[Federal Register Volume 86, Number 158 (Thursday, August 19, 2021)]
[Proposed Rules]
[Pages 46611-46626]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-17346]


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DEPARTMENT OF ENERGY

10 CFR Part 430

[EERE-2021-BT-STD-0012]
RIN 1904-AF22


Energy Conservation Program: Definitions for General Service 
Lamps

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

ACTION: Notice of proposed rulemaking and announcement of public 
meeting.

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SUMMARY: On January 19, 2017, the U.S. Department of Energy (``DOE'') 
published two final rules adopting revised definitions of general 
service lamp (``GSL'') and general service incandescent lamp 
(``GSIL''), and other supplemental definitions, to go into effect 
January 1, 2020. Prior to that effective date, on September 5, 2019, 
DOE withdrew the revised definitions of GSL, GSIL, and the other 
supplemental definitions. Upon further review and consideration, in 
this notice of proposed rulemaking (``NOPR''), DOE proposes to adopt 
the definitions of GSL and GSIL and the associated supplemental 
definitions set forth in the January 2017 final rules. This document 
also announces a public meeting to receive comment on these proposed 
definitions.

DATES: 
    Meeting: DOE will hold a public meeting via webinar on Thursday, 
September 30, 2021, from 10:00 a.m. to 4:00 p.m. See section V, 
``Public Participation,'' for webinar registration information, 
participant instructions and information about the capabilities 
available to webinar participants.
    Comments: DOE will accept comments, data, and information regarding 
this NOPR no later than October 18, 2021.

ADDRESSES: Interested persons are encouraged to submit comments using 
the Federal eRulemaking Portal at www.regulations.gov. Follow the 
instructions for submitting comments. Alternatively, interested persons 
may submit comments identified by docket number EERE-2021-BT-STD-0012, 
and by email: To [email protected]. Include docket 
number EERE-2021-BT-STD-0012 in the subject line of the message.
    No telefacsimiles (``faxes'') will be accepted. For detailed 
instructions on submitting comments and additional information on this 
process, see section V of this document.
    Although DOE has routinely accepted public comment submissions 
through a

[[Page 46612]]

variety of mechanisms, including postal mail and hand delivery/courier, 
the Department has found it necessary to make temporary modifications 
to the comment submission process in light of the ongoing coronavirus 
disease 2019 (``COVID-19'') pandemic. DOE is accepting only electronic 
submissions at this time. If a commenter finds that this change poses 
an undue hardship, please contact Appliance Standards Program staff at 
(202) 586-1445 to discuss the need for alternative arrangements. Once 
the COVID-19 pandemic health emergency is resolved, DOE anticipates 
resuming all of its regular options for public comment submission, 
including postal mail and hand delivery/courier.
    Docket: The docket for this activity, which includes Federal 
Register notices, comments, and other supporting documents/materials, 
is available for review at www.regulations.gov. All documents in the 
docket are listed in the www.regulations.gov index. However, not all 
documents listed in the index may be publicly available, such as 
information that is exempt from public disclosure.
    The docket web page can be found at www.regulations.gov/#!docketDetail;D=EERE-2021-BT-STD-0012. The docket web page contains 
instructions on how to access all documents, including public comments, 
in the docket. See section V for information on how to submit comments 
through www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: Dr. Stephanie Johnson, U.S. Department 
of Energy, Office of Energy Efficiency and Renewable Energy, Building 
Technologies Office, EE-5B, 1000 Independence Avenue SW, Washington, DC 
20585-0121. Telephone: (202) 287-1943. Email: 
[email protected].
    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
    A. Authority
    B. March 2016 Notice of Proposed Rulemaking and October 2016 
Notice of Proposed Definition and Data Availability
    C. January 2017 Final Rules
    D. September 2019 Withdrawal Rule and Subsequent Review
II. Synopsis of the Proposed Rule
III. General Discussion
    A. GSL and GSIL Definitions
    B. Discontinuation of Exemptions
    C. GSLs and GSILs
    1. T-Shape, B, BA, CA, F, G16-1/2, G25, G30, S, and M-14 Lamps
    2. Rough Service Lamps, Vibration Service Lamps, 3-Way 
Incandescent Lamps, and Shatter-Resistant Lamps
    D. Other GSLs
    E. Incandescent Reflector Lamps
    F. Supplemental Definitions
    G. Proposed Effective Date
IV. Procedural Issues and Regulatory Review
    A. Review Under Executive Orders 12866
    B. Review Under the Regulatory Flexibility Act
    C. Review Under the Paperwork Reduction Act
    D. Review Under the National Environmental Policy Act of 1969
    E. Review Under Executive Order 13132
    F. Review Under Executive Order 12988
    G. Review Under the Unfunded Mandates Reform Act of 1995
    H. Review Under the Treasury and General Government 
Appropriations Act, 1999
    I. Review Under Executive Order 12630
    J. Review Under the Treasury and General Government 
Appropriations Act, 2001
    K. Review Under Executive Order 13211
    L. Review Under Section 32 of the Federal Energy Administration 
Act of 1974
    M. Materials Incorporated by Reference
V. Public Participation
    A. Attendance at the Webinar
    B. Procedure for Submitting Prepared General Statements for 
Distribution
    C. Conduct of the Webinar
    D. Submission of Comments
VI. Approval of the Office of the Secretary

I. Authority and Background

    Amendments to the Energy Policy and Conservation Act (``EPCA'') in 
the Energy Independence and Security Act of 2007, Public Law 110-140 
(``EISA'') directed DOE to conduct a number of rulemakings regarding 
coverage of lamps as GSLs and GSILs, and to evaluate energy 
conservation standards for such lamps. 42 U.S.C. 6295(i)(6)(A)-(B). 
Pursuant to this authority, DOE conducted a rulemaking to establish 
revised regulatory definitions for GSLs and GSILs. See 82 FR 7276 (Jan. 
19, 2017); 82 FR 7322 (Jan. 19, 2017). Subsequently, DOE conducted a 
rulemaking in which it withdrew these revised definitions before they 
took effect. 84 FR 46661 (Sept. 5, 2019). The following paragraphs 
provide an overview of the authorities and final rules issued by DOE 
relevant to the definitions for GSL, GSIL, and related terms, as 
proposed in this NOPR.

A. Authority

    EPCA, as amended,\1\ authorizes DOE to regulate the energy 
efficiency of a number of consumer products and certain industrial 
equipment. 42 U.S.C. 6291-6317. Title III, Part B \2\ of EPCA, 
established the Energy Conservation Program for Consumer Products Other 
Than Automobiles. 42 U.S.C. 6291-6309. These products include GSLs, the 
subject of this rulemaking.
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    \1\ All references to EPCA in this document refer to the statute 
as amended through the Energy Act of 2020, Public Law 116-260 (Dec. 
27, 2020).
    \2\ For editorial reasons, upon codification in the U.S. Code, 
Part B was redesignated Part A.
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    EPCA directs DOE to conduct two rulemaking cycles to evaluate 
energy conservation standards for GSLs. 42 U.S.C. 6295(i)(6)(A)-(B). 
GSLs are defined in EPCA to include GSILs, compact fluorescent lamps 
(``CFLs''), general service light-emitting diode (``LED'') lamps and 
organic light emitting diode (``OLED'') lamps, and any other lamps that 
the Secretary of Energy (``Secretary'') determines are used to satisfy 
lighting applications traditionally served by general service 
incandescent lamps. 42 U.S.C. 6291(30)(BB)(i), (CC)(i), (DD). The EPCA 
provision setting forth relevant definitions indicates that the term 
``general service lamp'' in EPCA does not include any of the twenty-two 
lighting applications or bulb shapes explicitly not included in the 
definition of ``general service incandescent lamp,'' \3\ or any general 
service fluorescent lamp or incandescent reflector lamp. 42 U.S.C. 
6291(30)(BB)(ii).
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    \3\ As defined in EPCA ``general service incandescent lamp'' 
does not include the following incandescent lamps: (I) An appliance 
lamp; (II) A black light lamp; (III) A bug lamp; (IV) A colored 
lamp; (V) An infrared lamp; (VI) A left-hand thread lamp; (VII) A 
marine lamp; (VIII) A marine signal service lamp; (IX) A mine 
service lamp; (X) A plant light lamp; (XI) A reflector lamp; (XII) A 
rough service lamp; (XIII) A shatter-resistant lamp (including a 
shatter-proof lamp and a shatter-protected lamp); (XIV) A sign 
service lamp; (XV) A silver bowl lamp; (XVI) A showcase lamp; (XVII) 
A three-way incandescent lamp; (XVIII) A traffic signal lamp; (XIX) 
A vibration service lamp; (XX) A G shape lamp (as defined in ANSI 
C78.20-2003 and C79.1-2002[)] with a diameter of 5 inches or more; 
(XXI) A T shape lamp (as defined in ANSI C78.20-2003 and C79.1-2002) 
[and] that uses not more than 40 watts or has a length of more than 
10 inches; (XXII) A B, BA, CA, F, G16-1/2, G-25, G30, S, or M-14 
lamp (as defined in ANSI C79.1-2002 and ANSI C78.20-2003) of 40 
watts or less. 42 U.S.C. 6291(30)(D)(ii).
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    For the first rulemaking cycle, EPCA directs DOE to initiate a 
rulemaking process prior to January 1, 2014, to consider two questions: 
(1) Whether to amend energy conservation standards

[[Page 46613]]

for general service lamps to establish more stringent standards than 
EPCA specifies, and (2) whether ``the exemptions for certain 
incandescent lamps should be maintained or discontinued.'' 42 U.S.C. 
6295(i)(6)(A)(i). In developing such a rule, DOE must consider a 
minimum efficacy standard of 45 lumens per watt (``lm/W''). 42 U.S.C. 
6295(i)(6)(A)(ii). Further, if the Secretary determines that the 
standards in effect for GSILs should be amended, EPCA provides that a 
final rule must be published by January 1, 2017, with an effective date 
at least three years after the date on which the final rule is 
published. 42 U.S.C. 6295(i)(6)(A)(iii). Additionally, EPCA directs 
that the Secretary shall consider phased-in effective dates after 
considering certain economic factors. 42 U.S.C. 6295(i)(6)(A)(iv). If 
DOE fails to complete a rulemaking in accordance with 42 U.S.C. 
6295(i)(6)(A)(i)-(iv), or if a final rule from the first rulemaking 
cycle does not produce savings greater than or equal to the savings 
from a minimum efficacy standard of 45 lm/W, the statute provides a 
``backstop'' under which DOE must prohibit sales of GSLs that do not 
meet a minimum 45 lm/W standard. 42 U.S.C. 6295(i)(6)(A)(v).
    EPCA further directs DOE to initiate a second rulemaking cycle by 
January 1, 2020, to determine whether standards in effect for GSILs 
(which are a subset of GSLs) should be amended with more stringent 
maximum wattage requirements than EPCA specifies, and whether the 
exemptions for certain incandescent lamps should be maintained or 
discontinued. 42 U.S.C. 6295(i)(6)(B)(i). As in the first rulemaking 
cycle, the scope of the second rulemaking is not limited to 
incandescent lamp technologies. 42 U.S.C. 6295(i)(6)(B)(ii).
    In addition to the two mandated rulemaking cycles, under the 
statutory definition of GSL, DOE has authority to include lamps as GSLs 
upon determining that they are ``used to satisfy lighting applications 
traditionally served by general service incandescent lamps.'' 42 U.S.C. 
6291(30)(BB)(i)(IV).

