[Federal Register Volume 84, Number 28 (Monday, February 11, 2019)]
[Proposed Rules]
[Pages 3120-3131]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-01853]


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DEPARTMENT OF ENERGY

10 CFR Part 430

RIN 1904-AE26


Energy Conservation Program: Energy Conservation Standards for 
General Service Lamps

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

ACTION: Notice of proposed rulemaking and request for comment.

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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), general service incandescent lamp (GSIL) and other 
supplemental definitions, effective January 1, 2020. DOE has since 
determined that the legal basis underlying those revisions misconstrued 
existing law. As a result, DOE is issuing this notice of proposed 
rulemaking (NOPR) proposing to withdraw the definitions established in 
the January 19, 2017, final rules. DOE proposes to maintain the 
existing regulatory definitions of GSL and GSIL,

[[Page 3121]]

which are the same as the statutory definitions of those terms.

DATES:  Meeting: DOE will hold a public meeting on February 28, 2019, 
from 9:00 a.m. to 2:00 p.m., in Washington, DC. The meeting will also 
be broadcast as a webinar. See section VI, ``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 April 12, 2019. See section VI, ``Public 
Participation,'' for details.

ADDRESSES: Interested persons are encouraged to submit comments, 
identified by ``1904-AE26,'' by any of the following methods:
    Federal eRulemaking Portal: http://www.regulations.gov. Follow the 
instructions for submitting comments.
    Email: [email protected]. Include the docket number and/or 
RIN in the subject line of the message. Submit electronic comments in 
WordPerfect, Microsoft Word, PDF, or ASCII file format, and avoid the 
use of special characters or any form of encryption.
    Postal Mail: Appliance and Equipment Standards Program, U.S. 
Department of Energy, Building Technologies Office, Mailstop EE-5B, 
1000 Independence Avenue SW, Washington, DC 20585-0121. If possible, 
please submit all items on a compact disc (``CD''), in which case it is 
not necessary to include printed copies.
    Hand Delivery/Courier: Appliance and Equipment Standards Program, 
U.S. Department of Energy, Building Technologies Office, 950 L'Enfant 
Plaza SW, Suite 600, Washington, DC 20024. Telephone: (202) 287-1445. 
If possible, please submit all items on a CD, in which case it is not 
necessary to include printed copies.
    No telefacsimilies (faxes) will be accepted. For detailed 
instructions on submitting comments and additional information on the 
rulemaking process, see section VI of this document (Public 
Participation).
    Docket: For access to the docket to read background documents, or 
comments received, go to the Federal eRulemaking Portal at http://www.regulations.gov/docket?D=EERE-2018-BT-STD-0010.
    The docket, which includes Federal Register notices, public meeting 
attendee lists and transcripts, comments, and other supporting 
documents/materials, is available for review at http://www.regulations.gov. All documents in the docket are listed in the 
http://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.
    The docket web page can be found at: http://www.regulations.gov/docket?D=EERE-2018-BT-STD-0010. The docket web page contains 
instructions on how to access all documents, including public comments, 
in the docket. See section VI, ``Public Participation,'' for further 
information on how to submit comments through http://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT:  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: 
[email protected].
    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: [email protected].

SUPPLEMENTARY INFORMATION: 

Table of Contents

I. Authority and Background
II. Synopsis of the Notice of Proposed Rulemaking
III. Discussion
    A. Scope of Applicability
    B. Proposed Withdrawal of Revised General Service Lamp and 
General Service Incandescent Lamp Definitions
    1. Five Specialty Incandescent Lamps
    2. Incandescent Reflector Lamps
    3. T-Shape Lamps and B, BA, CA, F, G16-1/2, G25, G30, S, and M-
14 Lamps
    4. Candelabra Base Lamps in Shapes B, BA, CA, F, G16-1/2
    C. Withdrawal of Supplemental Definitions
IV. Overview of Data
    A. Discussion of Data
    B. Lamp Shipments
    C. Requests for Additional Data
V. Procedural Issues and Regulatory Review
    A. Review Under Executive Order 12866 and 13563
    B. Review Under Executive Order 13771
    C. Review Under the Regulatory Flexibility Act
    D. Review Under the Paperwork Reduction Act of 1995
    E. Review Under the National Environmental Policy Act of 1969
    F. Review Under Executive Order 13132
    G. Review Under Executive Order 12988
    H. Review Under the Unfunded Mandates Reform Act of 1995
    I. Review Under the Treasury and General Government 
Appropriations Act, 1999
    J. Review Under Executive Order 12630
    K. Review Under Treasury and General Government Appropriations 
Act, 2001
    L. Review Under Executive Order 13211
VI. Public Participation
    A. Attendance at Public Meeting
    B. Procedure for Submitting Prepared General Statements for 
Distribution
    C. Conduct of Public Meeting
    D. Submission of Comments
    E. Issues on Which DOE Seeks Comment
VII. Approval of the Office of the Secretary

I. Authority and Background

    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''), which includes general service lamps (GSLs), the subject 
of this NOPR. Amendments to EPCA in the Energy Independence and 
Security Act of 2007 (EISA) directed DOE to conduct two rulemaking 
cycles to evaluate energy conservation standards for GSLs. (42 U.S.C. 
6295(i)(6)(A)-(B)) GSLs are currently defined in EPCA to include 
general service incandescent lamps (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))
    For the first rulemaking cycle, Congress instructed 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)) 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 a compliance date 
at least 3 years after the date on which the final rule is published. 
(42 U.S.C. 6295(i)(6)(A)(iii)) 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)) 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

