[Federal Register Volume 81, Number 67 (Thursday, April 7, 2016)]
[Proposed Rules]
[Pages 20261-20264]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-07873]


 ========================================================================
 Proposed Rules
                                                 Federal Register
 ________________________________________________________________________
 
 This section of the FEDERAL REGISTER contains notices to the public of 
 the proposed issuance of rules and regulations. The purpose of these 
 notices is to give interested persons an opportunity to participate in 
 the rule making prior to the adoption of the final rules.
 
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 

  Federal Register / Vol. 81, No. 67 / Thursday, April 7, 2016 / 
Proposed Rules  

[[Page 20261]]



DEPARTMENT OF ENERGY

10 CFR Part 430

[Docket No. EERE-2011-BT-NOA-0013]


Energy Conservation Program: Data Collection and Comparison With 
Forecasted Unit Sales of Five Lamp Types

AGENCY: Office of Energy Efficiency and Renewable Energy, Department of 
Energy.

ACTION: Notice of data availability.

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SUMMARY: The U.S. Department of Energy (DOE) is informing the public of 
its collection of shipment data and creation of spreadsheet models to 
provide comparisons between actual and benchmark estimate unit sales of 
five lamp types (i.e., rough service lamps, vibration service lamps, 3-
way incandescent lamps, 2,601-3,300 lumen general service incandescent 
lamps, and shatter-resistant lamps) that are currently not subject to 
energy conservation standards. As the actual sales are not greater than 
200 percent of the forecasted estimate for 2015 (i.e., the threshold 
triggering a rulemaking for an energy conservation standard) for rough 
service lamps, 3-way incandescent lamps, 2,601-3,300 lumen general 
service incandescent lamps, and shatter-resistant lamps, DOE has 
determined that no regulatory action pertaining to such lamps is 
necessary at this time. However, DOE will continue to track sales data 
for these exempted lamps. As discussed in the results under section IV 
of this document, the actual unit sales for vibration service lamps are 
272.5 percent of the benchmark unit sales estimate. Therefore, an 
accelerated energy conservation standard rulemaking for vibration 
service lamps must be completed by December 31, 2016. Relating to this 
activity, DOE has prepared, and is making available on its Web site, a 
spreadsheet showing the comparisons of anticipated versus actual sales, 
as well as the model used to generate the original sales estimates.

DATES: DOE has determined that an accelerated energy conservation 
standard rulemaking for vibration service lamps must be completed by 
December 31, 2016.

ADDRESSES: The spreadsheet is available online at: https://www1.eere.energy.gov/buildings/appliance_standards/standards.aspx?productid=16.

FOR FURTHER INFORMATION CONTACT: Ms. Lucy deButts, U.S. Department of 
Energy, Office of Energy Efficiency and Renewable Energy, Building 
Technologies, EE-5B, 1000 Independence Avenue SW., Washington, DC 
20585-0121. Telephone: (202) 287-1604. Email: 
[email protected].
    Mr. Peter Cochran, U.S. Department of Energy, Office of the General 
Counsel, GC-33, 1000 Independence Avenue SW., Washington, DC 20585-
0121. Telephone: (202) 586-9496. Email: [email protected].

SUPPLEMENTARY INFORMATION: 

Table of Contents

I. Background
II. Definitions
    A. Rough Service Lamps
    B. Vibration Service Lamps
    C. Three-Way Incandescent Lamps
    D. 2,601-3,300 Lumen General Service Incandescent Lamps
    E. Shatter-Resistant Lamps
III. Comparison Methodology
IV. Comparison Results
    A. Rough Service Lamps
    B. Vibration Service Lamps
    C. Three-Way Incandescent Lamps
    D. 2,601-3,300 Lumen General Service Incandescent Lamps
    E. Shatter-Resistant Lamps
V. Conclusion
VI. Review Under the National Environmental Policy Act of 1969

