82_FR_7334 82 FR 7322 - Energy Conservation Program: Energy Conservation Standards for General Service Lamps

82 FR 7322 - Energy Conservation Program: Energy Conservation Standards for General Service Lamps

DEPARTMENT OF ENERGY

Federal Register Volume 82, Issue 12 (January 19, 2017)

Page Range7322-7333
FR Document2016-32012

On March 17, 2016, the U.S. Department of Energy (DOE) published a notice of proposed rulemaking (NOPR) proposing standards for general service lamps (GSLs) pursuant to the Energy Policy and Conservation Act of 1975 (EPCA), as amended. In this final rule DOE responds to comments received on the October 2016 NOPDDA regarding IRLs and amends the definition of GSL.

Federal Register, Volume 82 Issue 12 (Thursday, January 19, 2017)
[Federal Register Volume 82, Number 12 (Thursday, January 19, 2017)]
[Rules and Regulations]
[Pages 7322-7333]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-32012]


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DEPARTMENT OF ENERGY

10 CFR Part 430

[Docket Number EERE-2013-BT-STD-0051]
RIN 1904-AD09


Energy Conservation Program: Energy Conservation Standards for 
General Service Lamps

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

ACTION: Final rule.

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SUMMARY: On March 17, 2016, the U.S. Department of Energy (DOE) 
published a notice of proposed rulemaking (NOPR) proposing standards 
for general service lamps (GSLs) pursuant to the Energy Policy and 
Conservation Act of 1975 (EPCA), as amended. In this final rule DOE 
responds to comments received on the October 2016 NOPDDA regarding IRLs 
and amends the definition of GSL.

DATES: The effective date of this rule is January 1, 2020.

ADDRESSES: The docket, which includes Federal Register notices, public 
meeting attendee lists and transcripts, comments, and other supporting 
documents/materials, is available for review at www.regulations.gov. 
All documents in the docket are listed in the www.regulations.gov 
index. However, some documents listed in the index may not be publicly 
available, such as those containing information that is exempt from 
public disclosure.

[[Page 7323]]

    A link to the docket Web page can be found at: https://www1.eere.energy.gov/buildings/appliance_standards/standards.aspx?productid=4. This Web page contains a link to the docket 
for this document on the www.regulations.gov site. The 
www.regulations.gov Web page contains simple instructions on how to 
access all documents, including public comments, in the docket.

FOR FURTHER INFORMATION CONTACT: Ms. Lucy deButts, U.S. Department of 
Energy, Office of Energy Efficiency and Renewable Energy, Building 
Technologies Office, EE-2J, 1000 Independence Avenue SW., Washington, 
DC 20585-0121. Telephone: (202) 287-1604. Email: 
[email protected].

SUPPLEMENTARY INFORMATION: 

Table of Contents

I. Introduction
II. Authority and Rulemaking Process
III. Definition of General Service Lamp
    1. Incandescent Reflector Lamps
    2. Summary and Regulatory Text Definition
IV. Effective Date
V. Procedural Issues and Regulatory Review
    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 Section 32 of the Federal Energy Administration 
Act of 1974
    M. Congressional Notification
VI. Approval of the Office of the Secretary

I. Introduction

    Title III, Part B of the Energy Policy and Conservation Act of 1975 
(EPCA or the Act), Public Law 94-163 (42 U.S.C. 6291-6309, as codified) 
established the Energy Conservation Program for Consumer Products Other 
Than Automobiles, a program covering most major household appliances 
(collectively referred to as ``covered products'').\1\ Subsequent 
amendments expanded Title III of EPCA to include additional consumer 
products, including general service lamps (GSLs)--the products that are 
the focus of this final rule.
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    \1\ Part B was re-designated Part A on codification in the U.S. 
Code for editorial reasons.
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    In particular, amendments to EPCA in the Energy Independence and 
Security Act of 2007 (EISA 2007) directed DOE to engage in rulemakings 
regarding GSLs. (42 U.S.C. 6295(i)(6)(A)-(B)) EPCA, as amended by EISA 
2007, directs DOE to initiate a rulemaking no later than January 1, 
2014, to determine whether standards in effect for GSLs should be 
amended and determine whether exemptions for certain incandescent lamps 
should be maintained or discontinued. (42 U.S.C. 6295(i)(6)(A)(i)) The 
scope of the rulemaking is not limited to incandescent lamp 
technologies. (42 U.S.C. 6295(i)(6)(A)(ii)) Further, for this first 
cycle of rulemaking, the EISA 2007 amendments provide that DOE must 
consider a minimum standard of 45 lumens per watt (lm/W). (42 U.S.C. 
6295(i)(6)(A)(ii)) If DOE fails to complete a rulemaking in accordance 
with 42 U.S.C. 6295(i)(6)(A)(i)-(iv) or a final rule from the first 
rulemaking cycle does not produce savings greater than or equal to the 
savings from a minimum efficacy standard of 45 lm/W, the statute 
provides a ``backstop'' under which DOE must prohibit sales of GSLs 
that do not meet a minimum 45 lm/W standard beginning on January 1, 
2020. (42 U.S.C. 6295(i)(6)(A)(v))
    In March 2016, DOE published a notice of proposed rulemaking (NOPR) 
that proposed a revised definition of GSL and energy conservation 
standards for certain GSLs (hereafter the ``March 2016 GSL ECS NOPR''). 
81 FR 14528 (March 17, 2016). In conjunction with the March 2016 GSL 
ECS NOPR, DOE also published on its Web site the complete technical 
support document (TSD) for the proposed rule, which described the 
analyses DOE conducted and included technical documentation for each 
analysis. The TSD also included the life cycle cost (LCC) spreadsheet, 
the national impact analysis spreadsheet, and the manufacturer impact 
analysis (MIA) spreadsheet.\2\
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    \2\ The spreadsheets developed for this rulemaking proceeding 
are available at: https://www1.eere.energy.gov/buildings/appliance_standards/standards.aspx?productid=4.
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    DOE held a public meeting on April 20, 2016, to hear oral comments 
on and solicit information relevant to the proposed rule. At this 
meeting, DOE heard concerns from stakeholders regarding the expansion 
of scope in the proposed GSL definition and DOE's approach to analyzing 
the 22 GSIL exemptions. In addition, DOE received written comments that 
reiterated these concerns, and also provided additional data for DOE's 
consideration. Specifically, the National Electrical Manufacturers 
Association (NEMA) provided new data and information on the 22 exempted 
lamp types to inform DOE's evaluation of whether the exemptions should 
be maintained or discontinued as required by 42 U.S.C. 
6295(i)(6)(A)(i)(II).
    After the publication of the March 2016 GSL ECS NOPR, DOE analyzed 
the data submitted by NEMA and collected additional data where 
available. DOE published a notice of proposed definition and data 
availability (hereafter the ``October 2016 NOPDDA'') to: (1) Propose a 
revised definition of GSL that included, among other lamp types, IRLs; 
(2) announce the availability of the NEMA data and supplemental data 
collected by DOE; (3) request public comment on proposed definitions 
and compiled data; and (4) request any additional data that 
stakeholders may have in support of this evaluation. 81 FR 71794 
(October 18, 2016). DOE also held a public meeting on October 21, 2016 
to hear oral comments and solicit information relevant to the October 
2016 NOPDDA.
    In a separate final rule being published in the same issue of the 
Federal Register, DOE has adopted a definition of GSL that reflects its 
discontinuation of certain exemptions and its maintaining of others, 
and its interpretation and application of certain clauses of the 
statutory definition of GSL (hereafter the ``GSL definition final 
rule''). In that rule, DOE postponed its decision on the IRL exemption, 
which it had previously proposed to discontinue. Accordingly, that rule 
perpetuated the IRL exemption in DOE's regulatory definition. In this 
final rule, DOE determines to discontinue the IRL exemption, and it is 
amending its definition of GSL accordingly.
    The following sections of this final rule respond to comments 
received on the October 2016 NOPDDA and during the NOPDDA public 
meeting regarding IRLs in more detail.

II. Authority and Rulemaking Process

    DOE is required under the EISA 2007 amendments to EPCA to undertake 
the present rulemaking. Under EPCA, DOE shall initiate a rulemaking to 
determine whether standards in effect for GSLs should be amended to 
establish more stringent standards; and determine whether exemptions 
for certain incandescent lamps should be maintained or discontinued. 
(42 U.S.C. 6295(i)(6)(A)(i)) In addition to that mandate, DOE has the 
authority to

[[Page 7324]]

qualify lamps as general service lamps upon determining that they are 
``used to satisfy lighting applications traditionally served by general 
service incandescent lamps.'' (42 U.S.C. 6291(30)(BB)(i)(IV))
    An additional statute relevant to this rulemaking is section 312 of 
the Consolidated and Further Continuing Appropriations Act, 2016 (Pub. 
L. 114-113, 129 Stat. 2419; hereafter referred to as the 
``Appropriations Rider'') that prohibits expenditure of funds 
appropriated by that law to implement or enforce: (1) 10 CFR 430.32(x), 
which includes maximum wattage and minimum rated lifetime requirements 
for GSILs; and (2) standards set forth in section 325(i)(1)(B) of EPCA 
(42 U.S.C. 6295(i)(1)(B)), which sets minimum lamp efficiency ratings 
for incandescent reflector lamps (IRLs).\3\
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    \3\ This provision of the Consolidated and Further Continuing 
Appropriations Act, 2016 has been extended to the current 
appropriations authorization. See, The Continuing Appropriations and 
Military Construction, Veteran Affairs, and Related Agencies 
Appropriations Act, 2017 and Zika Response and Preparedness Act, 
2017 (Pub. L. 114-223, 130 Stat. 908).
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    This final rule constitutes a decision on whether to maintain or 
discontinue the exemption for IRLs, and include IRLs as GSLs if 
discontinued. This final rule does not determine whether DOE should 
impose or amend standards for any category of lamps, such as GSILs or 
GSLs.
    As discussed in more detail, DOE is grounding the decision of 
whether to maintain or discontinue the IRL exemption on an assessment 
of whether IRLs would provide a convenient unregulated alternative to 
lamps that will be subject to energy conservation standards. In DOE's 
view, EPCA exempted certain categories of lamps from the definition of 
GSL because, on the one hand, some lamps in those categories have 
specialty applications; and on the other hand, it was not clear, when 
these lamp provisions were enacted, whether those lamps were part of 
the broader lamp market to which Congress wished to apply energy 
conservation standards. For certain lamps exempted from regulation as a 
GSL, EPCA established standards. With regard to IRLs, EPCA imposed 
efficiency standards ranging from 10.5 to 15 lm/W. (42 U.S.C. 
6295(i)(1)(B)). The purpose, then, of the decision that Congress 
entrusted to DOE, to maintain or to discontinue a given exemption, was 
that DOE should assess the role of lamps of that type in the broader 
lighting market, bearing in mind the evident statutory purpose of 
achieving energy conservation by imposing efficiency standards for 
general lighting.
    While the statute does not expressly state a criterion by which DOE 
should decide which exemptions to maintain--it simply identifies one 
important evidentiary input, sales data--DOE understands its 
instruction to be that DOE should maintain an exemption if doing so 
would be consistent with that statutory purpose, and discontinue the 
exemption if it would not. To carry out that instruction, DOE has 
assessed whether lamps within the IRL exemption are readily 
substitutable for lamps that are already categorized as general service 
lamps. Sales data, as the statute directs, are an important type of 
evidence informing that assessment.
    The discontinuation of the IRL exemption will render the lamps 
within that exemption GSLs, to the extent they would otherwise qualify 
as GSLs, As the October 2016 NOPDDA observed, DOE will then either 
impose standards on these lamps pursuant to its authority to develop 
GSL standards or apply the backstop standard prohibiting the sale of 
lamps not meeting a 45 lm/W efficacy standard.
    Commenters on the March 2016 GSL ECS NOPR and October 2016 NOPDDA 
contended that DOE lacked authority to discontinue exemptions in the 
way it proposed and objected to the procedures DOE had undertaken. DOE 
discussed those comments in the GSL definition final rule that is being 
published in the same issue of the Federal Register. In many ways, 
DOE's interpretations of EPCA relevant to this final rule are similar 
to those in the GSL definition final rule; and the procedures are 
comparable in that this final rule proceeds from the same notices that 
led to the GSL definition final rule. That said, DOE's decision 
regarding IRLs is independent from the decisions it made in the GSL 
definition final rule, and it has considered the comments and issues 
independently with respect to this rule. After reviewing those comments 
and issues again, DOE has come to the same conclusions as it did in the 
GSL definition final rule, for the reasons given in the preamble to 
that rule. For convenience, DOE does not repeat those discussions here, 
as the explanations provided in the GSL definition final rule--
regarding which exemptions DOE has the authority to discontinue, what 
factors DOE is considering in a decision whether to discontinue an 
exemption, and what procedures DOE has followed--are adequate. In this 
rule, DOE discusses its consideration of comments and issues 
specifically related to IRLs.
    Besides the 22 lamp types listed in section 6291(30)(D)(ii), which 
the GSL definition final rule addressed, DOE is also interpreting ``the 
exemptions'' in section 6291(i)(6)(A)(i)(II) to include the exemption 
in section 6291(30)(BB)(ii) for incandescent reflector lamps. Clause 
(i)(II) refers to ``the exemptions for certain incandescent lamps''; 
and the (BB)(ii) carve-out for ``incandescent reflector lamps'' readily 
fits that description so long as it can properly be viewed as an 
``exemption.'' In the GSL definition final rule that is being published 
in the same issue of the Federal Register, DOE explained its 
understanding of what clause (i)(II) means by an ``exemption.'' DOE 
adheres to its conclusion in the GSL definition final rule that the 22 
lamp types listed in subparagraph (D)(ii) are ``exemptions'' for these 
purposes, and the language of the IRL carve-out is the same as that for 
the 22 types. Therefore, DOE believes it is also an ``exemption.''
    DOE recognizes that, as a commenter pointed out, IRLs are already 
subject to standards under EPCA. The GSL definition final rule that is 
being published in the same issue of the Federal Register explained 
DOE's view that a lamp subject to some standards under EPCA can still 
be ``exempt'' for purposes of the clause (i)(II) rulemaking, because 
the ``exemptions'' that DOE is reviewing are exemptions from GSL 
regulation. DOE adheres to that view in this final rule.
    For IRLs, the existing standards are much less stringent than the 
45 lm/W backstop standard, and presumably less stringent than any 
standard that DOE might develop to achieve energy savings comparable to 
those from the 45 lm/W backstop standard. For example, when EISA 2007 
was adopted, the standard for incandescent reflector lamps ranged from 
10.5 to 15 lm/W. It seems unlikely that Congress would have considered 
that standard an adequate alternative to GSL standards. Therefore, DOE 
considers it consistent with the scheme of subsection (i)(6) that DOE 
should assess whether to subject to GSL regulation the lamps within the 
IRL exemption.
    Commenters also argued that DOE cannot discontinue the exemption 
for IRLs because, the commenters observed, the statute exempts these 
lamps from being GSLs twice. First, ``reflector lamps'' are one of the 
22 types of lamp exempted by section 6291(30)(BB)(ii)(I); and second 
section 6291(30)(BB)(ii)(II) specifically exempts incandescent 
reflector lamps. By exempting them twice, the commenters suggest, 
Congress made quite clear that incandescent

[[Page 7325]]

reflector lamps are not to be considered GSLs.
    The interpretation that these commenters advance would 
significantly impair the standards regime established by EISA 2007. 
That statute's amendments to EPCA imposed standards for general service 
fluorescent lamps and incandescent reflector lamps, the two categories 
of lamp that subclause (30)(BB)(ii)(II) exempts from being GSLs. For 
general service fluorescent lamps, when EISA was enacted the standards 
ranged from 64 to 80 lm/W, substantially above the backstop that the 
EISA amendments specify as the default for GSLs. For incandescent 
reflector lamps, the standards when EISA 2007 was enacted ranged from 
10.5 to 15.0 lumens per watt, well below the backstop. Today, 
incandescent reflector lamps are widely used for general illumination 
just as GSILs are. If EPCA mandated that IRLs continue being exempt 
from GSLs, then they would present a convenient alternative product, 
subject to much less stringent standards than GSLs. The GSL standards 
(potentially the backstop or standards developed by DOE) would save far 
less energy if consumers and manufacturers can switch many lighting 
applications to less-efficient IRLs. That outcome would be especially 
odd in light of the authority that Congress provided DOE to assess 
whether to maintain or discontinue exemptions--a decision that, as DOE 
has explained, DOE believes was meant to focus on which exempted lamps 
would be substitutes for regulated GSLs. DOE's interpretation, under 
which paragraph (i)(6) authorizes it to make the same sort of 
determination with respect to IRLs, is a more consistent and coherent 
interpretation of the EISA amendments.
    Of course, if the statute unambiguously foreclosed that 
interpretation or indicated that DOE must not discontinue the IRL 
exemption, that command would trump the policy considerations just 
discussed. But with respect to IRLs, the statute does permit DOE's 
interpretation that the IRL exemption is one that DOE can discontinue 
in a subsection (i)(6)(A)(i)(II) rulemaking. As explained in the 
paragraphs that follow, through a careful exploration of sections 6291 
and 6295, DOE believes the ``reflector lamp'' exemption in section 
6291(30)(D)(ii) is not necessarily as broad as the IRL exemption. DOE 
believes ``reflector lamp'' was meant to encompass a different range of 
lamps, with a scope left to DOE to interpret, while IRL is a defined 
term with a broad scope. Thus, the ``reflector lamp'' and IRL 
exemptions are somewhat different in nature, and EPCA calls on DOE to 
decide whether to maintain or discontinue each. DOE addressed the 
``reflector lamp'' exemption, as applied to lamps that are not IRLs, in 
the GSL definition final rule that is being published in the same issue 
of the Federal Register.
    Paragraph (30)(C) defines ``incandescent lamp'' to ``includ[e] only 
the following'': ``[a]ny lamp . . . that is not a reflector lamp'' and 
meets certain criteria, such as a rated wattage between 30 and 199 
watts; ``[a]ny lamp (commonly referred to as a reflector lamp) which is 
not colored or designed for rough or vibration services applications, 
that contains an inner reflective coating on the outer bulb to direct 
the light,'' and meets additional technical criteria like bulb shape; 
and ``[a]ny general service incandescent lamp'' rated above 199 watts. 
DOE notes that paragraph (30)(C) did not define ``reflector lamp'' to 
mean a lamp described in the terms just quoted; rather, paragraph 
(30)(C) noted that such lamps commonly are called reflector lamps. By 
contrast, paragraph (30)(F) does define the term IRL to mean ``a lamp 
described in subparagraph (C)(ii).'' Finally, paragraph (30)(D) defines 
GSIL, and that definition states that GSILs do not include any of 22 
lamp types, one of which is ``reflector lamps.''
    From this set of definitions, DOE infers that ``reflector lamp'' 
does not necessarily mean the same thing as ``incandescent reflector 
lamp.'' Had Congress wanted to define ``reflector lamp,'' it could 
easily have done so. That it did not suggests that Congress left the 
term, as used in the list of 22 lamp types, for DOE to elaborate. 
Furthermore, if ``reflector lamp'' was meant to be necessarily 
coextensive with subparagraph (C)(ii), the definition of GSIL contains 
a curious circular redundancy. The statute defines ``incandescent 
lamp'' to include the lamps described in subparagraph (C)(ii); it 
defines ``general service incandescent lamp'' to be an incandescent 
lamp or halogen lamp with certain additional attributes; and then it 
says general service incandescent lamps do not include ``reflector 
lamp[s].'' If that usage of ``reflector lamp'' necessarily has the same 
scope as subparagraph (C)(ii), the statute included them in GSILs only 
to exclude them.
    The context further suggests that ``reflector lamp,'' as used in 
the list of 22 exempted lamp types, was meant to exempt a scope 
different from, and in some respects narrower than, paragraph (C)(ii). 
Each of the other exemptions describes a narrow category of lamp, such 
as ``mine service lamp,'' ``traffic signal lamp,'' or ``vibration 
service lamp,'' that has specialty applications and that Congress could 
have thought might have few or no general service applications. The 
statute does not reflect a final judgment on that point; instead it 
defers the decision for DOE to make in a section 6295(i)(6)(A)(i)(II) 
rulemaking. Still, the general character of the 22 exemptions is that 
they are lamp types about which such a judgment--whether the exempted 
lamps have substantial general service applications--would be necessary 
in deciding whether to impose general lamp standards. By contrast, 
subparagraph (C)(ii), which defines IRLs, encompasses a wide range of 
lamps which certainly had general service applications; and EPCA 
reflected that reality by imposing efficiency standards (ranging from 
10.5 to 15 lm/W) on IRLs since 1995. Public Law 102-486, section 
123(f), 106 Stat. 2824.
    It bears mention also that EPCA first added ``reflector lamps'' 
among the 22 exempted lamp types as a result of EISA amendments in 
2007. EISA 2007 section 321 also established the first statutory 
standards for GSILs. Public Law 110-140, section 321(a)(3), 121 Stat. 
1577. While those standards were expressed in terms of a maximum 
wattage for a given range of lumen output, the minimum efficiency 
needed to satisfy those standards would be from 17 to 36 lm/W in the 
wattage range that includes IRLs.\4\ If the ``reflector lamp'' 
exemption was necessarily coextensive with IRLs, then the statute 
imposing the new standard simultaneously created a major loophole by 
leaving IRLs--a category of lamp that already in 2007 was widely used 
for general illumination--subject only to the much older and lower 
efficiency standard effective at the time, which was 10.5 to 15 lm/W. 
That would be an odd outcome. Had Congress intended to undermine its 
own standard in that way, it could have done so explicitly by defining 
``reflector lamp'' to have the same scope (with respect to incandescent 
lamps) as IRL. Instead, in a statute which tweaked subparagraph (C)(ii) 
and added definitions for various specific lamp types, it left 
``reflector lamp'' undefined.
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    \4\ The EISA section 321 standards imposed a maximum wattage of 
29 watts for lamps between 310 and 749 lumens of output. Meanwhile 
IRLs, according to section 6291(30)(C)(ii), include only lamps above 
40 watts.
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    In light of these observations, DOE understands the definition of 
``general service lamp'' as follows (as concerns reflector lamps and 
IRLs): Until DOE discontinued the relevant exemptions, no ``reflector 
lamps,'' as the term is used in section 6291(30)(D)(ii), were GSILs or

