Energy Conservation Program: Request for Exclusion of 100 Watt R20 Short Incandescent Reflector Lamp From Energy Conservation Standards, 68331-68343 [2013-27248]
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§ 94.22 Restrictions on importation of beef
and ovine meat from Uruguay.
Notwithstanding any other provisions
of this part, fresh (chilled or frozen) beef
and ovine meat from Uruguay may be
exported to the United States under the
following conditions:
(a) The meat is beef or ovine meat
from animals that have been born,
raised, and slaughtered in Uruguay.
(b) Foot-and-mouth disease has not
been diagnosed in Uruguay within the
previous 12 months.
(c) The meat comes from bovines or
sheep that originate from premises
where foot-and-mouth disease has not
been present during the lifetime of any
bovines and sheep slaughtered for the
export of beef and ovine meat to the
United States.
(d) The meat comes from bovines or
sheep that were moved directly from the
premises of origin to the slaughtering
establishment without any contact with
other animals.
(e) The meat comes from bovines or
sheep that received ante-mortem and
post-mortem veterinary inspections,
paying particular attention to the head
and feet, at the slaughtering
establishment, with no evidence found
of vesicular disease.
(f) The meat consists only of bovine
parts or ovine parts that are, by standard
practice, part of the animal’s carcass
that is placed in a chiller for maturation
after slaughter. The bovine and ovine
parts that may not be imported include
all parts of the head, feet, hump, hooves,
and internal organs.
(g) All bone and visually identifiable
blood clots and lymphoid tissue have
been removed from the meat.
(h) The meat has not been in contact
with meat from regions other than those
listed as free of foot-and-mouth disease
and rinderpest under § 94.1(a).
(i) The meat comes from carcasses
that were allowed to maturate at 40 to
50 °F (4 to 10 °C) for a minimum of 24
hours after slaughter and that reached a
pH below 6.0 in the loin muscle at the
end of the maturation period.
Measurements for pH must be taken at
the middle of both longissimus dorsi
muscles. Any carcass in which the pH
does not reach less than 6.0 may be
allowed to maturate an additional 24
hours and be retested, and, if the carcass
still has not reached a pH of less than
6.0 after 48 hours, the meat from the
carcass may not be exported to the
United States.
(j) An authorized veterinary official of
the Government of Uruguay certifies on
the foreign meat inspection certificate
that the above conditions have been
met.
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(k) The establishment in which the
bovines and sheep are slaughtered
allows periodic on-site evaluation and
subsequent inspection of its facilities,
records, and operations by an APHIS
representative.
68331
The effective date of this rule is
December 16, 2013.
ADDRESSES: The docket, which includes
Federal Register notices, comments,
and other supporting documents/
materials, is available for review at
regulations.gov. All documents in the
(Approved by the Office of Management and
Budget under control number 0579–0372)
docket are listed in the regulations.gov
index. However, some documents listed
Done in Washington, DC, this 7th day of
in the index, such as those containing
November 2013.
information that is exempt from public
Kevin Shea,
disclosure, may not be publicly
Administrator, Animal and Plant Health
available.
Inspection Service.
The docket Web page can be found on
[FR Doc. 2013–27285 Filed 11–13–13; 8:45 am]
regulations.gov, under docket number
BILLING CODE 3410–34–P
EERE–2010–BT–PET–0047, at:
www.regulations.gov/#!docketDetail;D=
EERE-2010-BT-PET-0047. The
DEPARTMENT OF ENERGY
regulations.gov Web page will contain
simple instructions on how to access all
10 CFR Part 430
documents, including public comments,
[Docket Number EERE–2010–BT–PET–0047] in the docket.
For further information on how to
RIN 1904–AC57
review the docket, contact Ms. Brenda
Edwards at (202) 586–2945 or by email:
Energy Conservation Program:
Request for Exclusion of 100 Watt R20 Brenda.Edwards@ee.doe.gov.
Short Incandescent Reflector Lamp
FOR FURTHER INFORMATION CONTACT: Ms.
From Energy Conservation Standards
Lucy deButts, U.S. Department of
Energy, Office of Energy Efficiency and
AGENCY: Office of Energy Efficiency and
Renewable Energy, Building
Renewable Energy, Department of
Technologies Office, EE–2J, 1000
Energy.
Independence Avenue SW.,
ACTION: Final rule.
Washington, DC 20585–0121.
Telephone: (202) 287–1604. Email:
SUMMARY: The Energy Policy and
incandescent_reflector_lamps@
Conservation Act of 1975 (EPCA), as
ee.doe.gov.
amended, prescribes energy
Ms. Celia Sher, U.S. Department of
conservation standards for certain
Energy, Office of the General Counsel,
commercial and industrial equipment
GC–71, 1000 Independence Avenue
and various consumer products,
SW., Washington, DC 20585–0121.
including incandescent reflector lamps
Telephone: (202) 287–6122. Email:
(IRLs). The U.S. Department of Energy
celia.sher@hq.doe.gov.
(DOE) received a petition from the
SUPPLEMENTARY INFORMATION:
National Electrical Manufacturers
Association requesting the initiation of
Table of Contents
a rulemaking to exclude from coverage
I. Summary of the Final Rule
under EPCA standards a certain type of
II. Introduction
IRL marketed for use in pool and spa
A. Authority
applications. Specifically, the lamp at
B. Background
issue is a 100-watt R20 short (having a
III. General Discussion
maximum overall length of 3 and 5⁄8 or
A. Authority
3.625 inches) IRL (‘‘R20 short lamp’’).
B. R20 Short Lamp Special Application
Design and Impact on Energy Savings
DOE published this petition and a
1. Special Application of R20 Short Lamps
request for comment in the Federal
a. R20 Short Lamp Design for Special
Register on December 23, 2010. From its
Applications
evaluation of the petition and careful
b. Marketing and Distribution Channels of
consideration of the public comments,
R20 Short Lamps
DOE decided to grant the petition for
2. Impact on Energy Savings
rulemaking. DOE published a request
C. Availability of R20 Short Lamp Special
for information in the Federal Register
Characteristics in Substitutes
1. Improved R20 Short Lamp
on September 8, 2011, followed by a
2. 60 W PAR16 Lamp
notice of proposed rulemaking
3. LED Lamps
published in the Federal Register on
4. Consumer Use of Substitute Products
December 31, 2012. Based on data
IV. Conclusion
gathered by DOE and the comments it
V. Procedural Issues and Regulatory Review
received on these notices, DOE excludes
A. Review Under Executive Orders 12866
R20 short lamps from coverage under
and 13563
the EPCA energy conservation
B. Review Under the Regulatory Flexibility
Act
standards.
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C. Review Under the Paperwork Reduction
Act
D. Review Under the National
Environmental Policy Act of 1969
E. Review Under Executive Order 13132
F. Review Under Executive Order 12988
G. Review Under the Unfunded Mandates
Reform Act of 1995
H. Review Under the Treasury and General
Government Appropriations Act, 1999
I. Review Under Executive Order 12630
J. Review Under the Treasury and General
Government Appropriations Act, 2001
K. Review Under Executive Order 13211
L. Review Under the Information Quality
Bulletin for Peer Review
M. Congressional Notification
VI. Approval of the Office of the Secretary
I. Summary of the Final Rule
The Energy Policy and Conservation
Act of 1975 (‘‘EPCA’’ or ‘‘the Act’’),
Public Law 94–163 (42 U.S.C. 6291 et
seq.), as amended,1 prescribes energy
conservation standards for certain
commercial and industrial equipment
and various consumer products,
including incandescent reflector lamps
(IRLs). The National Electrical
Manufacturers Association (NEMA)
petitioned the U.S. Department of
Energy (DOE) to undertake a rulemaking
to exclude from coverage under energy
conservation standards a certain type of
IRL that is marketed for use in pool and
spa applications. 75 FR 80731 (Dec. 23,
2010). Specifically, the lamp at issue is
a 100-watt (W) R20 short (having a
maximum overall length [MOL] of 3 and
5⁄8 [or 3.625] inches) lamp that falls
within the voltage range of covered IRLs
(hereafter ‘‘R20 short lamp’’). A review
for exclusion is authorized under 42
U.S.C. 6291(30)(E), which allows the
Secretary, by rule, to exclude from the
terms ‘‘fluorescent lamp’’ and
‘‘incandescent lamp’’ any lamp for
which standards would not result in
significant energy savings because such
lamp is designed for special
applications or has special
characteristics not available in
reasonably substitutable lamp types.
Based on its review for exclusion
discussed in this rule, DOE determined
that pursuant to 42 U.S.C. 6291(30)(E),
R20 short lamps should be excluded
from coverage under the applicable
energy conservation standards for IRLs.
Under EPCA, 42 U.S.C. 6291(30)(E)
allows for exclusion of a lamp for which
standards would not result in significant
energy savings because it is designed for
special applications. Thus, DOE
assessed the impact of the application of
R20 short lamps on the potential energy
1 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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savings from standards for these lamps.
The characteristics of R20 short lamps,
as well as their distribution channels
and marketing, indicate that they are
designed for pool and spa applications.
DOE determined that because the R20
short lamps serve a very small market,
they will not result in significant energy
savings under the applicable
conservation standards.
Additionally, 42 U.S.C. 6291(30)(E)
allows exclusion based on
unavailability of reasonably
substitutable lamp types. Therefore,
DOE analyzed the characteristics of R20
short lamps to determine if reasonable
substitutes were commercially available.
The most likely commercially available
substitute lamp required a modification
to the fixture lens in order to maintain
the same light distribution. Therefore,
DOE concluded that the special
characteristics of an R20 short lamp are
not available in a reasonably
substitutable lamp type.
Therefore, under 42 U.S.C.
6291(30)(E), DOE excludes R20 short
lamps from coverage of energy
conservation standards based on the
determination that energy savings are
not significant due to R20 short lamps’
use in special applications and their
having special characteristics not
available in reasonably substitutable
lamp types. Accordingly, DOE modifies
the definition of ‘‘Incandescent reflector
lamp’’ to include an exemption for R20
short lamps and adds a definition for
‘‘R20 short lamp’’ in 10 CFR 430.2.
II. Introduction
A. Authority
Title III, Part B of EPCA established
the Energy Conservation Program for
Consumer Products Other Than
Automobiles,2 a program covering most
major household appliances
(collectively referred to as ‘‘covered
products’’), including the types of IRLs
that are the subject of this rulemaking.
In particular, amendments to EPCA in
the Energy Policy Act of 1992 (EPAct
1992), Public Law 102–486, established
energy conservation standards for
certain classes of IRLs and authorized
DOE to conduct two rulemaking cycles
to determine whether those standards
should be amended. (42 U.S.C. 6291(1),
6295(i)(1) and (3)–(4)) DOE completed
the first cycle of amendments by
publishing a final rule in July 2009
(hereafter ‘‘2009 Lamps Rule’’). 74 FR
34080 (July 14, 2009).3 Standards
2 For editorial reasons, upon codification in the
U.S. Code, Part B was redesignated Part A.
3 Information regarding the 2009 Lamps Rule can
be found at on regulations.gov, docket number
EERE–2006–STD–0131 at www.regulations.gov/
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adopted in the 2009 Lamps Rule will
hereafter be referred to as the ‘‘July 2012
standards.’’
The EPAct 1992 amendments to EPCA
also added as covered products certain
IRLs with wattages of 40 W or higher
and established energy conservation
standards for these IRLs. Section
322(a)(1) of the Energy Independence
and Security Act of 2007 (EISA 2007),
Public Law 110–140, subsequently
expanded EPCA’s definition of
‘‘incandescent reflector lamp’’ to
include lamps with a diameter between
2.25 and 2.75 inches.4 (42 U.S.C.
6291(30)(C)(ii)) This addition made R20
lamps (having a diameter of 20⁄8, or 2.5,
inches) covered products subject to
EPCA’s standards for IRLs.
Although these lamps are covered
products, 42 U.S.C. 6291(30)(E) gives
DOE the authority to exclude these
lamps upon a determination that
standards ‘‘would not result in
significant energy savings because such
lamp is designed for special
applications or has special
characteristics not available in
reasonably substitutable lamp types.’’
B. Background
The Administrative Procedure Act
(APA; 5 U.S.C. 551 et seq.), provides,
among other things, that ‘‘[e]ach agency
shall give an interested person the right
to petition for the issuance, amendment,
or repeal of a rule.’’ (5 U.S.C. 553(e))
Pursuant to this provision of the APA,
NEMA petitioned DOE for a rulemaking
to exclude a type of IRL from coverage
of energy conservation standards.
Specifically, NEMA sought exclusion
for R20 short lamps marketed for use in
pools and spas. These lamps are sold in
jurisdictions that allow pools and spas
to be supplied with 120-volt (V)
electricity. 75 FR 80731 (Dec. 23, 2010).
As stated in the previous section II.A,
amendments to EPCA in EISA 2007
expanded EPCA’s definition of IRLs to
include smaller diameter lamps, such as
the R20 lamps that are the subject of this
rulemaking. (42 U.S.C. 6291(30)(C)(ii))
The related statutory standards required
compliance on June 15, 2008—180 days
after the date of enactment of EISA
2007. (42 U.S.C. 6295(i)(1)(D)(ii))
Although R20 short lamps were
required to comply with these
standards, noncompliant R20 short
#!docketDetail;D=EERE-2006-STD-0131 and on
DOE’s Building and Technologies Web page for
Incandescent Reflector Lamps: https://
www1.eere.energy.gov/buildings/appliance_
standards/product.aspx/productid/58.
4 Prior to the enactment of EISA 2007, this
definition applied to lamps with a diameter that
exceeds 2.75 inches. EISA 2007 modified this
definition to make it applicable to IRLs with a
diameter that exceeds 2.25 inches.
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lamps remained on the market until
September 2010 because the
manufacturers of these lamps
mistakenly believed the lamps were
excluded from coverage. 75 FR at 80732
(Dec. 23, 2010). The manufacturers had
relied upon the Federal Trade
Commission’s (FTC’s) labeling rule, 16
CFR Part 305, which, until July 19,
2011, published the previous lamp
definitions from the EPAct 1992
amendments of EPCA.5 Before July 19,
2011, the FTC labeling regulations
treated IRLs as general service
incandescent lamps (GSILs), and
erroneously continued to define GSILs
as not including lamps specifically
designed for ‘‘[s]wimming pool or other
underwater service.’’ 16 CFR
305.3(m)(3) (2010) This exclusion was
eliminated from EPCA by section 321 of
EISA 2007. Upon realization that the
FTC definitions were incorrect and the
R20 short lamps were subject to energy
conservation standards, the
manufacturers removed the product
from the market. Subsequently, in
November 2010, NEMA submitted its
petition to exclude R20 short lamps
from coverage under EPCA standards.
DOE published the petition in the
Federal Register on December 23, 2010,
and requested public comment. 75 FR
80731.
In the petition, NEMA asked for a
rulemaking to exclude R20 short lamps
from coverage of energy conservation
standards, as well as a stay of
enforcement pending that rulemaking.
As grounds for the petition, NEMA
stated that R20 short lamps qualify for
exclusion under 42 U.S.C. 6291(30)(E),
which allows the Secretary to exclude a
fluorescent or incandescent lamp ‘‘as a
result of a determination that standards
for such lamp would not result in
significant energy savings because such
lamp is designed for special
applications or has special
characteristics not available in
reasonably substitutable lamp types.’’ In
its petition, NEMA contended that a
rulemaking would find that energy
conservation standards for R20 short
lamps would not result in significant
energy savings and that the lamp was
designed for special applications or has
special characteristics not available in
substitute lamp types. Specifically,
NEMA argued that because the lamp has
a particular MOL and is specially
5 The FTC published a final rule in the Federal
Register on July 19, 2010, which updated its
regulations regarding its definition of general
service incandescent lamp to reflect the definitional
changes provided in EISA 2007. 75 FR 41696,
41713–41714. These changes were effective July 19,
2011, at which time the amendments were reflected
in the Code of Federal Regulations.
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designed to meet underwater
illumination requirements of pool and
spa manufacturers (including
designated beam spread and lumen
output), there are no substitute products
on the market for this application. 75 FR
at 80732 (Dec. 23, 2010).
Additionally, NEMA asserted that
having energy conservation standards
for this lamp type would lead to its
unavailability in the United States. To
the best of NEMA’s and manufacturers’
knowledge, the decision of the two
manufacturers of R20 short lamps to
withdraw the product from the market
had already resulted in its current
unavailability. 75 FR at 80732–80733
(Dec. 23, 2010).
After reviewing NEMA’s petition and
all comments received in response,6
DOE concluded it has the legal authority
to grant exclusions for IRLs under 42
U.S.C. 6291(30)(E) and initiated a
rulemaking to make a determination on
exclusion. DOE granted NEMA’s
petition for a rulemaking in a request for
information (RFI) published in the
Federal Register on September 8, 2011,
announcing its decision and requesting
more information on this product. 76 FR
55609. The RFI stated that DOE granted
the petition for a rulemaking pursuant
to the requirements specified in section
6291(30)(E), and would also grant a stay
of enforcement pending the outcome of
the rulemaking. In the RFI, DOE also
specifically asked for comment on (1)
the potential for unregulated R20 short
lamps to be used as substitutes for other
lamps subject to energy conservation
standards; (2) whether the distinctive
features, pricing, and applicationspecific labeling and marketing of R20
short lamps provide a sufficient
deterrent to their use in other
applications; (3) the availability of
substitute lamps that would meet both
energy conservation standards and
relevant pool and spa application
requirements; and (4) the technological
feasibility of R20 short lamps complying
with the prescribed energy conservation
standards and also meeting relevant
pool and spa application requirements.
76 FR at 55614.
DOE reviewed all comments received
in response to the RFI and conducted an
analysis on the exclusion of R20 short
lamps that included market research
and manufacturer interviews. DOE then
published a notice of proposed
rulemaking (NOPR) in the Federal
Register addressing comments and
stating DOE’s proposal to exclude R20
6 NEMA’s petition and associated comments can
be found at regulations.gov under Docket No.
EERE–2010–BT–PET–0047, at www.regulations.gov/
#!docketDetail;D=EERE-2010-BT-PET-0047.
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68333
short lamps from energy conservation
standards. 77 FR 76959 (Dec. 31, 2012).
California Investor Owned Utilities, the
Pacific Gas and Electric Company, San
Diego Gas and Electric, and Southern
California Edison, (hereafter the ‘‘CA
IOUs’’); Earthjustice and the National
Resources Defense Council (hereafter
‘‘Earthjustice and NRDC’’); and NEMA
responded to the proposal and DOE
considered these additional comments
when developing this final rule. DOE’s
responses to these comments and the
final analysis on the determination of
exclusion of R20 short lamps from
energy conservation standards are
discussed in the following section.
III. General Discussion
A. Authority
In response to the NOPR, DOE
received comment from Earthjustice and
NRDC regarding DOE’s authority to
exclude R20 short lamps under 42
U.S.C. 6291(30)(E). Earthjustice and
NRDC referred to their previous
comments made in response to NEMA’s
petition, that section 6291(30)(E) can
only apply to lamps for which
significant energy savings would not be
captured under future standards; the
language of the provision (i.e., ‘‘would
not result’’) does not permit DOE to
apply it retroactively to lamps with
existing standards. (Earthjustice and
NRDC, No. 15 at p. 1; 7 Earthjustice and
NRDC, No. 8 at p. 1)
As stated in the NOPR and RFI, the
plain language of section 6291(30)(E)
gives DOE the authority to exclude
certain lamps for which standards
would not result in significant energy
savings. DOE does not believe this
section applies only to standards that
have not yet taken effect. Under 42
U.S.C. 6295(o)(3), DOE is already barred
from adopting standards for any product
for which the standards would not
result in significant conservation of
energy. Therefore, section 6291(30)(E)
would be rendered redundant and
superfluous, if it applied only to
products for which standards are not yet
in effect. Instead, DOE finds that section
6291(30)(E) contains no time bar for
undertaking a rulemaking action to
address a lamp for which standards
would not result in significant energy
savings because it is designed for
special applications or has special
characteristics not available in
substitutable lamp types. Given the
7 A notation in the form ‘‘Earthjustice and NRDC,
No. 15 at p. 1’’ identifies a written comment that
DOE has received and has included in the docket
of this rulemaking. This particular notation refers
to a comment: (1) Submitted by Earthjustice and
NRDC; (2) in document number 15 of the docket;
and (3) on page 1 of that document.
