature to consumers, in that they offer a different spectrum of light from the typical incandescent lamp, much like two fluorescent lamps with different CCT values. These lamps offer the same benefits as fluorescent lamps with “cooler” CCTs, in that they may ensure better color discrimination and often appear more similar to natural daylight, possibly resulting in psychological benefits.

In addition to providing a unique performance feature, DOE also understands that the technologies that modify the spectral emission from these lamps also decrease their efficacy because a portion of the light emission

is absorbed by the coating. NEMA and GE supported establishing separate product classes for modified-spectrum lamps. (Public Meeting Transcript, No. 21 at p. 105; NEMA, No. 22 at p. 6).

“Full Spectrum Q&A,” National Lighting Product Information Program, Vol. 7 Issue 5 (March 2005). Available at:

http://www.lrc.rpi.edu/programs/nlpip/lightingAnswers/fullSpectrum

However, the Joint Comment stated that separate product classes are unnecessary because modified-spectrum products which meet all efficacy levels DOE considered in the ANOPR already exist in the market place. The Joint Comment further argued that additive methods, used for some non-IRL technologies, boost particular visible wavelengths of light to achieve a modified spectrum. These methods represent a more efficient way to achieve a modified spectrum than subtractive methods commonly used for IRL, which filter particular visible wavelengths of light. Therefore, according to the Joint Comment, establishing a separate product class could reduce energy savings because modified-spectrum technology would be subject to a needlessly lower standard. The Joint Comment contended that such a situation would run counter to the rulemaking's goals. (Joint Comment, No. 23 at pp. 14-15) At the public meeting, ACEEE and PG&E questioned whether consumers receive additional utility from modified-spectrum lamps, and, if they do, whether it is sufficient to warrant a separate product class. ACEEE and PG&E suggested DOE analyze the energy savings that could be lost with a separate product class. PG&E further noted that consumers could obtain any additional utility that modified-spectrum lamps provide from other available light sources. (Public Meeting Transcript, No. 21 at pp. 101-103) PG&E commented that modified-spectrum lamps occupy significant retail shelf space, which suggests they have a significant market share, and therefore, present a significant energy savings opportunity. (Public Meeting Transcript, No. 21 at p. 104)

DOE maintains that modified-spectrum lamps provide a unique performance-related feature (a different spectrum of light from the typical incandescent lamp) that standard spectrum lamps do not provide. However, the coatings used for modified-spectrum IRL absorb light output, thus reducing the lamps' efficacies. Given the reduction in efficacy, DOE believes that some modified-spectrum lamps may not be able to meet standards if subjected to the same levels as standard-spectrum lamps. That, in turn, could cause the unavailability of such products, thereby eliminating this performance-related feature from the IRL market. DOE notes that the statute directs DOE to maintain performance-related features for a covered product type. (42 U.S.C. 6295(o)(4))

Regarding the Joint Comment's argument that higher-efficiency, additive technologies may be substituted for subtractive technologies currently used in modified-spectrum IRL lamps, DOE is unaware of any commercially-available IRL or working IRL prototype that employs these additive technologies. Although modified-spectrum LED products may be available, because DOE has determined that modified-spectrum lamps provide a unique performance-related feature, it is unable to subject them to standards that would result in the elimination of such IRL products from the market. Thus, DOE believes it is appropriate to establish a separate product class for modified-spectrum lamps based on their unique performance feature and the impact of this performance feature on product efficacy.

b. Long-Life Lamps

DOE received several comments regarding IRL with long lifetimes. At the public meeting, NEMA commented that lamp life is a top consideration for the lighting industry's customers, particularly large retailers. NEMA stated in its written comments that the current long-life lamps on the market might be jeopardized by the proposed standard levels, which could cause manufacturers to reduce lamp life to increase efficacy—a scenario not necessarily in the market's interest. (Public Meeting Transcript, No. 21 at pp. 177-178; NEMA, No. 22 at p. 17) Although NEMA did not explicitly request a separate product class, the Joint Comment argued that DOE should not establish a separate product class for long-life lamps, noting that other existing lamp types, including halogen infrared reflector lamps and CFLs, could adequately serve long-life applications. In support of their position, the advocates stated further that Congress did not establish a separate class for “long life” general service incandescent lamps. (Joint Comment, No. 23 at p. 15)

