[Federal Register Volume 76, Number 174 (Thursday, September 8, 2011)]
[Proposed Rules]
[Pages 55609-55614]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-22813]


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DEPARTMENT OF ENERGY

10 CFR Part 430

[Docket No. EERE-2010-BT-PET-0047]
RIN 1904-AC57


Energy Conservation Program for Consumer Products: Request for 
Exclusion of 120 Volt, 100 Watt R20 Short Incandescent Reflector Lamp 
for Spa Applications From Energy Conservation Standards

AGENCY: Office of Energy Efficiency and Renewable Energy, Department of 
Energy (DOE).

ACTION: Request for information and notice of granting of petition for 
rulemaking.

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SUMMARY: The Department of Energy received a petition from the National 
Electrical Manufacturers Association requesting the initiation of a 
rulemaking to exclude from coverage under Energy Policy and 
Conservation Act standards 120 volt, 100 watt, R20 short (having a 
maximum overall length of 3\5/8\ or 3.625 inches) incandescent 
reflector lamps marketed for use in hot tub spas. DOE published this 
petition and a request for comments in the Federal Register on December 
23, 2010. Based upon its evaluation of the petition and careful 
consideration of the public comments, DOE has decided to grant this 
petition for rulemaking. DOE seeks comments that will inform its 
rulemaking to determine whether 120 volt, 100 watt, R20 short 
incandescent reflector lamps should be excluded from energy 
conservation standards.

DATES: Written comments on this document and information requested must 
be submitted on or before October 11, 2011.

ADDRESSES: Any comments submitted must identify the Request for 
Information (RFI) for Spa Lamps and provide Docket Number EERE-2010-BT-
PET-0047 and/or Regulatory Information Number (RIN) 1904-AC57. Comments 
may be submitted using any of the following methods:
    (1) Federal eRulemaking Portal: http://www.regulations.gov. Follow 
the instructions for submitting comments.
    (2) E-mail: [email protected]. Include 
docket number EERE-2010-BT-PET-0047 and/or RIN 1904-AC57 in the subject 
line of the message.
    (3) Postal Mail: Ms. Brenda Edwards, U.S. Department of Energy, 
Building Technologies Program, Mailstop EE-2J, 1000 Independence 
Avenue, SW., Washington, DC 20585-0121. If possible, please submit all 
items on a compact disc (CD), in which case it is not necessary to 
include printed copies.
    (4) Hand Delivery/Courier: Ms. Brenda Edwards, U.S. Department of 
Energy, Building Technologies Program, 950 L'Enfant Plaza, SW., Suite 
600, Washington, DC 20024. Telephone: (202) 586-2945. If possible, 
please submit all items on a CD, in which case it is not necessary to 
include printed copies.
    No telefacsimilies (faxes) will be accepted.
    Docket: For access to the docket to read background documents, or 
comments received, go to the Federal eRulemaking Portal at http://www.regulations.gov. All documents in the docket are listed in the 
http://www.regulations.gov index. However, not all documents listed in 
the index may be publicly available, such as information that is exempt 
from public disclosure.
    A link to the docket Web page on the http://www.regulations.gov 
site can be found at: http://www1.eere.energy.gov/buildings/appliance_standards/

[[Page 55610]]

residential/incandescent--lamps.html. The http://www.regulations.gov 
Web page contains simple instructions on how to access all documents, 
including public comments, in the docket.
    For further information on how to submit a comment or review other 
public comments and the docket, please contact Ms. Brenda Edwards at 
(202) 586-2945 or e-mail: [email protected].

FOR FURTHER INFORMATION CONTACT: Dr. Tina Kaarsberg PhD, U.S. 
Department of Energy, Office of Energy Efficiency and Renewable Energy, 
Building Technologies Program, EE-2J, 1000 Independence Avenue, SW., 
Washington, DC 20585-0121. Telephone: (202) 287-1393. E-mail: 
[email protected].
    Mr. Eric Stas, U.S. Department of Energy, Office of the General 
Counsel, GC-71, 1000 Independence Avenue, SW., Washington, DC 20585-
0121. Telephone: (202) 586-9507. E-mail: [email protected].
    For information on how to submit or review public comments, contact 
Ms. Brenda Edwards, U.S. Department of Energy, Office of Energy 
Efficiency and Renewable Energy, Building Technologies Program, EE-2J, 
1000 Independence Avenue, SW., Washington, DC 20585-0121. Telephone: 
(202) 586-2945. E-mail: [email protected].