B. March 2016 Notice of Proposed Rulemaking and October 2016 Notice of 
Proposed Definition and Data Availability

    Pursuant to its statutory authority, DOE published a Notice of 
Proposed Rulemaking on March 17, 2016 that addressed the first question 
that Congress directed it to consider--whether to amend energy 
conservation standards for GSLs (``March 2016 NOPR''). 81 FR 14528, 
14629-14630 (Mar. 17, 2016). In that NOPR, DOE stated that it would be 
unable to undertake any analysis regarding GSILs and other incandescent 
lamps because of a then-applicable congressional restriction (``the 
Appropriations Rider''). See Id. at 81 FR 14528, 14540-14541. The 
Appropriations Rider prohibited expenditure of funds appropriated by 
that law to implement or enforce: (1) 10 CFR 430.32(x), which includes 
maximum wattage and minimum rated lifetime requirements for GSILs; and 
(2) standards set forth in section 325(i)(1)(B) of EPCA (42 U.S.C. 
6295(i)(1)(B)), which sets minimum lamp efficiency ratings for 
incandescent reflector lamps (``IRLs''). Under the Appropriations 
Rider, DOE was restricted from undertaking the analysis required to 
address the first question presented by Congress, but was not so 
limited in addressing the second question--that is, DOE was not 
prevented from determining whether the exemptions for certain 
incandescent lamps should be maintained or discontinued. To address 
that second question, DOE published a Notice of Proposed Definition and 
Data Availability (``NOPDDA''), which proposed to amend the definitions 
of GSIL, GSL, and related terms (``October 2016 NOPDDA''). 81 FR 71794, 
71815 (Oct. 18, 2016). Notably, the Appropriations Rider originally was 
adopted in 2011 and was readopted and extended continuously in multiple 
subsequent legislative actions. It expired on May 5, 2017, when the 
Consolidated Appropriations Act, 2017 was enacted.\4\
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    \4\ See Consolidated Appropriations Act of 2017 (Pub. L. 115-31, 
div. D, tit. III); see also Consolidated Appropriations Act, 2018 
(Pub. L. 115-141).
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C. January 2017 Final Rules

    On January 19, 2017, DOE published two final rules concerning the 
definitions of GSL, GSIL, and related terms. 82 FR 7276; 82 FR 7322 
(``January 2017 Final Rules''). The January 2017 Final Rules amended 
the definitions of GSIL and GSL by bringing certain categories of lamps 
within the definitions of GSIL and GSL that EPCA had exempted. These 
two rules were issued simultaneously, with the first rule maintaining 
the existing exemption for IRLs in the definition of GSL and the second 
rulemaking determining to discontinue the IRL exemption. See 82 FR 
7312; 82 FR 7323. The January 2017 Final Rules related only to the 
second question that Congress directed DOE to consider, regarding 
whether to maintain or discontinue ``exemptions'' for certain 
incandescent lamps. 42 U.S.C. 6295(i)(6)(A)(i)(II). DOE explained in 
the rule that the discontinuation of certain exemptions would render 
the lamps within those exemptions GSLs, to the extent they would 
otherwise qualify as GSLs. For certain lamps, the discontinuation of 
the exemption may also render the lamp a GSIL, to the extent it would 
otherwise qualify as a GSIL. 82 FR 7277. DOE stated that it would then 
either impose standards on these lamps pursuant to its authority to 
develop GSL standards or apply the backstop standard prohibiting the 
sale of lamps not meeting a 45 lm/W efficacy standard. 82 FR 7276, 
7277. The definitions in the January 2017 Final Rules were to become 
effective on January 1, 2020. 82 FR 7276, 7276; 82 FR 7322, 7322.

D. September 2019 Withdrawal Rule and Subsequent Review

    With the removal of the Appropriations Rider in the Consolidated 
Appropriations Act, 2017, DOE was no longer restricted from undertaking 
the analysis and decision-making required to address the first question 
presented by Congress--that is, whether to amend energy conservation 
standards for GSLs, including GSILs. Thus, on August 15, 2017, DOE 
published a Notice of Data Availability and request for information 
(``NODA'') seeking data for GSILs and other incandescent lamps 
(``August 2017 NODA''). 82 FR 38613.
    The purpose of the August 2017 NODA was to assist DOE in 
determining whether standards for GSILs should be amended. 42 U.S.C. 
6295(i)(6)(A)(i)(I). Comments submitted in response to the August 2017 
NODA also led DOE to reconsider the decisions it had already made with 
respect to the second question presented to DOE (whether the exemptions 
for certain incandescent lamps should be maintained or discontinued). 
42 U.S.C. 6295(i)(6)(A)(i)(II). As a result of the comments received in 
response to the August 2017 NODA, DOE also re-assessed the legal 
interpretations underlying certain decisions made in the January 2017 
Final Rules.
    On February 11, 2019, DOE published a NOPR proposing to withdraw 
the revised definitions of GSL and GSIL, and the new and revised 
definitions of related terms that were to go into effect on January 1, 
2020. 84 FR 3120. In a final rule published September 5, 2019, DOE 
finalized the withdrawal of the definitions of GSIL, GSL, and related 
terms established in the January 2017 Final Rules. 84 FR 46661 
(``September 2019 Withdrawal Rule''). Informed, in part, by comments 
received in response

[[Page 46614]]

to the August 2017 NODA, DOE concluded in the September 2019 Withdrawal 
Rule that maintaining the definitions for GSL and GSIL as established 
by EPCA and not discontinuing certain exemptions pursuant to the 
required review under 42 U.S.C. 6295(i)(6)(A)(i) was the best reading 
of the statute. 84 FR 46661, 46665-46666. DOE also stated that it 
identified inaccuracies underlying its determination to revise the 
definitions of GSL and GSIL. 84 FR 46661, 46665. Based on data received 
in response to the August 2017 NODA, DOE learned that it had 
overestimated shipment numbers for candelabra base incandescent lamps 
by a factor of more than two. Id. In withdrawing the definitions 
established in the January 2017 Final Rules, DOE specifically addressed 
its determinations to maintain the exemptions for rough service lamps; 
shatter-resistant lamps; three-way incandescent lamps; high lumen 
incandescent lamps (2,601-3,300 lumens); vibration service lamps; T-
shape lamps of 40 watts (``W'') or less or length of 10 inches or more; 
B, BA, CA, F, G16-1/2, G25, G30, S, M-14 lamps of 40 W or less; 
candelabra base lamps; and IRLs. Id.
    The September 2019 Withdrawal Rule also addressed issues and 
comments regarding the imposition of the 45 lm/W backstop, 
applicability of EPCA's anti-backsliding provision at 42 U.S.C. 
6295(o), and preemption of State regulation of lamps. 84 FR 46663-
46665, 46669. These additional issues are not the subject of this NOPR. 
DOE has requested comments and data to inform further consideration of 
the 45 lm/W backstop provision. See 86 FR 28001 (May 25, 2021).
    As a result of the September 2019 Withdrawal Rule, the amended 
definitions of GSL and GSIL and the new and revised definitions of 
related terms established in the January 2017 Final Rules were 
withdrawn prior to going into effect. The current regulatory 
definitions of GSL and GSIL are those set forth in EPCA. See 10 CFR 
430.2; see also 42 U.S.C. 6291(30)(D); 42 U.S.C. 6291(30)(BB).
    Subsequent to the September 2019 Withdrawal Rule, on January 20, 
2021, President Biden issued Executive Order (``E.O.'') 13990, 
``Protecting Public Health and the Environment and Restoring Science to 
Tackle the Climate Crisis.'' 86 FR 7037 (Jan. 25, 2021). Section 1 of 
that Order lists a number of policies related to the protection of 
public health and the environment, including reducing greenhouse gas 
emissions and bolstering the Nation's resilience to climate change. 86 
FR 7037, 7041. Section 2 of the Order instructs all agencies to review 
``existing regulations, orders, guidance documents, policies, and any 
other similar agency actions . . . promulgated, issued, or adopted 
between January 20, 2017, and January 20, 2021, that are or may be 
inconsistent with, or present obstacles to, [these policies].'' Id. 
Agencies are then directed, as appropriate and consistent with 
applicable law, to consider suspending, revising, or rescinding these 
agency actions and to immediately commence work to confront the climate 
crisis. Id.
    Consistent with E.O. 13990, DOE has undertaken a review of the 
definitions of GSL and GSIL in the September 2019 Withdrawal Rule and 
the January 2017 Final Rules. Although E.O. 13990 triggered DOE's 
review, DOE is relying on its analysis below, based on the language and 
intent of EPCA, to support its decision to reconsider the September 
2019 Withdrawal Rule. As a result of this review, DOE rejects the 
alternative interpretation of the statutory directives in EPCA set 
forth in the September 2019 Withdrawal rule and preliminarily 
determines that DOE's interpretation in this proposed rule is the best 
and proper reading of the statute.

II. Synopsis of the Proposed Rule

    In this NOPR, DOE proposes to amend the definitions of GSL and GSIL 
as previously set forth in the January 2017 Final Rules. DOE has 
preliminarily determined that the definitions as proposed are 
consistent with the congressional direction provided in EPCA and 
further the purposes set forth in EPCA, as well as in E.O. 13990. 
Additionally, DOE proposes to adopt the supplemental definitions 
established in the January 2017 Final Rules, which relate to the 
proposed definitions of GSL and GSIL. DOE is not proposing whether 
standards for GSLs, including GSILs, should be amended. Rather, DOE is 
proposing the scope of lamps to be considered in such a determination.

III. General Discussion

A. GSL and GSIL Definitions

    To provide context for this NOPR, this section provides further 
description of the statutory and regulatory definitions, as amended 
under the January 2017 Final Rules and September 2019 Withdrawal Rule 
rulemakings.
    EPCA defines the class of GSLs as including GSILs, CFLs, general 
service LED and OLED lamps, and any other lamps that DOE determines are 
used to satisfy lighting applications traditionally served by GSILs; 
however, as initially specified by EPCA, GSLs did not include any 
lighting application or bulb shape that under 42 U.S.C. 6291(30)(D)(ii) 
is not included in the ``general service incandescent lamp'' 
definition, or any general service fluorescent lamp or incandescent 
reflector lamp. 42 U.S.C. 6291(30)(BB).
    EPCA defines a GSIL generally as a standard incandescent or halogen 
type lamp that is intended for general service applications; has a 
medium screw base; has a lumen range of not less than 310 lumens and 
not more than 2,600 lumens or, in the case of a modified spectrum lamp, 
not less than 232 lumens and not more than 1,950 lumens; and is capable 
of being operated at a voltage range at least partially within 110 and 
130 volts. 42 U.S.C. 6291(30)(D)(i). This definition does not apply, 
however, to the following incandescent lamps: An appliance lamp; a 
black light lamp; a bug lamp; a colored lamp; an infrared lamp; a left-
hand thread lamp; a marine lamp; a marine signal service lamp; a mine 
service lamp; a plant light lamp; a reflector lamp; a rough service 
lamp; a shatter-resistant lamp (including a shatter-proof lamp and a 
shatter-protected lamp); a sign service lamp; a silver bowl lamp; a 
showcase lamp; a three-way incandescent lamp; a traffic signal lamp; a 
vibration service lamp; a G shape lamp (as defined in ANSI C78.20 and 
ANSI C79.1-2002) with a diameter of 5 inches or more; a T shape lamp 
(as defined in ANSI C78.20 and ANSI C79.1-2002) and that uses not more 
than 40 watts or has a length of more than 10 inches; and a B, BA, CA, 
F, G16-1/2, G-25, G30, S, or M-14 lamp (as defined in ANSI C79.1-2002 
and ANSI C78.20) of 40 watts or less. 42 U.S.C. 6291(30)(D)(ii).
    In the January 2017 Final Rules, invoking the rulemaking authority 
afforded by EPCA in 42 U.S.C. 6291(30)(BB)(i)(IV), DOE amended the 
regulatory definition of GSL to mean a lamp that had an ANSI base; was 
able to operate at a voltage of 12 volts or 24 volts, at or between 100 
to 130 volts, at or between 220 to 240 volts, or of 277 volts for 
integrated lamps, or was able to operate at any voltage for non-
integrated lamps; had an initial lumen output of greater than or equal 
to 310 lumens (or 232 lumens for modified spectrum general service 
incandescent lamps) and less than or equal to 3,300 lumens; was not a 
light fixture; was not an LED downlight retrofit kit; and was used in 
general lighting applications. 82 FR 7312. General service lamps 
included, but were not limited to, general service incandescent lamps, 
compact fluorescent lamps, general

