Proposed Rule2021-17346
Energy Conservation Program: Definitions for General Service Lamps
Primary source
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Published
August 19, 2021
Issuing agencies
Energy Department
Abstract
On January 19, 2017, the U.S. Department of Energy ("DOE") published two final rules adopting revised definitions of general service lamp ("GSL") and general service incandescent lamp ("GSIL"), and other supplemental definitions, to go into effect January 1, 2020. Prior to that effective date, on September 5, 2019, DOE withdrew the revised definitions of GSL, GSIL, and the other supplemental definitions. Upon further review and consideration, in this notice of proposed rulemaking ("NOPR"), DOE proposes to adopt the definitions of GSL and GSIL and the associated supplemental definitions set forth in the January 2017 final rules. This document also announces a public meeting to receive comment on these proposed definitions.
Full Text
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<title>Federal Register, Volume 86 Issue 158 (Thursday, August 19, 2021)</title>
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[Federal Register Volume 86, Number 158 (Thursday, August 19, 2021)]
[Proposed Rules]
[Pages 46611-46626]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2021-17346]
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DEPARTMENT OF ENERGY
10 CFR Part 430
[EERE-2021-BT-STD-0012]
RIN 1904-AF22
Energy Conservation Program: Definitions for General Service
Lamps
AGENCY: Office of Energy Efficiency and Renewable Energy, Department of
Energy.
ACTION: Notice of proposed rulemaking and announcement of public
meeting.
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SUMMARY: On January 19, 2017, the U.S. Department of Energy (``DOE'')
published two final rules adopting revised definitions of general
service lamp (``GSL'') and general service incandescent lamp
(``GSIL''), and other supplemental definitions, to go into effect
January 1, 2020. Prior to that effective date, on September 5, 2019,
DOE withdrew the revised definitions of GSL, GSIL, and the other
supplemental definitions. Upon further review and consideration, in
this notice of proposed rulemaking (``NOPR''), DOE proposes to adopt
the definitions of GSL and GSIL and the associated supplemental
definitions set forth in the January 2017 final rules. This document
also announces a public meeting to receive comment on these proposed
definitions.
DATES:
Meeting: DOE will hold a public meeting via webinar on Thursday,
September 30, 2021, from 10:00 a.m. to 4:00 p.m. See section V,
``Public Participation,'' for webinar registration information,
participant instructions and information about the capabilities
available to webinar participants.
Comments: DOE will accept comments, data, and information regarding
this NOPR no later than October 18, 2021.
ADDRESSES: Interested persons are encouraged to submit comments using
the Federal eRulemaking Portal at <a href="http://www.regulations.gov">www.regulations.gov</a>. Follow the
instructions for submitting comments. Alternatively, interested persons
may submit comments identified by docket number EERE-2021-BT-STD-0012,
and by email: To <a href="/cdn-cgi/l/email-protection#b587858784e6e1f185858487f2e6f9f1d0d3dcdbdcc1dcdadbc6f5d0d09bd1dad09bd2dac3"><span class="__cf_email__" data-cfemail="8cbebcbebddfd8c8bcbcbdbecbdfc0c8e9eae5e2e5f8e5e3e2ffcce9e9a2e8e3e9a2ebe3fa">[email protected]</span></a>. Include docket
number EERE-2021-BT-STD-0012 in the subject line of the message.
No telefacsimiles (``faxes'') will be accepted. For detailed
instructions on submitting comments and additional information on this
process, see section V of this document.
Although DOE has routinely accepted public comment submissions
through a
[[Page 46612]]
variety of mechanisms, including postal mail and hand delivery/courier,
the Department has found it necessary to make temporary modifications
to the comment submission process in light of the ongoing coronavirus
disease 2019 (``COVID-19'') pandemic. DOE is accepting only electronic
submissions at this time. If a commenter finds that this change poses
an undue hardship, please contact Appliance Standards Program staff at
(202) 586-1445 to discuss the need for alternative arrangements. Once
the COVID-19 pandemic health emergency is resolved, DOE anticipates
resuming all of its regular options for public comment submission,
including postal mail and hand delivery/courier.
Docket: The docket for this activity, which includes Federal
Register notices, comments, and other supporting documents/materials,
is available for review at <a href="http://www.regulations.gov">www.regulations.gov</a>. All documents in the
docket are listed in the <a href="http://www.regulations.gov">www.regulations.gov</a> index. However, not all
documents listed in the index may be publicly available, such as
information that is exempt from public disclosure.
The docket web page can be found at <a href="http://www.regulations.gov/#!docketDetail">www.regulations.gov/#!docketDetail</a>;D=EERE-2021-BT-STD-0012. The docket web page contains
instructions on how to access all documents, including public comments,
in the docket. See section V for information on how to submit comments
through <a href="http://www.regulations.gov">www.regulations.gov</a>.
FOR FURTHER INFORMATION CONTACT: Dr. Stephanie Johnson, U.S. Department
of Energy, Office of Energy Efficiency and Renewable Energy, Building
Technologies Office, EE-5B, 1000 Independence Avenue SW, Washington, DC
20585-0121. Telephone: (202) 287-1943. Email:
<a href="/cdn-cgi/l/email-protection#86c7f6f6eaefe7e8e5e3d5f2e7e8e2e7f4e2f5d7f3e3f5f2efe9e8f5c6e3e3a8e2e9e3a8e1e9f0"><span class="__cf_email__" data-cfemail="bafbcacad6d3dbd4d9dfe9cedbd4dedbc8dec9ebcfdfc9ced3d5d4c9fadfdf94ded5df94ddd5cc">[email protected]</span></a>.
Ms. Celia Sher, U.S. Department of Energy, Office of the General
Counsel, GC-33, 1000 Independence Avenue SW, Washington, DC 20585-0121.
Telephone: (202) 287-6122. Email: <a href="/cdn-cgi/l/email-protection#0142646d68602f526964734169702f656e642f666e77"><span class="__cf_email__" data-cfemail="5a193f36333b7409323f281a322b743e353f743d352c">[email protected]</span></a>.
For further information on how to submit a comment, review other
public comments and the docket, or participate in the public meeting,
contact the Appliance and Equipment Standards Program staff at (202)
287-1445 or by email: <a href="/cdn-cgi/l/email-protection#f7b687879b9e96999492a48396999396859384a6829284839e989984b79292d9939892d9909881"><span class="__cf_email__" data-cfemail="2e6f5e5e42474f404d4b7d5a4f404a4f5c4a5d7f5b4b5d5a4741405d6e4b4b004a414b00494158">[email protected]</span></a>.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Authority and Background
A. Authority
B. March 2016 Notice of Proposed Rulemaking and October 2016
Notice of Proposed Definition and Data Availability
C. January 2017 Final Rules
D. September 2019 Withdrawal Rule and Subsequent Review
II. Synopsis of the Proposed Rule
III. General Discussion
A. GSL and GSIL Definitions
B. Discontinuation of Exemptions
C. GSLs and GSILs
1. T-Shape, B, BA, CA, F, G16-1/2, G25, G30, S, and M-14 Lamps
2. Rough Service Lamps, Vibration Service Lamps, 3-Way
Incandescent Lamps, and Shatter-Resistant Lamps
D. Other GSLs
E. Incandescent Reflector Lamps
F. Supplemental Definitions
G. Proposed Effective Date
IV. Procedural Issues and Regulatory Review
A. Review Under Executive Orders 12866
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. Materials Incorporated by Reference
V. Public Participation
A. Attendance at the Webinar
B. Procedure for Submitting Prepared General Statements for
Distribution
C. Conduct of the Webinar
D. Submission of Comments
VI. Approval of the Office of the Secretary
I. Authority and Background
Amendments to the Energy Policy and Conservation Act (``EPCA'') in
the Energy Independence and Security Act of 2007, Public Law 110-140
(``EISA'') directed DOE to conduct a number of rulemakings regarding
coverage of lamps as GSLs and GSILs, and to evaluate energy
conservation standards for such lamps. 42 U.S.C. 6295(i)(6)(A)-(B).
Pursuant to this authority, DOE conducted a rulemaking to establish
revised regulatory definitions for GSLs and GSILs. See 82 FR 7276 (Jan.
19, 2017); 82 FR 7322 (Jan. 19, 2017). Subsequently, DOE conducted a
rulemaking in which it withdrew these revised definitions before they
took effect. 84 FR 46661 (Sept. 5, 2019). The following paragraphs
provide an overview of the authorities and final rules issued by DOE
relevant to the definitions for GSL, GSIL, and related terms, as
proposed in this NOPR.
A. Authority
EPCA, as amended,\1\ authorizes DOE to regulate the energy
efficiency of a number of consumer products and certain industrial
equipment. 42 U.S.C. 6291-6317. Title III, Part B \2\ of EPCA,
established the Energy Conservation Program for Consumer Products Other
Than Automobiles. 42 U.S.C. 6291-6309. These products include GSLs, the
subject of this rulemaking.
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\1\ All references to EPCA in this document refer to the statute
as amended through the Energy Act of 2020, Public Law 116-260 (Dec.
27, 2020).
\2\ For editorial reasons, upon codification in the U.S. Code,
Part B was redesignated Part A.
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EPCA directs DOE to conduct two rulemaking cycles to evaluate
energy conservation standards for GSLs. 42 U.S.C. 6295(i)(6)(A)-(B).
GSLs are defined in EPCA to include GSILs, compact fluorescent lamps
(``CFLs''), general service light-emitting diode (``LED'') lamps and
organic light emitting diode (``OLED'') lamps, and any other lamps that
the Secretary of Energy (``Secretary'') determines are used to satisfy
lighting applications traditionally served by general service
incandescent lamps. 42 U.S.C. 6291(30)(BB)(i), (CC)(i), (DD). The EPCA
provision setting forth relevant definitions indicates that the term
``general service lamp'' in EPCA does not include any of the twenty-two
lighting applications or bulb shapes explicitly not included in the
definition of ``general service incandescent lamp,'' \3\ or any general
service fluorescent lamp or incandescent reflector lamp. 42 U.S.C.
6291(30)(BB)(ii).
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\3\ As defined in EPCA ``general service incandescent lamp''
does not include the following incandescent lamps: (I) An appliance
lamp; (II) A black light lamp; (III) A bug lamp; (IV) A colored
lamp; (V) An infrared lamp; (VI) A left-hand thread lamp; (VII) A
marine lamp; (VIII) A marine signal service lamp; (IX) A mine
service lamp; (X) A plant light lamp; (XI) A reflector lamp; (XII) A
rough service lamp; (XIII) A shatter-resistant lamp (including a
shatter-proof lamp and a shatter-protected lamp); (XIV) A sign
service lamp; (XV) A silver bowl lamp; (XVI) A showcase lamp; (XVII)
A three-way incandescent lamp; (XVIII) A traffic signal lamp; (XIX)
A vibration service lamp; (XX) A G shape lamp (as defined in ANSI
C78.20-2003 and C79.1-2002[)] with a diameter of 5 inches or more;
(XXI) A T shape lamp (as defined in ANSI C78.20-2003 and C79.1-2002)
[and] that uses not more than 40 watts or has a length of more than
10 inches; (XXII) A B, BA, CA, F, G16-1/2, G-25, G30, S, or M-14
lamp (as defined in ANSI C79.1-2002 and ANSI C78.20-2003) of 40
watts or less. 42 U.S.C. 6291(30)(D)(ii).
