Federal Register / Vol. 77, No. 250 / Monday, December 31, 2012 / Proposed Rules 76959 

have fan-only mode. Accordingly, we 

request that DOE either: (1) Revise the 

May 2013 standards to account for the 

impact on measured energy using the 

data AHAM presented in this petition or 

through comprehensive testing that 

compares total measured energy under 

Appendix C versus Appendix C1; or (2) 

not require measurement of fan-only 

mode or the revised standby and off 

mode procedures until such time as a 

revised standard is promulgated for 

residential dishwashers. 

AHAM believes that, overall, the 

amendments made to the test procedure, 

which reside in Appendix C1, are 

critical amendments, many of which 

will enhance the repeatability and 

reproducibility of the test procedure. 

And we thank DOE for making those 

amendments, many of which AHAM 

requested. Thus, AHAM’s preference 

would be that DOE revise the standards 

with which compliance is required on 

May 30, 2013, to account for the impact 

on measured energy. AHAM would be 

glad to assist DOE in determining the 

appropriate amended energy 

conservation standard under 42 U.S.C. 

6293(e)(2). Pending resolution of the 

instant petition, AHAM requests that 

DOE stay compliance with the May 30, 

2013, standards and Appendix C1. 

Respectfully submitted, 

Association of Home Appliance 

Manufacturers 

By: /s/ Jennifer Cleary, 

Director, Regulatory Affairs, 1111 19th St. 

NW., Suite 402, Washington, DC 20036, 202– 

872–5955 x314 

Dated: November 30, 2012 

[FR Doc. 2012–31392 Filed 12–28–12; 8:45 am] 

BILLING CODE 6450–01–P 

DEPARTMENT OF ENERGY 

10 CFR Part 430 

[Docket Number EERE–2010–BT–PET–0047] 

RIN 1904–AC57 

Energy Conservation Program: 

Request for Exclusion of 100 Watt R20 

Short Incandescent Reflector Lamp 

From Energy Conservation Standards 

AGENCY: Office of Energy Efficiency and 

Renewable Energy, Department of 

Energy. 

ACTION: Notice of proposed rulemaking 

(NOPR). 

SUMMARY: The Energy Policy and 

Conservation Act of 1975 (EPCA), as 

amended, prescribes energy 

conservation standards for various 

consumer products and certain 

commercial and industrial equipment, 

including incandescent reflector lamps 

(IRLs). The U.S. Department of Energy 

(DOE) received a petition from the 

National Electrical Manufacturers 

Association requesting the initiation of 

a rulemaking to exclude from coverage 

under EPCA standards a certain type of 

IRL marketed for use in pool and spa 

applications. Specifically, the lamp at 

issue is a 100-watt R20 short (having a 

maximum overall length of 3 and 5⁄8 or 

3.625 inches) IRL (‘‘R20 short lamp’’). 

DOE published this petition and a 

request for comment in the Federal 

Register on December 23, 2010. From its 

evaluation of the petition and careful 

consideration of the public comments, 

DOE decided to grant the petition for 

rulemaking. DOE published a request 

for information in the Federal Register 

on September 8, 2011. Based on the 

comments received and additional data 

gathered by DOE, DOE proposes to 

exclude R20 short lamps from coverage 

under the EPCA energy conservation 

standards. 

DATES: DOE will accept comments, data, 

and information regarding this NOPR no 

later than March 1, 2013. See section 0 

Public Participation for details. 

ADDRESSES: Any comments submitted 

must identify the NOPR for Energy 

Conservation Standards for R20 Short 

Lamps, and provide docket number 

EERE–2010–BT–PET–0047 and/or 

regulatory information number (RIN) 

number 1904–AC57. Comments may be 

submitted using any of the following 

methods: 

1. Federal eRulemaking Portal: 

www.regulations.gov. Follow the 

instructions for submitting comments. 

2. Email: ShortLampsPetition-2010- 

PET-0047@ee.doe.gov. Include the 

docket number and/or RIN in the 

subject line of the message. 

3. Mail: Ms. Brenda Edwards, U.S. 

Department of Energy, Building 

Technologies Program, Mailstop EE–2J, 

1000 Independence Avenue SW., 

Washington, DC 20585–0121. If 

possible, please submit all items on a 

CD. It is not necessary to include 

printed copies. 

4. Hand Delivery/Courier: Ms. Brenda 

Edwards, U.S. Department of Energy, 

Building Technologies Program, 950 

L’Enfant Plaza SW., Suite 600, 

Washington, DC 20024. Telephone: 

(202) 586–2945. If possible, please 

submit all items on a CD, in which case 

it is not necessary to include printed 

copies. 

Written comments regarding the 

burden-hour estimates or other aspects 

of collection-of-information 

requirements may be submitted to 

Office of Energy Efficiency and 

Renewable Energy through the methods 

listed above and by email to 

Chad_S_Whiteman@omb.eop.gov. 

For detailed instructions on 

submitting comments and additional 

information on the rulemaking process, 

see section 0 of this document (Public 

Participation). 

Docket: The docket is available for 

review at www.regulations.gov, 

including Federal Register notices, 

comments, and other supporting 

documents/materials. All documents in 

the docket are listed in the 

www.regulations.gov index. However, 

not all documents listed in the index 

may be publicly available, such as 

information that is exempt from public 

disclosure. 

The regulations.gov Web page will 

contain simple instructions on how to 

access all documents, including public 

comments, in the docket. See section 0 

for more information on how to submit 

comments through 

www.regulations.gov. 

For further information on how to 

submit a comment or review other 

public comments and the docket, 

contact Ms. Brenda Edwards at (202) 

586–2945 or by email: 

brenda.edwards@ee.doe.gov. 

FOR FURTHER INFORMATION CONTACT: Ms. 

Lucy deButts, U.S. Department of 

Energy, Office of Energy Efficiency and 

Renewable Energy, Building 

Technologies Program, EE–2J, 1000 

Independence Avenue SW., 

Washington, DC 20585–0121. 

Telephone: (202) 287–1604. Email: 

lucy.debutts@ee.doe.gov. 

Ms. Celia Sher, U.S. Department of 

Energy, Office of the General Counsel, 

GC–71, 1000 Independence Avenue 

SW., Washington, DC 20585–0121. 

Telephone: (202) 287–6122. Email: 

celia.sher@hq.doe.gov. 

SUPPLEMENTARY INFORMATION: 

Table of Contents 

I. Summary of the Rulemaking 

II. Introduction 

A. Authority 

B. Background 

III. Determination of R20 Short Lamp 

Exclusion 

A. Authority 

B. R20 Short Lamp Special Application 

Design and Impact on Energy Savings 

1. Special Application of R20 Short Lamps 

2. Impact on Energy Savings 

C. Availability of R20 Short Lamp Special 

Characteristics in Substitutes 

1. Special Characteristics of R20 Short 

Lamps 

2. Reasonable Substitutes with R20 Short 

Lamp Special Characteristics 

D. Conclusion 

E. Options for Conditional Exclusions 

IV. Procedural Issues and Regulatory Review 


srobinson on DSK4SPTVN1PROD with 
76960 Federal Register / Vol. 77, No. 250 / Monday, December 31, 2012 / Proposed Rules 

1 ‘‘R’’ denotes a reflector lamp type, and ‘‘20’’ 

denotes diameter in 1⁄8 inch increments, which 

translates to 2.5 inches. 

2For editorial reasons, upon codification in the 

U.S. Code, Part B was redesignated Part A. 

3 Information regarding the 2009 Lamps Rule can 

be found at DOE’s Building and Technologies Web 

page for Incandescent Reflector Lamps: http:// 

www1.eere.energy.gov/buildings/ 

appliance_standards/product.aspx/productid/58. 

4Prior to the enactment of EISA 2007, this 

definition applied to lamps with a diameter which 

exceeds 2.75 inches. EISA 2007 modified this 

definition to make it applicable to IRLs with a 

diameter which exceeds 2.25 inches. 

A. Review Under Executive Orders 12866 

and 13563 

B. Review Under the Regulatory Flexibility 

Act 

C. Review Under the Paperwork Reduction 

Act 

D. Review Under the National 

Environmental Policy Act of 1969 

E. Review Under Executive Order 13132 

F. Review Under Executive Order 12988 

G. Review Under the Unfunded Mandates 

Reform Act of 1995 

H. Review Under the Treasury and General 

Government Appropriations Act, 1999 

I. Review Under Executive Order 12630 

J. Review Under the Treasury and General 

Government Appropriations Act, 2001 

K. Review Under Executive Order 13211 

L. Review Under the Information Quality 

Bulletin for Peer Review 

V. Public Participation 

A. Submission of Comments 

B. Issues on Which DOE Seeks Comment 

VI. Approval of the Office of the Secretary 

I. Summary of the Rulemaking 

The Energy Policy and Conservation 

Act of 1975 (EPCA; 42 U.S.C. 6291 et 

seq.), as amended, prescribes energy 

conservation standards for various 

consumer products and certain 

commercial and industrial equipment, 

including incandescent reflector lamps 

(IRLs). The National Electrical 

Manufacturers Association (NEMA) has 

petitioned the U.S. Department of 

Energy (DOE) to undertake a rulemaking 

to exclude from coverage under energy 

conservation standards a certain type of 

IRL that is marketed for use in pool and 

spa applications. Specifically, the lamp 

at issue is a 100-watt (W) R20 1 short 

(having a maximum overall length 

[MOL] of 3 and 5⁄8 [or 3.625] inches) 

lamp that falls within the voltage range 

of covered IRLs (hereafter ‘‘R20 short 

lamp’’). 75 FR 80731 (Dec. 23, 2010). In 

this notice of proposed rulemaking 

(NOPR), DOE considers whether R20 

short lamps should be excluded from 

coverage under the applicable energy 

conservation standards for IRLs. Such a 

review is authorized under 42 U.S.C. 

6291(30)(E), which allows the Secretary, 

by rule, to exclude from the terms 

‘‘fluorescent lamp’’ and ‘‘incandescent 

lamp’’ any lamp for which standards 

would not result in significant energy 

savings because such lamp is designed 

for special applications or has special 

characteristics not available in 

reasonably substitutable lamp types. 

Accordingly, DOE has assessed the 

impact of the application of R20 short 

lamps on the potential energy savings 

from energy conservation standards for 

these lamps. The characteristics of R20 

short lamps, as well as their distribution 

channels and marketing, indicate that 

they are designed for pool and spa 

applications. DOE determined that 

because the R20 short lamps serve a 

very small market, they will result in 

insignificant energy savings from the 

applicable conservation standards. 

Additionally, DOE analyzed the 

characteristics of R20 short lamps to 

determine if they were available in 

reasonably substitutable lamp types. 

Because the most likely substitute lamp 

required a modification to the fixture 

lens in order to maintain the same light 

distribution, DOE has tentatively 

concluded that no currently 

commercially available lamp can serve 

as a reasonable substitute for the R20 

short lamp. 

Therefore, under 42 U.S.C. 

6291(30)(E), DOE proposes to exclude 

R20 short lamps from coverage of energy 

conservation standards by modifying 

the definition of ‘‘Incandescent reflector 

lamp’’ and proposing a new definition 

for ‘‘R20 short lamp’’ in 10 CFR 430.2. 

Based on consideration of the public 

comments DOE receives in response to 

this notice and related information 

collected and analyzed during the 

course of this rulemaking effort, DOE 

may revise the proposal in this 

document. 

II. Introduction 

A. Authority 

Title III, Part B of EPCA (42 U.S.C. 

6291–6309, as codified) established the 

Energy Conservation Program for 

Consumer Products Other Than 

Automobiles,2 a program covering most 

major household appliances. 

Subsequent amendments expanded 

Title III of EPCA to include additional 

consumer products and commercial and 

industrial equipment, including IRLs— 

the product that is the focus of this 

document. 