DOE considers lifetime an economic issue rather than a utility issue, and accounts for lifetime in its LCC and NPV calculations. Lifetime is not considered a utility issue because it does not change the light output of the lamp. As such, DOE did not establish a separate product class based on lamp lifetime. For more details, see the engineering analysis in section V.C.4.b and chapter 5 of the TSD.

c. Lamp Diameter

In its written comments, NEMA noted that smaller diameter lamps—specifically, PAR20 lamps—are inherently less efficient than larger diameter IRL. Manufacturing PAR20 lamps to be compliant with the same efficacy standards as larger lamps would be very difficult. NEMA also commented that the technology options available to larger lamps are not necessarily applicable to PAR20 lamps. For example, the most efficient double-ended infrared halogen burner is difficult to use in PAR20 lamps because of mounting considerations. (NEMA, No. 22 at p. 17)

In response, DOE believes that the IRL diameter provides a distinct utility to the consumer (such as the ability of reduced diameter lamps to be installed in smaller fixtures) and recognizes that efficacy declines with a smaller lamp diameter. A smaller diameter lamp has an inherently lower optical efficiency than a larger diameter lamp given a similar filament size. Therefore, DOE is proposing to establish separate product classes for lamps with a diameter of 2.5 inches or less and lamps with a diameter greater than 2.5 inches.

d. Voltage

In its written comments, NEMA mentioned that DOE's proposed product classes and standards do not address how the market actually uses 130 volt (V) lamps, which represent a sizable portion of standard halogen product sales. NEMA stated that customers almost always operate these 130V lamps at 120V (normal line voltage), which doubles their lifetime but reduces their efficacy below standard levels. (NEMA, No. 22 at p. 16)

DOE agrees with NEMA and is concerned that the operation of 130V lamps at 120V has the potential to significantly affect energy savings. When operated under 120V conditions, lamps rated at 130V in compliance with existing IRL efficacy standards are generally less efficacious than lamps using equivalent technology rated at 120V. Because of this inherent difference in efficacy, it may be less costly to manufacture a lamp rated at 130V and tested at 130V that complies with a standard than a similar 120V lamp complying with the same standard. For example, if DOE were to adopt a minimum efficacy requirement that would effectively require HIR technology for 120V lamps, due to differences in the test procedures for lamps rated at 130V, a 130V lamp may only need to employ an improved halogen technology, which would be

less costly. If DOE does not establish a separate standard for lamps rated at 130V, more consumers may purchase 130V lamps because they are less expensive. When consumers operate these lamps at 120V, in order to obtain sufficient light output, they may use more energy than standards-compliant 120V lamps. This practice would increase energy consumption and result in lamps operating with a lower efficacy than any cost-justified standard level. Therefore, to preserve the energy savings intended by these standards, DOE is proposing to establish two separate product classes: (1) Lamps with a rated voltage less than 125V, and (2) lamps with a rated voltage greater than or equal to 125V.

DOE recognizes that there are other possible approaches for addressing this issue of the operational efficacy of 130V lamps. One alternative approach would be that DOE could require all IRL to be tested at 120V, the most common application voltage in the market. DOE requests comment on this issue.

B. Screening Analysis

DOE uses the following four screening criteria to determine which design options are unsuitable for further consideration in the rulemaking:

(1)

Technological Feasibility

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

(2)

Practicability to Manufacture, Install, and Service

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

(3)

Adverse Impacts on Product Utility or Product Availability

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

(4)

Adverse Impacts on Health or Safety

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

10 CFR part 430, subpart C, appendix A, (4)(a)(4) and (5)(b).

Considering these criteria, DOE compiled a list of design options in the March 2008 ANOPR that could be used to increase the efficacy of GSFL and IRL lamps (Table V.1). 73 FR 13620, 13644 (March 13, 2008).

Table V.1—GSFL and IRL Design Options

GSFL design options

IRL design options

Highly emissive electrode coatings

Higher temperature operation.

