FR Doc E8-4018

[Federal Register: March 13, 2008 (Volume 73, Number 50)]
[Proposed Rules]
[Page 13619-13689]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr13mr08-31]

[[Page 13619]]

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Part II

Department of Energy

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10 CFR Part 430

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

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DEPARTMENT OF ENERGY

10 CFR Part 430

[Docket No. EE-2006-STD-0131]
RIN 1904-AA92

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

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

ACTION: Advance notice of proposed rulemaking.

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SUMMARY: The Energy Policy and Conservation Act authorizes the
Department of Energy (DOE) to establish energy conservation standards
for various consumer products and commercial and industrial equipment,
including general service fluorescent lamps and incandescent reflector
lamps, for which DOE determines that energy conservation standards
would be technologically feasible and economically justified, and would
result in significant energy savings. In this advance notice of
proposed rulemaking (ANOPR), DOE is considering amendment of existing
energy conservation standards for general service fluorescent lamps and
incandescent reflector lamps, and it is also considering whether
standards should apply to additional general service fluorescent lamps.
In addition, this ANOPR considers various amendments to lighting-
related definitions DOE previously developed and incorporated into the
CFR.

DATES: DOE held a public meeting in Washington, DC, that began on March
10, 2008. The agenda for the public meeting covered first the
concurrent test procedure rulemaking for general service fluorescent,
incandescent reflector, and general service incandescent lamps (see
proposal in today's Federal Register), and then this energy
conservation standards rulemaking for these lighting products.
DOE began accepting comments, data, and information regarding the
ANOPR at the public meeting and will continue to accept comments until,
but no later than April 14, 2008. See section V, ``Public
Participation,'' of this ANOPR for details.

ADDRESSES: The public meeting was held at the U.S. Department of
Energy, Forrestal Building, Room 8E-089, 1000 Independence Avenue, SW.,
Washington, DC 20585-0121.
Any comments submitted must identify the ANOPR for Lighting
Standards, and provide the docket number EE-2006-STD-0131 and/or
Regulatory Information Number (RIN) 1904-AA92. Comments may be
submitted using any of the following methods:
Federal eRulemaking Portal: http://www.regulations.gov.
Follow the instructions for submitting comments.
E-mail: fluorescent--and--incandescent--
lamps.rulemaking@ee.doe.gov. Include the docket number EE-2006-STD-0131
and/or RIN number 1904-AA92 in the subject line of the message.
Postal Mail: Ms. Brenda Edwards, U.S. Department of
Energy, Building Technologies Program, Mailstop EE-2J, 1000
Independence Avenue, SW., Washington, DC 20585-0121. Please submit one
signed paper original.
Hand Delivery/Courier: Ms. Brenda Edwards, U.S. Department
of Energy, Building Technologies Program, 6th Floor, 950 L'Enfant
Plaza, SW., Washington, DC 20024. Telephone: (202) 586-2945. Please
submit one signed paper original.
For detailed instructions on submitting comments and additional
information on the rulemaking process, see section V of this document
(Public Participation).
Docket: For access to the docket to read background documents or
comments received, visit the U.S. Department of Energy, 6th Floor, 950
L'Enfant Plaza, SW., Washington, DC 20024, (202) 586-2945, between 9
a.m. and 4 p.m., Monday through Friday, except Federal holidays. Please
call Ms. Brenda Edwards at (202) 586-2945 for additional information
regarding visiting the Resource Room.

FOR FURTHER INFORMATION CONTACT: Ms. Linda Graves, U.S. Department of
Energy, Office of Energy Efficiency and Renewable Energy, Building
Technologies Program, EE-2J, 1000 Independence Avenue, SW., Washington,
DC 20585-0121. Telephone: (202) 586-1851. E-mail:
Linda.Graves@ee.doe.gov.
Ms. Francine Pinto or Mr. Eric Stas, U.S. Department of Energy,
Office of the General Counsel, GC-72, Forrestal Building, Mail Station
GC-72, 1000 Independence Avenue, SW., Washington, DC 20585. Telephone:
(202) 586-9507. E-mail: Francine.Pinto@hq.doe.gov or
Eric.Stas@hq.doe.gov.
For information on how to submit or review public comments and on
how to participate in the public meeting, contact Ms. Brenda Edwards,
U.S. Department of Energy, Office of Energy Efficiency and Renewable
Energy, Building Technologies Program, EE-2J, 1000 Independence Avenue,
SW., Washington, DC 20585-0121. Telephone: (202) 586-2945. E-mail:
Brenda.Edwards@ee.doe.gov.

SUPPLEMENTARY INFORMATION:

Table of Contents

I. Introduction
A. Purpose of the Advance Notice of Proposed Rulemaking
B. Authority
C. Summary of Proposed Coverage for Lamps
D. Overview of the Analyses Performed
1. Engineering Analysis and Product Price Determination
2. Energy-Use Characterization
3. Life-Cycle Cost and Payback Period Analyses
4. National Impact Analysis
E. Background
1. History of Standards Rulemaking for General Service
Fluorescent Lamps, Incandescent Reflector Lamps, and General Service
Incandescent Lamps
2. Energy Independence and Security Act of 2007
a. General Service Fluorescent Lamps
b. General Service Incandescent Lamps
c. Incandescent Reflector Lamps
d. Off Mode and Standby Mode Energy Consumption
3. Test Procedures
II. Consideration Regarding the Scope of Energy Conservation
Standards Coverage
A. Introduction
B. Additional General Service Fluorescent Lamps Being Considered
Under EPCA Section 325(i)(5)
1. Scope
2. Rationale for Coverage
3. Analysis of Individual General Service Fluorescent Lamps
C. Amended Definitions
1. ``Rated Wattage''
2. ``Colored Fluorescent Lamp''
III. Energy Conservation Standards Analyses for Fluorescent and
Incandescent Reflector Lamps
A. Market and Technology Assessment
1. Market Assessment
2. Product Classes
a. General Service Fluorescent Lamps
i. Class Setting Factors
ii. Other Potential Class-setting Factors Considered, But Not
Adopted
iii. Product Class Results
b. Incandescent Reflector Lamps
i. Class Setting Factors
ii. Other Potential Class-setting Factors Considered, But Not
Adopted
iii. Product Class Results
3. Technology Assessment
a. General Service Fluorescent Lamps
b. Incandescent Reflector Lamps
B. Screening Analysis
1. Technology Options Screened Out
a. Multi-photon Phosphors
b. Microcavity Filaments
c. Novel Filament Materials
d. Crystallite Filament Coatings
e. Luminescent Gases
f. Non-Tungsten-Halogen Regenerative Cycles

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g. Infrared Phosphor Glass Coatings
h. Integrally Ballasted Low Voltage Lamps
i. Trihedral Corner Reflectors
2. Design Options Considered Further in Analysis
C. Engineering Analysis
1. Approach
2. Representative Product Classes and Baseline Lamps
a. General Service Fluorescent Lamps
b. Incandescent Reflector Lamps
3. Lamp and Lamp-and-Ballast Designs
a. General Service Fluorescent Lamps
b. Incandescent Reflector Lamps
4. Candidate Standard Levels
a. General Service Fluorescent Lamps
b. Incandescent Reflector Lamps
5. Engineering Analysis Results
a. General Service Fluorescent Lamps
b. Incandescent Reflector Lamps
6. Scaling to Product Classes Not Analyzed
a. General Service Fluorescent Lamps
b. Incandescent Reflector Lamps
D. Energy-Use Characterization
1. Operating Hours
2. Results
E. Product Price Determination
1. Introduction and Methodology
a. Overview
b. General Service Fluorescent Lamps
c. Incandescent Reflector Lamps
2. End-User Price Results
a. General Service Fluorescent Lamps
b. Incandescent Reflector Lamps
3. Sales Taxes
F. Rebuttable Presumption Payback Periods
G. Life-Cycle Cost and Payback Period Analyses
1. Approach
2. Life-Cycle Cost Inputs
a. Total Installed Cost Inputs
b. Operating Cost, Replacement Cost, and Residual Value Inputs
i. Electricity Prices
ii. Lamp Lifetime
iii. Discount Rates
iv. Analysis Period
v. Effective Date
3. Payback Period Inputs
4. Lamp Purchasing Events
5. Life-Cycle Cost and Payback Period Results
a. General Service Fluorescent Lamps
b. Incandescent Reflector Lamps
H. Shipment Analysis
1. Historical Shipments
2. Shipment Projections to 2011 and Calculations of Stock of
Lamps in 2011
3. Base-Case and Standards-Case Shipment Forecasts to 2042
4. Market-Share Matrices
a. General Service Fluorescent Lamps
b. Incandescent Reflector Lamps
5. Shipment Forecast Results
I. National Impact Analysis
1. Approach
2. Base-Case and Standards-Case Forecasted Efficacies
3. National Impact Analysis Inputs
4. National Impact Analysis Results
J. Life-Cycle Cost Subgroup Analysis
K. Manufacturer Impact Analysis
1. Cumulative Regulatory Burden
2. Preliminary Results of the Manufacturer Impact Analysis
a. Retooling Equipment to Produce Standards-Compliant Lamps
b. Availability of Materials to Produce Standards-Compliant
Lamps
c. Maintaining Product Availability and Features
L. Utility Impact Analysis
M. Employment Impact Analysis
N. Environmental Assessment
O. Regulatory Impact Analysis
IV. Candidate Energy Conservation Standards Levels
V. Public Participation
A. Submission of Comments
B. Issues on Which DOE Seeks Comment
1. Consideration of Additional General Service Fluorescent Lamps
2. Amended Definitions
3. Product Classes
4. Scaling to Product Classes Not Analyzed
5. Screening of Design Options
6. Operating Hours
7. General Service Fluorescent Energy Consumption
8. Life-Cycle Cost Calculation
9. Installation Costs
10. Base-Case Market-Share Matrices in 2012
11. Shipment Forecasts
12. Base-Case and Standards-Case Forecasted Efficiencies
13. Trial Standard Levels
14. Lamp Production Equipment Conversion Timeframe
VI. Regulatory Review and Procedural Requirements
VII. Approval of the Office of the Secretary

Acronyms and Abbreviations

AEO Annual Energy Outlook
ANOPR advance notice of proposed rulemaking
ANSI American National Standards Institute
BEF ballast efficacy factor
BF ballast factor
BR bulged reflector (reflector lamp shape)
CBECS Commercial Buildings Energy Consumption Survey
CCT correlated color temperature
CEC California Energy Commission
CEE Consortium for Energy Efficiency
CFR Code of Federal Regulations
CFL compact fluorescent lamp
CIE International Commission on Illumination
CO2 carbon dioxide
CRI color rendering index
CSL candidate standard level
DOE U.S. Department of Energy
E26 Medium screw-base (incandescent lamp base type)
EIA Energy Information Administration
EISA 2007 Energy Independence and Security Act of 2007
EPACT 1992 Energy Policy Act of 1992
EPACT 2005 Energy Policy Act of 2005
EPCA Energy Policy and Conservation Act
ER elliptical reflector (reflector lamp shape)
FEMP Federal Energy Management Program
FR Federal Register
FTC Federal Trade Commission
GE General Electric Lighting and Industrial
GRIM Government Regulatory Impact Model
GSFL general service fluorescent lamp
GSIL general service incandescent lamp
HIR halogen infrared reflector
HO high output
HVAC Heating, Ventilating and Air-Conditioning
IESNA Illuminating Engineering Society of North America
ImSET Impact of Sector Energy Technologies
I-O input-output
IR Infrared
IRL incandescent reflector lamp
K degrees Kelvin
LCC life-cycle cost
Lm lumens
LMC U.S. Lighting Market Characterization Volume I
Lm/W lumens per watt
MECS Manufacturer Energy Consumption Survey (MECS)
MIA Manufacturer Impact Analysis
NAICS North American Industry Classification System
NEEP Northeast Energy Efficiency Partnership
NEMA National Electrical Manufacturers Association
NEMS National Energy Modeling System
NES national energy savings
NIA National Impact Analysis
NOPR notice of proposed rulemaking
NOX nitrogen oxides
NPV net present value
OIRA Office of Information and Regulatory Affairs
OMB U.S. Office of Management and Budget
PAR parabolic aluminized reflector (reflector lamp shape)
PBP payback period
PG&E Pacific Gas and Electric
R reflector (reflector lamp shape)
RECS Residential Energy Consumption Survey
SBA Small Business Administration
SO2 sulfur dioxide
T5, T8, T10, T12 tubular fluorescent lamps, diameters of 0.625, 1, 1.25
or 1.5 inches, respectively
TSD technical support document
TSL trial standard level
U.S.C. United States Code
UV ultraviolet
V volts
W watts

I. Introduction

This advance notice of proposed rulemaking (ANOPR) serves two

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primary purposes: (1) Providing a preliminary determination regarding
additional general service fluorescent lamps (GSFL) that DOE is
considering for coverage and standards; and (2) initiating rulemaking
to consider amending DOE's energy conservation standards related to
coverage of GSFL and incandescent reflector lamps (IRL). The ANOPR is
intended to help DOE satisfy two statutory directives, namely to make a
preliminary determination representing the Secretary's initial
assessment of additional GSFL to consider for energy conservation
standards under section 325(i)(5) of the Energy Policy and Conservation
Act (hereinafter ``EPCA'') (42 U.S.C. 6295(i)(5)), and to conduct an
energy conservation standards rulemaking for general service
fluorescent lamps and incandescent reflector lamps under Section
325(i)(3) of EPCA (42 U.S.C. 6295(i)(3)). Because the preliminary
determination for certain additional lamps is positive, DOE is
including such lamps in the ANOPR analyses for standard-setting
purposes.
DOE welcomes comment on any relevant issue related to this ANOPR.
However, throughout this Federal Register notice, DOE identifies
specific areas and issues on which it specifically invites comment.
These critical issues are summarized in section V.E of this notice.