[[Page 7326]]

GSLs. Depending on how DOE interprets the ``reflector lamp'' exemption, 
some IRLs may be GSILs (due to not falling in the possibly narrower 
``reflector lamp'' exemption).\5\ However, even those that are GSILs 
are not GSLs, because the definition of GSLs says they include GSILs 
but do not include IRLs.
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    \5\ DOE has not thus far articulated an interpretation of the 
``reflector lamp'' exemption that would resolve the status of IRLs.
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    In principle, then, DOE has had two tasks regarding exemptions 
relevant for reflector lamps. With respect to ``reflector lamps,'' it 
was to assess whether that one of the relatively narrow 22 listed lamp 
types--the scope of which the statute does not make clear--has uses in 
general illumination, and whether sales data and other evidence 
indicate that such lamps are ready substitutes for lamps that are 
already included as GSLs. DOE has finalized this analysis in a separate 
final rule, the GSL definition final rule. By contrast, as noted 
previously, the category of IRLs includes lamps that, as of 2007, it 
was already evident were being used in general lighting applications. 
However, DOE must still analyze whether, in light of sales data and 
other evidence, IRLs are an important enough substitute for lamps 
already included as GSLs to warrant discontinuing their exemption. This 
analysis is the subject of this final rule and discussed in more detail 
in the section that follows.

III. Definition of General Service Lamp

A. Incandescent Reflector Lamps

    The term general service lamp (GSL) includes general service 
incandescent lamps (GSILs), compact fluorescent lamps (CFLs), general 
service light-emitting diode (LED) and organic light-emitting diode 
(OLED) lamps, and any other lamps that DOE determines are used to 
satisfy lighting applications traditionally served by GSILs; however, 
GSLs do not include any lighting application or bulb shape that under 
42 U.S.C. 6291(30)(D)(ii) is not included in the ``general service 
incandescent lamp'' definition, or any general service fluorescent lamp 
or incandescent reflector lamp. (42 U.S.C. 6291(30)(BB)) The October 
2016 NOPDDA revisited the proposed definition of GSL from the March 
2016 GSL ECS NOPR, including the exemptions contained in the GSIL and 
GSL definitions, and proposed a revised definition of ``general service 
lamp'' in Sec.  430.2 to capture various criteria and delineate the 
lamp types considered to be GSLs. 81 FR 71806-71807. More specifically, 
DOE proposed a definition for GSL in the October 2016 NOPDDA. A general 
service lamp, as proposed, would be a lamp that has an ANSI base, 
operates at any voltage, has an initial lumen output of greater than or 
equal to 310 lumens (or 232 lumens for modified spectrum general 
service incandescent lamps) and less than or equal to 4,000 lumens, is 
not a light fixture, is not an LED downlight retrofit kit, and is used 
in general lighting applications. General service lamps include, but 
are not limited to, general service incandescent lamps, compact 
fluorescent lamps, general service light-emitting diode lamps, and 
general service organic light-emitting diode lamps, but do not include 
general service fluorescent lamps; linear fluorescent lamps of lengths 
from one to eight feet; circline fluorescent lamps; fluorescent lamps 
specifically designed for cold temperature applications; impact-
resistant fluorescent lamps; reflectorized or aperture fluorescent 
lamps; fluorescent lamps designed for use in reprographic equipment; 
fluorescent lamps primarily designed to produce radiation in the ultra-
violet region of the spectrum; fluorescent lamps with a color rendering 
index of 87 or greater; R20 short lamps; specialty MR lamps; appliance 
lamps; black light lamps; bug lamps; colored lamps; infrared lamps; 
left-hand thread lamps, marine lamps, marine signal service lamps; mine 
service lamps; plant light lamps; sign service lamps; silver bowl 
lamps, showcase lamps, and traffic signal lamps.
    In support of its analysis of whether to maintain or discontinue an 
exemption, in the October 2016 NOPDDA DOE presented estimated sales 
data. NEMA stated that sales for most of the exempted lamps are 
declining and that it was the intent of Congress to require that DOE 
find sales increasing as a prerequisite to discontinue an exemption. 
(NEMA, No. 83 at p. 34; NEMA No. 93 at p. 12) NEMA pointed to the 
petition process established under section 321 of EISA 2007 as 
indicative of that intent. (NEMA, No. 93 at pp. 12-13) NEMA and 
LEDVANCE noted that Congress required a demonstration of increased 
sales as a prerequisite for DOE to grant a petition submitted by the 
public to reconsider an exemption, and that DOE must be guided by the 
same consideration when determining whether an exemption should be 
maintained under 42 U.S.C. 6295(i)(6)(A)(i)(II). (NEMA, No. 83 at pp. 
33-34; LEDVANCE, No. 90 at pp. 25-27) NEMA and LEDVANCE cited the 
requirement under 42 U.S.C. 6295(i)(6)(A)(i)(II) for DOE to consider, 
in part, ``exempted lamp sales'' collected by DOE as supporting the 
requirement for increased lamp sales in order to discontinue an 
exemption. (NEMA, No. 93 at 5; LEDVANCE, No. 90 at p. 26) NEMA and 
LEDVANCE added that a determination of lamp switching must be driven by 
data showing increased sales. (NEMA No. 93 at p. 13; LEDVANCE, No. 90 
at pp. 25-27) NEMA and LEDVANCE concluded that the October 2016 NOPDDA 
did not provide data indicating that lamp switching was occurring, and 
rather data from the Energy Information Administration \6\ shows that 
sales are decreasing. NEMA and LEDVANCE commented that if DOE was 
petitioned under section 325(i)(3)(E), it would not grant the petition 
or decide to regulate these specialty lamps and therefore any other 
action taken under section 325(i)(6)(A) is illogical. (NEMA, No. 93 at 
p. 13; LEDVANCE, No. 90 at pp. 25-27)
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    \6\ See Energy Information Administration, Sales of specialty 
incandescent bulbs decline despite exemption from efficiency 
standards (April 2, 2013) available at: http://www.eia.gov/todayinenergy/detail.php?id=10631.
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    As DOE has explained in the GSL definition final rule that is being 
published in the same issue of the Federal Register, the petition 
process from EISA section 321(a)(3) is distinct from the decision that 
subparagraph (6)(A)(i)(II) calls for about maintaining or discontinuing 
exemptions. The statute does not require DOE to consider the same 
factors in the clause (i)(II) decision that it would in reviewing a 
petition. In particular, it does not restrict DOE to discontinuing an 
exemption only if sales of lamps within that exemption are increasing. 
While increases or decreases in lamp sales are an important 
consideration, DOE believes it can in some circumstances be appropriate 
to discontinue an exemption even at a time when sales of those lamps 
are decreasing. As described by GE, LEDVANCE, and Westinghouse, 
incandescent sales can be decreasing because consumers are purchasing 
LED versions of the same lamp. Thus, the lamp itself is not unpopular 
but rather is undergoing a shift in technology. For example, GE stated 
that sales of IRLs have been declining significantly over the last five 
years but that was in large part caused by the increasing sales of LED 
reflector lamps. (GE, No. 83 at pp. 38, 84-85; LEDVANCE, No. 90 at p. 
35; Westinghouse, No. 83 at pp. 128-129) Consequently, it can in some 
circumstances be appropriate to

[[Page 7327]]

consider the overall volume of sales in assessing an exemption, even if 
the volume is currently decreasing.
    DOE also considered the potential of lamp switching that may occur 
in response to any GSL standard. If an exempted lamp has the same 
utility to lamp users as a lamp subject to a standard as a GSL, DOE 
considered the potential increase in the use of the exempted lamp in 
response to a standard. As noted by commenters, prior to the effective 
date of any new standard the sales trends of exempted lamps do not 
necessarily capture the potential for lamp switching. As such, current 
lamp sale trends are only part of the consideration. DOE is permitted 
to account for future changes in consumer behavior so as to avoid the 
creation of loopholes.
    DOE received several comments regarding whether a lamp could serve 
as a replacement for a GSL and therefore present a risk of lamp 
switching. California Investor Owned Utilities (CA IOUs) stated that 
evaluations of the exemptions should be based on whether the exempted 
lamp type could serve as a replacement for a general service lamp. (CA 
IOUs, No. 83 at p. 107) Westinghouse stated that there are low-cost 
products on the market that consumers do not use as replacements for 
GSLs because they are not the appropriate shape or design. Avalos noted 
that a couple of exempted lamp types could be considered GSILs but are 
not due to their lamp structure. (Westinghouse, No. 83 at p. 30; 
Avalos, No. 80 at p. 1)
    GE and LEDVANCE stated that DOE should consider the traditional 
omni-directional incandescent lamp when considering the potential for 
lamp switching. (GE, No. 83 at pp. 37-38; LEDVANCE No. 83 at p. 59) GE 
stated that the definition of GSIL (a type of GSL) describes a lamp 
with a medium screw base, that produces between 310 and 2,600 lumens, 
and can operate on a voltage between 110 and 130 V, and that in order 
for a lamp to be considered as having the potential for ``lamp 
switching'' the lamp must maintain these same attributes. (GE, No. 88 
at pp. 2-3) Westinghouse stated that consideration of lamp switching 
should be limited to whether a consumer could use an exempted lamp to 
replace a lamp that the consumer is currently using, and that 
consideration of how the use of fixtures may change in response to 
standards (e.g., changes in fixtures used in new home construction) 
would be inconsistent with EPCA. (Westinghouse, No. 83 at pp. 39-40)
    Other commenters stated that consideration of lamp switching should 
include the ability of an exempted lamp to provide similar function as 
a traditional GSIL, regardless of the fixture traditionally used with 
GSILs. ASAP stated that the presence of directional lamps in residences 
in the U.S. has grown significantly over time due to changes in new 
construction. (ASAP, No. 83 at pp. 38-39) ASAP stated that lighting in 
homes that traditionally was provided by A shape lamps in floor and 
table fixtures is being provided in newer construction through 
reflector lamps in recessed can lighting. (ASAP, No. 83 at pp. 58-59)
    As noted previously, DOE understands the purpose of the decision 
that EPCA calls for on maintaining or discontinuing exemptions to be to 
ensure that consumers and manufacturers do not switch to readily 
available substitutes once standards for GSLs come into force. In 
making this assessment, the potential for an exempted lamp to be placed 
in a fixture that traditionally used a GSIL, and the potential change 
in the fixtures used to provide lighting in an application that was 
traditionally served by a GSIL are important considerations that DOE 
appropriately takes into account. As noted by commenters, the function 
traditionally provided by GSILs can, in some instances, be provided by 
more than one type of fixture. In order to minimize the potential for 
loopholes, DOE has considered the potential for a consumer to change 
the type of lamp used in an existing fixture, and the potential change 
in the type of fixture used to provide the same function as 
traditionally provided by a fixture using a GSIL.
    CA IOUs stated that evaluations of the exemptions should also be 
based on whether the exempted lamp type can be made as an LED lamp. 
(That consideration would be relevant because it is almost certain that 
incandescent lamps will not be able to satisfy the 45 lm/W backstop 
standard if it comes into force.) (CA IOUs, No. 83 at p. 107) DOE is 
aware that LED replacements may exist for some of the exempt lamp 
categories. DOE did consider the existence or absence of LED 
replacements for IRLs, though not as the only reason to discontinue or 
maintain an exemption.
    NEMA provided updated sales information for this final rule. NEMA 
provided sales data from four members, which represents a significant 
portion of the market, for each of the exemptions that DOE proposed to 
discontinue. NEMA stated that although not all members are included, it 
conferred with other members that did not provide data to confirm the 
general trend of decreasing sales and shipments of specialty 
incandescent lamps since standards went into effect for GSILs between 
2010 and 2012. (NEMA, No. 93 at pp. 9-10) DOE has updated Table III.1 
to reflect this new data.
    Table III.1 summarizes the IRL exemption discontinued in this final 
rule.

                                    Table III.1--Determination Regarding IRLs
                                              [Units annual sales]
----------------------------------------------------------------------------------------------------------------
        GSL exempt lamp category            Estimated sales data       DOE's determination on exemption status
----------------------------------------------------------------------------------------------------------------
IRLs...................................  Approximately 270 million.  Discontinue exemption.
----------------------------------------------------------------------------------------------------------------

    DOE believes that discontinuing the exemption for IRLs could lead 
to significant energy savings. As shown in Table III.1, IRLs have 
annual sales that are several times the sales of the largest-volume 
lamp category among those exemptions that DOE has already discontinued. 
See the GSL definition final rule for more information that is being 
published in the same issue of the Federal Register.
    In the October 2016 NOPDDA, DOE assessed data available for IRLs 
and preliminarily concluded that these lamps have high annual sales. 
Specifically, DOE estimated that the sales of IRLs are approximately 
270 million units per year. DOE believed IRLs are capable of providing 
overall illumination and could be used as a replacement for GSILs. 
Therefore, DOE found there was also high potential for lamp switching 
and subsequently creating a loophole. For these reasons, DOE proposed 
to discontinue the exemption for IRLs in the October 2016 NOPDDA. Id. 
at 71800.