[[Page 3122]]

beginning on January 1, 2020. (42 U.S.C. 6295(i)(6)(A)(v))
    The EISA-prescribed amendments further directed DOE to initiate a 
second rulemaking cycle by January 1, 2020, to determine whether 
standards in effect for GSILs should be amended with more-stringent 
requirements and if the exemptions for certain incandescent lamps 
should be maintained or discontinued. (42 U.S.C. 6295(i)(6)(B)(i)) For 
this second review of energy conservation standards, the scope is not 
limited to incandescent lamp technologies. (42 U.S.C. 
6295(i)(6)(B)(ii))
    DOE initiated the first GSL standards rulemaking process by 
publishing in the Federal Register a notice of availability of a 
framework document. 78 FR 73737 (Dec. 9, 2013); see also 79 FR 73503 
(Dec. 11, 2014) (notice of availability of preliminary analysis). DOE 
later issued a NOPR to propose amended energy conservation standards 
for GSLs. 81 FR 14528, 14629-14630 (Mar. 17, 2016) (the March 2016 
NOPR). The March 2016 NOPR focused on the first question that Congress 
directed DOE to consider--whether to amend energy conservation 
standards for general service lamps. (42 U.S.C. 6295(i)(6)(A)(i)(I)) In 
the March 2016 NOPR proposing energy conservation standards for GSLs, 
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 \1\) on the use of 
appropriated funds to implement or enforce 10 CFR 430.32(x). 81 FR 
14528, 14540-14541 (Mar. 17, 2016). Notably, the applicability of this 
Appropriations Rider has not been extended in the current 
appropriations statute, and thus is no longer in effect.\2\
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    \1\ Section 312 of the Consolidated and Further Continuing 
Appropriations Act, 2016 (Pub. L. 114-113, 129 Stat. 2419) 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.
    \2\ See, the 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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    In response to comments to the March 2016 NOPR, DOE conducted 
additional research and published a notice of proposed definition and 
data availability (NOPDDA), which proposed to amend the definitions of 
GSIL and GSL. 81 FR 71794, 71815 (Oct. 18, 2016). DOE explained that 
the October 2016 NOPDDA related to the second question that Congress 
directed DOE to consider--whether ``the exemptions for certain 
incandescent lamps should be maintained or discontinued,'' and was not 
a rulemaking to establish an energy conservation standard for GSLs. (42 
U.S.C. 6295(i)(6)(A)(i)(II)); see also 81 FR 71798. The relevant 
``exemptions,'' DOE explained, referred to the 22 categories of 
incandescent lamps that are statutorily excluded from the definitions 
of GSIL and GSL. 81 FR 71798. In the NOPDDA, DOE clarified that it was 
defining what lamps constitute GSLs so that manufacturers could 
understand how any potential energy conservation standards might apply 
to the market. Id.
    On January 19, 2017, DOE published two final rules concerning the 
definition of GSL. 82 FR 7276; 82 FR 7322. The January 2017 definition 
final rules amended the definitions of GSIL and GSL by bringing certain 
categories of lamps that had been excluded by statute from the 
definition of GSIL within the definitions of GSIL and GSL. Like the 
October 2016 NOPDDA, DOE stated that the January 2017 definition final 
rules related only to the second question that Congress directed DOE to 
consider, regarding whether to maintain or discontinue certain 
``exemptions.'' (42 U.S.C. 6295(i)(6)(A)(i)(II)). That is, neither of 
the two final rules issued on January 19, 2017, purported to establish 
energy conservation standards applicable to GSLs.
    With the removal of the Appropriations Rider in the Consolidated 
Appropriations Act, 2017, DOE is no longer restricted from undertaking 
analysis and decision making required by the first question presented 
by Congress, i.e., whether to amend energy conservation standards for 
general service lamps, 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. 82 FR 
38613. The purpose of this NODA was to assist DOE in making a decision 
on the first question posed to DOE by Congress; i.e., a determination 
regarding whether standards for GSILs should be amended. Comments 
submitted in response to the NODA also led DOE to re-consider the 
decisions it had already made with respect to the second question 
presented to DOE; i.e., whether the exemptions for certain incandescent 
lamps should be maintained or discontinued. As a result of the comments 
received in response to the NODA, DOE re-assessed the legal 
interpretations underlying certain decisions made in the January 2017 
definition final rules and developed this proposal to withdraw the 
revised definitions of GSL, GSIL, and the supporting definitions 
established in the January 2017 definition rules.
    The determination on whether to amend standards for GSILs remains a 
decision DOE is obligated to make and will be addressed in a separate 
rulemaking proceeding. In that future proceeding, DOE will include the 
data received from the NODA to conduct its analysis of whether energy 
conservation standards for GSILs need to be amended. In this current 
proposal, DOE addresses only the scope of lamps considered to be GSILs 
and thus GSLs.

II. Synopsis of the Notice of Proposed Rulemaking

    In this NOPR, DOE proposes to withdraw the revised definitions of 
GSL and GSIL established in the January 2017 definition rules which 
take effect on January 1, 2020. These definitions improperly included 
certain GSILs as GSLs. Additionally, DOE proposes to withdraw the 
supplemental definitions established in the January 2017 final 
definition rules that would no longer be necessary in light of the 
proposed withdrawal of the revised definitions of GSL and GSIL. This 
proposal would maintain the existing definitions of GSL and GSIL 
currently found in DOE's regulations, which are the same as the 
statutory definition of those terms. Specifically, the proposed 
withdrawal would maintain the statutory exclusions of specified lamps 
from the definition of GSIL, and thus, such lamps would not be GSLs.

III. Discussion

    DOE developed this proposal after re-evaluating its legal 
interpretations underlying the two January 2017 definition final rules 
and considering comments, data, and information from interested parties 
that represent a variety of interests. The following discussion 
addresses issues raised by these commenters.

A. Scope of Applicability

    If this NOPR is adopted, DOE would retain the existing statutory 
exemptions from the GSIL definition by withdrawing the revised 
definition of GSIL, which, among other lamps included as GSIL the five 
specialty incandescent lamps regulated under 42 U.S.C. 6295(l)(4), 
namely rough service lamps, vibration service lamps, 3-way incandescent 
lamps, high lumen lamps and shatter-resistant lamps. Additionally, DOE 
would maintain the existing exclusion of IRLs from the statutory 
definitions of GSIL and GSL, as well as T-shape lamps that use no more 
than 40 W or have a length of