SUPPLEMENTARY INFORMATION:

Table of Contents

I. Background
II. Authority to Grant Exclusion
III. Evaluation of Stay of Enforcement
IV. Conclusion
V. Rulemaking Overview
    A. Purpose of the Rulemaking
    B. Significance of Energy Savings of R20 Short Lamp Standards
    C. Special Utility of R20 Short Lamps and Unavailability of 
Substitutes
    D. Request for Information

I. 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, the National Electrical Manufacturers Association (NEMA) has 
petitioned the Department of Energy (DOE) for rulemaking to exclude 
from coverage a type of incandescent reflector lamp (IRL) from energy 
conservation standards under the Energy Policy and Conservation Act 
(EPCA; 42 U.S.C. 6291 et seq.). Specifically, NEMA seeks an exemption 
for 120 volt (V), 100 watt (W), R20 \1\ short (having a maximum overall 
length (MOL) of 3\5/8\ inches) lamps (hereafter referred to as ``R20 
short lamps'') marketed for use in hot tub spas. These lamps are sold 
in jurisdictions that allow pools and spas to be supplied with 120V 
electricity.
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    \1\ ``R'' denotes a reflector lamp type, and ``20'' denotes 
diameter in \1/8\ inch increments, which translates to 2.5 inches.
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    Amendments to EPCA in the Energy Independence and Security Act of 
2007 (EISA 2007), Public Law 110-140, expanded EPCA's definition of 
``incandescent reflector lamp'' to include lamps with a diameter 
between 2.25 and 2.75 inches (R18-R22).\2\ (42 U.S.C. 6291(30)(C)(ii)) 
This addition made R20 lamps (having a diameter of 20/8, or 2.25, 
inches) covered products subject to EPCA's standards for IRLs. As 
explained in NEMA's petition, based upon this change to the definition, 
statutory standards went into effect for R20 lamps on June 15, 2008, 
the date 180 days after the date of enactment of EISA 2007. (42 U.S.C. 
6295(i)(1)(D)(ii)) However, noncompliant R20 short lamps remained on 
the market until September 2010, because the two manufacturers of these 
lamps mistakenly believed the lamps were excluded from coverage. The 
manufacturers had relied upon the Federal Trade Commission's (FTC) 
labeling rule, 16 CFR part 305, which continues to publish the previous 
lamp definitions from the Energy Policy Act of 1992 (EPACT 1992), 
Public Law 102-486, amendments of EPCA. As written, the FTC labeling 
regulations treat IRLs as general service incandescent lamps (GSILs), 
and erroneously continued to define GSILs as not including those lamps 
specifically designed for ``[s]wimming pool or other underwater 
service.'' 16 CFR 305.3(m)(3). This exclusion was eliminated from EPCA 
by section 321 of EISA 2007.\3\ Upon realization that FTC definitions 
were incorrect and the R20 short lamps were subject to energy 
conservation standards, the manufacturers removed the product from the 
market, and, in November 2010, NEMA submitted the petition that is the 
subject of this notice. DOE published the petition for rulemaking in 
the Federal Register on December 23, 2010 and requested public comment. 
75 FR 80731.
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    \2\ Prior to the enactment of EISA 2007, this definition applied 
to lamps with a diameter which exceeds 2.75 inches. EISA 2007 
modified this definition to make it applicable to IRL with a 
diameter which exceeds 2.25 inches.
    \3\ The FTC published a final rule in the Federal Register on 
July 19, 2010, which updated its regulations regarding its 
definition of GSIL to reflect the definitional changes provided in 
EISA 2007. 75 FR 41696, 41713-14. These changes are effective July 
19, 2011, at which time the amendments will be reflected in the Code 
of Federal Regulations.
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    In this petition, NEMA asked both for a rulemaking to exclude R20 
short lamps from coverage of energy conservation standards, and for a 
stay of enforcement pending that rulemaking. As grounds for the 
petition, NEMA stated that R20 short lamps qualify for an exemption 
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 do not result in 
significant energy savings and that the lamp is designed for special 
applications or has special characteristics not available in substitute 
lamp types. Specifically, as the lamp has a particular MOL and was 
specially designed to meet underwater illumination requirements of hot 
tub manufacturers (including designated beam spread and lumen output), 
there are no substitute products on the market for this application. 75 
FR 80731, 80732 (Dec. 23, 2010).
    Additionally, NEMA asserted that having energy conservation 
standards for this unique 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 R20 short lamp manufacturers to withdraw the 
product from the market has already resulted in its current 
unavailability. 75 FR 80731, 80732-33 (Dec. 23, 2010)
    As noted above, DOE subsequently published a notice in the Federal 
Register on December 23, 2010 containing the petition and requesting 
public comment. 75 FR 80731. DOE received several comments from 
manufacturers, utilities, and environmental and energy efficiency 
organizations.\4\ Specifically, DOE received comments from Pentair 
Water Pool and Spa, Inc. (Pentair) and Northwest Energy Efficiency 
Alliance (NEEA). It also received a joint comment from Pacific Gas and 
Electric Company (PG&E), Southern California Edison (SCE), Southern 
California Gas Company (SCGC), and San Diego Gas and Electric (SDG&E) 
(hereafter ``California Investor-Owned Utilities''