[[Page 7328]]

    As noted at the outset of this document, this final rule amending 
the definition of GSL does not establish standards for GSLs. Inclusion 
of IRLs in the definition of GSL does not amend the standards currently 
applicable to IRLs. EPCA directs DOE to consider whether to amend the 
standards for GSLs, and whether the definition of GSL should be 
amended. (42 U.S.C. 6295(i)(6)(A)(i)(II)) In order to evaluate any 
potential standards or amendments to standards for GSL, DOE must first 
determine the scope of the GSL definition. As explained previously, DOE 
has considered lamp sales and the potential for lamp switching in an 
effort to ensure all lamps that can be used in general lighting 
applications are included.
    Of course, DOE makes this decision cognizant of the fact that IRLs 
are already subject to minimum efficiency standards. However, DOE does 
not believe section 6295(i)(6) reveals an intention that, because of 
those standards, DOE should maintain the IRL exemption from being 
regulated as GSLs. The IRL standards in the statute dating from 1992--
which were the extant standards when EISA added subsection (i)(6)--are 
substantially less stringent than the standards that EISA section 321 
specified for GSILs and even further less stringent than the GSL 
backstop. Given that some IRLs have long been used for general 
illumination, as discussed previously, it would be odd for Congress to 
have left open, unalterably, such a large loophole to its own 
standards. Rather, DOE believes that in enacting EISA 2007, Congress 
chose not to update the statutory standards for IRLs because instead it 
was directing DOE to decide whether to regulate those lamps as GSLs. 
Thus, the fact that IRLs are already subject to IRL-specific standards 
does not preclude DOE's decision in this final rule. It simply means 
that, consistent with EPCA, DOE is to perform a particular assessment 
for IRLs bearing in mind the existing standards. DOE has carried out 
that assessment.
    DOE received several comments in support of its decision to expand 
the scope of the GSL definition to include IRLs. ASAP commented that 
they strongly supported covering IRLs in the scope of this rulemaking 
noting that hundreds of millions of IRLs are sold each year. ASAP 
stated that IRLs of all technology types are a growing presence in 
homes. ASAP noted that there are more efficient alternatives widely 
available at affordable prices, and including IRLs as GSLs is a step 
towards technological neutrality which will benefit the environment, 
industry and consumers. ASAP added that the fact IRLs are regulated 
under their own standards does not preclude them from inclusion as 
GSLs. (ASAP, No. 83 at pp. 38-39; ASAP, No. 94 at pp. 1-2) NRDC and 
Utility Coalition supported DOE's proposal to include IRLs as GSLs. 
NRDC stated this was indicative of a shift to a technology-based 
approach which has been discussed at DOE for many years. NRDC and 
Utility Coalition added that including IRLs as GSLs will deliver 
significant energy and consumer savings when considering DOE's estimate 
of 270 million IRLs sold per year. (NRDC, No. 83 at p. 11; NRDC, No. 85 
at p. 2; Utility Coalition, No. 95 at pp. 1-2) Soraa also supported 
DOE's proposal to include IRLs as GSLs noting that reflector lamps are 
used or can be used to provide overall illumination. (Soraa, No. 87 at 
p. 2)
    CEC supported DOE's proposal to discontinue the exemption for 
reflector lamps due in part to their high lamp sales and potential for 
lamp switching. CEC agreed with DOE's estimate of the annual sales of 
IRLs of approximately 270 million units, noting that California's 
existing stock of medium screw base incandescent and halogen reflector 
lamps is estimated to be more than 60 million units with annual 
shipments in 2016 estimated at nearly 35 million units. CEC added that 
although LED reflector lamps are gaining market share from IRLs, CEC's 
recent general service LED lamps rulemaking determined that 
incandescent technology would represent the vast majority of medium 
screw base directional lamp shipments in 2029 if the IRL exemption were 
maintained. (CEC, No. 91 at pp. 4-5)
    In contrast, GE recommended that reflector lamps (in GE's comment, 
primarily IRLs) continue to be regulated separately and that it is not 
appropriate to evaluate reflector type lamps as GSLs because these 
products cannot successfully be used to satisfy lighting applications 
traditionally served by GSILs. (GE, No. 88 at p. 2) GE added that each 
reflector lamp has unique optical properties that must be considered 
when applying a minimum efficacy requirement and noted that these 
products cannot meet the same efficiency limits designed for general 
service A shape lamps. (GE, No. 88 at p. 2) Westinghouse stated that 
while there is energy savings potential in regulating IRLs, it should 
be done in an IRL standards rulemaking rather than in a GSL standards 
rulemaking. (Westinghouse, No. 83 at pp. 21-22) Westinghouse stated it 
is not suggesting that LED versions for R20, BR30, and R40 shapes used 
in the residential sector for general purposes are not suitable 
replacements. However, Westinghouse asserted that to ensure that 
efficiencies are achievable for this shape and due consideration is 
given to economic feasibility, IRLs should be considered in their own 
rulemaking. (Westinghouse, No. 83 at pp. 47-48; Westinghouse, No. 83 at 
pp. 55-56)
    In support of their assertion that reflector lamps should be 
regulated separately, several commenters disagreed with DOE's 
determination that reflector lamps posed a risk of lamp switching. GE 
stated that while a large number of IRLs are still in use, sales have 
declined significantly over the past 5 years, in large part, due to a 
shift to LED reflector lamps. Further GE stated that reflector lamps 
would not fit in most fixtures in which GSILs are used. Even if a 
reflector lamp could fit in such a fixture it could not deliver the 
omnidirectional light output provided by the GSIL. Therefore, GE 
asserted reflector lamps would not be suitable replacements for the 
standard GSILs and needed to be evaluated in their own rulemaking. (GE, 
No. 83 at pp. 37-38) LEDVANCE agreed and stated that the consumer will 
not obtain effective light by putting a reflector lamp such as a PAR30 
in a fixture that does not have some type of directional functionality. 
(LEDVANCE, No. 83 at pp. 59-61)
    CA IOUs stated that while it may not be always be optimal, 
reflector lamps can be used in general service applications. (CA IOUs, 
No. 83 at p. 66) NRDC stated that reflector lamps can be used in 
applications other than down lights. NRDC pointed out that reflector 
lamps come in various shapes and there was nothing to prevent a 
manufacturer from altering the reflector lamp design so more light goes 
in different directions. (NRDC, No. 83 at p. 45) CA IOUs further noted 
that as the cheaper product, the use of IRLs in general service 
applications may increase due to new market pressures in 2020. (CA 
IOUs, No. 83 at p. 66) CEC agreed that medium screw base reflector 
lamps represent a lamp switching risk adding that lamp shape does not 
determine whether a lamp can provide general service lighting and 
general service lamps are not limited to omnidirectional lighting. 
(CEC, No. 91 at pp. 4-5) Utility Coalition also stated that LED lamps 
are suitable replacements for GSLs in many applications because they 
have the same base types and therefore represent a significant risk of 
undercutting the energy savings of the 45 lm/W standard if they are not 
included. (Utility Coalition, No. 95 at pp. 1-2)
    Additionally, Utility Coalition commented that there are LED 
versions

[[Page 7329]]

of reflector lamps available in a wide variety of shapes and sizes, 
lumen outputs, CCT, beam angles, and base types and that decreasing 
prices and increasing efficiency make these products cost-effective to 
consumers. NRDC also noted that there are several cost-effective, 
dimmable LED lamps available that serve as excellent replacements for 
IRLs in a variety of form factors, light outputs, and colors and urged 
DOE to move forward with its proposal to remove the exemption for these 
lamps. (NRDC, No. 83 at pp. 45-46; Utility Coalition, No. 95 at pp. 1-
2) CEC stated that as of June 15, 2015, 658 models of medium screw base 
reflector lamps complied with Tier 1 of the adopted California standard 
thus indicating that cost effective, highly-efficacious LED 
alternatives exist. CEC added that making incremental improvements to 
existing LED reflector lamps was extremely cost-effective and 
technically feasible. (CEC, No. 91 at pp. 4-5) Soraa also stated that 
LED replacements that provide a wide variety of product features, such 
as color rendering index (CRI), CCT, beam angle, whiteness rendering, 
and low flicker, are available for the majority of existing IRLs. Soraa 
noted that customers in quality-sensitive fields such as high-end 
retail and hospitality have transitioned from halogen to LED 
technology. Soraa added while there are still some lamp types that are 
difficult to replicate in LED technology, incremental progress in 
technology will likely make these products available by 2020. 
Additionally, Soraa stated that the limit of 45 lm/W can be met by 
currently-existing products with higher-level features. (Soraa, No. 87 
at p. 2)
    As discussed previously in this document, DOE did not limit its 
consideration of lamp switching to the ability to replace a lamp in a 
fixture currently used by a consumer that had been using a traditional 
incandescent lamp. As indicated by comments from ASAP previously in 
this document, the presence of reflector lamps in residences in the 
U.S. has grown significantly over time due to changes in new 
construction. (ASAP, No. 83 at pp. 38-39) Lighting in homes that 
traditionally was provided by A shape lamps in floor and table fixtures 
is being provided in newer construction through reflector lamps in 
recessed lighting. (ASAP, No. 83 at pp. 58-59)
    The basic design characteristic of an ``incandescent reflector 
lamp,'' as EPCA defines the term, is that it directs the light. But it 
is possible to direct the omnidirectional light from an incandescent 
filament into a somewhat more limited set of angles and still have a 
lamp that provides general illumination. The reflector lamps now being 
widely used in recessed can lighting are an important example. In such 
an application (with the lamp mounted in the ceiling), the reflector 
redirects light that was initially emitted upward. But the resulting 
light distribution spreads broadly over the area downward from the 
lamp, so that a consumer can readily use the lamp to provide general 
illumination for a room. In light of these observations, DOE concludes 
that ``omnidirectional illumination'' is not a prerequisite for the 
traditional functions of incandescent lamps, as GE suggested. Rather, 
DOE may consider a lamp a ready substitute for GSLs--for purposes of 
assessing an exemption--if the lamp can provide the same sort of 
general illumination that GSLs provide.
    As presented in Table III.1, DOE estimates that the sales of 
incandescent reflector lamps are approximately 270 million units per 
year. 81 FR 71794, 71800. DOE notes that incandescent reflector lamps 
have higher annual sales than any of the 22 exempt lamp types, thus 
indicating that these lamps are likely used in general lighting 
applications. In addition, because IRLs are capable of providing 
overall illumination and could be used as replacements for GSILs, there 
is also high potential for lamp switching. For these reasons, DOE is 
discontinuing the exemption from the GSL definition for IRLs.
    LEDVANCE noted that in January 2015, DOE said it found new 
standards for IRLs not economically justified. 80 FR 4042, 4043 (Jan. 
26, 2015). (LEDVANCE, No. 90 at pp. 6-7) NEMA asserted that inclusion 
of IRLs in the definition of GSL given DOE's previous determination 
that standards for IRLs would not be economically justified or 
technically feasible can only be understood as an attempt by DOE to 
eliminate the product from the market, an outcome prohibited under 
EPCA. (NEMA, No. 93 at p. 14)
    DOE acknowledges that a recent rulemaking was completed for IRLs. 
DOE completed a final rule in January 2015 that concluded that amended 
energy conservation standards for IRLs (other than ER30, BR30, BR40, 
and ER40 lamps of 50 W or less; BR30, BR40, and ER40 lamps of 65 W; and 
R20 lamps of 45 W or less) would not be economically justified. 80 FR 
4042 (January 26, 2015). DOE notes that there are established test 
procedures for IRLs. See, Appendix R to 49 CFR 430 subpart B. While the 
recent IRL rulemaking considered energy conservation standards for a 
limited segment of IRLs, this rule defines what is and is not a general 
service lamp. As such, DOE is addressing a fundamentally different 
question. The purpose of this rulemaking is not to establish energy 
conservation standards, but to determine whether certain lamps because 
of functional and design characteristics should be included in the 
definition of general service lamp.
    DOE has determined that lamps of different shapes, even those that 
are not omnidirectional, can provide overall illumination. Therefore, 
even though reflector lamps are designed to direct the light they 
provide, DOE has concluded that they should be included as general 
service lamps. DOE's previous conclusion regarding energy conservation 
standards for a subset of IRLs (less than half of the IRL market) has 
no bearing on their ability to be a general service lamp, assuming they 
meet the other criteria in the adopted definition.
    Further, DOE notes that the conclusion reached in the previous 
rulemaking was based on an analysis of incandescent technology. The 
January 2015 IRL rulemaking concluded that an amended standard based on 
more efficient incandescent technology would not be economically 
justified. An analysis conducted under the general service lamps 
authority could well come to a different conclusion because more 
efficient replacements could use incandescent, fluorescent, or LED 
technology. Thus, the cost-benefit analysis would be different and the 
cost-benefit analysis from the January 2015 rulemaking is not 
applicable here.
    DOE notes that incandescent reflector lamps have high annual sales, 
indicating that they are likely used in general lighting applications. 
Further, as noted by several commenters, IRLs that are currently exempt 
from standards have ballooned in sales and have gone from representing 
a minority of the market to a majority of the market. Thus, industry 
has shown that consumers of IRLs find various distributions of light 
acceptable in their applications because the ER- and BR-shaped lamps 
that increased in sales have broader distributions of light than the 
PAR-shaped lamps they replaced.
    DOE also received comments regarding the impacts on manufacturers 
of including IRLs in the definition of GSL. NEMA noted that in response 
to the March 2016 ECS NOPR, it had commented that in 2020 manufacturers 
would have to supply the entire nation with general service LED lamps 
as incandescent lamps would not be available. NEMA had explained in its 
comment that this would mean a 300

[[Page 7330]]

percent increase in the steady state demand and require tripling 
capacity for only that year. NEMA stated that the proposed definitions 
in the October 2016 NOPDDA increased the scope of GSLs to a wider range 
of specialty products than what was proposed in the March 2016 GSL ECS 
NOPR. Hence the projected spike in demand in 2020 would now be even 
higher. Therefore, NEMA encouraged DOE to either not impose regulations 
or postpone them for a few years on niche products. (NEMA, No. 83 at 
pp. 157-158) LEDVANCE requested clarification on whether an employment 
impact analysis was conducted for IRLs given that DOE's proposal to 
remove the exemption for IRLs could have an impact on domestic 
manufacturing. (LEDVANCE, No. 83 at pp. 59-61)
    DOE acknowledges that manufacturers may face a difficult transition 
if required to comply with a 45 lm/W standard, particularly for IRLs. 
Regarding concerns that the application of the backstop standard would 
eliminate domestic manufacturing of IRLs, DOE determined that 
manufacturers are already planning to close or move out of the country 
several domestic production facilities related to the manufacturing of 
IRLs due to reduced demand. In press releases regarding these closures, 
manufacturers noted that the market is moving away from traditional 
technologies, such as IRLs and other incandescent lamps, and 
transitioning to LED technology.\7\
---------------------------------------------------------------------------

    \7\ See press releases from OSI and GE regarding domestic 
manufacturing closures available in the docket at: https://www.regulations.gov/#!docketDetail;D=EERE-2013-BT-STD-0051.
---------------------------------------------------------------------------

    DOE is committed to working with manufacturers to ensure a 
successful transition if the backstop standard goes into effect.\8\ DOE 
will continue to have an active dialogue with industry, including 
meetings and other stakeholder outreach, throughout the period between 
publication of this rule and the compliance date of any backstop 
standard for general service lamps, including IRLs. During this period, 
DOE will keep stakeholders and the public apprised of its plans for any 
broad exercise of enforcement discretion with respect to the standard.
---------------------------------------------------------------------------

    \8\ In that vein, DOE also notes NEMA's comment that because the 
backstop requires DOE to ``prohibit sales,'' it could present a 
substantial practical difficulty regarding compliance. For most 
products, NEMA states, after a standard comes into effect 
distributors can continue to sell inventory still on hand that 
complied with the previous standard. If, by contrast, distributors 
cannot sell old lamp inventory after January 1, 2020, that inventory 
will be stranded. Although it is premature for DOE to explain in 
detail how the backstop would work if it comes into force, DOE notes 
that under subsection (i)(2), ``it shall not be unlawful for a 
manufacturer to sell a lamp which is in compliance with the law at 
the time such lamp was manufactured.'' DOE expects it would 
interpret and apply the backstop with subsection (i)(2) in mind.
---------------------------------------------------------------------------

B. Summary and Regulatory Text Definition

    DOE is amending the definition of ``general service lamp'' in Sec.  
430.2 to include IRLs. Ageneral service lamp is a lamp that has an ANSI 
base; is able to operate at a voltage of 12 volts or 24 volts, at or 
between 100 to 130 volts, at or between 220 to 240 volts, or of 277 
volts for integrated lamps (as defined in this section), or is able to 
operate at any voltage for non-integrated lamps (as defined in this 
section); has an initial lumen output of greater than or equal to 310 
lumens (or 232 lumens for modified spectrum general service 
incandescent lamps) and less than or equal to 3,300 lumens; is not a 
light fixture; is not an LED downlight retrofit kit; and is used in 
general lighting applications. General service lamps include, but are 
not limited to, general service incandescent lamps, compact fluorescent 
lamps, general service light-emitting diode lamps, and general service 
organic light-emitting diode lamps. General service lamps do not 
include:
     Appliance lamps;
     Black light lamps;
     Bug lamps;
     Colored lamps;
     G shape lamps with a diameter of 5 inches or more as 
defined in ANSI C79.1-2002;
     General service fluorescent lamps;
     High intensity discharge lamps;
     Infrared lamps;
     J, JC, JCD, JCS, JCV, JCX, JD, JS, and JT shape lamps that 
do not have Edison screw bases;
     Lamps that have a wedge base or prefocus base;
     Left-hand thread lamps;
     Marine lamps;
     Marine signal service lamps;
     Mine service lamps;
     MR shape lamps that have a first number symbol equal to 16 
(diameter equal to 2 inches) as defined in ANSI C79.1-2002, operate at 
12 volts, and have a lumen output greater than or equal to 800;
     Other fluorescent lamps;
     Plant light lamps;
     R20 short lamps;
     Reflector lamps (as defined in this section) that have a 
first number symbol less than 16 (diameter less than 2 inches) as 
defined in ANSI C79.1-2002 and that do not have E26/E24, E26d, E26/
50x39, E26/53x39, E29/28, E29/53x39, E39, E39d, EP39, or EX39 bases;
     S shape or G shape lamps that have a first number symbol 
less than or equal to 12.5 (diameter less than or equal to 1.5625 
inches) as defined in ANSI C79.1-2002;
     Sign service lamps;
     Silver bowl lamps;
     Showcase lamps;
     Specialty MR lamps;
     T shape lamps that have a first number symbol less than or 
equal to 8 (diameter less than or equal to 1 inch) as defined in ANSI 
C79.1-2002, nominal overall length less than 12 inches, and that are 
not compact fluorescent lamps (as defined in this section);
     Traffic signal lamps.

IV. Effective Date

    For the changes described in this final rule, DOE is adopting a 
January 1, 2020 effective date.

V. Procedural Issues and Regulatory Review

A. Review Under Executive Orders 12866 and 13563

    This final rule neither implements nor seeks to enforce any 
standard. Rather, this final rule merely defines what constitutes a 
GSL. Lamps that are GSLs will become subject to either a standard 
developed by DOE or to a 45 lm/W backstop standard, but this rule does 
not determine what standard will be applicable to lamps that are being 
newly included as GSLs. Accordingly, this action does not constitute a 
significant regulatory action under Executive Orders 12866 and 13563.

B. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires that 
when an agency promulgates a final rule under 5 U.S.C. 553, after being 
required by that section or any other law to publish a general NOPR, 
the agency shall prepare a final regulatory flexibility analysis 
(FRFA), unless the agency certifies that the rule 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 the definition of GSL amended in this final rule under 
the provisions of the Regulatory Flexibility

[[Page 7331]]

Act and the procedures and policies published on February 19, 2003. DOE 
certifies that this final rule does not have a significant economic 
impact on a substantial number of small entities. The factual basis for 
this certification is set forth in the following paragraphs.
    For manufacturers of IRLs, the 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. (See 13 CFR part 121.) The size standards 
are listed by NAICS code and industry description and are available at 
http://www.sba.gov/sites/default/files/files/Size_Standards_Table.pdf. 
Manufacturing of GSLs is classified under NAICS 335110, ``Electric Lamp 
Bulb and Part Manufacturing.'' The SBA sets a threshold of 1,250 
employees or less for an entity to be considered as a small business 
for this category.
    To estimate the number of companies that could be small businesses 
that manufacture IRLs covered by this rulemaking, DOE conducted a 
market survey using publicly available information. DOE's research 
involved information provided by trade associations (e.g., NEMA \9\) 
and information from DOE's CCMS Database,\10\ previous rulemakings, 
individual company Web sites, SBA's database, and market research tools 
(e.g., Hoover's reports \11\). DOE used information from these sources 
to create a list of companies that potentially manufacture or sell IRLs 
and would be impacted by this rulemaking. DOE screened out companies 
that do not offer products covered by this rulemaking, do not meet the 
definition of a ``small business,'' or are completely foreign owned and 
operated. DOE determined that there are no small businesses that 
maintain domestic production facilities for IRLs.
---------------------------------------------------------------------------

    \9\ National Electric Manufacturers Association [verbarlm] 
Member Products [verbarlm] Lighting Systems [verbarlm] Related 
Manufacturers, http://www.nema.org/Products/Pages/Lighting-Systems.aspx (last accessed November 21, 2016).
    \10\ DOE's Compliance Certification Database [verbarlm] Lamps--
Bare or Covered (No Reflector) Medium Base Compact Fluorescent, 
http://www.regulations.doe.gov/certification-data (last accessed 
November 21, 2016).
    \11\ Hoovers [verbarlm] Company Information [verbarlm] Industry 
Information [verbarlm] Lists, http://www.hoovers.com (last accessed 
November 21, 2016).
---------------------------------------------------------------------------

    DOE notes that this final rule merely includes IRLs in the 
regulatory definition of GSLs. Manufacturers of GSLs, including IRLs, 
are required to use DOE's test procedures to make representations and 
certify compliance with standards, if required. The effective date 
allows reasonable time for manufacturers to transition, while reducing 
the number of redesigns needed, should manufacturers need to comply 
with a 45 lm/W statutory standard beginning on January 1, 2020. For 
these reasons, DOE concludes and certifies that the new amended 
definition of GSL, which includes IRLs, does not have a significant 
economic impact on a substantial number of small entities, and the 
preparation of an FRFA is not warranted.