[[Page 3123]]

more than 10 inches, B, BA, CA, F, G16-1/2, G25, G30, S, and M-14 lamps 
of 40 W or less. Further, candelabra base incandescent lamps would not 
be considered GSL because the existing definition of GSIL applies only 
to medium screw base lamps.
    The Sierra Club and Earthjustice commented in response to the 
August 2017 NODA that any attempt by DOE to reinstate a narrow scope 
for the 2020 standards or to roll back or otherwise evade the backstop 
requirement would violate the law. (Sierra Club and Earthjustice, No. 8 
at p. 1). The Southeast Energy Efficiency Alliance (hereafter the 
``Energy Efficiency Advocates'' or the ``EEAs'') similarly commented 
that any action by DOE to narrow the definition of GSL would increase 
the allowable energy use of lamps subject to the backstop standard, 
thereby violating EPCA's anti-backsliding provision in 42 U.S.C. 
6295(o)(1). (EEAs, No. 11 at p. 16) The California Energy Commission 
(CEC) also asserted that while DOE can further modify the definition of 
``general service lamp'' to add new lamp types, it is statutorily 
prohibited from taking any action that results in an energy 
conservation standard that is less stringent than 45 lm/W. (CEC, No. 6 
at p. 5)
    DOE acknowledges that this proposal would maintain the existing 
statutory scope of lamps that would be the subject of analysis in 
determining the potential for significant energy savings, economic 
justification, and technological feasibility of any future GSL energy 
conservation standard. For the reasons described in this proposal, DOE 
believes that scope is more legally justifiable than the definitions 
contained in the January 2017 rules. Maintaining the statutory 
definitions of GSIL and GSL would ensure that only those lamps intended 
by Congress to be GSILs and GSLs would be subject to energy 
conservation standards. DOE welcomes comment regarding this proposed 
change in scope to the definitions of GSIL and GSL and the consequences 
of such change.
    With regard to the applicability of EPCA's anti-backsliding 
provision, DOE notes that the first of the two \3\ January 2017 
definition final rules was explicit in stating that it did not make a 
determination regarding energy conservation standards for any type of 
GSL. The definition final rule was unambiguous in maintaining that it 
constituted a decision on whether to maintain or discontinue various 
lamp exemptions based, in part on lamp sales and determining that 
certain types of lamps should be included as GSLs because they are used 
for lighting applications traditionally served by GSILs. The final rule 
stated clearly that it ``does not determine whether DOE should impose 
or amend standards for any category of lamps, such as GSILs or GSLs.'' 
82 FR 7277. While DOE acknowledged that a likely consequence of 
including additional lamps in the definition of GSL is that those lamps 
would be subject to energy conservation standards, DOE made clear in 
the rule that it was not undertaking the statutory analysis required to 
develop an energy conservation standard. DOE was only determining which 
lamps to include within the scope of GSLs, a precursor to any standards 
development for GSLs. Id. at 82 FR 7278.
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    \3\ In terms of order of publication in the daily edition of the 
Federal Register published on January 19, 2017. The second of the 
two final rules published on January 19, 2017, addressed only 
incandescent reflector lamps.
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    The anti-backsliding provision at 42 U.S.C. 6295(o) precludes DOE 
from amending an existing energy conservation standard to permit 
greater energy use or a lesser amount of energy efficiency. This 
proposed rule cannot possibly constitute the amendment of an existing 
energy conservation standard to permit greater energy use or a lesser 
amount of energy efficiency, given that: (1) The proposal is 
considering withdrawing two final rules that DOE stated explicitly were 
not energy conservation standards; (2) DOE was previously prohibited by 
the Appropriations Rider from making a determination regarding the need 
for amending standards applicable to GSILs; and (3) DOE never finalized 
its March 2016 proposed rule concerning establishing energy 
conservation standards for GSLs.
    Moreover, DOE has not yet made a final determination on whether 
standards applicable to GSILs should be amended, and, therefore, no 
backstop energy conservation standard has yet been imposed.\4\ DOE will 
make this determination in a future rulemaking proceeding, in which DOE 
will perform the required statutory analysis to determine whether 
amending standards applicable to GSILs is technologically feasible and 
economically justified and would result in a significant savings of 
energy. Thus, it is not possible that a change in the definition of GSL 
could constitute ``backsliding'' prohibited by EPCA. Further, the 
withdrawal of definitions that have not yet taken effect results in the 
maintenance of the current definitions of the relevant terms. Retaining 
the status quo cannot constitute backsliding.
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    \4\ On Aug. 8, 2017, NEMA filed a declaratory judgment action 
with the United States District Court for the Eastern District of 
California alleging EPCA preempted the California Energy 
Commission's state regulations establishing the 45 lm/W backstop 
standard for State-Regulated LED Lamps, State-Regulated Small 
Diameter Directional Lamps, and State-Regulated GSLs. The court 
denied NEMA's motion for judgment on the pleadings in an order 
issued on December 22, 2017. In that order, the court agreed with 
NEMA's reading that 42 U.S.C. 6295(i)(6)(A)(iii) of EPCA requires a 
final GSIL standards rule by January 1, 2017 only if DOE determines 
that standards for GSILs should be amended. NEMA v. CEC, No. 2:17-
CV-01625-KJM-AC, 2017 WL 6558134 (E.D. Cal. Dec. 21, 2017).
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    DOE recognizes the language in the January 2017 definition final 
rules concerning whether the rules constituted a standard may be a 
source of confusion. While DOE stated multiple times in the definition 
rules that the rules did not constitute a standard, DOE acknowledged in 
the rules that a consequence of expanding the scope of GSL and GSIL 
would be that additional incandescent lamps may become subject to 
either a DOE-developed standard or to the 45 lm/W backstop standard. 82 
FR 7288. While DOE intends this current NOPR to reiterate unambiguously 
its consistently stated position that DOE has not yet made a 
determination on whether to amend standards for GSLs, including GSILs, 
and therefore no backstop energy conservation standard has yet been 
imposed, DOE requests comment on whether any potential lack of clarity 
on what standards may apply to certain GSLs and GSILs caused financial 
hardship to retailers trying to plan their inventory.

B. Proposed Withdrawal of Revised General Service Lamp and General 
Service Incandescent Lamp Definitions

1. Five Specialty Incandescent Lamps
    In the January 2017 definition rules, DOE included rough service 
lamps, shatter-resistant lamps, 3-way incandescent lamps, high lumen 
incandescent lamps and vibration service lamps in the definition of 
GSIL. 82 FR 7296. In its comments to the August 2017 NODA, the National 
Electrical Manufacturers Association (NEMA), with the support of 
General Electric (GE) Lighting, LEDVANCE, Westinghouse Lighting 
(Westinghouse) and the American Lighting Association (ALA), disagreed 
with DOE's approach for these lamps, arguing that DOE ignored and 
abandoned the specific regulatory process that Congress established for 
the five specialty incandescent lamps in 42 U.S.C. 6295(l)(4). (NEMA, 
No. 4 at p. 54)
    Section 6295(l)(4) of EPCA requires DOE to consider energy 
efficiency standards for the following 5 categories