A. Purpose of the Advance Notice of Proposed Rulemaking

The purpose of the ANOPR is to provide interested parties with an
opportunity to comment on:
1. The preliminary determination of additional GSFL being
considered for energy conservation standards;
2. The product classes DOE is planning to analyze in this
rulemaking;
3. The analytical framework, methodology, inputs, and models (e.g.,
life-cycle cost (LCC) and national impact analysis (NIA) spreadsheets)
that DOE developed to evaluate energy conservation standards for GSFL
and IRL (collectively referred to in this ANOPR as the ``two categories
of lamps'');
4. The analyses conducted for the ANOPR, including the preliminary
results for the engineering analysis, product price determination, LCC
and payback period (PBP) analysis, and NIA. These analyses are
summarized in this ANOPR and presented in detail in the ANOPR technical
support document (TSD), Energy Conservation Standards for General
Service Fluorescent Lamps and Incandescent Reflector Lamps,\1\
published in tandem with this ANOPR; and
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\1\ To view the technical support document for this rulemaking,
visit DOE's website at: http://www.eere.energy.gov/buildings/
appliance_standards/residential/incandescent_lamps.html.
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5. The candidate standard levels (CSLs) that DOE developed for the
ANOPR.

B. Authority

Title III of EPCA (42 U.S.C. 6291 et seq.) sets forth a variety of
provisions designed to improve energy efficiency. Part B of Title III
(42 U.S.C. 6291-6309) established the ``Energy Conservation Program for
Consumer Products Other Than Automobiles,'' which includes major
household appliances. Subsequent amendments expanded Title III of EPCA
to include additional consumer products and certain commercial and
industrial equipment, including certain fluorescent and incandescent
lamps--the products that are the focus of this document. In particular,
amendments to EPCA in the Energy Policy Act of 1992 (EPACT 1992), P.L.
102-486, established energy conservation standards for certain classes
of GSFL and IRL, and authorized DOE to amend these standards if such
amendments were warranted. (42 U.S.C. 6291(1), 6295(i)(1) and (3)-(4))
The same EPACT 1992 amendments to EPCA also authorized DOE to adopt
standards for additional GSFL and general service incandescent lamps
(GSIL), if such additional standards were warranted. (42 U.S.C.
6295(i)(5)) Subsequent amendments to EPCA in the Energy Independence
and Security Act of 2007 (EISA 2007), P.L. 110-140, amended the
existing energy conservation standards for IRL and removed DOE's
authority under 42 U.S.C. 6295(i)(5) to adopt standards for additional
GSIL.
Before DOE establishes any new or amended energy conservation
standards, it must first solicit public comments on a proposed
standard. EPCA, as amended, specifies that any new or amended energy
conservation standard that DOE prescribes for consumer products shall
be designed to ``achieve the maximum improvement in energy efficiency *
* * which the Secretary [of Energy] determines is technologically
feasible and economically justified.'' (42 U.S.C. 6295(o)(2)(A))
Moreover, EPCA states that the Secretary of Energy (the Secretary) may
not establish an amended standard if such standard would not result in
``significant conservation of energy,'' or ``is not technologically
feasible or economically justified.'' (42 U.S.C. 6295(o)(3)(B)) To
determine whether a proposed standard is economically justified, DOE
must, after receiving comments on the proposed standard, determine
whether the benefits of the standard exceed its burdens to the greatest
extent practicable, weighing the following seven statutory factors:
(1) The economic impact of the standard on manufacturers and
consumers of the product subject to the standard;
(2) The savings in operating costs throughout the estimated average
life of the covered product in the type (or class) compared to any
increase in the price, initial charges, or maintenance expenses for the
covered product that are likely to result from the imposition of the
standard;
(3) The total projected amount of energy savings (or, as
applicable, water savings) likely to result directly from the
imposition of the standard;
(4) Any lessening of the utility or the performance of the covered
product likely to result from the imposition of the standard;
(5) The impact of any lessening of competition, as determined in
writing by the Attorney General, that is likely to result from the
imposition of the standard;
(6) The need for national energy and water conservation; and
(7) Other factors the Secretary considers relevant. (42 U.S.C.
6295(o)(2)(B)(i))

C. Summary of Proposed Coverage for Lamps

DOE's regulations currently set energy efficiency standards for
certain classes of general service fluorescent lamps and incandescent
reflector lamps. 10 CFR 430.32(n). However, section 325(i)(5) of EPCA
directs the Secretary of Energy to consider whether the standards in
effect for GSFL should be amended so as to apply to ``additional
general service fluorescent lamps.'' (42 U.S.C. 6295(i)(5)).
Accordingly, in section II of this notice, DOE presents its preliminary
determination regarding additional lamps that may be considered as part
of the standards rulemaking. Section II provides a summary of DOE's
authority under EPCA to consider additional lamps for coverage. In
addition, because the preliminary determination was positive, section
II also presents, by lamp type, the additional lamps for which DOE
intends to consider setting standards.

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D. Overview of the Analyses Performed

As noted above, EPCA authorizes DOE to consider establishing or
amending energy conservation standards for various consumer products
and commercial and industrial equipment, including the two categories
of lamps that are the subject of this ANOPR. For each of these
products, DOE conducted key technical analyses for this ANOPR in the
following areas: (1) Engineering; (2) energy-use characterization; (3)
product price determination; (4) LCC and PBP analyses; and (5) NIA. DOE
performed a separate set of the requisite analyses for each of the two
categories of lamps examined in this rulemaking. This ANOPR presents
the methodology and results of each of these analyses (first an
overview, followed by a more in-depth discussion).
For each type of analysis, Table I.1 identifies the sections in
this document that summarize the methodologies, key inputs, and
assumptions for the analysis. In addition, DOE conducted several other
analyses that either support the five analyses discussed above or are
preliminary analyses that will be expanded upon during the NOPR stage
of this rulemaking. These analyses include the market and technology
assessment, a screening analysis which contributes to the engineering
analysis, and the shipments analysis which contributes to the national
impacts analysis. In addition to these analyses, DOE has begun some
preliminary work on the life-cycle cost subgroup analysis, manufacturer
impact analysis, utility impact analysis, employment impact analysis,
environmental assessment analysis, and the regulatory impact analysis
for the ANOPR. These analyses will be expanded upon during the NOPR
stage of this rulemaking.
DOE consulted with interested parties as part of its process for
conducting all of the analyses for the ANOPR and invites further input
from the public on these topics. While obtaining such input is the
primary purpose of this stage of the rulemaking, this notice also
contains a synopsis of the preliminary analytical results. (The TSD
contains a complete set of results.) The purpose of publishing these
preliminary results in this notice is to: (1) Facilitate public comment
on DOE's analytical methodology; (2) illustrate the level of detail
found in the TSD; and (3) invite comment on the structure and the
presentation of those results. The preliminary analytical results
presented in the ANOPR are subject to revision following review and
input from the public.

Table I.--1 Key Technical Analyses Conducted for the ANOPR
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ANOPR section and
Analysis area Methodology Key inputs \2\ Key assumptions TSD chapter
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Engineering Analysis............ Design option Published catalog Analysis can be Section III.C and
analysis to data on extended to TSD Chapter 5.
establish lamp performance product classes
and lamp-and- values such as and efficiency
ballast designs operating life, levels for which
at each CSL. rated power, DOE did not
efficacy, and conduct analysis;
light output. ballast system
power varies
linearly by
ballast factor.
Energy-Use Characterization..... Multiply lamp Annual operating Data sources are Section III.D and
power, or lamp- hours by lamp indicative of TSD Chapter 6.
and-ballast type; lamp, or current lighting
system power, by lamp and ballast, use.
annual operating energy
hours. consumption.
Energy
Information
Administration
(EIA) 2001, 2002,
and 2003 survey
data and 2002
U.S. Lighting
Market
Characterization
Study Vol. I.
Product Price Determination..... Mark up Manufacturer price Future pricing for Section III.E and
manufacturer schedules. more efficacious TSD Chapter 7.
price schedules Publicly products will
to develop low, available reflect discounts
medium, and high discount used with today's
end-user retail schedules from commodity
prices. State procurement products.
contracts and
other users.
Life-cycle Cost and Payback Use Monte Carlo Lamp and ballast AEO 2007 basis for Section III.G and
Period Analyses. simulation in installation energy price TSD Chapter 8.
combination with costs; annual forecasts and EIA
inputs that are energy 2005 basis for
characterized consumption; distribution of
with probability electricity electricity
distributions to prices and future prices; average
establish a trends; product discount rate is
distribution of lifetimes; 5.6% for the
consumer economic discount rates; residential
impacts (i.e., consumer ``lamp sector, 6.2% for
LCC savings and purchasing the commercial
PBP); capture events'' that sector, and 7.5%
variability in cause purchase of for the
annual energy a new lamp / industrial sector.
use; correlate system; building
electricity samples based on
prices with the EIA's
building samples Commercial
to capture Building Energy
regional and Consumption
sector-specific Survey (CBECS),
variability; use EIA's Residential
residual value to Energy
account for any Consumption
remaining life of Survey (RECS),
a lamp at the end and EIA's
of the analysis Manufacturing
period; report Energy
LCC savings by Consumption
event type and Survey (MECS) and
CSL. the U.S. Lighting
Market
Characterization
Vol. I (LMC).

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National Impact Analysis and Forecasts of Historical and Annual shipments; Sections III.H and
Shipment Analysis. national GSFL and forecasted annual forecasted base- III.I; TSD
IRL costs and shipments; lamp case and Chapters 9 and
energy stock; total standards-case 10.
consumption; installed product efficacy
forecast costs; unit improvements
shipments through annual energy based on market-
the use of a consumptions; share matrices
stock accounting AEO2007 energy and historical
model. DOE used price forecasts; trends; AEO2007
the lamp purchase site-to-source basis for site-to-
events to divide conversion source conversion
the market into factors for factors; discount
segments--new electricity; rates are 3
construction, discount rate; percent and 7
replacements, and HVAC interaction, percent real;
early retrofit and rebound future costs
(only for GSFL); effect. discounted to
use multiple present year
scenarios to (2007).
forecast the
technology mix of
lamps (and
ballasts) sold at
each CSL.
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1. Engineering Analysis and Product Price Determination
DOE uses the engineering analysis and product price determination
together to characterize the relationship between the end-user
(consumer) price and the efficiency of the product DOE evaluates for
standards. The relationship between the efficiency of a product and the
price of that product is essential in determining the relative cost of
a more efficient product over its lifetime (i.e., the purchase price of
the product plus maintenance and operating costs) as compared to a less
efficient product. This calculation is necessary to determine whether
individual consumers and the nation will benefit under an efficiency
standard. DOE's approach to these analyses is explained briefly below.
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\2\ The data sources cited in this table were the most current
available at the time DOE prepared this ANOPR. In the future, should
more up-to-date sources become available, DOE will incorporate those
more up-to-date sources into its analysis.
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The engineering analysis identifies the representative baseline
lamps, or lamp-and-ballast combinations, that DOE will evaluate in the
engineering analysis. The term ``baseline'' refers to a lamp (or lamp-
and-ballast system) that has features and technologies typically found
in equipment currently offered for sale and is representative of the
characteristics of products in a given product class; for products
which are already subject to an energy efficiency standard, the
baseline unit is typically one which just meets the current regulatory
requirement.
DOE based the product price determination for lamps and ballasts on
marked-up manufacturer price schedules, developing low, medium, and
high end-user retail prices. Section III.C and Chapter 5 of the TSD
discuss the engineering analysis, and section III.E and Chapter 7 of
the TSD discuss the product price determination in further detail.
2. Energy-Use Characterization
The energy-use characterization provides estimates of annual energy
use for the two categories of lamps which are the subject of the
present rulemaking. DOE uses these estimates in the LCC and PBP
analyses, as well as the NIA. To develop annual energy use estimates,
DOE multiplied annual usage (in hours per year) by the system power
estimates (in watts). In order to obtain the inputs for these
calculations, DOE took the following steps. DOE developed the system
power estimates in the engineering analysis. To derive annual energy
usage, DOE used data published in the U.S. Lighting Market
Characterization: Volume I (LMC) \3\, the Residential Energy
Consumption Survey (RECS) \4\, the Commercial Building Energy
Consumption Survey (CBECS) \5\, and the Manufacturer Energy Consumption
Survey (MECS) \6\. More detail on the calculation of operating hours is
available in section III.D.1 of this notice, and Chapter 6 of the TSD.
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\3\ U.S. Department of Energy. Office of Energy Efficiency and
Renewable Energy, Energy Conservation Program for Consumer Products:
Final Report: U.S. Lighting Market Characterization, Volume I:
National Lighting Inventory and Energy Consumption Estimate (2002).
Available at: www.eere.energy.gov/buildings/info/documents/pdfs/
lmc_vol1_final.pdf.
\4\ U.S. Department of Energy. Energy Information Agency,
Residential Energy Consumption Survey: File 1: Housing Unit
Characteristic (2006). Available at: http://www.eia.doe.gov/emeu/
recs/recs2001/publicuse2001.html.
\5\ U.S. Department of Energy. Energy Information Agency,
Commercial Building Energy Consumption Survey: Micro-level data,
file 2 Building Activities, Special Measures of Size, and Multi-
building Facilities (2003). Available at: http://www.eia.doe.gov/
emeu/cbecs/public_use.html.
\6\ U.S. Department of Energy. Energy Information Agency,
Manufacturing Energy Consumption Survey, Table 1.4: Number of
Establishments by First Use of Energy for All Purposes (Fuel and
Nonfuel) (2002). Available at: http://www.eia.doe.gov/emeu/mecs/
mecs2002/data02/shelltables.html.
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3. Life-Cycle Cost and Payback Period Analyses
The LCC and PBP analyses determine the economic impact of potential
standards on individual consumers. The LCC is the total consumer
expense for a product over the life of the product (i.e., purchase
price plus maintenance and operating costs). The LCC analysis compares
the LCC of products and equipment designed to meet possible energy
conservation standards with the LCC of the products and equipment
likely to be installed in the absence of standards.
The PBP represents the number of years required to recover the
increase in purchase price (including installation cost) of a more-
efficient product through savings in the operating cost of the product.
The PBP is calculated by dividing the change in total installed cost
due to increased efficacy by the change in annual operating cost from
increased efficacy. More detail on the calculation of LCC and PBP is
available in section III.G of this notice and Chapter 8 of the TSD.
4. National Impact Analysis
The NIA estimates the national energy savings (NES) and the net
present value (NPV) of total customer costs and savings expected to
result to the nation from new standards at specific efficiency levels.
Stated another way, in the NIA, DOE calculates NES and NPV for any
given potential standard level for each of the two categories of lamps
as the difference between a base-case forecast (i.e., without new
standards) and the standards-case forecast (i.e., with new standards).
To start, DOE determines national annual energy consumption by
multiplying the