C. Review Under the Paperwork Reduction Act

    Manufacturers of GSLs must certify to DOE that their products 
comply with any applicable energy conservation standards. In certifying 
compliance, manufacturers must test their products according to DOE 
test procedures for GSLs, including any amendments adopted for those 
test procedures. DOE has established regulations for the certification 
and recordkeeping requirements for all covered consumer products and 
commercial equipment. 76 FR 12422 (March 7, 2011). The collection-of-
information requirement for the certification and recordkeeping is 
subject to review and approval by OMB under the Paperwork Reduction Act 
(PRA). This requirement has been approved by OMB under OMB control 
number 1910-1400. DOE requested OMB approval of an extension of this 
information collection for three years, specifically including the 
collection of information adopted in the present rulemaking, and 
estimated that the annual number of burden hours under this extension 
is 30 hours per company. In response to DOE's request, OMB approved 
DOE's information collection requirements covered under OMB control 
number 1910-1400 through November 30, 2017. 80 FR 5099 (January 30, 
2015).
    Notwithstanding any other provision of the law, no person is 
required to respond to, nor shall any person be subject to a penalty 
for failure to comply with, a collection of information subject to the 
requirements of the PRA, unless that collection of information displays 
a currently valid OMB control number.

D. Review Under the National Environmental Policy Act of 1969

    Pursuant to the National Environmental Policy Act (NEPA) of 1969, 
DOE has determined that the rule fits within the category of actions 
included in Categorical Exclusion (CX) B5.1 and otherwise meets the 
requirements for application of a CX. (See 10 CFR part 1021, App. B, 
B5.1(b); 1021.410(b) and App. B, B(1)-(5).) The rule fits within this 
category of actions because it is a rulemaking that changes the 
definition of a covered class of products for which there are existing 
energy conservation standards, and for which none of the exceptions 
identified in CX B5.1(b) apply. Therefore, DOE has made a CX 
determination for this rulemaking, and DOE does not need to prepare an 
Environmental Assessment or Environmental Impact Statement for this 
rule. DOE's CX determination for this rule is available at http://energy.gov/nepa/categorical-exclusion-cx-determinations-cx.

E. Review Under Executive Order 13132

    Executive Order 13132, ``Federalism,'' 64 FR 43255 (August 10, 
1999), imposes certain requirements on federal agencies formulating and 
implementing policies or regulations that preempt state law 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 
development of such regulations. 65 FR 13735. DOE has examined this 
rule and has determined that it would not have a substantial direct 
effect on the states, on the relationship between the national 
government and the states, or on the distribution of power and 
responsibilities among the various levels of government. EPCA governs 
and prescribes federal preemption of state regulations as to energy 
conservation for the products that are the subject of this final rule. 
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) 
Therefore, 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; (3)

[[Page 7332]]

provide a clear legal standard for affected conduct rather than a 
general standard; and (4) promote simplification and burden reduction. 
61 FR 4729 (Feb. 7, 1996). Regarding the review required by section 
3(a), 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 final rule 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 regulatory action likely to result in a rule that includes a 
Federal mandate that may result in 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 them. 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/sites/prod/files/gcprod/documents/umra_97.pdf.
    DOE examined this final rule 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, so these requirements 
do not apply.

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 rule 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

    Pursuant to Executive Order 12630, ``Governmental Actions and 
Interference with Constitutionally Protected Property Rights,'' 53 FR 
8859 (March 15, 1988), DOE has determined that this rule 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 information 
quality 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 this final rule 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 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 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.
    This regulatory action to amend a definition for GSL is not a 
significant regulatory action under Executive Order 12866. Moreover, it 
would not have a significant adverse effect on the supply, 
distribution, or use of energy, nor has it been designated as a 
significant energy action by the Administrator of OIRA. Therefore, it 
is not a significant energy action, and, accordingly, DOE has not 
prepared a Statement of Energy Effects.

L. Review Under Section 32 of the Federal Energy Administration Act of 
1974

    Under section 301 of the Department of Energy Organization Act 
(Pub. L. 95-91; 42 U.S.C. 7101), DOE must comply with section 32 of the 
Federal Energy Administration Act of 1974, as amended by the Federal 
Energy Administration Authorization Act of 1977. (15 U.S.C. 788; FEAA) 
Section 32 essentially provides in relevant part that, where a rule 
authorizes or requires use of commercial standards, the NOPR must 
inform the public of the use and background of such standards. In 
addition, section 32(c) requires DOE to consult with the Attorney 
General and the Chairman of the Federal Trade Commission (FTC) 
concerning the impact of the commercial or industry standards on 
competition. DOE has not incorporated by reference any industry 
standards in this rulemaking that were not already incorporated and 
therefore there is no impact on competition.

M. Congressional Notification

    As required by 5 U.S.C. 801, DOE will report to Congress on the 
promulgation of this rule prior to its effective date. The report will 
state that it has been determined that the rule is not a ``major rule'' 
as defined by 5 U.S.C. 804(2).

VI. Approval of the Office of the Secretary

    The Secretary of Energy has approved publication of this final 
rule.

[[Page 7333]]

List of Subjects in 10 CFR Part 430

    Administrative practice and procedure, Confidential business 
information, Energy conservation, Household appliances, Imports, 
Incorporation by reference, Intergovernmental relations, Small 
businesses.

    Issued in Washington, DC, on December 29, 2016.
David Nemtzow,
Acting Deputy Assistant Secretary for Energy Efficiency, Energy 
Efficiency and Renewable Energy.

    For the reasons set forth in the preamble, the final rule for part 
430 of chapter II, subchapter D, of title 10 of the Code of Federal 
Regulations effective beginning January 1, 2020, is amended as set 
forth below:

PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS

0
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.


0
2. In Sec.  430.2, the definition for general service lamp is amended 
by removing paragraph (27).

[FR Doc. 2016-32012 Filed 1-18-17; 8:45 am]
BILLING CODE 6450-01-P



                                                  7322             Federal Register / Vol. 82, No. 12 / Thursday, January 19, 2017 / Rules and Regulations

                                                  (diameter less than or equal to 1 inch)                    Marine lamp means a lamp that is                    marketed as a sign service lamp, and has
                                                  as defined in ANSI C79.1–2002                           designed and marketed for use on boats                 a maximum rated wattage of 15 watts.
                                                  (incorporated by reference; see § 430.3),               and can operate at or between 12 volts                    Silver bowl lamp means a lamp that
                                                  nominal overall length less than 12                     and 13.5 volts.                                        has an opaque reflective coating applied
                                                  inches, and that are not compact                           Marine signal service lamp means a                  directly to part of the bulb surface that
                                                  fluorescent lamps (as defined in this                   lamp that is designed and marketed for                 reflects light toward the lamp base and
                                                  section);                                               marine signal service applications.                    that is designed and marketed as a silver
                                                     (26) Traffic signal lamps;                           *     *     *     *     *                              bowl lamp.
                                                     (27) Incandescent reflector lamps.                      Mine service lamp means a lamp that                 *      *     *     *    *
                                                     General service light-emitting diode                 is designed and marketed for mine                         Specialty MR lamp means a lamp that
                                                  (LED) lamp means an integrated or non-                  service applications.                                  has an MR shape as defined in ANSI
                                                  integrated LED lamp designed for use in                 *     *     *     *     *                              C79.1–2002 (incorporated by reference;
                                                  general lighting applications (as defined                  Non-integrated lamp means a lamp                    see § 430.3), a diameter of less than or
                                                  in this section) and that uses light-                   that is not an integrated lamp.                        equal to 2.25 inches, a lifetime of less
                                                  emitting diodes as the primary source of                *     *     *     *     *                              than or equal to 300 hours, and that is
                                                  light.                                                     Other fluorescent lamp means low                    designed and marketed for a specialty
                                                     General service organic light-emitting               pressure mercury electric-discharge                    application.
                                                  diode (OLED) lamp means an integrated                   sources in which a fluorescing coating                 *      *     *     *    *
                                                  or non-integrated OLED lamp designed                    transforms some of the ultraviolet                        Traffic signal lamp means a lamp that
                                                  for use in general lighting applications                energy generated by the mercury                        is designed and marketed for traffic
                                                  (as defined in this section) and that uses              discharge into light and include circline              signal applications and has a lifetime of
                                                  organic light-emitting diodes as the                    lamps and include double-ended lamps                   8,000 hours or greater.
                                                  primary source of light.                                with the following characteristics:                    *      *     *     *    *
                                                  *      *     *     *     *                              Lengths from one to eight feet; designed               [FR Doc. 2016–32013 Filed 1–18–17; 8:45 am]
                                                     Infrared lamp means a lamp that is                   for cold temperature applications;
                                                                                                                                                                 BILLING CODE 6450–01–P
                                                  designed and marketed as an infrared                    designed for use in reprographic
                                                  lamp; has its highest radiant power                     equipment; designed to produce
                                                  peaks in the infrared region of the                     radiation in the ultra-violet region of the            DEPARTMENT OF ENERGY
                                                  electromagnetic spectrum (770 nm to 1                   spectrum; impact-resistant; reflectorized
                                                  mm); has a rated wattage of 125 watts                   or aperture; or a CRI of 87 or greater.                10 CFR Part 430
                                                  or greater; and which has a primary                     *     *     *     *     *
                                                  purpose of providing heat.                                                                                     [Docket Number EERE–2013–BT–STD–
                                                                                                             Pin base lamp means a lamp that uses                0051]
                                                  *      *     *     *     *                              a base type designated as a single pin
                                                     Integrated lamp means a lamp that                    base or multiple pin base system.                      RIN 1904–AD09
                                                  contains all components necessary for                   *     *     *     *     *
                                                  the starting and stable operation of the                   Plant light lamp means a lamp that is               Energy Conservation Program: Energy
                                                  lamp, does not include any replaceable                  designed to promote plant growth by                    Conservation Standards for General
                                                  or interchangeable parts, and is                        emitting its highest radiant power peaks               Service Lamps
                                                  connected directly to a branch circuit                  in the regions of the electromagnetic                  AGENCY:  Office of Energy Efficiency and
                                                  through an ANSI base and                                spectrum that promote photosynthesis:                  Renewable Energy, Department of
                                                  corresponding ANSI standard lamp-                       Blue (440 nm to 490 nm) and/or red                     Energy.
                                                  holder (socket).                                        (620 to 740 nm), and is designed and                   ACTION: Final rule.
                                                  *      *     *     *     *                              marketed for plant growing
                                                     LED Downlight Retrofit Kit means a                   applications.                                          SUMMARY:   On March 17, 2016, the U.S.
                                                  product designed and marketed to                        *     *     *     *     *                              Department of Energy (DOE) published
                                                  install into an existing downlight,                        Reflector lamp means a lamp that has                a notice of proposed rulemaking (NOPR)
                                                  replacing the existing light source and                 an R, PAR, BPAR, BR, ER, MR, or                        proposing standards for general service
                                                  related electrical components, typically                similar bulb shape as defined in ANSI                  lamps (GSLs) pursuant to the Energy
                                                  employing an ANSI standard lamp base,                   C78.20–2003 (incorporated by reference;                Policy and Conservation Act of 1975
                                                  either integrated or connected to the                   see § 430.3) and ANSI C79.1–2002                       (EPCA), as amended. In this final rule
                                                  downlight retrofit by wire leads, and is                (incorporated by reference; see § 430.3)               DOE responds to comments received on
                                                  a retrofit kit. LED downlight retrofit kit              and is used to provide directional light.              the October 2016 NOPDDA regarding
                                                  does not include integrated lamps or                    *     *     *     *     *                              IRLs and amends the definition of GSL.
                                                  non-integrated lamps.                                      Showcase lamp means a lamp that has                 DATES: The effective date of this rule is
                                                     Left-hand thread lamp means a lamp                   a T shape as specified in ANSI C78.20–                 January 1, 2020.
                                                  with direction of threads on the lamp                   2003 (incorporated by reference; see                   ADDRESSES: The docket, which includes
                                                  base oriented in the left-hand direction.               § 430.3) and ANSI C79.1–2002                           Federal Register notices, public meeting
                                                  *      *     *     *     *                              (incorporated by reference; see § 430.3),              attendee lists and transcripts,
                                                     Light fixture means a complete                       is designed and marketed as a showcase                 comments, and other supporting
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                                                  lighting unit consisting of light source(s)             lamp, and has a maximum rated wattage                  documents/materials, is available for
                                                  and ballast(s) or driver(s) (when                       of 75 watts.                                           review at www.regulations.gov. All
                                                  applicable) together with the parts                     *     *     *     *     *                              documents in the docket are listed in
                                                  designed to distribute the light, to                       Sign service lamp means a vacuum                    the www.regulations.gov index.
                                                  position and protect the light source,                  type or gas-filled lamp that has                       However, some documents listed in the
                                                  and to connect the light source(s) to the               sufficiently low bulb temperature to                   index may not be publicly available,
                                                  power supply.                                           permit exposed outdoor use on high-                    such as those containing information
                                                  *      *     *     *     *                              speed flashing circuits, is designed and               that is exempt from public disclosure.


                                             VerDate Sep<11>2014   00:51 Jan 19, 2017   Jkt 241001   PO 00000   Frm 00048   Fmt 4701   Sfmt 4700   E:\FR\FM\19JAR7.SGM   19JAR7


                                                                    Federal Register / Vol. 82, No. 12 / Thursday, January 19, 2017 / Rules and Regulations                                         7323

                                                    A link to the docket Web page can be                  including general service lamps                        written comments that reiterated these
                                                  found at: https://www1.eere.energy.gov/                 (GSLs)—the products that are the focus                 concerns, and also provided additional
                                                  buildings/appliance_standards/                          of this final rule.                                    data for DOE’s consideration.
                                                  standards.aspx?productid=4. This Web                       In particular, amendments to EPCA in                Specifically, the National Electrical
                                                  page contains a link to the docket for                  the Energy Independence and Security                   Manufacturers Association (NEMA)
                                                  this document on the                                    Act of 2007 (EISA 2007) directed DOE                   provided new data and information on
                                                  www.regulations.gov site. The                           to engage in rulemakings regarding                     the 22 exempted lamp types to inform
                                                  www.regulations.gov Web page contains                   GSLs. (42 U.S.C. 6295(i)(6)(A)–(B))                    DOE’s evaluation of whether the
                                                  simple instructions on how to access all                EPCA, as amended by EISA 2007,                         exemptions should be maintained or
                                                  documents, including public comments,                   directs DOE to initiate a rulemaking no                discontinued as required by 42 U.S.C.
                                                  in the docket.                                          later than January 1, 2014, to determine               6295(i)(6)(A)(i)(II).
                                                  FOR FURTHER INFORMATION CONTACT: Ms.                    whether standards in effect for GSLs                     After the publication of the March
                                                  Lucy deButts, U.S. Department of                        should be amended and determine                        2016 GSL ECS NOPR, DOE analyzed the
                                                  Energy, Office of Energy Efficiency and                 whether exemptions for certain                         data submitted by NEMA and collected
                                                  Renewable Energy, Building                              incandescent lamps should be                           additional data where available. DOE
                                                  Technologies Office, EE–2J, 1000                        maintained or discontinued. (42 U.S.C.                 published a notice of proposed
                                                  Independence Avenue SW.,                                6295(i)(6)(A)(i)) The scope of the                     definition and data availability
                                                  Washington, DC 20585–0121.                              rulemaking is not limited to                           (hereafter the ‘‘October 2016 NOPDDA’’)
                                                  Telephone: (202) 287–1604. Email:                       incandescent lamp technologies. (42                    to: (1) Propose a revised definition of
                                                                                                          U.S.C. 6295(i)(6)(A)(ii)) Further, for this            GSL that included, among other lamp
                                                  ApplianceStandardsQuestions@
                                                                                                          first cycle of rulemaking, the EISA 2007               types, IRLs; (2) announce the
                                                  ee.doe.gov.
                                                                                                          amendments provide that DOE must                       availability of the NEMA data and
                                                  SUPPLEMENTARY INFORMATION:                              consider a minimum standard of 45                      supplemental data collected by DOE; (3)
                                                  Table of Contents                                       lumens per watt (lm/W). (42 U.S.C.                     request public comment on proposed
                                                                                                          6295(i)(6)(A)(ii)) If DOE fails to                     definitions and compiled data; and (4)
                                                  I. Introduction                                                                                                request any additional data that
                                                                                                          complete a rulemaking in accordance
                                                  II. Authority and Rulemaking Process                                                                           stakeholders may have in support of this
                                                  III. Definition of General Service Lamp                 with 42 U.S.C. 6295(i)(6)(A)(i)–(iv) or a
                                                                                                          final rule from the first rulemaking cycle             evaluation. 81 FR 71794 (October 18,
                                                     1. Incandescent Reflector Lamps
                                                                                                          does not produce savings greater than or               2016). DOE also held a public meeting
                                                     2. Summary and Regulatory Text
                                                        Definition                                        equal to the savings from a minimum                    on October 21, 2016 to hear oral
                                                  IV. Effective Date                                      efficacy standard of 45 lm/W, the statute              comments and solicit information
                                                  V. Procedural Issues and Regulatory Review              provides a ‘‘backstop’’ under which                    relevant to the October 2016 NOPDDA.
                                                     A. Review Under Executive Orders 12866               DOE must prohibit sales of GSLs that do                  In a separate final rule being
                                                        and 13563                                         not meet a minimum 45 lm/W standard                    published in the same issue of the
                                                     B. Review Under the Regulatory Flexibility
                                                                                                          beginning on January 1, 2020. (42 U.S.C.               Federal Register, DOE has adopted a
                                                        Act                                                                                                      definition of GSL that reflects its
                                                     C. Review Under the Paperwork Reduction              6295(i)(6)(A)(v))
                                                                                                             In March 2016, DOE published a                      discontinuation of certain exemptions
                                                        Act                                                                                                      and its maintaining of others, and its
                                                     D. Review Under the National                         notice of proposed rulemaking (NOPR)
                                                                                                          that proposed a revised definition of                  interpretation and application of certain
                                                        Environmental Policy Act of 1969
                                                     E. Review Under Executive Order 13132                GSL and energy conservation standards                  clauses of the statutory definition of
                                                     F. Review Under Executive Order 12988                for certain GSLs (hereafter the ‘‘March                GSL (hereafter the ‘‘GSL definition final
                                                     G. Review Under the Unfunded Mandates                2016 GSL ECS NOPR’’). 81 FR 14528                      rule’’). In that rule, DOE postponed its
                                                        Reform Act of 1995                                (March 17, 2016). In conjunction with                  decision on the IRL exemption, which it
                                                     H. Review Under the Treasury and General             the March 2016 GSL ECS NOPR, DOE                       had previously proposed to discontinue.
                                                        Government Appropriations Act, 1999                                                                      Accordingly, that rule perpetuated the
                                                     I. Review Under Executive Order 12630
                                                                                                          also published on its Web site the
                                                                                                          complete technical support document                    IRL exemption in DOE’s regulatory
                                                     J. Review Under the Treasury and General                                                                    definition. In this final rule, DOE
                                                        Government Appropriations Act, 2001               (TSD) for the proposed rule, which
                                                                                                          described the analyses DOE conducted                   determines to discontinue the IRL
                                                     K. Review Under Executive Order 13211
                                                     L. Review Under Section 32 of the Federal            and included technical documentation                   exemption, and it is amending its
                                                        Energy Administration Act of 1974                 for each analysis. The TSD also                        definition of GSL accordingly.
                                                     M. Congressional Notification                                                                                 The following sections of this final
                                                                                                          included the life cycle cost (LCC)
                                                  VI. Approval of the Office of the Secretary                                                                    rule respond to comments received on
                                                                                                          spreadsheet, the national impact
                                                                                                                                                                 the October 2016 NOPDDA and during
                                                  I. Introduction                                         analysis spreadsheet, and the
                                                                                                                                                                 the NOPDDA public meeting regarding
                                                                                                          manufacturer impact analysis (MIA)
                                                    Title III, Part B of the Energy Policy                                                                       IRLs in more detail.
                                                                                                          spreadsheet.2
                                                  and Conservation Act of 1975 (EPCA or                      DOE held a public meeting on April                  II. Authority and Rulemaking Process
                                                  the Act), Public Law 94–163 (42 U.S.C.                  20, 2016, to hear oral comments on and
                                                  6291–6309, as codified) established the                                                                           DOE is required under the EISA 2007
                                                                                                          solicit information relevant to the                    amendments to EPCA to undertake the
                                                  Energy Conservation Program for                         proposed rule. At this meeting, DOE
                                                  Consumer Products Other Than                                                                                   present rulemaking. Under EPCA, DOE
                                                                                                          heard concerns from stakeholders                       shall initiate a rulemaking to determine
                                                  Automobiles, a program covering most
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                                                                                                          regarding the expansion of scope in the                whether standards in effect for GSLs
                                                  major household appliances                              proposed GSL definition and DOE’s
                                                  (collectively referred to as ‘‘covered                                                                         should be amended to establish more
                                                                                                          approach to analyzing the 22 GSIL                      stringent standards; and determine
                                                  products’’).1 Subsequent amendments                     exemptions. In addition, DOE received
                                                  expanded Title III of EPCA to include                                                                          whether exemptions for certain
                                                  additional consumer products,                             2 The spreadsheets developed for this rulemaking
                                                                                                                                                                 incandescent lamps should be
                                                                                                          proceeding are available at: https://
                                                                                                                                                                 maintained or discontinued. (42 U.S.C.
                                                    1 Part B was re-designated Part A on codification     www1.eere.energy.gov/buildings/appliance_              6295(i)(6)(A)(i)) In addition to that
                                                  in the U.S. Code for editorial reasons.                 standards/standards.aspx?productid=4.                  mandate, DOE has the authority to