In particular, amendments to EPCA in 

the Energy Policy Act of 1992 (EPAct 

1992), Public Law 102–486, established 

energy conservation standards for 

certain classes of IRLs and authorized 

DOE to conduct two rulemaking cycles 

to determine whether those standards 

should be amended. (42 U.S.C. 6291(1), 

6295(i)(1) and (3)–(4)) DOE completed 

the first cycle of amendments by 

publishing a final rule in July 2009 

(hereafter ‘‘2009 Lamps Rule’’). 74 FR 

34080 (July 14, 2009).3

The EPAct 1992 amendments to EPCA 

also added as covered products certain 

IRLs with wattages of 40W or higher and 

established energy conservation 

standards for these IRLs. Section 

322(a)(1) of the Energy Independence 

and Security Act of 2007 (EISA 2007), 

Public Law 110–140, subsequently 

expanded EPCA’s definition of 

‘‘incandescent reflector lamp’’ to 

include lamps with a diameter between 

2.25 and 2.75 inches.4 (42 U.S.C. 

6291(30)(C)(ii)) This addition made R20 

lamps (having a diameter of 20⁄8, or 2.5, 

inches) covered products subject to 

EPCA’s standards for IRLs. 

Although these lamps are covered 

products, 42 U.S.C. 6291(30)(E) gives 

DOE the authority to exclude these 

lamps upon a determination that 

standards ‘‘would not result in 

significant energy savings because such 

lamp is designed for special 

applications or has special 

characteristics not available in 

reasonably substitutable lamp types.’’ 

B. Background 

The Administrative Procedure Act 

(APA; 5 U.S.C. 551 et seq.), provides, 

among other things, that ‘‘[e]ach agency 

shall give an interested person the right 

to petition for the issuance, amendment, 

or repeal of a rule.’’ (5 U.S.C. 553(e)) 

Pursuant to this provision of the APA, 

NEMA petitioned DOE for a rulemaking 

to exclude a type of IRL from coverage 

of energy conservation standards. 

Specifically, NEMA sought exclusion 

for R20 short lamps marketed for use in 

pools and spas. These lamps are sold in 

jurisdictions that allow pools and spas 

to be supplied with 120V electricity. 75 

FR 80731 (Dec. 23, 2010) 

As stated in the previous section 0, 

amendments to EPCA in EISA 2007 

expanded EPCA’s definition of IRLs to 

include smaller diameter lamps, such as 

the R20 lamps that are the subject of this 

rulemaking. (42 U.S.C. 6291(30)(C)(ii)) 

The related statutory standards went 

into effect on June 15, 2008—180 days 

after the date of enactment of EISA 

2007. (42 U.S.C. 6295(i)(1)(D)(ii)) 

Although R20 short lamps were 

required to comply with these 

standards, noncompliant R20 short 

lamps remained on the market until 

September 2010 because the 

manufacturers of these lamps 

mistakenly believed the lamps were 

excluded from coverage. 75 FR at 80732 

(Dec. 23, 2010). The manufacturers had 

relied upon the Federal Trade 


srobinson on DSK4SPTVN1PROD with 
Federal Register / Vol. 77, No. 250 / Monday, December 31, 2012 / Proposed Rules 76961 

5The FTC published a final rule in the Federal 

Register on July 19, 2010, which updated its 

regulations regarding its definition of general 

service incandescent lamp to reflect the definitional 

changes provided in EISA 2007. 75 FR 41696, 

41713–14. These changes were effective July 19, 

2011, at which time the amendments were reflected 

in the Code of Federal Regulations. 

6NEMA’s petition and associated comments can 

be found at regulations.gov under Docket No. 

EERE–2010–BT–PET–0047. 

7The RFI and associated comments can also be 

found at regulations.gov under Docket No. EERE– 

2010–BT–PET–0047. 

8A notation in the form ‘‘Earthjustice and NRDC, 

No. 8 at p. 1’’ identifies a written comment that 

DOE has received and has included in the docket 

of this rulemaking. This particular notation refers 

to a comment: (1) Submitted by the Earthjustice and 

NRDC; (2) in document number 8 of the docket; and 

(3) on page 1 of that document. 

Commission’s (FTC’s) labeling rule, 16 

CFR part 305, which, until July 19, 

2011, published the previous lamp 

definitions from the EPAct 1992 

amendments of EPCA.5 Before July 19, 

2011, the FTC labeling regulations 

treated IRLs as general service 

incandescent lamps (GSILs), and 

erroneously continued to define GSILs 

as not including lamps specifically 

designed for ‘‘[s]wimming pool or other 

underwater service.’’ 16 CFR 

305.3(m)(3) (2010). This exclusion was 

eliminated from EPCA by section 321 of 

EISA 2007. Upon realization that the 

FTC definitions were incorrect and the 

R20 short lamps were subject to energy 

conservation standards, the 

manufacturers removed the product 

from the market. Subsequently, in 

November 2010, NEMA submitted its 

petition to exclude R20 short lamps 

from coverage under EPCA standards. 

DOE published the petition in the 

Federal Register on December 23, 2010, 

and requested public comment. 75 FR 

80731. 

In the petition, NEMA asked both for 

a rulemaking to exclude R20 short 

lamps from coverage of energy 

conservation standards, and for a stay of 

enforcement pending that rulemaking. 

As grounds for the petition, NEMA 

stated that R20 short lamps qualify for 

exclusion under 42 U.S.C. 6291(30)(E), 

which allows the Secretary to exclude a 

fluorescent or incandescent lamp ‘‘as a 

result of a determination that standards 

for such lamp would not result in 

significant energy savings because such 

lamp is designed for special 

applications or has special 

characteristics not available in 

reasonably substitutable lamp types.’’ In 

its petition, NEMA contended that a 

rulemaking would find that energy 

conservation standards for R20 short 

lamps would not result in significant 

energy savings and that the lamp was 

designed for special applications or has 

special characteristics not available in 

substitute lamp types. Specifically, as 

the lamp has a particular MOL and is 

specially designed to meet underwater 

illumination requirements of pool and 

spa manufacturers (including 

designated beam spread and lumen 

output), there are no substitute products 

on the market for this application. 75 FR 

at 80732 (Dec. 23, 2010). 

Additionally, NEMA asserted that 

having energy conservation standards 

for this lamp type would lead to its 

unavailability in the United States. To 

the best of NEMA’s and manufacturers’ 

knowledge, the decision of the two 

manufacturers of R20 short lamps to 

withdraw the product from the market 

has already resulted in its current 

unavailability. 75 FR at 80732–33 (Dec. 

23, 2010). 

DOE received several comments on 

the petition from manufacturers, 

utilities, and environmental and energy 

efficiency organizations.6 After 

reviewing NEMA’s petition and all 

comments, DOE concluded it has the 

legal authority to grant exclusions for 

IRLs under 42 U.S.C. 6291(30)(E) and 

initiated a rulemaking to make a 

determination on exclusion. DOE 

granted NEMA’s petition for a 

rulemaking in a request for information 

(RFI) published in the Federal Register 

on September 8, 2011, announcing its 

decision and requesting more 

information on this product. 76 FR 

55609. The RFI stated that DOE granted 

the petition for a rulemaking pursuant 

to the requirements specified in section 

6291(30)(E), and would also grant a stay 

of enforcement pending the outcome of 

the rulemaking. In the RFI, DOE also 

specifically asked for comment on (1) 

the potential for unregulated R20 short 

lamps to be used as substitutes for other 

lamps subject to energy conservation 

standards; (2) whether the distinctive 

features, pricing, and applicationspecific labeling and marketing of R20 

short lamps provide a sufficient 

deterrent to their use in other 

applications; (3) the availability of 

substitute lamps that would meet both 

energy conservation standards and 

relevant pool and spa application 

requirements; and (4) the technological 

feasibility of R20 short lamps complying 

with the prescribed energy conservation 

standards and also meeting relevant 

pool and spa application requirements. 

76 FR at 55614. 

DOE received comments in response 

to the RFI from utilities and 

environmental and energy efficiency 

organizations.7 The following section 

addresses these comments. 

III. Determination of R20 Short Lamp 

Exclusion 

A. Authority 

In response to the RFI, DOE received 

comments from interested parties 

regarding DOE’s authority to exclude 

R20 short lamps under 42 U.S.C. 

6291(30)(E). Earthjustice and National 

Resources Defense Council (hereafter 

‘‘Earthjustice and NRDC’’) reiterated 

their previous comment made in 

response to NEMA’s petition that 

section 6291(30)(E) can only apply to 

lamps for which significant energy 

savings would not be captured under 

future standards; the language of the 

provision (i.e., ‘‘would not result’’) does 

not permit DOE to apply it retroactively 

to lamps with existing standards. 

(Earthjustice and NRDC, No. 8 at p. 1) 8

As stated in the RFI, DOE does not 

believe the plain language of section 

6291(30)(E) compels an interpretation 

that the section only applies to 

standards before their compliance date. 

DOE finds this reading would prevent 

application of section 6291(30)(E). 

Under 42 U.S.C. 6295(o)(3), DOE is 

already barred from adopting standards 

for any product for which the standards 

would not result in significant 

conservation of energy. Therefore, if 

interpreted to apply to products for 

which standards are not yet in effect, 

section 6291(30)(E) would be rendered 

redundant and superfluous, as both it 

and section 6295(o)(3) would evaluate 

potential energy savings from future 

standards. Instead, DOE concluded in 

the RFI that section 6291(30)(E) contains 

no time bar for undertaking a 

rulemaking action to address a lamp for 

which standards would not result in 

significant energy savings because it is 

designed for special applications or has 

special characteristics not available in 

substitutable lamp types. Given the 

broad and growing coverage of DOE’s 

energy conservation standards for 

lamps, DOE believes that Congress 

intended section 6291(30)(E) to provide 

a mechanism to address both those 

lamps inadvertently covered by existing 

standards, as well as new lamps 

subsequently developed to which 

standards would otherwise apply. 76 FR 

at 55611 (Sept. 8, 2011). 

Earthjustice and NRDC disagreed that 

section 6291(30)(E) would be redundant 

if not applicable to standards that 

already require compliance. Earthjustice 


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76962 Federal Register / Vol. 77, No. 250 / Monday, December 31, 2012 / Proposed Rules 

9Appendices can be found on DOE’s Building 

and Technologies Web page for Incandescent 

Reflector Lamps under Standards section via the 

Technical Support Document link: http:// 

www1.eere.energy.gov/buildings/ 

appliance_standards/product.aspx/productid/58. 

and NRDC commented that section 

6291(30)(E) retains a separate relevance 

from section 6295(o)(3) because it 

enables DOE to exclude lamps from 

statutory standards that do not yet apply 

whereas section 6295(o)(3) only applies 

to DOE’s adoption of standards via 

rulemakings. (Earthjustice and NRDC, 

No. 8 at pp. 1–2) 

The language in section 6291(30)(E) 

does not explicitly condition exclusions 

from coverage of standards based on the 

authority under which the standards 

were developed. Interpreting section 

6291(30)(E) as applying to only statutory 

standards in order to distinguish it from 

section 6295(o)(3) would limit the scope 

of section 6291(30)(E). The language in 

section 6291(30)(E) does not indicate 

that it was Congress’s intent to limit the 

Secretary’s authority of exemption. 

Therefore, DOE preliminarily concludes 

it has the authority under section 

6291(30)(E) to consider excluding R20 

short lamps from energy conservation 

standards. DOE assessed whether the 

lamps qualify for exclusion under each 

criteria set forth in that section. 

B. R20 Short Lamp Special Application 

Design and Impact on Energy Savings 

1. Special Application of R20 Short 

Lamps 

a. R20 Short Lamp Design for Special 

Applications 

NEMA’s original petition stated that 

the R20 short lamp was specifically 

designed to meet the underwater 

illumination requirements of pool and 

spa part manufacturers. NEMA stated 

that the R20 short lamp’s MOL, heat 

shield, filament, lumen output, and 

beam spread indicate the lamp was 

specifically designed for its application. 

