[Federal Register Volume 75, Number 246 (Thursday, December 23, 2010)]
[Proposed Rules]
[Pages 80731-80733]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2010-32259]


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DEPARTMENT OF ENERGY

10 CFR Part 430


Request for Exclusion of 120 Volt, 100 Watt R20 Short 
Incandescent Reflector Lamps

AGENCY: Office of the General Counsel, Department of Energy (DOE).

ACTION: Petition for rulemaking; request for comment.

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SUMMARY: On November 29, 2010, the Department of Energy received a 
petition for rulemaking from the National Electrical Manufacturers 
Association (NEMA). The petition, requests the initiation of a 
rulemaking regarding a certain incandescent reflector lamp. The 
petition seeks to exclude from the coverage of energy conservation 
standards for incandescent reflector lamps a 120 volt, 100 watt R20 
short lamp, which is marketed for use in hot tub spas. Public comment 
is requested on whether DOE should grant the petition and proceed with 
a rulemaking procedure on this matter.

DATES: Comments must be postmarked no later than January 24, 2011.

ADDRESSES: Any comments submitted must reference ``Petition for 
Rulemaking: Exclusion of 120 Volt, 100 Watt R20 Short Incandescent 
Reflector Lamps.'' Comments may be submitted using any of the following 
methods:
     Federal eRulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
     E-mail: [email protected]. 
Include ``Petition for Rulemaking'' in the subject line of the message.
     Postal Mail: John Cymbalsky, U.S. Department of Energy, 
Office of Energy Efficiency and Renewable Energy, Building Technologies 
Program, EE-2J, 1000 Independence Avenue, SW., Washington, DC 20585-
0121. Please submit one signed original paper copy.
     Hand Delivery/Courier: John Cymbalsky, U.S. Department of 
Energy, Office of Energy Efficiency and Renewable Energy, Building 
Technologies Program, EE-2J, 1000 Independence Avenue, SW., Washington, 
DC 20585-0121. Please submit one signed original paper copy.

FOR FURTHER INFORMATION CONTACT: John Cymbalsky U.S. Department of 
Energy, Office of Energy Efficiency and Renewable Energy, Building 
Technologies Program, EE-2J, 1000 Independence Avenue, SW., Washington, 
DC 20585-0121, (202) 287-1692, e-mail: [email protected].

SUPPLEMENTARY INFORMATION: 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 the Department of Energy for the 
issuance of a new rule, as set forth below. In publishing this petition 
for public comment, the Department of Energy is seeking views on 
whether it should grant the petition and undertake a rulemaking to 
consider the proposal contained in this petition. By seeking comment on 
whether to grant this petition, the Department of Energy takes no 
position at this time regarding the merits of the suggested rulemaking.
    The proposed rulemaking sought by NEMA would exclude 120 volt, 100 
watt R20 short lamps from coverage of energy conservation standards for 
incandescent reflector lamps. The petition requests the Department of 
Energy stay enforcement of its energy conservation standard as applied 
to this type of lamp pending the outcome of this petition. The 
Department of Energy seeks public comment on whether DOE should grant 
the petition and proceed with a rulemaking procedure on this issue.

    Issued in Washington, DC, on December 17, 2010.
Scott Blake Harris,
General Counsel.

    Set forth below is the full text of the National Electrical 
Manufacturers Association petition:

    BEFORE THE U.S. DEPARTMENT OF ENERGY

November 29, 2010

Petition for Rulemaking

U.S. Department of Energy Attention: Hon. Catherine R. Zoi Acting 
Under Secretary of Energy 1000 Independence Avenue, SW Washington, 
D.C. 20585

RE: Petition of the National Electrical Manufacturers Association To 
Undertake Rulemaking To Exclude 120 Volt, 100 Watt R20 Short Lamps 
from Coverage of Energy Conservation Standards for Incandescent 
Reflector Lamps. Request for Stay of Enforcement Pending Rulemaking

Dear Under Secretary Zoi:

    The National Electrical Manufacturers Association (NEMA), on 
behalf of its members who distribute in commerce certain 
incandescent reflector lamps, petitions the Department to commence a 
rulemaking pursuant to the Administrative Procedure Act to (1) 
determine that a certain type of incandescent reflector lamp--a 120 
volt, 100 watt R20 short, which is marketed exclusively for use in 
hot tub spas sold into specific jurisdictions that provide pools and