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                                                  7324             Federal Register / Vol. 82, No. 12 / Thursday, January 19, 2017 / Rules and Regulations

                                                  qualify lamps as general service lamps                  conservation by imposing efficiency                       Besides the 22 lamp types listed in
                                                  upon determining that they are ‘‘used to                standards for general lighting.                        section 6291(30)(D)(ii), which the GSL
                                                  satisfy lighting applications                              While the statute does not expressly                definition final rule addressed, DOE is
                                                  traditionally served by general service                 state a criterion by which DOE should                  also interpreting ‘‘the exemptions’’ in
                                                  incandescent lamps.’’ (42 U.S.C.                        decide which exemptions to maintain—                   section 6291(i)(6)(A)(i)(II) to include the
                                                  6291(30)(BB)(i)(IV))                                    it simply identifies one important                     exemption in section 6291(30)(BB)(ii)
                                                     An additional statute relevant to this               evidentiary input, sales data—DOE                      for incandescent reflector lamps. Clause
                                                  rulemaking is section 312 of the                        understands its instruction to be that                 (i)(II) refers to ‘‘the exemptions for
                                                  Consolidated and Further Continuing                     DOE should maintain an exemption if                    certain incandescent lamps’’; and the
                                                  Appropriations Act, 2016 (Pub. L. 114–                  doing so would be consistent with that                 (BB)(ii) carve-out for ‘‘incandescent
                                                  113, 129 Stat. 2419; hereafter referred to              statutory purpose, and discontinue the                 reflector lamps’’ readily fits that
                                                  as the ‘‘Appropriations Rider’’) that                   exemption if it would not. To carry out                description so long as it can properly be
                                                  prohibits expenditure of funds                          that instruction, DOE has assessed                     viewed as an ‘‘exemption.’’ In the GSL
                                                  appropriated by that law to implement                   whether lamps within the IRL                           definition final rule that is being
                                                  or enforce: (1) 10 CFR 430.32(x), which                 exemption are readily substitutable for                published in the same issue of the
                                                  includes maximum wattage and                            lamps that are already categorized as                  Federal Register, DOE explained its
                                                  minimum rated lifetime requirements                     general service lamps. Sales data, as the              understanding of what clause (i)(II)
                                                  for GSILs; and (2) standards set forth in               statute directs, are an important type of              means by an ‘‘exemption.’’ DOE adheres
                                                  section 325(i)(1)(B) of EPCA (42 U.S.C.                 evidence informing that assessment.                    to its conclusion in the GSL definition
                                                  6295(i)(1)(B)), which sets minimum                         The discontinuation of the IRL                      final rule that the 22 lamp types listed
                                                  lamp efficiency ratings for incandescent                exemption will render the lamps within                 in subparagraph (D)(ii) are
                                                  reflector lamps (IRLs).3                                that exemption GSLs, to the extent they                ‘‘exemptions’’ for these purposes, and
                                                     This final rule constitutes a decision               would otherwise qualify as GSLs, As the                the language of the IRL carve-out is the
                                                  on whether to maintain or discontinue                   October 2016 NOPDDA observed, DOE                      same as that for the 22 types. Therefore,
                                                  the exemption for IRLs, and include                     will then either impose standards on                   DOE believes it is also an ‘‘exemption.’’
                                                  IRLs as GSLs if discontinued. This final                these lamps pursuant to its authority to                  DOE recognizes that, as a commenter
                                                  rule does not determine whether DOE                     develop GSL standards or apply the                     pointed out, IRLs are already subject to
                                                  should impose or amend standards for                    backstop standard prohibiting the sale                 standards under EPCA. The GSL
                                                  any category of lamps, such as GSILs or                 of lamps not meeting a 45 lm/W efficacy                definition final rule that is being
                                                  GSLs.                                                   standard.                                              published in the same issue of the
                                                     As discussed in more detail, DOE is                     Commenters on the March 2016 GSL                    Federal Register explained DOE’s view
                                                  grounding the decision of whether to                    ECS NOPR and October 2016 NOPDDA                       that a lamp subject to some standards
                                                  maintain or discontinue the IRL                         contended that DOE lacked authority to                 under EPCA can still be ‘‘exempt’’ for
                                                  exemption on an assessment of whether                   discontinue exemptions in the way it                   purposes of the clause (i)(II) rulemaking,
                                                  IRLs would provide a convenient                         proposed and objected to the procedures                because the ‘‘exemptions’’ that DOE is
                                                  unregulated alternative to lamps that                   DOE had undertaken. DOE discussed                      reviewing are exemptions from GSL
                                                  will be subject to energy conservation                  those comments in the GSL definition                   regulation. DOE adheres to that view in
                                                  standards. In DOE’s view, EPCA                          final rule that is being published in the              this final rule.
                                                  exempted certain categories of lamps                    same issue of the Federal Register. In                    For IRLs, the existing standards are
                                                  from the definition of GSL because, on                  many ways, DOE’s interpretations of                    much less stringent than the 45 lm/W
                                                  the one hand, some lamps in those                       EPCA relevant to this final rule are                   backstop standard, and presumably less
                                                  categories have specialty applications;                 similar to those in the GSL definition                 stringent than any standard that DOE
                                                  and on the other hand, it was not clear,                final rule; and the procedures are                     might develop to achieve energy savings
                                                  when these lamp provisions were                         comparable in that this final rule                     comparable to those from the 45 lm/W
                                                  enacted, whether those lamps were part                  proceeds from the same notices that led                backstop standard. For example, when
                                                  of the broader lamp market to which                     to the GSL definition final rule. That                 EISA 2007 was adopted, the standard
                                                  Congress wished to apply energy                         said, DOE’s decision regarding IRLs is                 for incandescent reflector lamps ranged
                                                  conservation standards. For certain                     independent from the decisions it made                 from 10.5 to 15 lm/W. It seems unlikely
                                                  lamps exempted from regulation as a                     in the GSL definition final rule, and it               that Congress would have considered
                                                  GSL, EPCA established standards. With                   has considered the comments and issues                 that standard an adequate alternative to
                                                  regard to IRLs, EPCA imposed efficiency                 independently with respect to this rule.               GSL standards. Therefore, DOE
                                                  standards ranging from 10.5 to 15 lm/W.                 After reviewing those comments and                     considers it consistent with the scheme
                                                  (42 U.S.C. 6295(i)(1)(B)). The purpose,                 issues again, DOE has come to the same                 of subsection (i)(6) that DOE should
                                                  then, of the decision that Congress                     conclusions as it did in the GSL                       assess whether to subject to GSL
                                                  entrusted to DOE, to maintain or to                     definition final rule, for the reasons                 regulation the lamps within the IRL
                                                  discontinue a given exemption, was that                 given in the preamble to that rule. For                exemption.
                                                  DOE should assess the role of lamps of                  convenience, DOE does not repeat those                    Commenters also argued that DOE
                                                  that type in the broader lighting market,               discussions here, as the explanations                  cannot discontinue the exemption for
                                                  bearing in mind the evident statutory                   provided in the GSL definition final                   IRLs because, the commenters observed,
                                                  purpose of achieving energy                             rule—regarding which exemptions DOE                    the statute exempts these lamps from
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                                                                                                          has the authority to discontinue, what                 being GSLs twice. First, ‘‘reflector
                                                    3 This provision of the Consolidated and Further      factors DOE is considering in a decision               lamps’’ are one of the 22 types of lamp
                                                  Continuing Appropriations Act, 2016 has been            whether to discontinue an exemption,                   exempted by section 6291(30)(BB)(ii)(I);
                                                  extended to the current appropriations                  and what procedures DOE has                            and second section 6291(30)(BB)(ii)(II)
                                                  authorization. See, The Continuing Appropriations       followed—are adequate. In this rule,                   specifically exempts incandescent
                                                  and Military Construction, Veteran Affairs, and
                                                  Related Agencies Appropriations Act, 2017 and
                                                                                                          DOE discusses its consideration of                     reflector lamps. By exempting them
                                                  Zika Response and Preparedness Act, 2017 (Pub. L.       comments and issues specifically                       twice, the commenters suggest, Congress
                                                  114–223, 130 Stat. 908).                                related to IRLs.                                       made quite clear that incandescent


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                                                                   Federal Register / Vol. 82, No. 12 / Thursday, January 19, 2017 / Rules and Regulations                                                    7325

                                                  reflector lamps are not to be considered                nature, and EPCA calls on DOE to                       signal lamp,’’ or ‘‘vibration service
                                                  GSLs.                                                   decide whether to maintain or                          lamp,’’ that has specialty applications
                                                     The interpretation that these                        discontinue each. DOE addressed the                    and that Congress could have thought
                                                  commenters advance would                                ‘‘reflector lamp’’ exemption, as applied               might have few or no general service
                                                  significantly impair the standards                      to lamps that are not IRLs, in the GSL                 applications. The statute does not reflect
                                                  regime established by EISA 2007. That                   definition final rule that is being                    a final judgment on that point; instead
                                                  statute’s amendments to EPCA imposed                    published in the same issue of the                     it defers the decision for DOE to make
                                                  standards for general service fluorescent               Federal Register.                                      in a section 6295(i)(6)(A)(i)(II)
                                                  lamps and incandescent reflector lamps,                    Paragraph (30)(C) defines                           rulemaking. Still, the general character
                                                  the two categories of lamp that                         ‘‘incandescent lamp’’ to ‘‘includ[e] only              of the 22 exemptions is that they are
                                                  subclause (30)(BB)(ii)(II) exempts from                 the following’’: ‘‘[a]ny lamp . . . that is            lamp types about which such a
                                                  being GSLs. For general service                         not a reflector lamp’’ and meets certain               judgment—whether the exempted lamps
                                                  fluorescent lamps, when EISA was                        criteria, such as a rated wattage between              have substantial general service
                                                  enacted the standards ranged from 64 to                 30 and 199 watts; ‘‘[a]ny lamp                         applications—would be necessary in
                                                  80 lm/W, substantially above the                        (commonly referred to as a reflector                   deciding whether to impose general
                                                  backstop that the EISA amendments                       lamp) which is not colored or designed                 lamp standards. By contrast,
                                                  specify as the default for GSLs. For                    for rough or vibration services                        subparagraph (C)(ii), which defines
                                                  incandescent reflector lamps, the                       applications, that contains an inner                   IRLs, encompasses a wide range of
                                                  standards when EISA 2007 was enacted                    reflective coating on the outer bulb to                lamps which certainly had general
                                                  ranged from 10.5 to 15.0 lumens per                     direct the light,’’ and meets additional               service applications; and EPCA reflected
                                                  watt, well below the backstop. Today,                   technical criteria like bulb shape; and                that reality by imposing efficiency
                                                  incandescent reflector lamps are widely                 ‘‘[a]ny general service incandescent                   standards (ranging from 10.5 to 15 lm/
                                                  used for general illumination just as                   lamp’’ rated above 199 watts. DOE notes                W) on IRLs since 1995. Public Law 102–
                                                  GSILs are. If EPCA mandated that IRLs                   that paragraph (30)(C) did not define                  486, section 123(f), 106 Stat. 2824.
                                                  continue being exempt from GSLs, then                   ‘‘reflector lamp’’ to mean a lamp                         It bears mention also that EPCA first
                                                  they would present a convenient                         described in the terms just quoted;                    added ‘‘reflector lamps’’ among the 22
                                                  alternative product, subject to much less               rather, paragraph (30)(C) noted that such              exempted lamp types as a result of EISA
                                                  stringent standards than GSLs. The GSL                  lamps commonly are called reflector                    amendments in 2007. EISA 2007 section
                                                  standards (potentially the backstop or                  lamps. By contrast, paragraph (30)(F)                  321 also established the first statutory
                                                  standards developed by DOE) would                       does define the term IRL to mean ‘‘a                   standards for GSILs. Public Law 110–
                                                  save far less energy if consumers and                   lamp described in subparagraph (C)(ii).’’              140, section 321(a)(3), 121 Stat. 1577.
                                                  manufacturers can switch many lighting                  Finally, paragraph (30)(D) defines GSIL,               While those standards were expressed
                                                  applications to less-efficient IRLs. That               and that definition states that GSILs do               in terms of a maximum wattage for a
                                                  outcome would be especially odd in                      not include any of 22 lamp types, one                  given range of lumen output, the
                                                  light of the authority that Congress                    of which is ‘‘reflector lamps.’’                       minimum efficiency needed to satisfy
                                                  provided DOE to assess whether to                          From this set of definitions, DOE                   those standards would be from 17 to 36
                                                  maintain or discontinue exemptions—a                    infers that ‘‘reflector lamp’’ does not                lm/W in the wattage range that includes
                                                  decision that, as DOE has explained,                    necessarily mean the same thing as                     IRLs.4 If the ‘‘reflector lamp’’ exemption
                                                  DOE believes was meant to focus on                      ‘‘incandescent reflector lamp.’’ Had                   was necessarily coextensive with IRLs,
                                                  which exempted lamps would be                           Congress wanted to define ‘‘reflector                  then the statute imposing the new
                                                  substitutes for regulated GSLs. DOE’s                   lamp,’’ it could easily have done so.                  standard simultaneously created a major
                                                  interpretation, under which paragraph                   That it did not suggests that Congress                 loophole by leaving IRLs—a category of
                                                  (i)(6) authorizes it to make the same sort              left the term, as used in the list of 22               lamp that already in 2007 was widely
                                                  of determination with respect to IRLs, is               lamp types, for DOE to elaborate.                      used for general illumination—subject
                                                  a more consistent and coherent                          Furthermore, if ‘‘reflector lamp’’ was                 only to the much older and lower
                                                  interpretation of the EISA amendments.                  meant to be necessarily coextensive                    efficiency standard effective at the time,
                                                     Of course, if the statute                            with subparagraph (C)(ii), the definition              which was 10.5 to 15 lm/W. That would
                                                  unambiguously foreclosed that                           of GSIL contains a curious circular                    be an odd outcome. Had Congress
                                                  interpretation or indicated that DOE                    redundancy. The statute defines                        intended to undermine its own standard
                                                  must not discontinue the IRL                            ‘‘incandescent lamp’’ to include the                   in that way, it could have done so
                                                  exemption, that command would trump                     lamps described in subparagraph (C)(ii);               explicitly by defining ‘‘reflector lamp’’
                                                  the policy considerations just discussed.               it defines ‘‘general service incandescent              to have the same scope (with respect to
                                                  But with respect to IRLs, the statute                   lamp’’ to be an incandescent lamp or                   incandescent lamps) as IRL. Instead, in
                                                  does permit DOE’s interpretation that                   halogen lamp with certain additional                   a statute which tweaked subparagraph
                                                  the IRL exemption is one that DOE can                   attributes; and then it says general                   (C)(ii) and added definitions for various
                                                  discontinue in a subsection                             service incandescent lamps do not                      specific lamp types, it left ‘‘reflector
                                                  (i)(6)(A)(i)(II) rulemaking. As explained               include ‘‘reflector lamp[s].’’ If that usage           lamp’’ undefined.
                                                  in the paragraphs that follow, through a                of ‘‘reflector lamp’’ necessarily has the                 In light of these observations, DOE
                                                  careful exploration of sections 6291 and                same scope as subparagraph (C)(ii), the                understands the definition of ‘‘general
                                                  6295, DOE believes the ‘‘reflector lamp’’               statute included them in GSILs only to                 service lamp’’ as follows (as concerns
                                                  exemption in section 6291(30)(D)(ii) is                 exclude them.                                          reflector lamps and IRLs): Until DOE
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                                                  not necessarily as broad as the IRL                        The context further suggests that                   discontinued the relevant exemptions,
                                                  exemption. DOE believes ‘‘reflector                     ‘‘reflector lamp,’’ as used in the list of             no ‘‘reflector lamps,’’ as the term is used
                                                  lamp’’ was meant to encompass a                         22 exempted lamp types, was meant to                   in section 6291(30)(D)(ii), were GSILs or
                                                  different range of lamps, with a scope                  exempt a scope different from, and in
                                                  left to DOE to interpret, while IRL is a                some respects narrower than, paragraph                   4 The EISA section 321 standards imposed a

                                                  defined term with a broad scope. Thus,                  (C)(ii). Each of the other exemptions                  maximum wattage of 29 watts for lamps between
                                                                                                                                                                 310 and 749 lumens of output. Meanwhile IRLs,
                                                  the ‘‘reflector lamp’’ and IRL                          describes a narrow category of lamp,                   according to section 6291(30)(C)(ii), include only
                                                  exemptions are somewhat different in                    such as ‘‘mine service lamp,’’ ‘‘traffic               lamps above 40 watts.