[[Page 46615]]

service light-emitting diode lamps, and general service organic light-
emitting diode lamps. 82 FR 7276, 7321.
    As defined in the January 2017 Final Rules, GSLs did not include: 
(1) Appliance lamps; (2) Black light lamps; (3) Bug lamps; (4) Colored 
lamps; (5) G shape lamps with a diameter of 5 inches or more as defined 
in ANSI C79.1-2002; (6) General service fluorescent lamps; (7) High 
intensity discharge lamps; (8) Infrared lamps; (9) J, JC, JCD, JCS, 
JCV, JCX, JD, JS, and JT shape lamps that do not have Edison screw 
bases; (10) Lamps that have a wedge base or prefocus base; (11) Left-
hand thread lamps; (12) Marine lamps; (13) Marine signal service lamps; 
(14) Mine service lamps; (15) MR shape lamps that have a first number 
symbol equal to 16 (diameter equal to 2 inches) as defined in ANSI 
C79.1-2002, operate at 12 volts, and have a lumen output greater than 
or equal to 800; (16) Other fluorescent lamps; (17) Plant light lamps; 
(18) R20 short lamps; (19) Reflector lamps that have a first number 
symbol less than 16 (diameter less than 2 inches) as defined in ANSI 
C79.1- 2002 and that do not have E26/E24, E26d, E26/50x39, E26/53x39, 
E29/28, E29/53x39, E39, E39d, EP39, or EX39 bases; (20) S shape or G 
shape lamps that have a first number symbol less than or equal to 12.5 
(diameter less than or equal to 1.5625 inches) as defined in ANSI 
C79.1-2002; (21) Sign service lamps; (22) Silver bowl lamps; (23) 
Showcase lamps; (24) Specialty MR lamps; (25) T shape lamps that have a 
first number symbol less than or equal to 8 (diameter less than or 
equal to 1 inch) as defined in ANSI C79.1-2002, nominal overall length 
less than 12 inches, and that are not compact fluorescent lamps; and 
(26) Traffic signal lamps. Id.; 82 FR 7322, 7333.
    The January 2017 Final Rules defined GSIL to discontinue the 
exemptions for rough service lamps; shatter-resistant lamps; three-way 
incandescent lamps; vibration service lamps; reflector lamps; T-shape 
lamps of 40 W or less or length of 10 inches or more; and B, BA, CA, F, 
G16-1/2, G25, G30, S, M-14 lamps of 40 W or less. 82 FR 7276, 7291.
    DOE subsequently withdrew the definitions as established in the 
January 2017 Final Rules before their effective date and reverted to 
the statutory definitions. As a result, the exemptions from the 
definitions of GSL and GSIL as originally provided in EPCA are 
currently maintained.

B. Discontinuation of Exemptions

    The September 2019 Withdrawal Rule failed to give meaningful effect 
to the statutory direction that DOE determine whether exemptions for 
certain incandescent lamps should be discontinued. In adopting the 
rulemaking mandate, Congress provided DOE with the authority to adjust 
the scope of GSLs and GSILs to ensure that the energy savings Congress 
intended would be achieved notwithstanding the possibility that, with 
the passage of time, different lamps might be used to satisfy lighting 
applications traditionally served by GSILs. 42 U.S.C. 6295(i)(6)(A)(i)-
(ii). In disavowing DOE's prior conclusions in the January 2017 Final 
Rules, the September 2019 Withdrawal Rule incongruously asserted that 
the statutory command to DOE to determine whether to discontinue 
certain exemptions did not give DOE authority to amend statutory 
definitions by regulation, 84 FR 46667, but then failed to explain what 
that command does authorize. In doing so, the September 2019 Withdrawal 
Rule disregarded congressional intent as expressed through the 
statutory language. In contrast, the position taken in the January 2017 
Final Rules did fulfill the intent of Congress by using the authority 
granted to DOE through EISA to achieve the energy savings for GSLs that 
Congress expected. This position represents the best implementation of 
EPCA given the potential for lost energy savings that may result from 
the use of lamps in general lighting applications that would not be 
subject to energy conservation standards. As DOE understood in the 
January 2017 Final Rules, EPCA exempted certain categories of lamps 
because, on the one hand, some lamps in those categories have specialty 
applications; and on the other hand, it was not clear, at the time when 
these lamp provisions were originally enacted, whether those lamps were 
used to satisfy lighting applications traditionally served by GSILs. 82 
FR 7276, 7277. The purpose, then, of the determination Congress 
directed DOE to make (i.e., whether to maintain or to discontinue a 
given exemption (42 U.S.C. 6295(i)(6)(A)(i)(II))) was that DOE should 
assess the role of lamps of the various exempted types in the broader 
lighting market, bearing in mind the evident statutory purpose of 
achieving energy conservation by imposing efficiency standards for 
general lighting. Id. at 82 FR 7276, 7277. That is, Congress directed 
DOE to evaluate whether the exempted lamps are being used in 
applications in which GSILs have previously been used.
    In the September 2019 Withdrawal Rule, DOE failed to properly 
consider the congressional intent underlying EPCA generally and EISA 
specifically, and, consequently, failed to read the statute in the 
proper context, leading to an incorrect interpretation by DOE in 2019 
that it could not exercise its authority to remove exemptions for 
certain incandescent lamps that are used in general lighting 
applications. The initial determination reached here to adopt the 
definitions established in the January 2017 Final Rules best aligns 
with EPCA's goals for increasing the energy efficiency of covered 
products through the establishment and amendment of energy conservation 
standards and promoting conservation measures when feasible. 42 U.S.C. 
6291 et seq., as amended.

C. GSLs and GSILs

    As discussed in section I.A, EPCA directs DOE to initiate a 
rulemaking process prior to January 1, 2014, to consider two questions: 
(1) Whether to amend energy conservation standards for general service 
lamps and (2) whether ``the exemptions for certain incandescent lamps 
should be maintained or discontinued.'' 42 U.S.C. 6295(i)(6)(A)(i). In 
the January 2017 Final Rules, which addressed the second question, DOE 
understood the purpose of the determinations regarding exemptions 
required under section (i)(6)(A)(i)(II) of EPCA to be to ensure that a 
given exemption would not impair the effectiveness of GSL standards by 
leaving available a convenient substitute that is not regulated as a 
GSL. DOE based its decision for each exemption on an assessment of 
whether the exemption encompasses lamps that can provide general 
illumination and can functionally be a ready substitute for lamps 
already covered as GSLs. Id. A lamp that is capable of providing 
general illumination has design features that make it highly suitable 
for performing that task in the sort of application in which GSILs have 
traditionally served. 82 FR 7276, 7303. The technical characteristics 
of lamps in a given exemption and the volume of sales of those lamps 
were among the considerations relevant to that assessment. 82 FR 7276, 
7288. High annual sales were an indication that the product is likely 
used in general lighting applications, because the sales of lamps for 
specialty applications tend to be relatively small compared with sales 
for general-purpose lighting. Id. DOE also cautioned that sales data 
are not the only consideration, as it may be appropriate to discontinue 
an exemption even though current sales are relatively low, if technical 
characteristics of the exempted lamps make them likely to serve as 
ready

[[Page 46616]]

substitutes for GSLs once GSL standards are in place. Id.
    Contrary to this position, in the September 2019 Withdrawal Rule, 
DOE stated that it may have overstepped its limited authority by 
relying on factors that Congress did not intend it to consider. DOE 
further stated that it was no longer using ``convenient unregulated 
alternatives'' as a basis upon which to discontinue exemptions for 
specialty lamp types. DOE agreed with those commenters that asserted 
this consideration went beyond the authority granted by Congress to use 
the potential that a lamp may be considered a loophole to GSL standards 
as the basis for discontinuing its exemption under the statute. 84 FR 
46661, 46668-46669. Subsequently, in the September 2019 Withdrawal 
Rule, DOE maintained the definitions of GSLs and GSILs. Id.
    Upon reviewing the September 2019 Withdrawal Rule, DOE now 
recognizes that the analysis in that rule may have overlooked certain 
considerations and may not have accurately characterized the actions 
taken in the January 2017 Final Rules. Certain factors were not fully 
explored in the September 2019 Withdrawal Rule and merit consideration 
in determining whether to amend the definitions of GSL and GSIL. The 
specific discussions from the September 2019 Withdrawal Rule that 
require further consideration are addressed in the appropriate sections 
that follow.
    Based on the analysis and evaluation presented in the rulemaking 
culminating in the January 2017 Final Rules, and the discussion that 
follows, DOE is proposing to define GSIL to mean: A standard 
incandescent or halogen type lamp that is intended for general service 
applications; has a medium screw base; has a lumen range of not less 
than 310 lumens and not more than 2,600 lumens or, in the case of a 
modified spectrum lamp, not less than 232 lumens and not more than 
1,950 lumens; and is capable of being operated at a voltage range at 
least partially within 110 and 130 volts; however, this definition does 
not apply to the following incandescent lamps: An appliance lamp; a 
black light lamp; a bug lamp; a colored lamp; a G shape lamp with a 
diameter of 5 inches or more as defined in ANSI C79.1-2002; an infrared 
lamp; a left-hand thread lamp; a marine lamp; a marine signal service 
lamp; a mine service lamp; a plant light lamp; an R20 short lamp; a 
sign service lamp; a silver bowl lamp; a showcase lamp; and a traffic 
signal lamp.
    The proposed definition explicitly exempts R20 short lamps to 
maintain an exemption for these lamps consistent with DOE's 
determination in a final rule published on November 14, 2013, that 
standards for R20 short lamps would not result in significant energy 
savings because such lamps are designed for special applications or 
have special characteristics not available in reasonably substitutable 
lamp types. 78 FR 68331, 68340.
    As stated, GSILs are included in the definition of GSL. 42 U.S.C. 
6291(30)(BB)(i)(I). Any lamp that meets the definition of a GSIL would 
be a GSL. As such, consideration of whether a GSIL exemption should be 
maintained, for purposes of both the GSL definition and the GSIL 
definition, is informed, in part, by the considerations under DOE's 
authority to include other lamps as GSLs because they ``are used to 
satisfy lighting applications traditionally served by general service 
incandescent lamps.'' 42 U.S.C. 6291(30)(BB)(i)(IV). Based on DOE's 
review of product availability, technical information, and prior 
stakeholder comments, DOE preliminarily finds that the unavailability 
of non-incandescent substitutes for a given lamp suggests that the lamp 
is not being used for traditional GSIL applications. If design 
characteristics of lamps for a given application are such that the non-
incandescent lamp cannot be made with the same characteristics, DOE 
preliminarily concludes those lamps are not being used for general 
illumination and, therefore, such lamps would be excluded from the 
definition of GSLs See 82 FR 7276, 7301.
    Also relevant to DOE's consideration of whether to maintain a GSIL 
exemption, DOE must also determine what types of lighting applications 
have been traditionally served by GSILs. As stated in the January 2017 
Final Rules, traditionally, lamps that are standard incandescent or 
halogen and that satisfy the other criteria for the definition of GSIL 
in 42 U.S.C. 6291(30)(D) have served general lighting applications. 82 
FR 7276, 7302. By ``general lighting applications,'' DOE means lighting 
that provides an interior or exterior area with overall illumination. 
DOE considers the term ``overall illumination'' to be similar in 
meaning to the term ``general lighting'' as defined in the industry 
standard ANSI/IES RP-16-10, which states that ``general lighting'' 
means lighting designed to provide a substantially uniform level of 
illuminance throughout an area, exclusive of any provision for special 
local requirements.
    Further discussion of DOE's consideration of including other lamps 
as GSLs is discussed in greater detail in section III.D of this 
document. The following paragraphs discuss the proposed discontinuation 
of the exemptions for certain T-shape, B, BA, CA, F, G16-1/2, G25, G30, 
S, and M-14 lamps; rough service lamps; vibration service lamps; three-
way incandescent lamps; and shatter-resistant lamps.
1. T-Shape, B, BA, CA, F, G16-1/2, G25, G30, S, and M-14 Lamps
    In the January 2017 Final Rules, DOE discontinued the exemptions 
for certain T-shape lamps and certain B, BA, CA, F, G16-1/2, G25, G30, 
S, and M-14 lamps. 82 FR 7276, 7294. DOE found that T-shape lamps are 
frequently used in general lighting applications and thus present a 
significant risk for lamp switching. Based on this high potential for 
lamp switching--reflected in part by high sales--DOE discontinued the 
GSIL exemption for these lamps. Id. Regarding B, BA, CA, F, G16-1/2, 
G25, G30, S, and M-14 lamps, DOE noted that Congress listed these lamps 
together in paragraph (XXII), and so considered whether to maintain the 
exemption for these lamps as a group. Id. DOE also noted that the pear 
shapes and globe shapes characterized by the majority of lamps in this 
category would not prevent consumers from using them in general service 
lighting applications and found that these lamps are very common. 82 FR 
7276, 7295. DOE considered the potential for lamp switching through the 
future use of different fixtures and found there to be a potential that 
inclusion of some but not all of the lamps in the group would shift the 
market to the lamp or lamps that remain exempt. Id. Accordingly, DOE 
discontinued exemptions in the GSIL definition for B, BA, CA, F, G16-1/
2, G25, G30, S, and M-14 lamps of 40 W or less. Id.
    However, in the January 2017 Final Rules, DOE did maintain 
exemptions from the GSL definition set forth in those final rules for 
the following lamp shapes: (1) T-shape lamps that have a first number 
symbol less than or equal to 8 (diameter less than or equal to 1 inch) 
as defined in ANSI C79.1-2002, nominal overall length less than 12 
inches, and that are not compact fluorescent lamps; and (2) S-shape or 
G-shape lamps that have a first number symbol less than or equal to 
12.5 (diameter less than or equal to 1.5625 inches) as defined in ANSI 
C79.1-2002. DOE concluded that those lamps should not have been 
included in the GSL definition set forth in those final rules because 
they do not and likely cannot have equivalent replacements using more 
efficient technology. 82 FR 7276, 7310.