[[Page 55611]]

(CA IOUs)). Natural Resources Defense Council (NRDC), the Appliance 
Standard Awareness Project (ASAP), the American Council for an Energy-
Efficient Economy (ACEEE), Earthjustice, and the National Consumer Law 
Center (NCLC) (hereafter ``Energy Efficiency Organizations'') also 
provided joint comments. The following discussion summarizes and 
responds to comments on the NEMA petition.
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    \4\ NEMA's petition and associated comments can be found under 
Docket No. EERE-2010-BT-PET-0047.
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II. Authority To Grant Exclusion

    In response to the notice of NEMA's petition, several stakeholders 
commented on DOE's authority to exempt R20 short lamps under 42 U.S.C. 
6291(30)(E).
    In its petition, NEMA asserted that DOE has the authority to exempt 
lamps that meet the criteria set forth in 42 U.S.C. 6291(30)(E). In 
January 2011, NEMA submitted comments supplementing its original 
petition. To bolster its argument, in its supplementary statements, 
NEMA cited 42 U.S.C. 6295(i)(1)(D), which authorizes the Secretary to 
exempt a general service lamp from standards in the event that 
application of the standard would prevent the fulfillment of a 
specialized application and when the lamp is unlikely to be used in a 
general service lighting application. While R20 short lamps are not 
classified as general service lamps, NEMA pointed to 42 U.S.C. 
6295(i)(1)(D) as further evidence of Congress's intent to provide a 
regulatory pathway for excluding lamps that serve special applications. 
(NEMA, No. 2.1 at p. 2) \5\
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    \5\ A notation in the form ``NEMA, No. 2.1 at p. 2'' 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 NEMA; (2) in document number 2.1 of the 
docket, and (3) on page 2 of that document.
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    Both the CA IOUs and Energy Efficiency Organizations argued that 
exclusion under 42 U.S.C. 6291(30)(E) is no longer possible because the 
compliance date has already passed for these standards. The CA IOUs and 
Energy Efficiency Organizations commented that 42 U.S.C. 6291(30)(E) 
permits the exemption of lamps for which standards ``would not result 
in significant energy savings,'' and contended the conditional phrasing 
``would not result,'' as opposed to the present tense wording ``are not 
resulting,'' means the section only applies to standards not yet in 
effect. (CA IOUs, No. 3.1 at p. 1; Energy Efficiency Organizations, No. 
4.1 at p. 1-2)
    Energy Efficiency Organizations further stated that they interpret 
42 U.S.C. 6291(30)(E) as facilitating the process of determining 
coverage rather than retroactively excluding products from coverage. 
Moreover, the commenters argued that interpreting exclusion as a 
process occurring after standards go into effect would erode energy 
savings by allowing manufacturers to continually exempt products and 
chip away at the covered lamp market. The Energy Efficiency 
Organizations stated that while standards for any one lamp may generate 
marginal savings, standards for IRLs as a whole represent considerable 
energy savings. (Energy Efficiency Organizations, No. 4.1 at p. 2-3)
    DOE does not believe the plain language of EPCA under 42 U.S.C. 
6291(30)(E) compels an interpretation that the section only applies to 
standards before their compliance date. DOE finds this reading would 
prevent application of 42 U.S.C. 6291(30)(E). Under 42 U.S.C. 
6295(o)(3), DOE is already barred from adopting standards for any 
product class for which the standards would not result in significant 
conservation of energy. Therefore, if interpreted to apply to products 
for which standards are not yet in effect, 42 U.S.C. 6291(30)(E) would 
be rendered redundant and superfluous, as both it and 42 U.S.C. 