[[Page 13625]]

number of units in use which are expected to be purchased after the
standard takes effect by their average unit energy consumption. Using
that input, the NES is calculated as the sum of the cumulative annual
energy savings over the analysis period (2012-2042).\7\ The national
NPV is then calculated from the discounted net savings each year for
the products purchased over that same analysis period. The NPV sums the
discounted net savings each year, consisting of the difference between
the savings in total operating costs and increases in total installed
costs. More detail on the NIA is available in sections III.H and III.I
of this notice and Chapters 9 and 10 of the TSD.
---------------------------------------------------------------------------

\7\ DOE uses 31 years as the time period of analysis for its NES
calculations in many of its rulemakings, in order to enable
stakeholders to understand the relative magnitude of energy savings
potentials of the various products and standard levels being
considered.
---------------------------------------------------------------------------

E. Background

1. History of Standards Rulemaking for General Service Fluorescent
Lamps, Incandescent Reflector Lamps, and General Service Incandescent
Lamps
As noted above, EPCA established energy conservation standards for
GSFL, requiring that certain fluorescent lamps meet prescribed minimum
efficacy levels and minimum color rendering index (CRI) levels. EPCA
also established efficacy standards for certain IRL. (42 U.S.C.
6295(i)(1)) For both categories of lamps, EPCA requires that DOE
conduct two cycles of rulemakings to determine whether the standards
should be amended. (42 U.S.C. 6295(i)(3)-(4)) In addition, EPCA
provides that within 24 months after U.S. Federal Trade Commission
(FTC) labeling requirements become effective for GSFL and GSIL, DOE
must initiate a rulemaking to determine if the standards in effect for
fluorescent and incandescent lamps should be amended so that they would
be applicable to additional general service fluorescent lamps. (42
U.S.C. 6295(i)(5)) Within 18 months of initiating the rulemaking, EPCA
further requires DOE to publish a final rule containing such amendment,
if any. (42 U.S.C. 6295(i)(5)) The FTC published a final rule
establishing labeling requirements for covered lamps on May 13, 1994,
with an effective date of May 15, 1995. 59 FR 25176.
In this rulemaking, DOE is addressing two statutory directives
under 42 U.S.C. 6295(i). First, DOE is reviewing and deciding whether
to amend EPCA's prescribed energy conservation standards for GSFL and
IRL. (42 U.S.C. 6295(i)(3)) Second, DOE is reviewing whether energy
conservation standards should be made applicable to additional GSFL.
(42 U.S.C. 6295(i)(5))
To initiate the current energy conservation standards rulemaking,
on May 31, 2006, DOE published on its Web site the Rulemaking Framework
Document for General Service Fluorescent Lamps, Incandescent Reflector
Lamps, and General Service Incandescent Lamps \8\ (``Framework
Document''), which describes the procedural and analytical approaches
it anticipated using to evaluate potential energy conservation
standards for these products.\9\ DOE published a notice to announce the
availability of the Framework Document, to schedule a public meeting on
the planned analytical framework for this rulemaking (hereafter,
``Public Meeting''), and to invite written comments concerning this
analytical framework. The title of that Federal Register notice
published on May 31, 2006 is ``Energy Conservation Standards for
General Service Fluorescent Lamps, Incandescent Reflector Lamps, and
General Service Incandescent Lamps: Notice of Public Meeting and
Availability of the Framework Document,'' \10\--71 FR 30834.
---------------------------------------------------------------------------

\8\ A PDF copy of the framework document published in May 2006
is available at: http://www.eere.energy.gov/buildings/appliance_
standards/residential/pdfs/lamps_framework.pdf.
\9\ At the time of publication of the Framework Document, EPCA
gave DOE authority to consider energy conservation standards for
additional GSIL under 42 U.S.C. 6295(i)(5). However, subsequent
amendments to EPCA in EISA 2007 removed that authority.
\10\ This rulemaking notice is available at: http://
www.eere.energy.gov/buildings/appliance_standards/residential/
incandescent_lamps.html.
---------------------------------------------------------------------------

A Public Meeting was held on June 15, 2006, whose purpose was to
discuss the analyses and issues identified in various sections of the
Framework Document. At the Public Meeting, DOE described the different
analyses it would conduct, such as the LCC and PBP analyses, the
methods it planned to employ when conducting them, and the relationship
among the various analyses.\11\ Manufacturers, trade associations,
environmental advocates, and other interested parties attended the
Public Meeting. Issues discussed included: (1) The rulemaking's scope
of coverage and definition of exclusions; (2) the development of
product classes; (3) lamp-life variation; (4) selection of
representative lamps for analysis and baseline models; (5) appropriate
methods and sources for developing end-user price estimates; (6) test
procedures; (7) the methodology for developing shipment estimates; (8)
the need for systems analysis for GSFL (i.e., analyzing a lamp and a
ballast in some scenarios); (9) the impact of higher efficacy lamps on
building space conditioning loads; and (10) the use of average
electricity rates. Comments submitted during the Framework Document
comment period elaborated upon these major issues raised at the June
2006 Public Meeting. DOE worked with its contractors to address these
issues in the ANOPR analyses.
---------------------------------------------------------------------------

\11\ PDF copies of the slides and other material associated with
the public meeting are available at: http://www.eere.energy.gov/
buildings/appliance_standards/residential/lamps_meeting_
061506.html.
---------------------------------------------------------------------------

Comments received in response to the Framework Document helped
identify further issues involved in this rulemaking, and such input
contributed to the overall analytical process. This document summarizes
the comments DOE has received to date, each with a parenthetical
reference at the end citing the location of the item in the docket for
this rulemaking (i.e., the public record).
2. Energy Independence and Security Act of 2007
On December 19, 2007, during the ANOPR phase of this rulemaking,
the Energy Independence and Security Act of 2007 was signed into law.
In relevant parts, EISA 2007 amends various EPCA provisions regarding
GSFL, IRL, and GSIL, and considerably changes the scope of this
rulemaking and the structure of DOE's ANOPR analyses. Accordingly, DOE
has incorporated these changes in both the preliminary determination
and energy conservation standards analyses contained in this ANOPR. DOE
notes that the relevant amendments in EISA 2007 are effective on the
date prescribed by the legislation, not on the effective date of this
rulemaking.
As stated earlier, in May 2006 DOE published a Framework Document
outlining the procedural and analytical approaches it anticipated using
for this rulemaking. In addition, DOE received both written and oral
comments in response to the Framework Document. Due to the recent
amendments to EPCA in EISA 2007, the scope of coverage and analytical
approach presented in this ANOPR by necessity differs from that which
was previously outlined in the Framework Document. In addition, given
these latest legislative amendments, numerous comments submitted no
longer hold relevance to this rulemaking and, therefore, are not
addressed in this ANOPR. The following section summarizes various
sections of EISA 2007 relevant to this rulemaking and discusses their
effect on the preliminary determination and

[[Page 13626]]

ANOPR analyses contained in this notice.
a. General Service Fluorescent Lamps
Regarding GSFL, section 316(b) of EISA 2007 amends section
321(30)(B)(viii) of EPCA (42 U.S.C. 6291(30)(B)(viii)) by modifying the
definition of ``general service fluorescent lamp'' so as to exclude
lamps with a CRI of 87 or greater (as compared to the previous
exclusion for lamps with a CRI of 82 or greater). This amendment
effectively changes the scope of coverage of energy conservation
standards for GSFL to now include additional fluorescent lamps with a
CRI rating from 82 up to 87. The ANOPR analyses reflect this change in
scope of coverage by analyzing lamp designs with CRI ratings up through
86 and also by accounting for the national impacts due to the
regulation of this full range of GSFL.
In addition, section 322(b) of EISA 2007 amends section 325(i) of
EPCA (42 U.S.C. 6295(i)) by moving the table of efficacy requirements
for fluorescent lamps from section 325(i)(1)(A) to section
325(i)(1)(B). However, every aspect of the table is identical to the
previous standard as enacted by EPACT 1992, including the product
groupings, and the minimum efficacy and CRI requirements.\12\
Therefore, the amendment in section 322(b) of EISA 2007 results in no
substantive change in DOE's approach toward GSFL. Furthermore, the
legislation does not modify the authority to consider extending
coverage to additional GSFL under section 325(i)(5) of EPCA (42 U.S.C.
6295(i)(5)).
---------------------------------------------------------------------------

\12\ These CRI requirements reflect minimum CRI standards for
covered fluorescent lamps. These minimum requirements are not
affected by the exclusion in the definition of ``general service
fluorescent lamp'' for lamps with a CRI of 87 or greater, as amended
by EISA 2007.
---------------------------------------------------------------------------