[[Page 46617]]

    In the September 2019 Withdrawal Rule, DOE addressed the 
discontinuation of exemptions for certain T-shape, B, BA, CA, F, G16-1/
2, G25, G30, S, and M-14 lamps together with candelabra base lamps, 
stating that discontinuing the exemptions for all of these lamp 
categories was not consistent with the best reading of the statute 
because such lamps are not used in the same applications as the 
standard GSIL. 84 FR 46661, 46668. DOE stated that these lamps 
generally provide a more limited range of light output as compared with 
GSILs not subject to exemption, have form factors not as large as GSILs 
not subject to exemptions, and present a decorative aesthetic not 
replicated by GSILs not subject to the exemptions. Id.
    Upon further consideration, DOE has tentatively determined that 
candelabra base lamps were inappropriately addressed with T-shape, B, 
BA, CA, F, G16- 1/2, G25, G30, S, and M-14 lamps in the September 2019 
Withdrawal Rule. The January 2017 Final Rules determined whether T-
shape, B, BA, CA, F, G16-1/2, G25, G30, S, and M-14 lamps would remain 
exempt from the definition of GSIL, and thus were evaluated in the 
context of the GSIL definition. 82 FR 7276, 7297. Candelabra base lamps 
were not included in this evaluation since the lamps do not have a 
medium screw base as required under the GSIL definition. Instead, DOE 
determined in the January 2017 Final Rules that candelabra base lamps 
should be covered as GSLs. See 82 FR 7276, 7310. In this NOPR, DOE 
appropriately addresses in section III.D of this document candelabra 
base lamps in the context of the GSL definition.
    Regarding the light output of certain T-shape, B, BA, CA, F, G16-1/
2, G25, G30, S, and M-14 lamps, DOE tentatively concludes that the 
September 2019 Withdrawal Rule inaccurately stated that these lamps 
provide a more limited range of light output as compared with GSILs not 
subject to exemption. However, these lamps were only considered to the 
extent that they were in the lumen range of 310-2600 per the GSIL 
definition. As such, in order to be included in the exemption under the 
statutory definition of GSIL, and therefore considered for 
discontinuation of the exemption in the January 2017 Final Rules, the 
lamps must have a lumen output of 310 lumens or greater, consistent 
with GSILs not subject to the exemption. As DOE concluded in the 
January 2017 Final Rules, even with a maximum wattage limitation, these 
lamps are still capable of providing overall illumination (i.e., 
general illumination). 82 FR 7276, 7294-7295.
    Regarding the form factor and size of certain T-shape, B, BA, CA, 
F, G16-1/2, G25, G30, S, and M-14 lamps, DOE tentatively concludes that 
such lamps were not accurately compared to lamps that meet the current 
statutory definition of GSIL in the September 2019 Withdrawal Rule. The 
September 2019 Withdrawal Rule stated that these lamps have form 
factors not as large as currently defined GSILs. 84 FR 46661, 46668. 
However, DOE now recognizes that the most common GSIL is an A19 
shape,\5\ and that the G25 and G30 lamps have a diameter 31 percent and 
57 percent greater, respectively, than the diameter of the A19 shape. 
Further, the September 2019 Withdrawal Rule stated that these lamp 
shapes present a decorative aesthetic not replicated by lamps that meet 
the current statutory definition of GSIL. Id. DOE no longer agrees that 
this statement supports continued exemption, as data indicates that the 
decorative shape does not prevent consumers from using them in general 
service lighting applications. See 82 FR 7276, 7310. Additionally, as 
described previously, some lamps with these shapes are currently 
certified as being compliant with DOE's standards for GSILs. As stated, 
if a more efficient version with the same shape cannot be made for a 
technical reason, DOE did not include the lamp as a GSL in the 
definition adopted by the January 2017 Final Rules and similarly does 
not propose to include such a lamp in the definition of GSL in this 
proposal.
---------------------------------------------------------------------------

    \5\ See the final determination regarding energy conservation 
standards for GSILs published on December 27, 2019. 84 FR 71626.
---------------------------------------------------------------------------

    With regard to T-shape lamps, DOE finds that T-shape lamps are 
capable of providing overall illumination and therefore can readily 
serve general lighting applications. See 82 FR 7276, 7294. With regard 
to B, BA, CA, F, G16-1/2, G25, G30, S, and M-14 lamps, DOE is 
considering whether to maintain the exemption for these lamps as a 
group due to its concern with lamp switching. As stated in the January 
2017 Final Rules, DOE recognizes that the lamps listed here may each 
not be substituted for one another in existing fixtures, but present 
the potential for lamp switching through the future use of different 
fixtures. 82 FR 7276, 7295. As indicated by the high sales data of this 
category presented in the January 2017 Final Rules (82 FR 7276, 7291), 
DOE tentatively concludes these lamps to be very common and usable in 
general lighting applications. For the reasons discussed in the 
preceding paragraphs and presented in the January 2017 Final Rules, DOE 
has tentatively concluded that the basis for discontinuing the 
exemption for certain T-shape, B, BA, CA, F, G16-1/2, G25, G30, S, and 
M-14 lamps in this proposal is the best interpretation of the statute. 
In contrast to the interpretation adopted by DOE in 2019, this proposal 
best satisfies the intent of Congress and implements the objective of 
the statutory language of EPCA to conserve energy through regulation of 
certain energy uses and provide improved energy efficiency of certain 
consumer products. See 42 U.S.C. 6201. Accordingly, DOE proposes to 
define these products as GSILs in this proposal. DOE requests 
information and data, if available, on sales data of T-shape, B, BA, 
CA, F, G16-1/2, G25, G30, S, and M-14 lamps.
2. Rough Service Lamps, Vibration Service Lamps, Three-Way Incandescent 
Lamps, and Shatter-Resistant Lamps
    Under 42 U.S.C. 6295(l)(4), DOE is required to undertake a 
rulemaking for rough service lamps, shatter-resistant lamps, three-way 
incandescent lamps, and vibration service lamps when the sales of these 
lamps meet specified thresholds.\6\ DOE is also required, in 
consultation with the National Electrical Manufacturers Association 
(``NEMA''), to collect sales data for these lamps and construct a model 
to predict future sales. 42 U.S.C. 6295(l)(4)(B). DOE must then track 
the actual sales data, and when sales exceed sales projected by the 
model by 100 percent, DOE must initiate an energy conservation standard 
rulemaking. 42 U.S.C. 6295(l)(4)(D), (E), (F), (H). If DOE does not 
complete the accelerated rulemaking in the specified time period, it 
must impose a backstop requirement for that lamp. 42 U.S.C. 
6295(l)(4)(D)(ii), (E)(ii), (F)(ii), (H)(ii).
---------------------------------------------------------------------------

    \6\ Lamps that otherwise would be GSILs but for having a lumen 
range between 2,601-3,300 (referred to in 42 U.S.C. 6295(l)(4) as 
``2,601-3,300 lumen general service incandescent lamps'') were 
defined in the January 2017 Final Rules as GSLs but not GSILs, and 
therefore are not addressed in this section.
---------------------------------------------------------------------------

    In the January 2017 Final Rules, DOE determined that the rulemaking 
provisions at 42 U.S.C. 6295(l)(4) were not the only way in which DOE 
can regulate these lamps. 82 FR 7276, 7296. DOE noted that the text of 
42 U.S.C. 6295(i) and 42 U.S.C. 6295(l)(4) does not state that the 42 
U.S.C. 6295(l)(4) process operates to the exclusion of regulating these 
lamps as GSLs and that the provisions under 42 U.S.C. 6295(l)(4) could 
be complementary to regulation of these lamps as GSLs. Id. Based in 
part on the potential for these lamp types to serve as replacements to

[[Page 46618]]

regulated GSLs, DOE discontinued the exemption for rough service lamps, 
shatter-resistant lamps, three-way incandescent lamps and vibration 
service lamps in the January 2017 Final Rules. Id.
    In the September 2019 Withdrawal Rule, DOE determined that, since 
these lamps are subject to standards in accordance with a specific 
regulatory process under 42 U.S.C. 6295(l)(4), there is no need to 
undertake an additional process for determining whether to establish 
energy conservation standards for these lamp types as GSLs under 42 
U.S.C. 6295(i)(6)(A)(i). 84 FR 46661, 46666. DOE explained that doing 
so would potentially subject these lamps types to two separate 
standards and potentially create confusion among regulated entities. 
Id. Moreover, DOE noted that the regime for potential regulation of 
these lamp types was added to the statute in the same enactment that 
required DOE to consider standards for GSLs, and in both instances the 
criteria stated in the statute for consideration for standards includes 
consideration of sales of the subject lamps. Id. In the September 2019 
Withdrawal Rule, DOE read the inclusion of sales consideration in both 
42 U.S.C. 6295(i)(6)(A)(i) and 42 U.S.C. 6295(l)(4) as an indication 
that Congress intended the two rulemaking provisions to be exclusive of 
one another. Id.
    In this NOPR, DOE is reconsidering whether the separate regulatory 
process under 42 U.S.C. 6295(l)(4) precludes these lamp types from 
becoming GSILs, and subsequently GSLs. The September 2019 Withdrawal 
Rule did not consider that other lamps potentially subject to standards 
as GSLs also have statutorily prescribed standards, namely, GSILs and 
medium base CFLs. See Section 321(a)(3) of the Energy Independence and 
Security Act of 2007 (Pub. L. 110-140; ``EISA''); \7\ 42 U.S.C. 
6295(bb). That lamps subject to statutory standards are also expressly 
GSLs subject to GSL standards indicates that coverage under more than 
one statutory scheme is not precluded under the statute.
---------------------------------------------------------------------------

