[Federal Register Volume 85, Number 85 (Friday, May 1, 2020)]
[Proposed Rules]
[Pages 25326-25340]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-08851]


 ========================================================================
 Proposed Rules
                                                 Federal Register
 ________________________________________________________________________
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 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. 85, No. 85 / Friday, May 1, 2020 / Proposed 
Rules  

[[Page 25326]]



DEPARTMENT OF ENERGY

10 CFR Part 430

[EERE-2019-BT-STD-0030]


Energy Conservation Program: Energy Conservation Standards for 
General Service Fluorescent Lamps and Incandescent Reflector Lamps

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

ACTION: Request for information.

-----------------------------------------------------------------------

SUMMARY: The U.S. Department of Energy (``DOE'') is initiating an 
effort to determine whether to amend the current energy conservation 
standards for general service fluorescent lamps (``GSFLs'') and 
incandescent reflector lamps (``IRLs''). Under the Energy Policy and 
Conservation Act, as amended, DOE must review these standards at least 
once every six years and publish either a notice of proposed rulemaking 
(``NOPR'') to propose new standards for GSFLs and/or IRLs or a notice 
of determination that the existing standards do not need to be amended. 
This request for information (``RFI'') solicits information from the 
public to help DOE determine whether amended standards for GSFLs and 
IRLs would result in significant energy savings and whether such 
standards would be technologically feasible and economically justified. 
DOE welcomes written comments from the public on any subject within the 
scope of this document (including those topics not specifically 
raised), as well as the submission of data and other relevant 
information.

DATES: Written comments and information will be accepted on or before 
June 1, 2020.

ADDRESSES: Interested persons are encouraged to submit comments using 
the Federal eRulemaking Portal at http://www.regulations.gov. Follow 
the instructions for submitting comments. Alternatively, interested 
persons may submit comments, identified by docket number EERE-2019-BT-
STD-0030, by any of the following methods:
    1. Federal eRulemaking Portal: http://www.regulations.gov. Follow 
the instructions for submitting comments.
    2. Email: [email protected]. Include the docket number 
EERE-2019-BT-STD-0030 in the subject line of the message.
    3. Postal Mail: Appliance and Equipment Standards Program, U.S. 
Department of Energy, Building Technologies Office, Mailstop EE-5B, 
1000 Independence Avenue SW, Washington, DC 20585-0121. Telephone: 
(202) 287-1445. 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: Appliance and Equipment Standards 
Program, U.S. Department of Energy, Building Technologies Office, 950 
L'Enfant Plaza SW, 6th Floor, Washington, DC 20024. Telephone: (202) 
287-1445. 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. For detailed 
instructions on submitting comments and additional information on this 
process, see section IV of this document.
    Docket: The docket for this activity, which includes Federal 
Register notices, comments, and other supporting documents/materials, 
is available for review at http://www.regulations.gov. All documents in 
the docket are listed in the http://www.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 at http://www.regulations.gov/#!docketDetail;D=EERE-2019-BT-STD-0030. The docket web page contains 
instructions on how to access all documents, including public comments, 
in the docket. See section IV for information on how to submit comments 
through http://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: Ms. Lucy deButts, U.S. Department of 
Energy, Office of Energy Efficiency and Renewable Energy, Building 
Technologies Office, EE-5B, 1000 Independence Avenue SW, Washington, DC 
20585-0121. Telephone: (202) 287-1604. Email: 
[email protected].
    Ms. Kathryn McIntosh, U.S. Department of Energy, Office of the 
General Counsel, GC-33, 1000 Independence Avenue SW, Washington, DC 
20585-0121. Telephone: (202) 586-2002. Email: 
[email protected].
    For further information on how to submit a comment, or review other 
public comments and the docket contact the Appliance and Equipment 
Standards Program staff at (202) 287-1445 or by email: 
[email protected].

SUPPLEMENTARY INFORMATION:

Table of Contents

I. Introduction
    A. Authority and Background
    B. Rulemaking Process
II. Request for Information and Comments
    A. Products Covered by This Process
    1. Definitions
    2. Certain ER, BR, and R IRLs
    B. Market and Technology Assessment
    1. Product Classes
    2. Technology Assessment
    C. Screening Analysis
    D. Engineering Analysis
    1. Representative Product Classes
    2. Baseline lamps
    3. Efficacy Levels and Maximum Technologically Feasible Levels
    4. Scaling to Other Product Classes
    E. Product Price Determination
    F. Energy Use Analysis
    G. Life-Cycle Cost and Payback Analysis
    H. Shipments
    I. National Impact Analysis
    J. Manufacturer Impact Analysis
III. Other Energy Conservation Standards Topics
    A. Market Failures
    B. Network Mode/``Smart'' Technology
    C. Other Issues
IV. Submission of Comments

I. Introduction

A. Authority and Background

    The Energy Policy and Conservation Act, as amended (``EPCA''),\1\ 
authorizes DOE to regulate the energy efficiency of a number of 
consumer products and certain industrial equipment. (42 U.S.C. 6291-
6317) Title III, Part B \2\ of EPCA

[[Page 25327]]

established the Energy Conservation Program for Consumer Products Other 
Than Automobiles. These products include GSFLs and IRLs, the subject of 
this document. (42 U.S.C. 6292(a)(14))
---------------------------------------------------------------------------

    \1\ All references to EPCA in this document refer to the statute 
as amended through America's Water Infrastructure Act of 2018, 
Public Law 115-270 (October 23, 2018).
    \2\ For editorial reasons, upon codification in the U.S. Code, 
Part B was redesignated Part A.
---------------------------------------------------------------------------

    The energy conservation program under EPCA consists essentially of 
four parts: (1) Testing, (2) labeling, (3) Federal energy conservation 
standards, and (4) certification and enforcement procedures. Relevant 
provisions of EPCA specifically include definitions (42 U.S.C. 6291), 
test procedures (42 U.S.C. 6293), labeling provisions (42 U.S.C. 6294), 
energy conservation standards (42 U.S.C. 6295), and the authority to 
require information and reports from manufacturers (42 U.S.C. 6296).
    Federal energy efficiency requirements for covered products 
established under EPCA generally supersede State laws and regulations 
concerning energy conservation testing, labeling, and standards. (42 
U.S.C. 6297(a)-(c)). DOE may, however, grant waivers of Federal 
preemption for particular State laws or regulations, in accordance with 
the procedures and other provisions set forth under EPCA. See 42 U.S.C. 
6297(d).
    Amendments to EPCA in the Energy Policy Act of 1992 (``EPAct 
1992''; Pub. L. 102-486), established energy conservation standards for 
certain classes of GSFLs and IRLs, and authorized DOE to conduct two 
rulemaking cycles to determine whether these standards should be 
amended. (42 U.S.C. 6295(i)(1) and (3)-(4)) EPCA also authorized DOE to 
adopt standards for additional GSFLs, if such standards were warranted. 
(42 U.S.C. 6295(i)(5)). DOE completed the first of these rulemaking 
cycles in a final rule published on July 14, 2009, that adopted amended 
performance standards for GSFLs and IRLs manufactured on or after July 
14, 2012. 74 FR 34080 (``2009 GSFL-IRL ECS final rule''). That rule 
adopted standards for additional GSFLs, amended the definition of 
``colored fluorescent lamp'' and ``rated wattage,'' and also adopted 
test procedures applicable to the newly covered GSFLs. Id. DOE 
completed a second rulemaking cycle to amend the standards for GSFLs 
and IRLs by publishing a final rule on January 26, 2015. 80 FR 4042 
(``2015 GSFL-IRL ECS final rule''). In this rule DOE amended standards 
for GSFLs; and concluded that amending standards for IRLs would not be 
economically justified. Id. The current energy conservation standards 
for GSFLs and IRLs are located in Title 10 of the Code of Federal 
Regulations (``CFR'') section 430.32. The currently applicable DOE test 
procedures appear at 10 CFR part 430, subpart B, appendix R.
    EPCA also requires that, not later than 6 years after the issuance 
of any final rule establishing or amending a standard, DOE evaluate the 
energy conservation standards for each type of covered product, 
including those at issue here, and publish either a notice of 
determination that the standards do not need to be amended, or a NOPR 
that includes new proposed energy conservation standards (proceeding to 
a final rule, as appropriate). (42 U.S.C. 6295(m)(1)) DOE must make the 
analysis on which the determination is based publicly available and 
provide an opportunity for written comment. (42 U.S.C. 6295(m)(2)) In 
making a determination that the standards do not need to be amended, 
DOE must evaluate whether amended standards (1) will result in 
significant conservation of energy, (2) are technologically feasible, 
and (3) are cost effective as described under 42 U.S.C. 
6295(o)(2)(B)(i)(II). (42 U.S.C. 6295(m)(1)(A); 42 U.S.C. 6295(n)(2)) 
Under 42 U.S.C. 6295(o)(2)(B)(i)(II), DOE must determine whether the 
benefits of a standard exceed its burdens by, to the greatest extent 
practicable, considering the savings in operating costs throughout the 
estimated average life of the covered product in the type (or class) 
compared to any increase in the price of, or in the initial charges 
for, or maintenance expenses of, the covered products which are likely 
to result from the imposition of the standard. If DOE determines not to 
amend a standard based on the statutory criteria, not later than 3 
years after the issuance of a final determination not to amend 
standards, DOE must publish either a notice of determination that 
standards for the product do not need to be amended, or a NOPR 
including new proposed energy conservation standards (proceeding to a 
final rule, as appropriate). (42 U.S.C. 6295(m)(3)(B))
    In determining whether to propose new standards, DOE must evaluate 
that proposal against the criteria of 42 U.S.C. 6295(o), as described 
in the following section, and follow the rulemaking procedures set out 
in 42 U.S.C. 6295(p). (42 U.S.C. 6295(m)(1)(B) If DOE decides to amend 
the standard based on the statutory criteria, DOE must publish a final 
rule not later than two years after energy conservation standards are 
proposed. (42 U.S.C. 6295(m)(3)(A))
    DOE is publishing this RFI to collect data and information to 
inform its decision consistent with its obligations under EPCA.

