[Federal Register Volume 82, Number 12 (Thursday, January 19, 2017)]
[Rules and Regulations]
[Pages 7322-7333]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-32012]


-----------------------------------------------------------------------

DEPARTMENT OF ENERGY

10 CFR Part 430

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


Energy Conservation Program: Energy Conservation Standards for 
General Service Lamps

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

ACTION: Final rule.

-----------------------------------------------------------------------

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

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

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

[[Page 7323]]

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

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

SUPPLEMENTARY INFORMATION: 

Table of Contents

I. Introduction
II. Authority and Rulemaking Process
III. Definition of General Service Lamp
    1. Incandescent Reflector Lamps
    2. Summary and Regulatory Text Definition
IV. Effective Date
V. Procedural Issues and Regulatory Review
    A. Review Under Executive Orders 12866 and 13563
    B. Review Under the Regulatory Flexibility Act
    C. Review Under the Paperwork Reduction Act
    D. Review Under the National Environmental Policy Act of 1969
    E. Review Under Executive Order 13132
    F. Review Under Executive Order 12988
    G. Review Under the Unfunded Mandates Reform Act of 1995
    H. Review Under the Treasury and General Government 
Appropriations Act, 1999
    I. Review Under Executive Order 12630
    J. Review Under the Treasury and General Government 
Appropriations Act, 2001
    K. Review Under Executive Order 13211
    L. Review Under Section 32 of the Federal Energy Administration 
Act of 1974
    M. Congressional Notification
VI. Approval of the Office of the Secretary

I. Introduction

    Title III, Part B of the Energy Policy and Conservation Act of 1975 
(EPCA or the Act), Public Law 94-163 (42 U.S.C. 6291-6309, as codified) 
established the Energy Conservation Program for Consumer Products Other 
Than Automobiles, a program covering most major household appliances 
(collectively referred to as ``covered products'').\1\ Subsequent 
amendments expanded Title III of EPCA to include additional consumer 
products, including general service lamps (GSLs)--the products that are 
the focus of this final rule.
---------------------------------------------------------------------------

    \1\ Part B was re-designated Part A on codification in the U.S. 
Code for editorial reasons.
---------------------------------------------------------------------------

    In particular, amendments to EPCA in the Energy Independence and 
Security Act of 2007 (EISA 2007) directed DOE to engage in rulemakings 
regarding GSLs. (42 U.S.C. 6295(i)(6)(A)-(B)) EPCA, as amended by EISA 
2007, directs DOE to initiate a rulemaking no later than January 1, 
2014, to determine whether standards in effect for GSLs should be 
amended and determine whether exemptions for certain incandescent lamps 
should be maintained or discontinued. (42 U.S.C. 6295(i)(6)(A)(i)) The 
scope of the rulemaking is not limited to incandescent lamp 
technologies. (42 U.S.C. 6295(i)(6)(A)(ii)) Further, for this first 
cycle of rulemaking, the EISA 2007 amendments provide that DOE must 
consider a minimum standard of 45 lumens per watt (lm/W). (42 U.S.C. 
6295(i)(6)(A)(ii)) If DOE fails to complete a rulemaking in accordance 
with 42 U.S.C. 6295(i)(6)(A)(i)-(iv) or a final rule from the first 
rulemaking cycle does not produce savings greater than or equal to the 
savings from a minimum efficacy standard of 45 lm/W, the statute 
provides a ``backstop'' under which DOE must prohibit sales of GSLs 
that do not meet a minimum 45 lm/W standard beginning on January 1, 
2020. (42 U.S.C. 6295(i)(6)(A)(v))
    In March 2016, DOE published a notice of proposed rulemaking (NOPR) 
that proposed a revised definition of GSL and energy conservation 
standards for certain GSLs (hereafter the ``March 2016 GSL ECS NOPR''). 
81 FR 14528 (March 17, 2016). In conjunction with the March 2016 GSL 
ECS NOPR, DOE also published on its Web site the complete technical 
support document (TSD) for the proposed rule, which described the 
analyses DOE conducted and included technical documentation for each 
analysis. The TSD also included the life cycle cost (LCC) spreadsheet, 
the national impact analysis spreadsheet, and the manufacturer impact 
analysis (MIA) spreadsheet.\2\
---------------------------------------------------------------------------