I. Background

    The Energy Independence and Security Act of 2007 (EISA 2007; Pub. 
L. 110-140) was enacted on December 19, 2007. Among the requirements of 
subtitle B (Lighting Energy Efficiency) of title III of EISA 2007 were 
provisions directing DOE to collect, analyze, and monitor unit sales of 
five lamp types (i.e., rough service lamps, vibration service lamps, 3-
way incandescent lamps, 2,601-3,300 lumen general service incandescent 
lamps, and shatter-resistant lamps). In relevant part, section 
321(a)(3)(B) of EISA 2007 amended section 325(l) of the Energy Policy 
and Conservation Act of 1975 (EPCA) by adding paragraph (4)(B), which 
generally directs DOE, in consultation with the National Electrical 
Manufacturers Association (NEMA), to: (1) Collect unit sales data for 
each of the five lamp types for calendar years 1990 through 2006 in 
order to determine the historical growth rate for each lamp type; and 
(2) construct a model for each of the five lamp types based on 
coincident economic indicators that closely match the historical annual 
growth rates of each lamp type to provide a neutral comparison 
benchmark estimate of future unit sales. (42 U.S.C. 6295(l)(4)(B)) 
Section 321(a)(3)(B) of EISA 2007 also amends section 325(l) of EPCA by 
adding paragraph (4)(C), which, in relevant part, directs DOE to 
collect unit sales data for calendar years 2010 through 2025, in 
consultation with NEMA, for each of the five lamp types. DOE must then: 
(1) Compare the actual lamp sales in that year with the benchmark 
estimate; (2) determine if the unit sales projection has been exceeded; 
and (3) issue the findings within 90 days of the end of the analyzed 
calendar year. (42 U.S.C. 6295(l)(4)(C))
    On December 18, 2008, DOE issued a notice of data availability 
(NODA) for the Report on Data Collection and Estimated Future Unit 
Sales of Five Lamp Types (hereafter the ``2008 analysis''), which was 
published in the Federal Register on December 24, 2008. 73 FR 79072. 
The 2008 analysis presented the 1990 through 2006 shipment data 
collected in consultation with NEMA, the spreadsheet model DOE 
constructed for each lamp type, and the benchmark unit sales estimates 
for 2010 through 2025. On April 4, 2011, DOE published a NODA in the 
Federal Register announcing the availability of updated spreadsheet 
models presenting the benchmark estimates from the 2008 analysis and 
the collected sales data from 2010 for the first annual comparison. 76 
FR 18425. Similarly, DOE published NODAs in the Federal Register in the 
following four years announcing the updated spreadsheet models and 
sales data for the annual comparisons. 77 FR 16183 (March 20, 2012); 78 
FR 15891 (March 13, 2013); 79 FR 15058 (March 18, 2014); 80 FR 13791 
(March 17, 2015). This NODA presents the sixth annual comparison; 
specifically, section IV of this report compares the actual unit

[[Page 20262]]

sales against benchmark unit sales estimates for 2015.\1\
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    \1\ The notices and related documents for the 2008 analysis and 
successive annual comparisons, including this NODA, are available 
through the DOE Web site at: https://www1.eere.energy.gov/buildings/appliance_standards/standards.aspx?productid=16.
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    EISA 2007 also amends section 325(l) of EPCA by adding paragraphs 
(4)(D) through (4)(H), which state that if DOE finds that the unit 
sales for a given lamp type in any year between 2010 and 2025 exceed 
the benchmark estimate of unit sales by at least 100 percent (i.e., are 
greater than 200 percent of the anticipated sales), then DOE must take 
regulatory action to establish an energy conservation standard for such 
lamps. (42 U.S.C. 6295(l)(4)(D) through (H)) For 2,601-3,300 lumen 
general service incandescent lamps, DOE must adopt a statutorily 
prescribed energy conservation standard. For the other four types of 
lamps, the statute requires DOE to initiate an accelerated rulemaking 
to establish energy conservation standards. If the Secretary does not 
complete the accelerated rulemakings within one year from the end of 
the previous calendar year, there is a ``backstop requirement'' for 
each lamp type, which would establish energy conservation standard 
levels and related requirements by statute. Id.
    As in the 2008 analysis and previous comparisons, DOE uses 
manufacturer shipments as a surrogate for unit sales in this NODA 
because manufacturer shipment data are tracked and aggregated by the 
trade organization, NEMA. DOE believes that annual shipments track 
closely with actual unit sales of these five lamp types, as DOE 
presumes that retailer inventories remain constant from year to year. 
DOE believes this is a reasonable assumption because the markets for 
these five lamp types have existed for many years, thereby enabling 
manufacturers and retailers to establish appropriate inventory levels 
that reflect market demand. In addition, increasing unit sales must 
eventually result in increasing manufacturer shipments. This is the 
same methodology presented in DOE's 2008 analysis and subsequent annual 
comparisons, and DOE did not receive any comments challenging this 
assumption or the general approach.

