[Federal Register Volume 87, Number 89 (Monday, May 9, 2022)]
[Rules and Regulations]
[Pages 27461-27482]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-09480]
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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: Final rule.
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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. (``January 2017 Final Rules''). 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, on August 19, 2021, DOE published a
notice of proposed rulemaking (``NOPR'') proposing to amend the
definitions of GSL, GSIL and the other supplemental definitions as
previously set forth in the January 2017 Final Rules. DOE responds to
comments received on the NOPR in this final rule and adopts the
definitions of GSL and GSIL and the associated supplemental definitions
set forth in the January 2017 Final Rules as proposed in the NOPR.
DATES: The effective date of this rule is July 8, 2022. The
incorporation by reference of other material listed in this rulemaking
was approved by the Director of the Federal Register on March 23, 2009.
ADDRESSES: The docket for this rulemaking, which includes Federal
Register notices, public meeting attendee lists and transcripts,
comments, and other supporting documents/materials, is available for
review at www.regulations.gov. All documents in the docket are listed
in the www.regulations.gov index. However, 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/docket/EERE-2021-BT-STD-0012. The docket web page contains instructions on how
to access all documents, including public comments, in the docket.
For further information on how to review the docket, contact the
Appliance and Equipment Standards Program staff at (202) 287-1445 or by
email: [email protected].
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].
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Synopsis of the Final Rule
II. Introduction
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
E. August 2021 Notice of Proposed Rule
III. General Discussion
A. September 2019 Withdrawal Rule
B. Reflector Lamps
C. Consumer Choice, Health Impacts
D. Potential Revisions to the Proposed Definitions
1. Lumens
2. Base Type and Voltage
3. Color Tunable Lamps
E. Market Share, Cost Savings, Energy Savings, and Emission
Reductions
1. Market Share
2. Consumer Costs, Energy Savings, Emission Reductions
F. State Preemption
G. Effective Date
1. GSL Definitions Effective Date
2. GSL Backstop Effective Date
H. Analysis
IV. Procedural Issues and Regulatory Review
A. Review Under Executive Orders 12866 and 13563
B. Review Under the Regulatory Flexibility Act
C. Review Under the Paperwork Reduction Act
D. Review Under the National Environmental Policy Act of 1969
E. Review Under Executive Order 13132
F. Review Under Executive Order 12988
G. Review Under the Unfunded Mandates Reform Act of 1995
H. Review Under the Treasury and General Government
Appropriations Act, 1999
I. Review Under Executive Order 12630
[[Page 27462]]
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. Description of Materials Incorporated by Reference
N. Congressional Notification
V. Approval of the Office of the Secretary
I. Synopsis of the Final Rule
In this final rule, DOE adopts its proposal in the NOPR to amend
the current definitions of GSL and GSIL to be defined as previously set
forth in the January 2017 Final Rules. See 82 FR 7276; 82 FR 7322. DOE
has determined that the definitions are consistent with the
congressional direction provided in the Energy Policy and Conservation
Act (``EPCA'') and further the purposes set forth in EPCA, as well as
in 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). Additionally, as proposed in the NOPR, DOE adopts
the supplemental definitions established in the January 2017 Final
Rules, which relate to the definitions of GSL and GSIL. DOE is not
determining whether standards for GSLs, including GSILs, should be
amended in this rule. Rather, DOE is establishing the scope of lamps to
be considered in such a determination.
II. Introduction
Amendments to 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 adopted in this final rule.
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\ The statutory definition of ``general service incandescent
lamp'' in EPCA 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). These are the
``exemptions'' from the statutory definition, some of which are
``discontinued'' by this rule, in accordance with 42 U.S.C.
6295(i)(6)(A)(i).
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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 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 (``NOPR'') 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
[[Page 27463]]
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 the January 2017 Final Rules
concerning the definitions of GSL, GSIL, and related terms. 82 FR 7276;
82 FR 7322. 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, including IRLs. See
82 FR 7312; 82 FR 7323. The January 2017 Final Rules related 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). The discontinuation
of the exemption would render the lamp a GSIL (and therefore also a
GSL), to the extent it would otherwise qualify as a GSIL. 82 FR 7277.
DOE also considered whether other lamps should be included in the
definition of GSL. 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 45 lm/W 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. The
definitions will herein be referred to as the ``January 2017
Definitions.''
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 (``February 2019 Withdrawal NOPR''). 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 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. Although these additional issues concern DOE's regulation
of lamps, they 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 E.O. 13990. 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,
[[Page 27464]]
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 determines that DOE's interpretation in this final
rule is the best reading of the statute.
E. August 2021 Notice of Proposed Rule
On August 19, 2021, DOE published a NOPR that proposed to amend the
definitions of GSL and GSIL as previously set forth in the January 2017
Final Rules. (``August 2021 NOPR''). 86 FR 46611. DOE received 17
written comments in response to the August 2021 NOPR from the
interested parties listed in Table II.1.
Table II.1--August 2021 NOPR Written Comments
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Commenter(s) Abbreviation Commenter type
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Anonymous....................... Anonymous......... Private Citizen.
Anonymous....................... Anonymous......... Private Citizen.
Anonymous....................... Anonymous......... Private Citizen.
Anonymous....................... Anonymous......... Private Citizen.
Northwest Power and Conservation NPCC.............. Interstate Compact
Council. Agency.
National Association of State NASEO............. State Government
Energy Officials. Officials.
National Electrical NEMA.............. Industry
Manufacturers Association. Association.