75 FR at 80733 (Dec. 23, 2010) Through 

interviews with lamp manufacturers 

and pool and spa part manufacturers, 

DOE was able to confirm that the R20 

short lamp’s MOL of 3 and 5⁄8 inches is 

required for compatibility with pool and 

spa fixtures; the heat shield is necessary 

for operation in a high temperature 

environment; and the lumen output 

range between 637 and 1022 lumens, 

and beam spread between 70 and 123 

degrees are designed to satisfy consumer 

preferences as well as building codes 

and standards. DOE determined that the 

filament in R20 short lamps is 

specifically placed to achieve the 

required beam spread. Therefore, DOE 

has tentatively concluded that filament 

placement does not stand on its own as 

a requirement for pools and spas, but is 

rather encompassed within the 

requirement for a specific beam spread. 

Because the described R20 short lamp 

characteristics are designed to meet 

requirements specific to pools and spas, 

DOE believes that R20 short lamps are 

designed for a special application. For 

more discussion on DOE’s analysis of 

R20 short lamp features, see section 0. 

b. Marketing and Distribution Channels 

of R20 Short Lamps 

In addition to design features, DOE 

also analyzed distribution channels and 

marketing literature for R20 short lamps. 

NEMA commented that along with R20 

short lamps’ design characteristics, their 

application-specific marketing and 

specialty distribution methods deter any 

use in other applications. (NEMA, No. 7 

at p. 1) DOE found R20 short lamps are 

marketed and clearly packaged in a way 

that indicates the lamps are specifically 

for pool and spa use. Through lamp 

manufacturer interviews and research 

conducted by DOE using publicly 

available information, DOE found that 

R20 short lamp manufacturers do not 

sell lamps directly to consumers. The 

commercial market is supplied through 

catalog warehouses, maintenance 

supply, maintenance, repair, operations 

(MRO) distributors, and pool and spa 

distributors. The residential market is 

primarily supplied through pool and 

spa distributors, which include large 

retail pool outlets and online retailers. 

Additionally, a small portion of 

products are sold to online retailers for 

pool and spa replacement parts, 

electrical distributors for direct 

installation in new pool construction, 

and hospitality and specialty lighting 

suppliers (e.g., medical equipment 

retail) for use with pools and spas. 

Given the preceding information, DOE 

tentatively concludes that the nontraditional distribution channels and 

application-specific packaging indicates 

R20 short lamps are designed for pool 

and spa applications. Combined with 

the application-specific characteristics 

described in the previous section, DOE 

preliminary concludes that R20 short 

lamps are designed for a special 

application and therefore fulfill the 

special application condition in section 

6291(30)(E). 

2. Impact on Energy Savings 

As mentioned in the previous 

sections, under 42 U.S.C. 6291(30)(E), 

DOE may determine to exclude a 

fluorescent or incandescent lamp 

provided standards for the lamp would 

not result in significant energy savings 

because the lamp is designed for special 

applications. As stated in section 0, 

DOE preliminarily concluded that 

certain features of R20 short lamps and 

manufacturers’ use of specialty 

distribution channels and applicationspecific marketing indicate that R20 

short lamps are designed for a special 

application. Given that R20 short lamps 

met this criterion, DOE then considered 

the impact on energy savings from 

regulation of R20 short lamps. 

NEMA commented that R20 short 

lamps have a minimal potential for 

energy savings because of low sales and 

operating hours due to their use in 

specialty task lighting rather than in 

general applications. (NEMA, No. 7 at p. 

2) As part of its analysis, DOE evaluated 

the market share of R20 short lamps put 

forth by NEMA. In its petition, NEMA 

stated there are only two known 

manufacturers of the 100W R20 short 

lamp in the United States. Both 

manufacturers submitted their 

confidential R20 short lamps 2009 

shipment data to NEMA. In interviews, 

these lamp manufacturers commented 

that the shipment data from 2009 is 

representative of the R20 short lamp 

market before they stopped making the 

lamp available to consumers in 2010. 

For comparison, NEMA used an 

adjusted estimate of covered IRL 

shipments from the 2009 Lamps Rule. In 

the 2009 Lamps Rule, DOE estimated 

the shipments of covered IRLs to be 181 

million units in the year 2005. Based on 

a decline in shipments of all IRLs in 

2009, NEMA assumed covered IRLs 

would also decline, but estimated the 

shipments to still remain above 100 

million. Based on a minimum of 100 

million and a maximum of 181 million 

shipments of covered IRLs, NEMA 

calculated that the shipments of R20 

short lamps represented significantly 

less than 0.1 percent of 2009 shipments 

of covered IRLs. 75 FR at 80733 (Dec. 

23, 2010). 

DOE independently obtained 

shipment information from lamp 

manufacturers that confirmed NEMA’s 

estimate of R20 short lamps being 

significantly less than 0.1 percent of 

2009 shipments of covered IRLs. 

Therefore, DOE determined this to be an 

accurate assessment of the R20 short 

lamp market share and concluded that 

less than 0.1 percent of covered IRLs 

indicated a small market share for R20 

short lamps. (More information on R20 

short lamp energy use can be found in 

appendix B.9) 

DOE also analyzed the potential for 

market migration of R20 short lamps. 

Pacific Gas and Electric Company, 

Southern California Gas Company, San 

Diego Gas and Electric, and Southern 

California Edison (hereafter ‘‘CA 


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Federal Register / Vol. 77, No. 250 / Monday, December 31, 2012 / Proposed Rules 76963 

Utilities’’) commented that consumers 

are likely to substitute R20 short lamps 

in other IRL applications because the 

price is not significantly higher than 

other residential IRLs. CA Utilities 

added that if production of R20 short 

lamps increased, the price could 

decrease further due to economies of 

scale. (CA Utilities, No. 9 at pp. 1–2) 

NEMA disagreed, stating that R20 short 

lamps have a high price point of $15.88 

and therefore would be unlikely to be 

used as a substitute for general service 

lamps. (NEMA, No. 7 at p. 2) 

DOE received information from lamp 

manufacturers stating that the end-user 

price varies, but typically ranges from 

$12 to $25. DOE research confirmed this 

large variation, finding prices ranging 

from as low as $2 to as high as $25. DOE 

acknowledges that the price of R20 short 

lamps can be competitive with other 

IRLs. Even with low prices, however, 

substitution of R20 short lamps in 

general applications is unlikely as 

consumers are unable to purchase R20 

short lamps at typical retail outlets such 

as large home improvement stores. In 

interviews, lamp manufacturers stated 

that the R20 short lamp market is 

primarily for replacement lamps and, 

therefore, historically had shown very 

little growth or decay. Further, despite 

lamp manufacturers never previously 

considering the lamps as regulated, the 

market share has remained extremely 

low and there has been no indication of 

market migration. Therefore, DOE has 

preliminarily concluded that the R20 

short lamp market has limited potential 

for growth and it is unlikely the lamps 

will migrate to general lighting 

applications. 

CA Utilities also cited the R20 short 

lamp MOL as a reason for potential 

market migration, stating that there are 

commercially available lamps that have 

the same shortened 3 and 5⁄8 inches 

MOL as the R20 short lamp and are used 

in other lighting applications. CA 

Utilities concluded that the presence of 

these other short lamps indicated 

significant energy savings would be at 

risk because length would not prevent 

the use of R20 short lamps in other 

applications. (CA Utilities, No. 9 at p. 1) 

Earthjustice and NRDC agreed with CA 

Utilities and added that the potential 

use of R20 short lamps in applications 

other than pools and spas demonstrated 

that R20 short lamps could become a 

low cost alternative to compliant IRLs. 

(Earthjustice and NRDC, No. 8 at p. 2) 

As noted in section 0, the majority of 

R20 short lamps are purchased from 

pool and spa distributors and specialty 

retail stores, and are not available where 

general service IRLs are typically sold. 

R20 short lamps are also marketed and 

clearly packaged in a way that indicates 

the lamps are specifically for pool and 

spa use. Because of the limited 

distribution channels and specific 

marketing of R20 short lamps, DOE has 

tentatively concluded their use in 

general lighting applications is unlikely. 

Because the specialty application of 

the R20 short lamps results in a small 

market share and limited potential for 

growth for these lamps, DOE 

determined that the regulation of R20 

short lamps would not result in 

significant energy savings. For these 

same reasons, DOE has also tentatively 

concluded that the exclusion of R20 

short lamps would not significantly 

impact the energy savings resulting from 

energy conservation standards. DOE 

requests comment on its assessment of 

the potential energy savings from 

standards for R20 short lamps. 

C. Availability of R20 Short Lamp 

Special Characteristics in Substitutes 

DOE may also exclude a lamp type 

because its special characteristics are 

not available in reasonably substitutable 

lamp types. 42 U.S.C. 6291(30)(E) To 

determine whether an exclusion was 

also acceptable based on this second 

condition, DOE ascertained whether 

special characteristics of R20 short 

lamps are available in reasonable 

substitutes. The following sections 

detail DOE’s analysis, which consisted 

of identifying the special characteristics 

of R20 short lamps and determining 

whether these characteristics existed in 

other lamp types that would qualify as 

reasonable substitutes. 

1. Special Characteristics of R20 Short 

Lamps 

As discussed in section 0, DOE 

received comments that the R20 short 

lamps’ shortened MOL, heat shield, 

specially engineered filament, and lamp 

performance (including a wide beam 

spread and high lumen output) indicate 

that the lamp was designed specifically 

for pool and spa applications. Therefore, 

DOE evaluated these lamp 

characteristics to determine if they 

should be considered as necessary in 

potential substitute lamps. DOE 

considered a lamp characteristic special 

if, without it, the R20 short lamp would 

not be able to provide the special 

application for which it was designed 

(i.e. use in pools and spas). Therefore, 

even if the lamp characteristic was not 

unique to the R20 short lamp, it was 

deemed special if it was required for the 

lamp to function in pools and spas. DOE 

identified a set of features that in 

combination allow the lamp to be used 

in a specialty application. 

Beyond the characteristics mentioned 

above, DOE did not find any other R20 

short lamp feature that should be 

considered a necessary special 

characteristic. DOE requests comments 

on any additional characteristics, other 

than those identified, that should be 

considered special characteristics. 

a. Shortened MOL 

The R20 short lamp has a MOL of 3 

and 5⁄8 inches. NEMA stated that this 

shortened MOL is a distinct 

characteristic that allows the lamp to fit 

the fixture dimensions in pool and spa 

applications. 75 FR at 80732 (Dec. 23, 

2010). CA Utilities disagreed and stated 

that the descriptor ‘‘short’’ is not a 

unique size distinction because many 

small diameter reflector lamps have 

MOLs less than or equal to 3 and 5⁄8

inches despite not being marketed as 

‘‘short.’’ (CA Utilities, No. 3 at p. 2) 

DOE notes that there are currently 

several lamps in the marketplace that 

are labeled as short lamps, but are not 

designed for specific applications. 

These commercially available lamps 

have the same shortened MOL of 3 and 

5⁄8 inches as the R20 short lamp and can 

be used in various general service 

lighting applications. This indicates that 

the desired MOL is a common feature 

available in other lamp types. However, 

DOE considers the shortened MOL a 

special characteristic of the R20 short 

lamp because it is necessary for use of 

the lamp in a fixture used in pool or spa 

applications. As stated by NEMA and 

confirmed with spa lamp 

manufacturers, the shortened MOL 

allows the lamp to fit inside pool and 

spa fixtures. Therefore, while a 

shortened MOL is not unique to R20 

short lamps, without this feature, the 

lamp could not be used for the special 

application it was designed. In 

combination with the lamp’s other 

special characteristics, the shortened 

MOL allows the lamp to be used in a 

specialty application. 

b. Heat Shield 

DOE received comments that the heat 

shield in the R20 short lamp was a 

special characteristic that is required to 

prevent high heat from damaging the 

cement that joins the glass envelope and 

base. 75 FR at 80732 (Dec. 23, 2010). 