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broad and growing coverage of DOE’s
energy conservation standards for
lamps, DOE believes that Congress
intended section 6291(30)(E) to provide
a mechanism to address both those
lamps covered by existing standards, as
well as new lamps subsequently
developed to which standards would
otherwise apply. 76 FR at 55611 (Sept.
8, 2011); 77 FR at 76961 (December 31,
2012).
Earthjustice and NRDC disagreed that
section 6291(30)(E) would be redundant
if not applicable to standards that
already require compliance. Earthjustice
and NRDC commented that section
6291(30)(E) retains a separate relevance
from section 6295(o)(3) because it
enables DOE to exclude lamps from
statutory standards that do not yet
apply, whereas section 6295(o)(3) only
applies to DOE’s adoption of standards
via rulemakings. (Earthjustice and
NRDC, No. 8 at pp. 1–2)
The language in section 6291(30)(E)
does not explicitly condition exclusions
from coverage of standards based on the
authority under which the standards
were developed. Interpreting section
6291(30)(E) as applying to only statutory
standards in order to distinguish it from
section 6295(o)(3) would limit the scope
of section 6291(30)(E). The language in
section 6291(30)(E) does not indicate
that it was Congress’s intent to limit the
Secretary’s authority of exemption.
Therefore, DOE concluded it has the
authority under section 6291(30)(E) to
consider excluding R20 short lamps
from energy conservation standards.
Based on this authority, DOE assessed
whether the lamps qualify for exclusion
under each criterion set forth in section
6291(30)(E), and discusses its
assessment in the following sections.
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B. R20 Short Lamp Special Application
Design and Impact on Energy Savings
As mentioned in the previous
sections, under 42 U.S.C. 6291(30)(E),
DOE may determine to exclude a
fluorescent or incandescent lamp
provided standards for the lamp would
not result in significant energy savings
because the lamp is designed for special
applications. DOE first established that
R20 short lamps serve a special
application by analyzing their design
features and their marketing and
distribution channels, and then
evaluated the impact on energy savings
from standards for R20 short lamps.
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1. Special Application of R20 Short
Lamps
a. R20 Short Lamp Design for Special
Applications
NEMA’s original petition stated that
the R20 short lamp was specifically
designed to meet the underwater
illumination requirements of pool and
spa part manufacturers. NEMA stated
that the R20 short lamp’s MOL, heat
shield, filament, lumen output, and
beam spread indicate the lamp was
specifically designed for its application.
75 FR at 80733 (Dec. 23, 2010) Through
interviews with lamp manufacturers
and pool and spa part manufacturers,
DOE was able to confirm that the R20
short lamp’s MOL of 3 and 5⁄8 inches is
required for compatibility with pool and
spa fixtures; the heat shield is necessary
for operation in a high temperature
environment; and the lumen output
range between 637 and 1022 lumens,
and beam spread between 70 and 123
degrees are designed to satisfy consumer
preferences, as well as building codes
and standards specific for pool and spa
applications. DOE also found that the
filament in R20 short lamps is
specifically placed to achieve the
required beam spread. However, DOE
concluded that filament placement does
not stand on its own as a requirement
for pools and spas, but is rather
encompassed within the requirement for
a specific beam spread. NEMA agreed
with this list of special characteristics,
affirming that they are representative of
the R20 short lamp, and that there are
no additional features to address.
(NEMA, No. 14 at pp. 1) Because the
described R20 short lamp characteristics
are designed to meet requirements
specific to pools and spas, DOE believes
that R20 short lamps are designed for a
special application. For more discussion
on R20 short lamp features, see section
III.C.
b. Marketing and Distribution Channels
of R20 Short Lamps
In addition to design features, DOE
also analyzed marketing literature and
distribution channels for R20 short
lamps when determining if R20 short
lamps are designed for special
applications. DOE found R20 short
lamps are marketed and clearly
packaged in a way that indicates the
lamps are specifically for pool and spa
use. Through lamp manufacturer
interviews and research using publicly
available information, DOE found that
R20 short lamp manufacturers do not
sell lamps directly to consumers. The
commercial market is supplied through
catalog warehouses; maintenance
supply; maintenance, repair, operations
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(MRO) distributors; and pool and spa
distributors. The residential market is
primarily supplied through pool and
spa distributors, which include large
retail pool outlets and online retailers.
Additionally, a small portion of
products are sold to online retailers for
pool and spa replacement parts,
electrical distributors for direct
installation in new pool construction,
and hospitality and specialty lighting
suppliers (e.g., medical equipment
retail) for use with pools and spas.
Therefore, DOE concluded that the
application-specific packaging and nontraditional distribution channels
indicate R20 short lamps are intended
for pool and spa applications.
Based on the application-specific
design characteristics of the R20 short
lamp and the marketing and nontraditional distribution channels used
by these lamp types, DOE concluded
that R20 short lamps are designed for
pool and spa applications. Pursuant to
section 6291(30)(E), DOE then
proceeded to determine whether
standards for the lamp would not result
in significant energy savings because the
lamp is designed for a special
application.
2. Impact on Energy Savings
As part of its analysis to determine
the impact of standards for R20 short
lamps on energy savings, DOE evaluated
the market share of R20 short lamps put
forth by NEMA. In its petition, NEMA
stated there are only two known
manufacturers of the 100 W R20 short
lamp in the United States. Both
manufacturers submitted their
confidential R20 short lamps 2009
shipment data to NEMA. In interviews,
these lamp manufacturers commented
that the shipment data from 2009 is
representative of the R20 short lamp
market before they stopped making the
lamp available to consumers in 2010.
For comparison, NEMA used an
adjusted estimate of covered IRL
shipments from the 2009 Lamps Rule. In
the 2009 Lamps Rule, DOE estimated
the shipments of covered IRLs to be 181
million units in the year 2005. Based on
a decline in shipments of all IRLs in
2009, NEMA assumed covered IRLs
would also decline, but estimated the
shipments to still remain above 100
million. Based on a minimum of 100
million and a maximum of 181 million
shipments of covered IRLs, NEMA
calculated that the shipments of R20
short lamps represented significantly
less than 0.1 percent of 2009 shipments
of covered IRLs. 75 FR at 80733 (Dec.
23, 2010).
In interviews conducted for the
NOPR, DOE independently obtained
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shipment information from lamp
manufacturers that confirmed NEMA’s
estimate of R20 short lamps being
significantly less than 0.1 percent of
2009 shipments of covered IRLs.
Therefore, DOE determined this to be an
accurate assessment of the R20 short
lamp market share and concluded that
less than 0.1 percent of covered IRLs
indicated a small market share for R20
short lamps. (More information on R20
short lamp energy use can be found in
appendix B of this final rule.8)
As well as assessing the existing
market share, DOE also analyzed the
potential for growth due to market
migration of R20 short lamps. NEMA
stated that with the R20 short lamp’s
small market share, specialized
distribution chains, and typically high
price point, their exclusion from
standards does not present any
significant loss in energy savings.
(NEMA, No. 14 at pp. 2, 3) Earthjustice
and NRDC referred to their previous
comments made in response to the RFI,
stating that they remain concerned that
exempted R20 short lamps will migrate
to applications other than pools and
spas. (Earthjustice and NRDC, No. 15 at
p. 1) The CA IOUs also referred to
comments on the subject submitted for
the RFI. Specifically, they reiterated that
the size of R20 short lamps allows them
to be used in applications other than
pool and spa lighting, and that R20
short lamps are not necessarily more
expensive than other small diameter
IRLs and an increase in their production
could allow manufacturers to achieve
some economies of scale and lower
prices further. The CA IOUs stated that
DOE did not sufficiently address these
two points in the NOPR. (CA IOUs, No.
16 at p. 1)
DOE agrees that R20 short lamps’
MOL does not physically prohibit their
use in other applications. Further, DOE
had received information from lamp
manufacturers stating that the end-user
price varies, but typically ranges from
$12 to $25. DOE market research also
indicated a large variation, finding
prices ranging from as low as $2 to as
high as $34. Therefore, DOE
acknowledges that the price of R20 short
lamps can be competitive with other
IRLs. However, R20 short lamps are sold
through specialized distribution
channels where they are marketed and
packaged specifically for pool and spa
applications. Additionally, even when
R20 short lamps were perceived to be
unregulated, there was no evidence of
8 The appendices can be found on
regulations.gov, under docket number EERE–2010–
BT–PET–0047, at www.regulations.gov/
#!docketDetail;D=EERE-2010-BT-PET-0047.
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market migration to other applications.
For these reasons, even though physical
constraints may not limit their use in
other applications and they may be sold
at low prices, the substitution of R20
short lamps in general applications is
highly unlikely.
The CA IOUs stated that while R20
lamps are sold through specific
distribution channels, and are therefore
unlikely to be purchased for use outside
of the pool and spa lighting market,
there are no rules to prevent
manufacturers from selling R20 short
lamps outside these distribution
channels in the future. (CA IOUs, No. 16
at p. 1) The CA IOUs also noted that as
consumers do more shopping online,
historically hard lines between different
distribution channels become
increasingly blurred, and consumers
have greater access to products being
sold through a variety of merchants. (CA
IOUs, No. 16 at pp. 1–2)
Overall, DOE did not find an
indication of a potential trend towards
selling R20 short lamps through general
application channels. With few
exceptions, DOE found that the majority
of R20 short lamps available online are
on Web sites selling specialty and pool
and spa lighting or equipment.
Therefore, even via online channels,
R20 short lamps are still generally sold
through designated, niche Web sites.
Also, as noted in the NOPR, lamp
manufacturers stated in interviews that
the R20 short lamp market is primarily
for replacement lamps and, therefore,
historically has shown very little growth
or decline. 77 FR at 76963 (December
31, 2012). Further, despite the fact that
lamp manufacturers have not
considered the lamps as regulated, the
market share has remained extremely
low and there has been no evidence of
market migration. In addition to being
found primarily through designated
distribution channels, the lamps’
packaging indicates they are specifically
for pool and spa applications.
The CA IOUs also commented that
even though R20 short lamps may
currently be appropriately labeled for
use in pools and spas only, there are no
guidelines to ensure that consumers use
them only in pool and spa applications.
(CA IOUs, No. 16 at p. 1) Further, the
CA IOUs stated that although R20 short
lamps have not become a loophole
previously, the new energy conservation
standards for IRLs set by the 2009
Lamps Rule have required compliance
since July 2012. The CA IOUs
contended that because these standards
increased existing lumen per watt (lm/
W) standards for covered products, they
provide greater incentive for excluded
lamp types to become loopholes. The
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CA IOUs stressed that exclusion of R20
short lamps from standards is now more
likely to result in significant loss of
energy savings through market
migration towards these products. (CA
IOUs, No. 16 at p. 2)
DOE finds it unlikely that consumers
will seek out R20 short lamps packaged
and labeled for use in pool and spa
applications as replacements for any
general service lighting impacted by the
standards adopted by the 2009 Lamps
Rule. The definition of R20 short lamp,
as added by this final rule to 10 CFR
430.2, requires that they be designed,
labeled, and marketed specifically for
pool and spa applications. DOE believes
the use of R20 short lamps in other
applications despite their packaging and
marketing materials is improbable as
consumers are unable to purchase R20
short lamps at typical retail outlets such
as large home improvement stores. As
noted in section III.B.1.b, the majority of
R20 short lamps are purchased from
pool and spa distributors and specialty
retail stores, and are not available where
general service IRLs are typically sold.
In its interviews with manufacturers for
various lighting regulations, DOE has
consistently received feedback that
when replacing lamps, consumers
attempt to replace the same lamp that
was previously installed. It is not
typical consumer behavior to seek out
alternative lamp types from unrelated
niche application lighting. Therefore,
DOE concluded that the R20 short lamp
market has limited potential for growth,
and it is unlikely the lamps will migrate
to general lighting applications.
Because the specialty application of
the R20 short lamps results in a small
market share and limited potential for
growth for these lamps, DOE concluded
that the exclusion of R20 short lamps
would not significantly impact the
energy savings resulting from energy
conservation standards.
C. Availability of R20 Short Lamp
Special Characteristics in Substitutes
DOE may also exclude a lamp because
its special characteristics are not
available in reasonably substitutable
lamp types. 42 U.S.C. 6291(30)(E) To
determine whether an exclusion was
acceptable based on this condition, DOE
identified the special characteristics of
R20 short lamps and determined
whether these characteristics existed in
other lamp types that would qualify as
reasonable substitutes.
DOE considered a lamp characteristic
special if, without it, the R20 short lamp
would not be able to provide the special
application for which it was designed
(i.e., use in pools and spas). Therefore,
even if the lamp characteristic was not
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unique to the R20 short lamp, it was
deemed special if it was required for the
lamp to function in pools and spas. DOE
identified the following set of features
that in combination allow the lamp to
be used in a specialty application:
• Shortened MOL: An MOL of 3 and
5⁄8 inches or less;
• Heat Shield: A shield reflecting
radiant energy from the lamp base;
• Beam Spread: A beam angle
between 70 and 123 degrees;
• Lumen Output: A lumen output
between 637 and 1,022 lumens; and
• Illumination: 0.5 W per square foot
of water surface area or the equivalent.
DOE evaluated lamps that could serve
as potential substitutes by determining
whether they contained all of the above
noted special characteristics of R20
short lamps. DOE notes that a
reasonable substitute lamp may also
need to be Underwriters Laboratories
(UL) listed for applicable pool and
lighting fixtures in order to prevent
voiding fixture manufacturer warranties.
As stated in the NOPR, based on
interviews with pool and spa part
manufacturers, DOE finds that
reasonable substitutes will not
encounter barriers when obtaining a UL
listing. 77 FR at 76964–76965
(December 31, 2012).
DOE surveyed the market and
conducted manufacturer interviews to
identify several commercially available
lamps that were marketed or considered
by manufacturers as potential
substitutes for an R20 short lamp. These
lamps included a more efficacious
halogen-based R20 short lamp, a smaller
diameter IRL, the 60 W PAR16, and
certain light-emitting diode (LED)
lamps. When analyzing each of the
likely replacements, DOE focused on
whether they possessed the special
characteristics of the R20 short lamp.
In the NOPR, DOE tentatively
concluded that there were no reasonably
substitutable lamp types currently
available that offered the special
characteristics of R20 short lamps.
NEMA agreed that there are no
reasonable substitute lamp designs for
this application that meet energy
efficiency regulations and pass safety
and performance requirements for this
lamp type. NEMA stressed that should
inferior substitutes be forced on the
market purely due to energy efficiency
goals, the existing relationship between
the R20 short lamps and the devices that
use them would not be replicated,
which could create a potential safety
and liability risk. Further, NEMA noted
that its members have attempted to
design substitute lamps using improved
energy performance solutions, only to
have the products fail testing across the
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greater range of requirements, including
energy conservation standards, safety
requirements, and form factors. NEMA
asserted that if it were possible to make
substitute lamps, its members would
have made them. (NEMA, No. 14 at
p. 3)
However, the CA IOUs and
Earthjustice and NRDC recommended
that DOE further examine the possibility
of a reasonable substitute for R20 short
lamps. (Earthjustice and NRDC, No. 15
at p. 1; CA IOUs, No. 16 at pp. 2–4) DOE
responds to their specific comments and
presents its final assessment in the
following sections.
1. Improved R20 Short Lamp
Currently, R20 short lamps use
incandescent technology and do not
meet previous energy conservation
standards or the existing standards
adopted in the 2009 Lamps Rule that
required compliance in July 2012. In the
NOPR, DOE investigated the potential of
improving the efficacy of R20 short
lamps using halogen capsules, also
called halogen burners, known to
improve the efficacy of IRLs. Halogen
capsules consist of a small diameter,
fused quartz envelope filled with a
halogen molecule that surrounds the
lamp’s filament. Through teardowns,
testing, calculations, and interviews,
DOE’s NOPR analysis concluded that
although it is potentially feasible to
incorporate a halogen burner into an
R20 short lamp, the expected
improvement in efficacy would not be
enough to meet or exceed the July 2012
standards.
The CA IOUs urged DOE to undertake
a more rigorous analysis of the
achievable efficacy of R20 short lamps
with halogen burners. They requested
more detail on DOE’s modeling
approach and why DOE was unable to
model a more efficacious halogen-based
R20 lamp. As efficacy generally
increases with lamp wattage, and none
of the special characteristics were
reported to affect efficacy, the CA IOUs
found it unlikely that the modeled 75 W
halogen R20 short lamp with a singleended burner had a theoretical efficacy
of only 10.3 lm/W. Specifically, they
noted that the 45 W halogen R20 lamp
used by DOE to scale to a 75 W halogen
R20 short lamp would be compliant
with the existing energy conservation
standards and therefore, presumably
have a minimum efficacy of 14.0 lm/W.
Similarly, the CA IOUs questioned that
the modeled 75 W halogen R20 short
lamp with a double-ended burner had a
theoretical efficacy of only 13.8 lm/W.
(CA IOUs, No. 16 at p. 2)
In the NOPR analysis, DOE modeled
efficacies at 75 W for an R20 short lamp
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in two scenarios, one using single-ended
burner technology, and the second using
double-ended burner technology. DOE
developed these lamps by scaling from
commercially available lamps. DOE
selected a 45 W halogen R20 lamp with
a single-ended burner that had a rated
efficacy of 9.3 lm/W. Because the
selected lamp is excluded 9 from the
existing standards for IRLs specified in
10 CFR 430.32(n)(5), it is not required
to meet the minimum standard of 14.0
lm/W as assumed by the CA IOUs.
When this lamp was scaled to a 75 W
lamp with a single-ended burner, the
efficacy improved to 10.3 lm/W. (More
information on the scaling methodology
can be found in appendix A of the
NOPR.10)
To model the R20 short lamp with a
double-ended burner, DOE used the
tested double-ended burner efficacy for
a standards-compliant 60 W PAR30
short lamp and added an average
reflector efficiency factor of 62.2
percent, based on tested reflector
efficiencies of R20 lamp types, to
calculate an efficacy of 13.5 lm/W.
When scaled to a 75 W lamp with a
double-ended burner, the resulting
efficacy improved to 13.8 lm/W. (More
information on the scaling methodology
can be found in appendix A of the
NOPR.)
Therefore, as expected, in both
scenarios the efficacies of the scaled
higher wattage lamps were greater than
the efficacies of the lower-wattage lamps
from which they were scaled. However,
because the lower-wattage lamp used to
model an R20 short lamp with a singleended burner is excluded from existing
standards and has a lower efficacy than
14.0 lm/W, the modeled lamp would
not necessarily meet current standards.
Similarly, while a standards-compliant
lamp’s burner efficiency was used to
model an R20 short lamp with a doubleended burner, the inclusion of an Rshaped reflector efficiency allows for
the possibility that the modeled lamp
would not be compliant to standards.
The CA IOUs also questioned whether
using the Illuminating Engineering
Society of North America (IESNA)
scaling equations alone can sufficiently
capture the full range of benefits from
moving to more efficient halogen
burners. The CA IOUs gave the example
of there possibly being some
temperature advantages to using
halogen or halogen infrared (HIR)
burners due to less waste heat
9 For a full list of exclusions see 10 CFR
430.32(n)(6)(ii).
10 Appendix A from the NOPR can be found on
regulations.gov, under docket number EERE–2010–
BT–PET–0047, at www.regulations.gov/
#!docketDetail;D=EERE-2010–BT-PET-0047.
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generation. (CA IOUs, No. 16 at pp. 2–
3) The improved R20 short lamps are
modeled using a set of industryaccepted IESNA equations. DOE
believes these equations offer an
accurate theoretical assessment of lamp
performance based on a relationship
between lifetime, lumens, and wattage.
