L Prize SS 7-17-12 final

United States Department of Energy

Supporting Statement

“Bright Tomorrow Lighting Competition (L Prize®): Field Assessment and Post Prize Monitoring”

OMB Number 1910-XXXX

This supporting statement provides information regarding the Department of Energy (DOE) request for processing of the proposed information collection, Bright Tomorrow Lighting Competition (L Prize®): Field Assessment and Post Prize Monitoring. The numbered questions correspond to the order shown on the Office of Management and Budget (OMB) Form 83-I, “Instructions for Completing OMB Form 83-I.”

1. Explain the circumstances that make the collection of information necessary. Identify any legal or administrative requirements that necessitate the collection. Attach a copy of the appropriate section of each statute and regulation mandating or authorizing the collection of information.

Section 655 of the Energy Independence and Security Act of 2007 (“EISA”), enacted on December 19, 2007, Pub. L. 110-140, directs the Secretary of Energy (“Secretary”) to establish and award Bright Tomorrow Lighting Prizes for solid-state lighting (SSL). The competition was designed to encourage the development and deployment of highly energy efficient SSL products to replace several of the most common lighting products currently used in the United States, including 60-watt A19 incandescent and PAR 38 halogen incandescent lamps. The winning products must be similar to the products targeted for replacement, in terms of size, shape, operating environment, and light output, distribution, and quality. The desired field assessment will be used as part of the rigorous evaluation of lamps in real-world application.

In addition, the Department of Energy wishes to gauge the impact of the L Prize competition through post-prize monitoring of incentive programs, educational campaigns, and retail promotions. This monitoring will include measuring the number of customers reached, bulbs sold, energy savings, and other tangible benefits. This data is collected by each entity for their own internal purposes and is not typically made available to other groups. The DOE wishes to collect and compile that data from these organizations in order to assess the program impact.

2. Indicate how, by whom, and for what purpose the information is to be used. Except for a new collection, indicate the actual use the agency has made of the information received from the current collection.

The questionnaires from the field assessments will be used as part of the rigorous evaluation of lamps in real-world application with the objective to:

• Evaluate energy use of the products when installed in-situ as compared to the existing technology(ies) and generate reproducible energy and demand savings data.

• Characterize the lighting system performance of the products installed in-situ as compared to the existing technology(ies).

• Assess reliability of the products during the test period.

• Identify operational or performance problems not revealed in laboratory testing.

• Assess customer acceptance of the products.

• Assess criteria for cost-effective deployment of the product through utility energy efficiency programs.

The voluntary Lighting Survey will be supplied to occupants of the space in which the L Prize entrant lamps are being evaluated under the field assessments. The survey asks five qualitative questions about the occupant’s overall satisfaction of the lights. The brief assessments will be collected by the site’s partner sponsor and returned, along with the entrant lamps, to DOE at the conclusion of the field assessment.

DOE will monitor the impact of the competition, post-award, by asking partner organizations, typically electric utility companies and retailers, to periodically supply quantitative data about the effectiveness of the promotions and campaigns they have provided to the public which are directly tied to L Prize winners. This information is voluntary and is anticipated to be data already tracked by the specific partner organizations. Data will be collected and compiled by the Pacific Northwest National Laboratory.

3. Describe whether, and to what extent, the collection of information involves the use of automated, electronic, mechanical, or other technological collection techniques or other forms of information technology, e.g., permitting electronic submission of responses, and the basis for the decision for adopting this means of collection. Also describe any consideration of using information technology to reduce burden.

The field assessment surveys are very brief. They consist of five qualitative questions with the opportunity to provide overall comment. The form can be completed electronically and transmitted via email where necessary.

The post award monitoring will be provided electronically and will consist of data which is already collected by the providing organization.

4. Describe efforts to identify duplication. Show specifically why any similar information already available cannot be used or modified for use for the purposes described in Item 2 above.

As both requirements deal specifically with the L Prize competition, there exists no likelihood of duplication.

5. If the collection of information impacts small businesses or other small entities (Item 5 of OMB Form 83-I), describe any methods used to minimize burden.

Field assessments may occur at small business locations. However, the impact of the voluntary action is small and participation in the surveys will create little burden.

6. Describe the consequence to Federal program or policy activities if the collection is not conducted or is conducted less frequently, as well as any technical or legal obstacles to reducing burden.

If the field assessment surveys are not conducted, there exists the possibility that DOE will award a winner to the competition that has undesirable or poor qualities that are not identified from formal laboratory testing by DOE. These undesirable attributes could be a hindrance to sales of the winning product and thereby could negatively impact the energy reduction potential of the competition.

7. Explain any special circumstances that require the collection to be conducted in a manner inconsistent with OMB guidelines. (a) requiring respondents to report information to the agency more often than quarterly; (b) requiring respondents to prepare a written response to a collection of information in fewer than 30 days after receipt of it; (c) requiring respondents to submit more than an original and two copies of any document; (d) requiring respondents to retain records, other than health, medical government contract, grant-in-aid, or tax records, for more than three years; (e) in connection with a statistical survey, that is not designed to product valid and reliable results that can be generalized to the universe of study; (f) requiring the use of statistical data classification that has not been reviewed and approved by OMB; (g) that includes a pledge of confidentially that is not supported by authority established in stature of regulation, that is not supported by disclosure and data security policies that are consistent with the pledge, or which unnecessarily impedes sharing of data with other agencies for compatible confidential use; (h) requiring respondents to submit proprietary trade secrets, or other confidential information unless the agency can demonstrate that it has instituted procedures to protect the information’s confidentiality to the extent permitted by law.

