[Federal Register Volume 85, Number 138 (Friday, July 17, 2020)]
[Proposed Rules]
[Pages 43493-43496]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-14647]
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Proposed Rules
Federal Register
________________________________________________________________________
This section of the FEDERAL REGISTER contains notices to the public of
the proposed issuance of rules and regulations. The purpose of these
notices is to give interested persons an opportunity to participate in
the rule making prior to the adoption of the final rules.
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Federal Register / Vol. 85, No. 138 / Friday, July 17, 2020 /
Proposed Rules
[[Page 43493]]
DEPARTMENT OF ENERGY
10 CFR Part 430
[EERE-2011-BT-NOA-0013]
Energy Conservation Program: Data Collection and Comparison With
Forecasted Unit Sales of Five Lamp Types
AGENCY: Office of Energy Efficiency and Renewable Energy, Department of
Energy.
ACTION: Notice of data availability.
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SUMMARY: The U.S. Department of Energy (``DOE'') is informing the
public of its collection of shipment data and creation of spreadsheet
models to provide comparisons between 2019 unit sales and benchmark
estimate unit sales of five lamp types (i.e., rough service lamps,
vibration service lamps, 3-way incandescent lamps, 2,601-3,300 lumen
general service incandescent lamps, and shatter-resistant lamps). For
3-way incandescent lamps, 2,601-3,300 lumen general service
incandescent lamps, and shatter-resistant lamps, the 2019 sales are not
greater than 200 percent of the forecasted estimates. The 2019 unit
sales for vibration service lamps are greater than the benchmark unit
sales estimate but less than 200 percent of the benchmark unit sales
estimate. The 2019 unit sales for rough service lamps are below the
benchmark unit sales estimate. DOE has prepared, and is making
available on its website, a spreadsheet showing the comparisons of
projected sales versus 2019 sales, as well as the model used to
generate the original sales estimates. The spreadsheet is available
online at: https://www1.eere.energy.gov/buildings/appliance_standards/standards.aspx?productid=16.
DATES: The data is available July 17, 2020.
FOR FURTHER INFORMATION CONTACT:
Ms. Lucy deButts, U.S. Department of Energy, Office of Energy
Efficiency and Renewable Energy, Building Technologies, EE-2J, 1000
Independence Avenue SW, Washington, DC 20585-0121. Telephone: (202)
287-1604. Email: [email protected].
Mr. Pete Cochran, U.S. Department of Energy, Office of the General
Counsel, GC-33, 1000 Independence Avenue SW, Washington, DC 20585-0121.
Telephone: (202) 586-9496. Email: [email protected].
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Background
II. Definitions
A. Rough Service Lamps
B. Vibration Service Lamps
C. Three-Way Incandescent Lamps
D. 2,601-3,300 Lumen General Service Incandescent Lamps
E. Shatter-Resistant Lamps
III. Comparison Methodology
IV. Comparison Results
A. Rough Service Lamps
B. Vibration Service Lamps
C. Three-Way Incandescent Lamps
D. 2,601-3,300 Lumen General Service Incandescent Lamps
E. Shatter-Resistant Lamps
V. Conclusion
I. Background
The Energy Independence and Security Act of 2007 (``EISA 2007'';
Pub. L. 110-140) was enacted on December 19, 2007. Among the
requirements of subtitle B (``Lighting Energy Efficiency'') of title
III of EISA 2007 were provisions directing DOE to collect, analyze, and
monitor unit sales of five lamp types (i.e., rough service lamps,
vibration service lamps, 3-way incandescent lamps, 2,601-3,300 lumen
general service incandescent lamps, and shatter-resistant lamps). In
relevant part, section 321(a)(3)(B) of EISA 2007 amended section 325(l)
of the Energy Policy and Conservation Act of 1975 (``EPCA'') by adding
paragraph (4)(B), which generally directs DOE, in consultation with the
National Electrical Manufacturers Association (``NEMA''), to: (1)
Collect unit sales data for each of the five lamp types for calendar
years 1990 through 2006 in order to determine the historical growth
rate for each lamp type; and (2) construct a model for each of the five
lamp types based on coincident economic indicators that closely match
the historical annual growth rates of each lamp type to provide a
neutral comparison benchmark estimate of future unit sales. (42 U.S.C.