6295(o)(3) evaluate possible significant energy savings from future 
standards. Instead, DOE has concluded that 42 U.S.C. 6291(30)(E) 
contains no time bar in terms of DOE taking a rulemaking action to 
address any lamp for which standards would not result in significant 
energy savings as it is designed for special applications or has 
special characteristics not available in substitute lamp types. Given 
the broad and growing coverage of DOE's energy conservation standards 
for lamps, DOE believes that Congress intended 42 U.S.C. 6291(30)(E) to 
provide a mechanism to address both those lamps inadvertently covered 
by preexisting standards, as well as new lamps subsequently developed 
to which standards would otherwise apply.
    The CA IOUs and the Energy Efficiency Organizations also argued 
that DOE does not have the authority to exempt R20 short lamps because 
of the statute's anti-backsliding provision, which prohibits DOE from 
prescribing amended standards that increase the maximum allowable 
energy use or decrease the minimum required energy efficiency, of a 
covered product. (42 U.S.C. 6295(o)(1)) The CA IOUs and the Energy 
Efficiency Organizations stated that applying an exemption to R20 short 
lamps would violate EPCA by decreasing the required energy efficiency 
of a currently covered product. (CA IOUs, No. 3.1 at p. 1; Energy 
Efficiency Organizations, No. 4.1 at p. 2) The Energy Efficiency 
Organizations added that the precedent set by NRDC v. Abraham (355 F.3d 
179, 196 (2d Cir. 2004)) means that ``section 325(o)(1) must be read to 
restrict DOE's subsequent discretionary ability to weaken that standard 
at any point thereafter.'' (Energy Efficiency Organizations, No. 4.1 at 
p. 2)
    NEMA countered that the anti-backsliding provision does not 
preclude excluding lamps from an existing standard because: (1) 42 
U.S.C. 6291(30)(E) would be rendered superfluous if the anti-
backsliding provision were to preclude DOE from considering a petition; 
and (2) a determination would have already been made that the exempted 
lamp would not produce significant energy savings if subjected to 
standards, thereby meeting the criteria that the exclusion would not 
increase allowable energy use. (NEMA, No. 2.1 at p. 2-3)
    After careful review of the relevant statutory provisions and these 
comments, DOE has concluded that Congress intended 42 U.S.C. 
6291(30)(E) to provide a mechanism for granting relief from current and 
future lamp standards. In reaching this conclusion, DOE notes that it 
is possible to read 42 U.S.C. 6291(30)(E) and 42 U.S.C. 6295(o)(1) in 
harmony so as to give effect to both provisions. DOE would not be 
changing the level of the existing energy conservation standard, and 
for those units that would now be excluded from the definition of 
``incandescent lamp,'' there would first have to be a determination 
that the standard would not result in a significant energy savings for 
those lamps. Rather than DOE exercising discretion to weaken energy 
conservation standards in violation of the anti-backsliding provision, 
DOE is giving effect to an express statutory provision under precisely 
the situation for which Congress provided a mechanism for resolution.
    DOE also received comments from CA IOUs and Energy Efficiency 
Organizations that R20 short lamp noncompliance would be better 
addressed through the Requests for Adjustments provision (Section 504 
of the Department of Energy Organization Act, Pub. L. 95-91; codified 
at 42 U.S.C. 7194). The Requests for Adjustments provision (also known 
as ``exception relief'') allows a manufacturer to submit a hardship 
waiver to DOE's Office of Hearings and Appeals (OHA). OHA has a process 
to handle claims of ``hardship, inequity, or unfair distribution of 
burdens'' by making adjustments to regulations. Id. Specifically, the 
CA IOUs and the Energy Efficiency

[[Page 55612]]