B. Rulemaking Process

    DOE must follow specific statutory criteria for prescribing new or 
amended standards for covered products. EPCA requires that any new or 
amended energy conservation standard prescribed by the Secretary be 
designed to achieve the maximum improvement in energy or water 
efficiency that is technologically feasible and economically justified. 
(42 U.S.C. 6295(o)(2)(A)) EPCA also precludes DOE from adopting any 
standard that would not result in the significant conservation of 
energy. (42 U.S.C. 6295(o)(3)(B)) To determine whether a standard is 
economically justified, EPCA requires that DOE determine whether the 
benefits of the standard exceed its burdens by considering, to the 
greatest extent practicable, the following seven factors:
    (1) The economic impact of the standard on the manufacturers and 
consumers of the affected products;
    (2) The savings in operating costs throughout the estimated average 
life of the product compared to any increases in the initial cost, or 
maintenance expenses;
    (3) The total projected amount of energy and water (if applicable) 
savings likely to result directly from the standard;
    (4) Any lessening of the utility or the performance of the products 
likely to result from the standard;
    (5) The impact of any lessening of competition, as determined in 
writing by the Attorney General, that is likely to result from the 
standard;
    (6) The need for national energy and water conservation; and
    (7) Other factors the Secretary of Energy (Secretary) considers 
relevant.
    (42 U.S.C. 6295(o)(2)(B)(i)(I)-(VII))
    DOE fulfills these and other applicable requirements by conducting 
a series of analyses throughout the rulemaking process. Table I.1 shows 
the individual analyses that are performed to satisfy each of the 
requirements within EPCA.

[[Page 25328]]



       Table I.1--EPCA Requirements and Corresponding DOE Analysis
------------------------------------------------------------------------
         EPCA requirement                Corresponding DOE analysis
------------------------------------------------------------------------
Significant Energy Savings........   Shipments Analysis
                                     National Impact Analysis
                                     Energy and Water Use
                                     Determination
Technological Feasibility.........   Market and Technology
                                     Assessment
                                     Screening Analysis
                                     Engineering Analysis
------------------------------------------------------------------------
                         Economic Justification
------------------------------------------------------------------------
1. Economic impact on                Manufacturer Impact
 manufacturers and consumers.        Analysis
                                     Life-Cycle Cost and Payback
                                     Period Analysis
                                     Life-Cycle Cost Subgroup
                                     Analysis
                                     Shipments Analysis
2. Lifetime operating cost savings   Markups for Product Price
 compared to increased cost for      Determination
 the product.                        Energy and Water Use
                                     Determination
                                     Life-Cycle Cost and Payback
                                     Period Analysis
3. Total projected energy savings.   Shipments Analysis
                                     National Impact Analysis
4. Impact on utility or              Screening Analysis
 performance.                        Engineering Analysis
5. Impact of any lessening of        Manufacturer Impact
 competition.                        Analysis
6. Need for national energy and      Shipments Analysis
 water conservation.                 National Impact Analysis
7. Other factors the Secretary       Employment Impact Analysis
 considers relevant.                 Utility Impact Analysis
                                     Emissions Analysis
                                     Monetization of Emission
                                     Reductions Benefits
                                     Regulatory Impact Analysis
------------------------------------------------------------------------

    As detailed throughout this RFI, DOE is publishing this document 
seeking input and data from interested parties to aid in the 
development of the technical analyses on which DOE will ultimately rely 
to determine whether (and if so, how) to amend the standards for GSFLs 
and IRLs.

II. Request for Information and Comments

    In the following sections, DOE has identified a variety of issues 
on which it seeks input to aid in the development of the technical and 
economic analyses regarding whether amended standards for GSFLs and 
IRLs may be warranted. DOE also welcomes comments on other issues 
relevant to this data-gathering process that may not specifically be 
identified in this document.
    As an initial matter, DOE seeks comment on whether there have been 
sufficient technological or market changes since the most recent 
standards update that may justify a new rulemaking to consider more 
stringent standards. Specifically, DOE seeks data and information that 
could enable the agency to determine whether DOE should propose a ``no 
new standard'' determination because a more stringent standard: (1) 
Would not result in a significant savings of energy; (2) is not 
technologically feasible; (3) is not economically justified; or (4) any 
combination of foregoing.

A. Products Covered by This Process

    This RFI covers those products that meet the definitions of GSFL 
and IRL, as codified at 10 CFR 430.2. DOE conducts separate analyses of 
GSFLs and IRLs.
1. Definitions
    The definition of ``general service fluorescent lamp'' is based on 
the definition of ``fluorescent lamp,'' both of which are specified 
below.
    Fluorescent lamp means a low pressure mercury electric-discharge 
source in which a fluorescing coating transforms some of the 
ultraviolet energy generated by the mercury discharge into light, 
including only the following:
    (1) Any straight-shaped lamp (commonly referred to as 4-foot medium 
bipin lamps) with medium bipin bases of nominal overall length of 48 
inches and rated wattage of 25 or more;
    (2) Any U-shaped lamp (commonly referred to as 2-foot U-shaped 
lamps) with medium bipin bases of nominal overall length between 22 and 
25 inches and rated wattage of 25 or more;
    (3) Any rapid start lamp (commonly referred to as 8-foot high 
output lamps) with recessed double contact bases of nominal overall 
length of 96 inches;
    (4) Any instant start lamp (commonly referred to as 8-foot slimline 
lamps) with single pin bases of nominal overall length of 96 inches and 
rated wattage of 49 or more;
    (5) Any straight-shaped lamp (commonly referred to as 4-foot 
miniature bipin standard output lamps) with miniature bipin bases of 
nominal overall length between 45 and 48 inches and rated wattage of 25 
or more; and
    (6) Any straight-shaped lamp (commonly referred to 4-foot miniature 
bipin high output lamps) with miniature bipin bases of nominal overall 
length between 45 and 48 inches and rated wattage of 44 or more.
    General service fluorescent lamp means any fluorescent lamp which 
can be used to satisfy the majority of fluorescent lighting 
applications, but does not include any lamp designed and marketed for 
the following nongeneral application:
    (1) Fluorescent lamps designed to promote plant growth;
    (2) Fluorescent lamps specifically designed for cold temperature 
applications;
    (3) Colored fluorescent lamps;
    (4) Impact-resistant fluorescent lamps;
    (5) Reflectorized or aperture lamps;
    (6) Fluorescent lamps designed for use in reprographic equipment;
    (7) Lamps primarily designed to produce radiation in the ultra-
violet region of the spectrum; and
    (8) Lamps with a Color Rendering Index of 87 or greater.

[[Page 25329]]

10 CFR 430.2
    DOE also defines the following lamp types not included in the GSFL 
definition: ``cold temperature fluorescent lamp,'' ``colored 
fluorescent lamp,'' ``impact-resistant fluorescent lamp,'' 
``reflectorized or aperture lamp,'' ``fluorescent lamp designed for use 
in reprographic equipment.'' (See 10 CFR 430.2 for complete 
definitions.)
    DOE defines ``incandescent reflector lamp'' as follows:

    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: 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.

10 CFR 430.2
    DOE has separate definitions for ``rough or vibration service 
incandescent reflector lamp'' and ``R20 short lamp.'' Additionally, DOE 
uses industry standards to define the size and shape of certain 
reflector lamp shapes: The bulged parabolic reflector (``BPAR'') 
incandescent reflector lamp definition references ANSI C78.21-2003 \3\; 
the R20 and bulged reflector (``BR'') incandescent reflector lamp 
definitions reference ANSI C79.1-1994; \4\ and the elliptical reflector 
(``ER'') incandescent reflector lamp definition references both ANSI 
C79.1-1994 and ANSI C78.21-1989. (See 10 CFR 430.2 for complete 
definitions.) There is a 2002 version available for ANSI C79.1 \5\ and 
2011 version of ANSI C78.21 \6\ available. DOE is considering updating 
the definitions with the latest versions of the currently referenced 
industry standards. Additionally, DOE is considering providing 
definitions for reflector (``R'') and parabolic aluminized reflector 
(``PAR'') incandescent reflector lamps that reference the 2011 version 
of ANSI C78.21.
---------------------------------------------------------------------------

    \3\ American National Standards Institute, American National 
Standards For Electric Lamps--PAR and R Shapes. Approved October 30, 
2003.
    \4\ American National Standards Institute, American National 
Standard for Nomenclature for Glass Bulbs-Intended for Use with 
Electric Lamps, Approved March 24, 1994.
    \5\ American National Standards Institute, American National 
Standard For Electric Lamps--Nomenclature for Glass Bulbs Intended 
for Use with Electric Lamps. Approved September 16, 2002.
    \6\ American National Standards Institute, American National 
Standard for Electric Lamps--PAR and R Shapes. Approved January 17, 
2017.
---------------------------------------------------------------------------

    Issue 1: DOE seeks comment on updating the industry references for 
the definitions of BPAR, R20, ER, and BR incandescent reflector lamps. 
DOE also seeks comments on providing a definition for R and PAR 
incandescent reflector shapes.
    Issue 2: DOE seeks feedback on whether the definitions for GSFLs 
and IRLs require any revisions--and if so, how those definitions should 
be revised. DOE also requests feedback on whether definitions related 
to GSFLs and IRLs require any revisions, and if so, how these should be 
revised.
    Issue 3: DOE seeks comment on whether additional product 
definitions are necessary to close any potential gaps in coverage 
between product types. DOE also seeks input on whether such products 
currently exist in the market or whether they are being planned for 
introduction.
    EPCA defines an incandescent reflector lamp as a lamp that ``has a 
rated wattage that is 40 watts or higher'' but does not provide an 
upper wattage limit. (42 U.S.C. 6291(30)(C)(ii) and (F)) Current DOE 
energy conservation standards cover IRLs with rated wattages greater 
than or equal to 40 watts (``W'') and less than or equal to 205 W. 10 
CFR 430.32(n)(6) Based on an initial assessment of the market, IRLs 
higher than 205 W comprise a small portion of product offerings.
    Issue 4: DOE seeks feedback on the shipment volume of IRLs with 
wattages higher than 205 W and the performance characteristics 
(including wattage, lumen output, and lifetime), shape, and diameter of 
IRLs in this wattage range.
2. Certain ER, BR, and R IRLs
    As amended by section 322(b) of the Energy Independence and 
Security Act of 2007 (``EISA 2007''; Pub. L. 110-140), EPCA exempted 
certain IRLs from the statutorily prescribed standards: (1) Lamps rated 
50 watts or less that are ER30, BR30, BR40, or ER40; (2) lamps rated 65 
watts that are BR30, BR40, or ER40 lamps; and (3) R20 incandescent 
reflector lamps rated 45 watts or less (referred to as ``certain ER, 
BR, and R lamps''). (42 U.S.C. 6295(i)(1)(C))
    In the 2009 GSFL-IRL ECS rulemaking, DOE initially concluded that 
it was precluded from adopting energy conservation standards for the 
certain ER, BR, and R lamps. 73 FR 13620, 13626 (March 13, 2008). Based 
on comments received in response to the advanced notice of proposed 
rulemaking (``ANOPR''), DOE re-evaluated its initial interpretation of 
the statutory exemption of the certain ER, BR, and R lamps and whether 
the required rulemaking cycles authorized DOE to reconsider the 
exemptions. 74 FR 16920, 16930-16931 (Apr. 13, 2009). As a practical 
matter, because DOE did not wish to delay the rulemaking and resulting 
potential energy savings for the sole reason of considering these 
certain R, ER, BR lamps, it did not include these lamps in the 
analysis. Id. and 74 FR 34080, 34092.
    On May 3, 2010, DOE initiated a separate rulemaking to consider 
standards for these certain ER, BR, and R IRLs by issuing a notice of 
public meeting and availability of a framework document. 75 FR 23191 
(May 3, 2010); see also 80 FR 4042, 4050. DOE held a public meeting on 
May 26, 2010, but did not publish any further documents in this docket.
    In the 2015 GSFL-IRL ECS rulemaking DOE did not consider standards 
for certain ER, BR, and R lamps when evaluating standards for IRLs 
because they were the subject of the separate rulemaking when the 2015 
GSFL-IRL ECS rulemaking was initiated in September 2011. 76 FR 56678, 
56679. Subsequently, DOE suspended activity on the separate rulemaking 
on the certain ER, BR, and R lamps as a result of a then applicable 
Appropriations Rider (section 315 of Pub. L. 112-74 (Dec. 23, 2011)), 
which prohibited DOE from using appropriated funds to implement or 
enforce standards for ER, BR, and BPAR IRLs. See, 79 FR 24068, 24078 
and 80 FR 4042, 4056. Also, because of the Appropriations Rider 
(section 322 of Pub. L. 113-76 (January 17, 2014)), DOE did not 
consider ER, BR, or BPAR IRLs (that do not fall in the certain ER, BR 
and R lamp category) in the 2015 GSFL-IRL ECS rulemaking. 80 FR 4042, 
4057.
    The Appropriations Rider is no longer in effect.\7\ Therefore, in 
this analysis DOE is considering analyzing certain ER, BR, and R IRLs.
---------------------------------------------------------------------------