Heat shields are metal rings constructed 

of either aluminum or steel and located 

in the narrow portion of the reflector 

below the filament. In lamp 

manufacturer interviews, DOE learned 

that heat shields are used to reflect 

radiant energy away from the lamp base. 

DOE further confirmed with lamp 

manufacturers that because of the high 

operating temperatures of pools and 


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76964 Federal Register / Vol. 77, No. 250 / Monday, December 31, 2012 / Proposed Rules 

spas, a heat shield is a necessary feature 

in R20 short lamps that allow them to 

be used in these environments. After 

surveying the market, DOE notes that 

heat shields may be included in lamps 

used in environments other than pools 

and spas. In particular, DOE received 

manufacturer feedback that heat shields 

are often routinely added to reflector 

lamps to prevent seal failure. However, 

because heat shields are a necessary 

component in order for the R20 short 

lamp to be used in pools and spas, DOE 

considers it to be a special characteristic 

of the R20 short lamp. In combination 

with the lamp’s other special 

characteristics, the presence of a heat 

shield allows the lamp to provide a 

specialty application. 

c. Specially Engineered Filament 

NEMA stated that the R20 short 

lamp’s filament was specially 

engineered to provide a required beam 

spread. 75 FR at 80732 (Dec. 23, 2010). 

DOE attempted to identify how the 

filament was specially engineered and if 

the design change was necessary for the 

lamp’s use in pools and spas. 

Through teardowns and interviews 

with lamp manufacturers, DOE verified 

that R20 short lamps use a C–9 filament. 

This filament type is a single-coil 

filament that is commonly used in 

indoor IRLs. DOE received feedback 

from lamp manufacturers that although 

the filament type is not unique, the 

filament has been specifically placed 

within the lamp in order to achieve the 

same beam spread as a standard R20 

lamp. Therefore, it is the placement of 

the filament, rather than the filament 

itself, that is distinct. Because the 

filament is placed to produce a specific 

beam spread, DOE does not consider 

filament placement to be a special 

characteristic, but a method of achieving 

a specific beam spread. The beam 

spread characteristic is discussed 

further in the following section. 

d. Lamp Performance: Lumen Output, 

Beam Spread, and Illumination 

In its petition NEMA stated that R20 

short lamps are required to meet a 

specific beam spread and lumen output 

identified by pool and spa part 

manufacturers. 75 FR at 80733 (Dec. 23, 

2010). In interviews with lamp 

manufacturers DOE learned that R20 

short lamps have a lumen output 

between 900 and 1,000 lumens and a 

beam angle between 70 and 80 degrees. 

Additionally, DOE received comments 

that public pools and spas are often 

required to achieve minimum 

illumination levels. (NEMA, No. 2 at p. 

1) DOE conducted independent testing 

on each of the two known lamp 

manufacturer’s R20 short lamp models 

to confirm the lumen output and beam 

angle specifications, and also further 

researched illumination requirements. 

The measured lumen output of the 

two R20 short lamp models indicated a 

lumen output range of 637 lumens to 

1,022 lumens. The average lumen 

output of the first model was 967 

lumens and within lamp manufacturer 

specified range. The second model’s 

average lumen output was 720 lumens, 

which was considerably lower. DOE did 

not find any information indicating that 

these lower lumen output R20 short 

lamp models produced an inadequate 

lumen output or had any issues in their 

use in pool and spa applications. DOE 

considered both the measured and the 

rated lumen output to determine a broad 

lumen output range. DOE therefore 

concluded that a potential substitute 

lamp would need to achieve a measured 

lumen output between 637 and 1,022 

lumens. 

The measured beam angle of the R20 

short lamp models indicated a range of 

111 to 123 degrees and was relatively 

consistent between the two models. The 

average beam angle of the first model 

was 117 degrees and the average beam 

angle of the second was 116 degrees. 

The measured beam angle range did not 

correspond to the 70- to 80-degree beam 

angle range identified by lamp 

manufacturers. However, because lamp 

manufacturer feedback indicated R20 

short lamps can have a 70-degree beam 

angle, DOE decided to establish a range 

encompassing both measured and 

manufacturer-provided beam angles. 

DOE therefore concluded that a 

potential substitute lamp would need to 

achieve a measured beam angle between 

70 and 123 degrees. 

Additionally, as previously stated, 

DOE further researched illumination 

requirements based on wattage. Pool 

and spa part manufacturers confirmed 

during interviews that R20 short lamps 

are designed to provide 0.5W of input 

power per square foot of water surface 

area, or equivalent level of illumination, 

to account for commercial building code 

requirements pertaining to products for 

pool and spa lighting. In researching 

building codes, DOE found that while 

commercial building codes exist on both 

state and local levels, and vary by 

jurisdiction, there is no evidence of 

pools and spas in the residential sector 

being subject to building code 

requirements for lighting. 

CA Utilities commented that 

minimum power density requirements 

prescribed in some local safety 

ordinances are often waived when 

replacement light sources are proven to 

provide adequate illumination 

comparable to incandescent lighting. 

For example, CA Utilities stated that 

California State regulations only specify 

that underwater lighting be adequate to 

see a person at the bottom of the pool 

and assure water quality. Therefore, CA 

Utilities concluded that low-wattage 

replacement lamps can be used as 

substitutes provided they have been 

demonstrated to provide acceptable 

levels of light. (CA Utilities, No. 9 at pp. 

2–3) 

DOE agrees with CA Utilities that 

building code requirements vary by 

jurisdiction and some waive 

requirements when replacement light 

sources are proven to provide adequate 

lighting. However, it appears that not all 

jurisdictions have explicitly included 

this caveat in their building codes and 

some seem to maintain minimum 

requirements based on input power 

alone. DOE requests further comment on 

whether reduced wattage lamps can be 

used in all jurisdictions, provided that 

adequate illumination is proven. 

In order to account for the variation 

in commercial building code 

requirements, DOE used the design 

specification of 0.5W per square foot of 

water surface area, or the equivalent 

illumination for reduced wattage lamps, 

to determine if potential substitutes 

were in compliance. DOE requests 

comment on whether this specification 

for underwater illumination is accurate 

for commercial building code 

compliance. 

2. Reasonable Substitutes With R20 

Short Lamp Special Characteristics 

Given the criteria discussed in the 

previous section, DOE evaluated lamps 

that could serve as potential substitutes 

by determining whether they contained 

all of the following special 

characteristics of R20 short lamps: 

• Shortened MOL: An MOL of 3 and 5⁄8 inches or less; 

• Heat Shield: A shield reflecting 

radiant energy from lamp base; 

• Beam Spread: A beam angle 

between 70 and 123 degrees; 

• Lumen Output: A lumen output 

between 637 and 1,022 lumens; and 

• Illumination: 0.5W per square foot 

of water surface area or the equivalent. 

With regards to potential substitutes, 

in its petition NEMA stated that Pentair, 

a pool and spa part manufacturer, had 

noted only an R20 short lamp can be 

used with the existing fixtures because 

the lamp is listed on the fixture’s 

Underwriters Laboratory (UL) listing. 

(NEMA, No. 2 at p. 3) All underwater 

pool and spa lighting must adhere to the 

applicable UL standards in the United 


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10 ‘‘Underwater Luminaires and Submersible 

Junction Boxes’’ (Approved June 9, 2003, Revised 

July 6, 2011). 

11A lamp that has a parabolic aluminum reflector 

shape. 

States. UL Standard 676 10 covers 

electric luminaires that are installed 

underwater in pools and spas. The UL 

listing is granted on a fixture level; 

however, the UL listing of underwater 

lighting fixtures mandates certain 

compatible lamp types. Because the 

fixtures are tested during the UL 

certification process with specific lamp 

types, the UL listing requires the use of 

those certified lamp types to remain 

valid. Therefore, if a lamp is used that 

has not been UL listed for use in a 

specific lighting fixture, manufacturers 

void the warranty because the 

performance of the fixture and lamp is 

unknown. Based on interviews with 

pool and spa part manufacturers, DOE 

does not believe that reasonable 

substitutes will encounter barriers when 

obtaining a UL listing. In fact, one pool 

and spa part manufacturer has already 

UL listed a smaller diameter IRL for use 

in the existing fixture. Therefore, DOE 

does not consider a current UL listing to 

be a necessary characteristic when 

identifying potential substitutes. 

NEMA commented that underwater 

lamp fixtures are tightly sealed to 

prevent water intrusion and therefore 

experience elevated temperatures that 

typically exceed the recommended 

operating temperature of any 

electronically self-ballasted lamps. 

NEMA added that current compact 

fluorescent lamp (CFL) and lightemitting diode (LED) PAR lamp 11

designs are also unable to meet the MOL 

and beam spread requirements for pool 

and spa applications. NEMA therefore 

concluded that there are no available 

substitutes for pool and spa 

applications. (NEMA, No. 7 at p. 1) 

However, Earthjustice and NRDC stated 

that exclusion of R20 short lamps is 

unwarranted because substitute lighting 

technologies, such as LED lamps, exist. 

(Earthjustice and NRDC, No. 8 at p. 2) 

DOE surveyed the market and 

identified several commercially 

available lamps that were marketed or 

evaluated by manufacturers as potential 

substitutes for an R20 short lamp. These 

lamps included more efficacious R20 

short lamps, smaller diameter IRLs, and 

LED lamps. When analyzing each of the 

likely replacements, DOE focused on 

whether they possessed the special 

characteristics of the R20 short lamp. 

DOE’s initial findings are outlined 

below. 

a. Improved R20 Short Lamp 

Currently available R20 short lamps 

do not meet existing energy 

conservation standards. When 

examining substitute lamps, DOE 

explored the possibility of a halogenbased R20 short lamp with an improved 

efficacy that would meet standards. 

Specifically, DOE examined the 

addition of halogen capsules to existing 

R20 short lamps. Tungsten-halogen 

lamps are a specific type of IRL that 

contain a small diameter, fused quartz 

envelope, referred to as a capsule, filled 

with a halogen molecule that surrounds 

the filament. The use of halogen 

capsules is known to improve the 

efficacy of IRLs. 

In the RFI, DOE requested additional 

information on the feasibility of 

improving the efficacy of R20 short 

lamps while maintaining the necessary 

characteristics required for pool and spa 

applications. 76 FR at 55614 (Sept. 8, 

2011). DOE received several comments 

in response to this request, mainly 

regarding halogen-based technology. 

NEMA commented that incorporating 

halogen capsules currently used in PAR 

lamps in R20 short lamps will not allow 

R20 short lamps to meet energy 

conservation standards established by 

the 2009 Lamps Rule that require 

compliance on July 14, 2012. NEMA 

stated that lamp manufacturers 

attempted to improve the efficacy of R20 

short lamps through the use of an 

incandescent halogen capsule, but 

found it technically infeasible either 

due to MOL constraints, internal 

dimensional compatibility of the 

halogen capsule, or meeting light output 

or beam spread requirements. (NEMA, 

No. 7 at p. 1) 

CA Utilities and Earthjustice and 

NRDC disagreed with NEMA’s comment 

and stated that the efficacy of existing 

lamps can be improved while still 

maintaining the necessary requirements 

for pool and spa applications. CA 

Utilities commented that single-ended 

and double-ended halogen burners are 

frequently used in small diameter 

reflector lamps to improve efficacy. CA 

Utilities suggested that because PAR20 

lamps, which typically do not have 

MOLs exceeding 3 and 5⁄8 inches, can 

accommodate single-ended halogen 

burners, R20 short lamps could also use 

single-ended halogen burners to 

improve efficiency. They added that 

these long life halogen PAR20 lamps are 

now also available in a wide variety of 

beam spreads. CA Utilities also 

commented that Philips offers two small 

diameter, high efficacy lamps with 

double-ended halogen burners, long 

lifetime, and wide beam spread. CA 

Utilities concluded that these product 

offerings indicate that single- and 

double-ended halogen burners are the 

appropriate size for R20 short lamps. 