6295(l)(4)(B)) Section 321(a)(3)(B) of EISA 2007 also amends section
325(l) of EPCA by adding paragraph (4)(C), which, in relevant part,
directs DOE to collect unit sales data for calendar years 2010 through
2025, in consultation with NEMA, for each of the five lamp types. DOE
must then compare the actual lamp sales in that year with the benchmark
estimate. (42 U.S.C. 6295(l)(4)(C)) If DOE finds that the unit sales
for a given lamp type in any year between 2010 and 2025 exceed the
benchmark estimate of unit sales by at least 100 percent (i.e., are
greater than 200 percent of the anticipated sales), DOE must issue a
finding within 90 days of the end of the analyzed calendar year that
the estimate has been exceeded. (42 U.S.C. 6295(l)(4)(D)(i)(I),
(E)(i)(I), (F)(i)(I), and (H)(i)(I)) \1\
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\1\ For 2,601-3,300 lumen general service incandescent lamps,
EPCA does not specify a requirement to publish such findings, but as
discussed further in this notice, EPCA does establish requirements
upon the benchmark estimate being exceeded.
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On December 18, 2008, DOE issued a notice of data availability
(``NODA'') for the Report on Data Collection and Estimated Future Unit
Sales of Five Lamp Types (hereafter the ``2008 analysis''), which was
published in the Federal Register on December 24, 2008. 73 FR 79072.
The 2008 analysis presented the 1990 through 2006 shipment data
collected in consultation with NEMA, the spreadsheet model DOE
constructed for each lamp type, and the benchmark unit sales estimates
for 2010 through 2025. On April 4, 2011, DOE published a NODA in the
Federal Register announcing the availability of updated spreadsheet
models presenting the benchmark estimates from the 2008 analysis and
the collected sales data from 2010 for the first annual comparison. 76
FR 18425. Similarly, DOE published seven NODAs in the Federal Register
in the following eight years announcing the updated spreadsheet models
and sales data for the annual comparisons. 77 FR 16183 (March 20,
2012); 78 FR 15891 (March 13, 2013); 79 FR 15058 (March 18, 2014); 80
FR 13791 (March 17, 2015); 81 FR 20261 (April 7, 2016); 83 FR 36479
(July 30, 2018; contained 2016 and 2017 data); 84 FR 17362 (April 25,
2019). This NODA presents the tenth comparison; specifically, section
IV of this report compares the actual unit
[[Page 43494]]
sales against benchmark unit sales estimates for 2019.\2\
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\2\ The notices and related documents for the 2008 analysis and
successive annual comparisons, including this NODA, are available
through the DOE website at: https://www1.eere.energy.gov/buildings/appliance_standards/standards.aspx?productid=16.
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EISA 2007 also amended section 325(l) of EPCA by adding paragraphs
(4)(D) through (4)(H), which state that if DOE finds that the unit
sales for a given lamp type in any year between 2010 and 2025 exceed
the benchmark estimate of unit sales by at least 100 percent (i.e., are
greater than 200 percent of the anticipated sales), then DOE must take
regulatory action for such lamps. (42 U.S.C. 6295(l)(4)(D) through (H))
For 2,601-3,300 lumen general service incandescent lamps, DOE must
impose a statutorily prescribed maximum-wattage level and packaging
requirement. (42 U.S.C. 6295(l)(4)(G)) For the other four types of
lamps, the statute requires DOE to initiate an accelerated rulemaking
to establish energy conservation standards. If the Secretary does not
complete the accelerated rulemakings within one year from the end of
the previous calendar year, EPCA specifies maximum wattage and related
requirements (i.e., a ``backstop requirement'') for each lamp type. (42
U.S.C. 6295(l)(4)(D)(ii), (E)(ii), (F)(ii), and (H)(ii))
As in the 2008 analysis and previous comparisons, DOE uses
manufacturer shipments as a surrogate for unit sales in this NODA
because manufacturer shipment data are tracked and aggregated by the
trade organization, NEMA. DOE believes that annual shipments track
closely with actual unit sales of these five lamp types, as DOE
presumes that retailer inventories remain constant from year to year.