Stakeholders recommended
additional modeling scenarios in order
to explore other pathways to a more
efficacious R20 short lamp. The CA
IOUs questioned DOE’s decision to base
the modeled R20 short lamp with a
double-ended burner on a PAR30 short
lamp with a double-ended burner, as its
efficacy had to be discounted to account
for the different reflector shape. The CA
IOUs suggested DOE base the analysis
on the 40 W Philips Halogena Energy
Saver R20 lamp with a double-ended
burner, so there would be no need to
adjust the results for reflector efficiency.
The CA IOUs also noted that the Philips
Halogena R20 lamp has an efficacy of
14.25 lm/W, making it compliant with
standards.11 (CA IOUs, No. 16 at p. 2)
The CA IOUs further recommended that
DOE consider modeling the theoretical
double-ended burner lamp with a higher
efficiency reflector (as opposed to the
average reflector efficiency for R20
lamps), given that the primary goal of
the analysis is to determine achievable
efficiency improvements for the
product. (CA IOUs, No. 16 at p. 2) The
CA IOUs had also noted that it might be
possible to redesign other aspects of the
lamp to better support halogen burners.
(CA IOUs, No. 16 at pp. 2–3)
Earthjustice and NRDC similarly
encouraged DOE to seek additional
information on the technical feasibility
of improving the efficacy of R20 short
lamps. (Earthjustice and NRDC, No. 15
at p. 1) In this final rule, taking into
consideration the preceding
recommendations from stakeholders,
DOE modeled the performance of R20
short lamps utilizing HIR technology
and also a more efficient reflector to
determine if an improved R20 short
lamp could be a viable substitute.
DOE identified commercially
available HIR R20 lamps with singleended or double-ended burners to use in
modeling an HIR R20 short lamp with
performance characteristics comparable
to a 100 W incandescent R20 short
lamp. While the specific Philips lamp
suggested by the CA IOUs was no longer
listed in their catalog, DOE was able to
identify a currently available HIR R20
lamp with a double-ended burner with
11 Please note that the referenced lamp is
excluded from the existing IRL standards specified
in 10 CFR 430.32(n)(5). See 10 CFR 430.32(n)(6)(ii)
for a list of exclusions.
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the same efficacy. Including this lamp,
DOE identified a 40 W HIR R20 lamp
with a single-ended burner, two 40 W
HIR R20 lamps with double-ended
burners, and one 45 W HIR R20 lamp
with a double-ended burner.
DOE then performed teardowns to
determine the dimensional
compatibility of the identified HIR R20
lamps’ halogen capsules with an R20
short lamp. Based on the dimensions of
the burners and the R20 short lamp,
DOE concluded that it is not possible to
fit the double-ended halogen burners
found in commercially available HIR
R20 lamps in an R20 short lamp; it is
possible, however, to fit the singleended burner. Therefore, for this final
rule, DOE used the HIR R20 lamp with
a single-ended burner to model a more
efficacious R20 short lamp. Because
DOE could not identify a double-ended
HIR R20 lamp with a capsule that was
dimensionally compatible with an R20
short lamp, DOE continued to use the 60
W HIR PAR30 short lamp tested for the
NOPR to model an HIR R20 short lamp
with a double-ended burner. A doubleended burner is more efficient than a
single-ended burner because it has the
lead wire outside of the capsule, where
it does not interfere with the reflectance
of energy from the capsule wall back to
the capsule filament. This limits the loss
of energy and raises the filament
temperature, resulting in an increase in
lamp efficacy.
To model an HIR R20 short lamp with
a single-ended burner, DOE tested the
efficacy of the identified 120 V, 40 W
HIR R20 lamp with the dimensionally
compatible single-ended burner. Using
the IESNA equations relating lifetime,
lumens, and wattage, DOE scaled the
lumen output of the 40 W lamp in three
scenarios, with the lumen output
reasonably close to the minimum,
maximum, and average lumen output of
the desired range (637 and 1,022
lumens). Typically R20 short lamps
have a lifetime of 2,000 or 2,500 hours.
For this analysis, DOE assumed the
maximum rated lifetime of 2,500 hours.
Through these scaling calculations, DOE
found that in the average lumen output
scenario, the efficacy of the R20 short
lamp could potentially be improved to
meet the July 2012 standards with the
use of HIR technology and a singleended burner. For the maximum lumen
output scenario the efficacy of the
modeled lamp did not meet the July
2012 standards. In order to achieve the
minimum lumen output, the modeled
lamp wattage was reduced to lower than
45 W, thereby excluding the lamp from
existing standards for IRLs specified in
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10 CFR 430.32(n)(5).12 For more
information on the improved efficacy
calculations, see appendix A of this
final rule.13
To determine the efficacy of an HIR
R20 lamp with a double-ended burner,
DOE revised the scaling analysis
conducted for the NOPR by analyzing in
addition to an average efficiency
reflector, a more efficient reflector. DOE
utilized the NOPR test results of the
burner efficiency of a 120 V, 60 W
PAR30 short lamp with a double-ended
burner that is dimensionally compatible
with an R20 short lamp. Using the
IESNA equations relating lifetime,
lumen output, and wattage, DOE first
scaled the lumen output of the 60 W
lamp with the average reflector
efficiency in three scenarios, with the
lumen output reasonably close to the
minimum, maximum, and average
lumen output of the desired range (637
and 1,022 lumens). DOE again assumed
the maximum rated lifetime of R20 short
lamps (2,500 hours). DOE found for the
average lumen output and maximum
lumen output scenarios that the efficacy
of the modeled R20 short lamp with
average reflector efficiency would not
meet the July 2012 standards. However,
DOE found for the minimum lumen
output scenario, the efficacy of the R20
short lamp could potentially be
improved to meet the July 2012
standards with the use of HIR
technology with a double-ended burner.
As suggested by the CA IOUs, DOE
then conducted the same analysis for
the 60 W lamp with a higher efficiency
reflector. DOE found for the average
lumen output and maximum lumen
output scenarios that the efficacy of the
R20 short lamp could potentially be
improved to meet the July 2012
standards with the use of HIR
technology with a double-ended burner
and improved reflector. In order to
achieve the minimum lumen output, the
modeled lamp wattage was reduced to
lower than 45 W, thereby excluding the
lamp from existing standards for IRLs
specified in 10 CFR 430.32(n)(5).14 For
more information on the improved
efficacy calculation, see appendix A of
this final rule.15
DOE notes that there is uncertainty
associated with the theoretical modeling
12 For a full list of exclusions see 10 CFR
430.32(n)(6)(ii).
13 Appendix A can be found on regulations.gov,
under docket number EERE–2010–BT–PET–0047, at
www.regulations.gov/#!docketDetail;D=EERE-2010BT-PET-0047.
14 For a full list of exclusions see 10 CFR
430.32(n)(6)(ii).
15 Appendix A can be found on regulations.gov,
under docket number EERE–2010–BT–PET–0047, at
www.regulations.gov/#!docketDetail;D=EERE-2010BT-PET-0047.
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assessment. The modeled lamps reflect
a standard R20 reflector shape rather
than a short R20 reflector shape. Thus,
the modeled lamp efficacies were based
on R20 lamps with a longer MOL than
the R20 short lamp’s 3.625 inches. DOE
compared standard length and long
length halogen lamps that had the same
shape, diameter, lifetime, voltage, and
wattage, and could find no consistent
relationship between lamp length and
efficacy. Therefore, it is unknown how
shortening the length of the reflector
would impact the efficacy of the
modeled lamps.
Even given this uncertainty, DOE
evaluated whether the standardscompliant R20 short lamps based on the
modeling described above could also
include the special characteristics of the
R20 short lamp. (See section III.C.) First,
DOE believes that a heat shield could be
included in the improved R20 short
lamp as they are included in most
commercially available halogen IRLs.
Next, DOE also determined that because
the HIR capsules were dimensionally
compatible with an R20 short lamp, the
shortened MOL is retained. The
addition of an HIR capsule would,
however, affect the lumen output and
beam spread. Based on its theoretical
modeling, DOE determined that an HIR
R20 short lamp may have a lumen
output within the established range for
an R20 short lamp of 637 to 1,022
lumens.16 However, because the
position of the filament impacts the
beam angle, DOE anticipates that the
beam angle could be affected by the use
of a halogen capsule. Because standardscompliant R20 short lamps are not
commercially available, DOE is unable
to confirm the beam angle of R20 short
lamps that utilize an HIR capsule.
However, DOE believes that the HIR R20
short lamps would likely meet the 0.5
watts per square foot of water surface
area or equivalent illumination
requirements because the theoretical
lamps could deliver higher lumen
output with reduced input wattage
compared to the R20 short lamp.
Through the modeling assessment,
DOE determined that the efficacy of an
R20 short lamp could potentially be
improved through the use of HIR
technology. However, DOE cannot be
certain of the improvement in efficacy
due to the fact that the commercially
available lamps from which the more
efficacious R20 short lamps were scaled
did not have the same reflector length
as the R20 short lamp. Moreover, it is
not clear that the more efficacious R20
16 Note that, as modeled, the lamps have the
necessary lumen output, but DOE is uncertain of
the impact of a shorter reflector length.
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short lamp would be able to achieve the
combination of the special
characteristics because HIR technology
has not yet been incorporated in a
commercially available R20 short lamp.
Therefore, the modeled efficacy and
performance characteristics of the HIR
R20 short lamp could be affected by
adjustments required to accommodate
these features. Thus, DOE was unable to
conclude, based on its modeling,
whether an improved R20 short lamp
could be compliant with standards and
also include all the special
characteristics of a R20 short lamp.
If DOE concluded that the special
characteristics of R20 short lamps
prohibit the lamps from reaching
efficacy levels achievable by other R20
lamps, the CA IOUs suggested DOE use
the relationship between these lamp
characteristics and efficacy to scale the
existing standards to accommodate R20
short lamps, instead of granting a full
exception from standards. (CA IOUs,
No. 16 at p. 3) The authority of this
rulemaking is based on 42 U.S.C.
6291(30)(E), which is limited to
determining whether or not lamp types
should be excluded from energy
conservation standards. 42 U.S.C.
6291(30)(E) does not grant DOE the
authority to establish unique energy
conservation standards for these lamps.
2. 60 W PAR16 Lamp
In addition to analyzing HIR R20
short lamps as a reasonable substitute,
DOE also analyzed 60 W PAR16 lamps.
In the NOPR, DOE determined that the
60 W PAR16 lamp must be partnered
with a fixture with an optimized LED
lens to achieve the appropriate beam
angle and does not contain all of the
special characteristics of a R20 short
lamp by itself. 77 FR at 76966–67
(December 31, 2012). NEMA agreed that
the 60 W PAR16 lamp is therefore not
an acceptable substitute for R20 short
lamps. NEMA allowed that 60 W PAR16
lamps may provide adequate lumens
and meet total illumination
requirements without an additional
lens, but emphasized that their beam
angle does not provide the same total
illumination throughout the pool or spa.
NEMA further clarified that because 60
W PAR16 lamps produce a targeted
cone of light output, areas of the pool
or spa where the lamp fixture is not
directed would not be illuminated,
creating safety issues. Additionally,
NEMA noted that the R20 short lamp
has been optimized for the fixture and
the application, as corroborated by
DOE’s analysis, and a substitute, lowerwattage lamp would not provide the
same service. (NEMA, No. 14 at p. 2)
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For this final rule, DOE again
evaluated the 60 W PAR16 lamp and
found no change in its characteristics.
Therefore, DOE maintains that because
the 60 W PAR16 lamp alone cannot
achieve the required beam spread for
R20 short lamps, the lamp is not a
reasonable substitute.
3. LED Lamps
In the NOPR, DOE also evaluated
whether commercially available LED
lamps could serve as reasonable
substitutes for R20 short lamps. DOE
determined that because they do not
have the required special characteristics
of R20 short lamps, specifically lumen
output and beam spread, they are not
reasonable substitutes. Furthermore,
DOE did not consider LED lamp and
fixture replacements as reasonable
substitutes because they require more
than the lamp to be replaced. 77 FR at
76967 (December 31, 2012).
Earthjustice and NRDC and the CA
IOUs encouraged DOE to seek
additional information on compliant
LED lamps that could be reasonable
substitutes. (Earthjustice and NRDC, No.
15 at p. 1; CA IOUs, No. 16 at p. 3)
Specifically, the CA IOUs commented
that LED technology has advanced
rapidly in recent years, and LED light
sources increasingly are used in many
different applications. The CA IOUs
stated that they have found several
examples of commercially available
pool and spa LED lamps sold by online
retailers that could be alternatives to
R20 short lamps. While these products
are currently more expensive, the CA
IOUs contended that they offer energy
cost savings, longer lifetimes, and lower
maintenance costs. The CA IOUs also
noted that LED lamp costs are forecasted
to fall quickly in the coming years as
LED technology continues to mature.
(CA IOUs, No. 16 at p. 3)
In the NOPR analysis, DOE had
conducted market research to identify
any commercially available LED lamps
determined to be compatible with the
R20 short lamp fixture and to have the
required special characteristics of R20
short lamps. For this final rule, DOE
updated its market analysis and verified
the conclusions of the NOPR
assessment; DOE did not find any LED
lamps that had the necessary
requirements of lumen output or beam
spread.
The CA IOUs remarked that while
DOE acknowledged that the PAR16 and
LED replacement lamps are currently
being used, DOE still claimed that these
lamps should not be considered
substitute products because neither
lamp type is demonstrating full
equivalency in terms of lumen output
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and/or measured light distribution. The
CA IOUs suggested this reasoning is not
applicable when comparing LED to
incandescent lighting in pool and spa
applications. Pool and spa LEDs can be
designed to provide cooler light
compared to incandescent lamps, with
higher intensity at shorter wavelengths
within the spectrum of visible light. The
CA IOUs explained that water has a
higher optical absorption coefficient at
longer wavelengths, which effectively
acts as a filter that allows more cool
light than warm light to pass through.
Therefore, LED lamps need fewer total
lumens to light a pool and will provide
more even illumination with fewer ‘‘hot
spots’’ than incandescent lighting. For
these reasons, the CA IOUs argued that
comparisons of lumen output and light
distribution for pool and spa lighting
should not be based on raw
measurements of the light source
outside of the fixture. (CA IOUs, No. 16
at p. 3)
In support of this argument, the CA
IOUs referred to a 2010 emerging
technology study wherein they
evaluated the performance of
incandescent and LED lamps in pool
and spa lighting applications.17 The CA
IOUs stated that the study measured the
light output and distribution of R20
lamps and several LED replacement
products (both lamps and fixtures) at
the surface of a pool, and generally
found the quality of light provided by
the LED products was superior in terms
of brightness and evenness of
distribution. The CA IOUs also noted
that LED pool and spa lighting products
have probably continued to improve in
the three years since this study was
completed. (CA IOUs, No. 16 at p. 3)
DOE reviewed the study referenced by
the CA IOUs to further assess the
possibility of LED lamps as a reasonable
substitute for R20 short lamps. The
study did find that uniformity and light
levels improved relative to incandescent
lighting in pools, but mainly for
replacements of both lamp and fixture.
For direct replacement LED lamps, the
study noted that while they had the
potential to improve uniformity, the
results were less constant and in some
cases poorer than those of the
preexisting incandescent lighting.18
Further, the study stated that direct
replacement LED lamps tend to fall in
the ‘‘one size fits all’’ category, limiting
17 Southern California Edison. Commercial LED
Pool Lamps. December 2010. Southern California
Edison Design and Engineering Services Customer
Service Business Unit:.Rosemead, CA. Report No.
ET10SCE1130. Available here: www.etcc-ca.com/
images/stories/et10sce1130_-_commercial_led_
pool_lighting.pdf.
18 Ibid, page 34.
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their ability to provide the performance
needed in certain applications.19 As
noted previously, DOE concluded the
criteria for a reasonable substitute must
be met by the lamp alone. Based on the
study, the direct replacement lamps
tested did not consistently meet light
levels compared to incandescent
lighting.
The CA IOUs suggested that the ‘‘blue
filter’’ effect causes the underwater
performance of lumens to differ from
the absolute lumen output as measured
outside the underwater fixture. Thus,
using measured lumens as a criterion to
identify a reasonable substitute is
unsuitable for this application. (CA
IOUs, No. 16 at pp. 3–4) However, the
study noted that the influence of the
‘‘blue filter’’ effect on pool lighting is
proportional to pool size. The effect is
greater in larger pools where light must
travel long distances, than in spas where
light travels shorter distances.20 The
variation in this phenomenon makes it
problematic to develop an accurate and
consistent light level metric. Further, a
light level metric based on this effect
cannot be used to determine
replacements for all R20 short lamps, as
the blue filter effect is not significant in
small pools. Hence, lumen output
remains a more consistent and reliable
metric of gauging the suitability of a
replacement lamp for the R20 short
lamp in all pool and spa applications,
and can be applied across technologies,
including LED lamps.
Finally, the study acknowledged that
LED pool lighting systems would have
difficulty meeting the 0.5 W per square
foot or equivalent illumination building
code requirement. The study suggested
that building code requirements should
be modified to account for the spectral
distribution of lumens rather than the
total lumen output.21 However, DOE
must base its criteria for reasonable
substitutes in this rulemaking on
existing requirements.
For this final rule, DOE again
evaluated commercially available LED
lamps to determine whether they meet
the special characteristics of R20 short
lamps. DOE did not find an LED lamp
that comprised all the necessary
characteristics to serve as a reasonable
substitute for an R20 short lamp. DOE
also examined information provided by
stakeholders regarding the potential
improvement in pool and spa lighting
by replacing incandescent with LED
technology. However, because this
improvement is attributable to
replacement of lamp and fixture rather
19 Ibid,
page 38.
pages 35–36.
21 Ibid, page 36.
20 Ibid,
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than only the lamp, DOE could not
consider it in its evaluation of LEDs as
reasonable substitutes for R20 short
lamps. Further, DOE concluded that
while there may be different ways to
measure the illumination of a pool or
spa, the lumen output range identified
as a special characteristic for R20 short
lamps remains a reliable metric that can
be applied across technologies and for
all types of pools and spas.
4. Consumer Use of Substitute Products
The CA IOUs noted that R20 short
lamps have not been manufactured
since 2010. In the meantime, PAR16
lamps and LED products have been
successfully installed in new and
existing pool and spa fixtures without
noticeable negative impacts to
consumers. The CA IOUs further cited
their experience implementing rebate
programs for LED pool lighting, noting
that consumers have expressed a high
degree of satisfaction when replacing
their existing R20 short lamps with
LEDs. The CA IOUs affirmed that in
their experience, consumers are not able
to distinguish small differences in the
beam angle or distribution of light,
particularly when the lamps are behind
a lens and under water. An additional
interview the CA IOUs conducted with
a major distributor of pool lighting
products also confirmed these findings
of consumer satisfaction. (CA IOUs, No.
16 at p. 3)
DOE evaluated lamps as reasonable
substitutes using a set of criteria
described in the beginning of section
III.C. The fact that consumers can
physically replace R20 short lamps with
PAR16 or LED lamps does not
automatically mean they are reasonable
substitutes. Rather, the necessary
criteria for a reasonable substitute lamp
are based on special characteristics of
the R20 short lamp identified in this
analysis.
The CA IOUs called attention to the
fact that for new fixtures the question of
light source equivalency is a non-issue,
and R20 short lamp fixtures do not offer
any unique functionality that cannot be
met by other light sources. As new
fixtures are sold together with the lamps
they were designed for, fixture
manufacturers are able to customize
their lenses based on the source of
lighting being used. (CA IOUs, No. 16 at
p. 3) DOE acknowledges that a lamp and
fixture replacement could adequately
meet pool and spa lighting needs.
However, as the scope of this
rulemaking covers only the R20 short
lamp itself, and not pool and spa
fixtures, DOE must assess reasonable
substitutes for the lamp alone.
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IV. Conclusion
DOE has established that R20 short
lamps were designed for pool and spa
applications based on industry need and
consumer preference. The design
requirements included a wide beam
spread, high lumen output, and
adequate illumination; a heat shield to
withstand the high operating
temperatures of spas; and a shortened
MOL, allowing the lamp to fit in
underwater pool or spa fixtures.