    \7\ Section 321 added statutorily prescribed standards for GSILs 
as section 325(i)(1)(A) of EPCA. But because of an apparent conflict 
with Section 322(b) of EISA, which purported to strike section 
325(i)(1) in its entirety and replace it with a different text, this 
provision was never codified in the U.S. Code. DOE has issued 
regulations implementing this uncodified provision at 10 CFR 
430.32(x).
---------------------------------------------------------------------------

    Further, upon a review of how Congress has amended EPCA, DOE has 
tentatively concluded that standards for these exempt lamp types are 
not to be developed only in accordance with 42 U.S.C. 6295(l)(4)(A). 
Section 325(l)(4) of EPCA requires DOE to ``prescribe an energy 
efficiency standard for rough service lamps, vibration service lamps, 
three-way incandescent lamps, 2,601-3,300 lumen general service 
incandescent lamps, and shatter-resistant lamps in accordance with this 
paragraph.'' 42 U.S.C. 6295(l)(4)(A). Prior to 2012, that provision 
instead required DOE to prescribe standards for such lamps ``only in 
accordance with this paragraph.'' 42 U.S.C. 6295(l)(4)(A) (2011) 
(emphasis added). In amendments under the American Energy Manufacturing 
Technical Corrections Act, Public Law 112-210, Sec.  10(a)(8), 126 
Stat. 1513, 1524 (2012) (``AEMTCA''), Congress removed the word 
``only,'' signaling that DOE's obligation to consider discontinuing 
``the exemptions for certain incandescent bulbs'' under 42 U.S.C. 
6295(i)(6)(A)(i)(II) also applies to the five tracked lamps.
    With regard to rough service lamps, vibration service lamps, three-
way incandescent lamps, and shatter-resistant lamps, as presented in 
the January 2017 Final Rules, DOE tentatively concludes that such lamps 
have the potential for use in general lighting applications 
traditionally served by GSILs. DOE acknowledges that higher wattage 
three-way incandescent lamps may not be able to be used in all existing 
fixtures in which lamps currently defined as GSILs are used (e.g., A19 
shape lamps). However, the ability to serve as a lighting application 
traditionally served by GSILs is not limited by existing fixtures. As 
discussed, the fixtures used to serve general lighting applications may 
change over time, and therefore DOE considers whether a lamp can 
provide general illumination as a criterion for discontinuing an 
exemption. Regarding the shatter-resistant lamps, such lamps are 
capable of providing overall illumination despite the lower lumen 
output resulting from the shatter-resistant coating. DOE has also found 
that a 60 W shatter-resistant lamp is still a suitable replacement for 
a 40 W standard incandescent lamp. See 82 FR 7276, 7297. Shatter-
resistant lamps are similar to rough service and vibration service 
lamps. Whereas rough service and vibration service lamps possess a 
filament strengthened with additional supports, shatter-resistant lamps 
possess a reinforced outer bulb to contain glass pieces in the event 
that the bulb breaks. As stated in the January 2017 Final Rules, for 
all three lamp types, the consumer may be under the impression that 
they are purchasing primarily a more durable product rather than a lamp 
with subpar performance. Id. Furthermore, as provided in the January 
2017 Final Rules, for all three of these lamp types, LED versions 
inherently provide the consumer the desired functionality in the sense 
that LED lamps do not have metal filaments and typically do not use 
glass outer bulbs. Id.
    For these reasons and the basis presented in the January 2017 Final 
Rules, DOE proposes to discontinue the exemptions for these products.

D. Other GSLs

    As discussed, the definition of ``general service lamp'' includes 
specific categories of lamps, along with ``any other lamps that the 
Secretary determines are used to satisfy lighting applications 
traditionally served by general service incandescent lamps.'' 42 U.S.C. 
6291(30)(BB)(i). In the January 2017 Final Rules, DOE previously 
determined that any other lamps that are intended to serve in general 
lighting applications and have specific features would meet the 
statutory criterion of lamps used to satisfy lighting applications 
traditionally served by GSILs. 82 FR 7276, 7300.
    Although DOE had determined that several types of lamps exempted 
from the statutory definition of GSL are used to satisfy lighting 
applications traditionally served by general service incandescent lamps 
and therefore should be classified as GSLs (82 FR 7276, 7300-7312), the 
September 2019 Withdrawal Rule limited consideration of such lamps to 
only candelabra base lamps. Then, with respect to candelabra base 
lamps, the September 2019 Withdrawal Rule concluded that, as a pure 
matter of law, a candelabra base lamp cannot be a GSIL because EPCA 
defines a GSIL, in part, as having a medium-screw base. 84 FR 46661, 
46668-46669. The September 2019 Withdrawal Rule also suggested that 
data submitted by NEMA in response to the NOPR to withdraw the January 
2017 Final Rules indicated that shipments of candelabra base 
incandescent lamps had been in a continuous decline since 2011 and 
there was no evidence of increasing shipments. 84 FR 46661, 46669. 
Because sales data is the one explicit factor Congress provided in 
determining whether exemptions for certain incandescent lamps should be 
maintained or discontinued in 42 U.S.C. 6295(i)(6)(A)(i)(II), DOE gave 
this manufacturer data considerable weight in the September 2019 
Withdrawal Rule. 84 FR 46661, 46669.
    The September 2019 Withdrawal Rule also stated that DOE was no 
longer using ``convenient unregulated

[[Page 46619]]

alternatives'' as a basis upon which to discontinue exemptions for 
specialty lamp types. 84 FR 46661, 46668. DOE explained that this type 
of consideration was not explicitly provided in the statute and agreed 
with commenters that such consideration went beyond the authority 
granted DOE by Congress. 84 FR 46661, 46668-46669.
    Upon further review, the arguments presented in the September 2019 
Withdrawal Rule incorrectly describe the rationale for including 
candelabra base lamps as GSLs in the January 2017 Final Rules. The 
arguments address discontinuing an exemption from the GSIL definition; 
however, in the January 2017 Final Rules, candelabra base lamps were 
determined to be GSLs under the provision of the GSL definition that 
includes any other lamps that the Secretary determines are used to 
satisfy lighting applications traditionally served by general service 
incandescent lamps. 82 FR 7276, 7312; See also 42 U.S.C. 
6291(30)(BB)(i)(IV). Candelabra base lamps are not covered under the 
definition of GSILs because they do not have a medium screw base (See 
42 U.S.C. 6291(30)(D)(i)(II)), but the January 2017 Final Rules did not 
consider candelabra base lamps to be GSILs. Instead, such lamps were 
covered as GSLs. 82 FR 7276, 7312.
    DOE has preliminarily reverted to its position from the January 
2017 Final Rules that relevant criteria for discontinuing an exemption 
for an incandescent lamp are whether the exemption encompasses lamps 
that can provide general illumination and whether the exempt lamps can 
functionally be ready substitutes for lamps already covered as GSLs. 82 
FR 7276, 7288. It may be appropriate to discontinue an exemption even 
though current sales are relatively low, if technical characteristics 
of the exempted lamps make them likely to serve as ready substitutes 
for GSLs once GSL standards are in place. Further, for a lamp to 
satisfy a lighting application traditionally served by general service 
incandescent lamps, the lamp does not have to fit into an existing 
fixture served by a lamp currently defined as a GSL. As discussed, DOE 
has evaluated whether a lamp is capable of providing overall 
illumination. In the January 2017 Final Rules, DOE did not limit its 
consideration of an application traditionally served by GSIL to the 
ability to replace a lamp in a fixture currently used by a consumer 
that had been using a traditional incandescent lamp. 82 FR 7276, 7293. 
DOE noted in the January 2017 Final Rules, and reaffirms in this 
proposal, that lighting in homes that traditionally was provided by A 
shape lamps in floor and table fixtures is being provided in newer 
construction through reflector lamps in recessed lighting. Id. DOE 
expects that markets will shift in response to GSL standards, and would 
expect some substitution of fixtures to occur as part of substituting 
non-GSL lamps for GSLs.
    While NEMA has cited declining shipments as a reason to not 
discontinue an exemption, declining shipments do not correlate to a 
decline in the demand for lighting in a particular application. NEMA 
has submitted data showing that GSIL shipments in 2018 were 17 percent 
of what they were in 2001. NEMA, No. 88 at p. 23.\8\ However, DOE does 
not believe that this translates to an 83 percent decrease in demand 
for light in general lighting applications. It is more likely that 
consumers are switching to other products that serve in the same 
application. NEMA stated that it expects 71 percent of GSL sockets to 
be occupied by LED lamps and 19 percent to be occupied by CFLs by the 
end of 2021, increasing to 87 percent and 7 percent respectively by the 
end of 2023. NEMA, No. 88 at p. 4.\9\ As lamps continue to be purchased 
in general lighting applications, the demand for light remains; thus, 
declining incandescent lamp shipments is not, on its own, an indication 
that the lamp is a specialty product or serves in a specialty 
application.
---------------------------------------------------------------------------

    \8\ This comment was submitted in response to DOE's proposal in 
September 2019 to not amend standards for GSILs. See docket number 
EERE-2019-BT-STD-0022.
    \9\ Id.
---------------------------------------------------------------------------

    DOE has reviewed the definition of GSL as set forth in the January 
2017 Final Rules and has preliminarily determined that the definition 
is consistent with the best reading of EPCA because it implements the 
objectives of the statute. DOE has considered all aspects of the GSL 
definition and has preliminarily identified the criteria pertinent to 
lamps that serve in general lighting applications and also 
preliminarily identified specialty products that should be exempt from 
the definition of GSL. Based on the discussion presented in this NOPR 
and that presented in the January 2017 Final Rules, DOE proposes a 
definition of GSL as set forth in the January 2017 Final Rules, which 
included candelabra base lamps and other lamps as GSLs based on the use 
of such lamps to satisfy lighting applications traditionally served by 
GSILs.
    DOE is proposing to define ``general service lamp'' as a lamp 
intended to serve in general lighting applications and that has the 
following basic characteristics: (1) An ANSI base (with the exclusion 
of light fixtures, LED downlight retrofit kits, and exemptions for 
specific base types); (2) a lumen output of greater than or equal to 
310 lumens and less than or equal to 3,300 lumens; (3) an ability to 
operate at or between 12 V, 24 V, 100 to 130 V, 220 to 240 V, or 277 V; 
and (4) no designation or label for use in non-general applications.
    Regarding the fourth criteria, as in the January 2017 Final Rules, 
DOE proposes listing in the GSL definition each of the non-general 
applications identified or lamps used in such applications in order to 
clearly define the scope of the definition. Specifically, DOE proposes 
that ``general service lamp'' does not include: Appliance lamps; black 
light lamps; bug lamps; colored lamps; G shape lamps with a diameter of 
5 inches or more as defined in ANSI C79.1-2002; general service 
fluorescent lamps; high intensity discharge lamps; infrared lamps; J, 
JC, JCD, JCS, JCV, JCX, JD, JS, and JT shape lamps that do not have 
Edison screw bases; lamps that have a wedge base or prefocus base; 
left-hand thread lamps; marine lamps; marine signal service lamps; mine 
service lamps; MR shape lamps that have a first number symbol equal to 
16 (diameter equal to 2 inches) as defined in ANSI C79.1-2002, operate 
at 12 volts, and have a lumen output greater than or equal to 800; 
other fluorescent lamps; plant light lamps; R20 short lamps; reflector 
lamps that have a first number symbol less than 16 (diameter less than 
2 inches) as defined in ANSI C79.1-2002, and that do not have E26/E24, 
E26d, E26/50x39, E26/53x39, E29/28, E29/53x39, E39, E39d, EP39, or EX39 
bases; S shape or G shape lamps that have a first number symbol less 
than or equal to 12.5 (diameter less than or equal to 1.5625 inches) as 
defined in ANSI C79.1-2002; sign service lamps; silver bowl lamps; 
showcase lamps; specialty MR lamps; T-shape lamps that have a first 
number symbol less than or equal to 8 (diameter less than or equal to 1 
inch) as defined in ANSI C79.1-2002, nominal overall length less than 
12 inches, and that are not compact fluorescent lamps; and traffic 
signal lamps. As discussed in the following section, the proposed 
definition of GSL does not maintain the existing exemption for IRLs.