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For the first rulemaking cycle, EPCA directs DOE to initiate a
rulemaking process prior to January 1, 2014, to consider two questions:
(1) Whether to amend energy conservation standards
[[Page 46613]]
for general service lamps to establish more stringent standards than
EPCA specifies, and (2) whether ``the exemptions for certain
incandescent lamps should be maintained or discontinued.'' 42 U.S.C.
6295(i)(6)(A)(i). In developing such a rule, DOE must consider a
minimum efficacy standard of 45 lumens per watt (``lm/W''). 42 U.S.C.
6295(i)(6)(A)(ii). Further, if the Secretary determines that the
standards in effect for GSILs should be amended, EPCA provides that a
final rule must be published by January 1, 2017, with an effective date
at least three years after the date on which the final rule is
published. 42 U.S.C. 6295(i)(6)(A)(iii). Additionally, EPCA directs
that the Secretary shall consider phased-in effective dates after
considering certain economic factors. 42 U.S.C. 6295(i)(6)(A)(iv). If
DOE fails to complete a rulemaking in accordance with 42 U.S.C.
6295(i)(6)(A)(i)-(iv), or if 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. 42 U.S.C. 6295(i)(6)(A)(v).
EPCA further directs DOE to initiate a second rulemaking cycle by
January 1, 2020, to determine whether standards in effect for GSILs
(which are a subset of GSLs) should be amended with more stringent
maximum wattage requirements than EPCA specifies, and whether the
exemptions for certain incandescent lamps should be maintained or
discontinued. 42 U.S.C. 6295(i)(6)(B)(i). As in the first rulemaking
cycle, the scope of the second rulemaking is not limited to
incandescent lamp technologies. 42 U.S.C. 6295(i)(6)(B)(ii).
In addition to the two mandated rulemaking cycles, under the
statutory definition of GSL, DOE has authority to include lamps as GSLs
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).
B. March 2016 Notice of Proposed Rulemaking and October 2016 Notice of
Proposed Definition and Data Availability
Pursuant to its statutory authority, DOE published a Notice of
Proposed Rulemaking on March 17, 2016 that addressed the first question
that Congress directed it to consider--whether to amend energy
conservation standards for GSLs (``March 2016 NOPR''). 81 FR 14528,
14629-14630 (Mar. 17, 2016). In that NOPR, DOE stated that it would be
unable to undertake any analysis regarding GSILs and other incandescent
lamps because of a then-applicable congressional restriction (``the
Appropriations Rider''). See Id. at 81 FR 14528, 14540-14541. The
Appropriations Rider prohibited 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''). Under the Appropriations
Rider, DOE was restricted from undertaking the analysis required to
address the first question presented by Congress, but was not so
limited in addressing the second question--that is, DOE was not
prevented from determining whether the exemptions for certain
incandescent lamps should be maintained or discontinued. To address
that second question, DOE published a Notice of Proposed Definition and
Data Availability (``NOPDDA''), which proposed to amend the definitions
of GSIL, GSL, and related terms (``October 2016 NOPDDA''). 81 FR 71794,
71815 (Oct. 18, 2016). Notably, the Appropriations Rider originally was
adopted in 2011 and was readopted and extended continuously in multiple
subsequent legislative actions. It expired on May 5, 2017, when the
Consolidated Appropriations Act, 2017 was enacted.\4\
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\4\ See Consolidated Appropriations Act of 2017 (Pub. L. 115-31,
div. D, tit. III); see also Consolidated Appropriations Act, 2018
(Pub. L. 115-141).
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C. January 2017 Final Rules
On January 19, 2017, DOE published two final rules concerning the
definitions of GSL, GSIL, and related terms. 82 FR 7276; 82 FR 7322
(``January 2017 Final Rules''). The January 2017 Final Rules amended
the definitions of GSIL and GSL by bringing certain categories of lamps
within the definitions of GSIL and GSL that EPCA had exempted. These
two rules were issued simultaneously, with the first rule maintaining
the existing exemption for IRLs in the definition of GSL and the second
rulemaking determining to discontinue the IRL exemption. See 82 FR
7312; 82 FR 7323. The January 2017 Final Rules related only to the
second question that Congress directed DOE to consider, regarding
whether to maintain or discontinue ``exemptions'' for certain
incandescent lamps. 42 U.S.C. 6295(i)(6)(A)(i)(II). DOE explained in
the rule that the discontinuation of certain exemptions would render
the lamps within those exemptions GSLs, to the extent they would
otherwise qualify as GSLs. For certain lamps, the discontinuation of
the exemption may also render the lamp a GSIL, to the extent it would
otherwise qualify as a GSIL. 82 FR 7277. DOE stated that it would 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. 82 FR 7276,
7277. The definitions in the January 2017 Final Rules were to become
effective on January 1, 2020. 82 FR 7276, 7276; 82 FR 7322, 7322.
D. September 2019 Withdrawal Rule and Subsequent Review
With the removal of the Appropriations Rider in the Consolidated
Appropriations Act, 2017, DOE was no longer restricted from undertaking
the analysis and decision-making required to address the first question
presented by Congress--that is, whether to amend energy conservation
standards for GSLs, including GSILs. Thus, on August 15, 2017, DOE
published a Notice of Data Availability and request for information
(``NODA'') seeking data for GSILs and other incandescent lamps
(``August 2017 NODA''). 82 FR 38613.
The purpose of the August 2017 NODA was to assist DOE in
determining whether standards for GSILs should be amended. 42 U.S.C.
6295(i)(6)(A)(i)(I). Comments submitted in response to the August 2017
NODA also led DOE to reconsider the decisions it had already made with
respect to the second question presented to DOE (whether the exemptions
for certain incandescent lamps should be maintained or discontinued).
42 U.S.C. 6295(i)(6)(A)(i)(II). As a result of the comments received in
response to the August 2017 NODA, DOE also re-assessed the legal
interpretations underlying certain decisions made in the January 2017
Final Rules.
On February 11, 2019, DOE published a NOPR proposing to withdraw
the revised definitions of GSL and GSIL, and the new and revised
definitions of related terms that were to go into effect on January 1,
2020. 84 FR 3120. In a final rule published September 5, 2019, DOE
finalized the withdrawal of the definitions of GSIL, GSL, and related
terms established in the January 2017 Final Rules. 84 FR 46661
(``September 2019 Withdrawal Rule''). Informed, in part, by comments
received in response
[[Page 46614]]
to the August 2017 NODA, DOE concluded in the September 2019 Withdrawal
Rule that maintaining the definitions for GSL and GSIL as established
by EPCA and not discontinuing certain exemptions pursuant to the
required review under 42 U.S.C. 6295(i)(6)(A)(i) was the best reading
of the statute. 84 FR 46661, 46665-46666. DOE also stated that it
identified inaccuracies underlying its determination to revise the
definitions of GSL and GSIL. 84 FR 46661, 46665. Based on data received
in response to the August 2017 NODA, DOE learned that it had
overestimated shipment numbers for candelabra base incandescent lamps
by a factor of more than two. Id. In withdrawing the definitions
established in the January 2017 Final Rules, DOE specifically addressed
its determinations to maintain the exemptions for rough service lamps;
shatter-resistant lamps; three-way incandescent lamps; high lumen
incandescent lamps (2,601-3,300 lumens); vibration service lamps; T-
shape lamps of 40 watts (``W'') or less or length of 10 inches or more;
B, BA, CA, F, G16-1/2, G25, G30, S, M-14 lamps of 40 W or less;
candelabra base lamps; and IRLs. Id.
The September 2019 Withdrawal Rule also addressed issues and
comments regarding the imposition of the 45 lm/W backstop,
applicability of EPCA's anti-backsliding provision at 42 U.S.C.
6295(o), and preemption of State regulation of lamps. 84 FR 46663-
46665, 46669. These additional issues are not the subject of this NOPR.
DOE has requested comments and data to inform further consideration of
the 45 lm/W backstop provision. See 86 FR 28001 (May 25, 2021).
As a result of the September 2019 Withdrawal Rule, the amended
definitions of GSL and GSIL and the new and revised definitions of
related terms established in the January 2017 Final Rules were
withdrawn prior to going into effect. The current regulatory
definitions of GSL and GSIL are those set forth in EPCA. See 10 CFR
430.2; see also 42 U.S.C. 6291(30)(D); 42 U.S.C. 6291(30)(BB).
Subsequent to the September 2019 Withdrawal Rule, on January 20,
2021, President Biden issued Executive Order (``E.O.'') 13990,
``Protecting Public Health and the Environment and Restoring Science to
Tackle the Climate Crisis.'' 86 FR 7037 (Jan. 25, 2021). Section 1 of
that Order lists a number of policies related to the protection of
public health and the environment, including reducing greenhouse gas
emissions and bolstering the Nation's resilience to climate change. 86
FR 7037, 7041. Section 2 of the Order instructs all agencies to review
``existing regulations, orders, guidance documents, policies, and any
other similar agency actions . . . promulgated, issued, or adopted
between January 20, 2017, and January 20, 2021, that are or may be
inconsistent with, or present obstacles to, [these policies].'' Id.
Agencies are then directed, as appropriate and consistent with
applicable law, to consider suspending, revising, or rescinding these
agency actions and to immediately commence work to confront the climate
crisis. Id.
Consistent with E.O. 13990, DOE has undertaken a review of the
definitions of GSL and GSIL in the September 2019 Withdrawal Rule and
the January 2017 Final Rules. Although E.O. 13990 triggered DOE's
review, DOE is relying on its analysis below, based on the language and
intent of EPCA, to support its decision to reconsider the September
2019 Withdrawal Rule. As a result of this review, DOE rejects the
alternative interpretation of the statutory directives in EPCA set
forth in the September 2019 Withdrawal rule and preliminarily
determines that DOE's interpretation in this proposed rule is the best
and proper reading of the statute.
II. Synopsis of the Proposed Rule
In this NOPR, DOE proposes to amend the definitions of GSL and GSIL
as previously set forth in the January 2017 Final Rules. DOE has
preliminarily determined that the definitions as proposed are
consistent with the congressional direction provided in EPCA and
further the purposes set forth in EPCA, as well as in E.O. 13990.
Additionally, DOE proposes to adopt the supplemental definitions
established in the January 2017 Final Rules, which relate to the
proposed definitions of GSL and GSIL. DOE is not proposing whether
standards for GSLs, including GSILs, should be amended. Rather, DOE is
proposing the scope of lamps to be considered in such a determination.
III. General Discussion
A. GSL and GSIL Definitions
To provide context for this NOPR, this section provides further
description of the statutory and regulatory definitions, as amended
under the January 2017 Final Rules and September 2019 Withdrawal Rule
rulemakings.
EPCA defines the class of GSLs as including GSILs, CFLs, general
service LED and OLED lamps, and any other lamps that DOE determines are
used to satisfy lighting applications traditionally served by GSILs;
however, as initially specified by EPCA, GSLs did 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).