Further, DOE has determined that the
majority of R20 short lamps are
purchased from pool and spa
distributors and specialty retail stores,
and are not available where IRLs are
typically sold for general lighting
applications. R20 short lamps are also
marketed and clearly packaged in a way
that indicates the lamps are specifically
for use in pools and spas. Therefore,
DOE has concluded that R20 short
lamps are designed for pool and spa
applications. Due to the special
application of R20 short lamps, DOE
assessed the impact on energy savings
from the exclusion of these lamps from
energy conservation standards. As R20
short lamps have a small market share
and limited potential for growth, DOE
determined that the regulation of R20
short lamps would not result in
significant energy savings.
DOE also evaluated lamps that could
serve as potential substitutes by
analyzing their ability to replicate the
specialized characteristics of the R20
short lamp, specifically a shortened
MOL, heat shield, high lumen output,
wide beam spread, and adequate
illumination. DOE concluded that there
are no reasonably substitutable lamp
types currently commercially available
that offer the special characteristics of
R20 short lamps.
Based on the assessments of this final
rule, DOE determined that R20 short
lamps should be excluded from energy
conservation standards. DOE’s analysis
found that energy conservation
standards for R20 short lamps would
not result in significant energy savings
because the lamps are designed for
special applications and have special
characteristics not available in
reasonably substitutable lamp types.
Therefore, under section 6291(30)(E),
DOE excludes R20 short lamps from
energy conservation standards by
modifying the definition of
‘‘Incandescent reflector lamp’’ and
adding a new definition for ‘‘R20 short
lamp’’ in 10 CFR 430.2, as set forth in
the regulatory text of this rule.
In response to the definition of R20
short lamp proposed in the NOPR,
Earthjustice and NRDC commented that
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V. Procedural Issues and Regulatory
Review
approaches, those approaches that
maximize net benefits (including
potential economic, environmental,
public health and safety, and other
advantages; distributive impacts; and
equity); (4) to the extent feasible, specify
performance objectives, rather than
specifying the behavior or manner of
compliance that regulated entities must
adopt; and (5) identify and assess
available alternatives to direct
regulation, including providing
economic incentives to encourage the
desired behavior, such as user fees or
marketable permits, or providing
information upon which choices can be
made by the public.
DOE emphasizes as well that
Executive Order 13563 requires agencies
to use the best available techniques to
quantify anticipated present and future
benefits and costs as accurately as
possible. In its guidance, OIRA has
emphasized that such techniques may
include identifying changing future
compliance costs that might result from
technological innovation or anticipated
behavioral changes. For the reasons
stated in the preamble, DOE believes
that today’s final rule is consistent with
these principles, including the
requirement that, to the extent
permitted by law, benefits justify costs
and that net benefits are maximized.
A. Review Under Executive Orders
12866 and 13563
Today’s regulatory action has been
determined to not be a ‘‘significant
regulatory action’’ under section 3(f) of
Executive Order 12866, ‘‘Regulatory
Planning and Review,’’ 58 FR 51735
(Oct. 4, 1993). Accordingly, the Office of
Information and Regulatory Affairs
(OIRA) in the Office of Management and
Budget (OMB) is not required to review
this action.
DOE has also reviewed this regulation
pursuant to Executive Order 13563,
issued on January 18, 2011 (76 FR 3281
(Jan. 21, 2011)). Executive Order 13563
is supplemental to and explicitly
reaffirms the principles, structures, and
definitions governing regulatory review
established in Executive Order 12866.
To the extent permitted by law, agencies
are required by Executive Order 13563
to: (1) Propose or adopt a regulation
only upon a reasoned determination
that its benefits justify its costs
(recognizing that some benefits and
costs are difficult to quantify); (2) tailor
regulations to impose the least burden
on society, consistent with obtaining
regulatory objectives, taking into
account, among other things, and to the
extent practicable, the costs of
cumulative regulations; (3) select, in
choosing among alternative regulatory
B. Review Under the Regulatory
Flexibility Act
The Regulatory Flexibility Act (5
U.S.C. 601 et seq.) requires preparation
of a final regulatory flexibility analysis
(RFA) for any rule that by law must be
proposed for public comment, unless
the agency certifies that the rule, if
promulgated, will not have a significant
economic impact on a substantial
number of small entities. As required by
Executive Order 13272, ‘‘Proper
Consideration of Small Entities in
Agency Rulemaking,’’ 67 FR 53461
(August 16, 2002), DOE published
procedures and policies on February 19,
2003, to ensure that the potential
impacts of its rules on small entities are
properly considered during the
rulemaking process. 68 FR 7990. DOE
has made its procedures and policies
available on the Office of the General
Counsel’s Web site (https://energy.gov/
gc/office-general-counsel).
DOE reviewed today’s rulemaking
under the provisions of the Regulatory
Flexibility Act and the policies and
procedures published on February 19,
2003. This rulemaking sets no
standards; it only determines that
exclusion from standards is warranted
for R20 short lamps. DOE certifies that
this rulemaking will not have a
significant impact on a substantial
DOE should ensure the definition
includes each of the identified special
characteristics of R20 short lamps,
including the incorporation of a heat
shield, a beam angle between 70 and
123 degrees, and a minimum light
output of 900 lumens. Earthjustice and
NRDC stated that DOE should either add
these criteria to the text of the R20 short
lamp definition or clarify in the
preamble of this final rule that the
requirement that an R20 short lamp be
‘‘designed . . . specifically for pool and
spa applications’’ includes the
satisfaction of these three criteria.
(Earthjustice and NRDC, No. 15 at p. 1)
DOE agrees with Earthjustice and
NRDC on the importance of the special
characteristics of R20 short lamps and
has stated in section III.C of this final
rule that each of these characteristics is
required for the R20 short lamp to
provide the special application for
which it was designed. DOE believes the
definition for R20 short lamp added to
10 CFR 430.2, which specifies the
wattage, MOL, and requires that the
lamp must be designed, labeled, and
marketed specifically for pool and spa
applications, sufficiently identifies the
lamps designated for exclusion.
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number of small entities. The factual
basis for this certification is as follows.
For manufacturers of R20 short lamps,
the Small Business Administration
(SBA) has set a size threshold, which
defines those entities classified as
‘‘small businesses’’ for the purposes of
the statute. DOE used the SBA’s small
business size standards to determine
whether any small entities would be
subject to the requirements of the rule.
65 FR 30836, 30848 (May 15, 2000), as
amended at 65 FR 53533, 53544 (Sept.
5, 2000) and codified at 13 CFR part
121.The size standards are listed by
North American Industry Classification
System (NAICS) code and industry
description and are available at
www.sba.gov/sites/default/files/files/
Size_Standards_Table.pdf. R20 short
lamp manufacturing is classified under
NAICS 335110, ‘‘Electric Lamp Bulb
and Part Manufacturing.’’ The SBA sets
a threshold of 1,000 employees or less
for an entity to be considered as a small
business for this category. DOE
identified two small business
manufacturers of R20 short lamps.
Amendments to EPCA in EPAct 1992
established the current energy
conservation standards for certain
classes of IRLs. On July 14, 2009, DOE
published a final rule in the Federal
Register that amended these standards,
with a compliance date of July 14, 2012.
74 FR 34080. In that rulemaking, DOE
concluded that the standards would not
have a substantial impact on small
entities and, therefore, did not prepare
a regulatory flexibility analysis. 74 FR at
34174–34175 (July 14, 2009). On the
basis of the foregoing and because this
rulemaking to establish an exclusion
from standards decreases regulatory
burden, DOE certifies that this
rulemaking will have no significant
economic impact on a substantial
number of small entities. Accordingly,
DOE has not prepared an RFA for this
final rule. DOE transmitted the
certification and supporting statement
of factual basis to the Chief Counsel for
Advocacy of the SBA for review under
5 U.S.C. 605(b).
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C. Review Under the Paperwork
Reduction Act
This rulemaking, which establishes an
exclusion from energy conservation
standards for R20 short lamps, would
impose no new information or record
keeping requirements. Accordingly, the
OMB clearance is not required under
the Paperwork Reduction Act. (44
U.S.C. 3501 et seq.)
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D. Review Under the National
Environmental Policy Act of 1969
Pursuant to the National
Environmental Policy Act (NEPA) of
1969, DOE has determined that this
final rule fits within the category of
actions that are categorically excluded
from review under the National
Environmental Policy Act of 1969 (Pub.
L. 91–190, codified at 42 U.S.C. 4321 et
seq.), and DOE’s implementing
regulations at 10 CFR part 1021.
Specifically, the rulemaking amends an
existing rule without changing its
environmental effect, and, therefore, is
covered by Categorical Exclusion (CX)
A5 found in 10 CFR part 1021, subpart
D, appendix A. Therefore, as DOE has
made a CX determination for the
rulemaking, DOE does not need to
prepare an Environmental Assessment
or Environmental Impact Statement.
DOE’s CX determination is available at
https://cxnepa.energy.gov/.
E. Review Under Executive Order 13132
Executive Order 13132, ‘‘Federalism.’’
64 FR 43255 (Aug. 10, 1999) imposes
certain requirements on Federal
agencies formulating and implementing
policies or regulations that preempt
State law or that have Federalism
implications. The Executive Order
requires agencies to examine the
constitutional and statutory authority
supporting any action that would limit
the policymaking discretion of the
States and to carefully assess the
necessity for such actions. The
Executive Order also requires agencies
to have an accountable process to
ensure meaningful and timely input by
State and local officials in the
development of regulatory policies that
have Federalism implications. On
March 14, 2000, DOE published a
statement of policy describing the
intergovernmental consultation process
it will follow in the development of
such regulations. 65 FR 13735. EPCA
governs and prescribes Federal
preemption of State regulations as to
energy conservation for the products
that are the subject of today’s final rule.
States can petition DOE for exemption
from such preemption to the extent, and
based on criteria, set forth in EPCA. (42
U.S.C. 6297) No further action is
required by Executive Order 13132.
F. Review Under Executive Order 12988
With respect to the review of existing
regulations and the promulgation of
new regulations, section 3(a) of
Executive Order 12988, ‘‘Civil Justice
Reform,’’ imposes on Federal agencies
the general duty to adhere to the
following requirements: (1) Eliminate
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68341
drafting errors and ambiguity; (2) write
regulations to minimize litigation; and
(3) provide a clear legal standard for
affected conduct rather than a general
standard and promote simplification
and burden reduction. 61 FR 4729 (Feb.
7, 1996). Section 3(b) of Executive Order
12988 specifically requires that
Executive agencies make every
reasonable effort to ensure that the
regulation: (1) Clearly specifies the
preemptive effect, if any; (2) clearly
specifies any effect on existing Federal
law or regulation; (3) provides a clear
legal standard for affected conduct
while promoting simplification and
burden reduction; (4) specifies the
retroactive effect, if any; (5) adequately
defines key terms; and (6) addresses
other important issues affecting clarity
and general draftsmanship under any
guidelines issued by the Attorney
General. Section 3(c) of Executive Order
12988 requires Executive agencies to
review regulations in light of applicable
standards in section 3(a) and section
3(b) to determine whether they are met
or it is unreasonable to meet one or
more of them. DOE has completed the
required review and determined that, to
the extent permitted by law, this final
rule meets the relevant standards of
Executive Order 12988.
G. Review Under the Unfunded
Mandates Reform Act of 1995
Title II of the Unfunded Mandates
Reform Act of 1995 (UMRA) requires
each Federal agency to assess the effects
of Federal regulatory actions on State,
local, and Tribal governments and the
private sector. Public Law 104–4, sec.
201 (codified at 2 U.S.C. 1531). For an
amended regulatory action likely to
result in a rule that may cause the
expenditure by State, local, and Tribal
governments, in the aggregate, or by the
private sector of $100 million or more
in any one year (adjusted annually for
inflation), section 202 of UMRA requires
a Federal agency to publish a written
statement that estimates the resulting
costs, benefits, and other effects on the
national economy. (2 U.S.C. 1532(a), (b))
The UMRA also requires a Federal
agency to develop an effective process
to permit timely input by elected
officers of State, local, and Tribal
governments on a ‘‘significant
intergovernmental mandate,’’ and
requires an agency plan for giving notice
and opportunity for timely input to
potentially affected small governments
before establishing any requirements
that might significantly or uniquely
affect small governments. On March 18,
1997, DOE published a statement of
policy on its process for
intergovernmental consultation under
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UMRA. 62 FR 12820. DOE’s policy
statement is also available at https://
energy.gov/gc/office-general-counsel.
DOE examined today’s rulemaking
according to UMRA and its statement of
policy and determined that the rule
contains neither an intergovernmental
mandate, nor a mandate that may result
in the expenditure of $100 million or
more in any year. Instead, the rule
excludes R20 short lamps from
standards, thereby eliminating any
existing associated compliance costs.
Accordingly, no further assessment or
analysis is required under the Unfunded
Mandates Reform Act of 1995.
H. Review Under the Treasury and
General Government Appropriations
Act, 1999
Section 654 of the Treasury and
General Government Appropriations
Act, 1999 (Pub. L. 105–277) requires
Federal agencies to issue a Family
Policymaking Assessment for any rule
that may affect family well-being. This
rule would not have any impact on the
autonomy or integrity of the family as
an institution. Accordingly, DOE has
concluded that it is not necessary to
prepare a Family Policymaking
Assessment.
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I. Review Under Executive Order 12630
DOE has determined, under Executive
Order 12630, ‘‘Governmental Actions
and Interference with Constitutionally
Protected Property Rights’’ 53 FR 8859
(March 18, 1988), that this regulation
would not result in any takings that
might require compensation under the
Fifth Amendment to the U.S.
Constitution.
J. Review Under the Treasury and
General Government Appropriations
Act, 2001
Section 515 of the Treasury and
General Government Appropriations
Act, 2001 (44 U.S.C. 3516, note)
provides for Federal agencies to review
most disseminations of information to
the public under guidelines established
by each agency pursuant to general
guidelines issued by OMB. OMB’s
guidelines were published at 67 FR
8452 (Feb. 22, 2002), and DOE’s
guidelines were published at 67 FR
62446 (Oct. 7, 2002). DOE has reviewed
today’s final rule under the OMB and
DOE guidelines and has concluded that
it is consistent with applicable policies
in those guidelines.
K. Review Under Executive Order 13211
Executive Order 13211, ‘‘Actions
Concerning Regulations That
Significantly Affect Energy Supply,
Distribution, or Use’’ 66 FR 28355 (May
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22, 2001), requires Federal agencies to
prepare and submit to OIRA at OMB, a
Statement of Energy Effects for any
significant energy action. A ‘‘significant
energy action’’ is defined as any action
by an agency that promulgates or is
expected to lead to promulgation of a
final rule, and that: (1) Is a significant
regulatory action under Executive Order
12866, or any successor order; and (2)
is likely to have a significant adverse
effect on the supply, distribution, or use
of energy, or (3) is designated by the
Administrator of OIRA as a significant
energy action. For any significant energy
action, the agency must give a detailed
statement of any adverse effects on
energy supply, distribution, or use
should the proposal be implemented,
and of reasonable alternatives to the
action and their expected benefits on
energy supply, distribution, and use.
DOE has concluded that today’s
regulatory action, which excludes R20
short lamps from energy conservation
standards, is not a significant energy
action because the exclusion from
standards is not likely to have a
significant adverse effect on the supply,
distribution, or use of energy, nor has it
been designated as such by the
Administrator at OIRA. Accordingly,
DOE has not prepared a Statement of
Energy Effects on the final rule.
L. Review Under the Information
Quality Bulletin for Peer Review
On December 16, 2004, OMB, in
consultation with the Office of Science
and Technology Policy (OSTP), issued
its Final Information Quality Bulletin
for Peer Review (the Bulletin). 70 FR
2664 (Jan. 14, 2005). The Bulletin
establishes that certain scientific
information shall be peer reviewed by
qualified specialists before it is
disseminated by the Federal
Government, including influential
scientific information related to agency
regulatory actions. The purpose of the
Bulletin is to enhance the quality and
credibility of the Government’s
scientific information. Under the
Bulletin, the energy conservation
standards rulemaking analyses are
‘‘influential scientific information,’’
which the Bulletin defines as scientific
information the agency reasonably can
determine will have, or does have, a
clear and substantial impact on
important public policies or private
sector decisions. 70 FR 2667 (Jan. 14,
2005).
In response to OMB’s Bulletin, DOE
conducted formal in-progress peer
reviews of the energy conservation
standards development process and
analyses and has prepared a Peer
Review Report pertaining to the energy
PO 00000
Frm 00016
Fmt 4700
Sfmt 4700
conservation standards rulemaking
analyses. Generation of this report
involved a rigorous, formal, and
documented evaluation using objective
criteria and qualified and independent
reviewers to make a judgment as to the
technical/scientific/business merit, the
actual or anticipated results, and the
productivity and management
effectiveness of programs and/or
projects. The ‘‘Energy Conservation
Standards Rulemaking Peer Review
Report’’ dated February 2007 has been
disseminated and is available at the
following Web site:
www1.eere.energy.gov/buildings/
appliance_standards/peer_review.html.
M. Congressional Notification
As required by 5 U.S.C. 801, DOE will
report to Congress on the promulgation
of this rule prior to its effective date.
The report will state that it has been
determined that the rule is not a ‘‘major
rule’’ as defined by 5 U.S.C. 804(2).
VI. Approval of the Office of the
Secretary
The Secretary of Energy has approved
publication of today’s final rule.
List of Subjects in 10 CFR Part 430
Administrative practice and
procedure, Confidential business
information, Energy conservation,
Household appliances, Imports,
Intergovernmental relations, Reporting
and recordkeeping requirements, and
Small businesses.
Issued in Washington, DC, on November 7,
2013.
David T. Danielson,
Assistant Secretary, Energy Efficiency and
Renewable Energy.
For the reasons set forth in the
preamble, DOE amends part 430 of
chapter II, subchapter D, of title 10 of
the Code of Federal Regulations, as set
forth below:
PART 430—ENERGY CONSERVATION
PROGRAM FOR CONSUMER
PRODUCTS
1. The authority citation for part 430
continues to read as follows:
■
Authority: 42 U.S.C. 6291–6309; 28 U.S.C.
2461 note.
2. In § 430.2, revise the definition for
‘‘Incandescent reflector lamp’’ and add
the definition for ‘‘R20 short lamp,’’ in
alphabetical order, to read as follows:
■
§ 430.2
Definitions.
*
*
*
*
*
Incandescent reflector lamp
(commonly referred to as a reflector
lamp) means any lamp in which light is
E:\FR\FM\14NOR1.SGM
14NOR1
Federal Register / Vol. 78, No. 220 / Thursday, November 14, 2013 / Rules and Regulations
produced by a filament heated to
incandescence by an electric current,
which: contains an inner reflective
coating on the outer bulb to direct the
light; is not colored; is not designed for
rough or vibration service applications;
is not an R20 short lamp; has an R, PAR,
ER, BR, BPAR, or similar bulb shapes
with an E26 medium screw base; has a
rated voltage or voltage range that lies
at least partially in the range of 115 and
130 volts; has a diameter that exceeds
2.25 inches; and has a rated wattage that
is 40 watts or higher.
*
*
*
*
*
R20 short lamp means a lamp that is
an R20 incandescent reflector lamp that
has a rated wattage of 100 watts; has a
maximum overall length of 3 and 5/8, or
3.625, inches; and is designed, labeled,
and marketed specifically for pool and
spa applications.
*
*
*
*
*
[FR Doc. 2013–27248 Filed 11–13–13; 8:45 am]
BILLING CODE 6450–01–P
BUREAU OF CONSUMER FINANCIAL
PROTECTION
12 CFR Part 1024
RIN 3170–AA37
Homeownership Counseling
Organizations Lists Interpretive Rule
Bureau of Consumer Financial
Protection.
ACTION: Final rule.
AGENCY:
This rule describes data
instructions for lenders to use in
complying with the requirement under
the High-Cost Mortgage and
Homeownership Counseling
Amendments to the Truth in Lending
Act (Regulation Z) and Homeownership
Counseling Amendments to the Real
Estate Settlement Procedures Act
(RESPA Homeownership Counseling
Amendments) Final Rule to provide a
homeownership counseling list using
data made available by the Bureau or
Department of Housing and Urban
Development (HUD).
DATES: This rule is effective January 10,
2014.