II. Definitions

A. Rough Service Lamps

    Section 321(a)(1)(B) of EISA 2007 amended section 321(30) of EPCA 
by adding the definition of a ``rough service lamp.'' A ``rough service 
lamp'' means a lamp that--(i) has a minimum of 5 supports with filament 
configurations that are C-7A, C-11, C-17, and C-22 as listed in Figure 
6-12 of the 9th edition of the IESNA [Illuminating Engineering Society 
of North America] Lighting handbook, or similar configurations where 
lead wires are not counted as supports; and (ii) is designated and 
marketed specifically for ``rough service'' applications, with--(I) the 
designation appearing on the lamp packaging; and (II) marketing 
materials that identify the lamp as being for rough service. (42 U.S.C. 
6291(30)(X))
    As noted above, rough service incandescent lamps must have a 
minimum of five filament support wires (not counting the two connecting 
leads at the beginning and end of the filament), and must be designated 
and marketed for ``rough service'' applications. This type of 
incandescent lamp is typically used in applications where the lamp 
would be subject to mechanical shock or vibration while it is 
operating. Standard incandescent lamps have only two support wires 
(which also serve as conductors), one at each end of the filament coil. 
When operating (i.e., when the tungsten filament is glowing so hot that 
it emits light), a standard incandescent lamp's filament is brittle, 
and rough service applications could cause it to break prematurely. To 
address this problem, lamp manufacturers developed lamp designs that 
incorporate additional support wires along the length of the filament 
to ensure that it has support not just at each end, but at several 
other points as well. The additional support protects the filament 
during operation and enables longer operating life for incandescent 
lamps in rough service applications. Typical applications for these 
rough service lamps might include commercial hallways and stairwells, 
gyms, storage areas, and security areas.

B. Vibration Service Lamps

    Section 321(a)(1)(B) of EISA 2007 amended section 321(30) of EPCA 
by adding the definition of a ``vibration service lamp.'' A ``vibration 
service lamp'' means a lamp that--(i) has filament configurations that 
are C-5, C-7A, or C-9, as listed in Figure 6-12 of the 9th Edition of 
the IESNA Lighting Handbook or similar configurations; (ii) has a 
maximum wattage of 60 watts; (iii) is sold at retail in packages of 2 
lamps or less; and (iv) is designated and marketed specifically for 
vibration service or vibration-resistant applications, with--(I) the 
designation appearing on the lamp packaging; and (II) marketing 
materials that identify the lamp as being vibration service only. (42 
U.S.C. 6291(30)(AA))
    The statute mentions three examples of filament configurations for 
vibration service lamps in Figure 6-12 of the IESNA Lighting Handbook, 
one of which, C-7A, is also listed in the statutory definition of 
``rough service lamp.'' The definition of ``vibration service lamp'' 
requires that such lamps have a maximum wattage of 60 watts and be sold 
at a retail level in packages of two lamps or fewer. Vibration service 
lamps must be designated and marketed for vibration service or 
vibration-resistant applications. As the name suggests, this type of 
incandescent lamp is generally used in applications where the 
incandescent lamp would be subject to a continuous low level of 
vibration, such as in a ceiling fan light kit. In such applications, 
standard incandescent lamps without additional filament support wires 
may not achieve the full rated life, because the filament wire is 
brittle and would be subject to breakage at typical operating 
temperature. To address this problem, lamp manufacturers typically use 
a more malleable tungsten filament to avoid damage and short circuits 
between coils.