[[Page 80732]]

spas with 120 volt electricity--be excluded from the coverage of 
energy conservation standards for incandescent reflector lamps 
prescribed by or promulgated under section 325(i) of the Energy 
Policy and Conservation Act (EPCA), 42 U.S.C. Sec.  6295(i), as 
amended, and (2) amend the Department's current energy conservation 
standard at 10 CFR Sec.  430.32(n)(6)(ii) and 10 CFR Sec.  430.2 
(definitions).
    As grounds for this petition, NEMA believes that the rulemaking 
will conclude: (a) that energy conservation standards for this 
unique type of lamp will not result in significant energy savings, 
and (b) that this type of lamp is designed for special applications 
or has special characteristics not available in reasonably 
substitutable lamp types. 42 U.S.C. Sec.  6291(30)(E). As further 
grounds for this rulemaking, NEMA believes that the rulemaking will 
show that the application of energy conservation standards for 
incandescent reflector lamps to this type of lamp--which has unique 
size, performance requirements, and capacity for use in certain 
types of hot tub spas that require smaller dimensions--would lead to 
their unavailability in the United States. Cf., 42 U.S.C. Sec.  
6295(o)(4).
    Separately, NEMA requests the Department stay enforcement of its 
energy conservation standard as applied to this type of lamp pending 
the outcome of this rulemaking, so that sales of this type of lamp 
may be resumed. For the reasons explained below, the two 
manufacturers who previously distributed the 100 watt R20 short lamp 
in commerce recently realized that they harbored a mistaken belief 
that this type of underwater service lamp was excluded from coverage 
under EPCA. Both companies immediately withdrew the product from the 
market when they realized their mistake. This decision has created 
significant hardships for hot tub spa manufacturers that used this 
unique lamp type, as there is no known substitute for it on the 
market. This also means that owners of hot tub spas that use this 
unique lamp type will not have replacement lamps available for their 
spas when their lamps reach end of life.
Definition of the Lamp Type for Which a Rule Is Sought
    The lamp type is a 100 watt R20 short incandescent reflector 
lamp. The term ``short'' refers to the fact that the maximum overall 
length (MOL) of the lamp is 3\5/8\'', in contrast to the normal 
overall length of 4\1/8\''. By this petition, NEMA proposes that 10 
CFR Sec.  430.2 be amended as follows to include a new definition of 
``R20 short''after the definition of ``R20 incandescent reflector 
lamp'':

Sec.  430.2 Definitions.

    For purposes of this part, words shall be defined as provided 
for in section 321 of the Act and as follows--
* * * * *
    R20 incandescent reflector lamp means a reflector lamp that has 
a face diameter of approximately 2.5 inches, as shown in figure 1(R) 
on page 7 of ANSI C79.1-1994 (incorporated by reference; see Sec.  
430.3).
    R20 short means an R20 incandescent reflector lamp that has a 
maximum overall length of 3\5/8\ inches.
Nature of the Exclusion for Which a Rule Is Sought
    10 CFR Sec.  430.32(n)(6)(ii) currently excludes from the energy 
conservation standards applicable to the covered product 
``incandescent reflector lamp'' three types of incandescent 
reflector lamps. By this petition, NEMA proposes that 10 CFR Sec.  
430.32(n)(6)(ii) be amended to add a new paragraph (D) to this 
section as shown below.

Sec.  430.32 Energy and water conservation standards and their 
effective dates.