EPCA defines a GSIL generally as a standard incandescent or halogen
type lamp that is intended for general service applications; has a
medium screw base; has a lumen range of not less than 310 lumens and
not more than 2,600 lumens or, in the case of a modified spectrum lamp,
not less than 232 lumens and not more than 1,950 lumens; and is capable
of being operated at a voltage range at least partially within 110 and
130 volts. 42 U.S.C. 6291(30)(D)(i). This definition does not apply,
however, to the following incandescent lamps: An appliance lamp; a
black light lamp; a bug lamp; a colored lamp; an infrared lamp; a left-
hand thread lamp; a marine lamp; a marine signal service lamp; a mine
service lamp; a plant light lamp; a reflector lamp; a rough service
lamp; a shatter-resistant lamp (including a shatter-proof lamp and a
shatter-protected lamp); a sign service lamp; a silver bowl lamp; a
showcase lamp; a three-way incandescent lamp; a traffic signal lamp; a
vibration service lamp; a G shape lamp (as defined in ANSI C78.20 and
ANSI C79.1-2002) with a diameter of 5 inches or more; a T shape lamp
(as defined in ANSI C78.20 and ANSI C79.1-2002) and that uses not more
than 40 watts or has a length of more than 10 inches; and a B, BA, CA,
F, G16-1/2, G-25, G30, S, or M-14 lamp (as defined in ANSI C79.1-2002
and ANSI C78.20) of 40 watts or less. 42 U.S.C. 6291(30)(D)(ii).
In the January 2017 Final Rules, invoking the rulemaking authority
afforded by EPCA in 42 U.S.C. 6291(30)(BB)(i)(IV), DOE amended the
regulatory definition of GSL to mean a lamp that had an ANSI base; was
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, or was able to operate at any voltage for non-
integrated lamps; had 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; was not a
light fixture; was not an LED downlight retrofit kit; and was used in
general lighting applications. 82 FR 7312. General service lamps
included, but were not limited to, general service incandescent lamps,
compact fluorescent lamps, general
[[Page 46615]]
service light-emitting diode lamps, and general service organic light-
emitting diode lamps. 82 FR 7276, 7321.
As defined in the January 2017 Final Rules, GSLs did not include:
(1) Appliance lamps; (2) Black light lamps; (3) Bug lamps; (4) Colored
lamps; (5) G shape lamps with a diameter of 5 inches or more as defined
in ANSI C79.1-2002; (6) General service fluorescent lamps; (7) High
intensity discharge lamps; (8) Infrared lamps; (9) J, JC, JCD, JCS,
JCV, JCX, JD, JS, and JT shape lamps that do not have Edison screw
bases; (10) Lamps that have a wedge base or prefocus base; (11) Left-
hand thread lamps; (12) Marine lamps; (13) Marine signal service lamps;
(14) Mine service lamps; (15) 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; (16) Other fluorescent lamps; (17) Plant light lamps;
(18) R20 short lamps; (19) Reflector lamps 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; (20) 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; (21) Sign service lamps; (22) Silver bowl lamps; (23)
Showcase lamps; (24) Specialty MR lamps; (25) 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; and
(26) Traffic signal lamps. Id.; 82 FR 7322, 7333.
The January 2017 Final Rules defined GSIL to discontinue the
exemptions for rough service lamps; shatter-resistant lamps; three-way
incandescent lamps; vibration service lamps; reflector lamps; T-shape
lamps of 40 W or less or length of 10 inches or more; and B, BA, CA, F,
G16-1/2, G25, G30, S, M-14 lamps of 40 W or less. 82 FR 7276, 7291.
DOE subsequently withdrew the definitions as established in the
January 2017 Final Rules before their effective date and reverted to
the statutory definitions. As a result, the exemptions from the
definitions of GSL and GSIL as originally provided in EPCA are
currently maintained.
B. Discontinuation of Exemptions
The September 2019 Withdrawal Rule failed to give meaningful effect
to the statutory direction that DOE determine whether exemptions for
certain incandescent lamps should be discontinued. In adopting the
rulemaking mandate, Congress provided DOE with the authority to adjust
the scope of GSLs and GSILs to ensure that the energy savings Congress
intended would be achieved notwithstanding the possibility that, with
the passage of time, different lamps might be used to satisfy lighting
applications traditionally served by GSILs. 42 U.S.C. 6295(i)(6)(A)(i)-
(ii). In disavowing DOE's prior conclusions in the January 2017 Final
Rules, the September 2019 Withdrawal Rule incongruously asserted that
the statutory command to DOE to determine whether to discontinue
certain exemptions did not give DOE authority to amend statutory
definitions by regulation, 84 FR 46667, but then failed to explain what
that command does authorize. In doing so, the September 2019 Withdrawal
Rule disregarded congressional intent as expressed through the
statutory language. In contrast, the position taken in the January 2017
Final Rules did fulfill the intent of Congress by using the authority
granted to DOE through EISA to achieve the energy savings for GSLs that
Congress expected. This position represents the best implementation of
EPCA given the potential for lost energy savings that may result from
the use of lamps in general lighting applications that would not be
subject to energy conservation standards. As DOE understood in the
January 2017 Final Rules, EPCA exempted certain categories of lamps
because, on the one hand, some lamps in those categories have specialty
applications; and on the other hand, it was not clear, at the time when
these lamp provisions were originally enacted, whether those lamps were
used to satisfy lighting applications traditionally served by GSILs. 82
FR 7276, 7277. The purpose, then, of the determination Congress
directed DOE to make (i.e., whether to maintain or to discontinue a
given exemption (42 U.S.C. 6295(i)(6)(A)(i)(II))) was that DOE should
assess the role of lamps of the various exempted types in the broader
lighting market, bearing in mind the evident statutory purpose of
achieving energy conservation by imposing efficiency standards for
general lighting. Id. at 82 FR 7276, 7277. That is, Congress directed
DOE to evaluate whether the exempted lamps are being used in
applications in which GSILs have previously been used.
In the September 2019 Withdrawal Rule, DOE failed to properly
consider the congressional intent underlying EPCA generally and EISA
specifically, and, consequently, failed to read the statute in the
proper context, leading to an incorrect interpretation by DOE in 2019
that it could not exercise its authority to remove exemptions for
certain incandescent lamps that are used in general lighting
applications. The initial determination reached here to adopt the
definitions established in the January 2017 Final Rules best aligns
with EPCA's goals for increasing the energy efficiency of covered
products through the establishment and amendment of energy conservation
standards and promoting conservation measures when feasible. 42 U.S.C.
6291 et seq., as amended.
C. GSLs and GSILs
As discussed in section I.A, EPCA directs DOE to initiate a
rulemaking process prior to January 1, 2014, to consider two questions:
(1) Whether to amend energy conservation standards for general service
lamps and (2) whether ``the exemptions for certain incandescent lamps
should be maintained or discontinued.'' 42 U.S.C. 6295(i)(6)(A)(i). In
the January 2017 Final Rules, which addressed the second question, DOE
understood the purpose of the determinations regarding exemptions
required under section (i)(6)(A)(i)(II) of EPCA to be to ensure that a
given exemption would not impair the effectiveness of GSL standards by
leaving available a convenient substitute that is not regulated as a
GSL. DOE based its decision for each exemption on an assessment of
whether the exemption encompasses lamps that can provide general
illumination and can functionally be a ready substitute for lamps
already covered as GSLs. Id. A lamp that is capable of providing
general illumination has design features that make it highly suitable
for performing that task in the sort of application in which GSILs have
traditionally served. 82 FR 7276, 7303. The technical characteristics
of lamps in a given exemption and the volume of sales of those lamps
were among the considerations relevant to that assessment. 82 FR 7276,
7288. High annual sales were an indication that the product is likely
used in general lighting applications, because the sales of lamps for
specialty applications tend to be relatively small compared with sales
for general-purpose lighting. Id. DOE also cautioned that sales data
are not the only consideration, as it may be appropriate to discontinue
an exemption even though current sales are relatively low, if technical
characteristics of the exempted lamps make them likely to serve as
ready
[[Page 46616]]
substitutes for GSLs once GSL standards are in place. Id.
Contrary to this position, in the September 2019 Withdrawal Rule,
DOE stated that it may have overstepped its limited authority by
relying on factors that Congress did not intend it to consider. DOE
further stated that it was no longer using ``convenient unregulated
alternatives'' as a basis upon which to discontinue exemptions for
specialty lamp types. DOE agreed with those commenters that asserted
this consideration went beyond the authority granted by Congress to use
the potential that a lamp may be considered a loophole to GSL standards
as the basis for discontinuing its exemption under the statute. 84 FR
46661, 46668-46669. Subsequently, in the September 2019 Withdrawal
Rule, DOE maintained the definitions of GSLs and GSILs. Id.
Upon reviewing the September 2019 Withdrawal Rule, DOE now
recognizes that the analysis in that rule may have overlooked certain
considerations and may not have accurately characterized the actions
taken in the January 2017 Final Rules. Certain factors were not fully
explored in the September 2019 Withdrawal Rule and merit consideration
in determining whether to amend the definitions of GSL and GSIL. The
specific discussions from the September 2019 Withdrawal Rule that
require further consideration are addressed in the appropriate sections
that follow.
Based on the analysis and evaluation presented in the rulemaking
culminating in the January 2017 Final Rules, and the discussion that
follows, DOE is proposing to define GSIL to mean: A standard
incandescent or halogen type lamp that is intended for general service
applications; has a medium screw base; has a lumen range of not less
than 310 lumens and not more than 2,600 lumens or, in the case of a
modified spectrum lamp, not less than 232 lumens and not more than
1,950 lumens; and is capable of being operated at a voltage range at
least partially within 110 and 130 volts; however, this definition does
not apply to the following incandescent lamps: An appliance lamp; a
black light lamp; a bug lamp; a colored lamp; a G shape lamp with a
diameter of 5 inches or more as defined in ANSI C79.1-2002; an infrared
lamp; a left-hand thread lamp; a marine lamp; a marine signal service
lamp; a mine service lamp; a plant light lamp; an R20 short lamp; a
sign service lamp; a silver bowl lamp; a showcase lamp; and a traffic
signal lamp.
The proposed definition explicitly exempts R20 short lamps to
maintain an exemption for these lamps consistent with DOE's
determination in a final rule published on November 14, 2013, that
standards for R20 short lamps would not result in significant energy
savings because such lamps are designed for special applications or
have special characteristics not available in reasonably substitutable
lamp types. 78 FR 68331, 68340.
As stated, GSILs are included in the definition of GSL. 42 U.S.C.
6291(30)(BB)(i)(I). Any lamp that meets the definition of a GSIL would
be a GSL. As such, consideration of whether a GSIL exemption should be
maintained, for purposes of both the GSL definition and the GSIL
definition, is informed, in part, by the considerations under DOE's
authority to include other lamps as GSLs because they ``are used to
satisfy lighting applications traditionally served by general service
incandescent lamps.'' 42 U.S.C. 6291(30)(BB)(i)(IV). Based on DOE's
review of product availability, technical information, and prior
stakeholder comments, DOE preliminarily finds that the unavailability
of non-incandescent substitutes for a given lamp suggests that the lamp
is not being used for traditional GSIL applications. If design
characteristics of lamps for a given application are such that the non-
incandescent lamp cannot be made with the same characteristics, DOE
preliminarily concludes those lamps are not being used for general
illumination and, therefore, such lamps would be excluded from the
definition of GSLs See 82 FR 7276, 7301.