    \2\ The spreadsheets developed for this rulemaking proceeding 
are available at: https://www1.eere.energy.gov/buildings/appliance_standards/standards.aspx?productid=4.
---------------------------------------------------------------------------

    DOE held a public meeting on April 20, 2016, to hear oral comments 
on and solicit information relevant to the proposed rule. At this 
meeting, DOE heard concerns from stakeholders regarding the expansion 
of scope in the proposed GSL definition and DOE's approach to analyzing 
the 22 GSIL exemptions. In addition, DOE received written comments that 
reiterated these concerns, and also provided additional data for DOE's 
consideration. Specifically, the National Electrical Manufacturers 
Association (NEMA) provided new data and information on the 22 exempted 
lamp types to inform DOE's evaluation of whether the exemptions should 
be maintained or discontinued as required by 42 U.S.C. 
6295(i)(6)(A)(i)(II).
    After the publication of the March 2016 GSL ECS NOPR, DOE analyzed 
the data submitted by NEMA and collected additional data where 
available. DOE published a notice of proposed definition and data 
availability (hereafter the ``October 2016 NOPDDA'') to: (1) Propose a 
revised definition of GSL that included, among other lamp types, IRLs; 
(2) announce the availability of the NEMA data and supplemental data 
collected by DOE; (3) request public comment on proposed definitions 
and compiled data; and (4) request any additional data that 
stakeholders may have in support of this evaluation. 81 FR 71794 
(October 18, 2016). DOE also held a public meeting on October 21, 2016 
to hear oral comments and solicit information relevant to the October 
2016 NOPDDA.
    In a separate final rule being published in the same issue of the 
Federal Register, DOE has adopted a definition of GSL that reflects its 
discontinuation of certain exemptions and its maintaining of others, 
and its interpretation and application of certain clauses of the 
statutory definition of GSL (hereafter the ``GSL definition final 
rule''). In that rule, DOE postponed its decision on the IRL exemption, 
which it had previously proposed to discontinue. Accordingly, that rule 
perpetuated the IRL exemption in DOE's regulatory definition. In this 
final rule, DOE determines to discontinue the IRL exemption, and it is 
amending its definition of GSL accordingly.
    The following sections of this final rule respond to comments 
received on the October 2016 NOPDDA and during the NOPDDA public 
meeting regarding IRLs in more detail.

II. Authority and Rulemaking Process

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

[[Page 7324]]

qualify lamps as general service lamps upon determining that they are 
``used to satisfy lighting applications traditionally served by general 
service incandescent lamps.'' (42 U.S.C. 6291(30)(BB)(i)(IV))
    An additional statute relevant to this rulemaking is section 312 of 
the Consolidated and Further Continuing Appropriations Act, 2016 (Pub. 
L. 114-113, 129 Stat. 2419; hereafter referred to as the 
``Appropriations Rider'') that prohibits expenditure of funds 
appropriated by that law to implement or enforce: (1) 10 CFR 430.32(x), 
which includes maximum wattage and minimum rated lifetime requirements 
for GSILs; and (2) standards set forth in section 325(i)(1)(B) of EPCA 
(42 U.S.C. 6295(i)(1)(B)), which sets minimum lamp efficiency ratings 
for incandescent reflector lamps (IRLs).\3\
---------------------------------------------------------------------------

    \3\ This provision of the Consolidated and Further Continuing 
Appropriations Act, 2016 has been extended to the current 
appropriations authorization. See, The Continuing Appropriations and 
Military Construction, Veteran Affairs, and Related Agencies 
Appropriations Act, 2017 and Zika Response and Preparedness Act, 
2017 (Pub. L. 114-223, 130 Stat. 908).
---------------------------------------------------------------------------

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

[[Page 7325]]

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

    \4\ The EISA section 321 standards imposed a maximum wattage of 
29 watts for lamps between 310 and 749 lumens of output. Meanwhile 
IRLs, according to section 6291(30)(C)(ii), include only lamps above 
40 watts.
---------------------------------------------------------------------------