FOR FURTHER INFORMATION CONTACT:
Rachel Ross, Special Assistant; Joseph
Devlin, Counsel; Office of Regulations,
at (202) 435–7700.
SUPPLEMENTARY INFORMATION:
TKELleY on DSK3SPTVN1PROD with RULES
SUMMARY:
I. Background
In January 2013, pursuant to the
Dodd-Frank Act, Public Law 111–203,
124 Stat. 1375 (2010), the Bureau issued
the High-Cost Mortgage and
VerDate Mar<15>2010
15:50 Nov 13, 2013
Jkt 232001
Homeownership Counseling
Amendments to the Truth in Lending
Act (Regulation Z) and Homeownership
Counseling Amendments to the Real
Estate Settlement Procedures Act
(RESPA Homeownership Counseling
Amendments) Final Rule (2013 HOEPA
Final Rule).1 The 2013 HOEPA Final
Rule implemented numerous DoddFrank Act requirements. Section 1450 of
the Dodd-Frank Act amended section
5(c) of the Real Estate Settlement
Procedures Act (RESPA) to require
lenders to provide federally related
mortgage loan applicants with a
‘‘reasonably complete or updated list of
homeownership counselors who are
certified pursuant to section 106(e) of
the Housing and Urban Development
Act of 1968 (12 U.S.C. 1701x(e)) and
located in the area of the lender.’’ 2 The
RESPA Homeownership Counseling
Amendments implements this section
1450 amendment in Regulation X
§ 1024.20(a).
In implementing this Dodd-Frank Act
requirement, § 1024.20(a)(1) requires
lenders to provide the loan applicant
with a written list of homeownership
counseling organizations that provide
relevant services in the loan applicant’s
location. The Bureau specified two
compliance methods for obtaining this
list: (1) using a tool developed and
maintained by the Bureau on its Web
site, and (2) using data made available
by the Bureau or HUD, provided that the
data is used in accordance with
instructions provided with the data.3
The Bureau noted the use of the data in
accordance with these instructions
would produce a list consistent with
what would have been generated if the
tool had been used.4 This rule interprets
§ 1024.20(a)(1) of the RESPA
Homeownership Counseling
Amendments, including describing
those data instructions.
The Bureau’s tool, as discussed in
§ 1024.20(a)(1)(i), follows these data
instructions.
II. List and Data Instructions
This rule interprets the § 1024.20(a)(1)
requirement for lenders to provide a list
of homeownership organizations and to
obtain the list from data made available
1 78
FR 6855 (Jan. 31, 2013).
106(e) of the Housing and Urban
Development Act of 1968, 12 U.S.C. 1701x(e),
requires that homeownership counseling provided
under programs administered by HUD can be
provided only by organizations or individuals
certified by HUD as competent to provide
homeownership counseling. Section 106(e) also
requires HUD to establish standards and procedures
for testing and certifying counselors.
3 These two pathways are specified in
§ 1024.20(a)(1)(i) and (ii), respectively.
4 78 FR 6865 (Jan. 31, 2013).
2 Section
PO 00000
Frm 00017
Fmt 4700
Sfmt 4700
68343
by the Bureau or HUD, provided the
data is used in accordance with
instructions provided with the data.5
This rule describes instructions for
lenders to use in complying with the
§ 1024.20(a)(1)(ii) requirement to
generate a list of homeownership
counseling organizations by using data
provided by the Bureau or HUD.
HUD currently provides this data.
HUD maintains a free and publicly
available application programming
interface (API) containing data on HUDapproved housing counseling agencies
(HUD API). Although it appears on this
site that a token is required to utilize
this data, credentials are not required to
access and use the data. These data
instructions are designed to be applied
with publicly available homeownership
counselor agency data from HUD,6 as
referenced in § 1024.20(a)(1)(ii). The
Bureau will make a summary of the data
instructions available on the Bureau’s
Web site, along with a link to the
publicly available housing counseling
agency data.
A. Number of Homeownership
Counselors To Appear on List
Section 1024.20(a)(1) requires lenders
to provide a written list of
homeownership counseling
organizations. Consistent with
§ 1024.20(a)(1), lenders comply with
this requirement when they provide a
list of ten HUD-approved housing
counseling agencies. The tool
maintained by the Bureau will generate
a list of ten HUD-approved housing
counseling agencies. A list generated by
the lender under § 1024.20(a)(1)(ii)
complies with § 1024.20(a)(1) when the
same number of counseling agencies
(ten) are provided. Listing ten housing
counseling agencies ensures fairness
and equity among housing counseling
agencies, by offering borrowers a
thorough and diverse list of counseling
options.
B. Location by Zip Code
Section 1024.20(a)(1) requires lenders
to provide a written list of
homeownership counseling
organizations in the loan applicant’s
location. As the Bureau discussed in the
RESPA Homeownership Counseling
Amendments, lenders comply with
§ 1024.20(a)(1), when they use the
5 RESPA and § 1024.20(a)(1) refer to counseling
entities as Homeownership Counseling
Organizations. HUD refers to them as HUDapproved Housing Counseling Agencies.
Homeownership Counseling Organizations as
referred to in § 1024.20(a)(1) and this rule are
considered HUD-approved Housing Counseling
Agencies.
6 Available at: https://data.hud.gov/housing_
counseling.html.
E:\FR\FM\14NOR1.SGM
14NOR1
]]>Agencies
[Federal Register Volume 78, Number 220 (Thursday, November 14, 2013)]
[Rules and Regulations]
[Pages 68331-68343]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-27248]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF ENERGY
10 CFR Part 430
[Docket Number EERE-2010-BT-PET-0047]
RIN 1904-AC57
Energy Conservation Program: Request for Exclusion of 100 Watt
R20 Short Incandescent Reflector Lamp From Energy Conservation
Standards
AGENCY: Office of Energy Efficiency and Renewable Energy, Department of
Energy.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: The Energy Policy and Conservation Act of 1975 (EPCA), as
amended, prescribes energy conservation standards for certain
commercial and industrial equipment and various consumer products,
including incandescent reflector lamps (IRLs). The U.S. Department of
Energy (DOE) received a petition from the National Electrical
Manufacturers Association requesting the initiation of a rulemaking to
exclude from coverage under EPCA standards a certain type of IRL
marketed for use in pool and spa applications. Specifically, the lamp
at issue is a 100-watt R20 short (having a maximum overall length of 3
and \5/8\ or 3.625 inches) IRL (``R20 short lamp''). DOE published this
petition and a request for comment in the Federal Register on December
23, 2010. From its evaluation of the petition and careful consideration
of the public comments, DOE decided to grant the petition for
rulemaking. DOE published a request for information in the Federal
Register on September 8, 2011, followed by a notice of proposed
rulemaking published in the Federal Register on December 31, 2012.
Based on data gathered by DOE and the comments it received on these
notices, DOE excludes R20 short lamps from coverage under the EPCA
energy conservation standards.
DATES: The effective date of this rule is December 16, 2013.
ADDRESSES: The docket, which includes Federal Register notices,
comments, and other supporting documents/materials, is available for
review at regulations.gov. All documents in the docket are listed in
the regulations.gov index. However, some documents listed in the index,
such as those containing information that is exempt from public
disclosure, may not be publicly available.
The docket Web page can be found on regulations.gov, under docket
number EERE-2010-BT-PET-0047, at: www.regulations.gov/#!docketDetail;D=EERE-2010-BT-PET-0047. The regulations.gov Web page
will contain simple instructions on how to access all documents,
including public comments, in the docket.
For further information on how to review the docket, contact Ms.
Brenda Edwards at (202) 586-2945 or by email:
Brenda.Edwards@ee.doe.gov.
FOR FURTHER INFORMATION CONTACT: Ms. Lucy deButts, U.S. Department of
Energy, Office of Energy Efficiency and Renewable Energy, Building
Technologies Office, EE-2J, 1000 Independence Avenue SW., Washington,
DC 20585-0121. Telephone: (202) 287-1604. Email: incandescent_reflector_lamps@ee.doe.gov.
Ms. Celia Sher, U.S. Department of Energy, Office of the General
Counsel, GC-71, 1000 Independence Avenue SW., Washington, DC 20585-
0121. Telephone: (202) 287-6122. Email: celia.sher@hq.doe.gov.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Summary of the Final Rule
II. Introduction
A. Authority
B. Background
III. General Discussion
A. Authority
B. R20 Short Lamp Special Application Design and Impact on
Energy Savings
1. Special Application of R20 Short Lamps
a. R20 Short Lamp Design for Special Applications
b. Marketing and Distribution Channels of R20 Short Lamps
2. Impact on Energy Savings
C. Availability of R20 Short Lamp Special Characteristics in
Substitutes
1. Improved R20 Short Lamp
2. 60 W PAR16 Lamp
3. LED Lamps
4. Consumer Use of Substitute Products
IV. Conclusion
V. Procedural Issues and Regulatory Review
A. Review Under Executive Orders 12866 and 13563
B. Review Under the Regulatory Flexibility Act
[[Page 68332]]
C. Review Under the Paperwork Reduction Act
D. Review Under the National Environmental Policy Act of 1969
E. Review Under Executive Order 13132
F. Review Under Executive Order 12988
G. Review Under the Unfunded Mandates Reform Act of 1995
H. Review Under the Treasury and General Government
Appropriations Act, 1999
I. Review Under Executive Order 12630
J. Review Under the Treasury and General Government
Appropriations Act, 2001
K. Review Under Executive Order 13211
L. Review Under the Information Quality Bulletin for Peer Review
M. Congressional Notification
VI. Approval of the Office of the Secretary
I. Summary of the Final Rule
The Energy Policy and Conservation Act of 1975 (``EPCA'' or ``the
Act''), Public Law 94-163 (42 U.S.C. 6291 et seq.), as amended,\1\
prescribes energy conservation standards for certain commercial and
industrial equipment and various consumer products, including
incandescent reflector lamps (IRLs). The National Electrical
Manufacturers Association (NEMA) petitioned the U.S. Department of
Energy (DOE) to undertake a rulemaking to exclude from coverage under
energy conservation standards a certain type of IRL that is marketed
for use in pool and spa applications. 75 FR 80731 (Dec. 23, 2010).
Specifically, the lamp at issue is a 100-watt (W) R20 short (having a
maximum overall length [MOL] of 3 and \5/8\ [or 3.625] inches) lamp
that falls within the voltage range of covered IRLs (hereafter ``R20
short lamp''). A review for exclusion is authorized under 42 U.S.C.
6291(30)(E), which allows the Secretary, by rule, to exclude from the
terms ``fluorescent lamp'' and ``incandescent lamp'' any lamp for which
standards would not result in significant energy savings because such
lamp is designed for special applications or has special
characteristics not available in reasonably substitutable lamp types.
Based on its review for exclusion discussed in this rule, DOE
determined that pursuant to 42 U.S.C. 6291(30)(E), R20 short lamps
should be excluded from coverage under the applicable energy
conservation standards for IRLs.
---------------------------------------------------------------------------
\1\ 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).
---------------------------------------------------------------------------
Under EPCA, 42 U.S.C. 6291(30)(E) allows for exclusion of a lamp
for which standards would not result in significant energy savings
because it is designed for special applications. Thus, DOE assessed the
impact of the application of R20 short lamps on the potential energy
savings from standards for these lamps. The characteristics of R20
short lamps, as well as their distribution channels and marketing,
indicate that they are designed for pool and spa applications. DOE
determined that because the R20 short lamps serve a very small market,
they will not result in significant energy savings under the applicable
conservation standards.
Additionally, 42 U.S.C. 6291(30)(E) allows exclusion based on
unavailability of reasonably substitutable lamp types. Therefore, DOE
analyzed the characteristics of R20 short lamps to determine if
reasonable substitutes were commercially available. The most likely
commercially available substitute lamp required a modification to the
fixture lens in order to maintain the same light distribution.
Therefore, DOE concluded that the special characteristics of an R20
short lamp are not available in a reasonably substitutable lamp type.
Therefore, under 42 U.S.C. 6291(30)(E), DOE excludes R20 short
lamps from coverage of energy conservation standards based on the
determination that energy savings are not significant due to R20 short
lamps' use in special applications and their having special
characteristics not available in reasonably substitutable lamp types.
Accordingly, DOE modifies the definition of ``Incandescent reflector
lamp'' to include an exemption for R20 short lamps and adds a
definition for ``R20 short lamp'' in 10 CFR 430.2.
II. Introduction
A. Authority
Title III, Part B of EPCA established the Energy Conservation
Program for Consumer Products Other Than Automobiles,\2\ a program
covering most major household appliances (collectively referred to as
``covered products''), including the types of IRLs that are the subject
of this rulemaking. In particular, amendments to EPCA in the Energy
Policy Act of 1992 (EPAct 1992), Public Law 102-486, established energy
conservation standards for certain classes of IRLs and authorized DOE
to conduct two rulemaking cycles to determine whether those standards
should be amended. (42 U.S.C. 6291(1), 6295(i)(1) and (3)-(4)) DOE
completed the first cycle of amendments by publishing a final rule in
July 2009 (hereafter ``2009 Lamps Rule''). 74 FR 34080 (July 14,
2009).\3\ Standards adopted in the 2009 Lamps Rule will hereafter be
referred to as the ``July 2012 standards.''
---------------------------------------------------------------------------
\2\ For editorial reasons, upon codification in the U.S. Code,
Part B was redesignated Part A.
\3\ Information regarding the 2009 Lamps Rule can be found at on
regulations.gov, docket number EERE-2006-STD-0131 at
www.regulations.gov/#!docketDetail;D=EERE-2006-STD-0131 and on DOE's
Building and Technologies Web page for Incandescent Reflector Lamps:
https://www1.eere.energy.gov/buildings/appliance_standards/product.aspx/productid/58.
---------------------------------------------------------------------------
The EPAct 1992 amendments to EPCA also added as covered products
certain IRLs with wattages of 40 W or higher and established energy
conservation standards for these IRLs. Section 322(a)(1) of the Energy
Independence and Security Act of 2007 (EISA 2007), Public Law 110-140,
subsequently expanded EPCA's definition of ``incandescent reflector
lamp'' to include lamps with a diameter between 2.25 and 2.75
inches.\4\ (42 U.S.C. 6291(30)(C)(ii)) This addition made R20 lamps
(having a diameter of \20/8\, or 2.5, inches) covered products subject
to EPCA's standards for IRLs.
---------------------------------------------------------------------------
\4\ Prior to the enactment of EISA 2007, this definition applied
to lamps with a diameter that exceeds 2.75 inches. EISA 2007
modified this definition to make it applicable to IRLs with a
diameter that exceeds 2.25 inches.
---------------------------------------------------------------------------
Although these lamps are covered products, 42 U.S.C. 6291(30)(E)
gives DOE the authority to exclude these lamps upon a determination
that standards ``would not result in significant energy savings because
such lamp is designed for special applications or has special
characteristics not available in reasonably substitutable lamp types.''
B. Background
The Administrative Procedure Act (APA; 5 U.S.C. 551 et seq.),
provides, among other things, that ``[e]ach agency shall give an
interested person the right to petition for the issuance, amendment, or
repeal of a rule.'' (5 U.S.C. 553(e)) Pursuant to this provision of the
APA, NEMA petitioned DOE for a rulemaking to exclude a type of IRL from
coverage of energy conservation standards. Specifically, NEMA sought
exclusion for R20 short lamps marketed for use in pools and spas. These
lamps are sold in jurisdictions that allow pools and spas to be
supplied with 120-volt (V) electricity. 75 FR 80731 (Dec. 23, 2010).
As stated in the previous section II.A, amendments to EPCA in EISA
2007 expanded EPCA's definition of IRLs to include smaller diameter
lamps, such as the R20 lamps that are the subject of this rulemaking.
(42 U.S.C. 6291(30)(C)(ii)) The related statutory standards required
compliance on June 15, 2008--180 days after the date of enactment of
EISA 2007. (42 U.S.C. 6295(i)(1)(D)(ii)) Although R20 short lamps were
required to comply with these standards, noncompliant R20 short
[[Page 68333]]
lamps remained on the market until September 2010 because the
manufacturers of these lamps mistakenly believed the lamps were
excluded from coverage. 75 FR at 80732 (Dec. 23, 2010). The
manufacturers had relied upon the Federal Trade Commission's (FTC's)
labeling rule, 16 CFR Part 305, which, until July 19, 2011, published
the previous lamp definitions from the EPAct 1992 amendments of
EPCA.\5\ Before July 19, 2011, the FTC labeling regulations treated
IRLs as general service incandescent lamps (GSILs), and erroneously
continued to define GSILs as not including lamps specifically designed
for ``[s]wimming pool or other underwater service.'' 16 CFR 305.3(m)(3)
(2010) This exclusion was eliminated from EPCA by section 321 of EISA
2007. Upon realization that the FTC definitions were incorrect and the
R20 short lamps were subject to energy conservation standards, the
manufacturers removed the product from the market. Subsequently, in
November 2010, NEMA submitted its petition to exclude R20 short lamps
from coverage under EPCA standards. DOE published the petition in the
Federal Register on December 23, 2010, and requested public comment. 75
FR 80731.
---------------------------------------------------------------------------
\5\ The FTC published a final rule in the Federal Register on
July 19, 2010, which updated its regulations regarding its
definition of general service incandescent lamp to reflect the
definitional changes provided in EISA 2007. 75 FR 41696, 41713-
41714. These changes were effective July 19, 2011, at which time the
amendments were reflected in the Code of Federal Regulations.
---------------------------------------------------------------------------
In the petition, NEMA asked for a rulemaking to exclude R20 short
lamps from coverage of energy conservation standards, as well as a stay
of enforcement pending that rulemaking. As grounds for the petition,
NEMA stated that R20 short lamps qualify for exclusion under 42 U.S.C.
6291(30)(E), which allows the Secretary to exclude a fluorescent or
incandescent lamp ``as a result of a determination that standards for
such lamp would not result in significant energy savings because such
lamp is designed for special applications or has special
characteristics not available in reasonably substitutable lamp types.''
In its petition, NEMA contended that a rulemaking would find that
energy conservation standards for R20 short lamps would not result in
significant energy savings and that the lamp was designed for special
applications or has special characteristics not available in substitute
lamp types. Specifically, NEMA argued that because the lamp has a
particular MOL and is specially designed to meet underwater
illumination requirements of pool and spa manufacturers (including
designated beam spread and lumen output), there are no substitute
products on the market for this application. 75 FR at 80732 (Dec. 23,
2010).
Additionally, NEMA asserted that having energy conservation
standards for this lamp type would lead to its unavailability in the
United States. To the best of NEMA's and manufacturers' knowledge, the
decision of the two manufacturers of R20 short lamps to withdraw the
product from the market had already resulted in its current
unavailability. 75 FR at 80732-80733 (Dec. 23, 2010).
After reviewing NEMA's petition and all comments received in
response,\6\ DOE concluded it has the legal authority to grant
exclusions for IRLs under 42 U.S.C. 6291(30)(E) and initiated a
rulemaking to make a determination on exclusion. DOE granted NEMA's
petition for a rulemaking in a request for information (RFI) published
in the Federal Register on September 8, 2011, announcing its decision
and requesting more information on this product. 76 FR 55609. The RFI
stated that DOE granted the petition for a rulemaking pursuant to the
requirements specified in section 6291(30)(E), and would also grant a
stay of enforcement pending the outcome of the rulemaking. In the RFI,
DOE also specifically asked for comment on (1) the potential for
unregulated R20 short lamps to be used as substitutes for other lamps
subject to energy conservation standards; (2) whether the distinctive
features, pricing, and application-specific labeling and marketing of
R20 short lamps provide a sufficient deterrent to their use in other
applications; (3) the availability of substitute lamps that would meet
both energy conservation standards and relevant pool and spa
application requirements; and (4) the technological feasibility of R20
short lamps complying with the prescribed energy conservation standards
and also meeting relevant pool and spa application requirements. 76 FR
at 55614.
---------------------------------------------------------------------------
\6\ NEMA's petition and associated comments can be found at
regulations.gov under Docket No. EERE-2010-BT-PET-0047, at
www.regulations.gov/#!docketDetail;D=EERE-2010-BT-PET-0047.