(Earthjustice and NRDC, No. 8 at p. 2; 

CA Utilities, No. 9 at p. 2) 

In order to determine if an improved 

R20 short lamp could be a substitute, 

DOE modeled the performance of an 

R20 short lamp with a halogen capsule. 

DOE then determined if the halogenbased R20 short lamp would meet 

energy conservation standards and the 

special characteristic requirements. 

First, DOE determined the 

dimensional compatibility of 

incorporating halogen technology in 

R20 short lamps. DOE performed 

teardowns of a 60W PAR16 lamp 

containing a single-ended halogen 

burner, a 60W PAR30 lamp containing 

a double-ended halogen burner, and a 

100W R20 short lamp to determine the 

dimensional compatibility of the 

halogen capsules within an R20 short 

lamp. Based on the dimensions of the 

burners and the R20 short lamp, DOE 

has tentatively concluded that it is 

possible to fit both the single-ended and 

double-ended halogen burners in an R20 

short lamp. DOE notes that single-ended 

halogen burners are already present in 

commercially available R20 lamps that 

have a listed MOL of 3.54 inches and 

are intended for use in general lighting 

applications. Given this availability and 

the results of the teardown analysis, 

DOE agrees with CA Utilities and 

Earthjustice and NRDC that singleended and double-ended halogen 

burners are the appropriate size for R20 

short lamps. For more information on 

the teardowns, see appendix A. 

DOE next performed testing to 

determine the potential improvement in 

efficacy for R20 short lamps through the 

use of single-ended and double-ended 

halogen burners. DOE performed 

independent testing and analysis to 

determine what the theoretical increase 

in efficacy would be, given the 

successful incorporation of each burner 

type. 

To determine the efficacy of a 

theoretical R20 short lamp with a singleended halogen burner, DOE tested a 

120V, 45W halogen R20 lamp with a 

MOL of 3.92 inches that contained a 

single-ended burner. Using equations 

relating lumens and wattage from the 

Illuminating Engineering Society of 

North America (IESNA) Lighting 

Handbook (see appendix A), DOE scaled 

the lumen output of the 45W lamp such 

that it was within the desired range. 

Based on the calculations, DOE expects 

that when designing a more efficient 

version of an R20 short lamp, lamp 

manufacturers will be able to reduce the 


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76966 Federal Register / Vol. 77, No. 250 / Monday, December 31, 2012 / Proposed Rules 

12The maximum lumen output of the lamps 

tested was 780 lumens and the minimum was 685 

lumens. 

13The maximum beam angle was 40 degrees and 

the minimum beam angle was 28 degrees. 

wattage to at least 75W. DOE 

determined through this scaling 

calculation that the efficacy of an R20 

short lamp improves with the use of a 

single-ended halogen burner. The 

efficacy of the 100W R20 short lamp 

was measured to be 8.5 lumens per watt 

(lm/W), while the theoretical efficacy of 

the 75W halogen R20 with a singleended burner was calculated to be 10.3 

lm/W. However, the efficacy does not 

increase enough to allow the lamp to 

meet the current energy conservation 

standard of 12.5 lm/W set forth by EISA 

2007, or the standard of 16.0 lm/W 

prescribed in the 2009 Lamps Rule that 

requires compliance on July 14, 2012. 

Therefore, DOE has tentatively 

concluded that while a single-ended 

burner is dimensionally compatible 

with an R20 short lamp, this improved 

halogen R20 short lamp is not a suitable 

replacement as it would not meet 

current standards. For more information 

on the improved efficacy calculation, 

see appendix A. 

To determine the efficacy of a 

theoretical R20 short lamp with a 

double-ended burner, DOE tested a 

120V, 60W PAR30 short lamp that 

contained a double-ended burner 

dimensionally compatible with an R20 

short lamp. DOE then applied a reflector 

efficiency factor (see appendix A) to 

scale the lumen output of the PAR lamp 

to that of an R lamp. Again using IESNA 

equations relating lumen output and 

wattage, DOE scaled the 60W lamp to a 

75W lamp. The efficacy of the 100W 

R20 lamp was measured to be 8.5 lm/ 

W, while the efficacy of the 75W 

halogen R20 lamp was calculated to be 

13.8 lm/W. DOE determined that the use 

of a double-ended halogen burner 

would likely enable the 75W R20 

halogen short lamp to meet the EISA 

2007 standard of 12.5 lm/W; however, 

the efficacy would not increase enough 

to meet the 2009 Lamps Rule standard 

of 16.0 lm/W. Therefore, DOE has 

tentatively concluded that while a 

double-ended burner is dimensionally 

compatible with an R20 short lamp, this 

improved halogen R20 short lamp is not 

a viable substitute because the lamp 

would not meet July 2012 standards. For 

more information on the improved 

efficacy calculation, see appendix A. 

DOE confirmed during interviews that 

lamp manufacturers had attempted to 

improve the efficacy of R20 short lamps 

through the use of halogen capsules. 

The information shared by lamp 

manufacturers supports DOE’s findings 

that while some halogen capsules are 

dimensionally compatible with the R20 

short lamp envelope, the use of halogen 

capsules does not improve the efficacy 

enough to meet the July 2012 standards. 

Although the two model lamps do not 

comply with upcoming standards, DOE 

evaluated whether they could include 

the R20 short lamp special 

characteristics as listed in the beginning 

of section 0. As incorporating the 

halogen capsule does not affect the lamp 

length, the shortened MOL is retained. 

The heat shield could also be included 

in the improved R20 short lamp. The 

addition of a halogen capsule would, 

however, affect the lumen output and 

beam spread. Based on its theoretical 

modeling, DOE determined that the 

halogen-based R20 short lamp with 

single-ended burner would likely have a 

lumen output within the established 

range of 637 to 1,022 lumens, and the 

R20 short lamp with double-ended 

burner would have a slightly higher, but 

comparable lumen output. Additionally, 

because the position of the filament 

impacts the beam angle, DOE 

anticipates that the beam angle could be 

affected by the use of a halogen capsule; 

however, prototypes would need to be 

constructed and tested in order to 

confirm. Because DOE determined that 

the halogen-based R20 short lamp was 

not a viable option due to insufficient 

efficacy improvement, DOE did not 

conduct prototype testing to verify the 

effect on beam angle. 

Further, DOE preliminarily concluded 

that the halogen-based R20 short lamp 

would meet the 0.5 watts per square foot 

of water surface area or equivalent 

illumination requirements because the 

theoretical lamp would deliver a higher 

lumen output with a reduced input 

wattage compared to the R20 short 

lamp. However, additional testing 

would be required to confirm this 

conclusion. DOE notes an improved R20 

short lamp would need to be separately 

listed on the UL certification for a 

fixture because the lamp would have 

different specifications than current R20 

short lamps. 

DOE has tentatively concluded that 

because the improved efficacy of a 

halogen-based R20 short lamp would 

not meet or exceed the July 2012 

standards, it is not a reasonable 

substitute. 

b. 60W PAR16 Substitute 

Through market research and 

manufacturer interviews, DOE 

determined that 60W PAR16 lamps are 

currently being distributed and sold for 

use in pool and spa applications as a 

replacement for R20 short lamps. 

Existing energy conservation standards 

cover PAR lamps that have diameters 

exceeding 2.25 inches. Therefore, 

PAR16 lamps, which have a diameter of 

2 inches, are not covered under 

standards. Through research DOE 

identified two 60W PAR16 models 

marketed for use in pool and spa 

applications. DOE tested these two 

models to determine if this lamp type 

contained the R20 short lamp special 

characteristics identified and could 

serve as a reasonable substitute. In 

manufacturer interviews, DOE was able 

to identify an additional 60W PAR16 

model that can be used in pool and spa 

applications. This model was not tested 

as DOE determined it had adequate 

information to make a conclusion 

regarding the substitutability of this 

lamp type. 

The 60W PAR16 lamp is a small 

diameter halogen lamp with a parabolic 

aluminized reflector. DOE found some 

variation in MOL of the 60W PAR16 

lamps, ranging from a minimum MOL of 

2.86 inches to a maximum of 3.31 

inches. However, all models had a MOL 

less than the R20 short lamp MOL of 

3.625 inches. In addition, the 60W 

PAR16 lamps tested contained heat 

shields. 

After DOE confirmed that the physical 

specifications of the 60W PAR16 were 

equivalent to those of the R20 short 

lamp, DOE considered the performance 

specifications. DOE received feedback 

from lamp manufacturers that the lumen 

output of 60W PAR16 lamps was 

between 600 and 700 lumens and the 

beam angle was 30 degrees. DOE 

conducted independent testing and 

determined that the average lumen 

output of the models tested was 733 

lumens.12 DOE concluded that the 

lumen output of the 60W PAR16 lamp 

was comparable to that of the R20 short 

lamp because the measured lumen 

output was within the lumen output 

range of the R20 short lamps (637 to 

1,022 lumens). 

DOE also measured beam angles and 

determined that the average beam angle 

was 34 degrees.13 DOE concluded that 

the beam angle of the 60W PAR16 lamp 

did not meet the beam angle range of the 

R20 short lamps (70 to 123 degrees). 

Additionally, DOE interviewed lamp 

manufacturers to determine if they 

considered the 60W PAR16 as a suitable 

replacement for the R20 short lamp. 

Lamp manufacturers commented that 

while the 60W PAR16 is being used in 

pools and spas, the lamp was not 

designed for such applications. The 

lamp was not utilized in pools and spas 

until September 2010, when an alternate 

lamp was needed until the R20 short 

lamp exclusion rulemaking was 


srobinson on DSK4SPTVN1PROD with 
Federal Register / Vol. 77, No. 250 / Monday, December 31, 2012 / Proposed Rules 76967 

completed. DOE received varying 

comments on the satisfaction of 60W 

PAR16 lamps in pool and spa 

applications. While the rated lifetime of 

these lamps is in the same range as the 

rated lifetime of R20 short lamps (2,000 

to 2,500 hours), some lamp 

manufacturers have received consumer 

feedback that the lifetime of the 60W 

PAR16 lamp is shortened when used in 

pool and spa applications. However, 

DOE also received feedback from pool 

and spa part manufacturers that the 

performance of the 60W PAR16 has 

proven to be more robust than the R20 

short lamp, and that they have seen no 

issues with shortened lifetime. DOE 

welcomes further clarification on this 

issue, including test data regarding the 

impact on lifetime of the 60W PAR16 

lamps when used in pool and spa 

applications. 

During interviews, some lamp 

manufacturers commented that the 

lumen output and beam angle of the 

60W PAR16 were not sufficient for use 

in pool and spa applications. However, 

DOE also received comments that the 

performance of the 60W PAR16 was 

comparable to the R20 short lamp when 

installed in a fixture with optimized 

components. Pool and spa part 

manufacturers develop underwater 

lighting based on the performance of a 

lamp and fixture together and optimize 

the fixture’s components in order to 

achieve suitable illumination. A 

manufacturer of pool and spa parts 

commented that by adding an optimized 

lens to the R20 short lamp fixture, the 

measured light output and beam angle 

of the 60W PAR16 lamp within the 

fixture was comparable to the R20 short 

lamp within the fixture with a standard 

lens. The lens added to the R20 short 

lamp fixture was an existing 

component, developed for use with 

underwater LED lighting in order to 

provide a more diffuse beam spread. 

The pool and spa part manufacturer 

provided test results of the 60W PAR16 

within the R20 short lamp fixture both 

with and without the optimized LED 

lens. When the LED lens was used, the 

beam angle was substantially increased 

and fell within the required beam angle 

range. However, because the subject of 

this rulemaking is specific to the lamp, 

DOE must evaluate the performance of 

the lamp alone when determining the 

availability of reasonable substitutes. 

