[Federal Register Volume 78, Number 40 (Thursday, February 28, 2013)]
[Proposed Rules]
[Pages 13563-13566]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2013-04711]


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DEPARTMENT OF ENERGY

10 CFR Part 430

[Docket No. EERE-2011-BT-STD-0006]
RIN 1904-AC43


Energy Conservation Program: Availability of the Preliminary 
Technical Support Document for General Service Fluorescent Lamps and 
Incandescent Reflector Lamps

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

ACTION: Notice of public meeting and availability of preliminary 
technical support document.

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SUMMARY: The U.S. Department of Energy (DOE) will hold a public meeting 
to discuss and receive comments on: the product classes that DOE plans 
to analyze for purposes of amending energy conservation standards for 
general service fluorescent lamps (GSFLs) and incandescent reflector 
lamps (IRLs); the analytical framework, models, and tools that DOE is 
using to evaluate standards for GSFLs and IRLs; the results of 
preliminary analyses DOE performed for these products; and potential 
energy conservation standard levels derived from these analyses that 
DOE could consider for GSFLs and IRLs. DOE encourages written comments 
on these subjects. To inform interested parties and facilitate this 
process, DOE has prepared an agenda, a preliminary technical support 
document (TSD), and briefing materials, which are available on 
regulations.gov, docket number EERE-2011-BT-STD-0006 at 
www.regulations.gov/#!docketDetail;D=EERE-2011-BT-STD-0006.

DATES: DOE will hold a public meeting on April 9, 2013 from 9 a.m. to 4 
p.m., in Washington, DC. The meeting will also be broadcast as a 
webinar. See section IV Public Participation for webinar registration 
information, participant instructions, and information about the 
capabilities available to webinar participants.
    DOE will accept comments, data, and information regarding this 
notice before and after the public meeting, but no later than April 15, 
2013. See section IV Public Participation for details.

ADDRESSES: The public meeting will be held at the U.S. Department of 
Energy, Forrestal Building, Room 8E-089 1000 Independence Avenue SW., 
Washington, DC 20585. To attend, please notify Ms. Brenda Edwards at 
(202) 586-2945. Please note that foreign nationals visiting DOE 
Headquarters are subject to advance security screening procedures. Any 
foreign national wishing to participate in the meeting should advise 
DOE as soon as possible by contacting Ms. Edwards to initiate the 
necessary procedures. Please also note that those wishing to bring 
laptops into the Forrestal Building will be required to obtain a 
property pass. Visitors should avoid bringing laptops, or allow an 
extra 45 minutes. Persons can attend the public meeting via webinar. 
For more information, refer to the Public Participation section near 
the end of this notice.
    Any comments submitted must identify the notice of public meeting 
for Energy Conservation Standards for General Service Fluorescent Lamps 
and Incandescent Reflector Lamps, and provide docket number EE-2011-BT-
STD-0006 and/or regulatory information number (RIN) 1904-AC43. Comments 
may be submitted using any of the following methods:
    1. Federal eRulemaking Portal: http://www.regulations.gov. Follow 
the instructions for submitting comments.
    2. Email: [email protected]. Include the docket 
number and/or RIN in the subject line of the message.
    3. Mail: Ms. Brenda Edwards, U.S. Department of Energy, Building 
Technologies Program, Mailstop EE-2J, 1000 Independence Avenue SW., 
Washington, DC, 20585-0121. If possible, please submit all items on a 
CD. It is not necessary to include printed copies.
    4. Hand Delivery/Courier: Ms. Brenda Edwards, U.S. Department of 
Energy, Building Technologies Program, 950 L'Enfant Plaza SW., Suite 
600, Washington, DC, 20024. Telephone: (202) 586-2945. If possible, 
please submit all items on a CD, in which case it is not necessary to 
include printed copies.
    Written comments regarding the burden-hour estimates or other 
aspects of the collection-of-information requirements contained in this 
proposed rule may be submitted to Office of Energy Efficiency and 
Renewable Energy through the methods listed above and by email to 
[email protected].
    For detailed instructions on submitting comments and additional 
information on the rulemaking process, see section IV of this document 
(Public Participation).
    Docket: The docket is available for review at www.regulations.gov, 
including Federal Register notices, framework documents, public meeting 
attendee lists and transcripts, comments, and other supporting 
documents/materials. All documents in the docket are listed in the 
www.regulations.gov index. However, not all documents listed in the 
index may be publicly available, such as information that is exempt 
from public disclosure.
    The docket for this notice can be found on the regulations.gov 
site, docket number EERE-2011-BT-STD-0006 at www.regulations.gov/#!docketDetail;D=EERE-2011-BT-STD-0006. The regulations.gov web page 
contains instructions on how to access all documents, including public 
comments, in the docket. See section IV for further information on how 
to submit comments through www.regulations.gov.
    For further information on how to submit a comment, review other 
public comments and the docket, or participate in the public meeting, 
contact Ms. Brenda Edwards at (202) 586-2945 or by email: 
[email protected].