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                                                  7326              Federal Register / Vol. 82, No. 12 / Thursday, January 19, 2017 / Rules and Regulations

                                                  GSLs. Depending on how DOE                                a definition for GSL in the October 2016               6295(i)(6)(A)(i)(II) for DOE to consider,
                                                  interprets the ‘‘reflector lamp’’                         NOPDDA. A general service lamp, as                     in part, ‘‘exempted lamp sales’’
                                                  exemption, some IRLs may be GSILs                         proposed, would be a lamp that has an                  collected by DOE as supporting the
                                                  (due to not falling in the possibly                       ANSI base, operates at any voltage, has                requirement for increased lamp sales in
                                                  narrower ‘‘reflector lamp’’ exemption).5                  an initial lumen output of greater than                order to discontinue an exemption.
                                                  However, even those that are GSILs are                    or equal to 310 lumens (or 232 lumens                  (NEMA, No. 93 at 5; LEDVANCE, No. 90
                                                  not GSLs, because the definition of                       for modified spectrum general service                  at p. 26) NEMA and LEDVANCE added
                                                  GSLs says they include GSILs but do not                   incandescent lamps) and less than or                   that a determination of lamp switching
                                                  include IRLs.                                             equal to 4,000 lumens, is not a light                  must be driven by data showing
                                                     In principle, then, DOE has had two                    fixture, is not an LED downlight retrofit              increased sales. (NEMA No. 93 at p. 13;
                                                  tasks regarding exemptions relevant for                   kit, and is used in general lighting                   LEDVANCE, No. 90 at pp. 25–27)
                                                  reflector lamps. With respect to                          applications. General service lamps                    NEMA and LEDVANCE concluded that
                                                  ‘‘reflector lamps,’’ it was to assess                     include, but are not limited to, general               the October 2016 NOPDDA did not
                                                  whether that one of the relatively                        service incandescent lamps, compact                    provide data indicating that lamp
                                                  narrow 22 listed lamp types—the scope                     fluorescent lamps, general service light-              switching was occurring, and rather
                                                  of which the statute does not make                        emitting diode lamps, and general                      data from the Energy Information
                                                  clear—has uses in general illumination,                   service organic light-emitting diode                   Administration 6 shows that sales are
                                                  and whether sales data and other                          lamps, but do not include general                      decreasing. NEMA and LEDVANCE
                                                  evidence indicate that such lamps are                     service fluorescent lamps; linear                      commented that if DOE was petitioned
                                                  ready substitutes for lamps that are                      fluorescent lamps of lengths from one to               under section 325(i)(3)(E), it would not
                                                  already included as GSLs. DOE has                         eight feet; circline fluorescent lamps;                grant the petition or decide to regulate
                                                  finalized this analysis in a separate final               fluorescent lamps specifically designed                these specialty lamps and therefore any
                                                  rule, the GSL definition final rule. By                   for cold temperature applications;                     other action taken under section
                                                  contrast, as noted previously, the                        impact-resistant fluorescent lamps;                    325(i)(6)(A) is illogical. (NEMA, No. 93
                                                  category of IRLs includes lamps that, as                  reflectorized or aperture fluorescent                  at p. 13; LEDVANCE, No. 90 at pp. 25–
                                                  of 2007, it was already evident were                      lamps; fluorescent lamps designed for                  27)
                                                  being used in general lighting                            use in reprographic equipment;                            As DOE has explained in the GSL
                                                  applications. However, DOE must still                     fluorescent lamps primarily designed to                definition final rule that is being
                                                  analyze whether, in light of sales data                   produce radiation in the ultra-violet                  published in the same issue of the
                                                  and other evidence, IRLs are an                           region of the spectrum; fluorescent                    Federal Register, the petition process
                                                  important enough substitute for lamps                     lamps with a color rendering index of                  from EISA section 321(a)(3) is distinct
                                                  already included as GSLs to warrant                       87 or greater; R20 short lamps; specialty              from the decision that subparagraph
                                                  discontinuing their exemption. This                       MR lamps; appliance lamps; black light                 (6)(A)(i)(II) calls for about maintaining
                                                  analysis is the subject of this final rule                lamps; bug lamps; colored lamps;                       or discontinuing exemptions. The
                                                  and discussed in more detail in the                       infrared lamps; left-hand thread lamps,                statute does not require DOE to consider
                                                  section that follows.                                     marine lamps, marine signal service                    the same factors in the clause (i)(II)
                                                  III. Definition of General Service Lamp                   lamps; mine service lamps; plant light                 decision that it would in reviewing a
                                                                                                            lamps; sign service lamps; silver bowl                 petition. In particular, it does not
                                                  A. Incandescent Reflector Lamps
                                                                                                            lamps, showcase lamps, and traffic                     restrict DOE to discontinuing an
                                                     The term general service lamp (GSL)                    signal lamps.                                          exemption only if sales of lamps within
                                                  includes general service incandescent                        In support of its analysis of whether               that exemption are increasing. While
                                                  lamps (GSILs), compact fluorescent                        to maintain or discontinue an                          increases or decreases in lamp sales are
                                                  lamps (CFLs), general service light-                      exemption, in the October 2016                         an important consideration, DOE
                                                  emitting diode (LED) and organic light-                   NOPDDA DOE presented estimated                         believes it can in some circumstances be
                                                  emitting diode (OLED) lamps, and any                      sales data. NEMA stated that sales for                 appropriate to discontinue an
                                                  other lamps that DOE determines are                       most of the exempted lamps are                         exemption even at a time when sales of
                                                  used to satisfy lighting applications                     declining and that it was the intent of                those lamps are decreasing. As
                                                  traditionally served by GSILs; however,                   Congress to require that DOE find sales                described by GE, LEDVANCE, and
                                                  GSLs do not include any lighting                          increasing as a prerequisite to                        Westinghouse, incandescent sales can
                                                  application or bulb shape that under 42                   discontinue an exemption. (NEMA, No.                   be decreasing because consumers are
                                                  U.S.C. 6291(30)(D)(ii) is not included in                 83 at p. 34; NEMA No. 93 at p. 12)                     purchasing LED versions of the same
                                                  the ‘‘general service incandescent lamp’’                                                                        lamp. Thus, the lamp itself is not
                                                                                                            NEMA pointed to the petition process
                                                  definition, or any general service                                                                               unpopular but rather is undergoing a
                                                                                                            established under section 321 of EISA
                                                  fluorescent lamp or incandescent                                                                                 shift in technology. For example, GE
                                                                                                            2007 as indicative of that intent.
                                                  reflector lamp. (42 U.S.C. 6291(30)(BB))                                                                         stated that sales of IRLs have been
                                                                                                            (NEMA, No. 93 at pp. 12–13) NEMA and
                                                  The October 2016 NOPDDA revisited                                                                                declining significantly over the last five
                                                                                                            LEDVANCE noted that Congress
                                                  the proposed definition of GSL from the                                                                          years but that was in large part caused
                                                                                                            required a demonstration of increased
                                                  March 2016 GSL ECS NOPR, including                                                                               by the increasing sales of LED reflector
                                                                                                            sales as a prerequisite for DOE to grant
                                                  the exemptions contained in the GSIL                                                                             lamps. (GE, No. 83 at pp. 38, 84–85;
                                                                                                            a petition submitted by the public to
                                                  and GSL definitions, and proposed a                                                                              LEDVANCE, No. 90 at p. 35;
                                                                                                            reconsider an exemption, and that DOE
                                                  revised definition of ‘‘general service
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                                                                                                            must be guided by the same                             Westinghouse, No. 83 at pp. 128–129)
                                                  lamp’’ in § 430.2 to capture various                                                                             Consequently, it can in some
                                                                                                            consideration when determining
                                                  criteria and delineate the lamp types                                                                            circumstances be appropriate to
                                                                                                            whether an exemption should be
                                                  considered to be GSLs. 81 FR 71806–
                                                                                                            maintained under 42 U.S.C.
                                                  71807. More specifically, DOE proposed                                                                             6 See Energy Information Administration, Sales of
                                                                                                            6295(i)(6)(A)(i)(II). (NEMA, No. 83 at pp.
                                                                                                                                                                   specialty incandescent bulbs decline despite
                                                    5 DOE has not thus far articulated an                   33–34; LEDVANCE, No. 90 at pp. 25–27)                  exemption from efficiency standards (April 2, 2013)
                                                  interpretation of the ‘‘reflector lamp’’ exemption        NEMA and LEDVANCE cited the                            available at: http://www.eia.gov/todayinenergy/
                                                  that would resolve the status of IRLs.                    requirement under 42 U.S.C.                            detail.php?id=10631.



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                                                                          Federal Register / Vol. 82, No. 12 / Thursday, January 19, 2017 / Rules and Regulations                                                                            7327

                                                  consider the overall volume of sales in                                    screw base, that produces between 310                              important considerations that DOE
                                                  assessing an exemption, even if the                                        and 2,600 lumens, and can operate on                               appropriately takes into account. As
                                                  volume is currently decreasing.                                            a voltage between 110 and 130 V, and                               noted by commenters, the function
                                                     DOE also considered the potential of                                    that in order for a lamp to be considered                          traditionally provided by GSILs can, in
                                                  lamp switching that may occur in                                           as having the potential for ‘‘lamp                                 some instances, be provided by more
                                                  response to any GSL standard. If an                                        switching’’ the lamp must maintain                                 than one type of fixture. In order to
                                                  exempted lamp has the same utility to                                      these same attributes. (GE, No. 88 at pp.                          minimize the potential for loopholes,
                                                  lamp users as a lamp subject to a                                          2–3) Westinghouse stated that                                      DOE has considered the potential for a
                                                  standard as a GSL, DOE considered the                                      consideration of lamp switching should                             consumer to change the type of lamp
                                                  potential increase in the use of the                                       be limited to whether a consumer could                             used in an existing fixture, and the
                                                  exempted lamp in response to a                                             use an exempted lamp to replace a lamp                             potential change in the type of fixture
                                                  standard. As noted by commenters,                                          that the consumer is currently using,                              used to provide the same function as
                                                  prior to the effective date of any new                                     and that consideration of how the use of                           traditionally provided by a fixture using
                                                  standard the sales trends of exempted                                      fixtures may change in response to                                 a GSIL.
                                                  lamps do not necessarily capture the                                       standards (e.g., changes in fixtures used                             CA IOUs stated that evaluations of the
                                                  potential for lamp switching. As such,                                     in new home construction) would be                                 exemptions should also be based on
                                                  current lamp sale trends are only part of                                  inconsistent with EPCA. (Westinghouse,                             whether the exempted lamp type can be
                                                  the consideration. DOE is permitted to                                     No. 83 at pp. 39–40)                                               made as an LED lamp. (That
                                                  account for future changes in consumer                                        Other commenters stated that                                    consideration would be relevant
                                                  behavior so as to avoid the creation of                                    consideration of lamp switching should                             because it is almost certain that
                                                  loopholes.                                                                 include the ability of an exempted lamp                            incandescent lamps will not be able to
                                                     DOE received several comments                                           to provide similar function as a                                   satisfy the 45 lm/W backstop standard if
                                                  regarding whether a lamp could serve as                                    traditional GSIL, regardless of the                                it comes into force.) (CA IOUs, No. 83
                                                  a replacement for a GSL and therefore                                      fixture traditionally used with GSILs.                             at p. 107) DOE is aware that LED
                                                  present a risk of lamp switching.                                          ASAP stated that the presence of                                   replacements may exist for some of the
                                                  California Investor Owned Utilities (CA                                    directional lamps in residences in the                             exempt lamp categories. DOE did
                                                  IOUs) stated that evaluations of the                                       U.S. has grown significantly over time                             consider the existence or absence of
                                                  exemptions should be based on whether                                      due to changes in new construction.                                LED replacements for IRLs, though not
                                                  the exempted lamp type could serve as                                      (ASAP, No. 83 at pp. 38–39) ASAP                                   as the only reason to discontinue or
                                                  a replacement for a general service                                        stated that lighting in homes that                                 maintain an exemption.
                                                  lamp. (CA IOUs, No. 83 at p. 107)                                          traditionally was provided by A shape                                 NEMA provided updated sales
                                                  Westinghouse stated that there are low-                                    lamps in floor and table fixtures is being                         information for this final rule. NEMA
                                                  cost products on the market that                                           provided in newer construction through                             provided sales data from four members,
                                                  consumers do not use as replacements                                       reflector lamps in recessed can lighting.                          which represents a significant portion of
                                                  for GSLs because they are not the                                          (ASAP, No. 83 at pp. 58–59)                                        the market, for each of the exemptions
                                                  appropriate shape or design. Avalos                                           As noted previously, DOE                                        that DOE proposed to discontinue.
                                                  noted that a couple of exempted lamp                                       understands the purpose of the decision                            NEMA stated that although not all
                                                  types could be considered GSILs but are                                    that EPCA calls for on maintaining or                              members are included, it conferred with
                                                  not due to their lamp structure.                                           discontinuing exemptions to be to                                  other members that did not provide data
                                                  (Westinghouse, No. 83 at p. 30; Avalos,                                    ensure that consumers and                                          to confirm the general trend of
                                                  No. 80 at p. 1)                                                            manufacturers do not switch to readily                             decreasing sales and shipments of
                                                     GE and LEDVANCE stated that DOE                                         available substitutes once standards for                           specialty incandescent lamps since
                                                  should consider the traditional omni-                                      GSLs come into force. In making this                               standards went into effect for GSILs
                                                  directional incandescent lamp when                                         assessment, the potential for an                                   between 2010 and 2012. (NEMA, No. 93
                                                  considering the potential for lamp                                         exempted lamp to be placed in a fixture                            at pp. 9–10) DOE has updated Table III.1
                                                  switching. (GE, No. 83 at pp. 37–38;                                       that traditionally used a GSIL, and the                            to reflect this new data.
                                                  LEDVANCE No. 83 at p. 59) GE stated                                        potential change in the fixtures used to                              Table III.1 summarizes the IRL
                                                  that the definition of GSIL (a type of                                     provide lighting in an application that                            exemption discontinued in this final
                                                  GSL) describes a lamp with a medium                                        was traditionally served by a GSIL are                             rule.

                                                                                                                      TABLE III.1—DETERMINATION REGARDING IRLS
                                                                                                                                                 [Units annual sales]

                                                                                                                                                                                                                          DOE’s determination on
                                                                        GSL exempt lamp category                                                                   Estimated sales data                                     exemption status

                                                  IRLs ..................................................................................   Approximately 270 million ................................................   Discontinue exemption.



                                                     DOE believes that discontinuing the                                     being published in the same issue of the                           IRLs are capable of providing overall
                                                  exemption for IRLs could lead to                                           Federal Register.                                                  illumination and could be used as a
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                                                  significant energy savings. As shown in                                      In the October 2016 NOPDDA, DOE                                  replacement for GSILs. Therefore, DOE
                                                  Table III.1, IRLs have annual sales that                                   assessed data available for IRLs and                               found there was also high potential for
                                                  are several times the sales of the largest-                                preliminarily concluded that these                                 lamp switching and subsequently
                                                  volume lamp category among those                                           lamps have high annual sales.                                      creating a loophole. For these reasons,
                                                  exemptions that DOE has already                                            Specifically, DOE estimated that the                               DOE proposed to discontinue the
                                                  discontinued. See the GSL definition                                       sales of IRLs are approximately 270                                exemption for IRLs in the October 2016
                                                  final rule for more information that is                                    million units per year. DOE believed                               NOPDDA. Id. at 71800.