b. General Service Incandescent Lamps
Regarding GSIL, section 321(a)(1) of EISA 2007 amends section
321(30) of EPCA (42 U.S.C. 6291(30)) by deleting the existing
definition and inserting a new definition for ``general service
incandescent lamp.'' In the context of redefining ``general service
incandescent lamp,'' this section also introduces new definitions for
several lighting-related terms, some of which were previously defined
by DOE in the CFR. Definitions contained in section 321(a)(1) of EISA
2007 relevant to this rulemaking include the following terms: (1)
``Modified spectrum;'' (2) ``rough service lamp;'' (3) ``vibration
service lamp;'' and (4) ``colored incandescent lamp.'' The effect that
the incorporation of these definitions has on this rulemaking will be
discussed in section I.E.2.c of this notice.
In addition, section 321(a)(3) amends section 325 of EPCA (42
U.S.C. 6295) by prescribing separate energy conservation standards and
minimum rated lifetimes for general service incandescent lamps and
modified spectrum general service incandescent lamps, with effective
dates ranging from January 1, 2012 to January 1, 2014. In addition,
this section also directs DOE to conduct two future standards
rulemakings to review and possibly amend the standards. Furthermore,
although EPACT 1992 gave DOE authority under 42 U.S.C. 6295(i)(5) to
consider additional general service incandescent lamps for energy
conservation standards coverage, section 321(a)(3) of EISA 2007 amends
section 325(i)(5) of EPCA and removes this provision. Accordingly, DOE
has terminated its preliminary determination regarding the expansion of
scope to additional GSIL. In addition, as EISA 2007 prescribed energy
conservation standards for GSIL, this ANOPR does present any analyses
or candidate standard levels related to GSIL.
c. Incandescent Reflector Lamps
Regarding IRL, section 322(a)(1) of EISA 2007 amends section
321(30)(C)(ii) of EPCA (42 U.S.C. 6291(30)(C)(ii)) by modifying the
portion of the definition of ``incandescent lamp'' which is applicable
to reflector lamps so as to expand that definition to include lamps
with a diameter between 2.25 and 2.75 inches, as well as BPAR-, ER-,
and BR-shaped lamps. In addition, section 322(a)(2) of EISA 2007 adds
new statutory definitions for a BPAR incandescent reflector lamp, a BR
incandescent reflector lamp, and an ER incandescent reflector lamp.
These new statutory definitions supersede the existing CFR definitions
for ``ER incandescent reflector lamp'' and ``BR incandescent reflector
lamp'' that were developed by DOE (62 FR 29221 (May 29, 1997)), and
thereby remove DOE's authority to amend these definitions.
In addition, section 322(b) of EISA 2007 amends section 325(i) of
EPCA (42 U.S.C. 6295(i)) by moving the table of minimum average lamp
efficacy requirements for IRL from section 325(i)(1)(A) to section
325(i)(1)(B). However, as noted above for GSFL, every aspect of this
table of IRL efficacy requirements is identical to the previous
standard as enacted by EPACT 1992. Section 322(b) also amends EPCA to
incorporate several new exemptions to the IRL standards in a newly-
adopted section 325(i)(1)(C) of EPCA. These exemptions are as follows:
(1) Lamps rated at 50 watts or less that are ER30, BR30, BR40, and
ER40; (2) lamps rated at 65 watts that are BR30, BR40, or ER40 lamps;
and (3) R20 incandescent reflector lamps rated 45 watts or less. DOE
notes that the expanded scope of IRL, as presented in EISA 2007, is
consistent the proposal contained in a joint comment submitted by the
American Council for an Energy Efficient Economy (ACEEE) and the
National Electrical Manufacturers Association (NEMA) regarding this
rulemaking. (ACEEE and NEMA, No. 14 at pp. 3-8) The effective date of
energy conservation standards for BPAR, ER, and BR shaped lamps as
prescribed by EISA 2007 is January 1, 2008. The effective date of
standards for smaller diameter IRL as prescribed by EISA 2007 (i.e.,
diameter of more than 2.25 inches, but not more than 2.75 inches) is
the later of January 1, 2008 or 180 days after the date of enactment of
EISA 2007. Given that EISA 2007 was enacted on December 19, 2007, the
effective date of these standards for smaller diameter IRL is June 16,
2008. In both of these cases, the EISA 2007 standards come into effect
well before an amended IRL standard (as would be prescribed by this
rulemaking) would come into effect. DOE's draft ANOPR analyses were
modified to account for this expanded scope of IRL coverage by
selecting IRL baselines which DOE expects to be the least efficacious
covered lamp design that would comply with the amended standard. In
addition, DOE updated its IRL shipment forecasts in response to EISA
2007 to account for both the expansion of scope for Federally-regulated
reflector lamps and the exemptions to the standards.
In addition, it is also important to note that, as previously
discussed, EISA 2007 introduced statutory definitions for ``rough
service lamp,'' ``vibration service lamp,'' and ``colored incandescent
lamp,''--lamp types which are explicitly excluded from the definition
of ``incandescent reflector lamp,'' as contained in the referenced
definition of ``incandescent lamp.'' DOE had previously developed and
adopted into the CFR definitions for these three terms in the context
of IRL; however, as previously mentioned, these DOE definitions are now
superseded by the statutory definitions in EISA 2007. As these terms
are used to define that portion of the definition of ``incandescent
lamp'' that corresponds to the definition of ``incandescent reflector
lamp,'' any amendments to these terms affect the scope of energy

[[Page 13627]]

conservation standards coverage of IRL. In examining the new
definitions for ``rough service lamp'' and ``vibration service lamp,''
DOE recognizes that they differ from the earlier CFR definitions DOE
had adopted. In response to the changes to these definitions, DOE
attempted to account for these changes in the ANOPR analyses.
Similarly, the new EISA 2007 definition for ``colored incandescent
lamp'' effectively expands the scope of coverage for IRL. That is, IRL
containing five percent or more of neodymium content and plant light
IRL are now subject to energy conservation standards. DOE accounts for
this expanded coverage of IRL by creating a separate product class for
these lamps, termed ``modified spectrum lamps.'' This decision to treat
modified spectrum lamps separately is consistent with the approach
taken in EISA 2007 with respect to GSIL.
Finally, although EPACT 1992 gave DOE authority under U.S.C.
6295(i)(5) to consider additional general service incandescent lamps
(which included IRL) for energy conservation standards coverage,
section 321(a)(3) of EISA 2007 has amended section 325(i)(5) of EPCA to
remove this provision. Accordingly, DOE has terminated its preliminary
determination regarding the expansion of scope to additional GSIL and
IRL. However, as discussed above, in the ANOPR analyses, DOE accounts
for the new scope of coverage for IRL for purposes that remain relevant
to this rulemaking (i.e., considering amended efficacy standards for
all covered IRL).
d. Off Mode and Standby Mode Energy Consumption
In addition to the specific relevant actions described above, EISA
2007 also places various requirements on all covered products. Of
particular note here, section 310(3) of EISA 2007 amends section 325 of
EPCA (42 U.S.C. 6295) by mandating that any final rule establishing or
revising a standard for a covered product that is adopted after July 1,
2010 shall incorporate standby mode and off mode energy use into the
standard, if feasible. DOE notes that final rule for this energy
conservation standards rulemaking on fluorescent and incandescent lamps
is scheduled for publication by June 2009. In addition, after careful
review, DOE has preliminarily determined that for the GSFL and IRL
which are the subjects of this rulemaking, current technologies for
these products do not employ a standby mode or off mode, so a
determination of the energy consumption of such features is
inapplicable. Given EISA 2007's definitions of ``active mode,'' ``off
mode,'' and ``standby mode'' \13\ applicable to both GSFL and IRL, the
lamp must be entirely disconnected from the main power source (i.e.,
the lamp is switched off) in order not to provide any active mode
function (i.e., emit light), thereby meeting the second provision in
the definition of ``off mode.'' However, if the lamp is disconnected
from the main power source, the lamp clearly does not satisfy the
requirements of operating in off mode. In addition, DOE believes that
all covered products that meet the definitions of ``GSFL'' and ``IRL''
are single-function products and do not offer any secondary user-
oriented or protective functions. Therefore, DOE has tentatively
concluded that it is not feasible to incorporate off mode or standby
mode energy use into the energy conservation standards for GSFL and
IRL. DOE welcomes comment on its understanding of off mode and standby
mode energy consumption for the products addressed by this rulemaking.
---------------------------------------------------------------------------

\13\ In amending 42 U.S.C. 6295(gg)(1)(a)(i), (ii), and (iii),
EISA 2007 defines ``active mode,'' ``off mode,'' and ``standby
mode'' as follows: `` The term `active mode' means the condition in
which an energy-using product--(I) is connected to a main power
source; (II) has been activated; and (III) provides 1 or more main
functions.'' ``The term `off mode' means the condition in which an
energy-using product--(I) is connected to a main power source; and
(II) is not providing any stand-by or active mode function.'' ``The
term `standby mode' means the condition in which an energy-using
product--(I) is connected to a main power source; and (II) offers 1
or more of the following user-oriented or protective functions: (aa)
To facilitate the activation or deactivation of other functions
(including active mode) by remote switch (including remote control),
internal sensor, or timer. (bb) Continuous functions including
information or status displays (including clocks) or sensor-based
functions.''
---------------------------------------------------------------------------

3. Test Procedures
DOE test procedures outline the method by which manufacturers must
determine the efficiency of their products and equipment, and thereby
assess and certify compliance with the energy conservation standards
adopted pursuant to EPCA. DOE established test procedures for
fluorescent and incandescent lamps in a final rule published in the
Federal Register on May 29, 1997 (hereafter ``1997 Test Procedure Final
Rule''). 62 FR 29222 (adopting 10 CFR part 430, Subpart B, Appendix R
\14\). In addition, the test procedures incorporate by reference
American National Standards Institute (ANSI), Illuminating Engineering
Society of North America (IESNA), and International Commission on
Illumination (CIE) standards to measure lamp efficacy and CRI. In their
totality, the DOE test procedures provide detailed instructions for
measuring the performance of GSFL and IRL and certain performance
attributes of GSIL.
---------------------------------------------------------------------------

\14\ ``Uniform Test Method for Measuring Average Lamp Efficiency
(LE) and Color Rendering Index (CRI) of Electric Lamps.''
---------------------------------------------------------------------------

The National Electrical Manufacturers Association (NEMA) submitted
a comment identifying what it perceived to be problems with several of
the industry standards incorporated in DOE's test procedures.
Specifically, NEMA stated that many of the standards referenced in the
test procedures are outdated, have been replaced, or are no longer
available. (NEMA, No. 12 at pp. 2-4) \15\
---------------------------------------------------------------------------

\15\ A notation in the form ``NEMA, No. 12 at pp. 2-4''
identifies a written comment that DOE has received and has included
in the docket of this rulemaking. This particular notation refers to
a comment (1) by the National Electrical Manufacturers Association
(NEMA), (2) in document number 12 in the docket of this rulemaking,
and (3) appearing on pages 2 through 4.
---------------------------------------------------------------------------

Prompted by the NEMA comment, DOE reviewed the DOE test procedures
for GSFL, IRL, and GSIL, and DOE has tentatively concluded that they
should be revised because many of industry standards cited in the test
procedures are out of date, are not available for purchase, or are no
longer maintained. Therefore, DOE has initiated a test procedure
rulemaking, in parallel with this energy conservation standards
rulemaking, to review and revise the test procedures for these three
categories of lamps--GSFL, IRL and GSIL (even though GSIL is no longer
part of this ANOPR). To this end, DOE is publishing a notice of
proposed rulemaking (NOPR) in today's Federal Register that proposes to
amend the lighting test procedures. The following briefly summarizes
the major points in the test procedures NOPR; however, for a complete
discussion on these and other points, please consult the NOPR.
In the test procedure NOPR, DOE is proposing primarily to update
the references to outdated industry standards for fluorescent and
incandescent lamps. DOE believes this update is necessary in order to
ensure that stakeholders and testing laboratories are able to follow
DOE's test procedures, which require obtaining and using several
industry standards incorporated by reference. DOE believes that the
proposed test procedure amendments would not impact the measured
efficacy of a lamp.
In the test procedure NOPR, DOE is also proposing a few
definitional and procedural modifications to accommodate technological
migrations in the GSFL market and approaches DOE is considering in this
energy

[[Page 13628]]

conservation standards rulemaking. Specifically, DOE is proposing to
mandate that GSFL testing continue to be conducted on low-frequency
ballasts whenever possible. By maintaining fluorescent lamp testing on
low-frequency ballasts when possible, DOE's proposed updates to more
current ANSI standards would not alter the measured efficacy of
fluorescent lamps and maintain consistent testing across manufacturers.
In addition, DOE is proposing amendments related to the calculation of
``lamp efficacy'' for GSFL. Presently, manufacturers are directed to
report efficacies to differing degrees of accuracy for fluorescent and
incandescent lamps. For example, fluorescent lamp efficacies are
rounded off to the nearest whole number, while incandescent lamp
efficacies are reported to the tenths decimal place. DOE is proposing
to revise the reporting requirements for GSFL, such that all covered
lamp efficacies are reported with an accuracy to the tenths decimal
place. DOE believes that such change would not only promote consistency
among the various lamp categories, but also would coincide with the
significant digits presented in the EPCA efficacy standard. In addition
DOE found that in order to have standard levels for GSFL that are best
able to maximize energy savings, it must utilize the tenths decimal
place in its energy conservation standards analysis.
DOE is also proposing in the test procedure NOPR to adopt a testing
and calculation method for measuring the correlated color temperature
(CCT) of fluorescent and incandescent lamps, a provision that is not
currently contained in the test procedure. DOE is considering using CCT
to differentiate between product classes for GSFL, and DOE notes that
the definitions of ``colored fluorescent lamp'' and ``colored
incandescent lamp'' both incorporate CCT ranges, which, in part,
determine whether lamps are subject to regulation.
The test procedure NOPR also recognizes that DOE is considering the
possibility of extending coverage to certain additional GSFL (see
section II of this notice). In addition, the test procedure NOPR
recognizes and accounts for the fact that EISA 2007 has extended
statutorily-prescribed energy conservation standards to specified types
of GSIL. Thus, the NOPR informs the public that DOE intends to amend
the test procedures to accommodate these additional lamps, and to
provide appropriate test methods, should DOE adopt standards for them.
Overall, and as stated in the NOPR, DOE believes that most of the
proposed revisions to the test procedures would not significantly
change the reported efficacy of covered lamps or result in a
significant increase in testing burden. For any that do have an
appreciable impact on the reported efficacy, DOE is proposing to delay
the effectiveness of such test procedure revision until the effective
date of any new energy conservation standard for these products.
DOE held a public meeting to discuss both the test procedure NOPR
and energy conservation standards ANOPR for fluorescent and
incandescent lamps. DOE intends to issue a final rule for the lamps
test procedure prior to issuing the NOPR for the energy conservation
standards rulemaking.