FOR FURTHER INFORMATION CONTACT: Ms. Lucy deButts, U.S. Department of 
Energy, Office of Energy Efficiency and Renewable Energy, Building 
Technologies Program, EE-2J, 1000 Independence Avenue SW., Washington, 
DC, 20585-0121. Telephone: (202) 287-1604 Email: 
[email protected].
    Ms. Elizabeth Kohl, U.S. Department of Energy, Office of the 
General Counsel, GC-71, 1000 Independence Avenue SW., Washington, DC, 
20585-0121. Telephone: (202) 586-7796. Email: 
[email protected].

SUPPLEMENTARY INFORMATION:

Table of Contents

I. Statutory Authority

[[Page 13564]]

II. Rulemakings for General Service Fluorescent Lamps and 
Incandescent Reflector Lamps
    A. Background
    B. Current Rulemaking Process
III. Summary of the Analyses
    A. Engineering Analysis
    B. Energy-Use Analysis
    C. Product Price Determination
    D. Life-Cycle Cost and Payback Period Analyses
    E. National Impact Analysis
IV. Public Participation

I. Statutory Authority

    Title III of the Energy Policy and Conservation Act (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 the fluorescent and 
incandescent reflector lamps (IRLs) that are the focus of this 
preliminary analysis.\1\ \2\ In particular, EPCA establishes energy 
conservation standards for certain classes of general service 
fluorescent lamps (GSFLs) and IRLs, and requires that the U.S. 
Department of Energy (DOE) (1) conduct two rulemaking cycles to 
determine whether these standards should be amended; and (2) determine 
whether the standards in effect for GSFLs should be amended to apply to 
additional GSFLs. (42 U.S.C. 6291(1), 6295(i)(1) and (3)-(5)) On July 
14, 2009, DOE published a final rule in the Federal Register, which 
completed the first rulemaking cycle to amend energy conservation 
standards for GSFLs and IRLs (hereafter the ``2009 Lamps Rule''). 74 FR 
34080. This rulemaking constitutes DOE's second cycle of review to 
determine whether the standards in effect for GSFLs and IRLs should be 
amended. In this rulemaking, DOE will also consider whether the 
standards should be applicable to additional GSFLs.
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    \1\ Part B was re-designated Part A on codification in the U.S. 
Code for editorial reasons.
    \2\ All references to EPCA in this document refer to the statute 
as amended through the American Energy Manufacturing Technical 
Corrections Act (AEMTCA), Public Law 112-210 (Dec. 18, 2012).
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    DOE must design any energy conservation standards for GSFLs and 
IRLs to (1) achieve the maximum improvement in energy efficiency that 
is technologically feasible and economically justified, and (2) result 
in significant conservation of energy. (42 U.S.C. 6295(o)(2)(A) and 
(o)(3)) To determine whether a proposed standard is economically 
justified, DOE must determine whether the benefits of the standard 
exceed its burdens by, to the greatest extent practicable, considering 
the following seven factors:
    1. The economic impact of the standard on manufacturers and 
consumers of products subject to the standard;
    2. The savings in operating costs throughout the estimated average 
life of the covered products in the type (or class) compared to any 
increase in the price, initial charges, or maintenance expenses for the 
covered products which are likely to result from the imposition of the 
standard;
    3. The total projected amount of energy savings likely to result 
directly from the imposition of the standard;
    4. Any lessening of the utility or the performance of the covered 
products likely to result from the imposition of the standard;
    5. The impact of any lessening of competition, as determined in 
writing by the Attorney General, that is likely to result from the 
imposition of the standard;
    6. The need for national energy conservation; and
    7. Other factors the Secretary [of Energy] considers relevant.