    \7\ The Appropriations Rider expired on May 5, 2017, when the 
Consolidated Appropriations Act of 2017 was enacted. See, the 
Consolidated Appropriations Act of 2017 (Pub. L. 115-31, div. D, 
tit. III); see also, Consolidated Appropriations Act, 2018 (Pub. L. 
115-141).
---------------------------------------------------------------------------

B. Market and Technology Assessment

    The market and technology assessment that DOE routinely conducts 
when analyzing the impacts of a potential new or amended energy 
conservation standard provides information about the GSFL and IRL 
industry that will be used in DOE's analysis throughout the rulemaking 
process. DOE uses qualitative and quantitative information to 
characterize the structure of the industry and market.

[[Page 25330]]

DOE identifies manufacturers, estimates market shares and trends, 
addresses regulatory and non-regulatory initiatives intended to improve 
energy efficiency or reduce energy consumption, and explores the 
potential for efficiency improvements in the design and manufacturing 
of GSFLs and IRLs. Additionally, DOE considers conducting interviews 
with manufacturers to improve its assessment of the market and 
available technologies for GSFLs and IRLs.
1. Product Classes
    When evaluating and establishing energy conservation standards, DOE 
may divide covered products into product classes by the type of energy 
used, or by capacity or other performance-related features that justify 
a standard higher or lower than that which applies (or would apply) for 
such type (or class) for any group of covered products which have the 
same function or intended use. (42 U.S.C. 6295(q)) In making a 
determination whether capacity or another performance-related feature 
justifies a separate product class, DOE must consider such factors as 
the utility of the feature to the consumer and other factors DOE deems 
appropriate. (Id.) Current standards for IRLs and GSFLs require 
products to meet a minimum lamp efficacy (lumens divided by wattage 
[``lm/W'']). To identify product-class setting factors, DOE examined 
performance features that offer a unique utility and would impact lamp 
efficacy, and thereby energy consumption.
    For GSFLs, the current energy conservation standards specified in 
10 CFR 430.32(n)(4) are based on 12 product classes as analyzed in the 
2015 GSFL-IRL ECS final rule, separated according to the following 
three factors: (1) Correlated color temperature (``CCT''); (2) physical 
constraints of lamps (i.e., lamp shape and length); and (3) lumen 
package (i.e., standard output (``SO'') versus high output (``HO'')). 
80 FR 4042, 4063. Table II.1 lists the current 12 product classes for 
GSFLs.

                Table II.1--Current GSFL Product Classes
------------------------------------------------------------------------
            Lamp type                               CCT
------------------------------------------------------------------------
4-foot medium bipin..............  <=4,500 K
                                   >4,500 K and <=7,000 K
2-foot U-shaped..................  <=4,500 K
                                   >4,500 K and <=7,000 K
8-foot single pin slimline.......  <=4,500 K
                                   >4,500 K and <=7,000 K
8-foot recessed double contact     <=4,500 K
 high output.                      >4,500 K and <=7,000 K
4-foot T5, miniature bipin         <=4,500 K
 standard output.                  >4,500 K and <=7,000 K
4-foot T5, miniature bipin high    <=4,500 K
 output.                           >4,500 K and <=7,000 K
------------------------------------------------------------------------

    Issue 5: DOE requests feedback on the current GSFL product classes 
and whether changes to these individual product classes and their 
descriptions should be made or whether certain classes should be merged 
or separated. DOE further requests feedback on whether combining or 
separating certain classes could impact product utility by eliminating 
any performance-related features or impact the stringency of the 
current energy conservation standard for these products.
    Issue 6: DOE seeks information regarding any other new product 
classes it should consider for inclusion in its analysis of GSFLs. 
Specifically, DOE requests information on the performance-related 
features (e.g., dimmability, lifetime, etc.) that provide unique 
consumer utility and data detailing the corresponding impacts on energy 
use that would justify separate product classes (i.e., explanation for 
why the presence of these performance-related features would increase 
energy consumption).
    Issue 7: DOE seeks information on whether there are issues with 
dimming reduced wattage GSFLs, and if so, what are the specific issues 
and for what types of GSFLs do they occur.
    Issue 8: DOE requests information regarding the maximum efficacy 
achievable by 2-foot U-shaped lamps with 1 \5/8\ inch spacing versus 
those with 6 inch spacing and the utility that each offer consumers. 
DOE seeks information on the shipment volume of 2-foot U-shaped lamps 
with 1 \5/8\ inch spacing \8\ versus those with 6 inch spacing.
---------------------------------------------------------------------------

    \8\ Spacing refers to the length between the legs of a U-shaped 
fluorescent lamp.
---------------------------------------------------------------------------

    For IRLs, the current energy conservation standards specified in 10 
CFR 430.2(n) are based on 8 product classes as analyzed in the 2015 
GSFL-IRL ECS final rule, separated according to the following three 
factors: (1) Rated voltage; (2) lamp spectrum; and (3) lamp diameter. 
80 FR 4042, 4063-4064. Table II.2 lists the current product classes for 
IRLs.

                 Table II.2--Current IRL Product Classes
------------------------------------------------------------------------
                                 Diameter (in
          Lamp type                 inches)           Input voltage
------------------------------------------------------------------------
Standard Spectrum............              >2.5  >=125 Volts (V)
                                                 <125 V
                                          <=2.5  >=125 V
                                                 <125 V
Modified Spectrum............              >2.5  >=125 V
                                                 <125 V

[[Page 25331]]

 
                                          <=2.5  >=125 V
                                                 <125 V
------------------------------------------------------------------------

    Issue 9: DOE requests feedback on the current IRL product classes 
and whether changes to these individual product classes and their 
descriptions should be made or whether certain classes should be merged 
or separated. DOE further requests feedback on whether combining or 
separating certain classes could impact product utility by eliminating 
any performance-related features or impact the stringency of the 
current energy conservation standard for these products.
    Issue 10: DOE seeks information regarding any other new product 
classes it should consider for inclusion in its analysis of IRLs. 
Specifically, DOE requests information on performance-related features 
(e.g., length, beam spread, etc.) that provide unique consumer utility 
and data detailing the corresponding impacts on energy use that would 
justify separate product classes (i.e., explanation for why the 
presence of these performance-related features would increase energy 
consumption).
    Issue 11: DOE requests information regarding the maximum efficacy 
achievable by the certain ER, BR, and R lamps newly included in this 
analysis and whether ER, BR, and R lamps offer the consumer unique 
utility. DOE also requests information regarding the shipments of the 
certain ER, BR, and R lamps exempt from current standards compared to 
the shipments of other ER, BR, and R lamps that must comply with 
current standards.
2. Technology Assessment
    In analyzing the feasibility of potential new or amended energy 
conservation standards, DOE uses information about existing and past 
technology options and prototype designs to help identify technologies 
that manufacturers could use to meet and/or exceed a given set of 
energy conservation standards under consideration. In consultation with 
interested parties, DOE intends to develop a list of technologies to 
consider in its analysis. That analysis will likely include a number of 
the technology options DOE previously considered during its most recent 
rulemaking for GSFLs and IRLs. A complete list of those prior options 
appears in Table II.3 for GSFLs and Table II.4 for IRLs of this RFI.

  Table II.3--GSFL Technology Options From the 2015 GSFL-IRL ECS Final
                                  Rule
------------------------------------------------------------------------
     Name of technology option                   Description
------------------------------------------------------------------------
Highly Emissive Electrode Coatings  Improved electrode coatings allow
                                     electrons to be more easily removed
                                     from electrodes, reducing lamp
                                     power and increasing overall
                                     efficacy.
Higher Efficiency Lamp Fill Gas     Fill gas compositions improve
 Composition.                        cathode thermionic emission or
                                     increase mobility of ions and
                                     electrons in the lamp plasma.
Higher Efficiency Phosphors.......  Phosphors increase the conversion of
                                     ultraviolet light into visible
                                     light.
Glass Coatings....................  Coatings on inside of bulb enable
                                     the phosphors to absorb more UV
                                     energy, so that they emit more
                                     visible light.
Higher Efficiency Lamp Diameter...  Optimal lamp diameters improve lamp
                                     efficacy.
Multi-Photon Phosphors............  Phosphors emit more than one visible
                                     photon for each incident UV photon.
------------------------------------------------------------------------


Table II.4--IRL Technology Options From the 2015 GSFL-IRL ECS Final Rule
------------------------------------------------------------------------
     Name of technology option                   Description
------------------------------------------------------------------------
Higher Temperature Operation......  Operating the filament at higher
                                     temperatures, the spectral output
                                     shifts to lower wavelengths,
                                     increasing its overlap with the eye
                                     sensitivity curve.
Microcavity Filaments.............  Texturing, surface perforations,
                                     microcavity holes with material
                                     fillings, increasing surface area
                                     and thereby light output.
Novel Filament Materials..........  More efficient filament alloys that
                                     have a high melting point, low
                                     vapor pressure, high strength, high
                                     ductility, or good radiating
                                     characteristics.
Thinner Filaments.................  Thinner filaments to increase
                                     operating temperature. This measure
                                     may shorten the operating life of
                                     the lamp.
Crystallite Filament Coatings.....  Layers of micron or submicron
                                     crystallites deposited on the
                                     filament surface that increases
                                     emissivity of the filament.
Higher Efficiency Inert Fill Gas..  Filling lamps with alternative
                                     gases, such as Krypton, to reduce
                                     heat conduction.
Higher Pressure Tungsten-Halogen    Increased halogen bulb burner
 Lamps.                              pressurization, allowing higher
                                     temperature operation.
Non-Tungsten-Halogen Regenerative   Novel filament materials that
 Cycles.                             regenerate.
Infrared Glass Coatings...........  When used with a halogen burner,
                                     this is referred to as an HIR lamp.
                                     Infrared coatings on the inside of
                                     the bulb to reflect some of the
                                     radiant energy back onto the
                                     filament.
IR Phosphor Glass Coatings........  Phosphor coatings that can absorb IR
                                     radiation and re-emit it at shorter
                                     wavelengths (visible region of
                                     light), increasing the lumen
                                     output.
UV Phosphor Glass Coatings........  Phosphor coatings that convert UV
                                     radiation into longer wavelengths
                                     (visible region of light),
                                     increasing the lumen output.