Higher efficiency lamp fill gas composition

Thinner filaments.

Higher efficiency phosphors

Efficient filament coiling.

Glass coatings

Efficient filament orientation.

Higher efficiency lamp diameter

Higher efficiency inert fill gas.

Tungsten-halogen lamps.

Higher pressure tungsten-halogen lamps.

Infrared glass coatings.

Higher efficiency reflector coatings.

Efficient filament placement.

DOE received a number of comments in response to its list of proposed design options, as discussed below.

1. General Service Fluorescent Lamps

NEMA generally agreed with the list of design options, but mentioned that for GSFL, further efficacy improvement will likely come from improved system (lamp-ballast-luminaire) combinations, and urged DOE to aim in future rulemakings to improve overall systems. (NEMA, No. 22 at p. 9; Public Meeting Transcript, No. 21 at pp. 108-109)

DOE understands that the fluorescent lamp is only one part of a fluorescent lamp system, which also includes ballasts and fixtures. However, DOE does not have the authority to regulate a fluorescent lamp system. EPCA prescribes energy conservation standards for certain GSFL (42 U.S.C. 6295(i)(1)(B)) and fluorescent lamp ballasts. (42 U.S.C. 6295(g)(7)) EPCA does not contain any standards for fluorescent lamp systems. Since EPCA directs DOE to amend only the existing standards for GSFL and fluorescent lamp ballasts, DOE has concluded that it does not have the authority to set energy conservation standards for fluorescent lamp systems. DOE believes other approaches, such as building codes, are more appropriate for regulating a fluorescent lamp system.

a. Higher-Efficiency Lamp Fill Gas Composition

NEMA commented that fill gas mixes are already in use in both T12 and T8 reduced-wattage energy savings lamps. NEMA stated that lamps could be manufactured using even higher efficiency fill gas compositions; however, the actual achieved lumen levels may be unacceptable to the market. NEMA also commented that most manufacturers identify several application-limiting issues for both T8 and T12 reduced-wattage energy saving lamps. (NEMA, No. 22 at pp. 7, 11-12)

DOE agrees that using fill gas composition in reduced-wattage lamps can lead to lamps with limited utility. For example, when marketed, many reduced wattage lamps are not recommended to be used under low lamp ambient temperatures or in drafty locations and on dimming ballasts. These situations could result in lamp starting or stabilization problems, striation (alternating light and dark bands), pulsing or a reduction in light output. Therefore, although DOE incorporates reduced-wattage lamps into the LCC and NIA (as they are viable and likely choices for most GSFL applications), DOE does not consider any efficacy level that would force consumers to purchase these lamps. See section V.C.4.a for details.

b. Higher-Efficiency Phosphors

NEMA commented that rare earth phosphors are already at nearly 100 percent quantum efficiency.

While slight improvements in efficacy are

possible with a thicker phosphor coating, NEMA argued that using this option will disproportionately increase lamp costs vis-à-vis the performance improvement. NEMA stated that the opportunities for performance improvement using phosphors “lie in tailoring phosphor blends and color temperatures to optimize appropriate light sources for specific applications.” (NEMA, No. 22 at p. 7)

“Quantum efficiency,” in this context, is used to quantify the percentage of ultraviolet photons absorbed by the phosphor that are then reemitted as visible photons.

While DOE agrees that thicker phosphor coats may increase cost, DOE does not consider increased costs in the screening analysis. DOE considers potential cost increases in its economic analyses. In addition, many higher-efficiency GSFL incorporate varying thicknesses of rare earth phosphors, or blends of halophosphors and rare earth phosphors. These lamps, more efficacious than their pure halophosphor counterparts, show that using higher-efficiency phosphors is a valid design option that meets all of the screening criteria. Therefore, DOE believes there is room for significant efficacy improvement potential with this design option and, thus, continued to carry it forward in its analyses.