    In light of these observations, DOE understands the definition of 
``general service lamp'' as follows (as concerns reflector lamps and 
IRLs): Until DOE discontinued the relevant exemptions, no ``reflector 
lamps,'' as the term is used in section 6291(30)(D)(ii), were GSILs or

[[Page 7326]]

GSLs. Depending on how DOE interprets the ``reflector lamp'' exemption, 
some IRLs may be GSILs (due to not falling in the possibly narrower 
``reflector lamp'' exemption).\5\ However, even those that are GSILs 
are not GSLs, because the definition of GSLs says they include GSILs 
but do not include IRLs.
---------------------------------------------------------------------------

    \5\ DOE has not thus far articulated an interpretation of the 
``reflector lamp'' exemption that would resolve the status of IRLs.
---------------------------------------------------------------------------

    In principle, then, DOE has had two tasks regarding exemptions 
relevant for reflector lamps. With respect to ``reflector lamps,'' it 
was to assess whether that one of the relatively narrow 22 listed lamp 
types--the scope of which the statute does not make clear--has uses in 
general illumination, and whether sales data and other evidence 
indicate that such lamps are ready substitutes for lamps that are 
already included as GSLs. DOE has finalized this analysis in a separate 
final rule, the GSL definition final rule. By contrast, as noted 
previously, the category of IRLs includes lamps that, as of 2007, it 
was already evident were being used in general lighting applications. 
However, DOE must still analyze whether, in light of sales data and 
other evidence, IRLs are an important enough substitute for lamps 
already included as GSLs to warrant discontinuing their exemption. This 
analysis is the subject of this final rule and discussed in more detail 
in the section that follows.

III. Definition of General Service Lamp

A. Incandescent Reflector Lamps

    The term general service lamp (GSL) includes general service 
incandescent lamps (GSILs), compact fluorescent lamps (CFLs), general 
service light-emitting diode (LED) and organic light-emitting diode 
(OLED) lamps, and any other lamps that DOE determines are used to 
satisfy lighting applications traditionally served by GSILs; however, 
GSLs do not include any lighting application or bulb shape that under 
42 U.S.C. 6291(30)(D)(ii) is not included in the ``general service 
incandescent lamp'' definition, or any general service fluorescent lamp 
or incandescent reflector lamp. (42 U.S.C. 6291(30)(BB)) The October 
2016 NOPDDA revisited the proposed definition of GSL from the March 
2016 GSL ECS NOPR, including the exemptions contained in the GSIL and 
GSL definitions, and proposed a revised definition of ``general service 
lamp'' in Sec.  430.2 to capture various criteria and delineate the 
lamp types considered to be GSLs. 81 FR 71806-71807. More specifically, 
DOE proposed a definition for GSL in the October 2016 NOPDDA. A general 
service lamp, as proposed, would be a lamp that has an ANSI base, 
operates at any voltage, has an initial lumen output of greater than or 
equal to 310 lumens (or 232 lumens for modified spectrum general 
service incandescent lamps) and less than or equal to 4,000 lumens, is 
not a light fixture, is not an LED downlight retrofit kit, and is used 
in general lighting applications. General service lamps include, but 
are not limited to, general service incandescent lamps, compact 
fluorescent lamps, general service light-emitting diode lamps, and 
general service organic light-emitting diode lamps, but do not include 
general service fluorescent lamps; linear fluorescent lamps of lengths 
from one to eight feet; circline fluorescent lamps; fluorescent lamps 
specifically designed for cold temperature applications; impact-
resistant fluorescent lamps; reflectorized or aperture fluorescent 
lamps; fluorescent lamps designed for use in reprographic equipment; 
fluorescent lamps primarily designed to produce radiation in the ultra-
violet region of the spectrum; fluorescent lamps with a color rendering 
index of 87 or greater; R20 short lamps; specialty MR lamps; appliance 
lamps; black light lamps; bug lamps; colored lamps; infrared lamps; 
left-hand thread lamps, marine lamps, marine signal service lamps; mine 
service lamps; plant light lamps; sign service lamps; silver bowl 
lamps, showcase lamps, and traffic signal lamps.
    In support of its analysis of whether to maintain or discontinue an 
exemption, in the October 2016 NOPDDA DOE presented estimated sales 
data. NEMA stated that sales for most of the exempted lamps are 
declining and that it was the intent of Congress to require that DOE 
find sales increasing as a prerequisite to discontinue an exemption. 
(NEMA, No. 83 at p. 34; NEMA No. 93 at p. 12) NEMA pointed to the 
petition process established under section 321 of EISA 2007 as 
indicative of that intent. (NEMA, No. 93 at pp. 12-13) NEMA and 
LEDVANCE noted that Congress required a demonstration of increased 
sales as a prerequisite for DOE to grant a petition submitted by the 
public to reconsider an exemption, and that DOE must be guided by the 
same consideration when determining whether an exemption should be 
maintained under 42 U.S.C. 6295(i)(6)(A)(i)(II). (NEMA, No. 83 at pp. 
33-34; LEDVANCE, No. 90 at pp. 25-27) NEMA and LEDVANCE cited the 
requirement under 42 U.S.C. 6295(i)(6)(A)(i)(II) for DOE to consider, 
in part, ``exempted lamp sales'' collected by DOE as supporting the 
requirement for increased lamp sales in order to discontinue an 
exemption. (NEMA, No. 93 at 5; LEDVANCE, No. 90 at p. 26) NEMA and 
LEDVANCE added that a determination of lamp switching must be driven by 
data showing increased sales. (NEMA No. 93 at p. 13; LEDVANCE, No. 90 
at pp. 25-27) NEMA and LEDVANCE concluded that the October 2016 NOPDDA 
did not provide data indicating that lamp switching was occurring, and 
rather data from the Energy Information Administration \6\ shows that 
sales are decreasing. NEMA and LEDVANCE commented that if DOE was 
petitioned under section 325(i)(3)(E), it would not grant the petition 
or decide to regulate these specialty lamps and therefore any other 
action taken under section 325(i)(6)(A) is illogical. (NEMA, No. 93 at 
p. 13; LEDVANCE, No. 90 at pp. 25-27)
---------------------------------------------------------------------------