II. Consideration Regarding the Scope of Energy Conservation Standards
Coverage

A. Introduction
As noted previously, section 325(i)(5) requires DOE to consider
whether to adopt energy efficiency standards for additional GSFL beyond
those already covered by the statutorily-prescribed standard. (42
U.S.C. 6295(i)(5)) More specifically, EPCA directs that the Secretary
``shall initiate a rulemaking procedure to determine if the standards
in effect for fluorescent lamps should be amended so that they would be
applicable to additional general service fluorescent [lamps] * * * ''
Id. Pursuant to this mandate and as explained in this section of the
notice, DOE has made a preliminary determination that expanded coverage
would be appropriate. The public is invited to review and comment on
the initial findings and analyses, as set forth below, regarding which
additional fluorescent lamps should be evaluated for possible coverage
by energy conservation standards.
Furthermore, DOE was urged to make this preliminary determination
by comments received at the Public Meeting. For example, the Appliance
Standards Awareness Project (ASAP) recommended that DOE should permit
the public to comment on consideration of the scope of additional
product coverage, and that DOE should define that scope of coverage
early in the rulemaking process in order to prevent any scheduling
delays. (Public Meeting Transcript, No. 4.5 at pp. 34-36) DOE agrees
with the ASAP comment, and consequently, this notice provides the
public with the opportunity to submit comments regarding DOE's
preliminary determination.
Below, DOE discusses the range of additional lamps that EPCA
authorizes DOE to consider. Then, DOE identifies those additional GSFL
that it believes warrant further consideration for possible energy
conservation standards, and why. DOE requests comment on these
subjects. After consideration of these comments, DOE may propose
additional lamps to be covered, along with proposed standard levels for
these lamps, during the NOPR stage of this standards rulemaking. After
further public comment, DOE will publish a final rule which includes
its final decision regarding coverage of additional lamps (and
applicable standards levels, as appropriate).
In addition, the following sections also discuss modifications of
various existing lighting-related definitions DOE developed and
incorporated into the CFR. These modifications reflect market
migrations or changes in industry standards and often have the effect
of increasing or decreasing DOE's scope of energy conservation
standards coverage.

B. Additional General Service Fluorescent Lamps Being Considered Under
EPCA Section 325(i)(5)

1. Scope
Prior to embarking on a discussion of additional coverage of
general service fluorescent lamps, it is first necessary to explain the
extent of coverage under the present standard. Section 325(i)(1) of
EPCA established energy conservation standards for certain 4-foot
medium bipin lamps, 2-foot U-shaped lamps, 8-foot recessed double
contact high output lamps, and 8-foot single pin slimline lamps. (42
U.S.C. 6295(i)(1)) The relevant standard levels for the products can be
found in DOE's regulations at 10 CFR 430.32(n).
As the next step in this inquiry, DOE notes that section 325(i)(5)
of EPCA directs DOE to determine if the standards in effect should be
amended so as to apply to ``additional general service fluorescent
[lamps] * * *'' (42 U.S.C. 6295(i)(5)) There are currently a wide
variety of fluorescent lamps being used in broad, general service
lighting applications \16\ that are not covered by

[[Page 13629]]

existing energy conservation standards. Accordingly, these lamps are
potential candidates for expanded coverage pursuant to 42 U.S.C.
6295(i)(5).
---------------------------------------------------------------------------

\16\ A key provision in the statutory definitions of ``general
service fluorescent lamp'' is that the lamp must satisfy ``the
majority of fluorescent applications.'' (42 U.S.C. 6291(B)) DOE
interprets these phrases to mean that these lamps have broad utility
in various fluorescent or lighting applications. In general, these
lamps will not represent products used solely in niche applications
(such as those specifically excluded in the definition of ``general
service fluorescent lamp''), but rather will represent products that
often fulfill general illumination purposes (casting light over a
broad area), such as in the following common locations: Office
space, warehouses, call centers, schools, health care, government
buildings, residential housing, and retail stores.
---------------------------------------------------------------------------

In addition, DOE received a joint comment from several stakeholders
(hereafter referred to as ``Joint Comment'') concerning the extent of
DOE's authority to expand coverage of its energy conservation standard
for lighting products. The Joint Comment was submitted by the Alliance
to Save Energy, ACEEE, ASAP, Natural Resources Defense Council,
Northeast Energy Efficiency Partnerships, Northwest Power and
Conservation Council, and PG&E (Pacific Gas and Electric). Given the
stakeholders involved, it should be noted that the Joint Comment
reflects views of both energy efficiency advocates and utilities.
The Joint Comment asserted that section 325(i)(5) of EPCA
authorizes DOE to adopt standards for any fluorescent lamp not
currently covered by standards so long as standards for that lamp would
be technologically feasible, economically justified, and would achieve
significant energy savings. The comment seems to argue that in
implementing section 325(i)(5), DOE should interpret its mandate
broadly to include any GSFL that meet these statutory criteria. (Joint
Comment, No. 9 at pp. 1-2; Public Meeting Transcript, No. 4.5, pp. 38-
39, and 45)
Given that EPCA's statutory definitions of ``general service
fluorescent lamp'' contains a number of express exclusions for certain
categories of fluorescent lamps, DOE finds no basis in the language of
EPCA to support commenters' assertions that the agency's authority to
act under section 325(i)(5) of EPCA is unlimited. As discussed below,
DOE believes section 325(i)(5) covers additional GSFL that are not one
of the enumerated specialized products that EPCA excludes from coverage
(see 42 U.S.C. 6291(30)(B)). EPCA defines ``general service fluorescent
lamp'' as follows:
[F]luorescent lamps which can be used to satisfy the majority of
fluorescent applications, but does not include any lamp designed and
marketed for the following non-general lighting applications:
(i) Fluorescent lamps designed to promote plant growth.
(ii) Fluorescent lamps specifically designed for cold temperature
installations.
(iii) Colored fluorescent lamps.
(iv) Impact-resistant fluorescent lamps.
(v) Reflectorized or aperture lamps.
(vi) Fluorescent lamps designed for use in reprographic equipment.
(vii) Lamps primarily designed to produce radiation in the ultra-
violet region of the spectrum.
(viii) Lamps with a color rendering index of 87 or greater.

(42 U.S.C. 6291(30)(B)) Both key elements of this definition--i.e.,
that the lamps can satisfy the majority of lighting applications and
the exclusion of certain specialized fluorescent lamps--are consistent
with the mandate of section 325(i)(5) that DOE consider and adopt
standards for GSFL that currently are not covered by standards. That
would allow DOE to cover a broad range of additional products used and
viewed as general service fluorescent lamps.
In determining which GSFL would be suitable for consideration under
42 U.S.C. 6295(i)(5), DOE limited its inquiry to those fluorescent
lamps with generic physical and operational features closely matching
the IESNA's widely accepted definition of ``fluorescent lamp,'' as
contained in ``The IESNA Lighting Handbook: Reference and
Application,'' Ninth Edition, 2000, p. G-14.\17\ Because only lamps
with these features are commonly understood to be fluorescent or
general service fluorescent lamps, DOE would apply standards to only
such fluorescent lamps, provided that such lamps are not expressly
excluded under 42 U.S.C. 6291(30)(B).
---------------------------------------------------------------------------

\17\ The definition of fluorescent lamp in the IESNA handbook is
a ``low-pressure mercury electric-discharge lamp in which a
fluorescing coating (phosphor) transforms some of the UV energy
generated by the discharge into light.''
---------------------------------------------------------------------------

In summary, in considering whether to amend the standards in effect
for fluorescent lamps to apply to ``additional'' GSFL under section
325(i)(5) of EPCA, DOE has considered all lamps that meet the general
description of a ``fluorescent lamp'' in the introductory language of
42 U.S.C. 6291(30)(A), that can be used to satisfy the majority of
fluorescent lighting applications, for which EPCA does not prescribe
standards, and that are not within the exclusions specified in 42
U.S.C. 6291(30)(B).
2. Rationale for Coverage
In considering which additional GSFL to cover, DOE considered lamps
other than those specifically excluded. Among the lamps considered, DOE
used potential energy savings of the lamps as the primary criterion in
considering preliminarily which should be covered by the standards
program. After selecting the lamps for consideration, DOE then
conducted a preliminary assessment of whether a standard on those lamps
would have the potential to meet the two remaining criteria for
prescribing new or amended standards--i.e., being technologically
feasible and economically justified. (42 U.S.C. 6295(o)(2)(A)) In the
ANOPR (as described in section III below) and NOPR, each lamp selected
for coverage would then be the subject of a more comprehensive analysis
to determine if there is a reasonable likelihood that standards are
justified.
DOE assessed the potential to achieve significant energy savings by
extending coverage to particular lamps from market-share estimates and
from potential incremental energy savings that could result from more-
efficacious lamp designs. DOE has quantitative shipment or market share
information for certain lamps, such as 8-foot T8 single pin slimline
lamps, which it considered and cites in this notice. However, DOE has
little to no information on shipments or market share for other lamp
types which DOE is considering, such as 8-foot very high output (VHO)
fluorescent lamps. In the absence of data, DOE has relied on
qualitative assessments of market share (based on discussions with
lighting industry experts) to gauge the potential for significant
energy savings. DOE invites the public to present further shipment or
market share data relevant to consideration of coverage for additional
lamps.
In addition, DOE assessed the potential to achieve significant
energy savings for particular lamps by considering whether these lamps
serve as potential substitutes to other regulated lamps. By leaving
potential substitutes unregulated, DOE risks that regulating one lamp
shape may lead to rapid increased sales of other, unregulated
substitutable shapes. This shift of installed stock towards unregulated
lamps may result in decreased energy savings, or even the possibility
of increased energy use, from energy conservation standards on
regulated lamps. In order to avoid this consequence, DOE plans to
consider coverage of GSFL lamps that are potential substitutes for any
lamps that have high energy savings potential and are likely to be
regulated. Though the shipments of these substitute lamps may not
currently be high-volume, DOE believes that if the lamps are left
unregulated, the shipments have the potential to grow in market share.
As long as efficacy improvements are technologically feasible, coverage
of these additional substitute lamps has the potential to not only
provide energy

[[Page 13630]]

savings in their own right, but to also prevent potentially significant
losses in energy savings through substitution effect.
In addition to independently conducting its preliminary
determination analysis, DOE considered comments on the additional GSFL
it should cover. The following subsections provide a discussion of the
GSFL being considered and not considered as expanded coverage, a
summary of comments relating to the preliminary determination, and
DOE's response to these comments. DOE invites comment on the rationale
for coverage presented in this preliminary determination. DOE also
invites comment on the scope of coverage defined in this preliminary
determination.
In addition, the following sections also discuss modifications to
various existing lighting-related definitions DOE developed and
incorporated into the CFR, which would have the effect of increasing
the scope of coverage under applicable energy conservation standards.
The new and amended definitions under consideration are discussed and
presented in section II.C.
3. Analysis of Individual General Service Fluorescent Lamps
Current DOE regulations set standards for the following types of
fluorescent lamps: (1) 4-foot, medium bipin, straight-shaped lamps,
rated wattage >= 28W; (2) 2-foot, medium bipin, U-shaped lamps, rated
wattage of >= 28W; (3) 8-foot, recessed double contact, rapid start,
high output lamps, 0.800 nominal amperes (as defined in ANSI C78.1-
1991); and (4) 8-foot, single pin, instant start, slimline lamps, rated
wattage of >= 52 (as defined in ANSI C78.3-1991). Based on an
investigation of available products in manufacturer catalogs, DOE
identified various, currently-unregulated general service fluorescent
lamps that could be considered for additional coverage under section
325(i)(5) of EPCA, while maintaining the exclusions specified in the
definition of ``general service fluorescent lamp.'' These lamps are as
follows:
4-foot, medium bipin, straight-shaped lamps, rated wattage
of < 28W;
2-foot, medium bipin, U-shaped lamps, rated wattage of <
28W;
Additional 8-foot, recessed double contact, rapid start,
high output lamps;
Additional 8-foot single pin, instant start, slimline
lamps;
Very High Output (VHO) straight-shaped lamps;
T5 miniature bipin straight-shaped lamps;
Additional straight-shaped and U-shaped lamps, other than
those listed above (e.g., alternate lengths, diameters, or bases); and
Additional fluorescent lamps with alternate shapes (e.g.,
circline, pin-based CFL).

The following section discusses DOE's rationale for considering or not
considering expansion of coverage to the above-listed lamps. In
addition, in section II.C, DOE considers revisions to the definitions
of ``rated wattage'' and ``colored fluorescent lamp'' which may further
affect DOE's scope of energy conservations standards coverage.