The 60W PAR16 is currently being 

marketed and sold for use in pool and 

spa applications and therefore likely to 

be compliant with building code 

requirements for appropriate 

illumination of pool/spas. DOE also 

notes that the 60W PAR16 lamp is UL 

listed for use in R20 short lamp fixtures. 

The 60W PAR16 lamp is physically 

compatible with an underwater light 

fixture due to its short MOL and also 

contains a heat shield. However, in 

order for the 60W PAR16 to serve as a 

replacement for the R20 short lamp, 

modifications must be made to achieve 

the acceptable beam spread. 

Specifically, the 60W PAR16 must be 

partnered with a fixture with an 

optimized LED lens to achieve the 

appropriate beam angle. Because the 

60W PAR16 lamp alone does not 

contain all of the special characteristics 

of a R20 short lamp, DOE has tentatively 

concluded that this is not a reasonable 

substitute. 

c. LED Replacement Lamp 

CA Utilities commented that several 

commercially available LED lamps 

could serve as replacements for R20 

short lamps. CA Utilities added that 

while the products are currently more 

expensive, they offer longer lifetimes 

with lower maintenance costs. In 

addition, LED prices are expected to 

decrease as the technology matures. (CA 

Utilities, No. 9 at p. 2) DOE did confirm 

that LED replacement lamps are 

currently being sold for use in pool and 

spa fixtures. DOE researched three LED 

models that were determined to be 

compatible with the R20 short lamp 

fixture in order to determine if the 

lamps offered the special characteristics 

of the R20 short lamp and could 

therefore be considered a substitutable 

lamp type. 

One of the LED models that can be 

used as a replacement for R20 short 

lamps has a rated wattage of 8 W, a 

diameter of 2.5 inches, and has a listed 

MOL of 3.5 inches, which is less than 

that of a R20 short lamp MOL of 3.625 

inches. The lamp has a lumen output of 

500 lumens and a 40 degree beam angle. 

Additionally, the lamp has a rated 

lifetime of 40,000 hours. While the use 

of a heat shield is not applicable to LED 

lamps, the lamp manufacturer indicated 

that the lamp was adapted for use in 

underwater pool and spa applications 

and certain components were changed 

in order to withstand the high heat 

environment. 

This LED lamp has the required MOL 

for pool and spa applications, however, 

the lamp does not achieve the required 

lumen output and beam angle. The LED 

lamp’s rated lumen output of 500 

lumens is notably less than the 

established acceptable range of 637 and 

1,022 lumens. Additionally, the LED 

lamp’s beam angle of 40 degrees is also 

considerably less than specified beam 

angle range of 70 to 123 degrees. DOE 

has tentatively concluded based on the 

lamp manufacturer-provided 

specifications, that this LED model is 

not a reasonable substitute because the 

lamp does not have the required special 

characteristics of the R20 short lamp. 

The remaining two LED models for 

use in the R20 short lamp fixture did 

not have published performance 

specifications. DOE contacted the lamp 

manufacturers, but was able to obtain 

only limited information on the models. 

DOE was able to determine that one 

model has a rated wattage of 20 W, an 

MOL of 3.3 inches, and a diameter of 3.0 

inches. DOE was unable to find 

information on the lamp shape, lumen 

output, beam angle, and rated lifetime of 

the model. For the other model, DOE 

was able to determine that it has a rated 

wattage of 12 W, an MOL of 2.41 inches, 

and a diameter of 3.07 inches. Similarly, 

DOE was unable to find information on 

the lamp shape, lumen output, beam 

angle, and rated lifetime of the model. 

Because of the limited information on 

these two LED models, DOE cannot 

conclude that the lamps have the 

required special characteristics of R20 

short lamps. DOE welcomes further 

information on potential LED 

replacement models. 

DOE assumed that because the LED 

lamps are currently being marketed and 

sold for use in pool and spa 

applications, these lamps provide the 

equivalent illumination of 0.5 watts per 

square foot of water surface area. DOE 

notes that the LED lamps are not UL 

listed for use in R20 short lamp fixtures. 

DOE also identified an LED lamp that 

is being sold for use in pool and spa 

applications, but cannot be installed in 

an R20 short lamp fixture and, therefore, 

requires a compatible LED fixture. The 

LED lamp and fixture are intended to be 

a direct replacement for the R20 short 

lamp and fixture. Because the 

replacement option requires a 

completely new fixture and this 

rulemaking is evaluating the lamp 

alone, DOE has determined that this 

LED lamp is not a reasonable substitute. 

Based on the foregoing, DOE has 

tentatively concluded that commercially 

available LED lamps are not reasonable 

substitutes because they do not have the 

required special characteristics of R20 

short lamps. DOE also tentatively 

concluded that the LED lamp and 

fixture replacement identified is not a 

reasonable substitute because it requires 

more than the lamp to be replaced. 

DOE requests comment on the 

analysis of potential R20 short lamp 

substitutes and its initial conclusion 

that there are no reasonable substitutes 

for this lamp type. 


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76968 Federal Register / Vol. 77, No. 250 / Monday, December 31, 2012 / Proposed Rules 

14Performance information was not available for 

all LED replacements. 

D. Conclusion 

In interviews with manufacturers, 

DOE established that R20 short lamps 

were designed for pool and spa 

applications based on industry need and 

consumer preference. The design 

requirements included a wide beam 

spread, high lumen output and adequate 

illumination; a heat shield to withstand 

the high operating temperatures of spas; 

and a shortened MOL, allowing the 

lamp to fit in underwater pool or spa 

fixtures. Further, DOE determined that 

the majority of R20 short lamps are 

purchased from pool and spa 

distributors and specialty retail stores, 

and are not available where IRLs are 

typically sold for general lighting 

applications. R20 short lamps are also 

marketed and clearly packaged in a way 

that indicates the lamps are specifically 

for pools and spas. Therefore, DOE has 

preliminarily concluded that R20 short 

lamps are designed for pool and spa 

applications. Due to the special 

application of R20 short lamps, DOE 

assessed the impact on energy savings 

from the exclusion of these lamps from 

energy conservation standards. As R20 

short lamps have a small market share 

and limited potential for growth, DOE 

tentatively determined that the 

regulation of R20 short lamps would not 

result in significant energy savings. 

DOE also evaluated lamps that could 

serve as potential substitutes by 

analyzing their ability to replicate the 

specialized characteristics of the R20 

short lamp, specifically a shortened 

MOL, heat shield, high lumen output, 

wide beam spread, and adequate 

illumination. DOE considered a 

halogen-based R20 short lamp with 

improved efficacy, a commercially 

available 60W PAR16 lamp, and LED 

lamps as potential substitutes. DOE has 

tentatively disqualified these lamps as 

reasonable substitutes for the following 

reasons: (1) The halogen-based R20 

short lamp would not comply with 

standards; (2) the 60W PAR16 can only 

achieve the required beam spread when 

partnered with a fixture with an 

optimized LED lens; and (3) the LED 

replacement does not have the 

necessary lumen output.14 Therefore, 

DOE has tentatively concluded that 

there are no reasonably substitutable 

lamp types currently available that offer 

the special characteristics of R20 short 

lamps. 

Based on the previous assessments, 

DOE proposes to exclude R20 short 

lamps from energy conservation 

standards. DOE’s analysis has initially 

found that energy conservation 

standards for R20 short lamps would 

not result in significant energy savings 

because the lamps are designed for 

special applications, and also that the 

lamps have special characteristics that 

are not available in reasonably 

substitutable lamp types. Therefore, 

under section 6291(30)(E), DOE 

proposes to exclude R20 short lamps 

from energy conservation standards by 

modifying the definition of 

‘‘Incandescent reflector lamp’’ and 

proposing a new definition for ‘‘R20 

Short Lamp’’ in 10 CFR 430.2. DOE 

requests comment on its proposed 

determination that R20 short lamps 

should be excluded from energy 

conservation standards. 

E. Options for Conditional Exclusions 

Stakeholders provided additional 

suggestions on how to exclude R20 

short lamps from energy conservation 

standards. Earthjustice and NRDC 

commented that if DOE excludes R20 

short lamps from coverage under EPCA 

energy conservation standards, 

measures must be taken to ensure that 

the blanket exclusion does not become 

a loophole. Earthjustice and NRDC 

provided four recommendations for 

conditional exclusions. In one 

recommendation, Earthjustice and 

NRDC suggested that DOE could 

provide exclusion only for R20 short 

lamps installed in states where 120V 

electricity supplies pools and spas. This 

would prevent R20 short lamps from 

migrating to states where the only use 

would be as a substitute for an IRL that 

meets standards. Earthjustice and NRDC 

suggested in another recommendation 

that DOE limit the exclusion to a 

specified number of R20 short lamps. 

They stated DOE has the authority to do 

this because section 6291(30)(E) 

authorizes DOE to grant exclusion from 

standards at the individual lamp level. 

Another recommendation was to 

exclude the first 100,000 R20 short 

lamps produced after the final rule 

effective date on the basis that 

subsequent production would abate 

findings that standards would not result 

in significant energy savings. In 

addition, Earthjustice and NRDC 

suggested DOE could establish an 

annual sales limit, restricting the market 

share and thereby ensuring that 

standards for R20 short lamps would 

not result in significant energy savings. 

They stated that this could be 

accomplished by requiring 

manufacturers to report sales quarterly 

and terminating the exclusion when 

reported sales exceed an established 

percentage of historic annual sales. 

(Earthjustice and NRDC, No. 8 at pp. 2– 

4) 

Finally, Earthjustice and NRDC also 

suggested that any exclusion expire after 

five years, regardless of lamp sales. This 

would allow R20 short lamp 

manufacturers enough time to perform 

necessary redesign for incorporating 

more energy-efficient lighting 

technologies at the lowest possible cost, 

while not greatly reducing energy 

savings achieved through standards. 

Ibid. 

As mentioned previously, DOE does 

not anticipate market growth or market 

migration of R20 short lamps due to 

their application-specific marketing and 

unique distribution channels. DOE’s 

proposed definition for R20 short lamps 

requires them to be designed, labeled, 

and marketed for pool and spa 

applications. However, DOE would 

consider reevaluating the exclusion of 

R20 short lamps from energy 

conservation standards, if it was found 

that lamp sales were increasing due to 

market migration after an exclusion of 

R20 short lamps was granted. DOE 

invites the submission of shipment 

information that supports increased 

lamp sales following an exclusion of 

R20 short lamps. 

Earthjustice and NRDC also suggested 

that DOE require a technical 

specification for R20 short lamps, such 

as a specific correlated color 

temperature value, that would not 

significantly affect quality or efficiency 

but would ensure the lamp would not 

be used in other applications. 

(Earthjustice and NRDC, No. 8 at p. 4) 

EPCA authorizes DOE to consider and 

adopt only performance-based energy 

conservation standards for this product. 

(42 U.S.C. 6291(6)) DOE cannot, 

therefore, specify R20 short lamps to 

have certain technical characteristics. 

Further, as stated previously, DOE does 

not anticipate that R20 short lamps 

would be used in other applications and 

therefore, does not see a need for such 

a requirement. 

IV. Procedural Issues and Regulatory 

Review 

A. Review Under Executive Orders 

12866 and 13563 

Today’s regulatory action has been 

determined to not be a ‘‘significant 

regulatory action’’ under section 3(f) of 

Executive Order 12866, ‘‘Regulatory 

Planning and Review,’’ 58 FR 51735 

(Oct. 4, 1993). Accordingly, the Office of 

Information and Regulatory Affairs 

(OIRA) in the Office of Management and 

Budget (OMB) is not required to review 

this action. 