[[Page 3124]]

of lamps if their respective lamp sales exceeded their predicted growth 
rate: Vibration service lamps, rough service lamps, 3-way incandescent 
lamps, shatter-resistant incandescent, and higher lumen (2,601-3,300 
lm) incandescent lamps. Under this provision, DOE is required to track 
the sales data of these incandescent lamps annually, and initiate an 
accelerated rulemaking to establish energy conservation standards for 
these lamps if the actual annual unit sales of any of the lamp types in 
any year between 2010 and 2025 exceed the benchmark estimate of unit 
sales by at least 100 percent. (42 U.S.C. 6295(l)(4)(D)-(H)) If the 
Secretary does not complete the accelerated rulemakings within one year 
from the end of the previous calendar year during which predicted sales 
were exceeded, there is a ``backstop requirement'' for each lamp type, 
which would establish, by statute, energy conservation levels and 
related requirements. Id.
    On December 26, 2017, DOE published a final rule codifying in the 
CFR, at 10 CFR 430.32(bb), the statutory backstop requirements for 
rough service lamps and vibration service lamps prescribed in 42 U.S.C. 
6295(l)(4)(D)(ii) and (E)(ii), since, in 2015, these lamp types 
exceeded sales thresholds specified in the statute and DOE did not 
complete a rulemaking in the required time period. 82 FR 60845. These 
backstop requirements became an energy conservation standard for rough 
and vibration service lamps, and require vibration service lamps to: 
(1) Have a maximum 40-watt limitation and (2) be sold at retail only in 
a package containing one lamp. For rough service lamps, the backstop 
requires that the lamps: (1) Have a shatter-proof coating or equivalent 
technology that complies with NSF/ANSI 51 and is designed to contain 
the glass if the glass envelope of the lamp is broken and to provide 
effective containment over the life of the lamp; (2) have a maximum 40-
watt limitation; and (3) be sold at retail only in a package containing 
one lamp.
    DOE agrees with NEMA and other commenters that vibration service 
lamps, rough service lamps, 3-way incandescent lamps, shatter-resistant 
incandescent, and higher lumen (2,601-3,300 lm) incandescent lamps are 
subject to standards in accordance with a specific regulatory process 
under 42 U.S.C. 6295(l)(4). As such, DOE sees 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). Doing so would subject these lamp types to 
potentially two separate standards and create confusion among regulated 
entities as to which standard applies. To avoid any such double 
regulation, DOE proposes to withdraw the revised definitions of GSL and 
GSIL, and maintain the exclusion of the incandescent versions of these 
lamp types in the existing definition of GSIL.
2. Incandescent Reflector Lamps
    When the January 2017 definition rules were issued, DOE in the 
first definition rule adopted a definition of GSL that reflected its 
discontinuation of certain exemptions and its maintaining of others, 
and its interpretation and application of certain clauses of the 
statutory definition of GSL. 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 the second definition final rule, issued 
simultaneously, DOE determined to discontinue the IRL exemption, and it 
amended its definition of GSL accordingly. 82 FR 7292; 82 FR 7323. In 
its comments to the August 2017 NODA, NEMA, supported by GE Lighting, 
LEDVANCE, Westinghouse Lighting and ALA, reiterated its comments from 
the January 2017 definition rulemaking that Congress twice excluded the 
incandescent reflector lamp from the definition of GSL in 42 U.S.C. 
6291(30)(BB)(ii). In the statutory definition of GSL, NEMA pointed out 
that it states, without ambiguity, that the term ``general service 
lamp'' does ``not include'' (I) any of the lighting applications or 
bulb shapes that were excluded from the definition of ``GSIL'' or (ii) 
general service fluorescent lamps or incandescent reflector lamps. NEMA 
noted that it is significant that Congress specifically called out IRLs 
in the second sub-clause of this exclusion, because reflector lamps are 
also included in the list of lamp shapes excluded in the first sub-
clause of the exclusion. NEMA added that Congress said the same thing 
twice in a single statutory breath and could not have been clearer: do 
not include or regulate incandescent reflector lamps within the 
definition of ``general service lamps.'' NEMA asserts this is because 
IRLs are already regulated under another part of the statute and 
Congress did not want the Secretary regulating them in this proceeding. 
(NEMA, No. 4 at pp. 59-60)
    DOE agrees that EPCA specifically exempts IRLs from being GSLs in 
42 U.S.C. 6291(30)(BB)(ii)(II).\5\ While, in the second January 2017 
definition rule, DOE previously interpreted section 
6295(i)(6)(A)(i)(II) to include the exemption in section 
6291(30)(BB)(ii) for IRLs, and expanded the scope of the GSL definition 
to include IRLs, DOE no longer adheres to this view for the reasons 
described in NEMA's comments in the preceding paragraph. As a result, 
DOE is of the opinion that the second January 2017 definition final 
rule that included IRLs within the definition of GSL was unauthorized 
as a matter of law. Thus, DOE proposes to withdraw the revised 
definitions of GSL and GSIL, which would remove IRLs from the 
definition of GSIL established in the second January 2017 definition 
rule.\6\
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    \5\ 42 U.S.C. 6291(30)(BB)(ii)(II) provides that the ``term 
`general service lamp' does not include . . . ``incandescent 
reflector lamp[s].''
    \6\ DOE notes that IRLs are already subject to minimum 
efficiency standards, and DOE completed a final rule in January 2015 
that concluded 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).
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3. T-Shape Lamps and B, BA, CA, F, G16-1/2, G25, G30, S, and M-14 Lamps
    In the January 2017 definition rules, DOE broadly redefined GSL, 
determining which exemptions set forth in 42 U.S.C. 6291(30)(D)(ii) and 
(BB)(ii) to maintain or discontinue on an assessment of whether lamps 
within a given exemption would provide a convenient unregulated 
alternative to lamps that could be subject to energy conservation 
standards. 82 FR 7277. DOE based its decision on 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. 82 FR 7288. DOE noted that it may be 
appropriate to discontinue an exemption even though current sales are 
relatively low, if technical characteristics of exempted lamps make 
them likely to serve as ready substitutes for GSLs once GSL standards 
are in place. Id. To that end, in the January 2017 definition rules, 
DOE determined that T-shape lamps are capable of providing overall 
illumination and therefore have a high potential for lamp switching. 82 
FR 7294. Due to the high potential for lamp switching, reflected in 
part by high sales, DOE discontinued the exemption from the GSIL 
definition for T shape lamps that use not more than 40 watts or have a 
length of more than 10 inches. Id. Similarly, DOE discontinued 
exemptions from the GSIL definition for B, BA, CA, F, G16-1/2, G25, 
G30, S, and M-14 lamps of 40 W or less due to high sales volume and its