DOE believes this is a reasonable assumption because the markets for
these five lamp types have existed for many years, thereby enabling
manufacturers and retailers to establish appropriate inventory levels
that reflect market demand. In addition, increasing unit sales must
eventually result in increasing manufacturer shipments. This is the
same methodology presented in DOE's 2008 analysis and subsequent annual
comparisons, and DOE did not receive any comments challenging this
assumption or the general approach.
II. Definitions
A. Rough Service Lamps
Section 321(a)(1)(B) of EISA 2007 amended section 321(30) of EPCA
by adding the definition of a ``rough service lamp.'' A ``rough service
lamp'' means a lamp that--(i) has a minimum of 5 supports with filament
configurations that are C-7A, C-11, C-17, and C-22 as listed in Figure
6-12 of the 9th edition of the IESNA [Illuminating Engineering Society
of North America] Lighting handbook, or similar configurations where
lead wires are not counted as supports; and (ii) is designated and
marketed specifically for ``rough service'' applications, with--(I) the
designation appearing on the lamp packaging; and (II) marketing
materials that identify the lamp as being for rough service. (42 U.S.C.
6291(30)(X))
As noted above, rough service incandescent lamps must have a
minimum of five filament support wires (not counting the two connecting
leads at the beginning and end of the filament), and must be designated
and marketed for ``rough service'' applications. This type of
incandescent lamp can be used in applications where the lamp would be
subject to mechanical shock or vibration while it is operating. Other
incandescent lamps have only two support wires (which also serve as
conductors), one at each end of the filament coil. When operating
(i.e., when the tungsten filament is glowing so hot that it emits
light), rough service applications could cause an incandescent lamp's
filament to break prematurely. To address this problem, lamp
manufacturers developed lamp designs that incorporate additional
support wires along the length of the filament to ensure that it has
support not just at each end, but at several other points as well. The
additional support protects the filament during operation and enables
longer operating life for incandescent lamps in rough service
applications.
B. Vibration Service Lamps
Section 321(a)(1)(B) of EISA 2007 amended section 321(30) of EPCA
by adding the definition of a ``vibration service lamp.'' A ``vibration
service lamp'' means a lamp that--(i) has filament configurations that
are C-5, C-7A, or C-9, as listed in Figure 6-12 of the 9th Edition of
the IESNA Lighting Handbook or similar configurations; (ii) has a
maximum wattage of 60 watts; (iii) is sold at retail in packages of 2
lamps or less; and (iv) is designated and marketed specifically for
vibration service or vibration-resistant applications, with--(I) the
designation appearing on the lamp packaging; and (II) marketing
materials that identify the lamp as being vibration service only. (42
U.S.C. 6291(30)(AA))
The statute mentions three examples of filament configurations for
vibration service lamps in Figure 6-12 of the IESNA Lighting Handbook,
one of which, C-7A, is also listed in the statutory definition of
``rough service lamp.'' The definition of ``vibration service lamp''
requires that such lamps have a maximum wattage of 60 watts and be sold
at a retail level in packages of two lamps or fewer. Vibration service
lamps must be designated and marketed for vibration service or
vibration-resistant applications. As the name suggests, this type of
incandescent lamp can be used in applications where the incandescent
lamp would be subject to a continuous low level of vibration, such as
in a ceiling fan light kit. In such applications, incandescent lamps
without additional filament support wires may not achieve the full
rated life, because the filament wire is brittle and would be subject
to breakage at typical operating temperature. To address this problem,
lamp manufacturers typically use a more malleable tungsten filament to
avoid damage and short circuits between coils.