DOE has also reviewed this proposed 

regulation pursuant to Executive Order 

13563, issued on January 18, 2011 (76 


srobinson on DSK4SPTVN1PROD with 
Federal Register / Vol. 77, No. 250 / Monday, December 31, 2012 / Proposed Rules 76969 

FR 3281 (Jan. 21, 2011)). Executive 

Order 13563 is supplemental to and 

explicitly reaffirms the principles, 

structures, and definitions governing 

regulatory review established in 

Executive Order 12866. To the extent 

permitted by law, agencies are required 

by Executive Order 13563 to: (1) 

Propose or adopt a regulation only upon 

a reasoned determination that its 

benefits justify its costs (recognizing 

that some benefits and costs are difficult 

to quantify); (2) tailor regulations to 

impose the least burden on society, 

consistent with obtaining regulatory 

objectives, taking into account, among 

other things, and to the extent 

practicable, the costs of cumulative 

regulations; (3) select, in choosing 

among alternative regulatory 

approaches, those approaches that 

maximize net benefits (including 

potential economic, environmental, 

public health and safety, and other 

advantages; distributive impacts; and 

equity); (4) to the extent feasible, specify 

performance objectives, rather than 

specifying the behavior or manner of 

compliance that regulated entities must 

adopt; and (5) identify and assess 

available alternatives to direct 

regulation, including providing 

economic incentives to encourage the 

desired behavior, such as user fees or 

marketable permits, or providing 

information upon which choices can be 

made by the public. 

DOE emphasizes as well that 

Executive Order 13563 requires agencies 

to use the best available techniques to 

quantify anticipated present and future 

benefits and costs as accurately as 

possible. In its guidance, OIRA has 

emphasized that such techniques may 

include identifying changing future 

compliance costs that might result from 

technological innovation or anticipated 

behavioral changes. For the reasons 

stated in the preamble, DOE believes 

that today’s NOPR is consistent with 

these principles, including the 

requirement that, to the extent 

permitted by law, benefits justify costs 

and that net benefits are maximized. 

B. Review Under the Regulatory 

Flexibility Act 

The Regulatory Flexibility Act (5 

U.S.C. 601 et seq.) requires preparation 

of an initial regulatory flexibility 

analysis (IRFA) for any rule that by law 

must be proposed for public comment, 

unless the agency certifies that the rule, 

if promulgated, will not have a 

significant economic impact on a 

substantial number of small entities. As 

required by Executive Order 13272, 

‘‘Proper Consideration of Small Entities 

in Agency Rulemaking,’’ 67 FR 53461 

(August 16, 2002), DOE published 

procedures and policies on February 19, 

2003, to ensure that the potential 

impacts of its rules on small entities are 

properly considered during the 

rulemaking process. 68 FR 7990. DOE 

has made its procedures and policies 

available on the Office of the General 

Counsel’s Web site (http://energy.gov/

gc/office-general-counsel). 

DOE reviewed today’s proposed 

rulemaking under the provisions of the 

Regulatory Flexibility Act and the 

policies and procedures published on 

February 19, 2003. This proposed 

rulemaking would set no standards; it 

would only determine whether 

exclusion from standards is warranted 

for R20 short lamps. DOE certifies that 

this proposed rulemaking will not have 

a significant impact on a substantial 

number of small entities. The factual 

basis for this certification is as follows. 

For manufacturers of 100W R20 IRLs 

with an MOL of 3 and 5⁄8 inches, the 

Small Business Administration (SBA) 

has set a size threshold, which defines 

those entities classified as ‘‘small 

businesses’’ for the purposes of the 

statute. DOE used the SBA’s small 

business size standards to determine 

whether any small entities would be 

subject to the requirements of the rule. 

65 FR 30836, 30849 (May 15, 2000), as 

amended at 65 FR 53533, 53545 (Sept. 

5, 2000) and codified at 13 CFR 121. 

The size standards are listed by North 

American Industry Classification 

System (NAICS) code and industry 

description and are available at http:// 

www.sba.gov/sites/default/files/files/ 

Size_Standards_Table.pdf. The 

manufacturing of R20 short lamps is 

classified under NAICS 335110, 

‘‘Electric Lamp Bulb and Part 

Manufacturing.’’ The SBA sets a 

threshold of 1,000 employees or less for 

an entity to be considered as a small 

business for this category. DOE 

identified two small business 

manufacturers of R20 short lamps. 

Amendments to EPCA in the Energy 

Policy Act of 1992 (EPAct 1992), Public 

Law 102–486, established the current 

energy conservation standards for 

certain classes of IRLs. On July 14, 2009, 

DOE published a final rule in the 

Federal Register that amended these 

standards, with a compliance date of 

July 14, 2012. 74 FR 34080. In that 

rulemaking, DOE concluded that the 

standards would not have a substantial 

impact on small entities and, therefore, 

did not prepare a regulatory flexibility 

analysis. 74 FR at 34174–75 (July 14, 

2009). On the basis of the foregoing and 

because this rulemaking to establish an 

exclusion would decrease regulatory 

burden, DOE certifies that this 

rulemaking will have no significant 

economic impact on a substantial 

number of small entities. Accordingly, 

DOE has not prepared an IRFA for this 

NOPR. DOE will transmit this 

certification and supporting statement 

of factual basis to the Chief Counsel for 

Advocacy of the SBA for review under 

5 U.S.C. 605(b). 

C. Review Under the Paperwork 

Reduction Act 

This rulemaking, which proposes an 

exclusion from energy conservation 

standards for R20 short lamps, would 

impose no new information or record 

keeping requirements. Accordingly, the 

OMB clearance is not required under 

the Paperwork Reduction Act. (44 

U.S.C. 3501 et seq.) 

D. Review Under the National 

Environmental Policy Act of 1969 

Pursuant to the National 

Environmental Policy Act (NEPA) of 

1969, DOE has determined that this 

proposed rulemaking fits within the 

category of actions that are categorically 

excluded from review under the 

National Environmental Policy Act of 

1969 (Pub. L. 91–190, codified at 42 

U.S.C. 4321 et seq.), and DOE’s 

implementing regulations at 10 CFR part 

1021. Specifically, the proposed 

rulemaking amends an existing rule 

without changing its environmental 

effect, and, therefore, is covered by 

Categorical Exclusion (CX) A5 found in 

10 CFR part 1021, subpart D, appendix 

A. Therefore, as DOE has made a CX 

determination for the proposed 

rulemaking, DOE does not need to 

prepare an Environmental Assessment 

or Environmental Impact Statement. 

DOE’s CX determination is available at 

http://cxnepa.energy.gov/. 

E. Review Under Executive Order 13132 

Executive Order 13132, ‘‘Federalism,’’ 

64 FR 43255 (Aug. 10, 1999) imposes 

certain requirements on federal agencies 

formulating and implementing policies 

or regulations that preempt state laws or 

that have federalism implications. The 

Executive Order requires agencies to 

examine the constitutional and statutory 

authority supporting any action that 

would limit the policymaking discretion 

of the states and to carefully assess the 

necessity for such actions. The 

Executive Order also requires agencies 

to have an accountable process to 

ensure meaningful and timely input by 

state and local officials in the 

development of regulatory policies that 

have federalism implications. On March 

14, 2000, DOE published a statement of 

policy describing the intergovernmental 

consultation process it will follow in the 


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76970 Federal Register / Vol. 77, No. 250 / Monday, December 31, 2012 / Proposed Rules 

development of such regulations. 65 FR 

13735. EPCA governs and prescribes 

federal preemption of state regulations 

as to energy conservation for the 

covered product that is the subject of 

today’s proposed rulemaking. States can 

petition DOE for exemption from such 

preemption to the extent, and based on 

criteria, set forth in EPCA. (42 U.S.C. 

6297) No further action is required by 

Executive Order 13132. 

F. Review Under Executive Order 12988 

With respect to the review of existing 

regulations and the promulgation of 

new regulations, section 3(a) of 

Executive Order 12988, ‘‘Civil Justice 

Reform,’’ imposes on federal agencies 

the general duty to adhere to the 

following requirements: (1) Eliminate 

drafting errors and ambiguity; (2) write 

regulations to minimize litigation; and 

(3) provide a clear legal standard for 

affected conduct rather than a general 

standard and promote simplification 

and burden reduction. 61 FR 4729 (Feb. 

7, 1996). Section 3(b) of Executive Order 

12988 specifically requires that 

Executive agencies make every 

reasonable effort to ensure that the 

regulation: (1) Clearly specifies the 

preemptive effect, if any; (2) clearly 

specifies any effect on existing federal 

law or regulation; (3) provides a clear 

legal standard for affected conduct 

while promoting simplification and 

burden reduction; (4) specifies the 

retroactive effect, if any; (5) adequately 

defines key terms; and (6) addresses 

other important issues affecting clarity 

and general draftsmanship under any 

guidelines issued by the Attorney 

General. Section 3(c) of Executive Order 

12988 requires Executive agencies to 

review regulations in light of applicable 

standards in section 3(a) and section 

3(b) to determine whether they are met 

or it is unreasonable to meet one or 

more of them. DOE has completed the 

required review and determined that, to 

the extent permitted by law, this 

proposed rulemaking meets the relevant 

standards of Executive Order 12988. 

G. Review Under the Unfunded 

Mandates Reform Act of 1995 

Title II of the Unfunded Mandates 

Reform Act of 1995 (UMRA) requires 

each federal agency to assess the effects 

of federal regulatory actions on state, 

local, and Tribal governments and the 

private sector. Public Law 104–4, sec. 

201 (codified at 2 U.S.C. 1531). For a 

proposed regulatory action likely to 

result in a rule that may cause the 

expenditure by state, local, and Tribal 

governments, in the aggregate, or by the 

private sector of $100 million or more 

in any one year (adjusted annually for 

inflation), section 202 of UMRA requires 

a federal agency to publish a written 

statement that estimates the resulting 

costs, benefits, and other effects on the 

national economy. (2 U.S.C. 1532(a), 

(b)). The UMRA also requires a federal 

agency to develop an effective process 

to permit timely input by elected 

officers of state, local, and Tribal 

governments on a proposed ‘‘significant 

intergovernmental mandate,’’ and 

requires an agency plan for giving notice 

and opportunity for timely input to 

potentially affected small governments 

before establishing any requirements 

that might significantly or uniquely 

affect small governments. On March 18, 

1997, DOE published a statement of 

policy on its process for 

intergovernmental consultation under 

UMRA. 62 FR 12820. DOE’s policy 

statement is also available at http:// 

energy.gov/gc/office-general-counsel. 

DOE examined today’s proposed 

rulemaking according to UMRA and its 

statement of policy and determined that 

the rule contains neither an 

intergovernmental mandate, nor a 

mandate that may result in the 

expenditure of $100 million or more in 

any year. Instead, if adopted in a final 

rulemaking, the rule would exclude R20 

IRLs with an MOL of 3 and 5⁄8 inches 

from standards, thereby eliminating any 

existing compliance costs. Accordingly, 

no further assessment or analysis is 

required under the Unfunded Mandates 

Reform Act of 1995. 

H. Review Under the Treasury and 

General Government Appropriations 

Act, 1999 

Section 654 of the Treasury and 

General Government Appropriations 

Act, 1999 (Pub. L. 105–277) requires 

federal agencies to issue a Family 

Policymaking Assessment for any rule 

that may affect family well-being. This 

proposed rulemaking would not have 

any impact on the autonomy or integrity 

of the family as an institution. 

Accordingly, DOE has concluded that it 

is not necessary to prepare a Family 

Policymaking Assessment. 

I. Review Under Executive Order 12630 

DOE has determined, under Executive 

Order 12630, ‘‘Governmental Actions 

and Interference with Constitutionally 

Protected Property Rights’’ 53 FR 8859 

(Mar. 18, 1988), that this regulation 

would not result in any takings that 

might require compensation under the 

Fifth Amendment to the U.S. 

Constitution. 