[[Page 25332]]

 
Electron Stimulated Luminescence..  A low voltage cathodoluminescent
                                     phosphor that emits green light
                                     (visible region of light) upon
                                     impingement by thermally ejected
                                     electrons, increasing the lumen
                                     output.
Higher Efficiency Reflector         Alternative reflector coatings such
 Coatings.                           as silver, with higher reflectivity
                                     increase the amount of directed
                                     light.
Corner Reflectors.................  Individual corner reflectors in the
                                     cover glass that reflect light
                                     directly back in the direction from
                                     which it came.
High Reflectance Filament Supports  Filament supports that include a
                                     reflective face that reflects light
                                     to another filament, the reflective
                                     face of another filament support,
                                     or radially outward.
Permanent Infrared Reflector        Permanent shroud with an IR
 Coating Shroud.                     reflector coating and a removable
                                     and replaceable lamp can increase
                                     efficiency while reducing
                                     manufacturing costs by allowing IR
                                     reflector coatings to be reused.
Higher Efficiency Burners.........  A double-ended burner that features
                                     a lead wire outside of the burner,
                                     where it does not interfere with
                                     the reflectance of energy from the
                                     burner wall back to the burner
                                     filament in HIR lamps.
------------------------------------------------------------------------

    Issue 12: DOE seeks information on the technologies listed in Table 
II.3 and Table II.4 of this RFI regarding their applicability to the 
current market and how these technologies may impact the efficacy of 
GSFLs and IRLs (including certain ER, BR, and R IRLs) as measured 
according to the DOE test procedure. DOE also seeks information on how 
these technologies may have changed since they were considered in the 
2015 GSFL-IRL ECS final rule analysis. Specifically, DOE seeks 
information on the range of efficiencies or performance characteristics 
that are currently available for each technology option.
    Issue 13: DOE seeks information on the technologies listed in Table 
II.3 and Table II.4 of this RFI regarding their market adoption, costs, 
and any concerns with incorporating them into products (e.g., impacts 
on consumer utility, potential safety concerns, manufacturing/
production/implementation issues, etc.), particularly as to changes 
that may have occurred since the 2015 GSFL-IRL ECS final rule analysis.
    Issue 14: DOE seeks comment on other technology options that it 
should consider for inclusion in its analysis and if these technologies 
may impact product features or consumer utility.

C. Screening Analysis

    The purpose of the screening analysis is to evaluate the 
technologies that improve lamp efficacy to determine which technologies 
will be eliminated from further consideration and which will be passed 
to the engineering analysis for further consideration.
    DOE determines whether to eliminate certain technology options from 
further consideration based on the following criteria:
    (1) Technological feasibility. Technologies that are not 
incorporated in commercial products or in working prototypes will not 
be considered further.
    (2) Practicability to manufacture, install, and service. If it is 
determined that mass production of a technology in commercial products 
and reliable installation and servicing of the technology could not be 
achieved on the scale necessary to serve the relevant market at the 
time of the compliance date of the standard, then that technology will 
not be considered further.
    (3) Adverse impacts on product utility or product availability. If 
a technology is determined to have significant adverse impact on the 
utility of the product to significant subgroups of consumers, or result 
in the unavailability of any covered product type with performance 
characteristics (including reliability), features, sizes, capacities, 
and volumes that are substantially the same as equipment generally 
available in the United States at the time, it will not be considered 
further.
    (4) Adverse impacts on health or safety. If it is determined that a 
technology will have significant adverse impacts on health or safety, 
it will not be considered further.
    10 CFR part 430, subpart C, appendix A, 4(a)(4) and 5(b).
    Technology options identified in the technology assessment are 
evaluated against these criteria using DOE analysis and inputs from 
interested parties (e.g., manufacturers, trade organizations, and 
energy efficiency advocates). Technologies that pass through the 
screening analysis are referred to as ``design options'' in the 
engineering analysis. Technology options that fail to meet one or more 
of the four criteria are eliminated from consideration.
    Additionally, DOE notes that the four screening criteria do not 
directly address the proprietary status of technology options. DOE only 
considers potential efficiency levels achieved through the use of 
proprietary designs in the engineering analysis if they are not part of 
a unique pathway to achieve that efficiency level (i.e., if there are 
other non-proprietary technologies capable of achieving the same 
efficiency level).
    Table II.5 and Table II.6 of this RFI summarize the technology 
options that DOE screened out in the 2015 GSFL-IRL ECS final rule, and 
the applicable screening criteria.

             Table II.5--Screened Out GSFL Technology Options From the 2015 GSFL-IRL ECS Final Rule
----------------------------------------------------------------------------------------------------------------
                                                          EPCA Criteria (X = Basis for Screening Out)
----------------------------------------------------------------------------------------------------------------
                                                                Practicability                       Adverse
                                               Technological   to manufacture,  Adverse  impact     impacts on
         Screened technology option             feasibility      install, and     on  product       health and
                                                                   service          utility           safety
----------------------------------------------------------------------------------------------------------------
Multi-Photon Phosphors......................               X                X   ...............  ...............
----------------------------------------------------------------------------------------------------------------


[[Page 25333]]


              Table II.6--Screened Out IRL Technology Options From the 2015 GSFL-IRL ECS Final Rule
----------------------------------------------------------------------------------------------------------------
                                                            EPCA Criteria (X = Basis for Screening Out)
----------------------------------------------------------------------------------------------------------------
                                                                  Practicability
                                                                        to        Adverse impact      Adverse
           Screened technology option              Technological   manufacture,     on product      impacts on
                                                    feasibility    install, and       utility       health and
                                                                      service                         safety
----------------------------------------------------------------------------------------------------------------
Microcavity Filaments...........................               X               X               X  ..............
Novel Filament Materials........................               X               X               X  ..............
Crystallite Filament Coatings...................               X               X  ..............  ..............
Non-Tungsten-Halogen Regenerative Cycles........               X               X               X  ..............
Infrared Phosphor Glass Coating.................               X               X  ..............  ..............
Ultraviolet Phosphor Glass Coating..............               X               X  ..............  ..............
Electron Stimulated Luminescence................               X               X  ..............  ..............
Corner Reflectors...............................               X               X  ..............  ..............
High Reflectance Filament Supports..............               X               X  ..............  ..............
Permanent Infrared Reflector Coating Shroud.....               X               X  ..............  ..............
Higher Efficiency Burners for Small Diameter      ..............  ..............               X  ..............
 IRLs (less than or equal to 2.5 inches)........
High Efficiency Gold Reflector Coatings.........  ..............  ..............               X  ..............
----------------------------------------------------------------------------------------------------------------

    Issue 15: With respect to the screened out technology options 
listed in Table II.5 and Table II.6 of this RFI, DOE seeks information 
on whether these options would, based on current and projected 
assessments regarding each of them, remain screened out for GSFLs and 
IRLs (including certain ER, BR, and R lamps) under the four screening 
criteria described in this section. With respect to each of these 
technology options, what steps, if any, could be (or have already been) 
taken to facilitate the introduction of each option as a means to 
improve the energy performance of GSFLs and IRLs and the potential to 
impact consumer utility of the GSFLs and IRLs.
    Issue 16: DOE seeks information regarding how the screening 
criteria would affect any other technology options not already 
identified in this document with respect to their potential use in 
GSFLs and IRLs (including certain ER, BR, and R lamps).

D. Engineering Analysis

    The engineering analysis estimates the cost-efficiency relationship 
of products at different levels of increased energy efficacy 
(``efficacy levels''). This relationship serves as the basis for the 
cost-benefit calculations for customers, manufacturers, and the Nation. 
In determining the cost-efficiency relationship, DOE estimates the 
increase in manufacturer production cost (``MPC'') associated with 
increasing the efficiency of product above the baseline, up to the 
maximum technologically feasible (``max-tech'') efficacy level for each 
product class.
    DOE historically has used the following three methodologies to 
generate incremental manufacturing costs and establish efficacy levels 
(``ELs'') for analysis: (1) The design-option approach, which provides 
the incremental costs of adding to a baseline model design options that 
will improve its efficacy; (2) the efficacy-level approach, which 
provides the relative costs of achieving increases in efficacy levels, 
without regard to the particular design options used to achieve such 
increases; and (3) the cost-assessment (or reverse engineering) 
approach, which provides ``bottom-up'' manufacturing cost assessments 
for achieving various levels of increased efficacy, based on detailed 
cost data for parts and material, labor, shipping/packaging, and 
investment for models that operate at particular efficacy levels.
    Because GSFLs and IRLs are difficult to reverse-engineer (i.e., not 
easily disassembled), DOE is considering directly deriving end-user 
prices for the lamps covered in this evaluation. Specifically, DOE is 
considering deriving ELs in the engineering analysis and end-user 
prices in the product price determination. By combining the results of 
the engineering analysis and the product price determination, DOE can 
derive typical inputs for use in the life-cycle cost (``LCC'') analysis 
and national impact analysis (``NIA'').
1. Representative Product Classes
    For the 2015 GSFL-IRL ECS final rule, DOE did not analyze all GSFL 
and IRL product classes. Rather, DOE identified and focused on 
representative product classes and then scaled the ELs from 
representative product classes to those product classes it did not 
analyze directly (see section II.D.4 for further details on scaling). 
For GSFLs, DOE identified lamps with CCTs less than 4,500 K (with the 
exception of the 2-foot U-shaped lamps) as representative product 
classes due to their high market volume. 80 FR 4042, 4067. For IRLs, 
DOE identified standard spectrum lamps, with diameters greater than 2.5 
inches, and input voltage less than 125 V as the representative product 
class due to their high market volume. 80 FR 4042, 4075. Consistent 
with this approach, DOE tentatively plans to analyze the aforementioned 
product classes as representative.
2. Baseline lamps
    For each representative product class, DOE selects a baseline lamp 
as a reference point against which any changes resulting from new or 
amended energy conservation standards can be measured. Typically, a 
baseline model is the most common, least efficacious lamp sold in a 
given product class. DOE also considers other lamp characteristics in 
choosing the most appropriate baseline for each product class such as 
wattage, lumen output, and lifetime.
    Consistent with this analytical approach, DOE tentatively plans to 
consider the current minimum energy conservation standards (which were 
required for compliance starting on January 26, 2018 for GSFLs and July 
14, 2012 for IRLs) to establish the baseline model for each product 
class. As noted previously, the current GSFL and IRL standards are 
based on lamp efficacy. The current standards for GSFLs are found in 10 
CFR 430.32(n)(4) and for IRLs in 10 CFR 430.32(n)(6). DOE tentatively 
plans to identify efficacies of products from the DOE's Compliance 
Certification Management System (``CCMS'') database.
    Issue 17: DOE requests feedback on whether the current energy 
conservation standards for GSFLs and IRLs provide an appropriate 
baseline efficiency level