[[Page 3125]]

concern with lamp switching for these lamps. 82 FR 7295.
    NEMA, with the support of GE lighting, LEDVANCE, Westinghouse 
Lighting and ALA, asserted in its comments on the August 2017 NODA that 
Congress did not authorize the Secretary to define a GSL in terms of 
whether it was a ``convenient unregulated alternative'' to a regulated 
lamp. Instead, Congress identified three specific types of lamps that 
were GSLs and gave the Secretary limited authority to include ``other 
lamps . . . used to satisfy lighting applications traditionally served 
by general service incandescent lamps.'' (NEMA, No. 4 at pp. 49-50) 
NEMA further asserted that ``convenient unregulated alternative'' is a 
subjective non-statutory catchphrase adopted by DOE to avoid the 
meaningful objective, dynamic sales analysis intended by Congress 
whether a consumer will actually or even likely switch from a more 
efficient general service lamp to a less efficient lamp and thereby 
undermine energy efficiency.
    With regard to T-shape lamps, NEMA asserted that DOE inferred lamp 
switching risk for T-shape lamps from subjectively determined high 
sales in one year without citing evidence of actual or likely switching 
by consumers. (NEMA, No. 4 at pp. 50-51) NEMA questioned how DOE could 
know this without any evidence that the T-shape lamp's sales were 
increasing because they were being switched for GSLs. (NEMA, No. 4 at 
pp. 55) NEMA asserted that there are no facts in the record on which 
DOE relied on that ``switching'' between the T-shape lamp and the 
standard incandescent lamp was occurring. NEMA stated that the 
exemption for the T-shape lamp should be maintained in the absence of 
any evidence in the rulemaking record that would justify regulation. 
(NEMA, No. 4 at pp. 56)
    Regarding B, BA, CA, F, G16-1/2, G25, G30, S, and M-14 lamps, NEMA 
asserted that DOE referred to no evidence of lamp switching between 
these odd shape lamps and the general service lamp. Nor did DOE rely on 
any evidence of increasing sales of a particular lamp, which NEMA 
asserted is the test that Congress specifically required in section 
6295(i)(1)(E)(ii) before an exemption can be discontinued. NEMA stated 
that the sales data in the record does not support a lamp switching 
claim, as the data showed declining or at best flat sales for these 
lamps over time. Instead, DOE's entire conclusion rests upon a 
completely subjective, unsubstantiated claim of potential. (NEMA, No. 4 
at pp. 55)
    DOE agrees with NEMA and other commenters that DOE may have 
overstepped its limited authority by adding T-shape lamps and B, BA, 
CA, F, G16-1/2, G25, G30, S, and M-14 lamps to the definition of GSIL. 
DOE acknowledges it relied on factors which Congress did not intend it 
to consider, rather than actual unit sales. DOE acknowledges it is 
unlikely Congress intended that DOE have broad discretion to regulate 
an incandescent lamp out of existence based on an assumption that 
manufacturers could make and sell an LED version of the lamp or that 
Congress authorized DOE to eliminate ``convenient unregulated 
alternatives'' that DOE concluded could undercut this unstated intent 
of Congress. Thus, DOE proposes to withdraw the revised definitions of 
GSL and GSIL, which would maintain the current exclusion of T-shape 
lamps and B, BA, CA, F, G16-1/2, G25, G30, S, and M-14 lamps from the 
definition of GSIL.
4. Candelabra Base Lamps in Shapes B, BA, CA, F, G16-1/2
    EPCA defines the term GSL to include any other lamps that the 
Secretary determines are used to satisfy lighting applications 
traditionally served by GSILs. (42 U.S.C. 6291(30)(BB)(i)(IV)) In the 
January 2017 definition rule, DOE determined that lamps that would 
satisfy the same applications as traditionally served by GSILs are ones 
that would provide overall illumination. 82 FR 7304. To implement this 
determination, DOE revised the definition of GSL to include all lamps 
that have an ANSI base. One of the larger categories of lamps that this 
includes is candelabra base lamps. Candelabra base lamps are often 
available in shapes such as B, BA, CA, F, and G16-1/2.
    In response to the August 2017 NODA, NEMA, with the support of 
other commenters, objected to DOE's revised definition of GSL, which 
NEMA argued causes the Secretary to abandon any inquiry into the 
lighting applications traditionally served by GSILs, and re-writes the 
statute in a manner that is contrary to law and not authorized by EPCA. 
This re-write allows DOE to focus on whether a lamp is ``used in 
general lighting applications,'' which results in DOE being able to 
include nearly anything that emits light in the class of ``general 
service lamp,'' including a candelabra base lamp. NEMA further asserted 
that a consumer cannot use a candelabra base lamp in a medium screw 
base application, as the shape of the bulb is not desired by the 
consumer for GSIL applications, and the lumen output of the lamp is too 
low for most applications traditionally served by GSILs. (NEMA, No. 93 
at p. 34). Additionally, NEMA shared data indicating that sales of 
these lamps have been declining, contrary to DOE's estimation. (NEMA, 
No. 93 at p. 22).
    In consideration of these comments, DOE proposes to withdraw the 
revised definition of GSL, which would maintain the current exclusion 
of candelabra base lamp shapes from the definition of GSL. Overbreadth 
in DOE's January 2017 final rules had the consequence of including 
lamps such as candelabra base lamps as GSLs, even though such lamps 
could not meet the statutory definition of GSIL since such lamps do not 
have a medium screw base. New data submitted by NEMA also indicates 
that DOE's estimated shipment numbers for candelabra base incandescent 
lamps in the August 2017 NODA were potentially too high by a factor of 
more than two. (NEMA, No. 93 at p. 22).

C. Withdrawal of Supplemental Definitions

    DOE proposes to withdraw the following supplemental definitions 
included in the January 2017 definition rules. These definitions are no 
longer necessary as they were included to provide clarity to the 
revised GSL and GSIL definitions, which are proposed to be withdrawn: 
``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.''
    For these same reasons, DOE also proposes to withdraw the revision 
of the definition of ``designed and marketed'' published in the January 
19, 2017 definition rule. 82 FR 7321.