C. Three-Way Incandescent Lamps

    Section 321(a)(1)(B) of EISA 2007 amended section 321(30) of EPCA 
by adding the definition of a ``3-way incandescent lamp.'' A ``3-way 
incandescent lamp'' includes an incandescent lamp that--(i) employs 2 
filaments, operated separately and in combination, to provide 3 light 
levels; and (ii) is designated on the lamp packaging and marketing 
materials as being a 3-way incandescent lamp. (42 U.S.C. 6291(30)(Y))
    Three-way lamps are commonly found in wattage combinations such as 
50, 100, and 150 watts or 30, 70, and 100 watts. These lamps use two 
filaments (e.g., a 30-watt and a 70-watt filament) and can be operated 
separately or together to produce three different lumen outputs (e.g., 
305 lumens with one filament, 995 lumens with the other, or 1,300 
lumens using the filaments together). When used in three-way sockets, 
these lamps allow users to control the light level. Three-way 
incandescent lamps are typically used in residential multi-purpose 
areas, where consumers may adjust the light level to be appropriate for 
the task they are performing.

D. 2,601-3,300 Lumen General Service Incandescent Lamps

    The statute does not provide a definition of ``2,601-3,300 Lumen 
General Service Incandescent Lamps;'' however, DOE is interpreting this 
term to be a general service incandescent

[[Page 20263]]

lamp \2\ that emits light between 2,601 and 3,300 lumens. These lamps 
are used in general service applications when high light output is 
needed.
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    \2\ A ``general service incandescent lamp'' means a standard 
incandescent or halogen type lamp that--(I) is intended for general 
service applications; (II) has a medium screw base; (III) has a 
lumen range of not less than 310 lumens and not more than 2,600 
lumens or, in the case of a modified spectrum lamp, not less than 
232 lumens and not more than 1,950 lumens; and (IV) is capable of 
being operated at a voltage range at least partially within 110 and 
130 volts. (42 U.S.C. 6291(30)(D)(i)).
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E. Shatter-Resistant Lamps

    Section 321(a)(1)(B) of EISA 2007 amended section 321(30) of EPCA 
by adding the definition of a ``shatter-resistant lamp, shatter-proof 
lamp, or shatter-protected lamp.'' ``Shatter-resistant lamp, shatter-
proof lamp, and shatter-protected lamp'' mean a lamp that--(i) has a 
coating or equivalent technology that is compliant with NSF/ANSI 51 
[National Sanitation Foundation/American National Standards Institute] 
and is designed to contain the glass if the glass envelope of the lamp 
is broken; and (ii) is designated and marketed for the intended 
application, with--(I) the designation on the lamp packaging; and (II) 
marketing materials that identify the lamp as being shatter-resistant, 
shatter-proof, or shatter-protected. (42 U.S.C. 6291(30)(Z)) Although 
the definition provides three names commonly used to refer to these 
lamps, DOE simply refers to them collectively as ``shatter-resistant 
lamps.''
    Shatter-resistant lamps incorporate a special coating designed to 
prevent glass shards from being dispersed if a lamp's glass envelope 
breaks. Shatter-resistant lamps incorporate a coating compliant with 
industry standard NSF/ANSI 51,\3\ ``Food Equipment Materials,'' and are 
labeled and marketed as shatter-resistant, shatter-proof, or shatter-
protected. Some types of the coatings can also protect the lamp from 
breakage in applications subject to heat and thermal shock that may 
occur from water, sleet, snow, soldering, or welding.
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    \3\ NSF/ANSI 51 applies specifically to materials and coatings 
used in the manufacturing of equipment and objects destined for 
contact with foodstuffs.
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III. Comparison Methodology