[[Page 25334]]

for DOE to use in evaluating whether to amend the current energy 
conservation standards for any of the product classes regulated by DOE. 
DOE requests data and suggestions to select the baseline models in 
order to better evaluate amending energy conservation standards for 
GSFLs and IRLs. In particular, DOE requests comment on the most common 
wattages, diameters, lifetimes, and features of GSFLs and IRLs 
(including certain ER, BR, and R lamps) sold today and whether these 
characteristics vary in popularity based on the region in which the 
lamps are sold.
    Issue 18: DOE requests feedback on how to determine baseline models 
for product classes that have lamps with minimum efficacies above the 
existing standard (i.e., T5 SO and T5 HO lamps).
    Issue 19: DOE requests feedback on the appropriate baseline models 
for any newly analyzed product classes for which standards are not 
currently in place or for the contemplated combined product classes, as 
discussed in II.B.1 of this document.
3. Efficacy Levels and Maximum Technologically Feasible Levels
    In the 2015 GSFL-IRL final rule, for GSFLs, DOE selected more 
efficacious substitutes with characteristics (e.g., CCT, color 
rendering index [``CRI''], lifetime) as similar as possible to the 
baseline lamps. 80 FR 4042, 4067. DOE also ensured that full wattage 
lamps could meet each EL. 80 FR 4042, 4069-4070. Because fluorescent 
lamps operate on a ballast in practice, to capture real-world energy 
use and light output, DOE analyzed lamp-and-ballast systems in the 
engineering analysis. DOE analyzed more efficacious systems that 
maintain mean lumen output within 10 percent of the baseline, when 
possible.
    For IRLs, in the GSFL-IRL ECS final rule, DOE considered substitute 
lamps that saved energy and, where possible, had a light output within 
10 percent of the baseline lamp's light output. Id. at 80 FR 4076. For 
IRLs, DOE developed a continuous equation that specifies a minimum 
efficacy requirement across wattages and represents the potential 
efficacy a lamp can achieve using a particular design option.
    In the 2015 GSFL-IRL ECS final rule, after identifying more 
efficacious substitutes for each baseline model, DOE developed ELs. DOE 
developed ELs based on: (1) The design options associated with the 
specific lamps studied; (2) the ability of lamps across wattages to 
comply with the standard level of a given product class; \9\ and (3) 
the maximum technologically feasible efficacy level or ``max-tech''. 
For GSFLs, DOE used initial lumens from manufacturer catalogs and ANSI 
wattages, where possible, to develop initial ELs. DOE then compared 
these ELs to CCMS data and adjusted levels downward as necessary.
---------------------------------------------------------------------------

    \9\ Efficacy levels span multiple lamps of different wattages. 
In selecting ELs, DOE considered whether these multiple lamps can 
meet the standard levels.
---------------------------------------------------------------------------

    In the 2015 GSFL-IRL ECS final rule, for GSFLs, DOE adopted the 
highest efficiency levels for the 4-foot MBP, 4-foot T5 SO, and 4-foot 
T5 HO product classes, requiring the use of 800 series rare earth 
phosphors for full wattage lamps. DOE maintained the baseline level for 
the 8-foot SP slimline product class, representing the use of less 
efficacious 800 series rare earth phosphors for full wattage lamps. DOE 
also maintained the baseline level for the 8-foot RDC HO product class, 
representing the use of less efficacious 700 series rare earth 
phosphors for full wattage lamps. This combination of ELs for the GSFL 
product classes represented the maximum net present value (``NPV'').
    In the 2015 GSFL-IRL ECS final rule, DOE proposed one EL 
representing the use of either a halogen infrared (``HIR'') lamp with a 
lifetime of 2,500 hours or an improved HIR lamp that may utilize 
improvements in reflector coatings with a lifetime of 4,200 hours. 
However, DOE did not adopt this EL because of the potential reduction 
in industry value and potential negative costs to the consumer in the 
scenario where manufacturers shortened the lifetime of IRLs. Instead, 
DOE maintained the baseline level requiring the use of a halogen lamp 
with a lifetime of 1,500 hours that utilizes a higher efficiency inert 
fill gas and a higher efficiency reflector coating.
    The maximum available efficacies for the analyzed product classes 
from the 2015 GSFL-IRL ECS final rule are included in Table II.7 for 
GSFLs, and Table II.8 of this RFI.

   Table II.7--GSFL Maximum Efficacy Levels From the 2015 GSFL-IRL ECS
                               Final Rule
------------------------------------------------------------------------
                                                          Efficacy level
                CCT                       Lamp type        (lumens/watt)
------------------------------------------------------------------------
<= 4,500 K........................  4-foot medium bipin.            92.4
                                    8-foot single pin             99.0 *
                                     slimline.
                                    8-foot recessed               97.6 *
                                     double contact HO.
                                    4-foot T5 miniature             95.0
                                     bipin SO.
                                    4-foot T5 miniature             82.7
                                     bipin HO.
------------------------------------------------------------------------
* indicates maximum efficacy levels not adopted in the 2015 GSFL-IRL ECS
  final rule.


                  Table II.8--IRL Maximum Efficacy Levels from the 2015 GSFL-IRL ECS Final Rule
----------------------------------------------------------------------------------------------------------------
                            Lamp type                                Diameter         Voltage          EL 1
----------------------------------------------------------------------------------------------------------------
Standard spectrum...............................................    > 2.5 inches         < 125 V     6.2P 0.27 *
----------------------------------------------------------------------------------------------------------------
P = rated wattage; * indicates maximum efficacy levels not adopted in the 2015 GSFL-IRL ECS final rule.

    DOE defines a max-tech efficacy level to represent the theoretical 
maximum possible efficacy if all available design options are 
incorporated in a model. In the 2015 GSFL-IRL ECS rule all max-tech 
levels analyzed were commercially available. In many cases, the max-
tech efficiency level is not commercially available because it is not 
economically feasible. Since the 2015 GSFL-IRL ECS final rule, DOE 
found, compared to values in Table II.7 of this RFI, GSFLs that 
indicate a 6 percent increase in efficacy for the 4-foot MBP product 
class, a 3 percent increase in efficacy for the 8-foot SP slimline 
product class, an 11 percent increase in efficacy for the 8-foot RDC HO 
product class, a 4 percent increase in efficacy for the 4-foot T5 
miniature bipin (MiniBP) SO product class, and a 17 percent increase in 
efficacy for the 4-foot T5 MiniBP HO product class. Since the GSFL-IRL 
ECS final rule, DOE found, compared to the value in Table II.8 of this 
RFI, IRLs that indicate a 5 percent increase in efficacy for the 
standard spectrum, > 2.5 inches

[[Page 25335]]

diameter, < 125 V rated voltage product class.
    Issue 20: DOE seeks input on the maximum achievable efficacy levels 
for GSFLs and IRLs (including certain ER, BR, and R lamps).
    Issue 21: DOE seeks feedback on what design options would be 
incorporated at a max-tech efficacy level, and the efficacies 
associated with those levels. As part of this request, DOE also seeks 
information as to whether there are limitations on the use of certain 
combinations of design options.
4. Scaling to Other Product Classes
    As noted previously, for the GSFL-IRL ECS final rule DOE analyzed 
the representative product classes directly. DOE then scaled the levels 
developed for the representative product classes to determine levels 
for product classes not analyzed directly.
    For GSFLs, in the 2015 GSFL-IRL ECS final rule, DOE did not 
directly analyze the 2-foot U-shaped lamps, and instead established ELs 
for this product class by scaling from ELs developed for the 4-foot MBP 
product class. DOE developed the scaling factor by comparing the 
efficacy of 2-foot U-shaped GSLs and the equivalent 4-foot MBP GSLs 
with the only difference between the two lamp types being the shape. 
For scaling ELs in the 4-foot MBP product class to ELs for the 2-foot 
MBP product class, DOE determined an average efficacy reduction of 8 
percent. DOE also did not directly analyze lamps with CCTs greater than 
4,500K and instead scaled the efficacy levels from lamps with CCTs less 
than or equal to 4,500K. DOE developed scaling factors for each product 
class with the higher CCT value by identifying pairs of the same lamp 
type differing only by CCT. DOE determined an average efficacy 
reduction of 4 percent for the 4-foot MBP product class, 2 percent for 
the 2-foot U-shaped product class, 3 percent for the 8-foot SP slimline 
product class, 4 percent for the 8-foot RDC HO product class, 6 percent 
for the T5 MiniBP SO product class, and 7 percent for the T5 MiniBP HO 
product class. 80 FR 4042, 4074; see 2015 GSFL-IRL ECS final rule 
chapter 5 technical support document (``TSD'').\10\
---------------------------------------------------------------------------

    \10\ The 205 GSFL-IRL ECS final rule TSD is available at: 
https://www.regulations.gov/document?D=EERE-2011-BT-STD-0006-0066.
---------------------------------------------------------------------------