c. Glass Coating

NEMA commented that higher-efficiency lamps already use glass coatings. NEMA also stated that while opportunities exist to improve this technology, manufacturers need to balance costs and performance. (NEMA, No. 22 at p. 7) DOE recognizes that costs may increase with this technology option, but as stated earlier, DOE does not consider the impacts of cost in its screening analysis. Therefore, DOE has included glass coatings as a design option for GSFL, where prototypes or commercially-available products exist.

d. Lamp Diameter

NEMA commented that lamp diameter is already used to optimize luminaire optics and system efficacy, but not to improve lamp efficacy. According to NEMA, further improvements in performance can come from new luminaire designs based on different diameter lamps, but will be limited by lumen packages and the distance between the light source and the luminaire surfaces. (NEMA, No. 22 at p. 7)

In response to this comment, DOE only considered lamp diameter as a design option in the migration from T12 to T8 lamps. DOE's research indicates that T8 lamps are common replacements for T12 lamps. Although the total lumen output of T8 lamps is often lower than that of T12 lamps, these differences in lumen outputs (on the order of 10 percent) do not seem to be significant enough to affect consumer utility. Conversely, although the total lumen output of 4-foot T5 MiniBP lamps can be similar to 4-foot T8 MBP and 4-foot T12 MBP lamps, the lumen output is emitted from a more concentrated light source. DOE's research indicates that T5 lamps' higher light concentrations (and therefore brightness) may require greater distances between the light source and illuminated surfaces. Due to this limitation in utility, DOE did not consider migration to a lamp diameter associated with T5 lamps to be a design option to improve the efficacy of T8 and T12 lamps.

e. Multi-Photon Phosphors

NEMA commented that although commercial multi-photon phosphors are theoretically possible, they have yet to be developed, despite 30 to 40 years of research. (NEMA, No. 22 at p. 7) As explained in chapter 3 of the TSD, because multi-photon phosphors emit more than one visible photon for each incident ultraviolet photon, a lamp would be able to emit more light for the same amount of power, thereby increasing efficacy. DOE agrees that this technology is not sufficiently mature as to warrant further analysis, so DOE has screened out this technology option in the March 2008 ANOPR.

2. Incandescent Reflector Lamps

NEMA does not believe that xenon, a higher-efficiency inert fill gas, should be considered a design option because there is a limited supply of this gas and prices are increasing rapidly. (NEMA, No. 22 at p. 8; Public Meeting Transcript, No. 21 at pp. 108-109)

Although price is not considered in the screening criteria, DOE did conduct an in-depth market assessment of the supply of xenon, and the potential impact of xenon supply limitations on IRL standard levels. DOE determined that although xenon is a rare gas, its supply is sufficiently large to incorporate into all IRL and that the xenon supply would not affect IRL product availability. A more detailed analysis of xenon and its availability can be found in appendix 3B of the TSD.

C. Engineering Analysis

For each product class, the engineering analysis identifies potential, increasing efficacy levels above the level of the baseline model. Those technologies not eliminated in the screening analysis (design options) are inputs to this process. Design options consist of discrete technologies (

e.g.,

infrared reflective coatings, rare-earth phosphor mixes). As detailed in the March 2008 ANOPR, to ensure that efficacy levels analyzed are technologically feasible, DOE concentrated its efforts on developing product efficacy levels associated with “lamp designs,” based upon commercially-available lamps that incorporate a range of design options in the engineering analysis. 73 FR 13620, 13645 (March 13, 2008). However, when necessary, DOE supplemented commercially available product information with an examination of the improved performance attributable to discrete technologies so that a substitute lamp at each efficacy level would be available for each baseline lamp.

In energy conservation standard rulemakings for other products, DOE often develops cost-efficiency relationships in the engineering analysis. However, for this lamps rulemaking, DOE derived efficacy levels in the engineering analysis and end-user prices in the product price determination. By combining the results of the engineering analysis and the product price determination, DOE derived typical inputs for use in the LCC and NIA. See the chapter 7 of the TSD for further details on the product price determination.

1. Approach

For the NOPR, DOE is using the same methodology for the engineering analysis that was detailed in the March 2008 ANOPR. 73 FR 13620, 13645-46 (March 13, 2008). The following is a summary of the steps taken in the engineering analysis:

• Step 1: Select Representative Product Classes

• Step 2: Select Baseline Lamps

• Step 3: Identify Lamp or Lamp-and-Ballast Designs

• Step 4: Develop Efficiency Levels.