E. Incandescent Reflector Lamps

    In the January 2017 Final Rules, DOE found that IRLs are widely 
used for general illumination just as GSILs are. 82 FR 7322, 7325. DOE 
continued that,

[[Page 46620]]

if EPCA mandated that IRLs continue being exempt from the definition of 
GSL, then they would present a convenient alternative product, subject 
to much less stringent standards than GSLs. Id. DOE further found that 
the statute did not unambiguously indicate that DOE must maintain the 
IRL exemption. Id. DOE acknowledged that the statute exempts IRLs from 
the definition of GSL and separately exempts ``reflector lamps'' from 
the definition of GSL because reflector lamps are a bulb shape excluded 
from the GSIL definition. Id. See also 42 U.S.C. 6291(30)(BB)(ii)(II); 
42 U.S.C. 6291(30)(D)(ii)(XI). However, DOE found the reference to 
``reflector lamps'' in the GSIL list of exempted lamps to be of a 
narrower scope than IRLs. 82 FR 7322, 7325-7326.
    Based on its reading of EPCA and the listing of ``reflector lamp'' 
as a lamp exempted from the definition of GSIL (42 U.S.C. 
6291(30)(D)(ii)(XI)) and the exemption of ``incandescent reflector 
lamps'' from the definition of GSL (42 U.S.C. 6291(30)(BB)(ii)(II)), 
DOE understands that it had two tasks regarding exemptions relevant for 
these lamps: With respect to ``reflector lamps,'' DOE's task is to 
assess whether as one of the relatively narrow twenty-two listed lamp 
types--the scope of which the statute does not make clear--these lamps 
have uses in general illumination, and whether sales data and other 
evidence indicate that such lamps are ready substitutes for lamps that 
are already included as GSLs; and for IRLs, DOE was required to analyze 
whether, in light of sales data and other evidence, such lamps are an 
important enough substitute for lamps already included as GSLs to 
warrant discontinuing their exemption. 82 FR 7322, 7326. DOE determined 
in both instances that the discontinuation of the exemption was 
warranted. 82 FR 7276, 7293; 82 FR 7322, 7329-7330.
    In the September 2019 Withdrawal Rule, DOE stated that, upon 
additional review, DOE understands Congress's express statements in two 
distinct provisions that IRLs are not GSLs should be interpreted as 
meaning that Congress intended that DOE not consider IRLs to be GSLs. 
84 FR 46661, 46667. DOE noted that it continues to have the authority 
to establish energy conservation standards applicable to IRLs under 
separate requirements set by Congress in 42 U.S.C. 6295(i)(3). Id.
    Upon further review, DOE is reconsidering whether DOE has the 
authority to include IRLs as GSILs and/or GSLs. The September 2019 
Withdrawal Rule concluded that because IRLs were twice excluded from 
the statute, once from the GSIL definition in 42 U.S.C. 
6291(30)(D)(ii)(XI) and once from the GSL definition in 42 U.S.C. 
6291(30)(BB)(ii)(II), that means Congress did not want the Secretary to 
include IRLs within the definition of GSL. 84 FR 46661, 46666. However, 
the authorization in EPCA for the Secretary to evaluate whether an 
exemption is to be continued does not limit such an evaluation to those 
lamps exempted by definition only once. Therefore, in this NOPR, DOE is 
reviewing its position in the September 2019 Withdrawal Rule that EPCA 
precludes consideration of the exemption for IRLs simply because they 
were exempted twice. 42 U.S.C. 6295(i)(6)(A)(i)(II) authorizes DOE to 
decide not to maintain IRLs as exempt and, as such, DOE proposes to 
amend the definitions of GSIL and GSL to discontinue the exemptions for 
these products. As also presented in the January 2017 Final Rules, DOE 
proposes to exempt from the definition of GSL reflector lamps that have 
a first number symbol less than 16 (diameter less than 2 inches) as 
defined in ANSI C79.1-2002 and that do not have E26/24, E26d, E26/
50x39, E26/53x39, E29/28, E29/53x39, E39, E39d, EP39, or EX39 bases 
because they do not and likely cannot have equivalent replacements 
using more efficient technology. 82 FR 7276, 7310. This is consistent 
with the definitions adopted in the January 2017 Final Rules.

F. Supplemental Definitions

    In the January 2017 Final Rules, DOE set forth a series of 
definitions in support of the statutory use of the terms and the 
amended definitions for GSL and GSIL. Specifically, DOE set forth 
definitions for ``Black light lamp,'' ``Bug lamp,'' ``Colored lamp,'' 
``General service light-emitting diode (LED) lamp,'' ``General service 
organic lighting-emitting diode (OLED) lamp,'' ``Infrared lamp,'' 
``Integrated lamp,'' ``LED Downlight Retrofit Kit,'' ``Lefthand thread 
lamp,'' ``Light fixture,'' ``Marine lamp,'' ``Marine signal service 
lamp,'' ``Mine service lamp,'' ``Nonintegrated lamp,'' ``Other 
fluorescent lamp,'' ``Pin base lamp,'' ``Plant light lamp,'' 
``Reflector lamp,'' ``Showcase Lamp,'' ``Sign service lamp,'' ``Silver 
bowl lamp,'' ``Specialty MR lamp,'' and ``Traffic signal lamp.'' DOE 
also revised the definition of ``designed and marketed.'' 82 FR 7276, 
7321-7322.
    In the September 2019 Withdrawal Rule, DOE withdrew the supporting 
definitions finding them no longer necessary given the withdrawal of 
the amended definitions of GSL and GSIL. 84 FR 46661, 46662.
    In this NOPR, DOE is proposing supporting definitions for those 
terms as set forth in the January 2017 Final Rules. DOE notes that the 
terms for which definitions are proposed are used both in the statutory 
definitions of GSL and GSIL, and the proposed regulatory definitions 
for GSL and GSIL. As presented in the January 2017 Final Rules, DOE has 
based the proposed definitions for these supplementary terms on a 
review of the market and input from stakeholders. 82 FR 7276, 7312-
7316. As the supporting definitions define statutory terms, DOE 
initially finds these definitions necessary even in the absence of 
amended GSL and GSIL definitions.

G. Proposed Effective Date

    For the proposed changes to amend the definition of GSL and GSIL in 
this NOPR, DOE is proposing a 60-day effective date. If finalized, 
lamps included in these amended definitions would be subject to any 
applicable standards for GSLs and GSILs. While this notice does not 
propose any new or amended standards or address the applicability of 
the 45 lm/W backstop requirement, DOE is reconsidering its previous 
conclusion regarding the applicability of EPCA's 45 lm/W backstop 
provision and has issued an RFI to that effect. 86 FR 28001 (May 25, 
2021). In that rulemaking, DOE will address application of standards 
for those lamps proposed in this NOPR to be GSLs or GSILs--including, 
if determined to be applicable, the implementation of the 45 lm/W 
backstop requirement--and, consequently, the dates of required 
compliance for GSLs and GSILs.
    DOE requests comment on the effective date for the definitions 
proposed in this NOPR were such definitions to be made final.

IV. Procedural Issues and Regulatory Review

A. Review Under Executive Orders 12866

    The Office of Information and Regulatory Affairs (``OIRA'') in the 
Office of Management and Budget (``OMB'') waived Executive Order 12866 
(``E.O.'') 12866, ``Regulatory Planning and Review'' review of this 
rule.

B. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq., as amended by 
the Small Business Regulatory Enforcement Fairness Act of 1996) 
requires preparation of an initial regulatory flexibility analysis 
(``IRFA'') for any rule

[[Page 46621]]

that by law must be proposed for public comment, unless the agency 
certifies that the rule, if promulgated, will not have a significant 
economic impact on a substantial number of small entities. A regulatory 
flexibility analysis examines the impact of the rule on small entities 
and considers alternative ways of reducing negative effects. Also, as 
required by E.O. 13272, ``Proper Consideration of Small Entities in 
Agency Rulemaking,'' 67 FR 53461 (Aug. 16, 2002), DOE published 
procedures and policies on February 19, 2003, to ensure that the 
potential impacts of its rules on small entities are properly 
considered during the rulemaking process. 68 FR 7990. DOE has made its 
procedures and policies available on the Office of the General 
Counsel's website (https://energy.gov/gc/office-general-counsel).
    DOE reviewed the definitions of GSL, GSILs, and related terms 
proposed in this NOPR under the provisions of the Regulatory 
Flexibility Act and the procedures and policies published on February 
19, 2003. DOE certifies that this proposed rule would not have a 
significant economic impact on a substantial number of small entities. 
DOE notes that this proposed rule would merely define what constitutes 
a GSL and GSIL. Manufacturers of GSLs and GSILs are required to use 
DOE's test procedures to make representations and certify compliance 
with standards, if required. The test procedure rulemakings for CFLs, 
integrated LED lamps, and other GSLs addressed impacts on small 
businesses due to test procedure requirements. 81 FR 59386 (Aug. 29, 
2016); 81 FR 43404 (July 1, 2016); 81 FR 72493 (Oct. 20, 2016). 
Further, as noted, DOE is considering EPCA's 45 lm/W backstop 
requirement for GSLs and has issued an RFI to that effect. 86 FR 28001. 
In that rulemaking, DOE plans to address the impact on small business 
manufacturers of GSLs and GSILs of implementing the backstop.
    For this reason, DOE concludes and certifies that the proposed 
definitions would not have a significant economic impact on a 
substantial number of small entities, and the preparation of an IRFA is 
not warranted.

C. Review Under the Paperwork Reduction Act

    Manufacturers of GSLs must certify to DOE that their products 
comply with any applicable energy conservation standards. In certifying 
compliance, manufacturers must test their products according to the DOE 
test procedures for GSLs and GSILs, including any amendments adopted 
for those test procedures. DOE has established regulations for the 
certification and recordkeeping requirements for all covered consumer 
products and commercial equipment. 76 FR 12422 (Mar. 7, 2011); 80 FR 
5099 (Jan. 30, 2015). The collection-of-information requirement for the 
certification and recordkeeping is subject to review and approval by 
OMB under the Paperwork Reduction Act (``PRA''). This requirement has 
been approved by OMB under OMB control number 1910-1400. Public 
reporting burden for the certification is estimated to average 35 hours 
per response, including the time for reviewing instructions, searching 
existing data sources, gathering and maintaining the data needed, and 
completing and reviewing the collection of information.
    Notwithstanding any other provision of the law, no person is 
required to respond to, nor shall any person be subject to a penalty 
for failure to comply with, a collection of information subject to the 
requirements of the PRA, unless that collection of information displays 
a currently valid OMB Control Number.