New York State Energy Research NYSERDA........... Efficiency
and Development Authority. Organization.
Attorneys General of New York, AGs............... State Government
California, Colorado, Illinois, Officials.
Maine, Maryland, Michigan,
Minnesota, Nevada, New Jersey,
New Mexico, Oregon, Vermont,
Washington, The Commonwealth of
Massachusetts, The District of
Columbia, and The City of New
York.
Lutron Electronics Co., Inc..... Lutron............ Manufacturer.
State of Washington Department State of State Government
of Commerce. Washington DOC. Agency.
GE Lighting, a Savant Company... GE Lighting....... Manufacturer.
California Energy Commission.... CEC............... State Government
Agency.
Consumer Federation of America, The Joint Comment. Consumer Advocacy
National Consumer Law Center, Organizations.
Alliance for Affordable Energy,
Consumer Action, Citizens
Action Coalition of IN,
Consumer Federation of
California, Columbia Consumer
Education Council, Pennsylvania
Utility Law Project, TURN-The
Utility Reform Network, Public
Utility Law Project of New
York, Virginia Citizens
Consumer Council.
California Investor-Owned CA IOUs........... Utility.
Utilities.
Sierra Club, Natural Resources SC, NRDC, and EJ.. Environmental Non-
Defense Council, Earthjustice. Profit
Organizations.
Appliance Standards Awareness ASAP.............. Efficiency
Project. Organization.
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A parenthetical reference at the end of a comment quotation or
paraphrase provides the location of the item in the public record.\5\
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\5\ The parenthetical reference provides a reference for
information located in the docket of DOE's rulemaking to develop
definitions for general service lamps. (Docket No. EERE-2021-BT-STD-
0012, which is maintained at www.regulations.gov). The references
are arranged as follows: (Commenter name, comment docket ID number
at page of that document).
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III. General Discussion
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 specified by EPCA, GSLs do not include any lighting
application or bulb shape that under 42 U.S.C. 6291(30)(D)(ii) is not
included in the ``general service incandescent lamp'' definition, or
any general service fluorescent lamp or incandescent reflector lamp. 42
U.S.C. 6291(30)(BB).
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 22 lamp types.\6\ 42 U.S.C. 6291(30)(D)(ii).
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\6\ These are: 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; 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).
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In the January 2017 Final Rules, DOE defined 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
7276, 7312. General service lamps included, but were not limited to,
general service incandescent lamps, compact fluorescent lamps, general
service light-emitting diode lamps, and general service organic light-
emitting diode lamps. 82 FR 7276, 7321.
Further in the January 2017 Final Rules, DOE defined GSLs to 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
[[Page 27465]]
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.
As noted in the September 2019 Withdrawal Rule, these definitions
were subsequently withdrawn (see section II.D of this document). In the
August 2021 NOPR, DOE proposed to amend the definitions of general
service lamp and general service incandescent lamp. DOE proposed to
define a general service lamp as a lamp that has an ANSI base; is able
to operate at a voltage of 12 volts or 24 volts, at or between 100 to
130 volts, at or between 220 to 240 volts, or of 277 volts for
integrated lamps (as defined in this section), or is able to operate at
any voltage for non-integrated lamps (as defined in this section); has
an initial lumen output of greater than or equal to 310 lumens (or 232
lumens for modified spectrum general service incandescent lamps) and
less than or equal to 3,300 lumens; is not a light fixture; is not an
LED downlight retrofit kit; and is used in general lighting
applications. General service lamps included, but were 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 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 (incorporated by reference; see 10 CFR 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 10 CFR 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 10 CFR 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 10 CFR
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 10 CFR 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.
See 86 FR 46611, 46624-46625.
Similarly, DOE proposed to define a general service incandescent
lamp 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; however, this
definition did 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 10 CFR 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.
See 86 FR 46611, 46624.
The proposed definitions of GSL and GSIL in the August 2021 NOPR
were the same as those specified in the January 2017 Final Rules (i.e.,
the January 2017 Definitions). For the definition of GSL, in the August
2021 NOPR, DOE proposed additional detail to the statutory definition
by specifying the base type, lumens, and voltages of GSLs. DOE also
proposed to remove the exemptions for certain incandescent lamps that
are used to satisfy lighting applications traditionally served by GSILs
and include those lamps in the definition of GSIL and GSL. DOE
preliminarily determined these are lamps that can serve in general
lighting applications and provide an interior or exterior area with
overall illumination. DOE explained that it 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. 86 FR 46611,
46616.
As proposed in the August 2021 NOPR, the GSL and GSIL definitions
explicitly include not only A-shaped or pear-shaped light bulbs but
also the smaller, decorative shaped light bulbs resembling a candle,
bullet or globe and often used in chandeliers, desk lamps,
[[Page 27466]]
ornamental wall lights, etc. Additionally, the proposed definitions
include reflector shaped light bulbs that have a cone-like shape with
an inner reflective coating that directs light and are often used in
recessed light fixtures (e.g., lights within the ceiling). Based on
estimates from DOE's 2015 Lighting Market Characterization Report, the
proposed definitions increase the number of lamps defined as GSL from
3.8 billion lamps to 5.8 billion lamps.\7\
---------------------------------------------------------------------------
\7\ Navigant Consulting, Inc. 2015 U.S. Lighting Market
Characterization (No. DOE/EE-1719). U.S. Department of Energy,
Washington, DC.