---------------------------------------------------------------------------
DOE reviewed all comments received in response to the RFI and
conducted an analysis on the exclusion of R20 short lamps that included
market research and manufacturer interviews. DOE then published a
notice of proposed rulemaking (NOPR) in the Federal Register addressing
comments and stating DOE's proposal to exclude R20 short lamps from
energy conservation standards. 77 FR 76959 (Dec. 31, 2012). California
Investor Owned Utilities, the Pacific Gas and Electric Company, San
Diego Gas and Electric, and Southern California Edison, (hereafter the
``CA IOUs''); Earthjustice and the National Resources Defense Council
(hereafter ``Earthjustice and NRDC''); and NEMA responded to the
proposal and DOE considered these additional comments when developing
this final rule. DOE's responses to these comments and the final
analysis on the determination of exclusion of R20 short lamps from
energy conservation standards are discussed in the following section.
III. General Discussion
A. Authority
In response to the NOPR, DOE received comment from Earthjustice and
NRDC regarding DOE's authority to exclude R20 short lamps under 42
U.S.C. 6291(30)(E). Earthjustice and NRDC referred to their previous
comments made in response to NEMA's petition, that section 6291(30)(E)
can only apply to lamps for which significant energy savings would not
be captured under future standards; the language of the provision
(i.e., ``would not result'') does not permit DOE to apply it
retroactively to lamps with existing standards. (Earthjustice and NRDC,
No. 15 at p. 1; \7\ Earthjustice and NRDC, No. 8 at p. 1)
---------------------------------------------------------------------------
\7\ A notation in the form ``Earthjustice and NRDC, No. 15 at p.
1'' identifies a written comment that DOE has received and has
included in the docket of this rulemaking. This particular notation
refers to a comment: (1) Submitted by Earthjustice and NRDC; (2) in
document number 15 of the docket; and (3) on page 1 of that
document.
---------------------------------------------------------------------------
As stated in the NOPR and RFI, the plain language of section
6291(30)(E) gives DOE the authority to exclude certain lamps for which
standards would not result in significant energy savings. DOE does not
believe this section applies only to standards that have not yet taken
effect. Under 42 U.S.C. 6295(o)(3), DOE is already barred from adopting
standards for any product for which the standards would not result in
significant conservation of energy. Therefore, section 6291(30)(E)
would be rendered redundant and superfluous, if it applied only to
products for which standards are not yet in effect. Instead, DOE finds
that section 6291(30)(E) contains no time bar for undertaking a
rulemaking action to address a lamp for which standards would not
result in significant energy savings because it is designed for special
applications or has special characteristics not available in
substitutable lamp types. Given the
[[Page 68334]]
broad and growing coverage of DOE's energy conservation standards for
lamps, DOE believes that Congress intended section 6291(30)(E) to
provide a mechanism to address both those lamps covered by existing
standards, as well as new lamps subsequently developed to which
standards would otherwise apply. 76 FR at 55611 (Sept. 8, 2011); 77 FR
at 76961 (December 31, 2012).
Earthjustice and NRDC disagreed that section 6291(30)(E) would be
redundant if not applicable to standards that already require
compliance. Earthjustice and NRDC commented that section 6291(30)(E)
retains a separate relevance from section 6295(o)(3) because it enables
DOE to exclude lamps from statutory standards that do not yet apply,
whereas section 6295(o)(3) only applies to DOE's adoption of standards
via rulemakings. (Earthjustice and NRDC, No. 8 at pp. 1-2)
The language in section 6291(30)(E) does not explicitly condition
exclusions from coverage of standards based on the authority under
which the standards were developed. Interpreting section 6291(30)(E) as
applying to only statutory standards in order to distinguish it from
section 6295(o)(3) would limit the scope of section 6291(30)(E). The
language in section 6291(30)(E) does not indicate that it was
Congress's intent to limit the Secretary's authority of exemption.
Therefore, DOE concluded it has the authority under section 6291(30)(E)
to consider excluding R20 short lamps from energy conservation
standards. Based on this authority, DOE assessed whether the lamps
qualify for exclusion under each criterion set forth in section
6291(30)(E), and discusses its assessment in the following sections.
B. R20 Short Lamp Special Application Design and Impact on Energy
Savings
As mentioned in the previous sections, under 42 U.S.C. 6291(30)(E),
DOE may determine to exclude a fluorescent or incandescent lamp
provided standards for the lamp would not result in significant energy
savings because the lamp is designed for special applications. DOE
first established that R20 short lamps serve a special application by
analyzing their design features and their marketing and distribution
channels, and then evaluated the impact on energy savings from
standards for R20 short lamps.
1. Special Application of R20 Short Lamps
a. R20 Short Lamp Design for Special Applications
NEMA's original petition stated that the R20 short lamp was
specifically designed to meet the underwater illumination requirements
of pool and spa part manufacturers. NEMA stated that the R20 short
lamp's MOL, heat shield, filament, lumen output, and beam spread
indicate the lamp was specifically designed for its application. 75 FR
at 80733 (Dec. 23, 2010) Through interviews with lamp manufacturers and
pool and spa part manufacturers, DOE was able to confirm that the R20
short lamp's MOL of 3 and \5/8\ inches is required for compatibility
with pool and spa fixtures; the heat shield is necessary for operation
in a high temperature environment; and the lumen output range between
637 and 1022 lumens, and beam spread between 70 and 123 degrees are
designed to satisfy consumer preferences, as well as building codes and
standards specific for pool and spa applications. DOE also found that
the filament in R20 short lamps is specifically placed to achieve the
required beam spread. However, DOE concluded that filament placement
does not stand on its own as a requirement for pools and spas, but is
rather encompassed within the requirement for a specific beam spread.
NEMA agreed with this list of special characteristics, affirming that
they are representative of the R20 short lamp, and that there are no
additional features to address. (NEMA, No. 14 at pp. 1) Because the
described R20 short lamp characteristics are designed to meet
requirements specific to pools and spas, DOE believes that R20 short
lamps are designed for a special application. For more discussion on
R20 short lamp features, see section III.C.
b. Marketing and Distribution Channels of R20 Short Lamps
In addition to design features, DOE also analyzed marketing
literature and distribution channels for R20 short lamps when
determining if R20 short lamps are designed for special applications.
DOE found R20 short lamps are marketed and clearly packaged in a way
that indicates the lamps are specifically for pool and spa use. Through
lamp manufacturer interviews and research using publicly available
information, DOE found that R20 short lamp manufacturers do not sell
lamps directly to consumers. The commercial market is supplied through
catalog warehouses; maintenance supply; maintenance, repair, operations
(MRO) distributors; and pool and spa distributors. The residential
market is primarily supplied through pool and spa distributors, which
include large retail pool outlets and online retailers. Additionally, a
small portion of products are sold to online retailers for pool and spa
replacement parts, electrical distributors for direct installation in
new pool construction, and hospitality and specialty lighting suppliers
(e.g., medical equipment retail) for use with pools and spas.
Therefore, DOE concluded that the application-specific packaging and
non-traditional distribution channels indicate R20 short lamps are
intended for pool and spa applications.
Based on the application-specific design characteristics of the R20
short lamp and the marketing and non-traditional distribution channels
used by these lamp types, DOE concluded that R20 short lamps are
designed for pool and spa applications. Pursuant to section
6291(30)(E), DOE then proceeded to determine whether standards for the
lamp would not result in significant energy savings because the lamp is
designed for a special application.
2. Impact on Energy Savings
As part of its analysis to determine the impact of standards for
R20 short lamps on energy savings, DOE evaluated the market share of
R20 short lamps put forth by NEMA. In its petition, NEMA stated there
are only two known manufacturers of the 100 W R20 short lamp in the
United States. Both manufacturers submitted their confidential R20
short lamps 2009 shipment data to NEMA. In interviews, these lamp
manufacturers commented that the shipment data from 2009 is
representative of the R20 short lamp market before they stopped making
the lamp available to consumers in 2010. For comparison, NEMA used an
adjusted estimate of covered IRL shipments from the 2009 Lamps Rule. In
the 2009 Lamps Rule, DOE estimated the shipments of covered IRLs to be
181 million units in the year 2005. Based on a decline in shipments of
all IRLs in 2009, NEMA assumed covered IRLs would also decline, but
estimated the shipments to still remain above 100 million. Based on a
minimum of 100 million and a maximum of 181 million shipments of
covered IRLs, NEMA calculated that the shipments of R20 short lamps
represented significantly less than 0.1 percent of 2009 shipments of
covered IRLs. 75 FR at 80733 (Dec. 23, 2010).
In interviews conducted for the NOPR, DOE independently obtained
[[Page 68335]]
shipment information from lamp manufacturers that confirmed NEMA's
estimate of R20 short lamps being significantly less than 0.1 percent
of 2009 shipments of covered IRLs. Therefore, DOE determined this to be
an accurate assessment of the R20 short lamp market share and concluded
that less than 0.1 percent of covered IRLs indicated a small market
share for R20 short lamps. (More information on R20 short lamp energy
use can be found in appendix B of this final rule.\8\)
---------------------------------------------------------------------------
\8\ The appendices can be found on regulations.gov, under docket
number EERE-2010-BT-PET-0047, at www.regulations.gov/#!docketDetail;D=EERE-2010-BT-PET-0047.
---------------------------------------------------------------------------
As well as assessing the existing market share, DOE also analyzed
the potential for growth due to market migration of R20 short lamps.
NEMA stated that with the R20 short lamp's small market share,
specialized distribution chains, and typically high price point, their
exclusion from standards does not present any significant loss in
energy savings. (NEMA, No. 14 at pp. 2, 3) Earthjustice and NRDC
referred to their previous comments made in response to the RFI,
stating that they remain concerned that exempted R20 short lamps will
migrate to applications other than pools and spas. (Earthjustice and
NRDC, No. 15 at p. 1) The CA IOUs also referred to comments on the
subject submitted for the RFI. Specifically, they reiterated that the
size of R20 short lamps allows them to be used in applications other
than pool and spa lighting, and that R20 short lamps are not
necessarily more expensive than other small diameter IRLs and an
increase in their production could allow manufacturers to achieve some
economies of scale and lower prices further. The CA IOUs stated that
DOE did not sufficiently address these two points in the NOPR. (CA
IOUs, No. 16 at p. 1)
DOE agrees that R20 short lamps' MOL does not physically prohibit
their use in other applications. Further, DOE had received information
from lamp manufacturers stating that the end-user price varies, but
typically ranges from $12 to $25. DOE market research also indicated a
large variation, finding prices ranging from as low as $2 to as high as
$34. Therefore, DOE acknowledges that the price of R20 short lamps can
be competitive with other IRLs. However, R20 short lamps are sold
through specialized distribution channels where they are marketed and
packaged specifically for pool and spa applications. Additionally, even
when R20 short lamps were perceived to be unregulated, there was no
evidence of market migration to other applications. For these reasons,
even though physical constraints may not limit their use in other
applications and they may be sold at low prices, the substitution of
R20 short lamps in general applications is highly unlikely.
The CA IOUs stated that while R20 lamps are sold through specific
distribution channels, and are therefore unlikely to be purchased for
use outside of the pool and spa lighting market, there are no rules to
prevent manufacturers from selling R20 short lamps outside these
distribution channels in the future. (CA IOUs, No. 16 at p. 1) The CA
IOUs also noted that as consumers do more shopping online, historically
hard lines between different distribution channels become increasingly
blurred, and consumers have greater access to products being sold
through a variety of merchants. (CA IOUs, No. 16 at pp. 1-2)
Overall, DOE did not find an indication of a potential trend
towards selling R20 short lamps through general application channels.
With few exceptions, DOE found that the majority of R20 short lamps
available online are on Web sites selling specialty and pool and spa
lighting or equipment. Therefore, even via online channels, R20 short
lamps are still generally sold through designated, niche Web sites.
Also, as noted in the NOPR, lamp manufacturers stated in interviews
that the R20 short lamp market is primarily for replacement lamps and,
therefore, historically has shown very little growth or decline. 77 FR
at 76963 (December 31, 2012). Further, despite the fact that lamp
manufacturers have not considered the lamps as regulated, the market
share has remained extremely low and there has been no evidence of
market migration. In addition to being found primarily through
designated distribution channels, the lamps' packaging indicates they
are specifically for pool and spa applications.
The CA IOUs also commented that even though R20 short lamps may
currently be appropriately labeled for use in pools and spas only,
there are no guidelines to ensure that consumers use them only in pool
and spa applications. (CA IOUs, No. 16 at p. 1) Further, the CA IOUs
stated that although R20 short lamps have not become a loophole
previously, the new energy conservation standards for IRLs set by the
2009 Lamps Rule have required compliance since July 2012. The CA IOUs
contended that because these standards increased existing lumen per
watt (lm/W) standards for covered products, they provide greater
incentive for excluded lamp types to become loopholes. The CA IOUs
stressed that exclusion of R20 short lamps from standards is now more
likely to result in significant loss of energy savings through market
migration towards these products. (CA IOUs, No. 16 at p. 2)
DOE finds it unlikely that consumers will seek out R20 short lamps
packaged and labeled for use in pool and spa applications as
replacements for any general service lighting impacted by the standards
adopted by the 2009 Lamps Rule. The definition of R20 short lamp, as
added by this final rule to 10 CFR 430.2, requires that they be
designed, labeled, and marketed specifically for pool and spa
applications. DOE believes the use of R20 short lamps in other
applications despite their packaging and marketing materials is
improbable as consumers are unable to purchase R20 short lamps at
typical retail outlets such as large home improvement stores. As noted
in section III.B.1.b, the majority of R20 short lamps are purchased
from pool and spa distributors and specialty retail stores, and are not
available where general service IRLs are typically sold. In its
interviews with manufacturers for various lighting regulations, DOE has
consistently received feedback that when replacing lamps, consumers
attempt to replace the same lamp that was previously installed. It is
not typical consumer behavior to seek out alternative lamp types from
unrelated niche application lighting. Therefore, DOE concluded that the
R20 short lamp market has limited potential for growth, and it is
unlikely the lamps will migrate to general lighting applications.
Because the specialty application of the R20 short lamps results in
a small market share and limited potential for growth for these lamps,
DOE concluded that the exclusion of R20 short lamps would not
significantly impact the energy savings resulting from energy
conservation standards.
C. Availability of R20 Short Lamp Special Characteristics in
Substitutes
DOE may also exclude a lamp because its special characteristics are
not available in reasonably substitutable lamp types. 42 U.S.C.
6291(30)(E) To determine whether an exclusion was acceptable based on
this condition, DOE identified the special characteristics of R20 short
lamps and determined whether these characteristics existed in other
lamp types that would qualify as reasonable substitutes.
DOE considered a lamp characteristic special if, without it, the
R20 short lamp would not be able to provide the special application for
which it was designed (i.e., use in pools and spas). Therefore, even if
the lamp characteristic was not
[[Page 68336]]
unique to the R20 short lamp, it was deemed special if it was required
for the lamp to function in pools and spas. DOE identified the
following set of features that in combination allow the lamp to be used
in a specialty application:
Shortened MOL: An MOL of 3 and \5/8\ inches or less;
Heat Shield: A shield reflecting radiant energy from the
lamp base;
Beam Spread: A beam angle between 70 and 123 degrees;
Lumen Output: A lumen output between 637 and 1,022 lumens;
and
Illumination: 0.5 W per square foot of water surface area
or the equivalent.
DOE evaluated lamps that could serve as potential substitutes by
determining whether they contained all of the above noted special
characteristics of R20 short lamps. DOE notes that a reasonable
substitute lamp may also need to be Underwriters Laboratories (UL)
listed for applicable pool and lighting fixtures in order to prevent
voiding fixture manufacturer warranties. As stated in the NOPR, based
on interviews with pool and spa part manufacturers, DOE finds that
reasonable substitutes will not encounter barriers when obtaining a UL
listing. 77 FR at 76964-76965 (December 31, 2012).
DOE surveyed the market and conducted manufacturer interviews to
identify several commercially available lamps that were marketed or
considered by manufacturers as potential substitutes for an R20 short
lamp. These lamps included a more efficacious halogen-based R20 short
lamp, a smaller diameter IRL, the 60 W PAR16, and certain light-
emitting diode (LED) lamps. When analyzing each of the likely
replacements, DOE focused on whether they possessed the special
characteristics of the R20 short lamp.
In the NOPR, DOE tentatively concluded that there were no
reasonably substitutable lamp types currently available that offered
the special characteristics of R20 short lamps. NEMA agreed that there
are no reasonable substitute lamp designs for this application that
meet energy efficiency regulations and pass safety and performance
requirements for this lamp type. NEMA stressed that should inferior
substitutes be forced on the market purely due to energy efficiency
goals, the existing relationship between the R20 short lamps and the
devices that use them would not be replicated, which could create a
potential safety and liability risk. Further, NEMA noted that its
members have attempted to design substitute lamps using improved energy
performance solutions, only to have the products fail testing across
the greater range of requirements, including energy conservation
standards, safety requirements, and form factors. NEMA asserted that if
it were possible to make substitute lamps, its members would have made
them. (NEMA, No. 14 at p. 3)
However, the CA IOUs and Earthjustice and NRDC recommended that DOE
further examine the possibility of a reasonable substitute for R20
short lamps. (Earthjustice and NRDC, No. 15 at p. 1; CA IOUs, No. 16 at
pp. 2-4) DOE responds to their specific comments and presents its final
assessment in the following sections.
1. Improved R20 Short Lamp
Currently, R20 short lamps use incandescent technology and do not
meet previous energy conservation standards or the existing standards
adopted in the 2009 Lamps Rule that required compliance in July 2012.
In the NOPR, DOE investigated the potential of improving the efficacy
of R20 short lamps using halogen capsules, also called halogen burners,
known to improve the efficacy of IRLs. Halogen capsules consist of a
small diameter, fused quartz envelope filled with a halogen molecule
that surrounds the lamp's filament. Through teardowns, testing,
calculations, and interviews, DOE's NOPR analysis concluded that
although it is potentially feasible to incorporate a halogen burner
into an R20 short lamp, the expected improvement in efficacy would not
be enough to meet or exceed the July 2012 standards.
The CA IOUs urged DOE to undertake a more rigorous analysis of the
achievable efficacy of R20 short lamps with halogen burners. They
requested more detail on DOE's modeling approach and why DOE was unable
to model a more efficacious halogen-based R20 lamp. As efficacy
generally increases with lamp wattage, and none of the special
characteristics were reported to affect efficacy, the CA IOUs found it
unlikely that the modeled 75 W halogen R20 short lamp with a single-
ended burner had a theoretical efficacy of only 10.3 lm/W.
Specifically, they noted that the 45 W halogen R20 lamp used by DOE to
scale to a 75 W halogen R20 short lamp would be compliant with the
existing energy conservation standards and therefore, presumably have a
minimum efficacy of 14.0 lm/W. Similarly, the CA IOUs questioned that
the modeled 75 W halogen R20 short lamp with a double-ended burner had
a theoretical efficacy of only 13.8 lm/W. (CA IOUs, No. 16 at p. 2)
In the NOPR analysis, DOE modeled efficacies at 75 W for an R20
short lamp in two scenarios, one using single-ended burner technology,
and the second using double-ended burner technology. DOE developed
these lamps by scaling from commercially available lamps. DOE selected
a 45 W halogen R20 lamp with a single-ended burner that had a rated
efficacy of 9.3 lm/W. Because the selected lamp is excluded \9\ from
the existing standards for IRLs specified in 10 CFR 430.32(n)(5), it is
not required to meet the minimum standard of 14.0 lm/W as assumed by
the CA IOUs. When this lamp was scaled to a 75 W lamp with a single-
ended burner, the efficacy improved to 10.3 lm/W. (More information on
the scaling methodology can be found in appendix A of the NOPR.\10\)
---------------------------------------------------------------------------
\9\ For a full list of exclusions see 10 CFR 430.32(n)(6)(ii).
\10\ Appendix A from the NOPR can be found on regulations.gov,
under docket number EERE-2010-BT-PET-0047, at www.regulations.gov/#!docketDetail;D=EERE-2010-BT-PET-0047.