    In the 2008 analysis, DOE reviewed each of the five sets of 
shipment data that was collected in consultation with NEMA and applied 
two curve fits to generate unit sales estimates for the five lamp types 
after calendar year 2006. One curve fit applied a linear regression to 
the historical data and extended that line into the future. The other 
curve fit applied an exponential growth function to the shipment data 
and projected unit sales into the future. For this calculation, linear 
regression treats the year as a dependent variable and shipments as the 
independent variable. The linear regression curve fit is modeled by 
minimizing the differences among the data points and the best curve-fit 
linear line using the least squares function.\4\ The exponential curve 
fit is also a regression function and uses the same least squares 
function to find the best fit. For some data sets, an exponential curve 
provides a better characterization of the historical data, and, 
therefore, a better projection of the future data.
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    \4\ The least squares function is an analytical tool that DOE 
uses to minimize the sum of the squared residual differences between 
the actual historical data points and the modeled value (i.e., the 
linear curve fit). In minimizing this value, the resulting curve fit 
will represent the best fit possible to the data provided.
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    For 3-way incandescent lamps, 2,601-3,300 lumen general service 
incandescent lamps, and shatter-resistant lamps, DOE found that the 
linear regression and exponential growth curve fits produced nearly the 
same estimates of unit sales (i.e., the difference between the two 
forecasted values was less than 1 or 2 percent). However, for rough 
service and vibration service lamps, the linear regression curve fit 
projected lamp unit sales would decline to zero for both lamp types by 
2018. In contrast, the exponential growth curve fit projected a more 
gradual decline in unit sales, such that lamps would still be sold 
beyond 2018, and it was, therefore, considered the more realistic 
forecast. While DOE was satisfied that either the linear regression or 
exponential growth spreadsheet model generated a reasonable benchmark 
unit sales estimate for 3-way incandescent lamps, 2,601-3,300 lumen 
general service incandescent lamps, and shatter-resistant lamps, DOE 
selected the exponential growth curve fit for these lamp types for 
consistency with the selection made for rough service and vibration 
service lamps.\5\ DOE examines the benchmark unit sales estimates and 
actual sales for each of the five lamp types in the following section 
and also makes the comparisons available in a spreadsheet online: 
https://www1.eere.energy.gov/buildings/appliance_standards/standards.aspx?productid=16.
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    \5\ This selection is consistent with the previous annual 
comparisons. See DOE's 2008 forecast spreadsheet models of the lamp 
types for greater detail on the estimates.
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IV. Comparison Results

A. Rough Service Lamps

    For rough service lamps, the exponential growth forecast projected 
the benchmark unit sales estimate for 2015 to be 4,967,000 units. The 
NEMA-provided shipment data reported shipments of 6,731,000 units in 
2015. As this finding is only 135.5 percent of the estimate,\6\ DOE 
will continue to track rough service lamp sales data and will not 
initiate regulatory action for this lamp type at this time.
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    \6\ The percentages reported in this section are calculated by 
dividing the 2015 actual sales by the 2015 projected sales. Numbers 
less than one hundred percent indicate the actual sales are less 
than the projected sales, numbers greater than one hundred percent 
and less than or equal to two hundred percent indicate the actual 
sales exceed the projected sales somewhat, and numbers greater than 
two hundred percent indicate the actual sales are more than double 
the projected sales and a rulemaking must be initiated.
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B. Vibration Service Lamps

    For vibration service lamps, the exponential growth forecast 
projected the benchmark unit sales estimate for 2015 to be 2,594,000 
units. The NEMA-provided shipment data reported 7,071,000 vibration 
service lamp shipments in 2015, which is 272.5 percent of the benchmark 
estimate.
    Section 321(a)(3)(B) of EISA 2007 in part amends paragraph 
325(l)(4) of EPCA by adding paragraphs (D) through (H), which direct 
DOE to take regulatory action if the actual annual unit sales of any of 
the five lamp types are more than 200 percent of the predicted 
shipments (i.e., more than double the benchmark unit sales estimate). 
(42 U.S.C. 6295(l)(4)(D)-(H)) As the actual unit sales for vibration 
service lamps are 272.5 percent of the benchmark estimate for the 2015 
calendar year, DOE must conduct an accelerated energy conservation 
standards rulemaking for vibration service lamps to be completed no 
later than December 31, 2016. If the Secretary does not complete the 
accelerated rulemaking in the allotted time, the statute provides a 
backstop requirement that becomes the regulatory standard for vibration 
service lamps. This backstop requirement would establish standards 
beginning one year after the date of issuance of this NODA, and would 
require vibration service lamps to: (1) Have a maximum 40-watt 
limitation and (2) be sold at retail only in a package containing one 
lamp.
    The requirement to collect and model data for vibration service 
lamps shall terminate unless, as part of the rulemaking, the Secretary 
determines that continued tracking is necessary. If, however, the 
Secretary imposes a