---------------------------------------------------------------------------
The following discussion addresses issues raised by commenters on
the proposal in the August 2021 NOPR to adopt the aforementioned
definitions of GSL and GSIL as set forth in the January 2017 Final
Rules. In general, the NPCC, NASEO, NYSERDA, the AGs, State of
Washington DOC, CEC, Joint Comment, CA IOUs, ASAP, and SC, NRDC, and EJ
all stated support for the proposed GSL definitions; while NEMA, GE
Lighting, and Lutron suggested changes to the proposed definitions.
(NPCC, No. 5 at p. 2; NASEO, No. 8 at p. 1; NYSERDA, No. 10 at p. 1;
AGs, No. 11 at pp. 1-2; State of Washington DOC, No. 13 at pp. 1-2;
CEC, No. 15 at pp. 2-3; Joint Comment, No. 16 at p. 1; CA IOUs, No. 17
at p. 1; ASAP, No. 19 at pp. 1-2; SC, NRDC, and EJ, No. 18 at pp. 1-2;
NEMA, No. 9 at pp. 7-9; GE Lighting, No. 14 at pp. 3-4; Lutron, No. 12
at pp. 3-5).
A. September 2019 Withdrawal Rule
DOE received several comments on the August 2021 NOPR regarding the
September 2019 Withdrawal Rule. This rule withdrew the GSL and GSIL
definitions established by the January 2017 Final Rules. The CEC stated
that DOE's purported withdrawal of the January 2017 Final Rules was
unlawful and unlawfully amended the minimum standard for many lamp
types to their previous less efficient levels. The CEC stated that in
its effort to undo the January 2017 Final Rules, DOE failed to provide
sufficient reasoning for its changed legal interpretation and failed to
give statutory meaning to EPCA's GSL and GSIL provisions. (CEC, No. 15
at pp. 2-3)
The SC, NRDC, and EJ asserted that the fundamental flaw of the
September 2019 Withdrawal Rule, which they believe provides grounds for
its immediate revocation, is its violation of EPCA's anti-backsliding
provision. The SC, NRDC, and EJ stated that had DOE not issued the
September 2019 Withdrawal Rule, the standard that would have applied to
the lamps exempted in that rule would have been 45 lm/W on January 1,
2020. Because DOE issued the September 2019 Withdrawal Rule, SC, NRDC,
and EJ asserted that the standard applicable to those lamps is either
(1) no standard at all, or (2) a standard requiring a lower level of
energy efficiency. The SC, NRDC, and EJ stated that DOE made a policy
judgment in a separate rulemaking, applicable to this scenario, that
``nominally characterizing a regulatory change in the energy
conservation standards applicable to a covered product as something
other than an amendment'' is inconsistent with EPCA.\8\ The AGs
referenced and attached their May 3, 2019 comments written in response
to the February 2019 Withdrawal NOPR, in which they stated that DOE's
planned action to repeal the January 2017 Definitions would be
unlawful; violated EPCA's anti-backsliding provision (see 42 U.S.C.
6295(o)(1)); and lacked any statutory basis for exempting the bulbs at
issue from existing efficiency standards. The AGs stated that a
petition for review of the September 2019 Withdrawal Rule was filed
(New York v. DOE, No. 19-3652 (2d Cir. 2019)) in 2019, which is now in
abeyance pending DOE's current reconsideration of the withdrawal under
Executive Order 13990. (AGs, No. 11 at pp. 1-2; CEC, No. 15 at pp. 2-3;
SC, NRDC, and EJ, No. 18 at pp. 1-2)
---------------------------------------------------------------------------
\8\ See Notice of Proposed Rulemaking for Residential
Dishwashers, Residential Clothes Washers, and Consumer Clothes
Dryers published August 11, 2021. 86 FR 43970.
---------------------------------------------------------------------------
Additionally, the AGs, CEC, and SC, NRDC, and EJ agreed with DOE's
tentative conclusion that DOE, in the September 2019 Withdrawal Rule,
incorrectly interpreted that it could not exercise its authority to
remove exemptions for certain incandescent lamps that are not used in
general lighting applications. The AGs stated that neither EPCA's
separate regulatory process under 42 U.S.C. 6295(l)(4) nor its
exclusions under 42 U.S.C. 6291(30)(D)(ii)(XI) and 42 U.S.C.
6291(30)(BB)(ii)(II) for certain lamps precludes DOE from defining them
as GSLs. (AGs, No. 11 at pp. 1-2) The NPCC and CEC added that under
EPCA, DOE has the authority to adjust the scope of GSLs and determine
whether exemptions for certain incandescent lamps should be
discontinued or maintained. (NPCC, No. 5 at p. 2; CEC, No. 15 at pp. 2-
3)
EPCA directs DOE to amend the statutory definitions of GSL and GSIL
by regulation to achieve the energy savings for general lighting that
Congress intended in EPCA generally and EISA specifically. 42 U.S.C.
6295(i)(6)(A)(i)(II) and 42 U.S.C. 6291(30)(BB)(i)(IV). By withdrawing
the expanded definitions of GSL and GSIL in the September 2019
Withdrawal Rule, DOE failed to give meaningful effect to this statutory
direction. As noted in the August 2021 NOPR, DOE was wrong to conclude
in the September 2019 Withdrawal Rule that ``maintaining the existing
statutory exemptions for the 22 categories of lamps excluded from the
definition of GSL is the best reading of the statute.'' 84 FR 46666, 86
FR 46617. DOE's authority under 42 U.S.C. 6291(30)(BB)(i)(IV) to
include within the definition of GSL ``any other lamps that [it]
determines are used to satisfy lighting applications traditionally
served by general service incandescent lamps'' empowers the agency to
include categories of lamps that would otherwise be excluded under 42
U.S.C. 6291(30)(BB)(ii). And DOE's authority under 42 U.S.C.