D. Review Under the National Environmental Policy Act of 1969

    DOE is analyzing this proposed regulation in accordance with the 
National Environmental Policy Act (``NEPA'') and DOE's NEPA 
implementing regulations (10 CFR part 1021). DOE's regulations include 
a categorical exclusion for rulemakings interpreting or amending an 
existing rule or regulation that does not change the environmental 
effect of the rule or regulation being amended. 10 CFR part 1021, 
subpart D, appendix A5. DOE anticipates that this proposed rulemaking 
qualifies for categorical exclusion A5 because it is an interpretive 
rulemaking that does not change the environmental effect of the rule 
and otherwise meets the requirements for application of a categorical 
exclusion. See 10 CFR 1021.410. DOE will complete its NEPA review 
before issuing the final rule.

E. Review Under Executive Order 13132

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

F. Review Under Executive Order 12988

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

[[Page 46622]]

G. Review Under the Unfunded Mandates Reform Act of 1995

    Title II of the Unfunded Mandates Reform Act of 1995 (``UMRA'') 
requires each Federal agency to assess the effects of Federal 
regulatory actions on State, local, and Tribal governments and the 
private sector. Public Law 104-4, section 201 (codified at 2 U.S.C. 
1531). For a proposed regulatory action likely to result in a rule that 
may cause the expenditure by State, local, and Tribal governments, in 
the aggregate, or by the private sector of $100 million or more in any 
one year (adjusted annually for inflation), section 202 of UMRA 
requires a Federal agency to publish a written statement that estimates 
the resulting costs, benefits, and other effects on the national 
economy. 2 U.S.C. 1532(a), (b). The UMRA also requires a Federal agency 
to develop an effective process to permit timely input by elected 
officers of State, local, and Tribal governments on a proposed 
``significant intergovernmental mandate,'' and requires an agency plan 
for giving notice and opportunity for timely input to potentially 
affected small governments before establishing any requirements that 
might significantly or uniquely affect them. On March 18, 1997, DOE 
published a statement of policy on its process for intergovernmental 
consultation under UMRA. 62 FR 12820. DOE's policy statement is also 
available at https://energy.gov/sites/prod/files/gcprod/documents/umra_97.pdf.
    This proposed rulemaking does not contain a Federal 
intergovernmental mandate, nor is it expected to require expenditures 
of $100 million or more in any one year by the private sector. As a 
result, the analytical requirements of UMRA do not apply.

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

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

I. Review Under Executive Order 12630

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

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

    Section 515 of the Treasury and General Government Appropriations 
Act, 2001 (44 U.S.C. 3516 note) provides for Federal agencies to review 
most disseminations of information to the public under information 
quality guidelines established by each agency pursuant to general 
guidelines issued by OMB. OMB's guidelines were published at 67 FR 8452 
(Feb. 22, 2002), and DOE's guidelines were published at 67 FR 62446 
(Oct. 7, 2002). Pursuant to OMB Memorandum M-19-15, Improving 
Implementation of the Information Quality Act (April 24, 2019), DOE 
published updated guidelines which are available at www.energy.gov/sites/prod/files/2019/12/f70/DOE%20Final%20Updated%20IQA%20Guidelines%20Dec%202019.pdf. DOE has 
reviewed this NOPR under the OMB and DOE guidelines and has concluded 
that it is consistent with applicable policies in those guidelines.

K. Review Under Executive Order 13211

    E.O. 13211, ``Actions Concerning Regulations That Significantly 
Affect Energy Supply, Distribution, or Use,'' 66 FR 28355 (May 22, 
2001), requires Federal agencies to prepare and submit to OIRA at OMB, 
a Statement of Energy Effects for any proposed significant energy 
action. A ``significant energy action'' is defined as any action by an 
agency that promulgates or is expected to lead to promulgation of a 
final rule, and that (1) is a significant regulatory action under 
Executive Order 12866, or any successor order; and (2) is likely to 
have a significant adverse effect on the supply, distribution, or use 
of energy, or (3) is designated by the Administrator of OIRA as a 
significant energy action. For any proposed significant energy action, 
the agency must give a detailed statement of any adverse effects on 
energy supply, distribution, or use should the proposal be implemented, 
and of reasonable alternatives to the action and their expected 
benefits on energy supply, distribution, and use.
    DOE has tentatively concluded that this regulatory action, which 
proposes amended definitions for GSL and GSIL, is not a significant 
energy action because the proposed definitions are not likely to have a 
significant adverse effect on the supply, distribution, or use of 
energy. Accordingly, DOE has not prepared a Statement of Energy Effects 
on this proposed rule.

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

    Under Section 301 of the Department of Energy Organization Act 
(Pub. L. 95-91; 42 U.S.C. 7101), DOE must comply with section 32 of the 
Federal Energy Administration Act of 1974, as amended by the Federal 
Energy Administration Authorization Act of 1977. 15 U.S.C. 788 
(``FEAA''). Section 32 essentially provides in relevant part that, 
where a proposed rule authorizes or requires use of commercial 
standards, the notice of proposed rulemaking must inform the public of 
the use and background of such standards. In addition, Section 32(c) 
requires DOE to consult with the Attorney General and the Chairman of 
the Federal Trade Commission (``FTC'') concerning the impact of the 
commercial or industry standards on competition. This proposal to amend 
the definitions of GSL and GSIL does not propose the use of any 
commercial standards.

M. Materials Incorporated by Reference

    The proposed modifications to the definition of ``general service 
lamp'' and the associated supporting definitions reference the 
following commercial standards that are already incorporated by 
reference in 10 CFR 430.2:
    (1) ANSI C78.20-2003, Revision of ANSI C78.20-1995 (``ANSI 
C78.20''), American National Standard for electric lamps--A, G, PS, and 
Similar Shapes with E26 Medium Screw Bases, approved October 30, 2003.
    (2) ANSI C79.1-2002, American National Standard for Electric 
Lamps--Nomenclature for Glass Bulbs Intended for Use with Electric 
Lamps, approved September 16, 2002.
    (3) CIE 13.3-1995 (``CIE 13.3''), Technical Report: Method of 
Measuring and Specifying Colour Rendering Properties of Light Sources, 
1995, ISBN 3 900 734 57 7.
    DOE has evaluated these standards and is unable to conclude whether 
they fully comply with the requirements of Section 32(b) of the FEAA 
(i.e., that they were developed in a manner that fully provides for 
public participation, comment, and review). DOE will consult with both 
the Attorney General and the Chairman of the FTC concerning the impact 
of these test procedures on competition, prior to adopting a final 
rule.

[[Page 46623]]

V. Public Participation

A. Attendance at the Webinar

    The time and date of the webinar meeting are listed in the DATES 
section at the beginning of this document. Webinar registration 
information, participant instructions, and information about the 
capabilities available to webinar participants will be published on 
DOE's website: 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 an interest in the topics addressed in this 
notice, or who is a representative of a group or class of persons that 
has an interest in these issues, may request an opportunity to make an 
oral presentation at the webinar. Such persons may submit to 
[email protected]. Persons who wish to speak 
should include with their request a computer file in WordPerfect, 
Microsoft Word, PDF, or text (ASCII) file format that briefly describes 
the nature of their interest in this rulemaking and the topics they 
wish to discuss. Such persons should also provide a daytime telephone 
number where they can be reached.

C. Conduct of the Webinar

    DOE will designate a DOE official to preside at the webinar/public 
meeting and may also use a professional facilitator to aid discussion. 
The meeting will not be a judicial or evidentiary-type public hearing, 
but DOE will conduct it in accordance with section 336 of EPCA (42 
U.S.C. 6306). A court reporter will be present to record the 
proceedings and prepare a transcript. DOE reserves the right to 
schedule the order of presentations and to establish the procedures 
governing the conduct of the webinar/public meeting. There shall not be 
discussion of proprietary information, costs or prices, market share, 
or other commercial matters regulated by U.S. antitrust laws. After the 
webinar/public meeting and until the end of the comment period, 
interested parties may submit further comments on the proceedings and 
any aspect of the rulemaking.
    The webinar/public meeting will be conducted in an informal, 
conference style. DOE will present summaries of comments received 
before the webinar/public meeting, allow time for prepared general 
statements by participants, and encourage all interested parties to 
share their views on issues affecting this rulemaking. Each participant 
will be allowed to make a general statement (within time limits 
determined by DOE), before the discussion of specific topics. DOE will 
permit, as time permits, other participants to comment briefly on any 
general statements.
    At the end of all prepared statements on a topic, DOE will permit 
participants to clarify their statements briefly. Participants should 
be prepared to answer questions by DOE and by other participants 
concerning these issues. DOE representatives may also ask questions of 
participants concerning other matters relevant to this rulemaking. The 
official conducting the webinar/public meeting will accept additional 
comments or questions from those attending, as time permits. The 
presiding official will announce any further procedural rules or 
modification of the above procedures that may be needed for the proper 
conduct of the webinar/public meeting.
    A transcript of the webinar/public meeting will be included in the 
docket, which can be viewed as described in the Docket section at the 
beginning of this proposed rulemaking. In addition, any person may buy 
a copy of the transcript from the transcribing reporter.

D. Submission of Comments

    DOE will accept comments, data, and information regarding this 
proposed rule before or after the public meeting, but no later than the 
date provided in the DATES section at the beginning of this proposed 
rule. Interested parties may submit comments, data, and other 
information using any of the methods described in the ADDRESSES section 
at the beginning of this document.
    Submitting comments via www.regulations.gov. The 
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 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 (``CBI'')). Comments submitted 
through 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.
    DOE processes submissions made through 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. Comments and documents submitted via 
email also will be posted to 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. No telefacsimiles (``faxes'') 
will be accepted.
    Comments, data, and other information submitted to DOE 
electronically should be provided in PDF (preferred), Microsoft Word or 
Excel, WordPerfect, or text (ASCII) file format. Provide documents that 
are not secured, that are written in English, and that are free of any 
defects or viruses. Documents should not contain special characters or 
any form of encryption and, if possible, they should carry the 
electronic signature of the author.

[[Page 46624]]

    Campaign form letters. Please submit campaign form letters by the 
originating organization in batches of between 50 to 500 form letters 
per PDF or as one form letter with a list of supporters' names compiled 
into one or more PDFs. This reduces comment processing and posting 
time.
    Confidential Business Information. Pursuant to 10 CFR 1004.11, any 
person submitting information that he or she believes to be 
confidential and exempt by law from public disclosure should submit via 
email two well-marked copies: one copy of the document marked 
``confidential'' including all the information believed to be 
confidential, and one copy of the document marked ``non-confidential'' 
with the information believed to be confidential deleted. DOE will make 
its own determination about the confidential status of the information 
and treat it according to its determination.
    It is DOE's policy that all comments may be included in the public 
docket, without change and as received, including any personal 
information provided in the comments (except information deemed to be 
exempt from public disclosure).

VI. Approval of the Office of the Secretary

    The Secretary of Energy has approved publication of this notice of 
proposed rulemaking.

List of Subjects in 10 CFR Part 430

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

Signing Authority

    This document of the Department of Energy was signed on August 9, 
2021, by Kelly Speakes-Backman, Principal Deputy Assistant Secretary 
and Acting Assistant Secretary for Energy Efficiency and Renewable 
Energy, pursuant to delegated authority from the Secretary of Energy. 
That document with the original signature and date is maintained by 
DOE. For administrative purposes only, and in compliance with 
requirements of the Office of the Federal Register, the undersigned DOE 
Federal Register Liaison Officer has been authorized to sign and submit 
the document in electronic format for publication, as an official 
document of the Department of Energy. This administrative process in no 
way alters the legal effect of this document upon publication in the 
Federal Register.