Organizations claim this process is better for the R20 short lamp 
situation because: (1) DOE can grant exceptions to certain 
manufacturers rather than a general exemption to the product; (2) DOE 
can grant exceptions for a certain period of time appropriate to the 
manufacturers' needs; and (3) DOE can avoid using its time and 
resources to carry out an additional rulemaking. (CA IOUs, No. 3.1 at 
p. 3; Energy Efficiency Organizations, No. 4.1 at p. 1, 4) NEEA further 
contended that filing a hardship petition with OHA would provide more 
appropriate relief for the manufacturer, but given that the OHA process 
allows a more specific remedy, NEEA argued that a blanket product 
exemption would be highly inappropriate. (NEEA, No. 5.1 at p. 1-2) In 
response, DOE has determined that this situation is not specific to a 
single manufacturer, but rather, it applies to an entire product type. 
Accordingly, OHA exception relief would not be an appropriate remedy 
for R20 short lamps, because exception relief cannot be used to alter a 
standard level across the board, even where it has been belatedly 
demonstrated that another level might be more appropriate. In such 
case, exception relief to specific manufacturers could preclude others 
from entering this market and ultimately reduce competition. 
Furthermore, OHA's authority to grant exception relief does not apply 
to energy conservation standards set by statute, but instead, it only 
applies to standards set pursuant to DOE's regulatory authority. The 
Secretary is legally required to implement the laws as enacted, so if 
the Secretary lacks authority to waive statutory requirements, the 
Secretary cannot delegate a greater power to OHA in terms of granting 
exception relief.
    After reviewing NEMA's petition and responses to the petition, DOE 
has concluded that 42 U.S.C. 6291(30)(E) applies to products for which 
standards for fluorescent lamps and incandescent lamps are already in 
effect and that it grants DOE the authority to exclude by rule certain 
IRLs from coverage if they met the necessary statutory criteria for 
exclusion. Therefore, DOE has determined that the exemption of R20 
short lamps must be evaluated based on energy savings and lamp 
application rather than through a petition for exception relief based 
upon hardship. For these reasons, DOE grants NEMA's petition to 
initiate a rulemaking to consider exclusion of R20 short lamps pursuant 
to 42 U.S.C. 6291(30)(E).

III. Evaluation of Stay of Enforcement

    In its petition, NEMA also requested a stay of enforcement of 
standards for R20 short lamps pending the outcome of this rulemaking. 
Pentair, a manufacturer of spas, commented that its supplier has 
stopped supplying R20 short lamps in order to comply with the energy 
conservation standards, and the commenter warned that this supply 
stoppage will create significant hardship for both Pentair and its 
customers because there is no substitute for this lamp. (NEMA, No. 2.1 
at p. 1) \6\ Further, Pentair stated that Underwriters Laboratories 
specifies the use of R20 short lamps in luminaires for numerous spa 
products. Pentair asserted that without an equivalent replacement, its 
customers would be forced to replace the entire fixture in order to 
continue meeting local building codes that require certain wattage per 
square foot to ensure adequate and safe lighting levels. (NEMA, No. 2.1 
at p. 1)
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    \6\ The page number refers to the letter from Pentair included 
in NEMA's comment.
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    NEMA also warned that failure to exclude R20 short lamps will lead 
to their unavailability in the United States. 75 FR 80731, 80733 (Dec. 
23, 2010). NEMA stated that such unavailability presents a potential 
marketplace problem for the public, pool and spa builders, and 
consumers, as they do not have any available substitutes. Further, 
Pentair noted that it had orders in excess of its inventory, a problem 
that would become worse with time. (NEMA, No. 2.1 at p. 3)
    DOE has decided that given the confusion in the industry and harm 
likely to result in the interim, while this rulemaking is pending, DOE 
will not pursue enforcement action against manufacturers producing and/
or selling R20 short lamps that do not comply with prescribed 
standards.

IV. Conclusion

    After reviewing NEMA's petition and comments on the petition, DOE 
has concluded it has the legal authority to grant exclusions for IRLs 
under 42 U.S.C. 6291(30)(E). DOE will conduct a rulemaking to consider 
excluding R20 short lamps from coverage under energy conservation 
standards pursuant to the requirements specified in 42 U.S.C. 
6291(30)(E) and has granted a stay of enforcement pending the outcome 
of the rulemaking. Accordingly, while this rulemaking is pending, DOE 
will not pursue enforcement action against manufacturers producing and/
or selling R20 short lamps that do not comply with prescribed 
standards.