J. Review Under the Treasury and 

General Government Appropriations 

Act, 2001 

Section 515 of the Treasury and 

General Government Appropriations 

Act, 2001 (44 U.S.C. 3516, note) 

provides for federal agencies to review 

most disseminations of information to 

the public under guidelines established 

by each agency pursuant to general 

guidelines issued by OMB. OMB’s 

guidelines were published at 67 FR 

8452 (Feb. 22, 2002), and DOE’s 

guidelines were published at 67 FR 

62446 (Oct. 7, 2002). DOE has reviewed 

today’s proposed rulemaking under the 

OMB and DOE guidelines and has 

concluded that it is consistent with 

applicable policies in those guidelines. 

K. Review Under Executive Order 13211 

Executive Order 13211, ‘‘Actions 

Concerning Regulations That 

Significantly Affect Energy Supply, 

Distribution, or Use’’ 66 FR 28355 (May 

22, 2001), requires federal agencies to 

prepare and submit to OIRA at OMB, a 

Statement of Energy Effects for any 

proposed significant energy action. A 

‘‘significant energy action’’ is defined as 

any action by an agency that 

promulgates or is expected to lead to 

promulgation of a final rule, and that: 

(1) Is a significant regulatory action 

under Executive Order 12866, or any 

successor order; and (2) is likely to have 

a significant adverse effect on the 

supply, distribution, or use of energy, or 

(3) is designated by the Administrator of 

OIRA as a significant energy action. For 

any proposed significant energy action, 

the agency must give a detailed 

statement of any adverse effects on 

energy supply, distribution, or use 

should the proposal be implemented, 

and of reasonable alternatives to the 

action and their expected benefits on 

energy supply, distribution, and use. 

DOE has tentatively concluded that 

today’s proposed regulatory action, 

which excludes R20 short lamps from 

coverage under energy conservation 

standards, is not a significant energy 

action because the proposed exclusion 

from standards is not a significant 

regulatory action under Executive Order 

12866, is not likely to have a significant 

adverse effect on the supply, 

distribution, or use of energy, nor has it 

been designated as such by the 

Administrator at OIRA. Accordingly, 

DOE has not prepared a Statement of 

Energy Effects on the proposed 

rulemaking. 


srobinson on DSK4SPTVN1PROD with 
Federal Register / Vol. 77, No. 250 / Monday, December 31, 2012 / Proposed Rules 76971 

L. Review Under the Information 

Quality Bulletin for Peer Review 

On December 16, 2004, OMB, in 

consultation with the Office of Science 

and Technology Policy (OSTP), issued 

its Final Information Quality Bulletin 

for Peer Review (the Bulletin). 70 FR 

2664 (Jan. 14, 2005). The Bulletin 

establishes that certain scientific 

information shall be peer reviewed by 

qualified specialists before it is 

disseminated by the Federal 

Government, including influential 

scientific information related to agency 

regulatory actions. The purpose of the 

Bulletin is to enhance the quality and 

credibility of the Government’s 

scientific information. Under the 

Bulletin, the energy conservation 

standards rulemaking analyses are 

‘‘influential scientific information,’’ 

which the Bulletin defines as scientific 

information the agency reasonably can 

determine will have, or does have, a 

clear and substantial impact on 

important public policies or private 

sector decisions. 70 FR at 2667 (Jan. 14, 

2005). 

In response to OMB’s Bulletin, DOE 

conducted formal in-progress peer 

reviews of the energy conservation 

standards development process and 

analyses and has prepared a Peer 

Review Report pertaining to the energy 

conservation standards rulemaking 

analyses. Generation of this report 

involved a rigorous, formal, and 

documented evaluation using objective 

criteria and qualified and independent 

reviewers to make a judgment as to the 

technical/scientific/business merit, the 

actual or anticipated results, and the 

productivity and management 

effectiveness of programs and/or 

projects. The ‘‘Energy Conservation 

Standards Rulemaking Peer Review 

Report’’ dated February 2007 has been 

disseminated and is available at the 

following Web site: 

www1.eere.energy.gov/buildings/ 

appliance_standards/peer_review.html. 

V. Public Participation 

A. Submission of Comments 

DOE will accept comments, data, and 

information regarding this NOPR no 

later than the date provided in the DATES

section at the beginning of this notice. 

Interested parties may submit 

comments, data, and other information 

using any of the methods described in 

the ADDRESSES section at the beginning 

of this notice. 

Submitting comments via 

regulations.gov. The regulations.gov 

Web page will require you to provide 

your name and contact information. 

Your contact information will be 

viewable to DOE Building Technologies 

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 itself 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. 

Otherwise, persons viewing comments 

will see only first and last names, 

organization names, correspondence 

containing comments, and any 

documents submitted with the 

comments. 

Do not submit to 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 

regulations.gov cannot be claimed as 

CBI. Comments received through the 

Web site will waive any CBI claims for 

the information submitted. For 

information on submitting CBI, see the 

Confidential Business Information 

section below. 

DOE processes submissions made 

through 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 

regulations.gov provides after you have 

successfully uploaded your comment. 

Submitting comments via email, hand 

delivery/courier, or mail. Comments and 

documents submitted via email, hand 

delivery, or mail also will be posted to 

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 in 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 mail or hand delivery/ 

courier, please provide all items on a 

CD, if feasible. It is not necessary to 

submit printed copies. No facsimiles 

(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, that are written in English, and 

that are 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. 

Factors of interest to DOE when 

evaluating requests to treat submitted 

information as confidential include: (1) 

A description of the items; (2) whether 

and why such items are customarily 

treated as confidential within the 

industry; (3) whether the information is 

generally known by or available from 

other sources; (4) whether the 

information has previously been made 

available to others without obligation 

concerning its confidentiality; (5) an 

explanation of the competitive injury to 

the submitting person which would 

result from public disclosure; (6) when 

such information might lose its 

confidential character due to the 

passage of time; and (7) why disclosure 

of the information would be contrary to 

the public interest. 

It is DOE’s policy that all comments 

may be included in the public docket, 

without change and as received, 


srobinson on DSK4SPTVN1PROD with 
76972 Federal Register / Vol. 77, No. 250 / Monday, December 31, 2012 / Proposed Rules 

including any personal information 

provided in the comments (except 

information deemed to be exempt from 

public disclosure). 

B. Issues on Which DOE Seeks Comment 

Although DOE welcomes comments 

on any aspect of this proposal, DOE is 

particularly interested in receiving 

comments and views of interested 

parties concerning the following issues: 

1. DOE’s assessment of the identified 

special characteristics of R20 short 

lamps and any other features that 

should be considered special 

characteristics; 

2. The proposal that R20 short lamps 

qualify for an exclusion from energy 

conservation standards because of 

insignificant energy savings attributable 

to their design for specialty 

applications; 

3. Whether reduced wattage lamps 

can be used as reasonable substitutes in 

pool and spa applications in all 

jurisdictions provided that they meet 

the 0.5W of input power per square foot 

of water surface area, or equivalent level 

of illumination; 

4. The identified specifications for 

underwater illumination (0.5W of input 

power per square foot of water surface 

area, or equivalent level of illumination) 

for building code compliance and 

whether this requirement is appropriate 

when qualifying a lamp as a reasonable 

substitute; and 

5. DOE’s analysis of potential R20 

short lamp substitutes and the 

conclusion that there are no reasonably 

substitutable lamps for this lamp type. 

VI. Approval of the Office of the 

Secretary 

The Secretary of Energy has approved 

publication of today’s proposed 

rulemaking. 

List of Subjects in 10 CFR Part 430 

Administrative practice and 

procedure, Confidential Business 

Information, Energy conservation, 

Household appliances, Imports, 

Intergovernmental relations, Small 

businesses. 

Issued in Washington, DC, on December 

21, 2012. 

David T. Danielson, 

Assistant Secretary, Energy Efficiency and 

Renewable Energy. 

For the reasons set forth in the 

preamble, DOE proposes to amend part 

430 of chapter II, subchapter D, of title 

10 of the Code of Federal Regulations, 

as set forth below: 

PART 430—ENERGY CONSERVATION 

PROGRAM FOR CONSUMER 

PRODUCTS 

1. The authority citation for part 430 

continues to read as follows: 

Authority: 42 U.S.C. 6291–6309; 28 U.S.C. 

2461 note. 

2. In § 430.2, revise the definition for 

‘‘Incandescent reflector lamp’’ and add 

the definition for ‘‘R20 short lamp,’’ in 

alphabetical order, to read as follows: 

§ 430.2 Definitions. 

* * * * * 

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. 

* * * * * 

R20 short lamp means a lamp that is 

an R20 incandescent reflector lamp that 

has a rated wattage of 100 watts; has a 

maximum overall length of 3 and 5⁄8, or 

3.625, inches; and is designed, labeled, 

and marketed specifically for pool and 

spa applications. 

* * * * * 

[FR Doc. 2012–31396 Filed 12–28–12; 8:45 am] 

BILLING CODE 6450–01–P 

DEPARTMENT OF ENERGY 

10 CFR Part 431 

[Docket No. EERE–2012–BT–DET–0033] 

RIN 1904–AC83 

Energy Conservation Program for 

Consumer Products and Certain 

Commercial and Industrial Equipment: 

Proposed Determination of 

Commercial and Industrial 

Compressors as Covered Equipment 

AGENCY: Office of Energy Efficiency and 

Renewable Energy, Department of 

Energy. 

ACTION: Proposed determination of 

coverage. 

SUMMARY: The U.S. Department of 

Energy (DOE) proposes to determine 

that commercial and industrial 

compressors meet the criteria for 

covered equipment under Part A–1 of 

Title III of the Energy Policy and 

Conservation Act (EPCA), as amended. 

DOE proposes that classifying 

equipment of such type as covered 

equipment is necessary to carry out the 

purpose of Part A–1 of EPCA, which is 

to improve the efficiency of electric 

motors and pumps and certain other 

industrial equipment to conserve the 

energy resources of the nation. 

DATES: DOE will accept written 

comments, data, and information on this 

notice, but no later than January 30, 

2013. 

ADDRESSES: Interested persons may 

submit comments, identified by docket 

number EERE–2012–BT–DET–0033 or 

RIN 1904–AC83, by any of the following 

methods: 

• Federal eRulemaking Portal: 

www.regulations.gov Follow the 

instructions for submitting comments. 

• Email: CompressorsDetermination

2012DET0033@ee.doe.gov. Include 

EERE–2012–BT–DET–0033 and/or RIN 

1904–AC83 in the subject line of the 

message. 

• Mail: Ms. Brenda Edwards, U.S. 

Department of Energy, Building 

Technologies Program, Mailstop EE–2J, 

Notice of Proposed Determination for 

Compressors, EERE–2012–BT–DET– 

0033 and/or RIN 1904–AC83, 1000 

Independence Avenue SW., 

Washington, DC 20585–0121. Phone: 

(202) 586–2945. Please submit one 

signed paper original. 

• Hand Delivery/Courier: Ms. Brenda 

Edwards, U.S. Department of Energy, 

Building Technologies Program, Suite 

600, 950 L’Enfant Plaza SW., 

Washington, DC 20024. Phone: (202) 

586–2945. Please submit one signed 

paper original. 

Instructions: All submissions received 

must include the agency name and 

docket number or RIN for this 

rulemaking. 

Docket: The docket is available for 

review at www.regulations.gov, 

including Federal Register notices, 

comments, and other supporting 

documents/materials. All documents in 

the docket are listed in the http:// 

www.regulations.gov index. However, 

not all documents listed in the index 

may be publicly available, such as 

information that is exempt from public 

disclosure. 

A link to the docket web page can be 

found at: www.regulations.gov docket 

no. EERE–2012–BT–DET–0033. This 

web page contains a link to the docket 

for this notice on the 

www.regulations.gov site. The 

regulations.gov web page contains 

instructions on how to access all 


srobinson on DSK4SPTVN1PROD with