DOE is considering extension of the standard's coverage to certain
4-foot, medium bipin, GSFL to which standards do not currently apply.
Presently, DOE's regulations do not cover or set standards for any 4-
foot medium bipin lamp with a wattage less than 28W. As part of this
preliminary determination, DOE is considering extension of coverage to
4-foot, medium bipin, straight-shaped fluorescent lamps with wattages
between 25W and 28W. DOE understands that 25W, 4-foot medium bipin, T12
fluorescent lamps are manufactured and used primarily in the
residential sector for general purpose illumination applications,
providing additional opportunity for energy savings. Although DOE
received no quantitative shipment information on the market share of
these wattages of 4-foot medium bipin lamps, DOE has found that
manufacturers currently market and sell 25W, 4-foot medium bipin, T8
fluorescent lamps as replacements for higher-wattage, 4-foot medium
bipin, T8 fluorescent lamps. As discussed earlier, by expanding
standards coverage to substitute lamps of currently regulated lamps,
DOE mitigates the risk of 25W lamps becoming a potential loophole (that
decreases energy savings) to the current and pending amended standards
on 4-foot medium bipin lamps.
For these reasons, DOE believes that 25W 4-foot medium bipin lamps
(both T8 and T12) are suitable candidates to be considered for coverage
under this rulemaking. In addition, as the technology and incremental
costs associated with increased efficiency of 25W lamps are similar to
their already regulated 28W counterparts, DOE has tentatively concluded
that standards on these lamps have the potential to meet the statutory
criteria of being technologically feasible and economically justified.
Therefore, in this ANOPR, DOE analyzes these lamps as part of the 4-
foot medium bipin product class in the life-cycle cost (LCC) and
national impact analysis (NIA) (sections III.G and III.I,
respectively). DOE invites comment on this potential expansion of
coverage to 4-foot medium bipin lamps with wattages greater than or
equal to 25W, including whether T12 lamps (commonly referred to as
``residential straight-shaped lamps'') should be covered.
Similar to 4-foot medium bipin lamps, DOE's current regulations do
not cover or set standards for any 2-foot U-shaped lamp with a wattage
less than 28W. In its research of available product in manufacturer
catalogs, DOE found no commercially-available 2-foot U-shaped GSFL with
wattages less than 28W. Therefore, DOE believes that the current
standards cover the majority of the U-shaped general service lighting
products available in the market today. Consequently, DOE's preliminary
assessment is that lowering the minimum wattage threshold of U-shaped
lamps will most likely not result in significant additional energy
savings. For this reason, DOE is not considering expanded coverage of
2-foot, medium bipin, U-shaped lamps in this preliminary determination.
In this preliminary determination, DOE is considering extension of
the standard's coverage to certain 8-foot, recessed double contact,
rapid start, high output fluorescent lamps to which energy conservation
standards do not currently apply. DOE's definition of ``fluorescent
lamp,'' adopted in accordance with EPCA, includes only those 8-foot
recessed double contact HO lamps with 0.800 nominal amperes and which
are listed in ANSI Standard C78.1-1991. 10 CFR 430.2. Due to the ampere
specification in the definition, the current standards applicable to
GSFL (10 CFR 430.32(n)(1)), cover only T12, 8-foot recessed double
contact HO lamps but none of the T8, 8-foot recessed double contact HO
lamps (which usually have 0.400 nominal amperes). ACEEE and Osram
Sylvania (hereafter ``Osram'') commented that DOE should cover T8, 8-
foot lamps. (Public Meeting Transcript, No. 4.5 at p. 59) According to
Osram, T8, 8-foot recessed double contact HO lamps are currently
available, and are replacing the older T12 technology. Osram stated its
belief that this trend will continue. (Osram, No. 15 at p. 5)
Furthermore, DOE is aware that T8, 8-foot lamps are substitutes for
T12, 8-foot lamps. As discussed earlier, by not regulating substitutes
(e.g., T8, 8-foot recessed double contact HO lamps) of regulated lamps
(e.g., T12, 8-foot recessed double contact HO lamps), DOE risks losing
the potential energy savings of the current energy

[[Page 13631]]

conservation standards for T12, 8-foot lamps, as well as any revised
standard that may be adopted pursuant to this rulemaking. In addition,
because T8, 8-foot recessed double contact HO lamps are predicted to
replace the T12 market, the shipments of T8 lamps may increase
considerably.
For the reasons above, DOE believes that regulating T8, 8-foot
recessed double contact HO lamps has the potential to achieve
significant energy savings. DOE analyzes these T8 lamps as part of the
8-foot recessed double contact HO product class in the NIA. From this
analysis, DOE estimates that the energy savings achieved due to
regulation of T8, 8-foot recessed double contact HO lamps could be as
high as 0.30 quads over the analysis period. (See section III.I of this
notice.)
In addition, in this preliminary determination, DOE tentatively
plans to expand its coverage of 8-foot recessed double contact, rapid
start, high output fluorescent lamps to those not listed in ANSI
Standard C78.1-1991. As discussed in the fluorescent and incandescent
lamps test procedure NOPR published in today's Federal Register, many
of the ANSI standards currently referenced in DOE regulations (e.g.,
ANSI Standard C78.1-1991) are outdated. DOE understands that as the
fluorescent lamp market moves forward and evolves, new 8-foot recessed
double contact, rapid start, high output lamps (with 0.800 nominal
amperes or other currents) may be introduced into the market. As these
lamps would not be listed in the 1991 ANSI standard, they would not be
covered under paragraph (3) of the definition of fluorescent lamp, and,
therefore, would not be subject to current energy conservation
standards. However, DOE understands that though these newly introduced
lamps might have different wattages than those listed in ANSI Standard
C78.1-1991, they serve as replacements and substitutes for the
regulated 8-foot recessed double contact high output lamps. As
discussed earlier, by leaving these potential substitute lamps
unregulated, DOE risks not achieving the maximum energy savings from
its established energy conservation standards.
Given the potential energy savings, in this preliminary
determination, DOE is considering extension of coverage to T8, 8-foot
recessed double contact HO lamps, thereby adding lamps previously
restricted by the 0.800 nominal ampere limitation. In addition, DOE is
considering extension of coverage to 8-foot recessed double contact HO
lamps not listed in ANSI Standard C78.1-1991. As the technologies of
T8, 8-foot recessed double contact HO lamps and the 8-foot recessed
double contact HO lamps not listed in ANSI Standard C78.1-1991 are
similar to the technologies of their already-regulated T12
counterparts, DOE has tentatively concluded that standards on these
lamps have the potential to meet the statutory criterion of being
technologically feasible. With regards to the statutory criterion of
being economically justified, DOE analyzes T8, 8-foot recessed double
contact HO lamps in the LCC analysis and NIA. Preliminary results show
that regulation of these lamps would be expected to achieve LCC savings
up to $3.15 (discounted at 6.2 percent) per lamp system and net present
value (NPV) up to $0.73 billion to the nation (discounted at 3 percent)
over the analysis period. Also, 8-foot recessed double contact HO lamps
not listed in ANSI Standard C78.1-1991 should incur similar economic
effects as their already-covered counterparts. Therefore, for the
purpose of this preliminary determination, DOE has tentatively
concluded that energy conservation standards on these lamps have the
potential of being economically justified.
Similar to 8-foot recessed double contact HO lamps, in this
preliminary determination, DOE is considering extension of the
standard's coverage to certain 8-foot, single pin, instant start,
slimline lamps to which energy conservation standards do not currently
apply. DOE's definition of ``fluorescent lamp,'' adopted in accordance
with EPCA, includes only those 8-foot, single pin, instant start,
slimline lamps, with a rated wattage greater than or equal to 52W and
listed in ANSI Standard C78.3-1991. 10 CFR 430.2. Under this
definition, because they are not listed in ANSI Standard C78.3-1991, no
T8, 8-foot single pin slimline lamps would be subject to energy
conservation standards. However, as indicated by their inclusion in the
updated ANSI Standard C78.81-2005, DOE understands that since the
publication of ANSI Standard C78.3-1991, T8, 8-foot single pin slimline
lamps have penetrated the GSFL market. Shipment information submitted
by NEMA indicates that T8 lamps comprise approximately 15 percent of
the total 8-foot single pin slimline market. (NEMA, No. 12 at p. 2) In
addition, ACEEE and Osram commented that DOE should cover T8, 8-foot
single pin slimline lamps. (Public Meeting Transcript, No. 4.5 at p.
59) For similar reasons as discussed with regard to T8, 8-foot recessed
double contact HO lamps, DOE believes that the regulation of T8, 8-foot
single pin slimline lamps has the potential to achieve significant
energy savings. DOE analyzes these T8 lamps as part of the 8-foot
single pin slimline product class in the NIA. From this analysis, the
energy savings achieved due to the regulation of T8, 8-foot single pin
slimline lamps would be expected to be as high as 0.25 quads over the
analysis period (i.e., from the year 2012 to 2042). (See section III.I
of this notice.)
As such, in this preliminary determination, DOE is considering
expanding the standards' scope of coverage of 8-foot single pin
slimline lamps with a rated wattage greater than or equal to 52W to
those not listed in ANSI Standard C78.3-1991. This would include T8
lamps and any additional 8-foot single pin slimline lamps that might be
introduced into the fluorescent lamp market in the future. As the
technologies of T8, 8-foot single pin slimline lamps and the 8-foot
single pin slimline lamps not listed in ANSI Standard C78.3-1991 are
similar to the technologies of their already-regulated T12
counterparts, DOE has tentatively concluded that standards on these
lamps have the potential to meet the statutory criterion of being
technologically feasible. With regards to the statutory criterion of
being economically justified, DOE analyzes T8, 8-foot single pin
slimline lamps in the LCC analysis and NIA. Preliminary results show
that regulation of these lamps has the potential to achieve LCC savings
up to $8.27 per lamp system (discounted at 6.2 percent) and NPV of
$1.15 billion to the nation (discounted at 3 percent) over the analysis
period (i.e., from the year 2012 to 2042). Also, 8-foot single pin
slimline lamps not listed in ANSI Standard C78.1-1991 would be expected
to incur similar economic effects as their already covered
counterparts. Therefore, for the purpose of this preliminary
determination, DOE has tentatively concluded that energy conservation
standards for these lamps have the potential to be economically
justified.
DOE also observed that some 8-foot, single pin, slimline lamps with
wattages below 52W are available on the market today. These include 51W
and 50W versions. However, DOE notes that published catalogs offered
very few models at these wattages. Also, DOE believes that these lower-
wattage slimline lamps are used for niche applications and would likely
not be used as a substitute for higher-wattage versions. In particular,
these lamps offer different lumen packages from their higher-wattage
counterparts and are not currently marketed as substitutes.
Consequently, DOE believes that the

[[Page 13632]]

market share of such lamps is and will remain relatively small, thereby
making the potential energy savings that would be achieved from their
regulation small as well. Therefore, DOE has tentatively decided not to
extend coverage of the energy conservation standards to T8, 8-foot
single pin slimline lamps with wattages below 52W. DOE requests comment
on this approach.
In this preliminary determination, DOE also considered whether or
not to expand coverage to include very high output (VHO) fluorescent
lamps. Philips Lighting (hereafter ``Philips'') commented that DOE
should set standards for VHO, T12 fluorescent lamps, asserting that
these lamps consume a large amount of energy. (Philips, No. 5 at p. 1)
DOE research involving review of manufacturer catalog data corroborated
the Philips comment, as common VHO fluorescent lamps can have rated
wattages ranging from 115W to 215W, while corresponding HO lamps have
rated wattages ranging from 60W to 110W. However, in considering the
Philips comment, DOE learned from discussions with manufacturers that
many VHO lamps are used in outdoor applications, such as parking lot or
other area illumination, where high-intensity discharge (HID) lamps are
rapidly gaining market share. Research also indicated that shipments of
VHO, T12 lamps have been and are continuing to decline rapidly.
Overall, DOE understands that these lamps constitute a very low-volume
share of the relevant market, and these products will likely further
decrease in terms of market share. As such, although these lamps may
individually have a per-lamp energy savings potential larger than that
of a typical GSFL, DOE believes that the total energy savings from
regulating these lamps would be small and decreasing as that these
lamps are naturally disappearing from the market in the absence of
regulation. Therefore, DOE does not plan to extend coverage of the
energy conservation standard to VHO lamps.
DOE also considered whether to include T5 fluorescent lamps in its
expansion of energy conservation standards coverage. At the Public
Meeting on the Framework Document, ACEEE and PG&E commented that DOE
should cover T5 lamps. (Public Meeting Transcript, No. 4.5 at pp. 39
and 59) However, ACEEE and PG&E did not provide a rationale for
consideration of these lamps, and DOE did not receive any written
comments recommending that it consider T5 lamps for coverage. To
further investigate this issue, DOE evaluated the market and typical
applications for T5 lamps, and has tentatively decided to not extend
coverage to T5 lamps, for the reasons that follow.
DOE found that T5 systems are used in a wide variety of indoor
general illumination applications where T8 and T12 systems could also
be used. However, DOE understands that T5 systems are always operated
with higher-efficiency, high-frequency electronic ballasts (versus
lower-efficiency, low-frequency ballasts). In addition, it was found
that these lamps tend to have higher efficacies and that the systems
tend to have lower energy consumption than the corresponding T8 and T12
lamps and systems. Therefore, DOE believes that the regulation of T5
lamps may not have the potential for significant per-unit energy
savings. In addition, DOE understands that the current GSFL market
share of T5 lamps is relatively small, representing low total energy
savings potential. DOE also notes that T5 systems tend to be higher in
cost than T8 or T12 systems. Thus, DOE believes that excluding T5 lamps
from this rulemaking would be unlikely to undermine any energy savings
that would result from a T12 and T8 standard, even if the standard
caused increased sales of T5 systems.\18\ To the contrary, not
regulating T5 lamps could provide market incentives for and result in
energy savings by encouraging greater end-user use of highly
efficacious T5 lamps. For the above stated reasons, DOE does not plan
to extend the standards' coverage to T5 lamps. DOE solicits further
comment on whether it should extend coverage to T5 lamps, as well as
the rationale for doing so.
---------------------------------------------------------------------------