---------------------------------------------------------------------------
To model the R20 short lamp with a double-ended burner, DOE used
the tested double-ended burner efficacy for a standards-compliant 60 W
PAR30 short lamp and added an average reflector efficiency factor of
62.2 percent, based on tested reflector efficiencies of R20 lamp types,
to calculate an efficacy of 13.5 lm/W. When scaled to a 75 W lamp with
a double-ended burner, the resulting efficacy improved to 13.8 lm/W.
(More information on the scaling methodology can be found in appendix A
of the NOPR.)
Therefore, as expected, in both scenarios the efficacies of the
scaled higher wattage lamps were greater than the efficacies of the
lower-wattage lamps from which they were scaled. However, because the
lower-wattage lamp used to model an R20 short lamp with a single-ended
burner is excluded from existing standards and has a lower efficacy
than 14.0 lm/W, the modeled lamp would not necessarily meet current
standards. Similarly, while a standards-compliant lamp's burner
efficiency was used to model an R20 short lamp with a double-ended
burner, the inclusion of an R-shaped reflector efficiency allows for
the possibility that the modeled lamp would not be compliant to
standards.
The CA IOUs also questioned whether using the Illuminating
Engineering Society of North America (IESNA) scaling equations alone
can sufficiently capture the full range of benefits from moving to more
efficient halogen burners. The CA IOUs gave the example of there
possibly being some temperature advantages to using halogen or halogen
infrared (HIR) burners due to less waste heat
[[Page 68337]]
generation. (CA IOUs, No. 16 at pp. 2-3) The improved R20 short lamps
are modeled using a set of industry-accepted IESNA equations. DOE
believes these equations offer an accurate theoretical assessment of
lamp performance based on a relationship between lifetime, lumens, and
wattage.
Stakeholders recommended additional modeling scenarios in order to
explore other pathways to a more efficacious R20 short lamp. The CA
IOUs questioned DOE's decision to base the modeled R20 short lamp with
a double-ended burner on a PAR30 short lamp with a double-ended burner,
as its efficacy had to be discounted to account for the different
reflector shape. The CA IOUs suggested DOE base the analysis on the 40
W Philips Halogena Energy Saver R20 lamp with a double-ended burner, so
there would be no need to adjust the results for reflector efficiency.
The CA IOUs also noted that the Philips Halogena R20 lamp has an
efficacy of 14.25 lm/W, making it compliant with standards.\11\ (CA
IOUs, No. 16 at p. 2) The CA IOUs further recommended that DOE consider
modeling the theoretical double-ended burner lamp with a higher
efficiency reflector (as opposed to the average reflector efficiency
for R20 lamps), given that the primary goal of the analysis is to
determine achievable efficiency improvements for the product. (CA IOUs,
No. 16 at p. 2) The CA IOUs had also noted that it might be possible to
redesign other aspects of the lamp to better support halogen burners.
(CA IOUs, No. 16 at pp. 2-3) Earthjustice and NRDC similarly encouraged
DOE to seek additional information on the technical feasibility of
improving the efficacy of R20 short lamps. (Earthjustice and NRDC, No.
15 at p. 1) In this final rule, taking into consideration the preceding
recommendations from stakeholders, DOE modeled the performance of R20
short lamps utilizing HIR technology and also a more efficient
reflector to determine if an improved R20 short lamp could be a viable
substitute.
---------------------------------------------------------------------------
\11\ Please note that the referenced lamp is excluded from the
existing IRL standards specified in 10 CFR 430.32(n)(5). See 10 CFR
430.32(n)(6)(ii) for a list of exclusions.
---------------------------------------------------------------------------
DOE identified commercially available HIR R20 lamps with single-
ended or double-ended burners to use in modeling an HIR R20 short lamp
with performance characteristics comparable to a 100 W incandescent R20
short lamp. While the specific Philips lamp suggested by the CA IOUs
was no longer listed in their catalog, DOE was able to identify a
currently available HIR R20 lamp with a double-ended burner with the
same efficacy. Including this lamp, DOE identified a 40 W HIR R20 lamp
with a single-ended burner, two 40 W HIR R20 lamps with double-ended
burners, and one 45 W HIR R20 lamp with a double-ended burner.
DOE then performed teardowns to determine the dimensional
compatibility of the identified HIR R20 lamps' halogen capsules with an
R20 short lamp. Based on the dimensions of the burners and the R20
short lamp, DOE concluded that it is not possible to fit the double-
ended halogen burners found in commercially available HIR R20 lamps in
an R20 short lamp; it is possible, however, to fit the single-ended
burner. Therefore, for this final rule, DOE used the HIR R20 lamp with
a single-ended burner to model a more efficacious R20 short lamp.
Because DOE could not identify a double-ended HIR R20 lamp with a
capsule that was dimensionally compatible with an R20 short lamp, DOE
continued to use the 60 W HIR PAR30 short lamp tested for the NOPR to
model an HIR R20 short lamp with a double-ended burner. A double-ended
burner is more efficient than a single-ended burner because it has the
lead wire outside of the capsule, where it does not interfere with the
reflectance of energy from the capsule wall back to the capsule
filament. This limits the loss of energy and raises the filament
temperature, resulting in an increase in lamp efficacy.
To model an HIR R20 short lamp with a single-ended burner, DOE
tested the efficacy of the identified 120 V, 40 W HIR R20 lamp with the
dimensionally compatible single-ended burner. Using the IESNA equations
relating lifetime, lumens, and wattage, DOE scaled the lumen output of
the 40 W lamp in three scenarios, with the lumen output reasonably
close to the minimum, maximum, and average lumen output of the desired
range (637 and 1,022 lumens). Typically R20 short lamps have a lifetime
of 2,000 or 2,500 hours. For this analysis, DOE assumed the maximum
rated lifetime of 2,500 hours. Through these scaling calculations, DOE
found that in the average lumen output scenario, the efficacy of the
R20 short lamp could potentially be improved to meet the July 2012
standards with the use of HIR technology and a single-ended burner. For
the maximum lumen output scenario the efficacy of the modeled lamp did
not meet the July 2012 standards. In order to achieve the minimum lumen
output, the modeled lamp wattage was reduced to lower than 45 W,
thereby excluding the lamp from existing standards for IRLs specified
in 10 CFR 430.32(n)(5).\12\ For more information on the improved
efficacy calculations, see appendix A of this final rule.\13\
---------------------------------------------------------------------------
\12\ For a full list of exclusions see 10 CFR 430.32(n)(6)(ii).
\13\ Appendix A can be found on regulations.gov, under docket
number EERE-2010-BT-PET-0047, at www.regulations.gov/#!docketDetail;D=EERE-2010-BT-PET-0047.
---------------------------------------------------------------------------
To determine the efficacy of an HIR R20 lamp with a double-ended
burner, DOE revised the scaling analysis conducted for the NOPR by
analyzing in addition to an average efficiency reflector, a more
efficient reflector. DOE utilized the NOPR test results of the burner
efficiency of a 120 V, 60 W PAR30 short lamp with a double-ended burner
that is dimensionally compatible with an R20 short lamp. Using the
IESNA equations relating lifetime, lumen output, and wattage, DOE first
scaled the lumen output of the 60 W lamp with the average reflector
efficiency in three scenarios, with the lumen output reasonably close
to the minimum, maximum, and average lumen output of the desired range
(637 and 1,022 lumens). DOE again assumed the maximum rated lifetime of
R20 short lamps (2,500 hours). DOE found for the average lumen output
and maximum lumen output scenarios that the efficacy of the modeled R20
short lamp with average reflector efficiency would not meet the July
2012 standards. However, DOE found for the minimum lumen output
scenario, the efficacy of the R20 short lamp could potentially be
improved to meet the July 2012 standards with the use of HIR technology
with a double-ended burner.
As suggested by the CA IOUs, DOE then conducted the same analysis
for the 60 W lamp with a higher efficiency reflector. DOE found for the
average lumen output and maximum lumen output scenarios that the
efficacy of the R20 short lamp could potentially be improved to meet
the July 2012 standards with the use of HIR technology with a double-
ended burner and improved reflector. In order to achieve the minimum
lumen output, the modeled lamp wattage was reduced to lower than 45 W,
thereby excluding the lamp from existing standards for IRLs specified
in 10 CFR 430.32(n)(5).\14\ For more information on the improved
efficacy calculation, see appendix A of this final rule.\15\
---------------------------------------------------------------------------
\14\ For a full list of exclusions see 10 CFR 430.32(n)(6)(ii).
\15\ Appendix A can be found on regulations.gov, under docket
number EERE-2010-BT-PET-0047, at www.regulations.gov/#!docketDetail;D=EERE-2010-BT-PET-0047.
---------------------------------------------------------------------------
DOE notes that there is uncertainty associated with the theoretical
modeling
[[Page 68338]]
assessment. The modeled lamps reflect a standard R20 reflector shape
rather than a short R20 reflector shape. Thus, the modeled lamp
efficacies were based on R20 lamps with a longer MOL than the R20 short
lamp's 3.625 inches. DOE compared standard length and long length
halogen lamps that had the same shape, diameter, lifetime, voltage, and
wattage, and could find no consistent relationship between lamp length
and efficacy. Therefore, it is unknown how shortening the length of the
reflector would impact the efficacy of the modeled lamps.
Even given this uncertainty, DOE evaluated whether the standards-
compliant R20 short lamps based on the modeling described above could
also include the special characteristics of the R20 short lamp. (See
section III.C.) First, DOE believes that a heat shield could be
included in the improved R20 short lamp as they are included in most
commercially available halogen IRLs. Next, DOE also determined that
because the HIR capsules were dimensionally compatible with an R20
short lamp, the shortened MOL is retained. The addition of an HIR
capsule would, however, affect the lumen output and beam spread. Based
on its theoretical modeling, DOE determined that an HIR R20 short lamp
may have a lumen output within the established range for an R20 short
lamp of 637 to 1,022 lumens.\16\ However, because the position of the
filament impacts the beam angle, DOE anticipates that the beam angle
could be affected by the use of a halogen capsule. Because standards-
compliant R20 short lamps are not commercially available, DOE is unable
to confirm the beam angle of R20 short lamps that utilize an HIR
capsule. However, DOE believes that the HIR R20 short lamps would
likely meet the 0.5 watts per square foot of water surface area or
equivalent illumination requirements because the theoretical lamps
could deliver higher lumen output with reduced input wattage compared
to the R20 short lamp.
---------------------------------------------------------------------------
\16\ Note that, as modeled, the lamps have the necessary lumen
output, but DOE is uncertain of the impact of a shorter reflector
length.
---------------------------------------------------------------------------
Through the modeling assessment, DOE determined that the efficacy
of an R20 short lamp could potentially be improved through the use of
HIR technology. However, DOE cannot be certain of the improvement in
efficacy due to the fact that the commercially available lamps from
which the more efficacious R20 short lamps were scaled did not have the
same reflector length as the R20 short lamp. Moreover, it is not clear
that the more efficacious R20 short lamp would be able to achieve the
combination of the special characteristics because HIR technology has
not yet been incorporated in a commercially available R20 short lamp.
Therefore, the modeled efficacy and performance characteristics of the
HIR R20 short lamp could be affected by adjustments required to
accommodate these features. Thus, DOE was unable to conclude, based on
its modeling, whether an improved R20 short lamp could be compliant
with standards and also include all the special characteristics of a
R20 short lamp.
If DOE concluded that the special characteristics of R20 short
lamps prohibit the lamps from reaching efficacy levels achievable by
other R20 lamps, the CA IOUs suggested DOE use the relationship between
these lamp characteristics and efficacy to scale the existing standards
to accommodate R20 short lamps, instead of granting a full exception
from standards. (CA IOUs, No. 16 at p. 3) The authority of this
rulemaking is based on 42 U.S.C. 6291(30)(E), which is limited to
determining whether or not lamp types should be excluded from energy
conservation standards. 42 U.S.C. 6291(30)(E) does not grant DOE the
authority to establish unique energy conservation standards for these
lamps.
2. 60 W PAR16 Lamp
In addition to analyzing HIR R20 short lamps as a reasonable
substitute, DOE also analyzed 60 W PAR16 lamps. In the NOPR, DOE
determined that the 60 W PAR16 lamp must be partnered with a fixture
with an optimized LED lens to achieve the appropriate beam angle and
does not contain all of the special characteristics of a R20 short lamp
by itself. 77 FR at 76966-67 (December 31, 2012). NEMA agreed that the
60 W PAR16 lamp is therefore not an acceptable substitute for R20 short
lamps. NEMA allowed that 60 W PAR16 lamps may provide adequate lumens
and meet total illumination requirements without an additional lens,
but emphasized that their beam angle does not provide the same total
illumination throughout the pool or spa. NEMA further clarified that
because 60 W PAR16 lamps produce a targeted cone of light output, areas
of the pool or spa where the lamp fixture is not directed would not be
illuminated, creating safety issues. Additionally, NEMA noted that the
R20 short lamp has been optimized for the fixture and the application,
as corroborated by DOE's analysis, and a substitute, lower-wattage lamp
would not provide the same service. (NEMA, No. 14 at p. 2)
For this final rule, DOE again evaluated the 60 W PAR16 lamp and
found no change in its characteristics. Therefore, DOE maintains that
because the 60 W PAR16 lamp alone cannot achieve the required beam
spread for R20 short lamps, the lamp is not a reasonable substitute.
3. LED Lamps
In the NOPR, DOE also evaluated whether commercially available LED
lamps could serve as reasonable substitutes for R20 short lamps. DOE
determined that because they do not have the required special
characteristics of R20 short lamps, specifically lumen output and beam
spread, they are not reasonable substitutes. Furthermore, DOE did not
consider LED lamp and fixture replacements as reasonable substitutes
because they require more than the lamp to be replaced. 77 FR at 76967
(December 31, 2012).
Earthjustice and NRDC and the CA IOUs encouraged DOE to seek
additional information on compliant LED lamps that could be reasonable
substitutes. (Earthjustice and NRDC, No. 15 at p. 1; CA IOUs, No. 16 at
p. 3) Specifically, the CA IOUs commented that LED technology has
advanced rapidly in recent years, and LED light sources increasingly
are used in many different applications. The CA IOUs stated that they
have found several examples of commercially available pool and spa LED
lamps sold by online retailers that could be alternatives to R20 short
lamps. While these products are currently more expensive, the CA IOUs
contended that they offer energy cost savings, longer lifetimes, and
lower maintenance costs. The CA IOUs also noted that LED lamp costs are
forecasted to fall quickly in the coming years as LED technology
continues to mature. (CA IOUs, No. 16 at p. 3)
In the NOPR analysis, DOE had conducted market research to identify
any commercially available LED lamps determined to be compatible with
the R20 short lamp fixture and to have the required special
characteristics of R20 short lamps. For this final rule, DOE updated
its market analysis and verified the conclusions of the NOPR
assessment; DOE did not find any LED lamps that had the necessary
requirements of lumen output or beam spread.
The CA IOUs remarked that while DOE acknowledged that the PAR16 and
LED replacement lamps are currently being used, DOE still claimed that
these lamps should not be considered substitute products because
neither lamp type is demonstrating full equivalency in terms of lumen
output
[[Page 68339]]
and/or measured light distribution. The CA IOUs suggested this
reasoning is not applicable when comparing LED to incandescent lighting
in pool and spa applications. Pool and spa LEDs can be designed to
provide cooler light compared to incandescent lamps, with higher
intensity at shorter wavelengths within the spectrum of visible light.
The CA IOUs explained that water has a higher optical absorption
coefficient at longer wavelengths, which effectively acts as a filter
that allows more cool light than warm light to pass through. Therefore,
LED lamps need fewer total lumens to light a pool and will provide more
even illumination with fewer ``hot spots'' than incandescent lighting.
For these reasons, the CA IOUs argued that comparisons of lumen output
and light distribution for pool and spa lighting should not be based on
raw measurements of the light source outside of the fixture. (CA IOUs,
No. 16 at p. 3)
In support of this argument, the CA IOUs referred to a 2010
emerging technology study wherein they evaluated the performance of
incandescent and LED lamps in pool and spa lighting applications.\17\
The CA IOUs stated that the study measured the light output and
distribution of R20 lamps and several LED replacement products (both
lamps and fixtures) at the surface of a pool, and generally found the
quality of light provided by the LED products was superior in terms of
brightness and evenness of distribution. The CA IOUs also noted that
LED pool and spa lighting products have probably continued to improve
in the three years since this study was completed. (CA IOUs, No. 16 at
p. 3)
---------------------------------------------------------------------------
\17\ Southern California Edison. Commercial LED Pool Lamps.
December 2010. Southern California Edison Design and Engineering
Services Customer Service Business Unit:.Rosemead, CA. Report No.
ET10SCE1130. Available here: www.etcc-ca.com/images/stories/
et10sce1130__-commercial_led_pool_lighting.pdf.
---------------------------------------------------------------------------
DOE reviewed the study referenced by the CA IOUs to further assess
the possibility of LED lamps as a reasonable substitute for R20 short
lamps. The study did find that uniformity and light levels improved
relative to incandescent lighting in pools, but mainly for replacements
of both lamp and fixture. For direct replacement LED lamps, the study
noted that while they had the potential to improve uniformity, the
results were less constant and in some cases poorer than those of the
preexisting incandescent lighting.\18\ Further, the study stated that
direct replacement LED lamps tend to fall in the ``one size fits all''
category, limiting their ability to provide the performance needed in
certain applications.\19\ As noted previously, DOE concluded the
criteria for a reasonable substitute must be met by the lamp alone.
Based on the study, the direct replacement lamps tested did not
consistently meet light levels compared to incandescent lighting.
---------------------------------------------------------------------------
\18\ Ibid, page 34.
\19\ Ibid, page 38.
---------------------------------------------------------------------------
The CA IOUs suggested that the ``blue filter'' effect causes the
underwater performance of lumens to differ from the absolute lumen
output as measured outside the underwater fixture. Thus, using measured
lumens as a criterion to identify a reasonable substitute is unsuitable
for this application. (CA IOUs, No. 16 at pp. 3-4) However, the study
noted that the influence of the ``blue filter'' effect on pool lighting
is proportional to pool size. The effect is greater in larger pools
where light must travel long distances, than in spas where light
travels shorter distances.\20\ The variation in this phenomenon makes
it problematic to develop an accurate and consistent light level
metric. Further, a light level metric based on this effect cannot be
used to determine replacements for all R20 short lamps, as the blue
filter effect is not significant in small pools. Hence, lumen output
remains a more consistent and reliable metric of gauging the
suitability of a replacement lamp for the R20 short lamp in all pool
and spa applications, and can be applied across technologies, including
LED lamps.
---------------------------------------------------------------------------
\20\ Ibid, pages 35-36.
---------------------------------------------------------------------------
Finally, the study acknowledged that LED pool lighting systems
would have difficulty meeting the 0.5 W per square foot or equivalent
illumination building code requirement. The study suggested that
building code requirements should be modified to account for the
spectral distribution of lumens rather than the total lumen output.\21\
However, DOE must base its criteria for reasonable substitutes in this
rulemaking on existing requirements.
---------------------------------------------------------------------------
\21\ Ibid, page 36.
---------------------------------------------------------------------------
For this final rule, DOE again evaluated commercially available LED
lamps to determine whether they meet the special characteristics of R20
short lamps. DOE did not find an LED lamp that comprised all the
necessary characteristics to serve as a reasonable substitute for an
R20 short lamp. DOE also examined information provided by stakeholders
regarding the potential improvement in pool and spa lighting by
replacing incandescent with LED technology. However, because this
improvement is attributable to replacement of lamp and fixture rather
than only the lamp, DOE could not consider it in its evaluation of LEDs
as reasonable substitutes for R20 short lamps. Further, DOE concluded
that while there may be different ways to measure the illumination of a
pool or spa, the lumen output range identified as a special
characteristic for R20 short lamps remains a reliable metric that can
be applied across technologies and for all types of pools and spas.
4. Consumer Use of Substitute Products
The CA IOUs noted that R20 short lamps have not been manufactured
since 2010. In the meantime, PAR16 lamps and LED products have been
successfully installed in new and existing pool and spa fixtures
without noticeable negative impacts to consumers. The CA IOUs further
cited their experience implementing rebate programs for LED pool
lighting, noting that consumers have expressed a high degree of
satisfaction when replacing their existing R20 short lamps with LEDs.