6295(i)(6)(A)(i)(II) empowers the agency to discontinue any of the
exemptions from the definition of GSIL set out in 42 U.S.C.
6291(30)(D)(ii). DOE's basis for discontinuing certain of the
exemptions as discussed in the August 2021 NOPR and presented in the
January 2017 Final Rules is the best implementation of the statute
because it properly considers the statute as a whole and considers
whether such lamps have the potential for use in general lighting
applications traditionally served by GSILs. This final rule adopts the
definitions established in the January 2017 Final Rules and as proposed
in the August 2021 NOPR because they best align 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.
B. Reflector Lamps
As discussed, in the August 2021 NOPR, DOE proposed to include IRLs
within the definition of general service lamp, except those reflector
lamps 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. 86 FR 46611, 46620.
Additionally, in the August 2021 NOPR, DOE reviewed its position in
the September 2019 Withdrawal Rule that EPCA precludes consideration of
the exemption for IRLs because they were exempted twice from the
statute. In the NOPR, DOE proposed to amend the
[[Page 27467]]
definitions of GSIL and GSL to discontinue the exemptions for these
products. 86 FR 46611, 46620. In response, NEMA suggested that DOE
modify the proposed GSL definition to exclude IRLs from the GSL
definition. NEMA and GE Lighting stated that IRLs are already covered
under existing regulations for IRLs and were never intended to be
regulated as GSLs according to EISA, where they are addressed in a
separate regulatory section. Additionally, NEMA stated separation of
IRLs from GSLs would avoid confusion and make a phased-in regulation
more understandable. NEMA requested that DOE clarify how IRLs that are
included in the proposed GSL definition and are also already regulated
separately under existing regulations will be treated from an
enforcement standpoint. NEMA stated that in the absence of clarity,
manufacturers must assume that such products that meet the existing
definition of IRLs and also meet the current standard for those
products must be certified to DOE according to existing law and
continue to be made and sold. (NEMA, No. 9 at pp. 6-9; NEMA, No. 9 at
p. 10; GE Lighting, No. 14 at p. 3)
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. DOE acknowledges that the statute exempts ``reflector lamp''
from the definition of GSIL (42 U.S.C. 6291(30)(D)(ii)(XI)) and
``incandescent reflector lamp'' from the definition of GSL (42 U.S.C.
6291(30)(BB)(ii)(II)). However, on reconsideration, DOE does not read
the two statutory exemption provisions as an indication that such lamps
were not to be evaluated for coverage under the GSIL and GSL
definitions. With respect to IRLs, the best reading of the statute as a
whole is that 42 U.S.C. 6291(30)(BB)(i)(IV) and 42 U.S.C.
6295(i)(6)(A)(i)(II) authorize DOE to determine whether to include IRLs
within the definition of GSIL and GSL. Section 6295(i)(6)(A)(i)(II)
grants DOE authority to determine whether ``the exemptions for certain
incandescent lamps should be maintained or discontinued.'' As discussed
previously, in footnote 3, these ``exemptions'' are set out in 42
U.S.C. 6291(30)(D)(ii), and include IRLs among other lamps. As such, 42
U.S.C. 6295(i)(6)(A)(i) provides DOE with authority to consider
Congress' initial exemption of those lamp types from the definition of
GSIL, to determine whether those exemptions should be maintained or
rescinded. Moreover, all of the lamp types that Congress initially
exempted from being considered GSILs in 42 U.S.C. 6291(30)(D)(ii) were
likewise initially exempted from being considered GSLs in 42 U.S.C.
6291(30)(BB)(ii). When DOE discontinues an exemption from the
definition of GSIL through 42 U.S.C. 6295(i)(6)(A)(i), the lamps that
newly qualify as GSILs also become GSLs--because all GSILs are GSLs
under 42 U.S.C. 6291(30)(BB)(i)(I), notwithstanding the exclusion of
certain lamp types from the definition of GSL in 42 U.S.C.
6291(30)(BB)(ii). (Lamp types statutorily exempted from the definition
of GSIL and GSL under 42 U.S.C. 6291(30)(D)(ii) and 42 U.S.C.
6291(30)(BB)(ii), and for which DOE did not discontinue such exemption,
remain exempted.) Similarly, under 42 U.S.C. 6291(30)(BB)(i)(IV), DOE
has the power to bring within the definition of GSL ``any other lamps
that the Secretary determines are used to satisfy lighting applications
traditionally served by general service incandescent lamps.'' That
authority is not limited by the exclusions in 42 U.S.C.
6291(30)(BB)(ii). Rather, DOE has the power to bring within the
definition of GSL any lamps excluded by 42 U.S.C. 6291(30)(BB)(ii), if
it determines that they are used to satisfy lighting applications
traditionally served by general service incandescent lamps. DOE
therefore has the power to bring IRLs within the definition of GSIL and
GSL, notwithstanding the statutory exclusions in 42 U.S.C.