    The energy and water (in the case of faucets, showerheads, water 
closets, and urinals) conservation standards for the covered product 
classes are:
* * * * *
    (n) General service fluorescent lamps and incandescent reflector 
lamps.
    (6)(i)(A) Subject to the exclusions in paragraph (n)(6)(ii) of 
this section, the standards specified in this section shall apply to 
ER incandescent reflector lamps, BR incandescent reflector lamps, 
BPAR incandescent reflector lamps, and similar bulb shapes on and 
after January 1, 2008.
    (B) Subject to the exclusions in paragraph (n)(6)(ii) of this 
section, the standards specified in this section shall apply to 
incandescent reflector lamps with a diameter of more than 2.25 
inches, but not more than 2.75 inches, on and after June 15, 2008.
    (ii) The standards specified in this section shall not apply to 
the following types of incandescent reflector lamps:
    (A) Lamps rated at 50 watts or less that are ER30, BR30, BR40, 
or ER40 lamps;
    (B) Lamps rated at 65 watts that are BR30, BR40, or ER40 lamps;
    (C) R20 incandescent reflector lamps rated 45 watts or less; or
    (D) R20 short incandescent reflector lamps rated at 100 watts 
that are designated and marketed specifically for pool and spa 
applications with--
    (I) the designation appearing on the lamp packaging; and
    (II) marketing materials that identify the lamp as being for 
pool and spa applications.\1\
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    \1\ This particular language relating to designation on lamp 
packaging and marketing materials appears in Section 321 of EPCA 
with respect to the definitions of ``rough service lamp,'' ``shatter 
resistant lamp,'' and ``vibration service lamp,'' all of which are 
currently excluded from energy conservation standards applicable to 
general service incandescent lamps.
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    The lamp at issue comes in two different voltage configurations: 
12V and 120V. Some state and local jurisdictions allow pools and 
spas to be supplied with 120V electricity; the remainder require 
pools and spas to be supplied with much lower voltage electricity 
\2\ via a distribution transformer that steps down voltage to the 
pool lights where the 12 volt lamp is used. NEMA has not been able 
to find a list of which jurisdictions have adopted one requirement 
over the other, but the so-called ``line voltage'' (120V) 
jurisdictions appear to include Florida, and a number of 
jurisdictions primarily located in the Midwest. The statutory 
definition of ``incandescent reflector lamp'' only includes such 
lamps that are within the range of 115 volts and 130 volts, see 10 
CFR Sec.  430.2,\3\ which leaves the 12 volt version of the 100 watt 
R20 short lamp unregulated under EPCA.
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    \2\ Sometimes this requirement is expressed as less than a 
maximum voltage (e.g. < 15V).
    \3\ ``Incandescent reflector lamp (commonly referred to as a 
reflector lamp) means any lamp in which light is produced by a 
filament heated to incandescence by an electric current, which: Is 
not colored or designed for rough or vibration service applications 
that contains an inner reflective coating on the outer bulb to 
direct the light; 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.''
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Why the Exclusion Is Needed
    Hot tub spa manufacturers design the dimensions of some hot tubs 
so that the underwater lighting can only accommodate a luminaire and 
lamp with a maximum overall length of 3 and \5/8\ inches. They also 
seek a luminaire/lamp combination that is designed to light the spa 
with a certain lumen output providing diffuse (not directed) 
illumination that requires a wide beam spread. The 100 watt R20 
short is the only lamp that meets the spa manufacturers' 
specifications and is used in these particular spas. These 100 watt 
lamps have a heat shield inside the base to protect against high 
heat damaging the cement that joins the base to the glass envelope, 
and the filament has been specially engineered to provide the 
desired beam spread required by spa manufacturers. Given the 
underwater application in waters in excess of 100 degrees F, an 
electronic lamp product is not an alternative.
    Current energy conservation standards for a 100 watt 
incandescent reflector lamp require that the lamp have 14 lumens per 
watt. 42 U.S.C. Sec.  6295(i)(1)(B). The 100 watt R20 short has 
lumens of 900 to 1000, which translates to a maximum lumens per watt 
of 9 or 10. It is not possible to increase the lumens in this lamp 
without increasing the maximum overall length of the lamp because a 
higher lumen filament would operate at a higher temperature, which 
could potentially cause the lamp to burst and/or damage the 
luminaire and/or hot tub. As this lamp is used in an underwater 
fixture, the implications surrounding potential safety hazards would 
prohibit the use of higher lumen lamp in this application. 
Additionally, a higher lumen filament would result in severely 
shortened lamp life that would be unacceptable in spa applications.
    Until September 2010, there were only two known manufacturers of 
the 120 volt 100 watt R20 short lamp supplying in the United States 
to spa manufacturers whose spa designs required this lamp. They had 
been supplying this lamp on the mistaken belief that EPCA had 
excluded pool and underwater service lamps from coverage. They 
relied on the Federal Trade Commission's 1994 lamp labeling rule, 
which treated an incandescent reflector lamp as a general service 
incandescent lamp, see 16 CFR Sec.  305.2(16), and applied EPCA's 
exclusions from the definition of general service incandescent lamp 
\4\ to incandescent