    \6\ See Energy Information Administration, Sales of specialty 
incandescent bulbs decline despite exemption from efficiency 
standards (April 2, 2013) available at: http://www.eia.gov/todayinenergy/detail.php?id=10631.
---------------------------------------------------------------------------

    As DOE has explained in the GSL definition final rule that is being 
published in the same issue of the Federal Register, the petition 
process from EISA section 321(a)(3) is distinct from the decision that 
subparagraph (6)(A)(i)(II) calls for about maintaining or discontinuing 
exemptions. The statute does not require DOE to consider the same 
factors in the clause (i)(II) decision that it would in reviewing a 
petition. In particular, it does not restrict DOE to discontinuing an 
exemption only if sales of lamps within that exemption are increasing. 
While increases or decreases in lamp sales are an important 
consideration, DOE believes it can in some circumstances be appropriate 
to discontinue an exemption even at a time when sales of those lamps 
are decreasing. As described by GE, LEDVANCE, and Westinghouse, 
incandescent sales can be decreasing because consumers are purchasing 
LED versions of the same lamp. Thus, the lamp itself is not unpopular 
but rather is undergoing a shift in technology. For example, GE stated 
that sales of IRLs have been declining significantly over the last five 
years but that was in large part caused by the increasing sales of LED 
reflector lamps. (GE, No. 83 at pp. 38, 84-85; LEDVANCE, No. 90 at p. 
35; Westinghouse, No. 83 at pp. 128-129) Consequently, it can in some 
circumstances be appropriate to

[[Page 7327]]

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

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

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

[[Page 7328]]

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

[[Page 7329]]

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

[[Page 7330]]