Also relevant to DOE's consideration of whether to maintain a GSIL
exemption, DOE must also determine what types of lighting applications
have been traditionally served by GSILs. As stated in the January 2017
Final Rules, traditionally, lamps that are standard incandescent or
halogen and that satisfy the other criteria for the definition of GSIL
in 42 U.S.C. 6291(30)(D) have served general lighting applications. 82
FR 7276, 7302. By ``general lighting applications,'' DOE means lighting
that provides an interior or exterior area with overall illumination.
DOE considers the term ``overall illumination'' to be similar in
meaning to the term ``general lighting'' as defined in the industry
standard ANSI/IES RP-16-10, which states that ``general lighting''
means lighting designed to provide a substantially uniform level of
illuminance throughout an area, exclusive of any provision for special
local requirements.
Further discussion of DOE's consideration of including other lamps
as GSLs is discussed in greater detail in section III.D of this
document. The following paragraphs discuss the proposed discontinuation
of the exemptions for certain T-shape, B, BA, CA, F, G16-1/2, G25, G30,
S, and M-14 lamps; rough service lamps; vibration service lamps; three-
way incandescent lamps; and shatter-resistant lamps.
1. T-Shape, B, BA, CA, F, G16-1/2, G25, G30, S, and M-14 Lamps
In the January 2017 Final Rules, DOE discontinued the exemptions
for certain T-shape lamps and certain B, BA, CA, F, G16-1/2, G25, G30,
S, and M-14 lamps. 82 FR 7276, 7294. DOE found that T-shape lamps are
frequently used in general lighting applications and thus present a
significant risk for lamp switching. Based on this high potential for
lamp switching--reflected in part by high sales--DOE discontinued the
GSIL exemption for these lamps. Id. Regarding B, BA, CA, F, G16-1/2,
G25, G30, S, and M-14 lamps, DOE noted that Congress listed these lamps
together in paragraph (XXII), and so considered whether to maintain the
exemption for these lamps as a group. Id. DOE also noted that the pear
shapes and globe shapes characterized by the majority of lamps in this
category would not prevent consumers from using them in general service
lighting applications and found that these lamps are very common. 82 FR
7276, 7295. DOE considered the potential for lamp switching through the
future use of different fixtures and found there to be a potential that
inclusion of some but not all of the lamps in the group would shift the
market to the lamp or lamps that remain exempt. Id. Accordingly, DOE
discontinued exemptions in the GSIL definition for B, BA, CA, F, G16-1/
2, G25, G30, S, and M-14 lamps of 40 W or less. Id.
However, in the January 2017 Final Rules, DOE did maintain
exemptions from the GSL definition set forth in those final rules for
the following lamp shapes: (1) 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; and (2) 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. DOE concluded that those lamps should not have been
included in the GSL definition set forth in those final rules because
they do not and likely cannot have equivalent replacements using more
efficient technology. 82 FR 7276, 7310.
[[Page 46617]]
In the September 2019 Withdrawal Rule, DOE addressed the
discontinuation of exemptions for certain T-shape, B, BA, CA, F, G16-1/
2, G25, G30, S, and M-14 lamps together with candelabra base lamps,
stating that discontinuing the exemptions for all of these lamp
categories was not consistent with the best reading of the statute
because such lamps are not used in the same applications as the
standard GSIL. 84 FR 46661, 46668. DOE stated that these lamps
generally provide a more limited range of light output as compared with
GSILs not subject to exemption, have form factors not as large as GSILs
not subject to exemptions, and present a decorative aesthetic not
replicated by GSILs not subject to the exemptions. Id.
Upon further consideration, DOE has tentatively determined that
candelabra base lamps were inappropriately addressed with T-shape, B,
BA, CA, F, G16- 1/2, G25, G30, S, and M-14 lamps in the September 2019
Withdrawal Rule. The January 2017 Final Rules determined whether T-
shape, B, BA, CA, F, G16-1/2, G25, G30, S, and M-14 lamps would remain
exempt from the definition of GSIL, and thus were evaluated in the
context of the GSIL definition. 82 FR 7276, 7297. Candelabra base lamps
were not included in this evaluation since the lamps do not have a
medium screw base as required under the GSIL definition. Instead, DOE
determined in the January 2017 Final Rules that candelabra base lamps
should be covered as GSLs. See 82 FR 7276, 7310. In this NOPR, DOE
appropriately addresses in section III.D of this document candelabra
base lamps in the context of the GSL definition.
Regarding the light output of certain T-shape, B, BA, CA, F, G16-1/
2, G25, G30, S, and M-14 lamps, DOE tentatively concludes that the
September 2019 Withdrawal Rule inaccurately stated that these lamps
provide a more limited range of light output as compared with GSILs not
subject to exemption. However, these lamps were only considered to the
extent that they were in the lumen range of 310-2600 per the GSIL
definition. As such, in order to be included in the exemption under the
statutory definition of GSIL, and therefore considered for
discontinuation of the exemption in the January 2017 Final Rules, the
lamps must have a lumen output of 310 lumens or greater, consistent
with GSILs not subject to the exemption. As DOE concluded in the
January 2017 Final Rules, even with a maximum wattage limitation, these
lamps are still capable of providing overall illumination (i.e.,
general illumination). 82 FR 7276, 7294-7295.
Regarding the form factor and size of certain T-shape, B, BA, CA,
F, G16-1/2, G25, G30, S, and M-14 lamps, DOE tentatively concludes that
such lamps were not accurately compared to lamps that meet the current
statutory definition of GSIL in the September 2019 Withdrawal Rule. The
September 2019 Withdrawal Rule stated that these lamps have form
factors not as large as currently defined GSILs. 84 FR 46661, 46668.
However, DOE now recognizes that the most common GSIL is an A19
shape,\5\ and that the G25 and G30 lamps have a diameter 31 percent and
57 percent greater, respectively, than the diameter of the A19 shape.
Further, the September 2019 Withdrawal Rule stated that these lamp
shapes present a decorative aesthetic not replicated by lamps that meet
the current statutory definition of GSIL. Id. DOE no longer agrees that
this statement supports continued exemption, as data indicates that the
decorative shape does not prevent consumers from using them in general
service lighting applications. See 82 FR 7276, 7310. Additionally, as
described previously, some lamps with these shapes are currently
certified as being compliant with DOE's standards for GSILs. As stated,
if a more efficient version with the same shape cannot be made for a
technical reason, DOE did not include the lamp as a GSL in the
definition adopted by the January 2017 Final Rules and similarly does
not propose to include such a lamp in the definition of GSL in this
proposal.
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\5\ See the final determination regarding energy conservation
standards for GSILs published on December 27, 2019. 84 FR 71626.
---------------------------------------------------------------------------
With regard to T-shape lamps, DOE finds that T-shape lamps are
capable of providing overall illumination and therefore can readily
serve general lighting applications. See 82 FR 7276, 7294. With regard
to B, BA, CA, F, G16-1/2, G25, G30, S, and M-14 lamps, DOE is
considering whether to maintain the exemption for these lamps as a
group due to its concern with lamp switching. As stated in the January
2017 Final Rules, DOE recognizes that the lamps listed here may each
not be substituted for one another in existing fixtures, but present
the potential for lamp switching through the future use of different
fixtures. 82 FR 7276, 7295. As indicated by the high sales data of this
category presented in the January 2017 Final Rules (82 FR 7276, 7291),
DOE tentatively concludes these lamps to be very common and usable in
general lighting applications. For the reasons discussed in the
preceding paragraphs and presented in the January 2017 Final Rules, DOE
has tentatively concluded that the basis for discontinuing the
exemption for certain T-shape, B, BA, CA, F, G16-1/2, G25, G30, S, and
M-14 lamps in this proposal is the best interpretation of the statute.
In contrast to the interpretation adopted by DOE in 2019, this proposal
best satisfies the intent of Congress and implements the objective of
the statutory language of EPCA to conserve energy through regulation of
certain energy uses and provide improved energy efficiency of certain
consumer products. See 42 U.S.C. 6201. Accordingly, DOE proposes to
define these products as GSILs in this proposal. DOE requests
information and data, if available, on sales data of T-shape, B, BA,
CA, F, G16-1/2, G25, G30, S, and M-14 lamps.
2. Rough Service Lamps, Vibration Service Lamps, Three-Way Incandescent
Lamps, and Shatter-Resistant Lamps
Under 42 U.S.C. 6295(l)(4), DOE is required to undertake a
rulemaking for rough service lamps, shatter-resistant lamps, three-way
incandescent lamps, and vibration service lamps when the sales of these
lamps meet specified thresholds.\6\ DOE is also required, in
consultation with the National Electrical Manufacturers Association
(``NEMA''), to collect sales data for these lamps and construct a model
to predict future sales. 42 U.S.C. 6295(l)(4)(B). DOE must then track
the actual sales data, and when sales exceed sales projected by the
model by 100 percent, DOE must initiate an energy conservation standard
rulemaking. 42 U.S.C. 6295(l)(4)(D), (E), (F), (H). If DOE does not
complete the accelerated rulemaking in the specified time period, it
must impose a backstop requirement for that lamp. 42 U.S.C.
6295(l)(4)(D)(ii), (E)(ii), (F)(ii), (H)(ii).
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\6\ Lamps that otherwise would be GSILs but for having a lumen
range between 2,601-3,300 (referred to in 42 U.S.C. 6295(l)(4) as
``2,601-3,300 lumen general service incandescent lamps'') were
defined in the January 2017 Final Rules as GSLs but not GSILs, and
therefore are not addressed in this section.
---------------------------------------------------------------------------
In the January 2017 Final Rules, DOE determined that the rulemaking
provisions at 42 U.S.C. 6295(l)(4) were not the only way in which DOE
can regulate these lamps. 82 FR 7276, 7296. DOE noted that the text of
42 U.S.C. 6295(i) and 42 U.S.C. 6295(l)(4) does not state that the 42
U.S.C. 6295(l)(4) process operates to the exclusion of regulating these
lamps as GSLs and that the provisions under 42 U.S.C. 6295(l)(4) could
be complementary to regulation of these lamps as GSLs. Id. Based in
part on the potential for these lamp types to serve as replacements to
[[Page 46618]]
regulated GSLs, DOE discontinued the exemption for rough service lamps,
shatter-resistant lamps, three-way incandescent lamps and vibration
service lamps in the January 2017 Final Rules. Id.
In the September 2019 Withdrawal Rule, DOE determined that, since
these lamps are subject to standards in accordance with a specific
regulatory process under 42 U.S.C. 6295(l)(4), there is no need to
undertake an additional process for determining whether to establish
energy conservation standards for these lamp types as GSLs under 42
U.S.C. 6295(i)(6)(A)(i). 84 FR 46661, 46666. DOE explained that doing
so would potentially subject these lamps types to two separate
standards and potentially create confusion among regulated entities.
