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Pursuant to a legislative requirement, GAO reviewed the Department of Energy's (DOE) new rule on the energy conservation program for consumer products, specifically fluorescent lamp ballasts energy conservation standards. GAO noted that: (1) the rule would significantly conserve energy; and (2) DOE complied with the applicable requirements in promulgating the rule.

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Department of Energy, Office of Energy Efficiency and Renewable Energy: Energy Conservation Program for Consumer Products: Fluorescent Lamp Ballasts Energy Conservation Standards, OGC-01-8, October 26, 2000


October 26, 2000

The Honorable Frank H. Murkowski
The Honorable Jeff Bingaman
Ranking Minority Member
Committee on Energy and Natural Resources
United States Senate

The Honorable Thomas J. Bliley, Jr.
The Honorable John D. Dingell
Ranking Minority Member
Committee on Commerce
House of Representatives

Subject: Department of Energy, Office of Energy Efficiency and Renewable Energy: Energy Conservation Program for Consumer Products: Fluorescent Lamp Ballasts Energy Conservation Standards

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), Office of Energy Efficiency and Renewable Energy, entitled "Energy Conservation Program for Consumer Products: Fluorescent Lamp Ballasts Energy Conservation Standards" (RIN: 1904-AA75). We received the rule on October 12, 2000. It was published in the Federal Register as a final rule on September 19, 2000. 65 Fed. Reg. 56740.

The final rule amends the existing energy conservation standards for fluorescent lamp ballasts to significantly conserve energy with technologically feasible and economically justifiable standards proposed and recommended by stakeholders.

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 indicates that DOE complied with the applicable requirements.

If you have any questions about this report, please contact James W. Vickers, Assistant General Counsel, at (202) 512-8210. The official responsible for GAO evaluation work relating to the subject matter of the rule is Jim Wells, Director, Natural Resources and Environment. Mr. Wells can be reached at (202) 512-3841.

Kathleen E. Wannisky
Managing Associate General Counsel


cc: Mr. Neal J. Strauss
Assistant General Counsel for
Regulatory Law
Department of Energy


ANALYSIS UNDER 5 U.S.C. 801(a)(1)(B)(i)-(iv) OF A MAJOR RULE
(RIN: 1904-AA75)

(i) Cost-benefit analysis

DOE performed a cost-benefit analysis that is contained in its Technical Support Document (TSD). The TSD was furnished to our Office as part of DOE's submission of the final rule.

DOE estimates that the cumulative national energy savings will range from 1.20 to 2.32 Quads of energy for the period of 2005 through 2030. These energy savings will result in carbon emission reductions of 11 to 19 million metric tons and NOx emission reductions of 34 to 60 thousand metric tons during the same time frame. DOE estimates the energy savings to have a net present value to American businesses and industries of 1.42 to 2.60 billion dollars.

(ii) Agency actions relevant to the Regulatory Flexibility Act, 5 U.S.C. 603-605, 607, and 609

The DOE has certified that the final rule will not have a significant economic impact on a substantial number of small entities.

(iii) Agency actions relevant to sections 202-205 of the Unfunded Mandates Reform Act of 1995, 2 U.S.C. 1532-1535

Section 202 of the Act requires a federal agency to publish estimates of the costs, benefits, and other effects on the economy when a regulatory action may result in the expenditure by the private sector of $100 million or more in any one year. The TSD discussed above addresses these requirements.

Section 205 of the Act also requires a federal agency to identify and consider a reasonable number of regulatory alternatives before promulgating a rule. In the TSD, DOE discusses the alternatives considered and describes how this final rule establishes energy conservation standards that achieve the maximum improvement in energy efficiency that is technologically feasible and economically justified.

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

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

The final rule was issued using the notice and comment procedures contained at 5 U.S.C. 553 and the procedures at 42 U.S.C. 6306 requiring DOE to permit conferences or other informal procedures to obtain interested parties views.

Following almost 10 years of preliminary information gathering, including establishing procedures and conducting meetings and workshops, DOE issued a Notice of Proposed Rulemaking in the Federal Register on March 15, 2000. 65 Fed. Reg. 14128. A public hearing was held on the proposed rule on April 18, 2000, in Washington, D.C. The comments received are responded to in the preamble to the final rule.

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

The final rule does not contain any information collections that are required to be reviewed and approved by the Office of Management and Budget under the Paperwork Reduction Act.

Statutory authorization for the rule

The final rule was issued under the authority contained in 42 U.S.C. 6291-6309 and 28 U.S.C. 2461 note.

Executive Order No. 12866

The final rule was reviewed by the Office of Management and Budget and found to be an "economically significant" regulatory action under the order.

Executive Order No. 13132 (Federalism)

The final rule was reviewed under the order and DOE has determined that it 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. State regulations that may have existed on the products that are the subject of the final rule were preempted by the federal standards established in the National Appliance Energy Conservation Amendments of 1988. States can petition DOE for exemption from such preemption based on the criteria set forth in the Energy Policy and Conservation Act.