V. Rulemaking Overview

A. Purpose of the Rulemaking

    DOE will undertake a rulemaking to consider exclusion from coverage 
under energy conservation for R20 short lamps pursuant to the 
requirements of 42 U.S.C. 6291(30)(E). Under this section, in order to 
exclude a fluorescent or incandescent lamp, the Secretary must make the 
determination, by rule, that standards for the 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.'' Id. In its petition, NEMA asserted that a 
rulemaking to consider exclusion of R20 short lamps from standards 
coverage will conclude: (1) That energy conservation standards for this 
unique type of lamp will not result in significant energy savings; and 
(2) this type of lamp is designed for special applications or has 
special characteristics not available in reasonably substitutable lamp 
types.
    Therefore, in the rulemaking, DOE will evaluate the market impact 
of excluding R20 short lamps from coverage, including the direct loss 
in energy savings, as well as the potential for migration of the lamps 
to other markets and the associated impacts on energy savings. DOE will 
also determine whether R20 short lamps truly have unique 
characteristics not available in reasonably substitutable lamp types. 
DOE will conduct a market and technology analysis to identify options 
that meet requirements of spa applications, including technologies to 
make R20 short lamps more energy efficient, as well as the availability 
of standard-compliant substitute lamps.
    DOE will consult the relevant interested parties in the rulemaking 
process including manufacturers (both of lamps and of spas), consumers, 
energy conservation and environmental advocates, and any other 
interested members of the public. The rulemaking will address the 
comments DOE has already received or subsequently receives regarding 
whether or not R20 short lamps meet the statutory criteria for 
exclusion.

B. Significance of Energy Savings of R20 Short Lamp Standards

    In the rulemaking, DOE will determine whether or not energy 
conservation standards for R20 short lamps result in significant energy 
savings. Energy Efficiency Organizations have commented that an 
exclusion under 42 U.S.C. 6291(30)(E) can only be granted if the 
standards would not

[[Page 55613]]