    Signed in Washington, DC, on August 10, 2021.
Treena V. Garrett,
Federal Register Liaison Officer, U.S. Department of Energy.

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

PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS

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

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

0
2. Section 430.2 is amended by:
0
a. Adding in alphabetical order the definitions of ``Black light 
lamp,'' ``Bug lamp,'' ``Colored lamp,'' ``General service light-
emitting diode (LED) lamp,'' ``General service organic lighting-
emitting diode (OLED) lamp,'' ``Infrared lamp,'' ``Integrated lamp,'' 
``LED Downlight Retrofit Kit,'' ``Left-hand thread lamp,'' ``Light 
fixture,'' ``Marine lamp,'' ``Marine signal service lamp,'' ``Mine 
service lamp,'' ``Non-integrated lamp,'' ``Other fluorescent lamp,'' 
``Pin base lamp,'' ``Plant light lamp,'' ``Reflector lamp,'' ``Showcase 
Lamp,'' ``Sign service lamp,'' ``Silver bowl lamp,'' ``Specialty MR 
lamp,'' and ``Traffic signal lamp;'' and
0
b. Revising the definitions of ``Designed and marketed,'' ``General 
service incandescent lamp,'' and ``General service lamp.''
    The additions and revisions read as follows:


Sec.  430.2  Definitions.

* * * * *
    Black light lamp means a lamp that is designed and marketed as a 
black light lamp and is an ultraviolet lamp with the highest radiant 
power peaks in the UV-A band (315 to 400 nm) of the electromagnetic 
spectrum.
* * * * *
    Bug lamp means a lamp that is designed and marketed as a bug lamp, 
has radiant power peaks above 550 nm on the electromagnetic spectrum, 
and has a visible yellow coating.
* * * * *
    Colored lamp means a colored fluorescent lamp, a colored 
incandescent lamp, or a lamp designed and marketed as a colored lamp 
with either of the following characteristics (if multiple modes of 
operation are possible [such as variable CCT], either of the below 
characteristics must be maintained throughout all modes of operation):
    (1) A CRI less than 40, as determined according to the method set 
forth in CIE Publication 13.3 (incorporated by reference; see Sec.  
430.3); or
    (2) A CCT less than 2,500 K or greater than 7,000 K.
* * * * *
    Designed and marketed means exclusively designed to fulfill the 
indicated application and, when distributed in commerce, designated and 
marketed solely for that application, with the designation prominently 
displayed on the packaging and all publicly available documents (e.g., 
product literature, catalogs, and packaging labels). This definition 
applies to the following covered lighting products: Fluorescent lamp 
ballasts; fluorescent lamps; general service fluorescent lamps; general 
service incandescent lamps; general service lamps; incandescent lamps; 
incandescent reflector lamps; compact fluorescent lamps (including 
medium base compact fluorescent lamps); LED lamps; and specialty 
application mercury vapor lamp ballasts.
* * * * *
    General service incandescent lamp means a standard incandescent or 
halogen type lamp that is intended for general service applications; 
has a medium screw base; has a lumen range of not less than 310 lumens 
and not more than 2,600 lumens or, in the case of a modified spectrum 
lamp, not less than 232 lumens and not more than 1,950 lumens; and is 
capable of being operated at a voltage range at least partially within 
110 and 130 volts; however, this definition does not apply to the 
following incandescent lamps--
    (1) An appliance lamp;
    (2) A black light lamp;
    (3) A bug lamp;
    (4) A colored lamp;
    (5) A G shape lamp with a diameter of 5 inches or more as defined 
in ANSI C79.1-2002 (incorporated by reference; see Sec.  430.3);
    (6) An infrared lamp;
    (7) A left-hand thread lamp;
    (8) A marine lamp;
    (9) A marine signal service lamp;
    (10) A mine service lamp;
    (11) A plant light lamp;
    (12) An R20 short lamp;
    (13) A sign service lamp;
    (14) A silver bowl lamp;
    (15) A showcase lamp; and
    (16) A traffic signal lamp.
    General service lamp means a lamp that has an ANSI base; is able to 
operate at a voltage of 12 volts or 24 volts, at or between 100 to 130 
volts, at or between

[[Page 46625]]

220 to 240 volts, or of 277 volts for integrated lamps (as defined in 
this section), or is able to operate at any voltage for non-integrated 
lamps (as defined in this section); has an initial lumen output of 
greater than or equal to 310 lumens (or 232 lumens for modified 
spectrum general service incandescent lamps) and less than or equal to 
3,300 lumens; is not a light fixture; is not an LED downlight retrofit 
kit; and is used in general lighting applications. General service 
lamps include, but are not limited to, general service incandescent 
lamps, compact fluorescent lamps, general service light-emitting diode 
lamps, and general service organic light emitting diode lamps. General 
service lamps do not include:
    (1) Appliance lamps;
    (2) Black light lamps;
    (3) Bug lamps;
    (4) Colored lamps;
    (5) G shape lamps with a diameter of 5 inches or more as defined in 
ANSI C79.1-2002 (incorporated by reference; see Sec.  430.3);
    (6) General service fluorescent lamps;
    (7) High intensity discharge lamps;
    (8) Infrared lamps;
    (9) J, JC, JCD, JCS, JCV, JCX, JD, JS, and JT shape lamps that do 
not have Edison screw bases;
    (10) Lamps that have a wedge base or prefocus base;
    (11) Left-hand thread lamps;
    (12) Marine lamps;
    (13) Marine signal service lamps;
    (14) Mine service lamps;
    (15) MR shape lamps that have a first number symbol equal to 16 
(diameter equal to 2 inches) as defined in ANSI C79.1-2002 
(incorporated by reference; see Sec.  430.3), operate at 12 volts, and 
have a lumen output greater than or equal to 800;
    (16) Other fluorescent lamps;
    (17) Plant light lamps;
    (18) R20 short lamps;
    (19) Reflector lamps (as defined in this section) that have a first 
number symbol less than 16 (diameter less than 2 inches) as defined in 
ANSI C79.1-2002 (incorporated by reference; see Sec.  430.3) and that 
do not have E26/E24, E26d, E26/50x39, E26/53x39, E29/28, E29/53x39, 
E39, E39d, EP39, or EX39 bases;
    (20) S shape or G shape lamps that have a first number symbol less 
than or equal to 12.5 (diameter less than or equal to 1.5625 inches) as 
defined in ANSI C79.1-2002 (incorporated by reference; see Sec.  
430.3);
    (21) Sign service lamps;
    (22) Silver bowl lamps;
    (23) Showcase lamps;
    (24) Specialty MR lamps;
    (25) T-shape lamps that have a first number symbol less than or 
equal to 8 (diameter less than or equal to 1 inch) as defined in ANSI 
C79.1-2002 (incorporated by reference; see Sec.  430.3), nominal 
overall length less than 12 inches, and that are not compact 
fluorescent lamps (as defined in this section);
    (26) Traffic signal lamps.
    General service light-emitting diode (LED) lamp means an integrated 
or nonintegrated LED lamp designed for use in general lighting 
applications (as defined in this section) and that uses light emitting 
diodes as the primary source of light.
    General service organic light-emitting diode (OLED) lamp means an 
integrated or non-integrated OLED lamp designed for use in general 
lighting applications (as defined in this section) and that uses 
organic light-emitting diodes as the primary source of light.
* * * * *
    Infrared lamp means a lamp that is designed and marketed as an 
infrared lamp; has its highest radiant power peaks in the infrared 
region of the electromagnetic spectrum (770 nm to 1 mm); has a rated 
wattage of 125 watts or greater; and which has a primary purpose of 
providing heat.
* * * * *
    Integrated lamp means a lamp that contains all components necessary 
for the starting and stable operation of the lamp, does not include any 
replaceable or interchangeable parts, and is connected directly to a 
branch circuit through an ANSI base and corresponding ANSI standard 
lampholder (socket).
* * * * *
    LED Downlight Retrofit Kit means a product designed and marketed to 
install into an existing downlight, replacing the existing light source 
and related electrical components, typically employing an ANSI standard 
lamp base, either integrated or connected to the downlight retrofit by 
wire leads, and is a retrofit kit. LED downlight retrofit kit does not 
include integrated lamps or non-integrated lamps.
    Left-hand thread lamp means a lamp with direction of threads on the 
lamp base oriented in the left-hand direction.
* * * * *
    Light fixture means a complete lighting unit consisting of light 
source(s) and ballast(s) or driver(s) (when applicable) together with 
the parts designed to distribute the light, to position and protect the 
light source, and to connect the light source(s) to the power supply.
* * * * *
    Marine lamp means a lamp that is designed and marketed for use on 
boats and can operate at or between 12 volts and 13.5 volts.
    Marine signal service lamp means a lamp that is designed and 
marketed for marine signal service applications.
* * * * *
    Mine service lamp means a lamp that is designed and marketed for 
mine service applications.
* * * * *
    Non-integrated lamp means a lamp that is not an integrated lamp.
* * * * *
    Other fluorescent lamp means low pressure mercury electric-
discharge sources in which a fluorescing coating transforms some of the 
ultraviolet energy generated by the mercury discharge into light and 
include circline lamps and include double-ended lamps with the 
following characteristics: Lengths from one to eight feet; designed for 
cold temperature applications; designed for use in reprographic 
equipment; designed to produce radiation in the ultraviolet region of 
the spectrum; impact-resistant; reflectorized or aperture; or a CRI of 
87 or greater.
* * * * *
    Pin base lamp means a lamp that uses a base type designated as a 
single pin base or multiple pin base system.
* * * * *
    Plant light lamp means a lamp that is designed to promote plant 
growth by emitting its highest radiant power peaks in the regions of 
the electromagnetic spectrum that promote photosynthesis: Blue (440 nm 
to 490 nm) and/or red (620 to 740 nm), and is designed and marketed for 
plant growing applications.
* * * * *
    Reflector lamp means a lamp that has an R, PAR, BPAR, BR, ER, MR, 
or similar bulb shape as defined in ANSI C78.20 and ANSI C79.1-2002 
(both incorporated by reference; see Sec.  430.3) and is used to 
provide directional light.
* * * * *
    Showcase lamp means a lamp that has a T shape as specified in ANSI 
C78.20 and ANSI C79.1-2002 (both incorporated by reference; see Sec.  
430.3), is designed and marketed as a showcase lamp, and has a maximum 
rated wattage of 75 watts.
* * * * *
    Sign service lamp means a vacuum type or gas-filled lamp that has 
sufficiently low bulb temperature to permit exposed outdoor use on 
highspeed flashing circuits, is designed and marketed as a sign service 
lamp, and has a maximum rated wattage of 15 watts.
    Silver bowl lamp means a lamp that has an opaque reflective coating 
applied

[[Page 46626]]

directly to part of the bulb surface that reflects light toward the 
lamp base and that is designed and marketed as a silver bowl lamp.
* * * * *
    Specialty MR lamp means a lamp that has an MR shape as defined in 
ANSI C79.1-2002 (incorporated by reference; see Sec.  430.3), a 
diameter of less than or equal to 2.25 inches, a lifetime of less than 
or equal to 300 hours, and that is designed and marketed for a 
specialty application.
* * * * *
    Traffic signal lamp means a lamp that is designed and marketed for 
traffic signal applications and has a lifetime of 8,000 hours or 
greater.
* * * * *
[FR Doc. 2021-17346 Filed 8-18-21; 8:45 am]
BILLING CODE 6450-01-P