C. Three-Way Incandescent Lamps
Section 321(a)(1)(B) of EISA 2007 amended section 321(30) of EPCA
by adding the definition of a ``3-way incandescent lamp.'' A ``3-way
incandescent lamp'' includes an incandescent lamp that--(i) employs 2
filaments, operated separately and in combination, to provide 3 light
levels; and (ii) is designated on the lamp packaging and marketing
materials as being a 3-way incandescent lamp. (42 U.S.C. 6291(30)(Y))
Three-way lamps are commonly found in wattage combinations such as
50, 100, and 150 watts or 30, 70, and 100 watts. These lamps use two
filaments (e.g., a 30-watt and a 70-watt filament) and can be operated
separately or together to produce three different lumen outputs (e.g.,
305 lumens with one filament, 995 lumens with the other, or 1,300
lumens using the filaments together). When used in three-way sockets,
these lamps allow users to control the light level. Three-way
incandescent lamps are typically used in residential multi-purpose
areas, where consumers may adjust the light level to be appropriate for
the task they are performing.
D. 2,601-3,300 Lumen General Service Incandescent Lamps
The statute does not provide a definition of ``2,601-3,300 Lumen
General Service Incandescent Lamps;'' however, DOE is interpreting this
term to be a general service incandescent
[[Page 43495]]
lamp \3\ that emits light between 2,601 and 3,300 lumens. These lamps
are used in general service applications when high light output is
needed.
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\3\ ``The term `general service incandescent lamp' means a
standard incandescent or halogen type lamp that--(I) is intended for
general service applications; (II) has a medium screw base; (III)
has a lumen range of not less than 310 lumens and not more than
2,600 lumens or, in the case of a modified spectrum lamp, not less
than 232 lumens and not more than 1,950 lumens; and (IV) is capable
of being operated at a voltage range at least partially within 110
and 130 volts.'' (42 U.S.C. 6291(30)(D)(i)).
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E. Shatter-Resistant Lamps
Section 321(a)(1)(B) of EISA 2007 amended section 321(30) of EPCA
by adding the definition of a ``shatter-resistant lamp, shatter-proof
lamp, or shatter-protected lamp.'' ``Shatter-resistant lamp, shatter-
proof lamp, and shatter-protected lamp'' mean a lamp that--(i) has a
coating or equivalent technology that is compliant with NSF/ANSI 51
[National Sanitation Foundation/American National Standards Institute]
and is designed to contain the glass if the glass envelope of the lamp
is broken; and (ii) is designated and marketed for the intended
application, with--(I) the designation on the lamp packaging; and (II)
marketing materials that identify the lamp as being shatter-resistant,
shatter-proof, or shatter-protected. (42 U.S.C. 6291(30)(Z)) Although
the definition provides three names commonly used to refer to these
lamps, DOE simply refers to them collectively as ``shatter-resistant
lamps.''
Shatter-resistant lamps incorporate a special coating designed to
prevent glass shards from being dispersed if a lamp's glass envelope
breaks. Shatter-resistant lamps incorporate a coating compliant with
industry standard NSF/ANSI 51,\4\ ``Food Equipment Materials,'' and are
labeled and marketed as shatter-resistant, shatter-proof, or shatter-
protected. Some types of the coatings can also protect the lamp from
breakage in applications subject to heat and thermal shock that may
occur from water, sleet, snow, soldering, or welding.
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\4\ NSF/ANSI 51 applies specifically to materials and coatings
used in the manufacturing of equipment and objects destined for
contact with foodstuffs.