    Issue 22: DOE requests feedback on the average efficacy difference 
between 2-foot MBP and 4-foot MBP lamps, where the only difference is 
shape; and between lamps with CCT less than or equal to 4,500K and CCT 
greater than 4,500K, where the only difference is CCT.
    For IRLs, in the 2015 GSFL-IRL ECS final rule, DOE did not directly 
analyze modified spectrum IRLs, and instead established ELs for this 
product class by scaling from the ELs developed for the standard 
spectrum product class. DOE developed a scaling factor by comparing 
pairs of standard spectrum and modified spectrum IRLs, where each pair 
had the same bulb shape, rated life, rated voltage, and filament shape, 
and differed only in spectrum. DOE determined that an efficacy 
reduction of 15 percent was appropriate. 80 FR 4042, 4081.
    DOE also did not directly analyze IRLs with diameters less than or 
equal to 2.5 inches, and instead established ELs for this product class 
by scaling from the ELs developed for the IRL product class with 
diameters greater than 2.5 inches. DOE developed a scaling factor by 
comparing the halogen PAR20 lamp (the most common IRL with a diameter 
less than or equal to 2.5 inches) with the same type of halogen PAR30 
or PAR38. For scaling IRLs with smaller diameters with larger 
diameters, DOE determined an average efficacy reduction of 12 percent.
    DOE also did not directly analyze IRLs with rated voltages greater 
than or equal to 125 V, and instead established ELs for this product 
class by scaling from the ELs developed for the IRL product class with 
rated voltages less than 125 V. Most consumers operate 130 V lamps at 
120 V, which slightly decreases their efficacy but increases their 
lifetime. DOE developed a scaling factor by using the Illuminating 
Engineering Society of North America (IESNA) Lighting Handbook 
equations that relate lifetime, lumens, and wattage to voltage of 
incandescent lamps to represent the potential increase in efficacy of a 
130 V lamp operated at 120 V. Specifically, the scaling factor captured 
the difference in efficacy between a 130 V lamp operating at 130 V and 
a 130 V lamp operating at 120 V with the same lifetime as the lamps 
analyzed in the 120 V product class. Id. at 4080-1.
    Issue 23: DOE requests feedback, including any relevant data, on 
the average efficacy difference between the standard and modified 
spectrum IRLs, where the only difference is spectrum; between IRLs with 
diameters less than or equal to 2.5 inches and greater than 2.5 inches, 
where the only difference is diameter; and between IRLs with rated 
voltages less than or equal to 125 V and greater than 125 V, where the 
only difference is rated voltage.

E. Product Price Determination

    In generating end-user price inputs for the LCC analysis and NIA, 
DOE must identify distribution channels (i.e., how the products are 
distributed from the manufacturer to the consumer), and estimate 
relative sales volumes through each channel. In the 2015 GSFL-IRL ECS 
final rule, DOE determined end-user prices for GSFLs and IRLs by 
gathering publicly available pricing data. DOE identified three main 
distribution channels through which GSFLs and IRLs are sold and their 
relative price range: (1) State procurement (low prices), (2) large 
retail distributors (medium prices), and (3) internet retailers (high 
prices). Based on manufacturer feedback, DOE determined an aggregated 
percentage of shipments that go through each of the main channels for 
GSFLs and IRLs: 10 Percent for state procurement, 85 percent for large 
distributors, and 5 percent for internet retailers. DOE then applied 
these percentages respectively to the average low price determined 
state procurement, average medium price determined for large 
distributors, and the average high price determined for internet 
retailers. The sum of these weighted prices was used as the average 
consumer price for GSFLs and IRLs in the main LCC analysis and NIA. 80 
FR 4042, 4082. See also chapter 7 of the 2015 GSFL-IRL ECS final rule 
TSD.
    Issue 24: DOE requests comments on the described methodology for 
the pricing analysis, as well as information on the existence of any 
distribution channels other than those described and their assigned 
weighting. DOE also requests information on whether this methodology is 
appropriate for certain ER, BR, and R IRLs.

F. Energy Use Analysis

    As part of the rulemaking process, DOE conducts an energy use 
analysis to identify how products are used by consumers, and thereby 
determine the energy savings potential of energy efficiency 
improvements. In the 2015 GSFL-IRL ECS final rule, to develop annual 
energy-use estimates, DOE multiplied annual usage (in hours per year) 
by the lamp power (in watts) for IRLs and the lamp-and-ballast system 
input power (in watts) for GSFLs. DOE characterized representative lamp 
or lamp-and-ballast systems in the engineering analysis. 80 FR 4042, 
4082. For GSFLs, DOE considered two different lamp-and-ballast system 
scenarios: (1) A lamp replacement scenario in which the consumer 
selects a reduced wattage replacement lamp that can operate on the 
installed ballast

[[Page 25336]]

and (2) a lamp-and-ballast replacement scenario in which the consumer 
selects a lamp that has the same or lower wattage compared to the 
baseline lamp and also selects a new ballast with improved performance 
characteristics. DOE selected lamp-and-ballast systems that maintained 
mean lumen output within 10 percent of the baseline system, when 
possible, giving priority to energy savings. 80 FR 4042, 4068.
    To characterize the country's average use of lamps for a typical 
year, in the 2015 GSFL-IRL ECS final rule, DOE developed annual 
operating hour distributions by sector, using data published in the 
2010 U.S. Lighting Market Characterization report (``2010 LMC''), the 
Commercial Building Energy Consumption Survey (``CBECS''), the 
Manufacturer Energy Consumption Survey (``MECS''), and the Residential 
Energy Consumption Survey (``RECS''). Because the 2010 LMC operating 
hour data used is based on building surveys and metering data, it 
accounted for the use of occupancy sensors. 80 FR 4042, 4082.
    Table II.9 provides the operating hours from the 2015 GSFL-IRL ECS 
final rule.

  Table II.9--Average Operating Hours by Sector and Lamp Type From the
                      2015 GSFL-IRL ECS Final Rule
------------------------------------------------------------------------
                                                          Average annual
              Sector                      Lamp type          operating
                                                           hours hr/year
------------------------------------------------------------------------
Residential.......................  GSFL................             634
                                    IRL.................             763
Commercial........................  GSFL................           4,065
                                    IRL.................           4,532
Industrial........................  GSFL................           4,586
------------------------------------------------------------------------

    DOE did account for the use of dimmers or light sensors by modeling 
GSFLs and IRLs on dimmers and developing associated energy-use results 
as a sensitivity analysis. For GSFLs, DOE determined that the average 
reduction of system lumen output for GSFLs was 33 percent, based on 
research and manufacturer input. For IRLs, DOE modeled two scenarios: 
(1) All lamps are on dimmers and on average consumers using dimmers 
reduce lamp wattage by 20 percent, corresponding to a lumen reduction 
of 25 percent and an increase in lifetime by a factor of 3.94 at the 
baseline and (2) there is a distribution of lamps on dimmers and 
weighted-average characteristics were determined based on estimated 
percentage of IRLs that operate on dimmers and sensors (29 percent for 
residential sector, 5 percent for commercial sector). 80 FR 4042, 4083. 
See also, chapter 6 of the 2015 GSFL-IRL ECS final rule TSD.
    Issue 25: DOE seeks feedback on the average annual operating hours 
for GSFLs and IRLs (including certain ER, BR and R lamps) by sector, 
and whether the values in Table II.9 continue to be adequate for future 
potential analyses. Please provide relevant data in support of whatever 
alternative values that DOE should use in lieu of its values listed in 
these tables.
    Issue 26: DOE seeks feedback on its methodology and data used to 
determine impact of lighting controls for GSFLs and IRLs (including 
certain ER, BR, and R lamps), and whether it is adequate for future 
potential analyses.
    Issue 27: DOE seeks feedback on any type of lighting control not 
mentioned that should be included in future potential analyses of GSFLs 
or IRLs (e.g., smart controls). Please provide relevant supporting data 
including how it is distinct from or works in conjunction with dimmers 
or sensors, prevalence of use by sector, and associated annual 
operating hours.

G. Life-Cycle Cost and Payback Analysis

    DOE conducts the LCC and payback period (``PBP'') analysis to 
evaluate the economic impacts of potential energy conservation 
standards for GSFLs and IRLs on individual customers. For any given 
efficacy level, DOE measures the PBP and the change in LCC relative to 
an estimated baseline level. The LCC is the total consumer expense over 
the life of the product, consisting of purchase, installation, and 
operating costs (expenses for energy use, maintenance, and repair). 
Inputs to the calculation of total installed cost include cost of the 
product--which includes consumer product price and sales taxes--and 
installation costs. Inputs to the calculation of operating expenses 
include annual energy consumption, energy prices and price projections, 
repair and maintenance costs, product lifetimes, discount rates, and 
the year that compliance with amended standards is required.
    In the 2015 GSFL-IRL ECS final rule, DOE defined lifetime as the 
age in hours of operation when a lamp or ballast is retired from 
service. DOE used manufacturer literature to determine lamp lifetimes. 
Additionally, DOE assumed that a GSFL subject to group relamping \11\ 
operates for 75 percent of its rated lifetime. For average ballast 
lifetime, DOE used 15 years for the residential sector and 49,054 hours 
for the commercial sector. 80 FR 4042, 4087-4088. See also chapter 8 of 
the 2015 GSFL-IRL ECS final rule TSD.
---------------------------------------------------------------------------

    \11\ Group relamping refers to the scenario when consumers 
replace all the lamps in a fixture or area at a predetermined time.
---------------------------------------------------------------------------

    In the 2015 GSFL-IRL ECS final rule, DOE determined LCC savings for 
GSFLs under three different consumer purchasing events: (1) Lamp 
failure, when in a standards scenario a consumer must purchase a 
standards-compliant lamp that operates on the existing ballast; (2) 
ballast failure, when in a standards scenario a consumer must purchase 
a standards-compliant lamp-and-ballast combination such that the system 
light output stays within 10 percent of the baseline system; (3) new 
construction and renovation, when light design can be completely new 
(assuming spacing between lamps does not change) and a consumer must 
purchase all new fixture installations. Only lamp purchase events were 
applicable to IRLs, which do not use a ballast. 80 FR 4041, 4087. See 
also chapter 8 of the 2015 GSFL-IRL ECS final rule TSD.
    Issue 28: DOE seeks feedback on the described methodology for 
determining lifetime (including whether other factors not mentioned may 
affect lifetime), the frequency of group relamping, and ballast 
lifetimes for GSFLs, and whether it is valid for use in potential 
future analyses.

[[Page 25337]]

    Issue 29: DOE seeks feedback on GSFL and IRL purchasing events for 
which LCC savings should be determined and information on any other 
typical purchasing events other than those described.