[[Page 20264]]

backstop requirement as a result of a failure to complete the 
accelerated rulemaking in accordance with the statute, the requirement 
to collect and model data for the applicable type of lamp shall 
continue for two years after the compliance date of the backstop 
requirement. (42 U.S.C. 6295(l)(4)(I)(i) and (ii))

C. Three-Way Incandescent Lamps

    For 3-way incandescent lamps, the exponential growth forecast 
projected the benchmark unit sales estimate for 2015 to be 48,603,000 
units. The NEMA-provided shipment data reported shipments of 32,665,000 
units in 2015. As this finding is only 67.2 percent of the estimate, 
DOE will continue to track 3-way incandescent lamp sales data and will 
not initiate regulatory action for this lamp type at this time.

D. 2,601-3,300 Lumen General Service Incandescent Lamps

    For 2,601-3,300 lumen general service incandescent lamps, the 
exponential growth forecast projected the benchmark unit sales estimate 
for 2015 to be 34,175,000 units. The NEMA-provided shipment data 
reported shipments of 4,049,000 units in 2015. As this finding is 11.8 
percent of the estimate, DOE will continue to track 2,601-3,300 lumen 
general service incandescent lamp sales data and will not initiate 
regulatory action for this lamp type at this time.

E. Shatter-Resistant Lamps

    For shatter-resistant lamps, the exponential growth forecast 
projected the benchmark unit sales estimate for 2015 to be 1,675,000 
units. The NEMA-provided shipment data reported shipments of 689,000 
units in 2015. As this finding is only 41.1 percent of the estimate, 
DOE will continue to track shatter-resistant lamp sales data and will 
not initiate regulatory action for this lamp type at this time.

V. Conclusion

    The shipments for rough service lamps, 3-way incandescent lamps, 
2,601-3,300 lumen general service incandescent lamps, and shatter-
resistant lamps did not cross the statutory threshold for a standard. 
DOE will continue to monitor these four currently exempted lamp types 
and will assess 2016 sales by March 31, 2017, in order to determine 
whether an energy conservation standards rulemaking is required, 
consistent with 42 U.S.C. 6295(l)(4)(D) through (H). The actual unit 
sales for vibration service lamps are 272.5 of the benchmark unit sales 
estimate. Therefore, DOE will begin an accelerated energy conservation 
standard rulemaking for vibration service lamps that must be completed 
by December 31, 2016.

VI. Review Under the National Environmental Policy Act of 1969

    DOE has determined that this proposed action falls into a class of 
actions that are categorically excluded from review under the National 
Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq.) and DOE's 
implementing regulations at 10 CFR part 1021. Specifically, this 
proposed action would find that for vibration service lamps energy 
conservation standards would be appropriate. However, this proposed 
action would not establish energy conservation standards at this time, 
and, therefore, would not result in any environmental impacts. Thus, 
this action is covered by Categorical Exclusion A6 ``Procedural 
rulemakings'' under 10 CFR part 1021, subpart D. Accordingly, neither 
an environmental assessment nor an environmental impact statement is 
required.

    Issued in Washington, DC, on March 28, 2016.
Kathleen B. Hogan,
Deputy Assistant Secretary for Energy Efficiency, Energy Efficiency and 
Renewable Energy.
[FR Doc. 2016-07873 Filed 4-6-16; 8:45 am]
 BILLING CODE 6450-01-P