6291(30)(D)(ii) and 42 U.S.C. 6291(30)(BB)(ii). DOE concludes that the
discontinuation of the exemption for IRLs is warranted, for the reasons
discussed in the second of the January 2017 Final Rules, published at
82 FR 7322. In that rule, DOE determined that medium screw base
reflector lamps that are incandescent and do not meet the definition of
IRL as well as lamps that are IRLs, separately, had high annual unit
sales indicating they are likely to be used in general lighting
applications. Further, because these lamps provide overall
illumination, they could be used as direct replacements for GSILs. DOE
also indicated there was a high potential for lamp switching to IRLs
and medium screw base reflector lamps that are incandescent due to the
fact they are used in general lighting applications like others GSILs
and GSLs. Lastly, as shown in Table III.1 of the second January 2017
final rule, IRLs have annual sales that are several times the sales of
the largest-volume lamp category among those exemptions that DOE is
discontinuing, all of which are lamps used in general lighting
applications. 82 FR 7276, 7293; 82 FR 7322, 7329-7330. For these
reasons, in this final rule, DOE includes IRLs in the definition of GSL
and GSIL.
DOE acknowledges that IRLs are currently subject to standards. 10
CFR 430.32(n)(6) and (7). This rule is not specifying standards for
GSLs. To the extent that DOE were to establish energy conservation
standards for GSLs, DOE would clearly indicate the applicable standard
and compliance requirements for the affected lamps. Further, DOE notes
that GSILs and medium base CFLs are also already covered under existing
regulations and yet are explicitly included as GSLs under EPCA.
NEMA commented that separate regulations for IRLs and GSLs will
allow consideration for the unique efficiency and light distribution
capabilities of reflector and omnidirectional GSLs. GE Lighting stated
that IRLs are not general lighting and are used to highlight specific
objects or target areas in a room, and therefore, require a unique
technical analysis. (NEMA, No. 9 at pp. 6-7; NEMA, No. 9 at p. 10; GE
Lighting, No. 14 at p. 3)
In the January 2017 Final Rules, DOE found that IRLs are widely
used for general illumination just as GSILs are used. 82 FR 7322, 7325.
In this final rule, DOE finds there has been no change in the market
that leads to a different conclusion in this final rule. Further, when
determining standards for a product, DOE divides covered products into
classes by: (a) The type of energy used; (b) the capacity of the
product; or (c) other performance-related features that justify
different standard levels, considering the consumer utility of the
feature and other relevant factors. (42 U.S.C. 6295(q)) Because DOE
considers impact on both efficacy and consumer utility when
establishing product classes, reflector and omnidirectional GSLs could
be analyzed for standards separately, if warranted.
C. Consumer Choice, Health Impacts
Some private citizens stated that the GSL definitions proposed in
the August 2021 NOPR infringe on consumer choice by regulating
incandescent bulbs under GSLs and effectively removing them from the
marketplace. (Anonymous, No. 2 at p. 1; Anonymous, No. 3 at p. 1;
Anonymous, No. 4 at p. 1)
In the August 2021 NOPR, DOE proposed that if the design
[[Page 27468]]
characteristics of lamps for a given application are such that non-
incandescent lamps cannot be made with the same characteristics (i.e.,
form factor and light output), such lamps should not be included as
``other lamps'' in its definition of GSL. See 86 FR 46616; see also 82
FR 7276, 7301. Hence, in this final rule, incandescent lamps that are
included as GSLs have or can have more efficient, non-incandescent
replacements with the same form factor and light output. DOE has
confirmed that all lamp types included in the GSL definition have the
same characteristics in the non-incandescent versions as offered in the
incandescent versions.
Regarding T-Shape, B, BA, F, G16- 1/2, G25, G30, S and M-14 lamps
(``decorative lamps''), NEMA estimates total market volume at 950
million installed lamps; and 520 million out of 665 million on mostly
switch-controlled sockets have already been converted to LED
technology. NEMA stated that regulations would force homeowners with
the remaining 285 million incandescent decorative lamps on dimmers to
switch to LED technology that is often incompatible with the installed
dimmers. NEMA stated that for a dining room fixture an LED-compatible
dimmer could cost approximately $20 to $80, plus $100 to $200
(depending on location) for an electrician to install. NEMA stated that
a mid-cost $30 dimmer with a lower cost electrician ($100) would have a
payback in 30 years, and a high-cost dimmer ($80) with a high-cost
electrician ($200) would have a payback in 65 years. NEMA stated that
regulating candelabra base lamps used on LED-incompatible dimmers is
not economically feasible for homeowners; rather, the market will
convert to LED over time without regulation due to homeowners
continuing to replace dimmers by choice. (NEMA, No. 20 at pp. 3-4)
Regarding dimming, not all incandescent/halogen dimmers (i.e.,
phase-cut control dimmers) are incompatible with LED technology. NEMA's
SSL 7A, which provides basic requirements for phase-cut dimming of LED
light sources, includes a list of forward phase-cut dimmers and
scenarios in which they can be compatible with LED technology (e.g., up
to 125 W LED load). NEMA's comment indicates that almost 80 percent of
the lamps on switch-controlled sockets have already been converted to
LED technology without a significant negative market reaction. Thus,
the extensive use of dimmer technology needed to support the modified
GSL definition in this final rule indicates that it is readily
available and economically feasible for consumers.
Further, this final rule defines only the scope of GSLs and does
not set energy efficiency standards for GSLs. When DOE evaluates a
future energy efficiency standard for GSLs it will determine whether a
standard is economically justified based on several factors, including
consumer impacts and commenters' concerns relating to any asserted
lessening of the utility or the performance of newly covered GSILs
likely to result from the imposition of the standard. 42 U.S.C.
6295(o)(2)(B)(i)(II)-(IV).