IV. Overview of Data

A. Discussion of Data

    Historically, the Department has not conducted analysis of its 
definitional rules. In its January 2017 rules, DOE explained that the 
analytical requirements to which DOE is subject apply, by their terms, 
only when DOE prescribes a new or amended standard. By contrast, a rule 
that alters

[[Page 3126]]

definitions, as this proposal would do, does not establish or 
materially change any standard, and the same analytical requirements do 
not apply (82 FR 7278). As a result, this proposal does not include a 
technical support document or other analyses for the definition change.
    Although the definitional changes in this proposal are not subject 
to analysis, this proposal reiterates that DOE has not yet made a 
determination on whether to amend standards for GSLs, including GSILs, 
and therefore no backstop energy conservation standard has yet been 
imposed. DOE anticipates that clarifying this point will result in 
measurable effects on the markets for certain incandescent lamps, 
including vibration service, 3-way, shatter resistant, high-lumen, 
candelabra, halogen, and globe lamps. Significant uncertainty exists in 
the retail market regarding the scope of lamps that may be available 
for sale, which DOE has failed to clarify in previous statements or 
rulemakings. As a result of this uncertainty, retail outlets have not 
been able to plan adequately for a potential change in stock, or lack 
thereof. This uncertainty creates cost for retailers, and this 
clarification is expected to reduce those uncertainty costs. DOE is 
conducting an analysis regarding the extent of those cost savings and 
affected retail outlets. DOE requests comment on the potential range of 
cost savings associated with this proposed action.

B. Lamp Shipments

    DOE examined available shipments data for halogen lamps, LEDs, and 
incandescent lamps for portions of 2016 through 2018. This proposal 
would clarify the ability to sell several lamp types and could affect 
the near-term availability of certain incandescent and halogen lamps. 
These shipment data illustrate the magnitude of those changes. Further, 
shipment data relating to LEDs illustrate the market for these 
technologies relative to halogen lamps.
    Graph IV.1 represents quarterly shipments in the consumer channel, 
which includes department stores, club stores, drug wholesalers and 
retailers, hardware stores, home centers, online sales, and all other 
retail. DOE focused on the consumer channel because this channel 
captures the vast majority of incandescent and halogen lamp shipments 
(approximately 90% and 97%, respectively).
    As can be seen below, quarterly incandescent and halogen shipments 
have tapered off from a high of 121.1 million and 110.2 million, 
respectively, in 2016 Q4. Despite this decline, in 2018 shipments 
totaled 149.5 million for incandescent and 125.4 million for halogen 
lamps.
[GRAPHIC] [TIFF OMITTED] TP11FE19.011

    Across all lamp types, incandescent lamp shipments sold in the 
consumer channel averaged $0.54 per unit in 2018. Similarly across all 
lamp types, halogen lamp shipments averaged $0.88 per unit in 2018. 
These average prices are as reported by manufacturers, and do not 
display price variation from lamp type to lamp type, such as between 
incandescent A-line and incandescent candelabra lamps.
    Based on retailer interviews, DOE is aware that some retail 
establishments are currently planning stock for the first quarter of 
2020. There are several reasons why retailers may make stocking 
decisions well in advance of a compliance date. After shipment, 
products are in transit and move through distribution centers before 
arriving at a retail destination. These logistics add significant lags 
between shipment and final sale. In addition, at any given point a 
large retailer may have significant inventory in transit or in 
distribution centers rather than on store shelves, which complicates 
large retailers' ability to account for all inventory that might be 
sold starting in 2020.
    Retailers are faced with significant uncertainty as to which 
products will be eligible for sale after 2019 Q4. The biggest 
uncertainty costs are from the potential of having empty shelves 
(``open bays''), which products to source to replace any potentially 
non-compliant products, markdowns to clear out inventory, and lost 
sales from inventory that is still in distribution centers or in 
transit rather than on store shelves.
    The largest retail segments of the consumer channel for lamps are 
home centers and discount, variety, and department stores. These data 
indicate the retail segments most likely to be

[[Page 3127]]

affected by lack of clarity regarding the ability to sell several lamp 
types.
[GRAPHIC] [TIFF OMITTED] TP11FE19.012

    The lamp shipment data above partially illustrate the magnitude of 
this uncertainty, and the retail shipments indicate which stores are 
affected. However, the Department is interested in additional input to 
inform its analysis (See section IV.C).

C. Requests for Additional Data

    As part of its effort to measure the effects of clarifying the 
ability to sell several lamp types, DOE seeks comments and data on the 
following:
    1. How long does it take for a product, such as a lamp, to move 
through a major retailer's distribution centers to the store, including 
transit?
    2. How long are lamps on the shelf at major retailers before they 
are purchased?
    3. How many units and lamp types of incandescents, CFLs, and LEDs 
do major retailers have in distribution, transit, and in stores?
    4. For affected retailers, what proportion of bays, sales, or 
inventory is lighting products? The Department is particularly 
interested in data from Home Center/DIY stores and discount, variety, 
and department stores.
    5. How much time would it take retailers to identify and source new 
products for an open retail bay?
    6. What are the opportunity costs associated with an open bay?
    7. Which retailers are affected by additional uncertainty 
pertaining to the ability to sell certain lamp types beginning in 
January 2020?
    The Department is particularly interested in data from Home Center/
DIY stores and discount, variety, and department stores, but welcomes 
data pertaining to all affected retailers.

V. Procedural Issues and Regulatory Review

A. Review Under Executive Orders 12866 and 13563

    The Office of Management and Budget (OMB) has determined that this 
NOPR does not constitute a ``significant regulatory action'' under 
section 3(f) of Executive Order 12866, Regulatory Planning and Review, 
58 FR 51735 (Oct. 4, 1993). This proposed rule neither implements nor 
seeks to enforce any standard. Rather, this proposed rule merely seeks 
to maintain the currently effective regulatory definitions of GSL and 
GSIL. Accordingly, this action was not subject to review under the 
Executive Order by the Office of Information and Regulatory Affairs 
(OIRA) in the OMB.