result in significant energy savings either because the lamp is 
designed for special application or has special characteristics not 
available in reasonably substitutable lamp types. Subsequently, the 
Energy Efficiency Organizations contend that in its petition, NEMA does 
not make the case that it is the unique features of R20 short lamps and 
the unavailability of substitutes that will prevent the standards from 
generating significant energy savings. Instead, they contend that NEMA 
relies solely on the uniqueness of the 100W R20 short lamp as a basis 
for exclusion under 42 U.S.C. 6291(30)(E). (Energy Efficiency 
Organizations, No. 4.1 at p. 4)
    In response, DOE does not believe that 42 U.S.C. 6291(30)(E) 
requires a lamp's lack of significant energy savings potential to be 
directly attributable to the special application or special 
characteristic itself. Instead, DOE believes that a more reasonable 
interpretation would also account for the fact that the lamps' use in 
special applications and special characteristics not available in 
substitute lamps may result in very low shipment volumes, which in turn 
may lead to a determination that significant energy savings would not 
result from application of energy conservation standards to such lamps.
    In its petition, NEMA contended that due to the low market share 
and lower wattage of R20 short lamps, energy conservation standards 
will not result in significant energy savings. NEMA determined that 
sales of R20 short lamps represented significantly less than 0.1 
percent of 2009 shipments of IRL covered by energy conservation 
standards. The petitioner noted that in the 2009 rulemaking for IRL 
standards, DOE determined that due to low market share, IRLs with rated 
wattages greater than 205 watts would not represent substantial 
potential energy savings and should, therefore, not be covered by 
standards. 75 FR 80731, 80733 (Dec. 23, 2010). Because the R20 short 
lamp market is even smaller, NEMA reasoned that these lamps similarly 
would not have a significant energy savings potential.
    The CA IOUs disagreed with NEMA, stating that exempting R20 short 
lamps would put significant energy savings at risk, because the lamp 
has the potential to be used in other applications. (CA IOUs, No. 3.1 
at p. 2) NEMA contended that market migration of unregulated R20 short 
lamps is improbable and that consumers would be unlikely to substitute 
unregulated R20 short lamps for other types of regulated residential 
lamps, arguing that R20 short lamps are: (1) Relatively expensive ($10-
20) compared to other types of IRL used in residential applications; 
(2) marked for pool and spa applications, thereby deterring purchases 
for general lighting use; and (3) generally not found in stores where 
other lighting products for general residential applications are sold. 
75 FR 80731, 80733 (Dec. 23, 2010).
    However, the CA IOUs found that there were R20 short lamp types 
starting from $7.88, which is not much higher than the typical $5-9 
price range of small diameter reflector lamps. (CA IOUs, No. 3.1 at p. 
2) The CA IOUs also pointed out that the maximum overall length (MOL) 
of 3\5/8\ inches is not unique to R20 short lamps, as there are many 
small diameter reflector lamps and some larger diameter reflector lamps 
(PAR30) that have an MOL of less than or equal to 3\5/8\ inches. 
Therefore, the commenters argued that the MOL of R20 short lamps does 
not prevent it from being used in other fixtures. Additionally, the 
commenters argued that reflector lamps with larger MOLs can be 
substituted for short lamps. (CA IOUs, No. 3.1 at p. 2) The Energy 
Efficiency Organizations raised similar points about prices and MOL and 
added that other distinctive features of R20 short lamps, such as the 
wide beam spread or heat shields, would not prevent their use in 
applications that did not require these features. (Energy Efficiency 
Organizations, No. 4.1 at p. 3) The CA IOUs also commented that if 
production of the lamps were to increase, manufacturers could achieve 
economies of scale, which would bring down the price and further 
increase the chances that the R20 short lamps could serve as 
substitutes for other lamps covered by standards. (CA IOUs, No. 3.1 at 
p. 2)
    NEEA also agreed with the CA IOUs' assessment of the potential for 
unregulated R20 short lamps to migrate to other markets and create a 
loophole in energy conservation standards. NEEA and the Energy 
Efficiency Organizations both argued that a similar situation occurred 
when bulged reflector (BR) lamps were excluded from EPACT 1992's IRL 
standards and subsequently went from being a relatively unknown product 
to comprising more than 40 percent of the market. (NEEA, 5.1 at p. 2-3)
    DOE requests comments on the potential for unregulated R20 short 
lamps to be used as substitutes for other lamps covered by energy 
conservation standards. Specifically, DOE requests further information 
on whether or not the distinctive features, pricing, and spa-specific 
labeling and marketing of R20 short lamps would provide a sufficient 
deterrent to their use in other applications.

C. Special Utility of R20 Short Lamps and Unavailability of Substitutes

    In the rulemaking, DOE will consider whether the R20 short lamp is 
designed for special applications or has special characteristics not 
available in reasonably substitutable lamp types. NEMA asserted that 
R20 short lamps are used for a unique specification in hot tub spas and 
that there are currently no substitute products on the market for this 
application. 75 FR 80731, 80733 (Dec. 23, 2010). Pentair, a spa 
manufacturer, agreed, noting that its underwater spa lights are often 
used in public pools and spas regulated by local building codes that 
specify a wattage-per-square-foot-of-water-surface-area ratio to ensure 
adequate and safe lighting levels. Pentair asserted that there is no 
reflector type lamp with a medium base socket and required equivalent 
wattage that can be substituted for existing installations of the 
effected model of lighting for Pentair spas. (NEMA, No. 2.1 at p. 1) 
\7\ DOE requests comments on the availability of substitute lamps that 
would meet both energy conservation standards and relevant spa 
application requirements.
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    \7\ The page number refers to the letter from Pentair included 
in NEMA's comment.
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    In its petition, NEMA also indicated that it may not be possible to 
make R20 short lamps compliant with standards. NEMA noted that limited 
fixture space in hot tub spas requires a ``short'' lamp with a MOL of 
3\5/8\ inches. However, the lamp must also have a wide beam spread to 
provide diffuse illumination. Further, the lamps must have a heat 
shield to protect against high temperatures damaging the cement that 
joins the base of the lamp to the glass envelope. 75 FR 80731, 80732 
(Dec. 23, 2010). Current energy conservation standards for a 100W IRL 
require a minimum average lamp efficacy of 14 lumens per watt, while 
R20 short lamps produce 9 or 10 lumens per watt. NEMA stated that it is 
not possible to increase the lumen output without increasing the MOL, 
because a more-efficient filament would operate at a higher temperature 
which could cause the lamp to burst. NEMA further stated in its 
petition that a hotter-burning lamp in an underwater fixture could lead 
to other potential safety hazards. Additionally, a more-efficient 
filament could considerably shorten lamp life, which would be 
unacceptable in spa applications. Id.
    However, the CA IOUs challenged NEMA's assertion that size and 
thermal constraints render it impossible to make