A more detailed discussion of the methodology DOE followed to perform the engineering analysis can be found in the engineering analysis chapter of the TSD (chapter 5).

2. Representative Product Classes

As discussed in section 0 of this notice, DOE proposes establishing several product classes for GSFL and IRL. DOE proposes eight product classes across the range of covered GSFL based on utility and performance features, such as: (1) Physical constraints of lamps (

i.e.,

lamp shape and length); (2) lumen package (

i.e

., standard versus high output); and (3) correlated color temperature. For IRL, DOE proposes eight product classes based on spectrum, lamp diameter, and rated

voltage. As detailed in the March 2008 ANOPR, due to scheduling and resource constraints, DOE was not able to analyze each and every product class. 73 FR 13620, 13646 (March 13, 2008). Instead, DOE carefully selected certain product classes to analyze, and then scaled its analytical findings for those representative product classes to other product classes that were not analyzed. 73 FR 13620, 13652 (March 13, 2008). While DOE received several stakeholder comments regarding methods of scaling to product classes not analyzed (discussed in section V.C.7), DOE did not receive objections to the decision to scale to certain product classes and the representative product classes chosen in the March 2008 ANOPR.

For the NOPR, similar to its approach in the March 2008 ANOPR, DOE continued to analyze 4-foot medium bipin, 8-foot single pin slimline, and 8-foot recessed double-contact high output GSFL product classes with CCTs less than or equal to 4,500K. DOE did not explicitly analyze U-shaped lamps, but instead scaled the results of the 4-foot medium bipin class analysis. In addition, DOE has decided to analyze 4-foot T5 miniature bipin standard output lamps and 4-foot T5 miniature bipin high output lamps with CCTs less than or equal to 4,500K as representative product classes.

As discussed in section A.2, DOE chose to subdivide IRL into eight product classes with three subdivisions: (1) High versus low voltage; (2) large versus small diameter lamps; and (3) modified spectrum versus standard spectrum. As detailed in the March 2008 ANOPR, DOE chose to analyze the standard-spectrum incandescent reflector product class because standard-spectrum lamps are more common than modified-spectrum lamps. 73 FR 13620, 13648 (March 13, 2008). After analyzing catalog data and talking to industry experts, DOE found that lamps with a diameter greater than 2.5 inches are more common than lamps of smaller diameters. Lamps with voltage ratings less than 125V also are more common than lamps with higher voltage ratings. Therefore, for the NOPR, DOE proposes to analyze the product class characterized by standard spectrum, voltage less than 125V, and diameter greater than 2.5 inches. For further information on representative product classes, see chapter 5 of the TSD.

3. Baseline Lamps and Systems

Once DOE identified the representative product classes for analysis, DOE selected the representative units for analysis (

i.e.,

baseline lamps) from within each product class. These representative units are generally what DOE believes to be the most common, least efficacious lamps in their respective product classes. DOE chose multiple baseline lamps because DOE found that the market for each product class is segmented into multiple submarkets for lamps with slightly different consumer utilities. For example, the 40W T12, 34W T12, and 32W T8 lamps are the most common lamps in the commercial four-foot medium bipin product class. The 34W T12 is a reduced wattage lamp that is not as versatile as the 40W T12, however, and consumers switching from a T12 to a T8 lamp must purchase a new ballast. Thus, these lamps are not entirely substitutable, so DOE has chosen to analyze them as separate baselines. DOE's selection of baseline lamps is discussed in further detail below.

a. General Service Fluorescent Lamps

As described in the March 2008 ANOPR, DOE took a systems approach to its GSFL analysis. 73 FR 13620, 13649 (March 13, 2008). In this approach, DOE selected typical ballasts (which provide current to the lamps) to pair with each baseline lamp and higher-efficacy lamp. Though DOE did not consider the ballast as directly affecting lamp efficacy, the ballast selection does affect the overall system efficacy (system input power and total lumen output), thereby having a significant impact on LCC and NIA results. For this reason, DOE considered a variety of ballast types (

e.g.,

electronic and magnetic) and ballast factors in its analysis.