Id. Moreover, DOE noted that the regime for potential regulation of
these lamp types was added to the statute in the same enactment that
required DOE to consider standards for GSLs, and in both instances the
criteria stated in the statute for consideration for standards includes
consideration of sales of the subject lamps. Id. In the September 2019
Withdrawal Rule, DOE read the inclusion of sales consideration in both
42 U.S.C. 6295(i)(6)(A)(i) and 42 U.S.C. 6295(l)(4) as an indication
that Congress intended the two rulemaking provisions to be exclusive of
one another. Id.
In this NOPR, DOE is reconsidering whether the separate regulatory
process under 42 U.S.C. 6295(l)(4) precludes these lamp types from
becoming GSILs, and subsequently GSLs. The September 2019 Withdrawal
Rule did not consider that other lamps potentially subject to standards
as GSLs also have statutorily prescribed standards, namely, GSILs and
medium base CFLs. See Section 321(a)(3) of the Energy Independence and
Security Act of 2007 (Pub. L. 110-140; ``EISA''); \7\ 42 U.S.C.
6295(bb). That lamps subject to statutory standards are also expressly
GSLs subject to GSL standards indicates that coverage under more than
one statutory scheme is not precluded under the statute.
---------------------------------------------------------------------------
\7\ Section 321 added statutorily prescribed standards for GSILs
as section 325(i)(1)(A) of EPCA. But because of an apparent conflict
with Section 322(b) of EISA, which purported to strike section
325(i)(1) in its entirety and replace it with a different text, this
provision was never codified in the U.S. Code. DOE has issued
regulations implementing this uncodified provision at 10 CFR
430.32(x).
---------------------------------------------------------------------------
Further, upon a review of how Congress has amended EPCA, DOE has
tentatively concluded that standards for these exempt lamp types are
not to be developed only in accordance with 42 U.S.C. 6295(l)(4)(A).
Section 325(l)(4) of EPCA requires DOE to ``prescribe an energy
efficiency standard for rough service lamps, vibration service lamps,
three-way incandescent lamps, 2,601-3,300 lumen general service
incandescent lamps, and shatter-resistant lamps in accordance with this
paragraph.'' 42 U.S.C. 6295(l)(4)(A). Prior to 2012, that provision
instead required DOE to prescribe standards for such lamps ``only in
accordance with this paragraph.'' 42 U.S.C. 6295(l)(4)(A) (2011)
(emphasis added). In amendments under the American Energy Manufacturing
Technical Corrections Act, Public Law 112-210, Sec. 10(a)(8), 126
Stat. 1513, 1524 (2012) (``AEMTCA''), Congress removed the word
``only,'' signaling that DOE's obligation to consider discontinuing
``the exemptions for certain incandescent bulbs'' under 42 U.S.C.
6295(i)(6)(A)(i)(II) also applies to the five tracked lamps.
With regard to rough service lamps, vibration service lamps, three-
way incandescent lamps, and shatter-resistant lamps, as presented in
the January 2017 Final Rules, DOE tentatively concludes that such lamps
have the potential for use in general lighting applications
traditionally served by GSILs. DOE acknowledges that higher wattage
three-way incandescent lamps may not be able to be used in all existing
fixtures in which lamps currently defined as GSILs are used (e.g., A19
shape lamps). However, the ability to serve as a lighting application
traditionally served by GSILs is not limited by existing fixtures. As
discussed, the fixtures used to serve general lighting applications may
change over time, and therefore DOE considers whether a lamp can
provide general illumination as a criterion for discontinuing an
exemption. Regarding the shatter-resistant lamps, such lamps are
capable of providing overall illumination despite the lower lumen
output resulting from the shatter-resistant coating. DOE has also found
that a 60 W shatter-resistant lamp is still a suitable replacement for
a 40 W standard incandescent lamp. See 82 FR 7276, 7297. Shatter-
resistant lamps are similar to rough service and vibration service
lamps. Whereas rough service and vibration service lamps possess a
filament strengthened with additional supports, shatter-resistant lamps
possess a reinforced outer bulb to contain glass pieces in the event
that the bulb breaks. As stated in the January 2017 Final Rules, for
all three lamp types, the consumer may be under the impression that
they are purchasing primarily a more durable product rather than a lamp
with subpar performance. Id. Furthermore, as provided in the January
2017 Final Rules, for all three of these lamp types, LED versions
inherently provide the consumer the desired functionality in the sense
that LED lamps do not have metal filaments and typically do not use
glass outer bulbs. Id.
For these reasons and the basis presented in the January 2017 Final
Rules, DOE proposes to discontinue the exemptions for these products.
D. Other GSLs
As discussed, the definition of ``general service lamp'' includes
specific categories of lamps, along with ``any other lamps that the
Secretary determines are used to satisfy lighting applications
traditionally served by general service incandescent lamps.'' 42 U.S.C.
6291(30)(BB)(i). In the January 2017 Final Rules, DOE previously
determined that any other lamps that are intended to serve in general
lighting applications and have specific features would meet the
statutory criterion of lamps used to satisfy lighting applications
traditionally served by GSILs. 82 FR 7276, 7300.
Although DOE had determined that several types of lamps exempted
from the statutory definition of GSL are used to satisfy lighting
applications traditionally served by general service incandescent lamps
and therefore should be classified as GSLs (82 FR 7276, 7300-7312), the
September 2019 Withdrawal Rule limited consideration of such lamps to
only candelabra base lamps. Then, with respect to candelabra base
lamps, the September 2019 Withdrawal Rule concluded that, as a pure
matter of law, a candelabra base lamp cannot be a GSIL because EPCA
defines a GSIL, in part, as having a medium-screw base. 84 FR 46661,
46668-46669. The September 2019 Withdrawal Rule also suggested that
data submitted by NEMA in response to the NOPR to withdraw the January
2017 Final Rules indicated that shipments of candelabra base
incandescent lamps had been in a continuous decline since 2011 and
there was no evidence of increasing shipments. 84 FR 46661, 46669.
Because sales data is the one explicit factor Congress provided in
determining whether exemptions for certain incandescent lamps should be
maintained or discontinued in 42 U.S.C. 6295(i)(6)(A)(i)(II), DOE gave
this manufacturer data considerable weight in the September 2019
Withdrawal Rule. 84 FR 46661, 46669.
The September 2019 Withdrawal Rule also stated that DOE was no
longer using ``convenient unregulated
[[Page 46619]]
alternatives'' as a basis upon which to discontinue exemptions for
specialty lamp types. 84 FR 46661, 46668. DOE explained that this type
of consideration was not explicitly provided in the statute and agreed
with commenters that such consideration went beyond the authority
granted DOE by Congress. 84 FR 46661, 46668-46669.
Upon further review, the arguments presented in the September 2019
Withdrawal Rule incorrectly describe the rationale for including
candelabra base lamps as GSLs in the January 2017 Final Rules. The
arguments address discontinuing an exemption from the GSIL definition;
however, in the January 2017 Final Rules, candelabra base lamps were
determined to be GSLs under the provision of the GSL definition that
includes any other lamps that the Secretary determines are used to
satisfy lighting applications traditionally served by general service
incandescent lamps. 82 FR 7276, 7312; See also 42 U.S.C.
6291(30)(BB)(i)(IV). Candelabra base lamps are not covered under the
definition of GSILs because they do not have a medium screw base (See
42 U.S.C. 6291(30)(D)(i)(II)), but the January 2017 Final Rules did not
consider candelabra base lamps to be GSILs. Instead, such lamps were
covered as GSLs. 82 FR 7276, 7312.
DOE has preliminarily reverted to its position from the January
2017 Final Rules that relevant criteria for discontinuing an exemption
for an incandescent lamp are whether the exemption encompasses lamps
that can provide general illumination and whether the exempt lamps can
functionally be ready substitutes for lamps already covered as GSLs. 82
FR 7276, 7288. It may be appropriate to discontinue an exemption even
though current sales are relatively low, if technical characteristics
of the exempted lamps make them likely to serve as ready substitutes
for GSLs once GSL standards are in place. Further, for a lamp to
satisfy a lighting application traditionally served by general service
incandescent lamps, the lamp does not have to fit into an existing
fixture served by a lamp currently defined as a GSL. As discussed, DOE
has evaluated whether a lamp is capable of providing overall
illumination. In the January 2017 Final Rules, DOE did not limit its
consideration of an application traditionally served by GSIL to the
ability to replace a lamp in a fixture currently used by a consumer
that had been using a traditional incandescent lamp. 82 FR 7276, 7293.
DOE noted in the January 2017 Final Rules, and reaffirms in this
proposal, 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 lighting. Id. DOE
expects that markets will shift in response to GSL standards, and would
expect some substitution of fixtures to occur as part of substituting
non-GSL lamps for GSLs.
While NEMA has cited declining shipments as a reason to not
discontinue an exemption, declining shipments do not correlate to a
decline in the demand for lighting in a particular application. NEMA
has submitted data showing that GSIL shipments in 2018 were 17 percent
of what they were in 2001. NEMA, No. 88 at p. 23.\8\ However, DOE does
not believe that this translates to an 83 percent decrease in demand
for light in general lighting applications. It is more likely that
consumers are switching to other products that serve in the same
application. NEMA stated that it expects 71 percent of GSL sockets to
be occupied by LED lamps and 19 percent to be occupied by CFLs by the
end of 2021, increasing to 87 percent and 7 percent respectively by the
end of 2023. NEMA, No. 88 at p. 4.\9\ As lamps continue to be purchased
in general lighting applications, the demand for light remains; thus,
declining incandescent lamp shipments is not, on its own, an indication
that the lamp is a specialty product or serves in a specialty
application.
---------------------------------------------------------------------------
\8\ This comment was submitted in response to DOE's proposal in
September 2019 to not amend standards for GSILs. See docket number
EERE-2019-BT-STD-0022.
\9\ Id.
---------------------------------------------------------------------------
DOE has reviewed the definition of GSL as set forth in the January
2017 Final Rules and has preliminarily determined that the definition
is consistent with the best reading of EPCA because it implements the
objectives of the statute. DOE has considered all aspects of the GSL
definition and has preliminarily identified the criteria pertinent to
lamps that serve in general lighting applications and also
preliminarily identified specialty products that should be exempt from
the definition of GSL. Based on the discussion presented in this NOPR
and that presented in the January 2017 Final Rules, DOE proposes a
definition of GSL as set forth in the January 2017 Final Rules, which
included candelabra base lamps and other lamps as GSLs based on the use
of such lamps to satisfy lighting applications traditionally served by
GSILs.
DOE is proposing to define ``general service lamp'' as a lamp
intended to serve in general lighting applications and that has the
following basic characteristics: (1) An ANSI base (with the exclusion
of light fixtures, LED downlight retrofit kits, and exemptions for
specific base types); (2) a lumen output of greater than or equal to
310 lumens and less than or equal to 3,300 lumens; (3) an ability to
operate at or between 12 V, 24 V, 100 to 130 V, 220 to 240 V, or 277 V;
and (4) no designation or label for use in non-general applications.