(42 U.S.C. 6295(o)(2)(B)(i))
    DOE also adheres to additional statutory requirements of general 
applicability for prescribing new or amended standards set forth in 
other relevant sections of EPCA.

II. Rulemakings for General Service Fluorescent Lamps and Incandescent 
Reflector Lamps

A. Background

    As mentioned in the previous section, EPCA, as amended, established 
energy conservation standards for certain classes of GSFLs and IRLs, 
and required DOE to conduct two rulemaking cycles to determine whether 
these standards should be amended. (42 U.S.C. 6291(1), 6295(i)(1) and 
(3)-(4)) EPCA also authorized DOE to adopt standards for additional 
GSFLs if such standards were warranted. (42 U.S.C. 6295(i)(5)).
    DOE completed the first cycle of amendments by publishing a final 
rule in the Federal Register in July 2009. 74 FR 34080 (July 14, 2009). 
In the 2009 Lamps Rule, DOE amended existing GSFL and IRL energy 
conservation standards and adopted standards for additional GSFLs. DOE 
also amended the regulatory definitions of ``colored fluorescent lamp'' 
and ``rated wattage'' and adopted test procedures applicable to the 
newly covered GSFLs.\3\
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    \3\ Information regarding the 2009 Lamps Rule can be found on 
DOE's Building and Technologies Web pages for IRLs (http://www1.eere.energy.gov/buildings/appliance_standards/product.aspx/productid/58) and GSFLs (http://www1.eere.energy.gov/buildings/appliance_standards/product.aspx/productid/70).
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    To initiate the second rulemaking cycle to consider amended energy 
conservation standards for GSFLs and IRLs, on September 14, 2011, DOE 
published a notice announcing the availability of the framework 
document, ``Energy Conservation Standards Rulemaking Framework Document 
for General Service Fluorescent Lamps and Incandescent Reflector 
Lamps,'' and a public meeting to discuss the proposed analytical 
framework for the rulemaking. 76 FR 56678. In the framework document, 
which DOE also posted on its Web site, DOE described the procedural and 
analytical approaches DOE anticipated using to evaluate the 
establishment of energy conservation standards for GSFLs and IRLs.
    DOE held the public meeting for the framework document on October 
4, 2011,\4\ to describe the various rulemaking analyses DOE would 
conduct, such as the engineering analysis, the life-cycle cost (LCC) 
and payback period (PBP) analyses, and the national impact analysis 
(NIA); the methods for conducting them; and the relationship among the 
various analyses. Manufacturers, trade associations, and environmental 
advocates attended the meeting. The participants discussed multiple 
issues, including unknown impacts of the 2009 Lamps Rule, technology 
shifts, and rare earth phosphors.
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    \4\ The framework document and public meeting information are 
available at regulations.gov, docket number EERE-2011-BT-STD-0006 at 
www.regulations.gov/#!docketDetail;D=EERE-2011-BT-STD-0006.
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    DOE has also taken steps to consider standards for certain 
reflector (R), elliptical reflector (ER), and bulged reflector (BR) 
IRLs. Additional background can be found at 75 FR 23191 (May 3, 2010). 
DOE has suspended these rulemaking activities, however, as a result of 
section 315 of Public Law 112-74 (Dec. 23, 2011), which prohibits DOE 
from using appropriated funds to implement or enforce standards for 
these IRLs. DOE does not examine any IRLs covered by the prohibition 
(which has currently been extended through March 27, 2013), including 
bulged parabolic reflector IRLs, in this preliminary analysis.