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                                                  7328             Federal Register / Vol. 82, No. 12 / Thursday, January 19, 2017 / Rules and Regulations

                                                     As noted at the outset of this                       consumers. ASAP added that the fact                    sector for general purposes are not
                                                  document, this final rule amending the                  IRLs are regulated under their own                     suitable replacements. However,
                                                  definition of GSL does not establish                    standards does not preclude them from                  Westinghouse asserted that to ensure
                                                  standards for GSLs. Inclusion of IRLs in                inclusion as GSLs. (ASAP, No. 83 at pp.                that efficiencies are achievable for this
                                                  the definition of GSL does not amend                    38–39; ASAP, No. 94 at pp. 1–2) NRDC                   shape and due consideration is given to
                                                  the standards currently applicable to                   and Utility Coalition supported DOE’s                  economic feasibility, IRLs should be
                                                  IRLs. EPCA directs DOE to consider                      proposal to include IRLs as GSLs. NRDC                 considered in their own rulemaking.
                                                  whether to amend the standards for                      stated this was indicative of a shift to a             (Westinghouse, No. 83 at pp. 47–48;
                                                  GSLs, and whether the definition of GSL                 technology-based approach which has                    Westinghouse, No. 83 at pp. 55–56)
                                                  should be amended. (42 U.S.C.                           been discussed at DOE for many years.                     In support of their assertion that
                                                  6295(i)(6)(A)(i)(II)) In order to evaluate              NRDC and Utility Coalition added that                  reflector lamps should be regulated
                                                  any potential standards or amendments                   including IRLs as GSLs will deliver                    separately, several commenters
                                                  to standards for GSL, DOE must first                    significant energy and consumer savings                disagreed with DOE’s determination
                                                  determine the scope of the GSL                          when considering DOE’s estimate of 270                 that reflector lamps posed a risk of lamp
                                                  definition. As explained previously,                    million IRLs sold per year. (NRDC, No.                 switching. GE stated that while a large
                                                  DOE has considered lamp sales and the                   83 at p. 11; NRDC, No. 85 at p. 2; Utility             number of IRLs are still in use, sales
                                                  potential for lamp switching in an effort               Coalition, No. 95 at pp. 1–2) Soraa also               have declined significantly over the past
                                                  to ensure all lamps that can be used in                 supported DOE’s proposal to include                    5 years, in large part, due to a shift to
                                                  general lighting applications are                       IRLs as GSLs noting that reflector lamps               LED reflector lamps. Further GE stated
                                                  included.                                               are used or can be used to provide                     that reflector lamps would not fit in
                                                     Of course, DOE makes this decision                   overall illumination. (Soraa, No. 87 at p.             most fixtures in which GSILs are used.
                                                  cognizant of the fact that IRLs are                     2)                                                     Even if a reflector lamp could fit in such
                                                  already subject to minimum efficiency                      CEC supported DOE’s proposal to                     a fixture it could not deliver the
                                                  standards. However, DOE does not                        discontinue the exemption for reflector                omnidirectional light output provided
                                                  believe section 6295(i)(6) reveals an                   lamps due in part to their high lamp                   by the GSIL. Therefore, GE asserted
                                                  intention that, because of those                        sales and potential for lamp switching.                reflector lamps would not be suitable
                                                  standards, DOE should maintain the IRL                  CEC agreed with DOE’s estimate of the                  replacements for the standard GSILs and
                                                  exemption from being regulated as                       annual sales of IRLs of approximately                  needed to be evaluated in their own
                                                  GSLs. The IRL standards in the statute                  270 million units, noting that                         rulemaking. (GE, No. 83 at pp. 37–38)
                                                  dating from 1992—which were the                         California’s existing stock of medium                  LEDVANCE agreed and stated that the
                                                  extant standards when EISA added                        screw base incandescent and halogen                    consumer will not obtain effective light
                                                  subsection (i)(6)—are substantially less                reflector lamps is estimated to be more                by putting a reflector lamp such as a
                                                  stringent than the standards that EISA                  than 60 million units with annual                      PAR30 in a fixture that does not have
                                                  section 321 specified for GSILs and even                shipments in 2016 estimated at nearly                  some type of directional functionality.
                                                  further less stringent than the GSL                     35 million units. CEC added that                       (LEDVANCE, No. 83 at pp. 59–61)
                                                  backstop. Given that some IRLs have                     although LED reflector lamps are                          CA IOUs stated that while it may not
                                                  long been used for general illumination,                gaining market share from IRLs, CEC’s                  be always be optimal, reflector lamps
                                                  as discussed previously, it would be                    recent general service LED lamps                       can be used in general service
                                                  odd for Congress to have left open,                     rulemaking determined that                             applications. (CA IOUs, No. 83 at p. 66)
                                                  unalterably, such a large loophole to its               incandescent technology would                          NRDC stated that reflector lamps can be
                                                  own standards. Rather, DOE believes                     represent the vast majority of medium                  used in applications other than down
                                                  that in enacting EISA 2007, Congress                    screw base directional lamp shipments                  lights. NRDC pointed out that reflector
                                                  chose not to update the statutory                       in 2029 if the IRL exemption were                      lamps come in various shapes and there
                                                  standards for IRLs because instead it                   maintained. (CEC, No. 91 at pp. 4–5)                   was nothing to prevent a manufacturer
                                                  was directing DOE to decide whether to                     In contrast, GE recommended that                    from altering the reflector lamp design
                                                  regulate those lamps as GSLs. Thus, the                 reflector lamps (in GE’s comment,                      so more light goes in different
                                                  fact that IRLs are already subject to IRL-              primarily IRLs) continue to be regulated               directions. (NRDC, No. 83 at p. 45) CA
                                                  specific standards does not preclude                    separately and that it is not appropriate              IOUs further noted that as the cheaper
                                                  DOE’s decision in this final rule. It                   to evaluate reflector type lamps as GSLs               product, the use of IRLs in general
                                                  simply means that, consistent with                      because these products cannot                          service applications may increase due to
                                                  EPCA, DOE is to perform a particular                    successfully be used to satisfy lighting               new market pressures in 2020. (CA
                                                  assessment for IRLs bearing in mind the                 applications traditionally served by                   IOUs, No. 83 at p. 66) CEC agreed that
                                                  existing standards. DOE has carried out                 GSILs. (GE, No. 88 at p. 2) GE added                   medium screw base reflector lamps
                                                  that assessment.                                        that each reflector lamp has unique                    represent a lamp switching risk adding
                                                     DOE received several comments in                     optical properties that must be                        that lamp shape does not determine
                                                  support of its decision to expand the                   considered when applying a minimum                     whether a lamp can provide general
                                                  scope of the GSL definition to include                  efficacy requirement and noted that                    service lighting and general service
                                                  IRLs. ASAP commented that they                          these products cannot meet the same                    lamps are not limited to omnidirectional
                                                  strongly supported covering IRLs in the                 efficiency limits designed for general                 lighting. (CEC, No. 91 at pp. 4–5) Utility
                                                  scope of this rulemaking noting that                    service A shape lamps. (GE, No. 88 at p.               Coalition also stated that LED lamps are
                                                  hundreds of millions of IRLs are sold                   2) Westinghouse stated that while there                suitable replacements for GSLs in many
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                                                  each year. ASAP stated that IRLs of all                 is energy savings potential in regulating              applications because they have the same
                                                  technology types are a growing presence                 IRLs, it should be done in an IRL                      base types and therefore represent a
                                                  in homes. ASAP noted that there are                     standards rulemaking rather than in a                  significant risk of undercutting the
                                                  more efficient alternatives widely                      GSL standards rulemaking.                              energy savings of the 45 lm/W standard
                                                  available at affordable prices, and                     (Westinghouse, No. 83 at pp. 21–22)                    if they are not included. (Utility
                                                  including IRLs as GSLs is a step towards                Westinghouse stated it is not suggesting               Coalition, No. 95 at pp. 1–2)
                                                  technological neutrality which will                     that LED versions for R20, BR30, and                      Additionally, Utility Coalition
                                                  benefit the environment, industry and                   R40 shapes used in the residential                     commented that there are LED versions


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                                                                   Federal Register / Vol. 82, No. 12 / Thursday, January 19, 2017 / Rules and Regulations                                          7329

                                                  of reflector lamps available in a wide                  a lamp that provides general                           this rule defines what is and is not a
                                                  variety of shapes and sizes, lumen                      illumination. The reflector lamps now                  general service lamp. As such, DOE is
                                                  outputs, CCT, beam angles, and base                     being widely used in recessed can                      addressing a fundamentally different
                                                  types and that decreasing prices and                    lighting are an important example. In                  question. The purpose of this
                                                  increasing efficiency make these                        such an application (with the lamp                     rulemaking is not to establish energy
                                                  products cost-effective to consumers.                   mounted in the ceiling), the reflector                 conservation standards, but to
                                                  NRDC also noted that there are several                  redirects light that was initially emitted             determine whether certain lamps
                                                  cost-effective, dimmable LED lamps                      upward. But the resulting light                        because of functional and design
                                                  available that serve as excellent                       distribution spreads broadly over the                  characteristics should be included in
                                                  replacements for IRLs in a variety of                   area downward from the lamp, so that                   the definition of general service lamp.
                                                  form factors, light outputs, and colors                 a consumer can readily use the lamp to                    DOE has determined that lamps of
                                                  and urged DOE to move forward with its                  provide general illumination for a room.               different shapes, even those that are not
                                                  proposal to remove the exemption for                    In light of these observations, DOE                    omnidirectional, can provide overall
                                                  these lamps. (NRDC, No. 83 at pp. 45–                   concludes that ‘‘omnidirectional                       illumination. Therefore, even though
                                                  46; Utility Coalition, No. 95 at pp. 1–2)               illumination’’ is not a prerequisite for               reflector lamps are designed to direct
                                                  CEC stated that as of June 15, 2015, 658                the traditional functions of incandescent              the light they provide, DOE has
                                                  models of medium screw base reflector                   lamps, as GE suggested. Rather, DOE                    concluded that they should be included
                                                  lamps complied with Tier 1 of the                       may consider a lamp a ready substitute                 as general service lamps. DOE’s
                                                  adopted California standard thus                        for GSLs—for purposes of assessing an                  previous conclusion regarding energy
                                                  indicating that cost effective, highly-                 exemption—if the lamp can provide the                  conservation standards for a subset of
                                                  efficacious LED alternatives exist. CEC                 same sort of general illumination that                 IRLs (less than half of the IRL market)
                                                  added that making incremental                           GSLs provide.                                          has no bearing on their ability to be a
                                                  improvements to existing LED reflector                     As presented in Table III.1, DOE                    general service lamp, assuming they
                                                  lamps was extremely cost-effective and                  estimates that the sales of incandescent               meet the other criteria in the adopted
                                                  technically feasible. (CEC, No. 91 at pp.               reflector lamps are approximately 270                  definition.
                                                  4–5) Soraa also stated that LED                         million units per year. 81 FR 71794,                      Further, DOE notes that the
                                                  replacements that provide a wide                        71800. DOE notes that incandescent                     conclusion reached in the previous
                                                  variety of product features, such as color              reflector lamps have higher annual sales               rulemaking was based on an analysis of
                                                  rendering index (CRI), CCT, beam angle,                 than any of the 22 exempt lamp types,                  incandescent technology. The January
                                                  whiteness rendering, and low flicker,                   thus indicating that these lamps are                   2015 IRL rulemaking concluded that an
                                                  are available for the majority of existing              likely used in general lighting                        amended standard based on more
                                                  IRLs. Soraa noted that customers in                     applications. In addition, because IRLs                efficient incandescent technology would
                                                  quality-sensitive fields such as high-end               are capable of providing overall                       not be economically justified. An
                                                  retail and hospitality have transitioned                illumination and could be used as                      analysis conducted under the general
                                                  from halogen to LED technology. Soraa                   replacements for GSILs, there is also                  service lamps authority could well come
                                                  added while there are still some lamp                   high potential for lamp switching. For                 to a different conclusion because more
                                                  types that are difficult to replicate in                these reasons, DOE is discontinuing the                efficient replacements could use
                                                  LED technology, incremental progress in                 exemption from the GSL definition for                  incandescent, fluorescent, or LED
                                                  technology will likely make these                       IRLs.                                                  technology. Thus, the cost-benefit
                                                  products available by 2020.                                LEDVANCE noted that in January                      analysis would be different and the cost-
                                                  Additionally, Soraa stated that the limit               2015, DOE said it found new standards                  benefit analysis from the January 2015
                                                  of 45 lm/W can be met by currently-                     for IRLs not economically justified. 80                rulemaking is not applicable here.
                                                  existing products with higher-level                     FR 4042, 4043 (Jan. 26, 2015).                            DOE notes that incandescent reflector
                                                  features. (Soraa, No. 87 at p. 2)                       (LEDVANCE, No. 90 at pp. 6–7) NEMA                     lamps have high annual sales,
                                                     As discussed previously in this                      asserted that inclusion of IRLs in the                 indicating that they are likely used in
                                                  document, DOE did not limit its                         definition of GSL given DOE’s previous                 general lighting applications. Further, as
                                                  consideration of lamp switching to the                  determination that standards for IRLs                  noted by several commenters, IRLs that
                                                  ability to replace a lamp in a fixture                  would not be economically justified or                 are currently exempt from standards
                                                  currently used by a consumer that had                   technically feasible can only be                       have ballooned in sales and have gone
                                                  been using a traditional incandescent                   understood as an attempt by DOE to                     from representing a minority of the
                                                  lamp. As indicated by comments from                     eliminate the product from the market,                 market to a majority of the market.
                                                  ASAP previously in this document, the                   an outcome prohibited under EPCA.                      Thus, industry has shown that
                                                  presence of reflector lamps in                          (NEMA, No. 93 at p. 14)                                consumers of IRLs find various
                                                  residences in the U.S. has grown                           DOE acknowledges that a recent                      distributions of light acceptable in their
                                                  significantly over time due to changes in               rulemaking was completed for IRLs.                     applications because the ER- and BR-
                                                  new construction. (ASAP, No. 83 at pp.                  DOE completed a final rule in January                  shaped lamps that increased in sales
                                                  38–39) Lighting in homes that                           2015 that concluded that amended                       have broader distributions of light than
                                                  traditionally was provided by A shape                   energy conservation standards for IRLs                 the PAR-shaped lamps they replaced.
                                                  lamps in floor and table fixtures is being              (other than ER30, BR30, BR40, and ER40                    DOE also received comments
                                                  provided in newer construction through                  lamps of 50 W or less; BR30, BR40, and                 regarding the impacts on manufacturers
                                                  reflector lamps in recessed lighting.                   ER40 lamps of 65 W; and R20 lamps of                   of including IRLs in the definition of
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                                                  (ASAP, No. 83 at pp. 58–59)                             45 W or less) would not be                             GSL. NEMA noted that in response to
                                                     The basic design characteristic of an                economically justified. 80 FR 4042                     the March 2016 ECS NOPR, it had
                                                  ‘‘incandescent reflector lamp,’’ as EPCA                (January 26, 2015). DOE notes that there               commented that in 2020 manufacturers
                                                  defines the term, is that it directs the                are established test procedures for IRLs.              would have to supply the entire nation
                                                  light. But it is possible to direct the                 See, Appendix R to 49 CFR 430 subpart                  with general service LED lamps as
                                                  omnidirectional light from an                           B. While the recent IRL rulemaking                     incandescent lamps would not be
                                                  incandescent filament into a somewhat                   considered energy conservation                         available. NEMA had explained in its
                                                  more limited set of angles and still have               standards for a limited segment of IRLs,               comment that this would mean a 300


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                                                  7330             Federal Register / Vol. 82, No. 12 / Thursday, January 19, 2017 / Rules and Regulations

                                                  percent increase in the steady state                    the public apprised of its plans for any               1.5625 inches) as defined in ANSI
                                                  demand and require tripling capacity for                broad exercise of enforcement discretion               C79.1–2002;
                                                  only that year. NEMA stated that the                    with respect to the standard.                             • Sign service lamps;
                                                  proposed definitions in the October                                                                               • Silver bowl lamps;
                                                                                                          B. Summary and Regulatory Text
                                                  2016 NOPDDA increased the scope of                                                                                • Showcase lamps;
                                                                                                          Definition
                                                  GSLs to a wider range of specialty                                                                                • Specialty MR lamps;
                                                  products than what was proposed in the                     DOE is amending the definition of                      • T shape lamps that have a first
                                                  March 2016 GSL ECS NOPR. Hence the                      ‘‘general service lamp’’ in § 430.2 to                 number symbol less than or equal to 8
                                                  projected spike in demand in 2020                       include IRLs. Ageneral service lamp is                 (diameter less than or equal to 1 inch)
                                                  would now be even higher. Therefore,                    a lamp that has an ANSI base; is able to               as defined in ANSI C79.1–2002,
                                                  NEMA encouraged DOE to either not                       operate at a voltage of 12 volts or 24                 nominal overall length less than 12
                                                  impose regulations or postpone them for                 volts, at or between 100 to 130 volts, at              inches, and that are not compact
                                                  a few years on niche products. (NEMA,                   or between 220 to 240 volts, or of 277                 fluorescent lamps (as defined in this
                                                  No. 83 at pp. 157–158) LEDVANCE                         volts for integrated lamps (as defined in              section);
                                                  requested clarification on whether an                   this section), or is able to operate at any               • Traffic signal lamps.
                                                  employment impact analysis was                          voltage for non-integrated lamps (as
                                                  conducted for IRLs given that DOE’s                     defined in this section); has an initial               IV. Effective Date
                                                  proposal to remove the exemption for                    lumen output of greater than or equal to                  For the changes described in this final
                                                  IRLs could have an impact on domestic                   310 lumens (or 232 lumens for modified                 rule, DOE is adopting a January 1, 2020
                                                  manufacturing. (LEDVANCE, No. 83 at                     spectrum general service incandescent                  effective date.
                                                  pp. 59–61)                                              lamps) and less than or equal to 3,300
                                                     DOE acknowledges that                                                                                       V. Procedural Issues and Regulatory
                                                                                                          lumens; is not a light fixture; is not an
                                                  manufacturers may face a difficult                                                                             Review
                                                                                                          LED downlight retrofit kit; and is used
                                                  transition if required to comply with a                 in general lighting applications. General              A. Review Under Executive Orders
                                                  45 lm/W standard, particularly for IRLs.                service lamps include, but are not                     12866 and 13563
                                                  Regarding concerns that the application                 limited to, general service incandescent
                                                  of the backstop standard would                                                                                   This final rule neither implements nor
                                                                                                          lamps, compact fluorescent lamps,                      seeks to enforce any standard. Rather,
                                                  eliminate domestic manufacturing of                     general service light-emitting diode
                                                  IRLs, DOE determined that                                                                                      this final rule merely defines what
                                                                                                          lamps, and general service organic light-              constitutes a GSL. Lamps that are GSLs
                                                  manufacturers are already planning to                   emitting diode lamps. General service
                                                  close or move out of the country several                                                                       will become subject to either a standard
                                                                                                          lamps do not include:                                  developed by DOE or to a 45 lm/W
                                                  domestic production facilities related to                  • Appliance lamps;
                                                                                                                                                                 backstop standard, but this rule does not
                                                  the manufacturing of IRLs due to                           • Black light lamps;
                                                  reduced demand. In press releases                          • Bug lamps;                                        determine what standard will be
                                                  regarding these closures, manufacturers                    • Colored lamps;                                    applicable to lamps that are being newly
                                                  noted that the market is moving away                       • G shape lamps with a diameter of                  included as GSLs. Accordingly, this
                                                  from traditional technologies, such as                  5 inches or more as defined in ANSI                    action does not constitute a significant
                                                  IRLs and other incandescent lamps, and                  C79.1–2002;                                            regulatory action under Executive
                                                  transitioning to LED technology.7                          • General service fluorescent lamps;                Orders 12866 and 13563.
                                                     DOE is committed to working with                        • High intensity discharge lamps;                   B. Review Under the Regulatory
                                                  manufacturers to ensure a successful                       • Infrared lamps;                                   Flexibility Act
                                                  transition if the backstop standard goes                   • J, JC, JCD, JCS, JCV, JCX, JD, JS, and
                                                  into effect.8 DOE will continue to have                 JT shape lamps that do not have Edison                    The Regulatory Flexibility Act (5
                                                  an active dialogue with industry,                       screw bases;                                           U.S.C. 601 et seq.) requires that when an
                                                  including meetings and other                               • Lamps that have a wedge base or                   agency promulgates a final rule under 5
                                                  stakeholder outreach, throughout the                    prefocus base;                                         U.S.C. 553, after being required by that
                                                  period between publication of this rule                    • Left-hand thread lamps;                           section or any other law to publish a
                                                  and the compliance date of any                             • Marine lamps;                                     general NOPR, the agency shall prepare
                                                  backstop standard for general service                      • Marine signal service lamps;                      a final regulatory flexibility analysis
                                                  lamps, including IRLs. During this                         • Mine service lamps;                               (FRFA), unless the agency certifies that
                                                  period, DOE will keep stakeholders and                     • MR shape lamps that have a first                  the rule will not have a significant
                                                                                                          number symbol equal to 16 (diameter                    economic impact on a substantial
                                                     7 See press releases from OSI and GE regarding
                                                                                                          equal to 2 inches) as defined in ANSI                  number of small entities. As required by
                                                  domestic manufacturing closures available in the        C79.1–2002, operate at 12 volts, and                   Executive Order 13272, ‘‘Proper
                                                  docket at: https://www.regulations.gov/#!docket                                                                Consideration of Small Entities in
                                                  Detail;D=EERE-2013-BT-STD-0051.                         have a lumen output greater than or
                                                     8 In that vein, DOE also notes NEMA’s comment        equal to 800;                                          Agency Rulemaking,’’ 67 FR 53461
                                                  that because the backstop requires DOE to ‘‘prohibit       • Other fluorescent lamps;                          (August 16, 2002), DOE published
                                                  sales,’’ it could present a substantial practical          • Plant light lamps;                                procedures and policies on February 19,
                                                  difficulty regarding compliance. For most products,        • R20 short lamps;                                  2003, to ensure that the potential
                                                  NEMA states, after a standard comes into effect
                                                  distributors can continue to sell inventory still on       • Reflector lamps (as defined in this               impacts of its rules on small entities are
                                                  hand that complied with the previous standard. If,      section) that have a first number symbol               properly considered during the
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                                                  by contrast, distributors cannot sell old lamp          less than 16 (diameter less than 2                     rulemaking process. 68 FR 7990. DOE
                                                  inventory after January 1, 2020, that inventory will                                                           has made its procedures and policies
                                                  be stranded. Although it is premature for DOE to
                                                                                                          inches) as defined in ANSI C79.1–2002
                                                  explain in detail how the backstop would work if        and that do not have E26/E24, E26d,                    available on the Office of the General
                                                  it comes into force, DOE notes that under               E26/50x39, E26/53x39, E29/28, E29/                     Counsel’s Web site (http://energy.gov/
                                                  subsection (i)(2), ‘‘it shall not be unlawful for a     53x39, E39, E39d, EP39, or EX39 bases;                 gc/office-general-counsel).
                                                  manufacturer to sell a lamp which is in compliance
                                                  with the law at the time such lamp was
                                                                                                             • S shape or G shape lamps that have                   DOE reviewed the definition of GSL
                                                  manufactured.’’ DOE expects it would interpret and      a first number symbol less than or equal               amended in this final rule under the
                                                  apply the backstop with subsection (i)(2) in mind.      to 12.5 (diameter less than or equal to                provisions of the Regulatory Flexibility