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

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

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

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

B. Summary and Regulatory Text Definition

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

IV. Effective Date

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

V. Procedural Issues and Regulatory Review

A. Review Under Executive Orders 12866 and 13563

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

B. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires that 
when an agency promulgates a final rule under 5 U.S.C. 553, after being 
required by that section or any other law to publish a general NOPR, 
the agency shall prepare a final regulatory flexibility analysis 
(FRFA), unless the agency certifies that the rule will not have a 
significant economic impact on a substantial number of small entities. 
As required by Executive Order 13272, ``Proper Consideration of Small 
Entities in Agency Rulemaking,'' 67 FR 53461 (August 16, 2002), DOE 
published procedures and policies on February 19, 2003, to ensure that 
the potential impacts of its rules on small entities are properly 
considered during the rulemaking process. 68 FR 7990. DOE has made its 
procedures and policies available on the Office of the General 
Counsel's Web site (http://energy.gov/gc/office-general-counsel).
    DOE reviewed the definition of GSL amended in this final rule under 
the provisions of the Regulatory Flexibility

[[Page 7331]]

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

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

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

C. Review Under the Paperwork Reduction Act

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

D. Review Under the National Environmental Policy Act of 1969

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

E. Review Under Executive Order 13132

    Executive Order 13132, ``Federalism,'' 64 FR 43255 (August 10, 
1999), imposes certain requirements on federal agencies formulating and 
implementing policies or regulations that preempt state law or that 
have Federalism implications. The Executive Order requires agencies to 
examine the constitutional and statutory authority supporting any 
action that would limit the policymaking discretion of the states and 
to carefully assess the necessity for such actions. The Executive Order 
also requires agencies to have an accountable process to ensure 
meaningful and timely input by state and local officials in the 
development of regulatory policies that have Federalism implications. 
On March 14, 2000, DOE published a statement of policy describing the 
intergovernmental consultation process it will follow in the 
development of such regulations. 65 FR 13735. DOE has examined this 
rule and has determined that it would not have a substantial direct 
effect on the states, on the relationship between the national 
government and the states, or on the distribution of power and 
responsibilities among the various levels of government. EPCA governs 
and prescribes federal preemption of state regulations as to energy 
conservation for the products that are the subject of this final rule. 
States can petition DOE for exemption from such preemption to the 
extent, and based on criteria, set forth in EPCA. (42 U.S.C. 6297) 
Therefore, no further action is required by Executive Order 13132.

F. Review Under Executive Order 12988

    With respect to the review of existing regulations and the 
promulgation of new regulations, section 3(a) of Executive Order 12988, 
``Civil Justice Reform,'' imposes on federal agencies the general duty 
to adhere to the following requirements: (1) Eliminate drafting errors 
and ambiguity; (2) write regulations to minimize litigation; (3)

[[Page 7332]]

provide a clear legal standard for affected conduct rather than a 
general standard; and (4) promote simplification and burden reduction. 
61 FR 4729 (Feb. 7, 1996). Regarding the review required by section 
3(a), section 3(b) of Executive Order 12988 specifically requires that 
Executive agencies make every reasonable effort to ensure that the 
regulation: (1) Clearly specifies the preemptive effect, if any; (2) 
clearly specifies any effect on existing federal law or regulation; (3) 
provides a clear legal standard for affected conduct while promoting 
simplification and burden reduction; (4) specifies the retroactive 
effect, if any; (5) adequately defines key terms; and (6) addresses 
other important issues affecting clarity and general draftsmanship 
under any guidelines issued by the Attorney General. Section 3(c) of 
Executive Order 12988 requires Executive agencies to review regulations 
in light of applicable standards in section 3(a) and section 3(b) to 
determine whether they are met or it is unreasonable to meet one or 
more of them. DOE has completed the required review and determined 
that, to the extent permitted by law, this final rule meets the 
relevant standards of Executive Order 12988.