\18\ At CSLs four and five, some T8 systems are more efficacious
than their T5 counterparts. However, DOE notes that the average cost
of a T5 system is more expensive than a T8 system. The fact that T5
lamps are less efficacious and more expensive at these standard
levels indicates that there is little or no incentive for
stakeholders to migrate to T5 lamps from T8 or T12 lamps in an
effort to avoid the fluorescent lamp standard.
---------------------------------------------------------------------------

Furthermore, DOE does not intend to extend coverage to fluorescent
lamps that have alternate lengths, diameters, bases, or shapes (or a
combination thereof) than the lamps discussed in the preceding section.
DOE believes that the lamps currently covered and the additional lamps
described above that DOE is considering for coverage (i.e., ones which
have lengths and bases the same as those currently regulated) represent
the significant majority of the market for GSFL, and, thus, the bulk of
potential energy savings. Furthermore, DOE believes that there is
limited potential for lamps with miscellaneous lengths and bases to
grow in market share, given the constraint of fixture lengths and
socket compatibility. DOE requests comment on this approach.
In summary, the following list represents the ``additional general
service fluorescent lamps'' which DOE is considering for expanded
coverage under the energy conservation standards:
4-foot, medium bipin lamps with wattages >= 25 and < 28;
8-foot recessed double contact, rapid start, HO lamps not
defined in ANSI Standard C78.1-1991;
8-foot recessed double contact, rapid start, HO lamps
(other than 0.800 nominal amperes) defined in ANSI Standard C78.1-1991;
and
8-foot single pin instant start slimline lamps, with a
rated wattage >= 52, not defined in ANSI Standard C78.3-1991.

C. Amended Definitions

As part of the examination of the scope of coverage of GSFL, DOE is
considering amendments to existing DOE-adopted definitions in order to
more clearly and accurately define the scope of GSFL and IRL. The
following section describes these planned amendments and requests
comment.
1. ``Rated Wattage''
One element of EPCA's definitions for ``fluorescent lamp'' and
``incandescent reflector lamp'' is a lamp's ``rated wattage,'' which
helps to delineate the lamps for which the statute set prescriptive
standards. (42 U.S.C. 6291(30)(A), (C)(ii) and (F)). For example, the
definition of ``fluorescent lamp'' includes certain 4-foot medium bipin
lamps with ``a rated wattage of 28 or more'' (42 U.S.C.
6291(30)(A)(i)), and EPCA prescribes standards for these particular
lamps (42 U.S.C. 6295(i)(1)(B)). In addition, EISA 2007 prescribed
energy conservation standards for general service incandescent lamps
that require lamps of particular lumen outputs to have certain maximum
rated wattages. (section 321(a)(3) of EISA 2007 amending section 325(i)
of EPCA) EPCA does not, however, define ``rated wattage.'' Therefore,
DOE adopted a definition of ``rated wattage'' for 4-foot medium bipin
T8, T10, and T12 fluorescent lamps when it established test procedures
for fluorescent and incandescent lamps in 1997. 62 FR 29222 (May 29,
1997). This definition, located in 10 CFR 430.2, references an ANSI
guide from 1991, specifically ANSI Standard C78.1-1991, ``for
Fluorescent Lamps--Rapid-Start Types--Dimensional and Electrical
Characteristics.'' Although EPCA also

[[Page 13633]]

uses the term ``rated wattage'' when referring to ``2-foot U-shaped
lamps'' (42 U.S.C. 6291(30)(A)(ii)), ``8-foot slimline lamps,'' (42
U.S.C. 6291(30)(A)(iv)), and ``incandescent lamps'' (i.e., the portion
of that definition pertaining to IRL) (42 U.S.C. 6291(30)(C)), DOE did
not define ``rated wattage'' for these lamps in 1997. In this
rulemaking, DOE plans to update its existing definition of ``rated
wattage'' to cite the current version of ANSI Standard C78.1-1991, and
to apply this definition to those lamps where rated wattage is a key
characteristic but is not currently defined.
DOE's current definition of ``rated wattage'' for 4-foot medium
bipin T8, T10, or T12 lamps, in effect, contains three definitions of
``rated wattage'': One for those lamps listed in the ANSI Standard
C78.1-1991 standard; another for residential straight-shaped lamps; and
a third for all other lamps. The definition of ``rated wattage''
currently contained in DOE regulations is as follows:
Rated wattage, with respect to 4-foot medium bi-pin T8, T10 or T12
lamps, means:
(1) If the lamp is listed in ANSI C78.1-1991, the nominal wattage
of a lamp determined by the lamp designation in Annex A.2 of ANSI
C78.1-1991; or
(2) If the lamp is a residential straight-shaped lamp, the wattage
a lamp consumes when operated on a reference ballast for which the lamp
is designed; or
(3) If the lamp is neither listed in ANSI C78.1-1991 nor a
residential straight-shaped lamp, the wattage a lamp consumes when
using reference ballast characteristics of 236 volts, 0.43 amps and 439
ohms for T10 or T12 lamps or reference ballast characteristics of 300
volts, 0.265 amps and 910 ohms for T8 lamps. (10 CFR 430.2)
Annex A.2 of ANSI Standard C78.1-1991, referenced in the first part
of the definition, discusses how to designate lamps according to
industry procedure. It indicates that the lamp abbreviation may include
either the rated wattage or nominal wattage for a particular lamp. The
most current equivalent industry standard corresponding to ANSI
Standard C78.1-1991 is ANSI Standard C78.81-2005, which also includes
an equivalent section on lamp abbreviations. However, this equivalent
section specifies that lamp abbreviations are to incorporate only the
nominal wattage. DOE believes that a different section of ANSI Standard
C78.81-2005 more appropriately defines ``rated wattage.'' Specifically,
Clause 11.1 of ANSI Standard C78.81-2005 deals more directly with rated
wattage when it refers to rated values in the lamp data sheets of Part
IV of the standard and notes the margin that manufacturer's average
values must maintain from rated values. In relevant part, Clause 11.1
of ANSI Standard C78.81-2005 states: The values of lamp voltage,
current and wattage shown on the individual lamp data sheets in Part IV
are rated values that apply after the lamps have been aged for 100
hours. These values were chosen by consensus to represent the industry
average at the time of publication. No manufacturer's average wattage
shall exceed the rated value by more than 5% plus 0.5 watts * * *

Therefore, DOE tentatively plans to update the ``rated wattage''
definition's reference to ANSI Standard C78.81-2005 and to reference
Clause 11.1 of that ANSI standard in place of Annex A.2 of ANSI
Standard C78.1-1991.

The second part of the ``rated wattage'' definition addresses
residential straight-shaped lamps. DOE adopted a definition for
``residential straight-shaped lamp'' in 10 CFR 430.2 at the same time
it defined ``rated wattage'' and established the applicable test
procedures. 62 FR 29222 (May 29, 1997). This definition applies only to
4-foot medium bipin lamps. The provisions on residential straight-
shaped lamps reflect DOE's understanding that lamp wattage differs when
a lamp operates on a low-power-factor ballast (typically residential
applications) versus a high-power-factor ballast (typically commercial
applications). (The measured wattage of a residential straight-shaped
lamp could be different depending on the ballast on which it is
operated.) \19\ Thus, these provisions effectively ensure that lamps
designed for residential applications are tested on ballasts typically
used for residential applications. Defining ``rated wattage'' for these
lamps is significant, as it clarifies whether DOE's standards are
applicable to them. DOE believes that the clarification is still
relevant. However, DOE notes that ANSI Standard C78.81-2005 lists a
rated wattage value for a 25-Watt, 4-foot T12 rapid start medium bipin
fluorescent lamp, operating on a low-power-factor ballast. Thus, it
appears that some lamps which could be classified as a residential
straight-shaped lamp have rated wattage values listed in ANSI Standard
C78.81-2005. Therefore, DOE intends to update the second portion of the
definition to state that if a residential straight-shaped lamp is not
listed in ANSI, then rated wattage should be based on the wattage a
lamp consumes when operated on a reference ballast for which the lamp
is designed.
---------------------------------------------------------------------------

\19\ If a lamp is not listed in ANSI C78.1-1991, its ``rated
wattage'' would depend on test measurements.
---------------------------------------------------------------------------

The third part of the definition for ``rated wattage'' (applicable
if neither of the first two parts applies) states that the rated
wattage is that which results when the lamp is tested under specified
testing conditions. DOE is updating the test procedures for fluorescent
and incandescent lamps in a concurrent test procedures rulemaking. The
NOPR for that rulemaking is published in today's Federal Register. As
part of the test procedures rulemaking, DOE is also developing testing
methods for lamps not currently listed in ANSI standards which will be
included as part of the DOE test procedure. DOE believes that it is
preferable to reference these more detailed test procedures, rather
than the current approach of specifying testing conditions in the
definitions section of 10 CFR 430.2. Therefore, DOE intends to replace
the third part of the ``rated wattage'' definition with a reference to
the test procedures that will be set forth in 10 CFR Part 430, Subpart
B, Appendix R.
EPCA's definition of ``fluorescent lamp'' uses the term ``rated
wattage'' not only in describing 4-foot medium bipin lamps, but also in
describing 2-foot U-shaped and 8-foot single pin slimline lamps. (42
U.S.C. 6291(30)(A)(ii) and (iv)) To clarify rated wattage for 2-foot U-
shaped, and 8-foot single pin slimline lamps, DOE has tentatively
decided to utilize the same framework to define ``rated wattage'' as
was used for 4-foot medium bipin lamps. In particular, DOE plans to
reference ANSI industry standards where they have defined the rated
wattage for particular lamps, and to reference DOE's test procedures
(as amended) where ANSI has not defined the rated wattage for
particular lamps. Thus, DOE intends to modify the current definition of
``rated wattage'' that applies to 4-foot medium bipin lamps and make it
applicable to all covered fluorescent lamps. Because ANSI Standard
C78.81-2005 does not include ratings for U-shaped lamps, DOE plans to
incorporate by reference and to cite to ANSI Standard C78.901-2005,
``for Electric Lamps--Single-Based Fluorescent Lamps--Dimensional and
Electrical Characteristics'', which does. ANSI Standard C78.901-2005
also contains Clause 11.1, using text similar to that noted above.
The statutory definition for ``incandescent lamp'' also contains
the term ``rated wattage,'' and the definition for ``incandescent
reflector lamp'' similarly references a portion of the definition of
``incandescent lamp'' which contains that term. In addition,

[[Page 13634]]