B. Current Rulemaking Process

    In this preliminary analysis, DOE considers whether and at what 
level(s) to promulgate energy conservation standards for GSFLs and 
IRLs. Comments received since publication of

[[Page 13565]]

the framework document have helped DOE identify and resolve issues 
involved in the preliminary analyses. Chapter 2 of the preliminary 
technical support document (TSD) summarizes and addresses the comments 
DOE received.
    The process for developing energy conservation standards involves 
input from the public. DOE considers the participation of interested 
parties to be a very important part of the rulemaking process. 
Accordingly, DOE encourages the participation of all interested parties 
during the comment period provided at each stage of the rulemaking.
    In conducting energy conservation standards rulemakings, DOE 
involves interested parties through various means. This standards 
rulemaking process for GSFLs and IRLs involves four public notices, 
published in the Federal Register, and three public meetings (including 
the public notice and meeting associated with the framework document 
previously mentioned).
    The preliminary analysis allows for public comment on the data, 
models, and tools that DOE expects to use in the rulemaking. These 
data, as discussed in section III.A, include product classes and 
candidate standard levels (CSLs), which span the range of efficacies 
from baseline lamps \5\ to the most efficacious technology. DOE 
requests comment and will hold a public meeting and webinar related to 
the preliminary analyses on the day specified in the DATES section.
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    \5\ DOE selected baseline lamps for each representative product 
class. Generally, a baseline lamp is one that represents the most 
common, least efficacious lamp sold within a product class.
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    After the preliminary analysis public meeting, DOE will determine 
whether to publish a notice of proposed rulemaking (NOPR). Any NOPR 
would present discussion of the comments received on the preliminary 
analysis, along with DOE's analysis of the impacts of potential 
standards on consumers, manufacturers, and the nation; DOE's weighting 
of these impacts; and the proposed standard levels, for public comment.

III. Summary of the Analyses

    DOE conducted in-depth technical analyses in the following areas 
for GSFLs and IRLs currently under consideration: (1) Engineering, (2) 
energy-use characterization, (3) product price determination, (4) LCC 
and PBP, and (5) national impact. The preliminary TSD presents the 
methodology and results of each analysis. The analyses are described in 
more detail in the following sections.
    DOE conducted several other analyses that either support the five 
major analyses or are preliminary analyses that will be expanded in the 
NOPR. These include the market and technology assessment; the screening 
analysis, which contributes to the engineering analysis; and the 
shipments analysis, which contributes to the NIA. DOE has also begun 
work on the manufacturer impact analysis and identified the methods to 
be used for the LCC subgroup analysis, the emissions analysis, the 
employment analysis, the regulatory impact analysis, and the utility 
impact analysis.

A. Engineering Analysis

    For this GSFL and IRL rulemaking, DOE derives efficacy levels in 
the engineering analysis and lamp end-user prices in the product price 
determination (see section III.C). DOE estimates the end-user price of 
GSFLs and IRLs directly because it is difficult to disassemble and 
reverse-engineer the lamps. The outputs of the engineering analysis and 
product price determination are used to develop cost-efficiency 
relationships.
    The engineering analysis focuses on selecting commercially 
available lamps that incorporate design options that improve efficacy. 
The engineering analysis identifies both the highest efficacy level 
that is technologically feasible within each product class and the 
representative baseline models, which serve as reference points against 
which DOE can measure changes resulting from potential energy 
conservation standards. After identifying more efficacious substitutes 
for each baseline model, DOE develops CSLs. Chapters 2 and 5 of the 
preliminary TSD discuss the engineering analysis, and chapters 2 and 7 
and appendix 7A of the preliminary TSD discuss the product price 
determination.

B. Energy-Use Analysis

    The purpose of the energy-use analysis is to estimate the energy 
usage for the baseline and higher efficacy lamps considered in this 
rulemaking. This analysis, which is meant to represent typical energy 
usage in the field, is an input to both the LCC and PBP analyses and 
the NIA. The energy-use analysis enables DOE to determine the LCC and 
the PBP of more efficacious lamps in relation to the baseline lamp. 
Chapters 2 and 6 of the preliminary TSD provide detail on the energy-
use characterization.

C. Product Price Determination

    As mentioned in section III.A, DOE often develops cost-efficiency 
relationships in the engineering analysis. However, for this 
rulemaking, DOE estimated the end-user price of GSFLs and IRLs 
directly. DOE selected this methodology because it is difficult to 
reverse-engineer GSFLs and IRLs, which are not easily disassembled. 
Chapters 2 and 7 of the preliminary TSD provide detail on the 
estimation of end-user prices.