Regarding the fourth criteria, as in the January 2017 Final Rules,
DOE proposes listing in the GSL definition each of the non-general
applications identified or lamps used in such applications in order to
clearly define the scope of the definition. Specifically, DOE proposes
that ``general service lamp'' does 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 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; and traffic
signal lamps. As discussed in the following section, the proposed
definition of GSL does not maintain the existing exemption for IRLs.
E. Incandescent Reflector Lamps
In the January 2017 Final Rules, DOE found that IRLs are widely
used for general illumination just as GSILs are. 82 FR 7322, 7325. DOE
continued that,
[[Page 46620]]
if EPCA mandated that IRLs continue being exempt from the definition of
GSL, then they would present a convenient alternative product, subject
to much less stringent standards than GSLs. Id. DOE further found that
the statute did not unambiguously indicate that DOE must maintain the
IRL exemption. Id. DOE acknowledged that the statute exempts IRLs from
the definition of GSL and separately exempts ``reflector lamps'' from
the definition of GSL because reflector lamps are a bulb shape excluded
from the GSIL definition. Id. See also 42 U.S.C. 6291(30)(BB)(ii)(II);
42 U.S.C. 6291(30)(D)(ii)(XI). However, DOE found the reference to
``reflector lamps'' in the GSIL list of exempted lamps to be of a
narrower scope than IRLs. 82 FR 7322, 7325-7326.
Based on its reading of EPCA and the listing of ``reflector lamp''
as a lamp exempted from the definition of GSIL (42 U.S.C.
6291(30)(D)(ii)(XI)) and the exemption of ``incandescent reflector
lamps'' from the definition of GSL (42 U.S.C. 6291(30)(BB)(ii)(II)),
DOE understands that it had two tasks regarding exemptions relevant for
these lamps: With respect to ``reflector lamps,'' DOE's task is to
assess whether as one of the relatively narrow twenty-two listed lamp
types--the scope of which the statute does not make clear--these lamps
have 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; and for IRLs, DOE was required to analyze
whether, in light of sales data and other evidence, such lamps are an
important enough substitute for lamps already included as GSLs to
warrant discontinuing their exemption. 82 FR 7322, 7326. DOE determined
in both instances that the discontinuation of the exemption was
warranted. 82 FR 7276, 7293; 82 FR 7322, 7329-7330.
In the September 2019 Withdrawal Rule, DOE stated that, upon
additional review, DOE understands Congress's express statements in two
distinct provisions that IRLs are not GSLs should be interpreted as
meaning that Congress intended that DOE not consider IRLs to be GSLs.
84 FR 46661, 46667. DOE noted that it continues to have the authority
to establish energy conservation standards applicable to IRLs under
separate requirements set by Congress in 42 U.S.C. 6295(i)(3). Id.
Upon further review, DOE is reconsidering whether DOE has the
authority to include IRLs as GSILs and/or GSLs. The September 2019
Withdrawal Rule concluded that because IRLs were twice excluded from
the statute, once from the GSIL definition in 42 U.S.C.
6291(30)(D)(ii)(XI) and once from the GSL definition in 42 U.S.C.
6291(30)(BB)(ii)(II), that means Congress did not want the Secretary to
include IRLs within the definition of GSL. 84 FR 46661, 46666. However,
the authorization in EPCA for the Secretary to evaluate whether an
exemption is to be continued does not limit such an evaluation to those
lamps exempted by definition only once. Therefore, in this NOPR, DOE is
reviewing its position in the September 2019 Withdrawal Rule that EPCA
precludes consideration of the exemption for IRLs simply because they
were exempted twice. 42 U.S.C. 6295(i)(6)(A)(i)(II) authorizes DOE to
decide not to maintain IRLs as exempt and, as such, DOE proposes to
amend the definitions of GSIL and GSL to discontinue the exemptions for
these products. As also presented in the January 2017 Final Rules, DOE
proposes to exempt from the definition of GSL reflector lamps 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 E26/24, E26d, E26/
50x39, E26/53x39, E29/28, E29/53x39, E39, E39d, EP39, or EX39 bases
because they do not and likely cannot have equivalent replacements
using more efficient technology. 82 FR 7276, 7310. This is consistent
with the definitions adopted in the January 2017 Final Rules.
F. Supplemental Definitions
In the January 2017 Final Rules, DOE set forth a series of
definitions in support of the statutory use of the terms and the
amended definitions for GSL and GSIL. Specifically, DOE set forth
definitions for ``Black light lamp,'' ``Bug lamp,'' ``Colored lamp,''
``General service light-emitting diode (LED) lamp,'' ``General service
organic lighting-emitting diode (OLED) lamp,'' ``Infrared lamp,''
``Integrated lamp,'' ``LED Downlight Retrofit Kit,'' ``Lefthand thread
lamp,'' ``Light fixture,'' ``Marine lamp,'' ``Marine signal service
lamp,'' ``Mine service lamp,'' ``Nonintegrated lamp,'' ``Other
fluorescent lamp,'' ``Pin base lamp,'' ``Plant light lamp,''
``Reflector lamp,'' ``Showcase Lamp,'' ``Sign service lamp,'' ``Silver
bowl lamp,'' ``Specialty MR lamp,'' and ``Traffic signal lamp.'' DOE
also revised the definition of ``designed and marketed.'' 82 FR 7276,
7321-7322.
In the September 2019 Withdrawal Rule, DOE withdrew the supporting
definitions finding them no longer necessary given the withdrawal of
the amended definitions of GSL and GSIL. 84 FR 46661, 46662.
In this NOPR, DOE is proposing supporting definitions for those
terms as set forth in the January 2017 Final Rules. DOE notes that the
terms for which definitions are proposed are used both in the statutory
definitions of GSL and GSIL, and the proposed regulatory definitions
for GSL and GSIL. As presented in the January 2017 Final Rules, DOE has
based the proposed definitions for these supplementary terms on a
review of the market and input from stakeholders. 82 FR 7276, 7312-
7316. As the supporting definitions define statutory terms, DOE
initially finds these definitions necessary even in the absence of
amended GSL and GSIL definitions.
G. Proposed Effective Date
For the proposed changes to amend the definition of GSL and GSIL in
this NOPR, DOE is proposing a 60-day effective date. If finalized,
lamps included in these amended definitions would be subject to any
applicable standards for GSLs and GSILs. While this notice does not
propose any new or amended standards or address the applicability of
the 45 lm/W backstop requirement, DOE is reconsidering its previous
conclusion regarding the applicability of EPCA's 45 lm/W backstop
provision and has issued an RFI to that effect. 86 FR 28001 (May 25,
2021). In that rulemaking, DOE will address application of standards
for those lamps proposed in this NOPR to be GSLs or GSILs--including,
if determined to be applicable, the implementation of the 45 lm/W
backstop requirement--and, consequently, the dates of required
compliance for GSLs and GSILs.
DOE requests comment on the effective date for the definitions
proposed in this NOPR were such definitions to be made final.
IV. Procedural Issues and Regulatory Review
A. Review Under Executive Orders 12866
The Office of Information and Regulatory Affairs (``OIRA'') in the
Office of Management and Budget (``OMB'') waived Executive Order 12866
(``E.O.'') 12866, ``Regulatory Planning and Review'' review of this
rule.
B. Review Under the Regulatory Flexibility Act
The Regulatory Flexibility Act (5 U.S.C. 601 et seq., as amended by
the Small Business Regulatory Enforcement Fairness Act of 1996)
requires preparation of an initial regulatory flexibility analysis
(``IRFA'') for any rule
[[Page 46621]]
that by law must be proposed for public comment, unless the agency
certifies that the rule, if promulgated, will not have a significant
economic impact on a substantial number of small entities. A regulatory
flexibility analysis examines the impact of the rule on small entities
and considers alternative ways of reducing negative effects. Also, as
required by E.O. 13272, ``Proper Consideration of Small Entities in
Agency Rulemaking,'' 67 FR 53461 (Aug. 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 website (<a href="https://energy.gov/gc/office-general-counsel">https://energy.gov/gc/office-general-counsel</a>).
DOE reviewed the definitions of GSL, GSILs, and related terms
proposed in this NOPR under the provisions of the Regulatory
Flexibility Act and the procedures and policies published on February
19, 2003. DOE certifies that this proposed rule would not have a
significant economic impact on a substantial number of small entities.
DOE notes that this proposed rule would merely define what constitutes
a GSL and GSIL. Manufacturers of GSLs and GSILs are required to use
DOE's test procedures to make representations and certify compliance
with standards, if required. The test procedure rulemakings for CFLs,
integrated LED lamps, and other GSLs addressed impacts on small
businesses due to test procedure requirements. 81 FR 59386 (Aug. 29,
2016); 81 FR 43404 (July 1, 2016); 81 FR 72493 (Oct. 20, 2016).
Further, as noted, DOE is considering EPCA's 45 lm/W backstop
requirement for GSLs and has issued an RFI to that effect. 86 FR 28001.
In that rulemaking, DOE plans to address the impact on small business
manufacturers of GSLs and GSILs of implementing the backstop.
For this reason, DOE concludes and certifies that the proposed
definitions would not have a significant economic impact on a
substantial number of small entities, and the preparation of an IRFA 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 the DOE
test procedures for GSLs and GSILs, 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 (Mar. 7, 2011); 80 FR
5099 (Jan. 30, 2015). 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. Public
reporting burden for the certification is estimated to average 35 hours
per response, including the time for reviewing instructions, searching
existing data sources, gathering and maintaining the data needed, and
completing and reviewing the collection of information.
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
DOE is analyzing this proposed regulation in accordance with the
National Environmental Policy Act (``NEPA'') and DOE's NEPA
implementing regulations (10 CFR part 1021). DOE's regulations include
a categorical exclusion for rulemakings interpreting or amending an
existing rule or regulation that does not change the environmental
effect of the rule or regulation being amended. 10 CFR part 1021,
subpart D, appendix A5. DOE anticipates that this proposed rulemaking
qualifies for categorical exclusion A5 because it is an interpretive
rulemaking that does not change the environmental effect of the rule
and otherwise meets the requirements for application of a categorical
exclusion. See 10 CFR 1021.410. DOE will complete its NEPA review
before issuing the final rule.
E. Review Under Executive Order 13132
E.O. 13132, ``Federalism,'' 64 FR 43255 (Aug. 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 proposed rule and has
tentatively 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 proposed
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 E.O. 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) 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 that Section 3(a) review, section 3(b)
of E.O. 12988 specifically requires that Executive agencies make every
reasonable effort to ensure that the regulation: (1) Clearly specifies
the preemptive effect, if any, (2) clearly specifies any effect on
existing Federal law or regulation, (3) provides a clear legal standard
for affected conduct while promoting simplification and burden
reduction, (4) specifies the retroactive effect, if any, (5) adequately
defines key terms, and (6) addresses other important issues affecting
clarity and general draftsmanship under any guidelines issued by the
Attorney General. Section 3(c) of Executive Order 12988 requires
Executive agencies to review regulations in light of applicable
standards in Section 3(a) and Section 3(b) to determine whether they
are met or it is unreasonable to meet one or more of them. DOE has
completed the required review and determined that, to the extent
permitted by law, this proposed rule meets the relevant standards of
E.O. 12988.