A private citizen stated that for some people LED lamps may have a
negative effect on eyesight and thus wished to continue purchasing
incandescent bulbs. (Anonymous, No. 4 at p. 1) A second private citizen
stated that LED bulbs may affect those with light sensitivity
disabilities and under Title 1 of the American Disabilities Act
(``ADA'') reasonable accommodation must be made for those that have
disabilities and are light sensitive. The citizen stated that, for
example, people with epilepsy need to use incandescent lights. The
citizen stated that a government project is required by federal ADA law
to ensure that those with light sensitivity disabilities are not harmed
by artificial lighting used in the project. The citizen stated that the
United Kingdom makes accommodations for those that have a disability to
use incandescent bulbs. Finally, the citizen stated that Title II of
the ADA states DOE has a responsibility to consult with the disabled
community prior to changing lighting standards and that reasonable
accommodation be made to purchase incandescent bulbs for medical
reasons. (Anonymous, No. 6 at p. 1)
Though these public comments do not include quantitative evidence
of specific alleged changes to performance characteristics relevant to
consumer choice or health, DOE has considered these public comments.
DOE has also considered the potential for health benefits of emissions
reductions from reducing energy use by the covered products. DOE
maintains that the final rule's definitional changes appropriately
promote 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. As stated above, DOE assesses possible
impacts to consumers, utility, and performance during the separate
evaluation of economic justification for setting energy conservation
standards. Additionally, DOE notes that the ADA does not apply to DOE
for purposes of this rule, as the ADA applies only to private employers
and not Federal agencies. Individuals wishing to file complaints under
the ADA can visit www.ada.gov.
D. Potential Revisions to the Proposed Definitions
1. Lumens
NYSERDA and the CEC recommended that DOE revise the GSL definition
proposed in the August 2021 NOPR to include lower lumen products
between 150 and 310 lumens to include lamps offered as 25-watt (``W'')
equivalents. ASAP, the CA IOUs, and NYSERDA stated that this would
align with California's state-regulated LED lamps which include E12
base lamps greater or equal to 150 lumens and E26, E17, GU24 base lamps
greater or equal to 200 lumens. ASAP stated that these low-lumen lamps
are often used in multiples in a single light fixture to provide
general illumination. As an example, NYSERDA stated a fixture with
eight candelabra bulbs consumes 10 times more energy than a single 100
W equivalent LED bulb. The CEC stated that low-lumen lamps are
typically used to satisfy lighting applications traditionally served by
GSILs (e.g., night lights) and that one-quarter of California homes
have at least one low-lumen lamp. The CEC also stated that there are a
sufficient number of low-lumen lamps on the market that would meet the
45 lm/W standard, citing its 2018 analysis which found 571 ENERGY
STAR[supreg] certified LED lamps with low lumens and efficacy far above
45 lm/W. The CA IOUs added that a cluster of low-lumen incandescent
lamps remains in the retail space and there is no technical reason not
to cover the products in the GSL definition. The CEC added that low-
lumen lamps included in the GSL definition would be limited to the base
types specified in the definition, excluding other low-lumen base types
and specialty lamps. (NYSERDA, No. 10 at p. 2; CEC, No. 15 at pp. 3-4;
ASAP, Public Meeting Transcript, No. 7 at pp. 13-14; CA IOUs, Public
Meeting Transcript, No. 7 at pp. 14-15)
Westinghouse commented that many of the low-lumen lamps described
by ASAP and the CA IOUs are not used in general service applications,
but specialty signs and indicators. Westinghouse expressed concern that
inclusion of low-lumen lamps of any American National Standards
Institute (``ANSI'') base could also include
[[Page 27469]]
specialty products. (Westinghouse, Public Meeting Transcript, No. 7 at
pp. 15-16) GE Lighting stated that lamps below 310 lumens are not 40 W,
but instead between 15 and 25 W, and 40 W lamps are typically in the
350 to 450 lumen range. GE Lighting added that these lamps have very
low market share, are used in niche applications, and use little
wattage. (GE Lighting, Public meeting Transcript, No. 7 at pp. 16-17)
In the August 2021 NOPR, DOE tentatively determined, based on the
reasoning presented in the January 2017 Final Rules, that lamps that
satisfy the same applications traditionally served by GSILs are ones
that provide overall illumination. 86 FR 46611, 46616. In the January
2017 Final Rules, DOE determined that the minimum lumen output of lamps
that provide overall illumination should be 310 lumens. DOE
acknowledged that some lamps with lumen outputs less than 310 lumens
can be marketed as 25 W equivalents. However, there are no Federal
guidelines concerning equivalency claims of lamps and even when such
guidelines exist there is a variety in lumens that constitute a 25 W
equivalent. 82 FR 7276, 7305-7306. DOE finds there has been no change
in the market that would lead DOE to reach a different conclusion in
this final rule and therefore is adopting a GSL definition with minimum
lumens as 310 lumens.
2. Base Type and Voltage
NEMA and GE Lighting recommended that DOE make modifications to the
base type and voltage in the proposed GSL definition to provide clarity
and to avoid causing specialty and niche products that have unique
performance features to become unavailable in the market. GE Lighting
stated that the proposed definition goes beyond the original EISA 2007
definition regulating household A-line incandescent 40, 60, 75 and 100
W lamps, or potential replacements for these lamps. (NEMA, No. 9 at p.