In the March 2008 ANOPR, DOE chose three baseline lamps for 4-foot medium bipins less than or equal to 4,500K (installed on T8 electronic and T12 magnetic ballasts), three baseline lamps for 8-foot single pin slimlines less than or equal to 4,500K (installed on T8 electronic and T12 magnetic ballasts), and two baseline lamps for 8-foot recessed double-contact HOs less than or equal to 4,500K (installed on T8 magnetic and T12 magnetic ballasts). 73 FR 13620, 13647 (March 13, 2008). DOE did not receive any comments on baseline lamps for the commercial and industrial sectors and thus has retained all baseline lamps from the March 2008 ANOPR. However, as discussed below, DOE did receive comments regarding additional sectors to analyze and the ballast selected to pair with the 8-foot RDC HO baseline lamps. In addition, DOE developed baseline lamp-and-ballast systems for the 4-foot T5 MiniBP SO and HO product classes.

Regarding GSFL operating in the residential sector, several stakeholders commented that residential T12 ballasts will continue to be sold past 2009 and that the residential applications of these ballasts represent a large portion of the remaining market for these lamps. (NEMA, No. 22 at pp. 20, 25; Public Meeting Transcript, No. 21 at pp. 276-277) PG&E stated that T12 lamps on magnetic ballasts continue to exist in the residential sector in California. (Public Meeting Transcript, No. 21 at p. 279) The Joint Comment also stated that residential applications need to be factored into the analysis, but because the same lamps can be used in all sectors, a separate analysis is not needed for the residential sector. (Joint Comment, No. 23 at p. 10)

In response, in this NOPR, DOE has analyzed GSFL in the residential sector. In interviews with manufacturers and by reviewing manufacturer product catalogs, DOE found that a significant portion of T12 4-foot medium bipin lamps operate in the residential sector. DOE is maintaining the same standards case lamps used in the commercial and industrial sectors for 4-foot medium bipins in the residential sector because, as the Joint Comment stated, the same lamps can be used in all sectors. However, DOE is choosing a separate baseline lamp for the residential 4-foot medium bipin analysis. Conversations with industry experts and a published study prepared for PG&E

have revealed that residential consumers are more likely to buy 40W T12 lamps because 32W T8 lamps and 34W T12 lamps are less common. Therefore, in the residential sector, DOE is only analyzing the 40W T12 lamp as a baseline lamp. In addition, reviewing available catalog information, DOE has found that the most common 40W T12 lamp sold in the residential sector is different from the 40W T12 baseline lamp presented in the March 2008 ANOPR for the commercial and industrial sectors. 73 FR 13620, 13647 (March 13, 2008). Therefore, in the NOPR, DOE has chosen a 40W T12 baseline lamp for the residential sector that has a slightly lower efficacy (76.8 lm/W) and shorter lifetime (15,000 hours) than the typical 40W T12 lamp sold in the commercial sector.

“Codes and Standards Enhancement (CASE) Initiative for PY2008: Title 20 Standards Development,”

Analysis of Standards Options for Linear Fluorescent Fixtures

(Prepared for PG&E by ACEEE, Lighting Wizards, and Energy Solutions). (Last modified May 14, 2008) Available at:

http://www.energy.ca.gov/appliances/2008rulemaking/documents/2008-05-15_workshop/other/PGE_CASE_Study_-_Linear_Fluorescent_Fixtures.pdf

After reviewing manufacturer literature and the study prepared for PG&E on fixtures in the residential sector,

DOE found that the most common residential sector ballast is a low-power-factor 2-lamp magnetic T12 system with a ballast factor of 0.68. Therefore, for the NOPR, DOE paired the baseline lamp with this ballast for the residential sector analysis.

Because DOE has decided to cover and analyze 4-foot T5 miniature bipin standard output and 4-foot T5 miniature bipin high output lamps in this rulemaking (section 0 of this notice), DOE established baseline lamps for these two product classes. NEMA and the Joint Comment both

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