The CA IOUs affirmed that in their experience, consumers are not able
to distinguish small differences in the beam angle or distribution of
light, particularly when the lamps are behind a lens and under water.
An additional interview the CA IOUs conducted with a major distributor
of pool lighting products also confirmed these findings of consumer
satisfaction. (CA IOUs, No. 16 at p. 3)
DOE evaluated lamps as reasonable substitutes using a set of
criteria described in the beginning of section III.C. The fact that
consumers can physically replace R20 short lamps with PAR16 or LED
lamps does not automatically mean they are reasonable substitutes.
Rather, the necessary criteria for a reasonable substitute lamp are
based on special characteristics of the R20 short lamp identified in
this analysis.
The CA IOUs called attention to the fact that for new fixtures the
question of light source equivalency is a non-issue, and R20 short lamp
fixtures do not offer any unique functionality that cannot be met by
other light sources. As new fixtures are sold together with the lamps
they were designed for, fixture manufacturers are able to customize
their lenses based on the source of lighting being used. (CA IOUs, No.
16 at p. 3) DOE acknowledges that a lamp and fixture replacement could
adequately meet pool and spa lighting needs. However, as the scope of
this rulemaking covers only the R20 short lamp itself, and not pool and
spa fixtures, DOE must assess reasonable substitutes for the lamp
alone.
[[Page 68340]]
IV. Conclusion
DOE has established that R20 short lamps were designed for pool and
spa applications based on industry need and consumer preference. The
design requirements included a wide beam spread, high lumen output, and
adequate illumination; a heat shield to withstand the high operating
temperatures of spas; and a shortened MOL, allowing the lamp to fit in
underwater pool or spa fixtures. Further, DOE has determined that the
majority of R20 short lamps are purchased from pool and spa
distributors and specialty retail stores, and are not available where
IRLs are typically sold for general lighting applications. R20 short
lamps are also marketed and clearly packaged in a way that indicates
the lamps are specifically for use in pools and spas. Therefore, DOE
has concluded that R20 short lamps are designed for pool and spa
applications. Due to the special application of R20 short lamps, DOE
assessed the impact on energy savings from the exclusion of these lamps
from energy conservation standards. As R20 short lamps have a small
market share and limited potential for growth, DOE determined that the
regulation of R20 short lamps would not result in significant energy
savings.
DOE also evaluated lamps that could serve as potential substitutes
by analyzing their ability to replicate the specialized characteristics
of the R20 short lamp, specifically a shortened MOL, heat shield, high
lumen output, wide beam spread, and adequate illumination. DOE
concluded that there are no reasonably substitutable lamp types
currently commercially available that offer the special characteristics
of R20 short lamps.
Based on the assessments of this final rule, DOE determined that
R20 short lamps should be excluded from energy conservation standards.
DOE's analysis found that energy conservation standards for R20 short
lamps would not result in significant energy savings because the lamps
are designed for special applications and have special characteristics
not available in reasonably substitutable lamp types. Therefore, under
section 6291(30)(E), DOE excludes R20 short lamps from energy
conservation standards by modifying the definition of ``Incandescent
reflector lamp'' and adding a new definition for ``R20 short lamp'' in
10 CFR 430.2, as set forth in the regulatory text of this rule.
In response to the definition of R20 short lamp proposed in the
NOPR, Earthjustice and NRDC commented that DOE should ensure the
definition includes each of the identified special characteristics of
R20 short lamps, including the incorporation of a heat shield, a beam
angle between 70 and 123 degrees, and a minimum light output of 900
lumens. Earthjustice and NRDC stated that DOE should either add these
criteria to the text of the R20 short lamp definition or clarify in the
preamble of this final rule that the requirement that an R20 short lamp
be ``designed . . . specifically for pool and spa applications''
includes the satisfaction of these three criteria. (Earthjustice and
NRDC, No. 15 at p. 1)
DOE agrees with Earthjustice and NRDC on the importance of the
special characteristics of R20 short lamps and has stated in section
III.C of this final rule that each of these characteristics is required
for the R20 short lamp to provide the special application for which it
was designed. DOE believes the definition for R20 short lamp added to
10 CFR 430.2, which specifies the wattage, MOL, and requires that the
lamp must be designed, labeled, and marketed specifically for pool and
spa applications, sufficiently identifies the lamps designated for
exclusion.
V. Procedural Issues and Regulatory Review
A. Review Under Executive Orders 12866 and 13563
Today's regulatory action has been determined to not be a
``significant regulatory action'' under section 3(f) of Executive Order
12866, ``Regulatory Planning and Review,'' 58 FR 51735 (Oct. 4, 1993).
Accordingly, the Office of Information and Regulatory Affairs (OIRA) in
the Office of Management and Budget (OMB) is not required to review
this action.
DOE has also reviewed this regulation pursuant to Executive Order
13563, issued on January 18, 2011 (76 FR 3281 (Jan. 21, 2011)).
Executive Order 13563 is supplemental to and explicitly reaffirms the
principles, structures, and definitions governing regulatory review
established in Executive Order 12866. To the extent permitted by law,
agencies are required by Executive Order 13563 to: (1) Propose or adopt
a regulation only upon a reasoned determination that its benefits
justify its costs (recognizing that some benefits and costs are
difficult to quantify); (2) tailor regulations to impose the least
burden on society, consistent with obtaining regulatory objectives,
taking into account, among other things, and to the extent practicable,
the costs of cumulative regulations; (3) select, in choosing among
alternative regulatory approaches, those approaches that maximize net
benefits (including potential economic, environmental, public health
and safety, and other advantages; distributive impacts; and equity);
(4) to the extent feasible, specify performance objectives, rather than
specifying the behavior or manner of compliance that regulated entities
must adopt; and (5) identify and assess available alternatives to
direct regulation, including providing economic incentives to encourage
the desired behavior, such as user fees or marketable permits, or
providing information upon which choices can be made by the public.
DOE emphasizes as well that Executive Order 13563 requires agencies
to use the best available techniques to quantify anticipated present
and future benefits and costs as accurately as possible. In its
guidance, OIRA has emphasized that such techniques may include
identifying changing future compliance costs that might result from
technological innovation or anticipated behavioral changes. For the
reasons stated in the preamble, DOE believes that today's final rule is
consistent with these principles, including the requirement that, to
the extent permitted by law, benefits justify costs and that net
benefits are maximized.
B. Review Under the Regulatory Flexibility Act
The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires
preparation of a final regulatory flexibility analysis (RFA) for any
rule that by law must be proposed for public comment, unless the agency
certifies that the rule, if promulgated, will not have a significant
economic impact on a substantial number of small entities. As required
by Executive Order 13272, ``Proper Consideration of Small Entities in
Agency Rulemaking,'' 67 FR 53461 (August 16, 2002), DOE published
procedures and policies on February 19, 2003, to ensure that the
potential impacts of its rules on small entities are properly
considered during the rulemaking process. 68 FR 7990. DOE has made its
procedures and policies available on the Office of the General
Counsel's Web site (https://energy.gov/gc/office-general-counsel).
DOE reviewed today's rulemaking under the provisions of the
Regulatory Flexibility Act and the policies and procedures published on
February 19, 2003. This rulemaking sets no standards; it only
determines that exclusion from standards is warranted for R20 short
lamps. DOE certifies that this rulemaking will not have a significant
impact on a substantial
[[Page 68341]]
number of small entities. The factual basis for this certification is
as follows.
For manufacturers of R20 short lamps, the Small Business
Administration (SBA) has set a size threshold, which defines those
entities classified as ``small businesses'' for the purposes of the
statute. DOE used the SBA's small business size standards to determine
whether any small entities would be subject to the requirements of the
rule. 65 FR 30836, 30848 (May 15, 2000), as amended at 65 FR 53533,
53544 (Sept. 5, 2000) and codified at 13 CFR part 121.The size
standards are listed by North American Industry Classification System
(NAICS) code and industry description and are available at www.sba.gov/sites/default/files/files/Size_Standards_Table.pdf. R20 short lamp
manufacturing is classified under NAICS 335110, ``Electric Lamp Bulb
and Part Manufacturing.'' The SBA sets a threshold of 1,000 employees
or less for an entity to be considered as a small business for this
category. DOE identified two small business manufacturers of R20 short
lamps.
Amendments to EPCA in EPAct 1992 established the current energy
conservation standards for certain classes of IRLs. On July 14, 2009,
DOE published a final rule in the Federal Register that amended these
standards, with a compliance date of July 14, 2012. 74 FR 34080. In
that rulemaking, DOE concluded that the standards would not have a
substantial impact on small entities and, therefore, did not prepare a
regulatory flexibility analysis. 74 FR at 34174-34175 (July 14, 2009).
On the basis of the foregoing and because this rulemaking to establish
an exclusion from standards decreases regulatory burden, DOE certifies
that this rulemaking will have no significant economic impact on a
substantial number of small entities. Accordingly, DOE has not prepared
an RFA for this final rule. DOE transmitted the certification and
supporting statement of factual basis to the Chief Counsel for Advocacy
of the SBA for review under 5 U.S.C. 605(b).
C. Review Under the Paperwork Reduction Act
This rulemaking, which establishes an exclusion from energy
conservation standards for R20 short lamps, would impose no new
information or record keeping requirements. Accordingly, the OMB
clearance is not required under the Paperwork Reduction Act. (44 U.S.C.
3501 et seq.)
D. Review Under the National Environmental Policy Act of 1969
Pursuant to the National Environmental Policy Act (NEPA) of 1969,
DOE has determined that this final rule fits within the category of
actions that are categorically excluded from review under the National
Environmental Policy Act of 1969 (Pub. L. 91-190, codified at 42 U.S.C.
4321 et seq.), and DOE's implementing regulations at 10 CFR part 1021.
Specifically, the rulemaking amends an existing rule without changing
its environmental effect, and, therefore, is covered by Categorical
Exclusion (CX) A5 found in 10 CFR part 1021, subpart D, appendix A.
Therefore, as DOE has made a CX determination for the rulemaking, DOE
does not need to prepare an Environmental Assessment or Environmental
Impact Statement. DOE's CX determination is available at https://cxnepa.energy.gov/.
E. Review Under Executive Order 13132
Executive Order 13132, ``Federalism.'' 64 FR 43255 (Aug. 10, 1999)
imposes certain requirements on Federal agencies formulating and
implementing policies or regulations that preempt State law or that
have Federalism implications. The Executive Order requires agencies to
examine the constitutional and statutory authority supporting any
action that would limit the policymaking discretion of the States and
to carefully assess the necessity for such actions. The Executive Order
also requires agencies to have an accountable process to ensure
meaningful and timely input by State and local officials in the
development of regulatory policies that have Federalism implications.
On March 14, 2000, DOE published a statement of policy describing the
intergovernmental consultation process it will follow in the
development of such regulations. 65 FR 13735. EPCA governs and
prescribes Federal preemption of State regulations as to energy
conservation for the products that are the subject of today's final
rule. States can petition DOE for exemption from such preemption to the
extent, and based on criteria, set forth in EPCA. (42 U.S.C. 6297) No
further action is required by Executive Order 13132.
F. Review Under Executive Order 12988
With respect to the review of existing regulations and the
promulgation of new regulations, section 3(a) of Executive Order 12988,
``Civil Justice Reform,'' imposes on Federal agencies the general duty
to adhere to the following requirements: (1) Eliminate drafting errors
and ambiguity; (2) write regulations to minimize litigation; and (3)
provide a clear legal standard for affected conduct rather than a
general standard and promote simplification and burden reduction. 61 FR
4729 (Feb. 7, 1996). Section 3(b) of Executive Order 12988 specifically
requires that Executive agencies make every reasonable effort to ensure
that the regulation: (1) Clearly specifies the preemptive effect, if
any; (2) clearly specifies any effect on existing Federal law or
regulation; (3) provides a clear legal standard for affected conduct
while promoting simplification and burden reduction; (4) specifies the
retroactive effect, if any; (5) adequately defines key terms; and (6)
addresses other important issues affecting clarity and general
draftsmanship under any guidelines issued by the Attorney General.
Section 3(c) of Executive Order 12988 requires Executive agencies to
review regulations in light of applicable standards in section 3(a) and
section 3(b) to determine whether they are met or it is unreasonable to
meet one or more of them. DOE has completed the required review and
determined that, to the extent permitted by law, this final rule meets
the relevant standards of Executive Order 12988.
G. Review Under the Unfunded Mandates Reform Act of 1995
Title II of the Unfunded Mandates Reform Act of 1995 (UMRA)
requires each Federal agency to assess the effects of Federal
regulatory actions on State, local, and Tribal governments and the
private sector. Public Law 104-4, sec. 201 (codified at 2 U.S.C. 1531).
For an amended regulatory action likely to result in a rule that may
cause the expenditure by State, local, and Tribal governments, in the
aggregate, or by the private sector of $100 million or more in any one
year (adjusted annually for inflation), section 202 of UMRA requires a
Federal agency to publish a written statement that estimates the
resulting costs, benefits, and other effects on the national economy.
(2 U.S.C. 1532(a), (b)) The UMRA also requires a Federal agency to
develop an effective process to permit timely input by elected officers
of State, local, and Tribal governments on a ``significant
intergovernmental mandate,'' and requires an agency plan for giving
notice and opportunity for timely input to potentially affected small
governments before establishing any requirements that might
significantly or uniquely affect small governments. On March 18, 1997,
DOE published a statement of policy on its process for
intergovernmental consultation under
[[Page 68342]]
UMRA. 62 FR 12820. DOE's policy statement is also available at https://energy.gov/gc/office-general-counsel.
DOE examined today's rulemaking according to UMRA and its statement
of policy and determined that the rule contains neither an
intergovernmental mandate, nor a mandate that may result in the
expenditure of $100 million or more in any year. Instead, the rule
excludes R20 short lamps from standards, thereby eliminating any
existing associated compliance costs. Accordingly, no further
assessment or analysis is required under the Unfunded Mandates Reform
Act of 1995.
H. Review Under the Treasury and General Government Appropriations Act,
1999
Section 654 of the Treasury and General Government Appropriations
Act, 1999 (Pub. L. 105-277) requires Federal agencies to issue a Family
Policymaking Assessment for any rule that may affect family well-being.
This rule would not have any impact on the autonomy or integrity of the
family as an institution. Accordingly, DOE has concluded that it is not
necessary to prepare a Family Policymaking Assessment.
I. Review Under Executive Order 12630
DOE has determined, under Executive Order 12630, ``Governmental
Actions and Interference with Constitutionally Protected Property
Rights'' 53 FR 8859 (March 18, 1988), that this regulation would not
result in any takings that might require compensation under the Fifth
Amendment to the U.S. Constitution.
J. Review Under the Treasury and General Government Appropriations Act,
2001
Section 515 of the Treasury and General Government Appropriations
Act, 2001 (44 U.S.C. 3516, note) provides for Federal agencies to
review most disseminations of information to the public under
guidelines established by each agency pursuant to general guidelines
issued by OMB. OMB's guidelines were published at 67 FR 8452 (Feb. 22,
2002), and DOE's guidelines were published at 67 FR 62446 (Oct. 7,
2002). DOE has reviewed today's final rule under the OMB and DOE
guidelines and has concluded that it is consistent with applicable
policies in those guidelines.
K. Review Under Executive Order 13211
Executive Order 13211, ``Actions Concerning Regulations That
Significantly Affect Energy Supply, Distribution, or Use'' 66 FR 28355
(May 22, 2001), requires Federal agencies to prepare and submit to OIRA
at OMB, a Statement of Energy Effects for any significant energy
action. A ``significant energy action'' is defined as any action by an
agency that promulgates or is expected to lead to promulgation of a
final rule, and that: (1) Is a significant regulatory action under
Executive Order 12866, or any successor order; and (2) is likely to
have a significant adverse effect on the supply, distribution, or use
of energy, or (3) is designated by the Administrator of OIRA as a
significant energy action. For any significant energy action, the
agency must give a detailed statement of any adverse effects on energy
supply, distribution, or use should the proposal be implemented, and of
reasonable alternatives to the action and their expected benefits on
energy supply, distribution, and use.
DOE has concluded that today's regulatory action, which excludes
R20 short lamps from energy conservation standards, is not a
significant energy action because the exclusion from standards is not
likely to have a significant adverse effect on the supply,
distribution, or use of energy, nor has it been designated as such by
the Administrator at OIRA. Accordingly, DOE has not prepared a
Statement of Energy Effects on the final rule.
L. Review Under the Information Quality Bulletin for Peer Review
On December 16, 2004, OMB, in consultation with the Office of
Science and Technology Policy (OSTP), issued its Final Information
Quality Bulletin for Peer Review (the Bulletin). 70 FR 2664 (Jan. 14,
2005). The Bulletin establishes that certain scientific information
shall be peer reviewed by qualified specialists before it is
disseminated by the Federal Government, including influential
scientific information related to agency regulatory actions. The
purpose of the Bulletin is to enhance the quality and credibility of
the Government's scientific information. Under the Bulletin, the energy
conservation standards rulemaking analyses are ``influential scientific
information,'' which the Bulletin defines as scientific information the
agency reasonably can determine will have, or does have, a clear and
substantial impact on important public policies or private sector
decisions. 70 FR 2667 (Jan. 14, 2005).
In response to OMB's Bulletin, DOE conducted formal in-progress
peer reviews of the energy conservation standards development process
and analyses and has prepared a Peer Review Report pertaining to the
energy conservation standards rulemaking analyses. Generation of this
report involved a rigorous, formal, and documented evaluation using
objective criteria and qualified and independent reviewers to make a
judgment as to the technical/scientific/business merit, the actual or
anticipated results, and the productivity and management effectiveness
of programs and/or projects. The ``Energy Conservation Standards
Rulemaking Peer Review Report'' dated February 2007 has been
disseminated and is available at the following Web site:
www1.eere.energy.gov/buildings/appliance_standards/peer_review.html.
M. Congressional Notification
As required by 5 U.S.C. 801, DOE will report to Congress on the
promulgation of this rule prior to its effective date. The report will
state that it has been determined that the rule is not a ``major rule''
as defined by 5 U.S.C. 804(2).
VI. Approval of the Office of the Secretary
The Secretary of Energy has approved publication of today's final
rule.
List of Subjects in 10 CFR Part 430
Administrative practice and procedure, Confidential business
information, Energy conservation, Household appliances, Imports,
Intergovernmental relations, Reporting and recordkeeping requirements,
and Small businesses.
Issued in Washington, DC, on November 7, 2013.
David T. Danielson,
Assistant Secretary, Energy Efficiency and Renewable Energy.
For the reasons set forth in the preamble, DOE amends part 430 of
chapter II, subchapter D, of title 10 of the Code of Federal
Regulations, as set forth below:
PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS
0
1. The authority citation for part 430 continues to read as follows:
Authority: 42 U.S.C. 6291-6309; 28 U.S.C. 2461 note.
0
2. In Sec. 430.2, revise the definition for ``Incandescent reflector
lamp'' and add the definition for ``R20 short lamp,'' in alphabetical
order, to read as follows:
Sec. 430.2 Definitions.
* * * * *
Incandescent reflector lamp (commonly referred to as a reflector
lamp) means any lamp in which light is
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produced by a filament heated to incandescence by an electric current,
which: contains an inner reflective coating on the outer bulb to direct
the light; is not colored; is not designed for rough or vibration
service applications; is not an R20 short lamp; has an R, PAR, ER, BR,
BPAR, or similar bulb shapes with an E26 medium screw base; has a rated
voltage or voltage range that lies at least partially in the range of
115 and 130 volts; has a diameter that exceeds 2.25 inches; and has a
rated wattage that is 40 watts or higher.
* * * * *
R20 short lamp means a lamp that is an R20 incandescent reflector
lamp that has a rated wattage of 100 watts; has a maximum overall
length of 3 and 5/8, or 3.625, inches; and is designed, labeled, and
marketed specifically for pool and spa applications.
* * * * *
[FR Doc. 2013-27248 Filed 11-13-13; 8:45 am]
BILLING CODE 6450-01-P