There are none. The package is consistent with OMB guidelines.

8. If applicable, provide a copy and identify the date and page number of publication in the Federal Register of the agency's notice, required by 5 CFR 1320.8(d), soliciting comments on the information collection prior to submission to OMB. Summarize public comments received in response to that notice and describe actions taken by the agency in response to these comments. Specifically address comments received on cost and hour burden. Describe efforts to consult with persons outside the agency to obtain their views on the availability of data, frequency of collection, the clarity of instructions and recordkeeping, disclosure, or reporting format (if any), and on the data elements to be recorded, disclosed, or reported. Consultation with representatives of those from whom information is to be obtained or those who must compile records should occur at least once every 3 years - even if the collection of information activity is the same as in prior periods. There may be circumstances that may preclude consultation in a specific situation. These circumstances should be explained.

The Department published a 60-day Federal Register Notice and Request for Comments concerning this collection in the Federal Register on June 29, 2012, volume 77, number 126, and page number 38791. The notice described the collection and invited interested parties to submit comments or recommendations regarding the collection. No comments were received.

9. Explain any decision to provide any payment or gift to respondents, other than reenumeration of contractors or grantees.

No payment or gift to respondents is being proposed.

10. Describe any assurance of confidentiality provided to respondents and the basis for the assurance in statute, regulation, or agency policy.

Where confidential information is involved in an information collection, the provisions for dealing with this confidential information are set forth in the related Departmental regulations; these are the normal regulations for the handling of management and program information by the Department.

11. Provide additional justification for any questions of a sensitive nature, such as sexual behavior and attitudes, religious beliefs, and other matters that are commonly considered private. This justification should include the reasons why the agency considers the questions necessary, the specific uses to be made of the information, the explanation to be given to persons from whom the information is requested, and any steps to be taken to obtain their consent.

No questions of a personally sensitive nature, such as sexual behavior and attitudes, religious beliefs included in this information collection.

12. Provide estimates of the hour burden of the collection of information.

The estimate of hour burden of the information collection is as follows:

Total number of unduplicated respondents: 500 field assessments, 25 utility partners, and 1 winner.

Reports filed per person: 1

Total annual responses: Total annual responses are proposed to be no more than 526.

Total annual burden hours: 115

Average Burden Per Collection: 0.22

Per Applicants: 0.22

The public reporting burden for the collection of information is estimated to average 0.22 (total burden hours/total annual responses) hours per response.

13. Provide an estimate for the total annual cost burden to respondents or recordkeepers resulting from the collection of information. (Do not include the cost of any hour burden shown in Items 12 and 14).

No annual cost burden is anticipated.

14. Provide estimates of annualized costs to the Federal government.

DOE estimates contractor direct labor costs of approximately $105,681 at hourly rates of $125.44, $152.67, and $173.07. These direct labor costs are associated with coordinating L Prize field assessments, reviewing project plans, compiling field assessment results for review, publishing the results in case study format, and communication with partners.  In addition, costs of collecting and tracking sales data are approximately $57,500 based on hourly rates of $125.44, $152.67, and $173.07.

Contractor labor costs: $125.44 hourly rate * 440 hours = $55,194 plus $152.67 hourly rate * 206 hours = $31,449 plus $173.07 hourly rate * 107 hours = $18,518. Total $105,161.

Collecting/tracking sales costs: $125.44 hourly rate * 220 hours = $27,625 plus $152.67 hourly rate * 105 hours = $16,030 plus $173.07 hourly rate * 80 hours = $13,845. Total $57,500.

Total cost to the Fed. Gov: $162,661

15. Explain the reasons for any program changes or adjustments reported in Items 13 or 14 of the OMB Form 83-I.

Not applicable. This information collection is a new collection of information.

16. For collections of information whose results will be published, outline plans for tabulation and publication. Address any complex analytical techniques that will be used. Provide the time schedule for the entire project, including beginning and ending dates of the collection of information, completion of report, publication dates, and other actions.

The Lighting Surveys will be summarized and presented publicly in the form of bar charts. Each chart will represent one of the five questions and will display the number of respondents for each allowable response. The data will be disseminated via the L Prize website, DOE presentations, and email updates. No complex analytical techniques will be applied.

Post award monitoring is anticipated to be used internally to DOE.

17. If seeking approval to not display the expiration date for OMB approval of the information collection, explain the reasons that display would be inappropriate.

Not applicable. DOE is not seeking approval to not display the expiration date for OMB approval of this information collection.

18. Explain each exception to the certification statement identified in Item 19, "Certification for Paperwork Reduction Act Submissions," of OMB Form 83-I.

Not applicable. There are no exceptions to the certification statement.