EISA 2007 set energy conservation standards for general service
incandescent lamps which require the lamps to meet a maximum rated
wattage for a particular lumen output. For incandescent reflector lamps
and general service incandescent lamps, the rated wattage is the same
as measured wattage. Therefore, DOE believes that the test procedures
outlined in 10 CFR Part 430, Subpart B, Appendix R suffice for
determining rated wattage for incandescent lamps.
The following summarizes the modified definition of ``rated
wattage'' that DOE intends to consider making applicable to all covered
lamps and updated to reference current industry standards:
Rated wattage means:
(1) With respect to fluorescent lamps and general service
fluorescent lamps:
(i) If the lamp is listed in ANSI C78.81-2005 or ANSI C78.901-2005,
the rated wattage of a lamp determined by the lamp designation of
Clause 11.1 of ANSI C78.81-2005 or ANSI C78.901-2005;
(ii) If the lamp is a residential straight-shaped lamp, and not
listed in ANSI C78.81-2005, the wattage of a lamp when operated on a
reference ballast for which the lamp is designed; or
(iii) If the lamp is neither listed in one of the ANSI guides
referenced in (1)(i) nor a residential straight-shaped lamp, the
wattage of a lamp when measured according to the test procedures
outlined in Appendix R to subpart B of this part.
(2) With respect to general service incandescent lamps and
incandescent reflector lamps, the wattage measured according to the
test procedures outlined in Appendix R to subpart B of this part.
DOE requests comment on its above-discussed modification of the
definition of ``rated wattage,'' applicable to both covered fluorescent
and incandescent lamps. DOE recognizes that changes to the definition
could affect coverage for fluorescent lamps. However, DOE believes that
the modifications would have a relatively minor, if any, impact on the
scope of coverage.
2. ``Colored Fluorescent Lamp''
With regard to the definition of ``colored fluorescent lamp'' that
was codified in the CFR as part of the 1997 Test Procedure Final Rule,
DOE is requesting comment on the definition for this type of
fluorescent lamp which is excluded from energy conservation standards.
The current definition of that term reads as follows:
Colored fluorescent lamp means a fluorescent lamp designated and
marketed as a colored lamp, and with either of the following
characteristics: A CRI less than 40, as determined according to the
method given in CIE Publication 13.2 (see 10 CFR 430.22), or a lamp
correlated color temperature less than 2,500K or greater than 6,600K.
10 CFR 430.2.
In its market research, DOE observed that one of the major lamp
manufacturers that operates in the European market recently introduced
a fluorescent lamp with a correlated color temperature (CCT) of
17,000K. The product literature associated with this new lamp indicates
that it is intended for general illumination applications. In the
``Product Application'' section of the literature, it suggests that
this lamp be used for ``Indoor working areas (call centers, industry,
schools, healthcare etc.), especially where an energizing environment
needs to be created.'' \20\ Even though DOE is unaware of any general
purpose fluorescent lamps like this one being introduced into the U.S.
market, there is the potential that the current definition of ``colored
fluorescent lamp'' would provide an exclusion for new products being
introduced in general illumination lighting applications. Therefore,
DOE is considering revising the definition, possibly by adding a phrase
such as ``and not designed or marketed for general illumination
applications.'' DOE invites comment on this issue.
---------------------------------------------------------------------------

\20\ Philips Lighting Product Specification Document, MASTER TL5
ActiViva Active 54W SLV (published June 29, 2007).
---------------------------------------------------------------------------

III. Energy Conservation Standards Analyses for Fluorescent and
Incandescent Reflector Lamps

This section addresses the analyses DOE has performed and intends
to perform for GSFL and IRL under consideration in this rulemaking and
discusses the underlying assumptions applied to the analyses. For both
GSFL and IRL, DOE will perform a set of analyses, including: (1) An
engineering analysis; (2) a product price determination; (3) an energy-
use determination; (4) an LCC and PBP analysis; (5) an NIA; and (6) an
MIA. A full description of how these analyses are performed is
contained in the TSD.\21\ However, this section of the ANOPR provides
an overview of these analyses, while focusing on how these analyses are
being tailored to this rulemaking and on their underlying assumptions.
It also discusses comments received from interested parties since DOE
published the lighting products Framework Document.
---------------------------------------------------------------------------

\21\ Available at: http://www.eere.energy.gov/buildings/
appliance_standards/residential/incandescent_lamps.html.
---------------------------------------------------------------------------

A. Market and Technology Assessment

The market assessment provides an overall picture of the market for
the products concerned, including the nature of the products, the
industry structure, and market characteristics for the products. The
technology assessment identifies available technologies for these
products, which will be considered in the screening analysis. The
subjects addressed in the market and technology assessment include
product classes, technology options, manufacturers, quantities and
types of products sold and offered for sale, retail market trends, and
regulatory and non-regulatory programs. DOE considers both quantitative
and qualitative information from publicly available sources and
stakeholders in this assessment. The information DOE gathers for the
market and technology assessment serves as resource material for use
throughout the rulemaking.
1. Market Assessment
Issues addressed in the market assessment include: (1) Information
about lamp manufacturers; (2) existing regulatory and non-regulatory
initiatives; (3) historical shipments and (4) product classes. Each of
these topics will be discussed in turn below.
NEMA is the trade association that represents many GSFL and IRL
manufacturers. NEMA provides an organization framework for
manufacturers of lighting products to work together on projects that
affect their industry and business.
The majority of the domestic market share of GSFL and IRL is held
by three manufacturers: (1) GE Lighting (General Electric, Inc.); (2)
OSRAM Sylvania (Siemens AG); and (3) Philips Lighting (Royal Philips
Electronics). In addition to lamps listed under this rulemaking, the
lighting divisions of all three companies manufacture other products,
such as lamp ballasts, high intensity discharge lamps, LED lighting,
GSIL (already regulated by EISA 2007) and compact fluorescent lamps
(CFL).
It is noted that DOE is required to consider whether small
businesses are likely to be particularly affected by the promulgation
of minimum efficacy standards for lamps. (5 U.S.C. 601 et seq.) The
Small Business Administration (SBA) defines ``small business''
manufacturing enterprises for manufacturers of GSFL and IRL as ones
having 1,000 or fewer employees.\22\

[[Page 13635]]

More specifically, SBA lists small business size standards that are
matched to industries as they are described in the North American
Industry Classification System (NAICS). A small business size standard
is the largest that a for-profit entity can be and still qualify as a
small business for Federal Government programs. These size standards
are generally related to the average annual receipts or the average
employment of a firm. For lamp products, the size standard is matched
to NAICS code 335110, Electric Lamp Bulb and Part Manufacturing, which
has a size standard of 1,000 employees. DOE identifies several small
business manufacturers of GSFL and IRL in Chapter 3 of the TSD. DOE
will study the potential impacts on small businesses in detail during
the MIA, which it will conduct as a part of the analyses for the notice
of proposed rulemaking.
---------------------------------------------------------------------------

\22\ Small Business Administration, Table of Small Business Size
Standards: Matched to North American Industry Classification System
Codes. (Feb. 2007). Available at: http://www.sba.gov/services/
contractingopportunities/sizestandardstopics/part121sects/
index.html.
---------------------------------------------------------------------------

Furthermore, DOE is aware of several Federal, State, and
international regulatory programs that impact the GSFL and IRL markets.
Amendments to EPCA in EPACT 1992 established Federal energy
conservation standards for residential, commercial, and industrial GSFL
and IRL. (42 U.S.C. 6295(i)(1)) In addition to the Federal regulations,
the following States have established appliance efficiency regulations
for other lamps for which there are no Federal standards (and thus are
not preempted): Arizona, California, Connecticut, Maryland,
Massachusetts, Minnesota, New Jersey, New York, Oregon, Rhode Island,
Vermont, and Washington.
DOE also reviewed several voluntary programs promoting the use of
energy-efficient GSFL in the United States, including the Federal
Energy Management Program's (FEMP) program for energy-efficient
lighting, the Consortium for Energy Efficiency (CEE)'s High Performance
Commercial Lighting Initiative, the Energy Efficient Commercial
Buildings Deduction, and various regional initiatives that work with
State utilities to offer rebates for installation of higher efficacy
GSFL systems. See Chapter 3 of the TSD for more information regarding
regulatory and non-regulatory initiatives.
DOE received historical shipment data from NEMA for the years 2001
to 2005 for the two categories of lamps. (NEMA, No. 12 at pp. 5-6)
Overall, NEMA's historical lamp shipment data that was incorporated by
DOE into the analytical tools for the ANOPR had three main purposes.
First, the shipment data and market trend information contributed to
the shipments analysis and base-case forecast for each of the two
categories of lamps (see Chapter 9 of the TSD). By using recent
shipment data and expert opinion on market trends, DOE believes that
the shipments model and base-case forecasts are based on a sound
dataset. Second, DOE used the data to select the representative product
classes and representative units for analysis. Generally, DOE selected
representative product classes and units for analysis to reflect the
highest volume, most common lamp types and wattages used in the U.S.
today (see Chapter 3 of the TSD). And thirdly, DOE used these data to
develop the market-share matrices for the NIA (see Chapter 10 of the
TSD). Based on its understanding of trends in the market, DOE estimated
how the market would respond to the various CSLs.
Additional detail on the market assessment can be found in Chapter
3 of the TSD.
2. Product Classes
In general, when evaluating and establishing energy conservation
standards, DOE divides covered products into classes by the type of
energy used, capacity, or other performance-related features that
affect efficiency, and factors such as the utility of the product to
users. (See 42 U.S.C. 6295(q)) DOE normally establishes different
energy conservation standards for different product classes based on
these criteria. However, classification of lamps into product classes
presents a challenge, because, for example, a fluorescent lamp is a
component of a system, and the lamp's performance is directly related
to the ballast on which it operates. The following section describes
and discusses the product classes of lamps that DOE is considering for
this rulemaking.
a. General Service Fluorescent Lamps
EPCA established eight product classes for GSFL based on the four
fluorescent lamp types EPCA describes in its definition for
``fluorescent lamp'' and based on nominal lamp wattage. (42 U.S.C.
6295(i)(1)(B)) These product classes are outlined in Table III.1.

Table III.1.--EPCA Product Classes for GSFL
------------------------------------------------------------------------
Nominal Min. avg.
Lamp type lamp Min. CRI efficacy lm/
wattage W W
------------------------------------------------------------------------
4-ft Medium Bipin................ >35W 69 75.0
<=35W 45 75.0
2-ft U-Shaped.................... >35W 69 68.0
<=35W 45 64.0
8-ft Single Pin.................. >65W 69 80.0
Slimline......................... <=65W 45 80.0
8-ft High Output................. >100W 69 80.0
<=100W 45 80.0
------------------------------------------------------------------------

In the Framework Document for this rulemaking, DOE presented a
preliminary discussion of potential revisions to the prescriptive
standards established by EPCA. ((42 U.S.C. 6295(i)(1)(B); see 10 CFR
430.32(n)(1)). Specifically, DOE considered subdividing the product
categories in EPCA's table of efficacy requirements for fluorescent
lamps, nearly doubling the number of product classes by introducing
lamp tube diameter as a differentiating variable (i.e., ``>T8'' and
``<=T8''). In presenting this potential modification, DOE used the same
wattage divisions and minimum color rendering index (CRI) requirements
that EPCA uses for these lamps, with T8 and T12 lamps in the same
product class. Several stakeholders provided comment on the draft
product classes discussed in

[[Page 13636]]

the Framework Document, as discussed below.
For 4-foot medium bipin lamps, Philips suggested combining all
lamps with diameters greater than T8 into one category. Philips then
suggested creating a category for T8 and smaller diameters with
wattages less than or equal to 32W. (Philips, No. 11 at p. 1) GE and
Osram both supported DOE's suggestion for lamps with diameters greater
than T8, but they suggested that DOE should change the wattage division
from 35W to 31W, and include a correlated color temperature (CCT)
division for lamps with diameters less than or equal to T8. (GE, No. 13
at pp. 1-2; Osram, No. 15 at pp. 2-3) The Joint Comment recommended
that DOE combine the T8 and T12 product classes, because there are few
T8 lamps above 35W, and, therefore, the existing wattage bins could be
analyzed by maintaining some separation of T8 and T12 lamps. (Joint
Comment, No. 9 at p. 8)
For 2-foot U-shaped lamps, Philips suggested modifying the draft
product classes by combining wattage ranges, and the commenter also
recommended having just two product classes, based upon lamp diameter,
that apply to any wattage 2-foot U-shaped lamps. GE and Osram both
supported DOE's approach for considering lamps with diameters greater
than T8, and these commenters suggested that DOE should change the
wattage division from 35W to 31W, and include a CCT division for lamps
with diameters less than or equal to T8. (GE, No. 13 at pp. 1-2; Osram,
No. 15 at pp. 2-3)
For the 8-foot single pin slimline lamps, Philips suggested
combining all lamps with diameters greater than T8 into one product
class, and then establishing a separate product class for lamps with T8
and narrower diameters, regardless of wattage. (Philips, No. 11 at pp.
1-2) GE and Osram both suggested keeping the T12 category of high
output lamps, and creating a separate class for diameters less than
T12. For this new separate class, GE and Osram both proposed dividing
it further into two subclasses, one including T12 8-foot single pin
slimline lamps with wattages greater than 58W and another including T12
8-foot single pin lamps with wattages less than or equal to 58W. (GE,
No. 13 at pp. 1-2; Osram, No. 15 at pp. 2-3)
For the 8-foot high output lamps, Philips suggested combining all
lamps with diameters greater than T8 into one product class, and then
establishing a separate product class for lamps with T8 and narrower
diameters with a nominal lamp wattage of 86W and below. (Philips, No.
11 at pp. 1-2) GE and Osram both suggested keeping the T12 category of
high output lamps, and creating a separate class for lamps with
diameters less than T12. (GE, No. 13 at pp. 1-2; Osram, No. 15 at pp.
2-3) GE argued that this class of lamps with diameters less than T12
should encompass all wattages, whereas Osram recommended that the class
should encompass only lamps greater than 85W. (GE, No. 13 at pp. 1-2;
Osram, No. 15 at pp. 2-3)
DOE considered all these comments, and continued to research
appropriate product classes for the general service fluorescent lamps
being considered for coverage under this rulemaking. DOE identified
differential utility and physical attributes of fluorescent lamps
around which the development of separate product classes would be based
on the statutory criteria. (42 U.S.C. 6295(q)) \23\ In this notice, DOE
is considering establish