[[Page 80733]]

reflector lamps. When they discovered that neither EPCA nor the DOE 
rules treated this lamp similar to the way the FTC treated them, 
they promptly withdrew the product from the market. This leaves the 
hot tub manufacturers without a supply of these lamps and leaves spa 
owners purchasing in the replacement market without a supply of 
these lamps. The product is sold in the replacement market to spa 
manufacturers, pool and spa product distributors, maintenance/repair 
and janitorial distributors.
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    \4\ EPAct 1992, amending EPCA, originally excluded ``swimming 
pool'' and ``other underwater service'' lamps from coverage for 
``general service incandescent lamps.'' The FTC's 1994 lamp labeling 
rule exclusions mirrored the statutory list.
    ``(D) The term `general service incandescent lamp' means any 
incandescent lamp (other than a miniature or photographic lamp) that 
has an E26 medium screw base, a rated voltage range at least 
partially within 115 and 130 volts, and which can be used to satisfy 
the majority of lighting applications, but does not include any 
lamps specifically designed for--
     * * *
    ``(xiii) swimming pool or other underwater service; * * *
    EISA 2007 eliminated this particular exclusion for general 
service incandescent lamps.
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Grounds for the Petition and Rulemaking
    The application of energy conservation standards to the 120V, 
100 watt R20 short lamp will not result in significant energy 
savings.
    The two known manufacturers of the 120 volt 100 watt, R20 short 
have supplied their 2009 shipment data to NEMA to evaluate the 
percentage of overall incandescent reflector lamps accounted for by 
this particular lamp. This information is set forth in the 
confidential Annex to this petition, and it reveals that these lamps 
are an extremely small portion of incandescent reflector lamp 
shipments. By NEMA's analysis, sales of this lamp represent 
significantly less than 0.10% of 2009 shipments of covered 
incandescent reflector lamps. See attached Confidential Annex.
    Because NEMA's antitrust compliance disclosure rules prohibit 
the disclosure of any information containing the shipment or sales 
data of only one or two reporting companies and NEMA is precluded by 
its policies governing the handling of confidential information from 
disclosing individual company data to anyone, NEMA can only supply 
information on shipments of the 120 volt, 100 watt, R20 short lamp 
to the Department on a confidential basis. NEMA and the two 
manufacturers claim an exemption from disclosure under the Freedom 
of Information Act pursuant to 5 U.S.C. Sec.  552(b)(4), and states 
(1) that this information is held in confidence by NEMA and the two 
manufacturers, (2) the information is of a type customarily held in 
confidence by NEMA and the two manufacturers, (3) the information is 
transmitted to the Department in confidence, (4) the information is 
not available in public sources, (5) the disclosure of this 
information is likely to impair the Department's ability to obtain 
this kind of information in the future, and (6) disclosure is likely 
to cause competitive harm to the two manufacturers. 10 CFR Sec.  
1004.11(f).
    In the 2009 rulemaking for incandescent reflector lamps, DOE 
considered a proposal to extend the upper bound of the covered 
product to 505 watts (from 205 watts) and stated, ``DOE analyzed 
commercially-available product in manufacturer catalogs to assess 
the prevalence of products with wattages greater than 205W. Based on 
this research, DOE believes that IRL with rated wattages greater 
than 205W comprise a very small portion of the market and, 
therefore, do not represent substantial potential energy savings.'' 
74 Fed.Reg. at 34092 (July 14, 2009). NEMA believes that the portion 
of the market represented by the 120V, 100 watt, R20 short is 
smaller than the portion of the market of incandescent reflector 
lamps represented by lamps above 205 watts, and, because of their 
lower wattage, less energy is consumed. Thus, a similar conclusion 
appears to be warranted in the case of these unique spa lamps.
    This type of lamp is designed for special applications or has 
special characteristics not available in reasonably substitutable 
lamp types.
    There are presently no substitute products on the market for 
this application. As noted above, the product is used for a unique 
specification in hot tub spas where space limitations in the design 
of the spa will not permit a luminaire sized for a lamp with a 
normal 4\1/8\'' MOL, and instead requires a ``short'' lamp with an 
MOL of 3\5/8\''. Second, this R20 short lamp was specifically 
designed to meet the underwater illumination requirements of hot tub 
spa manufacturers, including beam spread and lumens.
    Consumers are not likely to substitute this lamp for other types 
of residential covered lamps subject to energy conservation 
standards.
    The price of the replacement 120V, 100 watt, R20 short lamp at 
retail ranges from $10-$20 per lamp. It is relatively expensive 
compared to other types of incandescent reflector lamps used in 
residential applications--more than twice the price. Furthermore, 
since the product is marked on the packaging for pool and spa 
applications, this deters consumers from considering the lamp for 
general lighting applications in the home.
    These lamps are sold through different retail channels than 
other residential covered lamps, and generally not found at stores 
where consumers are shopping for general residential lighting 
applications. Consumers will have to incur greater search costs to 
find this type of lamp, and for those who do find it, they will see 
that it is for pool and spa applications and that it costs 
substantially more.
    If not excluded from coverage under the Energy Policy and 
Conservation Act, it will result in the unavailability of the lamp 
in the United States.
    To the best of NEMA's knowledge and its manufacturers, the 
decision of the two manufacturers of this 120 volt lamp to withdraw 
the product from the market has resulted in its unavailability.
    If there is additional information that NEMA can provide in 
support of this petition, please contact the undersigned at [email protected] or by telephone at (703) 841-3280.