8; GE Lighting, No. 14 at pp. 3-4)
NEMA stated that DOE's proposal that GSLs have an ANSI base is so
overly broad so as to create confusion in the market and result in DOE
unintentionally making specialty lamp types with unique performance
features unavailable. NEMA recommended that DOE modify the definition
to specify GSLs have an E26 medium screw base, E17 intermediate base,
E12 candelabra base, E11 mini candelabra base, E39 or EX39 mogul base,
or G5.3, GU10, or GU24 base. (NEMA, No. 9 at p. 8)
Second, NEMA stated that DOE's proposal that GSLs that are non-
integrated lamps that operate at any voltage is unnecessarily broad.
NEMA stated that the common residential and commercial building mains
voltages are 110/120, 208, and 277 volts (``V''). NEMA recommended that
DOE modify the definition to specify that GSLs that are non-integrated
lamps be able to operate between 100 to 277 V. (NEMA, No. 9 at p. 8)
GE Lighting recommended two alternative modifications to the base
and voltage: (1) Limit the base type to medium screw bases and
operation between 120 and 130 V; or (2) limit the base type to medium,
candelabra, and intermediate screw bases and operation between 120 and
130 V. GE Lighting stated that medium screw base, candelabra base and
intermediate screw base lamps that operate between 120 and 130 V and
provide omnidirectional light distribution would cover 99 percent of
the GSLs used in a home (excluding reflector lamps) according to the
2015 DOE Lighting Market Characterization Report and, therefore,
achieve over 99 percent of the potential energy savings. GE Lighting
also stated that using specific base types and voltages used in a home
would be easy to understand. (GE Lighting, No. 14 at pp. 3-4)
In the August 2021 NOPR, DOE tentatively determined that lamps that
satisfy the same applications traditionally served by GSILs are ones
that provide overall illumination. 86 FR 46611, 46616. Based on the
findings of the January 2017 Final Rules that lamps with an ANSI base
provide overall illumination, DOE proposed in the August 2021 NOPR to
define GSLs to include lamps with an ANSI base. 86 FR 46611, 46619. In
the January 2017 Final Rules, DOE also identified lamps with ANSI bases
that were associated with certain incandescent/halogen lamps without
more efficient, equivalent replacements and concluded that those lamps
should be exempted. DOE concluded that the unavailability of non-
incandescent substitutes for a given lamp suggests that lamp is not
being used for traditional GSIL applications. 82 FR 7276, 7301. As
such, DOE exempted: (1) J, JC, JCD, JCS, JCV, JCX, JD, JS, and JT shape
lamps that do not have Edison screw bases; (2) lamps that have a wedge
base or prefocus base; and (3) 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. 82 FR 7276, 7304.
Hence, based on these findings of the January 2017 Final Rules, in the
August 2021 NOPR, DOE proposed exempting the aforementioned lamps
because they may not have more efficient, equivalent replacements
available if a future GSL standard is adopted. DOE's findings of the
January 2017 Final Rules found that many lamps with medium, candelabra,
and intermediate screw bases, operating between 120 V and 130 V could
provide overall illumination and therefore, could not use these
criteria as suggested by GE. Further, ANSI bases are well defined in
the industry standard ANSI C81.61, ``Electric Lamp Bases--
Specifications for Bases (Caps) For Electric Lamps.'' DOE finds that
the GSL definition as proposed in the August 2021 NOPR is easy to
understand when it specifies that lamps must have ANSI bases and
exempts certain lamps using an ANSI base designation. In this final
rule, DOE is adopting the GSL definition as proposed, which defines
such lamps as having ANSI bases.
In the January 2017 Final Rules, DOE reviewed available product
offerings to determine whether lamps of all operating voltages are used
in general lighting applications. DOE determined that integrated lamps
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 provide
overall illumination. DOE made this determination by reviewing product
offerings and identifying voltages associated with specialty lamps and
ensuring those are not included in the ranges of a GSL. DOE found that
the operating voltage of non-integrated lamps did not correlate to use
in specialty applications. 82 FR 7276, 7306. DOE finds there has been
no change in the market regarding lamp voltages that would lead DOE to
reach a different conclusion in this final rule. Hence, in this final
rule, DOE is adopting, as proposed in the August 2021 NOPR, the GSL
definition established in the January 2017 Rules that defines
integrated lamps in voltage ranges of 12 volts or 24 volts, at or
between 100 to 130 volts, at or between 220 to 240 volts, or of 277
volts.
3. Color Tunable Lamps
Lutron stated that when considering the scope of the GSL
definition, DOE should take into consideration the impact of including
advanced technologies, specifically full color tunable lamps. Lutron
stated full color tunable lamps can change between emitting high
quality white light typically used in general lighting applications and
colored lighting typically used for decorative purposes. Lutron stated
luminous flux measures the perceived intensity of light,
[[Page 27470]]
weighted by the human eye sensitivity curve to differing wavelengths
(colors) of light, V([lambda]). Hence, lamps outputting colors of light
to which the human eye is not as sensitive (i.e., color others than
white) will always appear to be less efficacious than a comparable
source outputting white light. Lutron stated that full color tunable
lamps when operated in colors other than white will therefore be
measured as having a lower lumen output. Lutron noted that the current
DOE test procedure requires lamps to be tested at the highest input
power for efficacy, CRI, and other metrics. Lutron stated that although
it is often the case that one or more white light settings are among
the set of highest input power settings, this cannot be assumed. Lutron
also stated innovation in phosphor-converted LEDs may enable efficacy
gains when operating at white light settings but at a lower input
power. Lutron asserted that the current DOE test procedure of testing
at the highest input power would disincentivize this kind of
innovation. (Lutron, No. 12 at p. 3)
Lutron proposed two possible solutions to the problem it
identified. The first option Lutron proposed was to exclude ``full
color tunable lamps'' from the definition of GSL. Lutron stated that
the reason for the exclusion would align with the reasons for excluding
colored lamps. Further, Lutron stated that full color tunable lamps are
not yet mainstream products and when operated in deeply saturated
colors are often used for short-term events or in decorative
applications. Lutron recommended the following definition for the
exempt lamp type: ``Full color tunable lamp means a lamp capable of
emitting highly saturated light of varying hues, as well as white
light, for example by varying the relative intensity of individual
emitters.'' (Lutron, No. 12 at pp. 3-4)
Alternatively, Lutron proposed DOE open a rulemaking to revise the
test procedure to appropriately evaluate full color tunable lamps.