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                                                                   Federal Register / Vol. 82, No. 12 / Thursday, January 19, 2017 / Rules and Regulations                                           7331

                                                  Act and the procedures and policies                     with standards, if required. The                       1021.410(b) and App. B, B(1)–(5).) The
                                                  published on February 19, 2003. DOE                     effective date allows reasonable time for              rule fits within this category of actions
                                                  certifies that this final rule does not                 manufacturers to transition, while                     because it is a rulemaking that changes
                                                  have a significant economic impact on                   reducing the number of redesigns                       the definition of a covered class of
                                                  a substantial number of small entities.                 needed, should manufacturers need to                   products for which there are existing
                                                  The factual basis for this certification is             comply with a 45 lm/W statutory                        energy conservation standards, and for
                                                  set forth in the following paragraphs.                  standard beginning on January 1, 2020.                 which none of the exceptions identified
                                                     For manufacturers of IRLs, the SBA                   For these reasons, DOE concludes and                   in CX B5.1(b) apply. Therefore, DOE has
                                                  has set a size threshold, which defines                 certifies that the new amended                         made a CX determination for this
                                                  those entities classified as ‘‘small                    definition of GSL, which includes IRLs,                rulemaking, and DOE does not need to
                                                  businesses’’ for the purposes of the                    does not have a significant economic                   prepare an Environmental Assessment
                                                  statute. DOE used the SBA’s small                       impact on a substantial number of small                or Environmental Impact Statement for
                                                  business size standards to determine                    entities, and the preparation of an FRFA               this rule. DOE’s CX determination for
                                                  whether any small entities would be                     is not warranted.                                      this rule is available at http://
                                                  subject to the requirements of the rule.                                                                       energy.gov/nepa/categorical-exclusion-
                                                  (See 13 CFR part 121.) The size                         C. Review Under the Paperwork
                                                                                                                                                                 cx-determinations-cx.
                                                  standards are listed by NAICS code and                  Reduction Act
                                                  industry description and are available at                  Manufacturers of GSLs must certify to               E. Review Under Executive Order 13132
                                                  http://www.sba.gov/sites/default/files/                 DOE that their products comply with                       Executive Order 13132, ‘‘Federalism,’’
                                                  files/Size_Standards_Table.pdf.                         any applicable energy conservation                     64 FR 43255 (August 10, 1999), imposes
                                                  Manufacturing of GSLs is classified                     standards. In certifying compliance,                   certain requirements on federal agencies
                                                  under NAICS 335110, ‘‘Electric Lamp                     manufacturers must test their products                 formulating and implementing policies
                                                  Bulb and Part Manufacturing.’’ The SBA                  according to DOE test procedures for                   or regulations that preempt state law or
                                                  sets a threshold of 1,250 employees or                  GSLs, including any amendments                         that have Federalism implications. The
                                                  less for an entity to be considered as a                adopted for those test procedures. DOE                 Executive Order requires agencies to
                                                  small business for this category.                       has established regulations for the                    examine the constitutional and statutory
                                                     To estimate the number of companies                  certification and recordkeeping                        authority supporting any action that
                                                  that could be small businesses that                     requirements for all covered consumer                  would limit the policymaking discretion
                                                  manufacture IRLs covered by this                        products and commercial equipment. 76                  of the states and to carefully assess the
                                                  rulemaking, DOE conducted a market                      FR 12422 (March 7, 2011). The                          necessity for such actions. The
                                                  survey using publicly available                         collection-of-information requirement                  Executive Order also requires agencies
                                                  information. DOE’s research involved                    for the certification and recordkeeping                to have an accountable process to
                                                  information provided by trade                           is subject to review and approval by                   ensure meaningful and timely input by
                                                  associations (e.g., NEMA 9) and                         OMB under the Paperwork Reduction                      state and local officials in the
                                                  information from DOE’s CCMS                             Act (PRA). This requirement has been                   development of regulatory policies that
                                                  Database,10 previous rulemakings,                       approved by OMB under OMB control                      have Federalism implications. On
                                                  individual company Web sites, SBA’s                     number 1910–1400. DOE requested                        March 14, 2000, DOE published a
                                                  database, and market research tools                     OMB approval of an extension of this                   statement of policy describing the
                                                  (e.g., Hoover’s reports 11). DOE used                   information collection for three years,                intergovernmental consultation process
                                                  information from these sources to create                specifically including the collection of               it will follow in the development of
                                                  a list of companies that potentially                    information adopted in the present                     such regulations. 65 FR 13735. DOE has
                                                  manufacture or sell IRLs and would be                   rulemaking, and estimated that the                     examined this rule and has determined
                                                  impacted by this rulemaking. DOE                        annual number of burden hours under                    that it would not have a substantial
                                                  screened out companies that do not                      this extension is 30 hours per company.                direct effect on the states, on the
                                                  offer products covered by this                          In response to DOE’s request, OMB                      relationship between the national
                                                  rulemaking, do not meet the definition                  approved DOE’s information collection                  government and the states, or on the
                                                  of a ‘‘small business,’’ or are completely              requirements covered under OMB                         distribution of power and
                                                  foreign owned and operated. DOE                         control number 1910–1400 through                       responsibilities among the various
                                                  determined that there are no small                      November 30, 2017. 80 FR 5099                          levels of government. EPCA governs and
                                                  businesses that maintain domestic                       (January 30, 2015).                                    prescribes federal preemption of state
                                                  production facilities for IRLs.                            Notwithstanding any other provision                 regulations as to energy conservation for
                                                     DOE notes that this final rule merely                of the law, no person is required to                   the products that are the subject of this
                                                  includes IRLs in the regulatory                         respond to, nor shall any person be                    final rule. States can petition DOE for
                                                  definition of GSLs. Manufacturers of                    subject to a penalty for failure to comply             exemption from such preemption to the
                                                  GSLs, including IRLs, are required to                   with, a collection of information subject              extent, and based on criteria, set forth in
                                                  use DOE’s test procedures to make                       to the requirements of the PRA, unless                 EPCA. (42 U.S.C. 6297) Therefore, no
                                                  representations and certify compliance                  that collection of information displays a              further action is required by Executive
                                                                                                          currently valid OMB control number.                    Order 13132.
                                                    9 National Electric Manufacturers Association ⎢

                                                  Member Products ⎢ Lighting Systems ⎢ Related            D. Review Under the National                           F. Review Under Executive Order 12988
                                                  Manufacturers, http://www.nema.org/Products/            Environmental Policy Act of 1969                         With respect to the review of existing
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                                                  Pages/Lighting-Systems.aspx (last accessed
                                                  November 21, 2016).
                                                                                                             Pursuant to the National                            regulations and the promulgation of
                                                    10 DOE’s Compliance Certification Database ⎢          Environmental Policy Act (NEPA) of                     new regulations, section 3(a) of
                                                  Lamps—Bare or Covered (No Reflector) Medium             1969, DOE has determined that the rule                 Executive Order 12988, ‘‘Civil Justice
                                                  Base Compact Fluorescent, http://                       fits within the category of actions                    Reform,’’ imposes on federal agencies
                                                  www.regulations.doe.gov/certification-data (last        included in Categorical Exclusion (CX)                 the general duty to adhere to the
                                                  accessed November 21, 2016).
                                                    11 Hoovers ⎢ Company Information ⎢ Industry           B5.1 and otherwise meets the                           following requirements: (1) Eliminate
                                                  Information ⎢ Lists, http://www.hoovers.com (last       requirements for application of a CX.                  drafting errors and ambiguity; (2) write
                                                  accessed November 21, 2016).                            (See 10 CFR part 1021, App. B, B5.1(b);                regulations to minimize litigation; (3)


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                                                  7332             Federal Register / Vol. 82, No. 12 / Thursday, January 19, 2017 / Rules and Regulations

                                                  provide a clear legal standard for                      statement is also available at http://                 by an agency that promulgates or is
                                                  affected conduct rather than a general                  energy.gov/sites/prod/files/gcprod/                    expected to lead to promulgation of a
                                                  standard; and (4) promote simplification                documents/umra_97.pdf.                                 final rule, and that: (1) Is a significant
                                                  and burden reduction. 61 FR 4729 (Feb.                    DOE examined this final rule                         regulatory action under Executive Order
                                                  7, 1996). Regarding the review required                 according to UMRA and its statement of                 12866, or any successor order; and (2)
                                                  by section 3(a), section 3(b) of Executive              policy and determined that the rule                    is likely to have a significant adverse
                                                  Order 12988 specifically requires that                  contains neither an intergovernmental                  effect on the supply, distribution, or use
                                                  Executive agencies make every                           mandate, nor a mandate that may result                 of energy, or (3) is designated by the
                                                  reasonable effort to ensure that the                    in the expenditure of $100 million or                  Administrator of OIRA as a significant
                                                  regulation: (1) Clearly specifies the                   more in any year, so these requirements                energy action. For any significant energy
                                                  preemptive effect, if any; (2) clearly                  do not apply.                                          action, the agency must give a detailed
                                                  specifies any effect on existing federal                                                                       statement of any adverse effects on
                                                                                                          H. Review Under the Treasury and
                                                  law or regulation; (3) provides a clear                                                                        energy supply, distribution, or use
                                                                                                          General Government Appropriations
                                                  legal standard for affected conduct                                                                            should the proposal be implemented,
                                                  while promoting simplification and                      Act, 1999
                                                                                                                                                                 and of reasonable alternatives to the
                                                  burden reduction; (4) specifies the                       Section 654 of the Treasury and                      action and their expected benefits on
                                                  retroactive effect, if any; (5) adequately              General Government Appropriations                      energy supply, distribution, and use.
                                                  defines key terms; and (6) addresses                    Act, 1999 (Pub. L. 105–277) requires                      This regulatory action to amend a
                                                  other important issues affecting clarity                federal agencies to issue a Family                     definition for GSL is not a significant
                                                  and general draftsmanship under any                     Policymaking Assessment for any rule                   regulatory action under Executive Order
                                                  guidelines issued by the Attorney                       that may affect family well-being. This                12866. Moreover, it would not have a
                                                  General. Section 3(c) of Executive Order                rule would not have any impact on the                  significant adverse effect on the supply,
                                                  12988 requires Executive agencies to                    autonomy or integrity of the family as                 distribution, or use of energy, nor has it
                                                  review regulations in light of applicable               an institution. Accordingly, DOE has                   been designated as a significant energy
                                                  standards in section 3(a) and section                   concluded that it is not necessary to                  action by the Administrator of OIRA.
                                                  3(b) to determine whether they are met                  prepare a Family Policymaking                          Therefore, it is not a significant energy
                                                  or it is unreasonable to meet one or                    Assessment.                                            action, and, accordingly, DOE has not
                                                  more of them. DOE has completed the                                                                            prepared a Statement of Energy Effects.
                                                                                                          I. Review Under Executive Order 12630
                                                  required review and determined that, to
                                                  the extent permitted by law, this final                    Pursuant to Executive Order 12630,                  L. Review Under Section 32 of the
                                                  rule meets the relevant standards of                    ‘‘Governmental Actions and Interference                Federal Energy Administration Act of
                                                  Executive Order 12988.                                  with Constitutionally Protected Property               1974
                                                                                                          Rights,’’ 53 FR 8859 (March 15, 1988),
                                                  G. Review Under the Unfunded                            DOE has determined that this rule                        Under section 301 of the Department
                                                  Mandates Reform Act of 1995                             would not result in any takings that                   of Energy Organization Act (Pub. L. 95–
                                                    Title II of the Unfunded Mandates                     might require compensation under the                   91; 42 U.S.C. 7101), DOE must comply
                                                  Reform Act of 1995 (UMRA) requires                      Fifth Amendment to the U.S.                            with section 32 of the Federal Energy
                                                  each federal agency to assess the effects               Constitution.                                          Administration Act of 1974, as amended
                                                  of federal regulatory actions on state,                                                                        by the Federal Energy Administration
                                                  local, and tribal governments and the                   J. Review Under the Treasury and                       Authorization Act of 1977. (15 U.S.C.
                                                  private sector. Public Law 104–4, sec.                  General Government Appropriations                      788; FEAA) Section 32 essentially
                                                  201 (codified at 2 U.S.C. 1531). For a                  Act, 2001                                              provides in relevant part that, where a
                                                  regulatory action likely to result in a                    Section 515 of the Treasury and                     rule authorizes or requires use of
                                                  rule that includes a Federal mandate                    General Government Appropriations                      commercial standards, the NOPR must
                                                  that may result in the expenditure by                   Act, 2001 (44 U.S.C. 3516 note) provides               inform the public of the use and
                                                  State, local, and Tribal governments, in                for federal agencies to review most                    background of such standards. In
                                                  the aggregate, or by the private sector of              disseminations of information to the                   addition, section 32(c) requires DOE to
                                                  $100 million or more in any one year                    public under information quality                       consult with the Attorney General and
                                                  (adjusted annually for inflation), section              guidelines established by each agency                  the Chairman of the Federal Trade
                                                  202 of UMRA requires a federal agency                   pursuant to general guidelines issued by               Commission (FTC) concerning the
                                                  to publish a written statement that                     OMB. OMB’s guidelines were published                   impact of the commercial or industry
                                                  estimates the resulting costs, benefits,                at 67 FR 8452 (Feb. 22, 2002), and                     standards on competition. DOE has not
                                                  and other effects on the national                       DOE’s guidelines were published at 67                  incorporated by reference any industry
                                                  economy. (2 U.S.C. 1532(a), (b)) The                    FR 62446 (Oct. 7, 2002). DOE has                       standards in this rulemaking that were
                                                  UMRA also requires a federal agency to                  reviewed this final rule under the OMB                 not already incorporated and therefore
                                                  develop an effective process to permit                  and DOE guidelines and has concluded                   there is no impact on competition.
                                                  timely input by elected officers of state,              that it is consistent with applicable                  M. Congressional Notification
                                                  local, and tribal governments on a                      policies in those guidelines.
                                                  proposed ‘‘significant intergovernmental                                                                         As required by 5 U.S.C. 801, DOE will
                                                  mandate,’’ and requires an agency plan                  K. Review Under Executive Order 13211                  report to Congress on the promulgation
                                                  for giving notice and opportunity for                     Executive Order 13211, ‘‘Actions                     of this rule prior to its effective date.
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                                                  timely input to potentially affected                    Concerning Regulations That                            The report will state that it has been
                                                  small governments before establishing                   Significantly Affect Energy Supply,                    determined that the rule is not a ‘‘major
                                                  any requirements that might                             Distribution, or Use,’’ 66 FR 28355 (May               rule’’ as defined by 5 U.S.C. 804(2).
                                                  significantly or uniquely affect them. On               22, 2001), requires federal agencies to
                                                                                                                                                                 VI. Approval of the Office of the
                                                  March 18, 1997, DOE published a                         prepare and submit to OIRA at OMB, a
                                                                                                                                                                 Secretary
                                                  statement of policy on its process for                  Statement of Energy Effects for any
                                                  intergovernmental consultation under                    significant energy action. A ‘‘significant               The Secretary of Energy has approved
                                                  UMRA. 62 FR 12820. DOE’s policy                         energy action’’ is defined as any action               publication of this final rule.


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                                                                   Federal Register / Vol. 82, No. 12 / Thursday, January 19, 2017 / Rules and Regulations                                                7333

                                                  List of Subjects in 10 CFR Part 430                       Issued in Washington, DC, on December                PART 430—ENERGY CONSERVATION
                                                                                                          29, 2016.                                              PROGRAM FOR CONSUMER
                                                    Administrative practice and                           David Nemtzow,                                         PRODUCTS
                                                  procedure, Confidential business
                                                                                                          Acting Deputy Assistant Secretary for Energy
                                                  information, Energy conservation,                       Efficiency, Energy Efficiency and Renewable            ■ 1. The authority citation for part 430
                                                  Household appliances, Imports,                          Energy.                                                continues to read as follows:
                                                  Incorporation by reference,                                                                                      Authority: 42 U.S.C. 6291–6309; 28 U.S.C.
                                                  Intergovernmental relations, Small                         For the reasons set forth in the                    2461 note.
                                                  businesses.                                             preamble, the final rule for part 430 of
                                                                                                          chapter II, subchapter D, of title 10 of               ■ 2. In § 430.2, the definition for general
                                                                                                          the Code of Federal Regulations                        service lamp is amended by removing
                                                                                                          effective beginning January 1, 2020, is                paragraph (27).
                                                                                                          amended as set forth below:                            [FR Doc. 2016–32012 Filed 1–18–17; 8:45 am]
                                                                                                                                                                 BILLING CODE 6450–01–P
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Document Created: 2018-02-01 15:15:28
Document Modified: 2018-02-01 15:15:28
CategoryRegulatory Information
CollectionFederal Register
sudoc ClassAE 2.7:
GS 4.107:
AE 2.106:
PublisherOffice of the Federal Register, National Archives and Records Administration
SectionRules and Regulations
ActionFinal rule.
DatesThe effective date of this rule is January 1, 2020.
ContactMs. Lucy deButts, U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy, Building Technologies Office, EE-2J, 1000 Independence Avenue SW., Washington, DC 20585-0121. Telephone: (202) 287-1604. Email: [email protected]
FR Citation82 FR 7322 
RIN Number1904-AD09
CFR AssociatedAdministrative Practice and Procedure; Confidential Business Information; Energy Conservation; Household Appliances; Imports; Incorporation by Reference; Intergovernmental Relations and Small Businesses

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