[[Page 55614]]

R20 short lamps more efficient while also meeting spa application 
requirements. The CA IOUs contended that despite size and thermal 
limitations, there are commercially-available small diameter lamps that 
have high efficiency, long life, and wide beam spreads. Further, the CA 
IOUs noted that these lamps use single-ended and double-ended halogen 
burners that improve energy efficiency while still meeting size 
requirements of spa lamps and providing sufficient lumens. (CA IOUs, 
No. 3.1 at p. 3) The CA IOUs cited examples such as: (1) The Philips 
40W Halogena Energy Saver, an R20 halogen lamp with a double-ended 
halogen burner, lamp life of 3,000 hours, 540 lumen output and wide 
(flood) beam spread; and (2) the Philips 70W Halogena Energy Saver with 
double-ended burner, lamp life of 3,000 hours, and 1600 lumen output. 
(CA IOUs, No. 3.1 at p. 2-3) The Energy Efficiency Organizations also 
cite the same examples. (Energy Efficiency Organizations, No. 4.1 at p. 
3) The CA IOUs also gave the example of a PAR20 \8\ lamp, which 
typically does not have MOLs exceeding 3\5/8\ inches, and does have a 
lamp life of 3,000 hours, a wide variety of beam spreads, and the 
ability to accommodate single-ended halogen burners that would improve 
efficiency. (CA IOUs, No. 3.1 at p. 2) NEEA concurred with the CA IOUs 
on this matter. (NEEA, 5.1 at p. 2) DOE requests comments on the 
technical feasibility of making R20 short lamps compliant with the 
energy conservation standards and also meeting relevant spa application 
requirements. In particular, DOE requests any technical data indicating 
that high temperatures would damage the cement that joins the base of 
the lamp to the glass envelope and/or the feasibility of increasing the 
lumen output without increasing the MOL using a more-efficient 
filament. DOE also requests comment on whether other technologies such 
as compact fluorescent lamp (CFL) or light-emitting diode (LED) could 
meet spa application requirements.
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    \8\ ``PAR'' denotes parabolic aluminized reflector lamp type, 
and ``20'' is the diameter in \1/8\ inches increments, which 
translates to 2.5 inches.
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D. Request for Information

    Although, DOE welcomes comments on all aspects of this rulemaking, 
DOE is particularly interested in receiving comments, information, and 
recommendations on the following issues for the purpose of determining 
whether R20 short lamps meet the statutory criteria for exclusion from 
coverage set forth under 42 U.S.C. 6291(30)(E):
    1. DOE seeks comments on the potential for unregulated R20 short 
lamps to be used as substitutes for other lamps covered by energy 
conservation standards.
    2. DOE seeks comments on whether or not the distinctive features, 
pricing, and spa-specific labeling and marketing of R20 short lamps 
provide a sufficient deterrent to their use in other applications;
    3. DOE requests further information on the availability of 
substitute lamps that would meet both energy conservation standards and 
relevant spa application requirements, particularly whether CFLs or 
LEDs could serve as substitutes; and
    4. DOE requests further information on the technical feasibility of 
making R20 short lamps compliant with the prescribed energy 
conservation standards and also meeting relevant spa application 
requirements. In particular, DOE is interested in any technical data 
indicating that high temperatures would damage the cement that joins 
the base of the lamp to the glass envelope and/or the feasibility of 
increasing the lumen output without increasing the MOL using a more-
efficient filament.

    Issued in Washington, DC, on August 30, 2011.
Kathleen Hogan,
Deputy Assistant Secretary for Energy Efficiency, Office of Technology 
Development, Energy Efficiency and Renewable Energy.
[FR Doc. 2011-22813 Filed 9-7-11; 8:45 am]
BILLING CODE 6450-01-P