[[Page 46622]]
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, section 201 (codified at 2 U.S.C.
1531). For a proposed regulatory action likely to result in a rule that
may cause the expenditure by State, local, and Tribal governments, in
the aggregate, or by the private sector of $100 million or more in any
one year (adjusted annually for inflation), section 202 of UMRA
requires a Federal agency to publish a written statement that estimates
the resulting costs, benefits, and other effects on the national
economy. 2 U.S.C. 1532(a), (b). The UMRA also requires a Federal agency
to develop an effective process to permit timely input by elected
officers of State, local, and Tribal governments on a proposed
``significant intergovernmental mandate,'' and requires an agency plan
for giving notice and opportunity for timely input to potentially
affected small governments before establishing any requirements that
might significantly or uniquely affect 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 <a href="https://energy.gov/sites/prod/files/gcprod/documents/umra_97.pdf">https://energy.gov/sites/prod/files/gcprod/documents/umra_97.pdf</a>.
This proposed rulemaking does not contain a Federal
intergovernmental mandate, nor is it expected to require expenditures
of $100 million or more in any one year by the private sector. As a
result, the analytical requirements of UMRA 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 proposed rulemaking would not have any impact on the autonomy or
integrity of the family as an institution. Accordingly, DOE has
concluded that it is not necessary to prepare a Family Policymaking
Assessment.
I. Review Under Executive Order 12630
Pursuant to E.O. 12630, ``Govern- mental Actions and Interference
with Constitutionally Protected Property Rights,'' 53 FR 8859 (Mar. 15,
1988), DOE has determined that this proposed 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). Pursuant to OMB Memorandum M-19-15, Improving
Implementation of the Information Quality Act (April 24, 2019), DOE
published updated guidelines which are available at <a href="http://www.energy.gov/sites/prod/files/2019/12/f70/DOE%20Final%20Updated%20IQA%20Guidelines%20Dec%202019.pdf">www.energy.gov/sites/prod/files/2019/12/f70/DOE%20Final%20Updated%20IQA%20Guidelines%20Dec%202019.pdf</a>. DOE has
reviewed this NOPR 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
E.O. 13211, ``Actions Concerning Regulations That Significantly
Affect Energy Supply, Distribution, or Use,'' 66 FR 28355 (May 22,
2001), requires Federal agencies to prepare and submit to OIRA at OMB,
a Statement of Energy Effects for any proposed significant energy
action. A ``significant energy action'' is defined as any action by an
agency that promulgates or is expected to lead to promulgation of a
final rule, and that (1) is a significant regulatory action under
Executive Order 12866, or any successor order; and (2) is likely to
have a significant adverse effect on the supply, distribution, or use
of energy, or (3) is designated by the Administrator of OIRA as a
significant energy action. For any proposed significant energy action,
the agency must give a detailed statement of any adverse effects on
energy supply, distribution, or use should the proposal be implemented,
and of reasonable alternatives to the action and their expected
benefits on energy supply, distribution, and use.
DOE has tentatively concluded that this regulatory action, which
proposes amended definitions for GSL and GSIL, is not a significant
energy action because the proposed definitions are not likely to have a
significant adverse effect on the supply, distribution, or use of
energy. Accordingly, DOE has not prepared a Statement of Energy Effects
on this proposed rule.
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 proposed rule authorizes or requires use of commercial
standards, the notice of proposed rulemaking 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. This proposal to amend
the definitions of GSL and GSIL does not propose the use of any
commercial standards.
M. Materials Incorporated by Reference
The proposed modifications to the definition of ``general service
lamp'' and the associated supporting definitions reference the
following commercial standards that are already incorporated by
reference in 10 CFR 430.2:
(1) ANSI C78.20-2003, Revision of ANSI C78.20-1995 (``ANSI
C78.20''), American National Standard for electric lamps--A, G, PS, and
Similar Shapes with E26 Medium Screw Bases, approved October 30, 2003.
(2) ANSI C79.1-2002, American National Standard for Electric
Lamps--Nomenclature for Glass Bulbs Intended for Use with Electric
Lamps, approved September 16, 2002.
(3) CIE 13.3-1995 (``CIE 13.3''), Technical Report: Method of
Measuring and Specifying Colour Rendering Properties of Light Sources,
1995, ISBN 3 900 734 57 7.
DOE has evaluated these standards and is unable to conclude whether
they fully comply with the requirements of Section 32(b) of the FEAA
(i.e., that they were developed in a manner that fully provides for
public participation, comment, and review). DOE will consult with both
the Attorney General and the Chairman of the FTC concerning the impact
of these test procedures on competition, prior to adopting a final
rule.
[[Page 46623]]
V. Public Participation
A. Attendance at the Webinar
The time and date of the webinar meeting are listed in the DATES
section at the beginning of this document. Webinar registration
information, participant instructions, and information about the
capabilities available to webinar participants will be published on
DOE's website: <a href="https://www1.eere.energy.gov/buildings/appliance_standards/standards.aspx?productid=4">https://www1.eere.energy.gov/buildings/appliance_standards/standards.aspx?productid=4</a> Participants are
responsible for ensuring their systems are compatible with the webinar
software.
B. Procedure for Submitting Prepared General Statements for
Distribution
Any person who has an interest in the topics addressed in this
notice, or who is a representative of a group or class of persons that
has an interest in these issues, may request an opportunity to make an
oral presentation at the webinar. Such persons may submit to
<a href="/cdn-cgi/l/email-protection#105160607c79717e73754364717e74716274634165756364797f7e635075753e747f753e777f66"><span class="__cf_email__" data-cfemail="3a7b4a4a56535b54595f694e5b545e5b485e496b4f5f494e535554497a5f5f145e555f145d554c">[email protected]</span></a>. Persons who wish to speak
should include with their request a computer file in WordPerfect,
Microsoft Word, PDF, or text (ASCII) file format that briefly describes
the nature of their interest in this rulemaking and the topics they
wish to discuss. Such persons should also provide a daytime telephone
number where they can be reached.
C. Conduct of the Webinar
DOE will designate a DOE official to preside at the webinar/public
meeting and may also use a professional facilitator to aid discussion.
The meeting will not be a judicial or evidentiary-type public hearing,
but DOE will conduct it in accordance with section 336 of EPCA (42
U.S.C. 6306). A court reporter will be present to record the
proceedings and prepare a transcript. DOE reserves the right to
schedule the order of presentations and to establish the procedures
governing the conduct of the webinar/public meeting. There shall not be
discussion of proprietary information, costs or prices, market share,
or other commercial matters regulated by U.S. antitrust laws. After the
webinar/public meeting and until the end of the comment period,
interested parties may submit further comments on the proceedings and
any aspect of the rulemaking.
The webinar/public meeting will be conducted in an informal,
conference style. DOE will present summaries of comments received
before the webinar/public meeting, allow time for prepared general
statements by participants, and encourage all interested parties to
share their views on issues affecting this rulemaking. Each participant
will be allowed to make a general statement (within time limits
determined by DOE), before the discussion of specific topics. DOE will
permit, as time permits, other participants to comment briefly on any
general statements.
At the end of all prepared statements on a topic, DOE will permit
participants to clarify their statements briefly. Participants should
be prepared to answer questions by DOE and by other participants
concerning these issues. DOE representatives may also ask questions of
participants concerning other matters relevant to this rulemaking. The
official conducting the webinar/public meeting will accept additional
comments or questions from those attending, as time permits. The
presiding official will announce any further procedural rules or
modification of the above procedures that may be needed for the proper
conduct of the webinar/public meeting.
A transcript of the webinar/public meeting will be included in the
docket, which can be viewed as described in the Docket section at the
beginning of this proposed rulemaking. In addition, any person may buy
a copy of the transcript from the transcribing reporter.
D. Submission of Comments
DOE will accept comments, data, and information regarding this
proposed rule before or after the public meeting, but no later than the
date provided in the DATES section at the beginning of this proposed
rule. Interested parties may submit comments, data, and other
information using any of the methods described in the ADDRESSES section
at the beginning of this document.
Submitting comments via <a href="http://www.regulations.gov">www.regulations.gov</a>. The
<a href="http://www.regulations.gov">www.regulations.gov</a> web page will require you to provide your name and
contact information. Your contact information will be viewable to DOE
Building Technologies staff only. Your contact information will not be
publicly viewable except for your first and last names, organization
name (if any), and submitter representative name (if any). If your
comment is not processed properly because of technical difficulties,
DOE will use this information to contact you. If DOE cannot read your
comment due to technical difficulties and cannot contact you for
clarification, DOE may not be able to consider your comment.
However, your contact information will be publicly viewable if you
include it in the comment itself or in any documents attached to your
comment. Any information that you do not want to be publicly viewable
should not be included in your comment, nor in any document attached to
your comment. Otherwise, persons viewing comments will see only first
and last names, organization names, correspondence containing comments,
and any documents submitted with the comments.
Do not submit to <a href="http://www.regulations.gov">www.regulations.gov</a> information for which
disclosure is restricted by statute, such as trade secrets and
commercial or financial information (hereinafter referred to as
Confidential Business Information (``CBI'')). Comments submitted
through <a href="http://www.regulations.gov">www.regulations.gov</a> cannot be claimed as CBI. Comments received
through the website will waive any CBI claims for the information
submitted. For information on submitting CBI, see the Confidential
Business Information section.
DOE processes submissions made through <a href="http://www.regulations.gov">www.regulations.gov</a> before
posting. Normally, comments will be posted within a few days of being
submitted. However, if large volumes of comments are being processed
simultaneously, your comment may not be viewable for up to several
weeks. Please keep the comment tracking number that <a href="http://www.regulations.gov">www.regulations.gov</a>
provides after you have successfully uploaded your comment.
Submitting comments via email. Comments and documents submitted via
email also will be posted to <a href="http://www.regulations.gov">www.regulations.gov</a>. If you do not want
your personal contact information to be publicly viewable, do not
include it in your comment or any accompanying documents. Instead,
provide your contact information in a cover letter. Include your first
and last names, email address, telephone number, and optional mailing
address. The cover letter will not be publicly viewable as long as it
does not include any comments.
Include contact information each time you submit comments, data,
documents, and other information to DOE. No telefacsimiles (``faxes'')
will be accepted.
Comments, data, and other information submitted to DOE
electronically should be provided in PDF (preferred), Microsoft Word or
Excel, WordPerfect, or text (ASCII) file format. Provide documents that
are not secured, that are written in English, and that are free of any
defects or viruses. Documents should not contain special characters or
any form of encryption and, if possible, they should carry the
electronic signature of the author.
[[Page 46624]]
Campaign form letters. Please submit campaign form letters by the
originating organization in batches of between 50 to 500 form letters
per PDF or as one form letter with a list of supporters' names compiled
into one or more PDFs. This reduces comment processing and posting
time.