H. Shipments

    DOE develops shipment forecasts of GSFLs and IRLs to calculate the 
national impacts of potential amended energy conservation standards on 
energy consumption, NPV, and future manufacturer cash flows. DOE 
develops shipment projections based on historical data and an analysis 
of key market drivers for each product. Historical shipment data are 
used to build up a product stock and also to calibrate the shipments 
model. The shipments model projects shipments over a 30-year analysis 
period for the base case (no new standards) and for all standards 
cases.
    In the 2015 GSFL-IRL ECS final rule, separate shipment projections 
were calculated for the residential sector and for the commercial and 
industrial sectors. The shipments model used to estimate GSFL and IRL 
lamp shipments had four main interacting elements: (1) A lamp demand 
module that estimated the demand for GSFL and IRL lighting for each 
year of the analysis period; (2) a price-learning module, which 
projected future prices based on historic price trends; (3) 
substitution matrices, which specified the product choices available to 
consumers (lamps as well as lamp-and-ballast combinations for 
fluorescent lamps) depending on whether they are renovating, in new 
construction, or replacements; and (4) a market-share module that 
assigned shipments to product classes, ballasts, and lamp options, 
based on consumer sensitivities to first costs (prices) and operation 
and maintenance costs. 80 FR 4042, 4089.
    For GSFLs, DOE projected that in cases of renovation or new 
construction, some fraction of the lighting market being served by T8 
lamps will migrate to T5 lamps in the absence of standards. 
Additionally, DOE allowed all full wattage and reduced wattage lamp 
versions of the 4-foot MBP lamp type to be coupled to dimming ballasts; 
with the latter limited to 10 percent of the dimming ballast system 
market due to performance issues. For the GSFL reference scenario, DOE 
used the most recent price data (June 2014) for rare earth phosphors 
(``REO'') but also conducted a sensitivity analysis where the average 
rare earth phosphor price was 4.5 times the reference level.
    For IRLs, DOE assumed all potential switching from PAR to BR lamps 
had already taken place and accounted for some consumers shifting to 
light emitting diode (``LED'') lamps with the use of an LED market 
adoption curve. For additional detail in the development of shipments 
data in the 2015 GSFL-IRL ECS final rule see chapter 11 of the 2015 
GSFL-IRL ECS final rule TSD.
    Issue 30: DOE requests information on the migration of GSFL lamp 
types among GSFL product classes and to exempt products (e.g., high CRI 
linear fluorescent lamps) or to other lamp technologies and suggestions 
on how to account for such shifts in its shipment model.
    Issue 31: DOE requests information on migration of IRL lamp types 
among IRL product classes and to exempt products or to other lamp 
technologies and suggestions on how to account for such shifts in its 
shipment model.
    Table II.10 and Table II.11 of this RFI, respectively, provide GSFL 
and IRL shipment projections from the 2015 GSFL-IRL ECS final rule for 
the years 2017 through 2019.

                   Table II.10--Projected GSFL Shipments From the 2015 GSFL-IRL ECS Final Rule
----------------------------------------------------------------------------------------------------------------
                            Lamp type                                  2017            2018            2019
----------------------------------------------------------------------------------------------------------------
4-ft Medium Bipin (Commercial/Industrial).......................         295,498         292,682         288,025
4-ft Medium Bipin (Residential).................................          14,094          13,221          12,564
8-ft Slimline...................................................          11,734          11,129          10,858
8-ft High Output................................................           3,340           2,937           2,546
T5 Standard Output..............................................          40,565          43,493          45,905
T5 High Output..................................................          31,646          33,266          34,493
U-shaped........................................................          14,194          14,086          13,908
----------------------------------------------------------------------------------------------------------------


                Table II.11--Projected Total IRL Shipments From the 2015 GSFL-IRL ECS Final Rule
----------------------------------------------------------------------------------------------------------------
                             Sector                                    2017            2018            2019
----------------------------------------------------------------------------------------------------------------
Residential.....................................................          27,021          24,654          20,974
Commercial......................................................           3,746           2,993           2,506
----------------------------------------------------------------------------------------------------------------

    Issue 32: DOE seeks feedback on how the projected shipments in 
Table II.10 and Table II.11 of this RFI compare to actual shipments of 
GSFLs and IRLs in these years.
    Issue 33: DOE seeks shipment data on GSFLs and IRLs over the last 
5-year period, separated by product classes. For each product class of 
GSFLs, DOE seeks shipment data by lamp diameter.
    Issue 34: DOE requests information on the current and past five 
years of shipments of certain ER, BR, and R lamps. DOE also requests 
information on expected market trends for these products over the 
analysis period.
    NEMA periodically releases lamp indices. In a recent lamp index 
report, NEMA stated that shipments for T5, T8, and T12 lamps in the 
first quarter of 2019 decreased by 12.3 percent, 13.6 percent, and 2.8 
percent, respectively compared to the same period the previous year. In 
the first quarter of 2019 tubular light-emitting diodes (``TLEDs'') 
accounted for 30.4 percent and T5, T8, and T12 fluorescent lamps 
accounted for respectively, 8.2 percent, 50.9 percent, and 10.4 percent 
of fluorescent lamp shipments.\12\ Comparatively, in the fourth quarter 
of 2017, TLEDs accounted for 23.1 percent and T5, T8, and T12 
fluorescent lamps accounted for respectively 8.5 percent, 57.1 percent, 
and 11.4 percent of the fluorescent lamp shipments.\13\ NEMA's

[[Page 25338]]

data point to a decline in linear fluorescent shipments and an increase 
in TLED shipments.
---------------------------------------------------------------------------

    \12\ Linear Fluorescent Lamp Indexes Continue Year-Over-Year 
Decline in First Quarter 2019 while T-LED Market Penetration 
Increases. See https://www.nema.org/Intelligence/Indices/Pages/Linear-Fluorescent-Lamp-Indexes-Continue-Year-Over-Year-Decline-in-First-Quarter-2019-while-T-LED-Market-Penetration-Increa.aspx.
    \13\ Linear Fluorescent Lamp Indexes Continue Year-Over-Year 
Decline in Fourth Quarter 2017 while T-LED Market Penetration 
Increases. See https://www.nema.org/Intelligence/Indices/Pages/Linear-Fluorescent-Lamp-Indexes-Continue-Year-Over-Year-Decline-in-Fourth-Quarter-2017-while-T-LED-Market-Penetration-Incre.aspx.
---------------------------------------------------------------------------

    Issue 35: DOE seeks feedback on the projected rate of increase/
decline of GSFL and IRL (including certain ER, BR, and R lamps) 
shipments in the next five years.
    Issue 36: DOE also seeks information on the rate of shift from 
linear fluorescents to TLEDs including what types of GSFLs TLEDs are 
most frequently replacing (i.e., diameter, length) and in what 
scenarios are replacements occurring (i.e., single lamp replacement, 
renovation, new construction).
    Issue 37: DOE seeks information regarding the potential variables 
that could cause consumers to opt to purchase other technologies (such 
as TLEDs) instead of GSFLs. DOE specifically seeks input on the 
magnitude of the change in efficiency, first cost, payback, or other 
variables that could cause consumers to opt for an alternate technology 
if energy conservation standards for GSFLs were amended.
    Issue 38: DOE also seeks information on shifts within reflector 
incandescent/halogen lamps and/or to other lamp technologies.
    Linear fluorescent lamps with a CRI greater than or equal 87 
(``high CRI fluorescent lamps'') are not subject to standards. Based on 
a preliminary review of products on the market, DOE found several high 
CRI fluorescent lamps on the market. DOE found that most of these 
products are T12 linear fluorescent lamps comprising mainly of the 4-
foot MBP lamp type followed by the 8-foot SP slimline lamp type.
    Issue 39: DOE requests information on the portion of the 
fluorescent lamp market that comprises of lamps with CRI of 87 or 
higher and information on the common shapes, lengths, diameters, and 
base types of these lamps. DOE also requests information on the 
specific applications for which fluorescent lamps with CRI of 87 or 
higher are used.
    Additionally, based on its preliminary review of the market, DOE 
found several T12 lamps of lengths that are not currently regulated.
    Issue 40: DOE requests information on the portion of the 
fluorescent lamp market comprised of lamps with T12 diameters and the 
common base types and lengths of those lamps. DOE also requests 
information on the specific applications for which these T12 lamps are 
used.

I. National Impact Analysis

    The purpose of the NIA is to estimate the aggregate economic 
impacts of potential efficacy standards at the national level. The NIA 
assesses the national energy savings (``NES'') and the national NPV of 
total consumer costs and savings that would be expected to result from 
new or amended standards at specific efficiency levels.
    In the 2015 GSFL-IRL ECS final rule, DOE evaluated the impacts of 
new and amended standards for GSFLs and IRLs by comparing projections 
of total energy consumption with amended energy conservation standards 
to projections of energy consumption without the standards (no new 
standards). The no-new-standards case projections characterize energy 
use and consumer costs for each product class in the absence of new or 
amended energy conservation standards. In characterizing the no-new-
standards and standards cases, DOE considered shipments from the 
shipments model, the mix of efficiencies sold in the absence of amended 
standards and how they may change, the annual energy consumption and 
installed cost per unit, and changes in electricity prices. In the 
reference case DOE assumed lighting controls penetration grows year-by-
year in the commercial and industrial sector, as driven by an estimated 
75 percent compliance rate with building codes (assuming these building 
codes remain frozen in time).
    DOE reduced the unit energy consumption (UEC) by a fixed 30 percent 
for the stock of lighting in which controls based on switching only 
were assumed to operate. For controls systems that incorporate dimming, 
DOE assumed the energy consumption reductions per those described in 
section II.F of this RFI.
    Since lamps and ballasts are sold separately, DOE considered a 
broad array of lamp-and-ballast pairings that were representative of 
what consumer may choose and ensured that the ballast and lamp were 
compatible and where possible (without sacrificing energy savings) 
provided light output within 10 percent or less of the baseline lamp-
and-ballast system. DOE assumed no rebound effect for lighting. The 
rebound effect refers to the tendency of a consumer to respond to the 
cost savings associated with more efficient products in a manner that 
leads to marginally greater equipment usage, thereby diminishing some 
portion of anticipated benefits related to improved efficacy. See 
chapter 11 and 12 of the 2015 GSFL-IRL ECS final rule TSD for a 
detailed discussion of the NIA.
    Issue 41: DOE seeks information on the distribution of lamp 
efficacy within each product class and whether that is expected to 
change under the currently applicable energy conservation standards.
    Issue 42: DOE seeks information regarding the use of lighting 
controls at a national level broken down, if possible, by the type of 
lighting control (e.g. occupancy sensors, dimmers, etc.).
    Issue 43: DOE seeks comments and information on whether a rebound 
rate of 0 percent is appropriate.

J. Manufacturer Impact Analysis

    The purpose of the manufacturer impact analysis (``MIA'') is to 
estimate the financial impact of amended energy conservation standards 
on manufacturers of GSFLs and IRLs, and to evaluate the potential 
impact of such standards on direct employment and manufacturing 
capacity. The MIA includes both quantitative and qualitative aspects. 
The quantitative part of the MIA primarily relies on the Government 
Regulatory Impact Model (``GRIM''), an industry cash-flow model adapted 
for each product in this analysis, with the key output of industry net 
present value (``INPV''). The qualitative part of the MIA addresses the 
potential impacts of energy conservation standards on manufacturing 
capacity and industry competition, as well as factors such as product 
characteristics, impacts on particular subgroups of firms, and 
important market and product trends.
    In the 2015 GSFL-IRL ECS final rule, for the MIA, DOE modeled two 
standards case markup scenarios to represent the uncertainty regarding 
the potential impacts on prices and profitability for manufacturers 
following the implementation of potential amended energy conservation 
standards: (1) A flat, or preservation of gross margin, markup scenario 
(absolute dollar markup increases as product costs increase with 
efficacy) and (2) a preservation of operating profit markup scenario 
(maintain the no-new-standards case total operating profit in absolute 
dollars in the standards case, despite higher production costs and 
investment). In addition, based on manufacturer feedback, for GSFLs, 
DOE evaluated a two-tiered markup scenario which assumed higher 
efficacy GSFLs command a higher manufacturer markup and baseline 
efficacy GSFLs subsequently have a lower manufacturer markup. See 
chapter 13 of the GSFL-IRL ECS final rule TSD.