B. Review Under Executive Order 13771

    On January 30, 2017, the President issued Executive Order 13771, 
``Reducing Regulation and Controlling Regulatory Costs.'' The Executive 
Order stated the policy of the executive branch is to be prudent and 
financially responsible in the expenditure of funds, from both public 
and private sources. The Order stated that it is essential to manage 
the costs associated with the governmental imposition of private 
expenditures required to comply with Federal regulations. Consistent 
with Executive Order 13771, this proposed rule is estimated to result 
in cost savings. Therefore, this rule is an Executive Order 13771 
deregulatory action.

C. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires 
preparation of an initial regulatory flexibility analysis (IRFA) for 
any rule that by law must be proposed for public comment, unless the 
agency certifies that the rule, if promulgated, will not have a 
significant economic impact on a substantial number of small entities. 
As required by Executive Order 13272, ``Proper Consideration of Small 
Entities in Agency Rulemaking,'' 67 FR 53461 (August 16, 2002), DOE 
published procedures and policies on February 19, 2003, to ensure that 
the potential impacts of its rules on small entities are properly 
considered during the rulemaking process. 68 FR 7990. DOE

[[Page 3128]]

has made its procedures and policies available on the Office of the 
General Counsel's website (http://energy.gov/gc/office-general-counsel).
    DOE reviewed the proposed withdrawal of the revised definitions for 
GSL, GSIL 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 the proposed rule, 
if adopted, would 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 GSLs, 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 GSLs 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 \7\) 
and information from DOE's Compliance Certification Management System 
(CCMS) Database,\8\ EPA's ENERGY STAR Certified Light Bulbs 
Database,\9\ previous rulemakings, individual company websites, SBA's 
database, and market research tools (e.g., Hoover's reports \10\). DOE 
used information from these sources to create a list of companies that 
potentially manufacture or sell GSLs 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 eight companies are small businesses that maintain 
domestic production facilities for general service lamps.
---------------------------------------------------------------------------

    \7\ National Electric Manufacturers Association [bond] Member 
Products [bond] Lighting Systems [bond] Related Manufacturers, 
http://www.nema.org/Products/Pages/Lighting-Systems.aspx (last 
accessed September 26, 2018).
    \8\ DOE's Compliance Certification Database [bond] Lamps--Bare 
or Covered (No Reflector) Medium Base Compact Fluorescent, http://www.regulations.doe.gov/certification-data (last accessed September 
26, 2018).
    \9\ ENERGY STAR Qualified Lamps Product List, http://downloads.energystar.gov/bi/qplist/Lamps_Qualified_Product_List.xls?dee3-e997 (last accessed September 
26, 2018).
    \10\ Hoovers [bond] Company Information [bond] Industry 
Information [bond] Lists, http://www.hoovers.com (last accessed 
September 26, 2018).
---------------------------------------------------------------------------

    DOE notes that this proposed rule seeks to withdraw the revised 
definitions of GSIL and GSL that are effective in 2020 in order to 
maintain the existing regulatory definitions of these terms, which is 
the same as the statutory definitions of these terms, including 
exclusions of certain lamp types. As a result, certain lamps will 
continue to be exempt from complying with current Federal test 
procedures and any applicable Federal energy conservation standards. 
For this reason, DOE tentatively concludes and certifies that the 
proposed withdrawal of the definitions would not have a significant 
economic impact on a substantial number of small entities, and the 
preparation of an IRFA is not warranted.

D. 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, 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. See generally 10 CFR part 429. 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 30 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.

E. Review Under the National Environmental Policy Act of 1969

    Pursuant to the National Environmental Policy Act (NEPA) of 1969, 
DOE has determined that the proposed 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 proposed rule fits 
within this category of actions because it is a rulemaking that 
maintains the existing definitions of a covered class of products. 
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.

F. 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 
proposed 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 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.

[[Page 3129]]

G. 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) 
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 proposed rule meets the 
relevant standards of Executive Order 12988.

H. Review Under the Unfunded Mandates Reform Act of 1995

    Title II of the Unfunded Mandates Reform Act of 1995 (UMRA) 
requires each federal agency to assess the effects of federal 
regulatory actions on state, local, and tribal governments and the 
private sector. Public Law 104-4, sec. 201 (codified at 2 U.S.C. 1531). 
For a proposed regulatory action likely to result in a rule that may 
cause the expenditure by state, local, and tribal governments, in the 
aggregate, or by the private sector of $100 million or more in any one 
year (adjusted annually for inflation), section 202 of UMRA requires a 
federal agency to publish a written statement that estimates the 
resulting costs, benefits, and other effects on the national economy. 
(2 U.S.C. 1532(a), (b)) The UMRA also requires a federal agency to 
develop an effective process to permit timely input by elected officers 
of state, local, and tribal governments on a proposed ``significant 
intergovernmental mandate,'' and requires an agency plan for giving 
notice and opportunity for timely input to potentially affected small 
governments before establishing any requirements that might 
significantly or uniquely affect 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/gc/office-general-counsel. DOE examined this proposed 
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.

I. 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 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.

J. 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 proposed rule would 
not result in any takings that might require compensation under the 
Fifth Amendment to the U.S. Constitution.

K. 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 NOPR under the OMB and DOE 
guidelines and has concluded that it is consistent with applicable 
policies in those guidelines.

L. 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 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.
    This regulatory action to propose the withdrawal of the revised 
definitions of GSL, GSIL and supplemental definitions 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.

VI. Public Participation

A. Attendance at Public Meeting

    The time, date and location of the public meeting are listed in the 
DATES and ADDRESSES sections at the beginning of this document. If you 
plan to attend the public meeting, please notify Ms. Regina Washington 
at (202) 586-1214 or [email protected].
    Please note that foreign nationals visiting DOE Headquarters are 
subject to advance security screening procedures which require advance 
notice prior to attendance at the public meeting. If a foreign national 
wishes to participate in the public meeting, please inform DOE of this 
fact as soon as possible by contacting Ms. Regina Washington at (202) 
586-1214 or by email: [email protected] so that the 
necessary procedures can be completed.
    DOE requires visitors to have laptops and other devices, such as 
tablets, checked upon entry into the building. Any person wishing to 
bring these