Very truly yours,

Clark R. Silcox
General Counsel

cc: Scott Blake Harris, Esq.
Daniel Cohen, Esq.
Laura Barhydt, Esq.
Kathleen Hogan
Michael McCabe
Roland Risser
Kyle Pitsor, NEMA

CONFIDENTIAL ANNEX \5\
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    \5\ The underscored information provided in blank on this page 
is considered confidential commercial information, and exempt from 
disclosure pursuant to 5 U.S.C. Sec.  552(b)(4). NEMA's antitrust 
compliance disclosure rules prohibit the disclosure of any 
information containing the shipment or sales data of only one or two 
reporting companies and NEMA is precluded by its policies governing 
the handling of confidential information from disclosing individual 
company data to anyone. Accordingly, NEMA can only supply aggregated 
information on shipments of the 120 volt, 100 watt, R20 short lamp 
to the Department on a confidential basis. NEMA and the two 
manufacturers claim an exemption from disclosure under the Freedom 
of Information Act pursuant to 5 U.S.C. Sec.  552(b)(4), and state 
(1) that this information is held in confidence by NEMA and the two 
manufacturers, (2) the information is of a type customarily held in 
confidence by NEMA and the two manufacturers, (3) the information is 
transmitted to the Department in confidence, (4) the information is 
not available in public sources, (5) the disclosure of this 
information is likely to impair the Department's ability to obtain 
this kind of information in the future, and (6) disclosure is likely 
to cause competitive harm to the two manufacturers. 10 C.F.R. Sec.  
1004.11(f).
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    Total Reported 2009 shipments = ------ units
    In the Technical Support Document (TSD) that accompanied the 
DOE's Final Rule on incandescent reflector lamps, the DOE estimated 
2005 shipments of ``covered'' incandescent reflector lamp shipments 
for the US market at 181 million units. TSD, Chapter 10 at 10-34. 
While NEMA does not regularly collect shipment data for incandescent 
reflector lamps that matches this classification, NEMA shipment data 
for the year 2009 indicates that annual incandescent reflector lamp 
shipments have fallen significantly since 2005. Still, the NEMA data 
leads NEMA to believe that the 2009 shipments of ``covered'' 
incandescent reflector lamps remained above 100 million units.
    Based on a range from a maximum 181 million units to a minimum 
of 100 million units of covered incandescent reflector lamp product, 
the 2009 shipments of the 120 volt, 100 watt R20 short lamp 
represent ---- % to ---- % of covered incandescent reflector lamps.

[FR Doc. 2010-32259 Filed 12-22-10; 8:45 am]
BILLING CODE 6450-01-P