G. Review Under the Unfunded Mandates Reform Act of 1995

    Title II of the Unfunded Mandates Reform Act of 1995 (UMRA) 
requires each federal agency to assess the effects of federal 
regulatory actions on state, local, and tribal governments and the 
private sector. Public Law 104-4, sec. 201 (codified at 2 U.S.C. 1531). 
For a regulatory action likely to result in a rule that includes a 
Federal mandate that may result in the expenditure by State, local, and 
Tribal governments, in the aggregate, or by the private sector of $100 
million or more in any one year (adjusted annually for inflation), 
section 202 of UMRA requires a federal agency to publish a written 
statement that estimates the resulting costs, benefits, and other 
effects on the national economy. (2 U.S.C. 1532(a), (b)) The UMRA also 
requires a federal agency to develop an effective process to permit 
timely input by elected officers of state, local, and tribal 
governments on a proposed ``significant intergovernmental mandate,'' 
and requires an agency plan for giving notice and opportunity for 
timely input to potentially affected small governments before 
establishing any requirements that might significantly or uniquely 
affect them. On March 18, 1997, DOE published a statement of policy on 
its process for intergovernmental consultation under UMRA. 62 FR 12820. 
DOE's policy statement is also available at http://energy.gov/sites/prod/files/gcprod/documents/umra_97.pdf.
    DOE examined this final rule according to UMRA and its statement of 
policy and determined that the rule contains neither an 
intergovernmental mandate, nor a mandate that may result in the 
expenditure of $100 million or more in any year, so these requirements 
do not apply.

H. Review Under the Treasury and General Government Appropriations Act, 
1999

    Section 654 of the Treasury and General Government Appropriations 
Act, 1999 (Pub. L. 105-277) requires federal agencies to issue a Family 
Policymaking Assessment for any rule that may affect family well-being. 
This rule would not have any impact on the autonomy or integrity of the 
family as an institution. Accordingly, DOE has concluded that it is not 
necessary to prepare a Family Policymaking Assessment.

I. Review Under Executive Order 12630

    Pursuant to Executive Order 12630, ``Governmental Actions and 
Interference with Constitutionally Protected Property Rights,'' 53 FR 
8859 (March 15, 1988), DOE has determined that this rule would not 
result in any takings that might require compensation under the Fifth 
Amendment to the U.S. Constitution.

J. Review Under the Treasury and General Government Appropriations Act, 
2001

    Section 515 of the Treasury and General Government Appropriations 
Act, 2001 (44 U.S.C. 3516 note) provides for federal agencies to review 
most disseminations of information to the public under information 
quality guidelines established by each agency pursuant to general 
guidelines issued by OMB. OMB's guidelines were published at 67 FR 8452 
(Feb. 22, 2002), and DOE's guidelines were published at 67 FR 62446 
(Oct. 7, 2002). DOE has reviewed this final rule under the OMB and DOE 
guidelines and has concluded that it is consistent with applicable 
policies in those guidelines.

K. Review Under Executive Order 13211

    Executive Order 13211, ``Actions Concerning Regulations That 
Significantly Affect Energy Supply, Distribution, or Use,'' 66 FR 28355 
(May 22, 2001), requires federal agencies to prepare and submit to OIRA 
at OMB, a Statement of Energy Effects for any significant energy 
action. A ``significant energy action'' is defined as any action by an 
agency that promulgates or is expected to lead to promulgation of a 
final rule, and that: (1) Is a significant regulatory action under 
Executive Order 12866, or any successor order; and (2) is likely to 
have a significant adverse effect on the supply, distribution, or use 
of energy, or (3) is designated by the Administrator of OIRA as a 
significant energy action. For any significant energy action, the 
agency must give a detailed statement of any adverse effects on energy 
supply, distribution, or use should the proposal be implemented, and of 
reasonable alternatives to the action and their expected benefits on 
energy supply, distribution, and use.
    This regulatory action to amend a definition for GSL is not a 
significant regulatory action under Executive Order 12866. Moreover, it 
would not have a significant adverse effect on the supply, 
distribution, or use of energy, nor has it been designated as a 
significant energy action by the Administrator of OIRA. Therefore, it 
is not a significant energy action, and, accordingly, DOE has not 
prepared a Statement of Energy Effects.

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

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

M. Congressional Notification

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

VI. Approval of the Office of the Secretary

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

[[Page 7333]]

List of Subjects in 10 CFR Part 430

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

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

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

PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS

0
1. The authority citation for part 430 continues to read as follows:

    Authority: 42 U.S.C. 6291-6309; 28 U.S.C. 2461 note.


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

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