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III. Comparison Methodology
In the 2008 analysis, DOE reviewed each of the five sets of
shipment data that was collected in consultation with NEMA and applied
two curve fits to generate unit sales estimates for the five lamp types
after calendar year 2006. One curve fit applied a linear regression to
the historical data and extended that line into the future. The other
curve fit applied an exponential growth function to the shipment data
and projected unit sales into the future. For this calculation, linear
regression treats the year as a dependent variable and shipments as the
independent variable. The linear regression curve fit is modeled by
minimizing the differences among the data points and the best curve-fit
linear line using the least squares function.\5\ The exponential curve
fit is also a regression function and uses the same least squares
function to find the best fit. For some data sets, an exponential curve
provides a better characterization of the historical data, and,
therefore, a better projection of the future data.
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\5\ The least squares function is an analytical tool that DOE
uses to minimize the sum of the squared residual differences between
the actual historical data points and the modeled value (i.e., the
linear curve fit). In minimizing this value, the resulting curve fit
will represent the best fit possible to the data provided.
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For 3-way incandescent lamps, 2,601-3,300 lumen general service
incandescent lamps, and shatter-resistant lamps, DOE found that the
linear regression and exponential growth curve fits produced nearly the
same estimates of unit sales (i.e., the difference between the two
forecasted values was less than 1 or 2 percent). However, for rough
service and vibration service lamps, the linear regression curve fit
projected lamp unit sales would decline to zero for both lamp types by
2018. In contrast, the exponential growth curve fit projected a more
gradual decline in unit sales, such that lamps would still be sold
beyond 2018, and it was, therefore, considered the more realistic
forecast. While DOE was satisfied that either the linear regression or
exponential growth spreadsheet model generated a reasonable benchmark
unit sales estimate for 3-way incandescent lamps, 2,601-3,300 lumen
general service incandescent lamps, and shatter-resistant lamps, DOE
selected the exponential growth curve fit for these lamp types for
consistency with the selection made for rough service and vibration
service lamps.\6\ DOE examines the benchmark unit sales estimates and
actual sales for each of the five lamp types in the following section
and also makes the comparisons available in a spreadsheet online:
https://www1.eere.energy.gov/buildings/appliance_standards/standards.aspx?productid=16.
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\6\ This selection is consistent with the previous annual
comparisons. See DOE's 2008 forecast spreadsheet models of the lamp
types for greater detail on the estimates.
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IV. Comparison Results
A. Rough Service Lamps
On October 18, 2016, DOE published a notice announcing that the
actual unit sales for rough service lamps were 219.7 percent of the
benchmark estimate for the 2015 calendar year. 81 FR 71794, 71800.\7\
Since unit sales for rough service lamps exceeded 200 percent of the
benchmark estimate in 2015, and DOE did not complete an energy
conservation standards rulemaking for these lamps by the end of
calendar year 2016, the backstop requirement was triggered. DOE
published a final rule on December 26, 2017 to adopt the statutory
backstop requirements for rough service lamps which require that rough
service lamps: (I) Have a shatter-proof coating or equivalent
technology that is compliant with NSF/ANSI 51 and is designed to
contain the glass if the glass envelope of the lamp is broken and to
provide effective containment over the life of the lamp; (II) have a
maximum 40-watt limitation; and (III) be sold at retail only in a
package containing 1 lamp. 42 U.S.C. 6295(l)(4)(D)(ii)
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\7\ The October 2016 finding for rough service lamps was the
result of a correction by NEMA to the data it initially submitted
and relied upon by DOE for the April 7, 2016 notice. See, https://www.regulations.gov/document?D=EERE-2013-BT-STD-0051-0075.
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DOE stated in the December 2017 final rule that it will continue to
collect and model data for rough service lamps for two years after the
effective date of January 25, 2018, in accordance with 42 U.S.C.
6295(l)(4)(I)(ii). 82 FR 60845, 60846 (December 26, 2017). For the 2019
calendar year, the exponential growth forecast projected the benchmark
unit sales estimate for rough service lamps to be 4,057,000 units. The
NEMA-provided shipment data reported shipments of 2,265,000 units in
2019, which is 55.8 percent of the benchmark estimate. DOE has
satisfied its 2-year obligation and will no longer collect and model
data for rough service lamps.