[[Page 3130]]

devices into the Forrestal Building will be required to obtain a 
property pass. Visitors should avoid bringing these devices, or allow 
an extra 45 minutes to check in. Please report to the visitor's desk to 
have devices checked before proceeding through security.
    Due to the REAL ID Act implemented by the Department of Homeland 
Security (DHS), there have been recent changes regarding ID 
requirements for individuals wishing to enter Federal buildings from 
specific States and U.S. territories. DHS maintains an updated website 
identifying the State and territory driver's licenses that currently 
are acceptable for entry into DOE facilities at https://www.dhs.gov/real-id-enforcement-brief. A driver's license from a State or territory 
identified as not compliant by DHS will not be accepted for building 
entry and one of the alternate forms of ID listed below will be 
required. Acceptable alternate forms of Photo-ID include U.S. Passport 
or Passport Card; an Enhanced Driver's License or Enhanced ID-Card 
issued by States and territories as identified on the DHS website 
(Enhanced licenses issued by these States and territories are clearly 
marked Enhanced or Enhanced Driver's License); a military ID or other 
Federal government-issued Photo-ID card.
    In addition, you can attend the public meeting via webinar. Webinar 
registration information, participant instructions, and information 
about the capabilities available to webinar participants will be 
published on DOE's website: https://www1.eere.energy.gov/buildings/appliance_standards/standards.aspx?productid=4 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 plans to present a prepared general statement 
may request that copies of his or her statement be made available at 
the public meeting. Such persons may submit requests, along with an 
advance electronic copy of their statement in PDF (preferred), 
Microsoft Word or Excel, WordPerfect, or text (ASCII) file format, to 
the appropriate address shown in the ADDRESSES section at the beginning 
of this notice. The request and advance copy of statements must be 
received at least one week before the public meeting and may be 
emailed, hand-delivered, or sent by mail. DOE prefers to receive 
requests and advance copies via email. Please include a telephone 
number to enable DOE staff to make a follow-up contact, if needed.

C. Conduct of Public Meeting

    DOE will designate a DOE official to preside at the 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 public meeting. After the 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 public meeting will be conducted in an informal, conference 
style. DOE will present summaries of comments received before the 
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 and comment on 
statements made by others. 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 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 public meeting.
    A transcript of the public meeting will be included in the docket, 
which can be viewed as described in the Docket section at the beginning 
of this notice. 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 NOPR.
    Submitting comments via http://www.regulations.gov. The http://www.regulations.gov web page will require you to provide your name and 
contact information. Your contact information will be viewable to DOE 
Building Technologies staff only. Your contact information will not be 
publicly viewable except for your first and last names, organization 
name (if any), and submitter representative name (if any). If your 
comment is not processed properly because of technical difficulties, 
DOE will use this information to contact you. If DOE cannot read your 
comment due to technical difficulties and cannot contact you for 
clarification, DOE may not be able to consider your comment.
    However, your contact information will be publicly viewable if you 
include it in the comment itself or in any documents attached to your 
comment. Any information that you do not want to be publicly viewable 
should not be included in your comment, nor in any document attached to 
your comment. Otherwise, persons viewing comments will see only first 
and last names, organization names, correspondence containing comments, 
and any documents submitted with the comments.
    Do not submit to http://www.regulations.gov information for which 
disclosure is restricted by statute, such as trade secrets and 
commercial or financial information (hereinafter referred to as 
confidential business information or CBI). Comments submitted through 
http://www.regulations.gov 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 below.
    DOE processes submissions made through http://www.regulations.gov 
before posting. Normally, comments will be posted within a few days of 
being submitted. However, if large volumes of comments are being 
processed simultaneously, your comment may not be viewable for up to 
several weeks. Please keep the comment tracking number that 
www.regulations.gov provides after you have successfully uploaded your 
comment.
    Submitting comments via email, hand delivery/courier, or mail. 
Comments and documents submitted via email, hand delivery/courier, or 
mail also will be

[[Page 3131]]

posted to http://www.regulations.gov. If you do not want your personal 
contact information to be publicly viewable, do not include it in your 
comment or any accompanying documents. Instead, provide your contact 
information in a cover letter. Include your first and last names, email 
address, telephone number, and optional mailing address. The cover 
letter will not be publicly viewable as long as it does not include any 
comments.
    Include contact information each time you submit comments, data, 
documents, and other information to DOE. If you submit via mail or hand 
delivery/courier, please provide all items on a CD, if feasible, in 
which case it is not necessary to submit printed copies. 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.
    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, postal mail, or hand delivery/courier two well-marked copies: 
one copy of the document marked ``confidential'' including all the 
information believed to be confidential, and one copy of the document 
marked ``non-confidential'' with the information believed to be 
confidential deleted. Submit these documents via email or on a CD, if 
feasible. DOE will make its own determination about the confidential 
status of the information and treat it according to its determination.
    Factors of interest to DOE when evaluating requests to treat 
submitted information as confidential include: (1) A description of the 
items; (2) whether and why such items are customarily treated as 
confidential within the industry; (3) whether the information is 
generally known by or available from other sources; (4) whether the 
information has previously been made available to others without 
obligation concerning its confidentiality; (5) an explanation of the 
competitive injury to the submitting person that would result from 
public disclosure; (6) when such information might lose its 
confidential character due to the passage of time; and (7) why 
disclosure of the information would be contrary to the public interest.
    It is DOE's policy that all comments may be included in the public 
docket, without change and as received, including any personal 
information provided in the comments (except information deemed to be 
exempt from public disclosure).

E. Issues on Which DOE Seeks Comment

    DOE welcomes comments on any aspect of this proposal, without 
restriction.

VII. 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.

    Signed in Washington, DC, on: January 31, 2019.
Daniel R. Simmons,
Assistant Secretary, Energy Efficiency and Renewable Energy.

    For the reasons set forth in the preamble, DOE proposes to amend 
part 430 of chapter II, subchapter D, of title 10 of the Code of 
Federal Regulations, as set forth below:

PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS

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.


Sec.  430.2   [Amended]

0
2. Section 430.2 is amended by:
0
a. Withdrawing the addition of 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'' published January 19, 2017 (82 FR 7321).
0
b. Withdrawing the revision of the definition of ``designed and 
marketed'' published January 19, 2017 (82 FR 7321).
0
c. Withdrawing the revisions of the definitions of ``general service 
incandescent lamp,'' and ``general service lamp'' published January 19, 
2017 (82 FR 7321).
0
d. Withdrawing the removal of paragraph (27) of the definition of 
``general service lamp'' published January 19, 2017 (82 FR 7333).

[FR Doc. 2019-01853 Filed 2-8-19; 8:45 am]
 BILLING CODE 6450-01-P