[[Page 25339]]

    Issue 44: DOE seeks feedback on the manufacturer markup scenarios 
described above, and whether they are valid for use in potential future 
analyses.
    As part of the MIA, DOE intends to analyze impacts of amended 
energy conservation standards on subgroups of manufacturers of covered 
products, including small business manufacturers. DOE uses the Small 
Business Administration's (``SBA's'') small business size standards to 
determine whether manufacturers qualify as small businesses, which are 
listed by the applicable North American Industry Classification System 
(``NAICS'') code.\14\ Manufacturing of GSFLs and IRLs is classified 
under NAICS 335110, ``Electric Lamp Bulb and Part Manufacturing,'' and 
the SBA sets a threshold of 1,250 employees or less for a domestic 
entity to be considered as a small business. This employee threshold 
includes all employees in a business' parent company and any other 
subsidiaries.
---------------------------------------------------------------------------

    \14\ Available online at https://www.sba.gov/document/support--table-size-standards.
---------------------------------------------------------------------------

    One aspect of assessing manufacturer burden involves examining the 
cumulative impact of multiple DOE standards and the product-specific 
regulatory actions of other Federal agencies that affect the 
manufacturers of a covered product. While any one regulation may not 
impose a significant burden on manufacturers, the combined effects of 
several existing or impending regulations may have serious consequences 
for some manufacturers, groups of manufacturers, or an entire industry. 
Assessing the impact of a single regulation may overlook this 
cumulative regulatory burden. In addition to energy conservation 
standards, other regulations can significantly affect manufacturers' 
financial operations. Multiple regulations affecting the same 
manufacturer can strain profits and lead companies to abandon product 
lines or markets with lower expected future returns than competing 
products. For these reasons, DOE conducts an analysis of cumulative 
regulatory burden as part of its rulemakings pertaining to appliance 
efficiency.
    Issue 45: To the extent feasible, DOE seeks the names and contact 
information of any domestic or foreign-based manufacturers that 
distribute GSFLs and IRLs (including certain ER, BR, and R lamps) in 
the United States.
    Issue 46: DOE identified small businesses as a subgroup of 
manufacturers that could be disproportionally impacted by amended 
energy conservation standards. DOE requests the names and contact 
information of small business manufacturers, as defined by the SBA's 
size threshold, of GSFLs and IRLs (including certain ER, BR, and R 
lamps) that distribute products in the United States. In addition, DOE 
requests comment on any other manufacturer subgroups that could be 
disproportionately impacted by amended energy conservation standards. 
DOE requests feedback on any potential approaches that could be 
considered to address impacts on manufacturers, including small 
businesses.
    Issue 47: DOE requests information regarding the cumulative 
regulatory burden impacts on manufacturers of GSFLs and IRLs (including 
certain ER, BR, and R lamps) associated with (1) other DOE standards 
applying to different products that these manufacturers may also make 
and (2) product-specific regulatory actions of other Federal agencies. 
DOE also requests comment on its methodology for computing cumulative 
regulatory burden and whether there are any flexibilities it can 
consider that would reduce this burden while remaining consistent with 
the requirements of EPCA.

III. Other Energy Conservation Standards Topics

A. Market Failures

    In the field of economics, a market failure is a situation in which 
the market outcome does not maximize societal welfare. Such an outcome 
would result in unrealized potential welfare. DOE welcomes comment on 
any aspect of market failures, especially those in the context of 
amended energy conservation standards for GSFLs and IRLs.

B. Network Mode/``Smart'' Technology

    DOE published an RFI on the emerging smart technology appliance and 
equipment market. 83 FR 46886 (Sept. 17, 2018). In that RFI, DOE sought 
information to better understand market trends and issues in the 
emerging market for appliances and commercial equipment that 
incorporate smart technology. DOE's intent in issuing the RFI was to 
ensure that DOE did not inadvertently impede such innovation in 
fulfilling its statutory obligations in setting efficiency standards 
for covered products and equipment. DOE seeks comments, data and 
information on the issues presented in the RFI as they may be 
applicable to energy conservation standards for GSFLs and IRLs.

C. Other Issues

    Additionally, DOE welcomes comments on other issues relevant to the 
conduct of this rulemaking that may not specifically be identified in 
this document. In particular, DOE notes that under Executive Order 
13771, ``Reducing Regulation and Controlling Regulatory Costs,'' 
Executive Branch agencies such as DOE are directed to manage the costs 
associated with the imposition of expenditures required to comply with 
Federal regulations. See 82 FR 9339 (Feb. 3, 2017). Consistent with 
that Executive Order, DOE encourages the public to provide input on 
measures DOE could take to lower the cost of its energy conservation 
standards rulemakings, recordkeeping and reporting requirements, and 
compliance and certification requirements applicable to GSFLs and IRLs 
while remaining consistent with the requirements of EPCA.

IV. Submission of Comments

    DOE invites all interested parties to submit in writing by the date 
specified previously in the DATES section of this document, comments 
and information on matters addressed in this document and on other 
matters relevant to DOE's consideration of amended energy conservations 
standards for GSFLs and IRLs. After the close of the comment period, 
DOE will review the public comments received and may begin collecting 
data and conducting the analyses discussed in this document.
    Submitting comments via http://www.regulations.gov. The http://www.regulations.gov web page requires you to provide your name and 
contact information. Your contact information will be viewable to DOE 
Building Technologies Office staff only. Your contact information will 
not be publicly viewable except for your first and last names, 
organization name (if any), and submitter representative name (if any). 
If your comment is not processed properly because of technical 
difficulties, DOE will use this information to contact you. If DOE 
cannot read your comment due to technical difficulties and cannot 
contact you for clarification, DOE may not be able to consider your 
comment.
    However, your contact information will be publicly viewable if you 
include it in the comment or in any documents attached to your comment. 
Any information that you do not want to be publicly viewable should not 
be included in your comment, nor in any document attached to your 
comment. Persons viewing comments will see only first and last names, 
organization

[[Page 25340]]

names, correspondence containing comments, and any documents submitted 
with the comments.
    Do not submit to http://www.regulations.gov information for which 
disclosure is restricted by statute, such as trade secrets and 
commercial or financial information (hereinafter referred to as 
Confidential Business Information (``CBI'')). Comments submitted 
through http://www.regulations.gov cannot be claimed as CBI. Comments 
received through the website will waive any CBI claims for the 
information submitted. For information on submitting CBI, see the 
Confidential Business Information section.
    DOE processes submissions made through http://www.regulations.gov 
before posting. Normally, comments will be posted within a few days of 
being submitted. However, if large volumes of comments are being 
processed simultaneously, your comment may not be viewable for up to 
several weeks. Please keep the comment tracking number that 
www.regulations.gov provides after you have successfully uploaded your 
comment.
    Submitting comments via email, hand delivery/courier, or postal 
mail. Comments and documents submitted via email, hand delivery/
courier, or postal mail also will be posted to http://www.regulations.gov. If you do not want your personal contact 
information to be publicly viewable, do not include it in your comment 
or any accompanying documents. Instead, provide your contact 
information on a cover letter. Include your first and last names, email 
address, telephone number, and optional mailing address. The cover 
letter will not be publicly viewable as long as it does not include any 
comments.
    Include contact information each time you submit comments, data, 
documents, and other information to DOE. If you submit via postal mail 
or hand delivery/courier, please provide all items on a CD, if 
feasible. It is not necessary to submit printed copies. No 
telefacsimiles (faxes) will be accepted.
    Comments, data, and other information submitted to DOE 
electronically should be provided in PDF (preferred), Microsoft Word or 
Excel, WordPerfect, or text (ASCII) file format. Provide documents that 
are not secured, written in English, and free of any defects or 
viruses. Documents should not contain special characters or any form of 
encryption and, if possible, they should carry the electronic signature 
of the author.
    Campaign form letters. Please submit campaign form letters by the 
originating organization in batches of between 50 to 500 form letters 
per PDF or as one form letter with a list of supporters' names compiled 
into one or more PDFs. This reduces comment processing and posting 
time.
    Confidential Business Information. According to 10 CFR 1004.11, any 
person submitting information that he or she believes to be 
confidential and exempt by law from public disclosure should submit via 
email, postal mail, or hand delivery/courier two well-marked copies: 
One copy of the document marked confidential including all the 
information believed to be confidential, and one copy of the document 
marked ``non-confidential'' with the information believed to be 
confidential deleted. Submit these documents via email or on a CD, if 
feasible. DOE will make its own determination about the confidential 
status of the information and treat it according to its determination.
    It is DOE's policy that all comments may be included in the public 
docket, without change and as received, including any personal 
information provided in the comments (except information deemed to be 
exempt from public disclosure).
    DOE considers public participation to be a very important part of 
the process for developing energy conservation standards. DOE actively 
encourages the participation and interaction of the public during the 
comment period in each stage of the rulemaking process. Interactions 
with and between members of the public provide a balanced discussion of 
the issues and assist DOE in the rulemaking process. Anyone who wishes 
to be added to the DOE mailing list to receive future notices and 
information about this process or would like to request a public 
meeting should contact Appliance and Equipment Standards Program staff 
at (202) 287-1445 or via email at 
[email protected].
Signing Authority
    This document of the Department of Energy was signed on February 
25, 2020, by Alexander N. Fitzsimmons, Deputy Assistant Secretary for 
Energy Efficiency, Energy Efficiency and Renewable Energy, pursuant to 
delegated authority from the Secretary of Energy. That document with 
the original signature and date is maintained by DOE. For 
administrative purposes only, and in compliance with requirements of 
the Office of the Federal Register, the undersigned DOE Federal 
Register Liaison Officer has been authorized to sign and submit the 
document in electronic format for publication, as an official document 
of the Department of Energy. This administrative process in no way 
alters the legal effect of this document upon publication in the 
Federal Register.

    Signed in Washington, DC, on April 22, 2020.
Treena V. Garrett,
Federal Register Liaison Officer, U.S. Department of Energy.
[FR Doc. 2020-08851 Filed 4-30-20; 8:45 am]
BILLING CODE 6450-01-P