D. Life-Cycle Cost and Payback Period Analyses

    The LCC and PBP analyses determine the economic impact of potential 
standards on individual customers. The LCC of a product is the cost it 
incurs over its lifetime, taking into account both purchase price and 
operating expenses. The PBP represents the time it takes to recover the 
additional installed cost of the more efficacious products through 
annual operating-cost savings. DOE analyzes the net effect on consumers 
by calculating the LCC and PBP using the engineering performance data 
(section III.A), the energy-use analysis data (section III.B), and the 
product price determination (section III.C). Chapters 2 and 8 of the 
preliminary TSD provide detail on the LCC and PBP analyses.

E. National Impact Analysis

    The NIA estimates the national energy savings (NES) and the net 
present value (NPV) of total consumer costs and savings expected to 
result from amended standards at specific CSLs. DOE calculates NES and 
NPV for each CSL for GSFLs and IRLs as the difference between a base 
case projection (without new standards) and the standards-case 
projection (with standards). DOE calculates national energy use for 
each year beginning with the expected compliance date of the standards, 
estimating national electricity use for the base case and each 
potential standard level analyzed. To calculate energy use, product 
stock in a given year is multiplied by annual energy use. DOE 
calculates the national NPV of the consumer savings resulting from 
energy conservation standards in conjunction with the NES. It 
calculates annual energy expenditures from annual energy use by 
incorporating projected energy prices and installed stock in each year. 
DOE calculates annual product expenditures by multiplying the price per 
lamp by the projected shipments. The difference between a base case and 
a standards-case scenario gives the national energy bill savings and

[[Page 13566]]

increased product expenditure in dollars. Chapters 2 and 10 of the 
preliminary TSD provide more detail on the NIA.

IV. Public Participation

    DOE consulted with interested parties on all of the analyses and 
invites further input on these topics. The preliminary analytical 
results are subject to revision following review and input from the 
public. A revised TSD will be made available upon issuance of a NOPR. 
Any final rule will contain the final analysis results and be 
accompanied by a final rule TSD.
    At the preliminary analysis public meeting, the Department will 
make a presentation, invite discussion on the rulemaking process as it 
applies to the covered products, and solicit comments, data, and 
information from participants and other interested parties. 
Participants can also attend the public meeting via webinar. 
Registration information, participant instructions, and information 
about the capabilities available to webinar participants will be 
available through the following Web page: http://www1.eere.energy.gov/buildings/appliance_standards/public_meetings_and_comment_deadline.html. Participants are responsible for ensuring their computer 
systems are compatible with the webinar software. The Department 
encourages those who wish to participate in the public meeting to 
obtain the preliminary TSD and to be prepared to discuss its contents. 
However, public meeting participants need not limit their comments to 
the topics identified in the TSD. DOE is also interested in receiving 
information on other relevant issues that participants believe would 
affect energy conservation standards for these products or that DOE 
should address in the NOPR.
    DOE welcomes all interested parties, regardless of whether they 
participate in the public meeting, to submit comments and information 
in writing by the day listed in the DATES section.
    The public meeting and associated webinar will be conducted in an 
informal, conference style. A court reporter will be present to record 
the minutes of the meeting. There shall be no discussion of proprietary 
information, costs, prices, market shares, or other commercial matters 
regulated by U.S. antitrust laws.
    After considering all comments and additional information it 
receives from interested parties or through further analyses, DOE will 
consider whether to propose standard levels in a NOPR. Any NOPR would 
be published in the Federal Register and include proposed energy 
conservation standards for the products covered by the rulemaking. 
Members of the public will again have an opportunity to submit written 
and oral comments on any proposed standards.

    Issued in Washington, DC, on February 20, 2013.
Kathleen B. Hogan,
Deputy Assistant Secretary for Energy Efficiency, Energy Efficiency and 
Renewable Energy.
[FR Doc. 2013-04711 Filed 2-27-13; 8:45 am]
BILLING CODE 6450-01-P