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Accountability· Integrity· Reliability

United States Government Accountability Office

Washington, DC 20548

B-318535

August 20, 2009

The Honorable Jeff Bingaman

Chairman

The Honorable Lisa Murkowski

Ranking Minority Member

Committee on Energy and Natural Resources

United States Senate

The Honorable Henry A. Waxman .Chairman

The Honorable Joe L. Barton

Ranking Minority Member

Committee on Energy and Commerce

House of Representatives

Subject: Department ofEnergy: Energy Conservation Program: Energy Conservation

Standards and Test Procedures for General Service Fluorescent Lamps and

Incandescent ReflectorLamps

Pursuant to section 801(a)(2)(A) of title 5, United States Code, this is our report on a

major rule promulgated by the Department of Energy (DOE), entitled "Energy

Conservation Program: Energy Conservation Standards and Test Procedures for

General Service F1uorescent Lamps and Incandescent Reflector Lamps" (RIN: 1904-

AA92). We received the rule on August 6,2009. It was published in the Federal

Registeras a final rule on July 14, 2009. 74 Fed. Reg. 34,080.

The final rule amends the energy conservation standards for certain general service

fluorescent lamps and incandescent reflector lamps. The final rule also adopts new

energy conservation standards and amendments to DOE's test procedures for certain

general service fluorescent lamps not currently covered by the standards. Finally,

the final rule amends the definitions of certain terms found in the general provisions.

Enclosed is our assessment of the DOE's compliance with the procedural steps

required by section 801(a)(1)(B)(i) through (iv) of title 5 with respect to the rule.

Our review of the procedural steps taken indicates that DOE complied with the

applicable requirements.

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Ifyou have any questions about this report or wish to contact GAO officials

responsible for the evaluation work relating to the subject matter of the rule, please

contact Shirley A. Jones, Assistant General Counsel, at (202) 512-8156.

;;'\ r1I ' 1 " i ' " { , ,

/AdJli~1Y( \/ C~{{/hG(\ Robert J. Cramer

Managing Associate General Counsel

Enclosure

cc: Daniel Cohen

Assistant General Counsel for

Legislation and Regulatory Law

Department of Energy

Page 2 GAO-09-973R

EE-2006-STD-0131 COMMENT 103
ENCLOSURE

REPORT UNDER 5 U.S.C. § 801(a)(2)(A) ON A MAJOR RULE

ISSUED BY THE

DEPARTMENT OF ENERGY

ENTITLED

"ENERGY CONSERVATION PROGRAM: ENERGY CONSERVATION

STANDARDS AND TEST PROCEDURES FOR

GENERAL SERVICE FLUORESCENT LAMPS

AND INCANDESCENT REFLECTOR LAMPS"

(RIN: 1904-AA92)

(i) Cost-benefit analysis

DOE performed a cost-benefit analysis in conjunction with the final rule. DOE

determined that the benefits include energy savings, consumer life-cycle cost

savings, positive national net present value and emissions reductions. Costs for the

final rule include loss of manufacturer industry net present value and consumer lifecycle cost increases for some users of general service fluorescent lamps (GSFL) and

incandescent reflector lamps (lRL). DOE determined that the benefits outweigh the

costs of the final rule. In addition, DOE determined that the standards in the final

rule represent the maximum improvement in energy efficiency that is technologically

feasible and economically justified, and will result in significant energy savings.

(ii) Agency actions relevant to the Regulatory Flexibility Act. 5 U.S.C. §§ 603-605,

607, and 609

DOE certified that the final rule would not have a significant economic impact on a

substantial number ofsmall entities, and therefore did not prepare a regulatory

flexibility analysis.

(iii) Agency actions relevant to sections 202-205 of the Unfunded Mandates Reform

Act of 1995.2 U.S.C. §§ 1532-1535

DOE determined that the final rule does not contain an intergovernmental mandate;

however, it may result in expenditure of $100 million or more in a given year by the

private sector. DOE prepared a statement as to the basis, costs, benefits and

economic impacts of the rule, and identified and considered regulatory alternatives

to the rule.

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(iv) Other relevant information or requirements under acts and executive orders

Administrative Procedure Act, 5 U.S.C. §§ 551 et seq.

On May 31, 2006, DOEcommenced the rulemaking by publishing a framework

document for the rulemaking and by giving notice of a public meeting and of the

availability of the document for review and public comment. 71 Fed. Reg. 30,834.

DOE issued an advanced notice of proposed rulemaking (ANOPR), which was

published in the Federal Registeron March 13, 2008. 73 Fed. Reg. 13,620. DOE held

a public meeting in Washington, D.C., on March 10, 2008, and on June 26, 2008, DOE

met with the National Electrical Manufacturers Association (NEMA) to discuss

appropriate standards for high correlated color temperature fluorescent lamps. DOE

addressed comments it received in response to the ANOPR, including comments

from the public meeting and the meeting with NEMA, in its notice of proposed

rulemaking, published in the FederalRegisteron April 13, 2009. 74 Fed. Reg. 16,920.

DOE held a public meeting on February 3,2009, in Washington, D.C., to receive oral

comments on and solicit information relevant to the proposed rule. DOE responded

to the comments on the proposed rule in this final rule. 74 Fed. Reg. 34,080.

Paperwork Reduction Act, 44 U.S.C. §§ 3501-3520

This final rule imposes no new information and recordkeeping requirements;

therefore, the Office of Management and Budget (OMB) clearance under the

Paperwork Reduction Act is not required.

Statutory authorization for the rule

The final rule is authorized by Part A of Title ill of the Energy Policy and

Conservation Act (EPCA), 42 U.S.C. § 6291 et. seq.

Executive Order No. 12866 (Regulatory Planning and Review)

The final rule was determined to be economically significant under the Executive

Order. In accordance with the Executive Order, DOE prepared and submitted to

OMB an economic analysis outlining the costs and benefits ofimplementing each of

these programs.

Executive Order No. 13132 (Federalism)

DOE determined that the final rule would not have a substantial direct effect on the

states, on the relationship between the national government and the states, or on the

distribution of power and responsibilities among the various levels of government.

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