Confidential Business Information. Pursuant to 10 CFR 1004.11, any
person submitting information that he or she believes to be
confidential and exempt by law from public disclosure should submit via
email two well-marked copies: one copy of the document marked
``confidential'' including all the information believed to be
confidential, and one copy of the document marked ``non-confidential''
with the information believed to be confidential deleted. DOE will make
its own determination about the confidential status of the information
and treat it according to its determination.
It is DOE's policy that all comments may be included in the public
docket, without change and as received, including any personal
information provided in the comments (except information deemed to be
exempt from public disclosure).
VI. Approval of the Office of the Secretary
The Secretary of Energy has approved publication of this notice of
proposed rulemaking.
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.
Signing Authority
This document of the Department of Energy was signed on August 9,
2021, by Kelly Speakes-Backman, Principal Deputy Assistant Secretary
and Acting Assistant Secretary for Energy Efficiency and Renewable
Energy, pursuant to delegated authority from the Secretary of Energy.
That document with the original signature and date is maintained by
DOE. For administrative purposes only, and in compliance with
requirements of the Office of the Federal Register, the undersigned DOE
Federal Register Liaison Officer has been authorized to sign and submit
the document in electronic format for publication, as an official
document of the Department of Energy. This administrative process in no
way alters the legal effect of this document upon publication in the
Federal Register.
Signed in Washington, DC, on August 10, 2021.
Treena V. Garrett,
Federal Register Liaison Officer, U.S. Department of Energy.
For the reasons set forth in the preamble, DOE proposes to amend
part 430 of chapter II, subchapter D, of title 10 of the Code of
Federal Regulations, as set forth below:
PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS
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. Section 430.2 is amended by:
0
a. Adding in alphabetical order the definitions of ``Black light
lamp,'' ``Bug lamp,'' ``Colored lamp,'' ``General service light-
emitting diode (LED) lamp,'' ``General service organic lighting-
emitting diode (OLED) lamp,'' ``Infrared lamp,'' ``Integrated lamp,''
``LED Downlight Retrofit Kit,'' ``Left-hand thread lamp,'' ``Light
fixture,'' ``Marine lamp,'' ``Marine signal service lamp,'' ``Mine
service lamp,'' ``Non-integrated lamp,'' ``Other fluorescent lamp,''
``Pin base lamp,'' ``Plant light lamp,'' ``Reflector lamp,'' ``Showcase
Lamp,'' ``Sign service lamp,'' ``Silver bowl lamp,'' ``Specialty MR
lamp,'' and ``Traffic signal lamp;'' and
0
b. Revising the definitions of ``Designed and marketed,'' ``General
service incandescent lamp,'' and ``General service lamp.''
The additions and revisions read as follows:
Sec. 430.2 Definitions.
* * * * *
Black light lamp means a lamp that is designed and marketed as a
black light lamp and is an ultraviolet lamp with the highest radiant
power peaks in the UV-A band (315 to 400 nm) of the electromagnetic
spectrum.
* * * * *
Bug lamp means a lamp that is designed and marketed as a bug lamp,
has radiant power peaks above 550 nm on the electromagnetic spectrum,
and has a visible yellow coating.
* * * * *
Colored lamp means a colored fluorescent lamp, a colored
incandescent lamp, or a lamp designed and marketed as a colored lamp
with either of the following characteristics (if multiple modes of
operation are possible [such as variable CCT], either of the below
characteristics must be maintained throughout all modes of operation):
(1) A CRI less than 40, as determined according to the method set
forth in CIE Publication 13.3 (incorporated by reference; see Sec.
430.3); or
(2) A CCT less than 2,500 K or greater than 7,000 K.
* * * * *
Designed and marketed means exclusively designed to fulfill the
indicated application and, when distributed in commerce, designated and
marketed solely for that application, with the designation prominently
displayed on the packaging and all publicly available documents (e.g.,
product literature, catalogs, and packaging labels). This definition
applies to the following covered lighting products: Fluorescent lamp
ballasts; fluorescent lamps; general service fluorescent lamps; general
service incandescent lamps; general service lamps; incandescent lamps;
incandescent reflector lamps; compact fluorescent lamps (including
medium base compact fluorescent lamps); LED lamps; and specialty
application mercury vapor lamp ballasts.
* * * * *
General service incandescent lamp means a standard incandescent or
halogen type lamp that is intended for general service applications;
has a medium screw base; has a lumen range of not less than 310 lumens
and not more than 2,600 lumens or, in the case of a modified spectrum
lamp, not less than 232 lumens and not more than 1,950 lumens; and is
capable of being operated at a voltage range at least partially within
110 and 130 volts; however, this definition does not apply to the
following incandescent lamps--
(1) An appliance lamp;
(2) A black light lamp;
(3) A bug lamp;
(4) A colored lamp;
(5) A G shape lamp with a diameter of 5 inches or more as defined
in ANSI C79.1-2002 (incorporated by reference; see Sec. 430.3);
(6) An infrared lamp;
(7) A left-hand thread lamp;
(8) A marine lamp;
(9) A marine signal service lamp;
(10) A mine service lamp;
(11) A plant light lamp;
(12) An R20 short lamp;
(13) A sign service lamp;
(14) A silver bowl lamp;
(15) A showcase lamp; and
(16) A traffic signal lamp.
General service lamp means 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
[[Page 46625]]
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:
(1) Appliance lamps;
(2) Black light lamps;
(3) Bug lamps;
(4) Colored lamps;
(5) G shape lamps with a diameter of 5 inches or more as defined in
ANSI C79.1-2002 (incorporated by reference; see Sec. 430.3);
(6) General service fluorescent lamps;
(7) High intensity discharge lamps;
(8) Infrared lamps;
(9) J, JC, JCD, JCS, JCV, JCX, JD, JS, and JT shape lamps that do
not have Edison screw bases;
(10) Lamps that have a wedge base or prefocus base;
(11) Left-hand thread lamps;
(12) Marine lamps;
(13) Marine signal service lamps;
(14) Mine service lamps;
(15) MR shape lamps that have a first number symbol equal to 16
(diameter equal to 2 inches) as defined in ANSI C79.1-2002
(incorporated by reference; see Sec. 430.3), operate at 12 volts, and
have a lumen output greater than or equal to 800;
(16) Other fluorescent lamps;
(17) Plant light lamps;
(18) R20 short lamps;
(19) 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 (incorporated by reference; see Sec. 430.3) and that
do not have E26/E24, E26d, E26/50x39, E26/53x39, E29/28, E29/53x39,
E39, E39d, EP39, or EX39 bases;
(20) 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 (incorporated by reference; see Sec.
430.3);
(21) Sign service lamps;
(22) Silver bowl lamps;
(23) Showcase lamps;
(24) Specialty MR lamps;
(25) 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 (incorporated by reference; see Sec. 430.3), nominal
overall length less than 12 inches, and that are not compact
fluorescent lamps (as defined in this section);
(26) Traffic signal lamps.
General service light-emitting diode (LED) lamp means an integrated
or nonintegrated LED lamp designed for use in general lighting
applications (as defined in this section) and that uses light emitting
diodes as the primary source of light.
General service organic light-emitting diode (OLED) lamp means an
integrated or non-integrated OLED lamp designed for use in general
lighting applications (as defined in this section) and that uses
organic light-emitting diodes as the primary source of light.
* * * * *
Infrared lamp means a lamp that is designed and marketed as an
infrared lamp; has its highest radiant power peaks in the infrared
region of the electromagnetic spectrum (770 nm to 1 mm); has a rated
wattage of 125 watts or greater; and which has a primary purpose of
providing heat.
* * * * *
Integrated lamp means a lamp that contains all components necessary
for the starting and stable operation of the lamp, does not include any
replaceable or interchangeable parts, and is connected directly to a
branch circuit through an ANSI base and corresponding ANSI standard
lampholder (socket).
* * * * *
LED Downlight Retrofit Kit means a product designed and marketed to
install into an existing downlight, replacing the existing light source
and related electrical components, typically employing an ANSI standard
lamp base, either integrated or connected to the downlight retrofit by
wire leads, and is a retrofit kit. LED downlight retrofit kit does not
include integrated lamps or non-integrated lamps.
Left-hand thread lamp means a lamp with direction of threads on the
lamp base oriented in the left-hand direction.
* * * * *
Light fixture means a complete lighting unit consisting of light
source(s) and ballast(s) or driver(s) (when applicable) together with
the parts designed to distribute the light, to position and protect the
light source, and to connect the light source(s) to the power supply.
* * * * *
Marine lamp means a lamp that is designed and marketed for use on
boats and can operate at or between 12 volts and 13.5 volts.
Marine signal service lamp means a lamp that is designed and
marketed for marine signal service applications.
* * * * *
Mine service lamp means a lamp that is designed and marketed for
mine service applications.
* * * * *
Non-integrated lamp means a lamp that is not an integrated lamp.
* * * * *
Other fluorescent lamp means low pressure mercury electric-
discharge sources in which a fluorescing coating transforms some of the
ultraviolet energy generated by the mercury discharge into light and
include circline lamps and include double-ended lamps with the
following characteristics: Lengths from one to eight feet; designed for
cold temperature applications; designed for use in reprographic
equipment; designed to produce radiation in the ultraviolet region of
the spectrum; impact-resistant; reflectorized or aperture; or a CRI of
87 or greater.
* * * * *
Pin base lamp means a lamp that uses a base type designated as a
single pin base or multiple pin base system.
* * * * *
Plant light lamp means a lamp that is designed to promote plant
growth by emitting its highest radiant power peaks in the regions of
the electromagnetic spectrum that promote photosynthesis: Blue (440 nm
to 490 nm) and/or red (620 to 740 nm), and is designed and marketed for
plant growing applications.
* * * * *
Reflector lamp means a lamp that has an R, PAR, BPAR, BR, ER, MR,
or similar bulb shape as defined in ANSI C78.20 and ANSI C79.1-2002
(both incorporated by reference; see Sec. 430.3) and is used to
provide directional light.
* * * * *
Showcase lamp means a lamp that has a T shape as specified in ANSI
C78.20 and ANSI C79.1-2002 (both incorporated by reference; see Sec.
430.3), is designed and marketed as a showcase lamp, and has a maximum
rated wattage of 75 watts.
* * * * *
Sign service lamp means a vacuum type or gas-filled lamp that has
sufficiently low bulb temperature to permit exposed outdoor use on
highspeed flashing circuits, is designed and marketed as a sign service
lamp, and has a maximum rated wattage of 15 watts.
Silver bowl lamp means a lamp that has an opaque reflective coating
applied
[[Page 46626]]
directly to part of the bulb surface that reflects light toward the
lamp base and that is designed and marketed as a silver bowl lamp.
* * * * *
Specialty MR lamp means a lamp that has an MR shape as defined in
ANSI C79.1-2002 (incorporated by reference; see Sec. 430.3), a
diameter of less than or equal to 2.25 inches, a lifetime of less than
or equal to 300 hours, and that is designed and marketed for a
specialty application.
* * * * *
Traffic signal lamp means a lamp that is designed and marketed for
traffic signal applications and has a lifetime of 8,000 hours or
greater.
* * * * *
[FR Doc. 2021-17346 Filed 8-18-21; 8:45 am]
BILLING CODE 6450-01-P
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