B. Vibration Service Lamps
On April 7, 2016, DOE published a notice announcing that the actual
unit sales for vibration service lamps were 272.5 percent of the
benchmark estimate for the 2015 calendar year. 81 FR 20261. Similar to
rough service lamps, since unit sales for vibration service lamps
exceeded 200 percent of the benchmark estimate in 2015, and DOE did not
complete an energy conservation standards rulemaking for these lamps by
the end of calendar year 2016, the backstop requirement was triggered.
DOE published a final rule on December
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26, 2017 to adopt the statutory backstop requirements for vibration
service lamps which require that vibration service lamps: (I) Have a
maximum 40-watt limitation; and (II) be sold at retail only in a
package containing 1 lamp. 42 U.S.C. 6295(l)(4)(E)(ii)
DOE stated in the December 2017 final rule that it will continue to
collect and model data for vibration service lamps for two years after
the effective date of January 25, 2018, in accordance with 42 U.S.C.
6295(l)(4)(I)(ii). 82 FR 60845, 60846 (December 26, 2017). For the 2019
calendar year, the exponential growth forecast projected the benchmark
unit sales estimate for vibration service lamps to be 2,119,000 units.
The NEMA-provided shipment data reported shipments of 2,208,000 units
in 2019, which is 104.2 percent of the benchmark estimate. DOE has
satisfied its 2-year obligation and will no longer collect and model
data for vibration service lamps.
C. Three-Way Incandescent Lamps
For 3-way incandescent lamps, the exponential growth forecast
projected the benchmark unit sales estimate for 2019 to be 46,637,000
units. The NEMA-provided shipment data reported shipments of 16,532,000
units in 2019. As the NEMA-provided shipment data reported is only 35.4
percent the benchmark estimate, DOE will continue to track 3-way
incandescent lamp sales data and will not initiate an accelerated
standards rulemaking for this lamp type at this time.
D. 2,601-3,300 Lumen General Service Incandescent Lamps
For 2,601-3,300 lumen general service incandescent lamps, the
exponential growth forecast projected the benchmark unit sales estimate
for 2019 to be 34,439,000 units. The NEMA-provided shipment data
reported shipments of 2,194,000 units in 2019. As the NEMA-provided
shipment data reported is only 6.4 percent of the benchmark estimate,
DOE will continue to track 2,601-3,300 lumen general service
incandescent lamp sales data and will not impose statutory requirements
for this lamp type at this time.
E. Shatter-Resistant Lamps
For shatter-resistant lamps, the exponential growth forecast
projected the benchmark unit sales estimate for 2019 to be 1,692,000
units. The NEMA-provided shipment data reported shipments of 489,000
units in 2019. As the NEMA-provided shipment data reported is only 28.9
percent of the benchmark estimate, DOE will continue to track shatter-
resistant lamp sales data and will not initiate an accelerated
standards rulemaking for this lamp type at this time.
V. Conclusion
This NODA compares the 2019 shipments against benchmark unit sales
estimates for rough service lamps, vibration service lamps, 3-way
incandescent lamps, 2,601-3,300 lumen general service incandescent
lamps, and shatter-resistant lamps. For 3-way incandescent lamps,
2,601-3,300 lumen general service incandescent lamps, and shatter-
resistant lamps, the 2019 sales are not greater than 200 percent of the
forecasted estimates. The 2019 unit sales for vibration service lamps
are greater than the benchmark unit sales estimate but less than 200
percent of the benchmark unit sales estimate. The 2019 unit sales for
rough service lamps are below the benchmark unit sales estimate. DOE
will continue to monitor 3-way incandescent lamps, 2,601-3,300 lumen
general service incandescent lamps, and shatter-resistant lamps and
will assess 2020 unit sales next year.
Signing Authority
This document of the Department of Energy was signed on July 1,
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 July 2, 2020.
Treena V. Garrett,
Federal Register Liaison Officer, U.S. Department of Energy.
[FR Doc. 2020-14647 Filed 7-16-20; 8:45 am]
BILLING CODE 6450-01-P