Instead of testing at maximum input power, Lutron recommended testing
tunable products in their default mode of operation, which is
consistent with other design standards.\9\ Lutron added that DOE would
then need to open a rulemaking to revise the standards for GSLs to
accommodate for multiple emitters, each operating at a different
efficacy, in full color tunable lamps. Lutron stated that full color
tunable lamps should ultimately be considered by DOE as a separate
product class with a separate standard. Lutron stated this option
should still include defining the term ``full color tunable lamp.''
(Lutron, No. 12 at pp. 3-4)
---------------------------------------------------------------------------
\9\ EU ecodesign regulation for light sources (https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:32019R2020) and the
Global Lighting Association's Regulatory Guidelines for an Effective
Transition to Energy Efficient Lighting.
---------------------------------------------------------------------------
Lutron commented that, of the two solutions, it would be easier to
exempt full color tunable lamps and allow the focus of the rulemaking
to return to traditional lighting technology. (Lutron, No. 12 at pp. 3-
4)
EPCA directs DOE to include as GSLs, lamps which are used to
satisfy lighting applications traditionally served by GSILs. 42 U.S.C.
6291(30)(BB)(i)(IV). In the January 2017 Final Rules, DOE determined
that lamps that satisfy the same applications traditionally served by
GSILs are ones that provide an interior or exterior area with overall
illumination. 82 FR 7276, 7306. Because colored lamps do not provide
overall illumination, in the January 2017 Final Rules, DOE maintained
the exemption of colored lamps specified in the GSIL definition and
applied it to the GSL definition. 82 FR 7276, 7302, 7312. Colored lamps
have correlated color temperatures (CCTs) or color rendering indexes
(CRIs) that do not result in white light, and therefore do not satisfy
lighting applications traditionally served by GSILs (i.e., colored
lamps do not provide overall illumination). DOE reaffirmed this
position in the August 2021 NOPR by proposing to exclude colored lamps
from the definition of GSIL and GSL. 86 FR 4611, 46616, 46625. DOE
understands that full color tunable lamps can be operated to provide
overall illumination as well as colored light. At the setting where the
full color tunable lamp is producing colored light, the CCT or CRI will
be such that it does not result in white light. Accordingly, at a
setting where the full color tunable lamp is not producing colored
light, the CCT or CRI will be such that it does result in white light.
Because consumers can choose to use them to provide overall
illumination, exempting such lamps could result in manufacturers adding
color tunability to avoid standards, i.e., a potential loophole. Hence,
DOE is not modifying the GSL definition proposed in the August 2021
NOPR to exempt full color tunable lamps. DOE will review the most
appropriate method to test such lamps in its next review of the
applicable lamp test procedure.
E. Market Share, Cost Savings, Energy Savings, and Emission Reductions
1. Market Share
DOE also received comments on the August 2021 NOPR relating to the
market share of GSLs. The Joint Comment stated that while LEDs have
gained an overall market share of about 60 percent,\10\ the 40 percent
of incandescent products are costing consumers. (Joint Comment, No. 16
at p. 2) NASEO and ASAP commented that consumers continue to purchase
incandescent bulbs out of habit and because manufacturers promote them.
(NASEO, No. 8 at p. 2; ASAP, No. 19 at p. 2) NYSERDA stated that
results of a survey it conducted showed that nationally, of the overall
lamp market 58 percent of A-lamps, 84 percent of reflector lamps, 50
percent of globe lamps, and 56 percent of candelabra lamps were LED
lamps in 2020 and had increased from the previous year. NYSERDA stated
LED lamps were widely available even in states that did not have
utility energy efficiency lighting incentives. However, the NYSERDA
survey indicated that while LED globe lamps grew by 2 percent in 2020
from the previous year, incandescent globe lamps grew by 5 percent.
(NYSERDA, No. 10 at pp. 2-3)
---------------------------------------------------------------------------
\10\ The Joint Comment referenced market research from Apex
Analytics.
---------------------------------------------------------------------------
The CA IOUs stated that implementation of the 45 lm/W backstop on
lamps included in the January 2017 Definitions will significantly
increase the number of products impacted and decrease the potential of
an increase in sales volume of non-GSL incandescent lamps. (CA IOUs,
No. 17 at p. 3) The NPCC stated that ``specialty'' lamps for which the
exemptions are being discontinued (i.e., reflector bulbs used in
recessed and track lighting, candle-shaped bulbs used in wall sconces
and decorative light fixtures, globe-shaped bulbs often installed in
bathrooms, pear-shaped bulbs, etc.) represent a significant portion of
the Pacific Northwest's energy efficiency potential, as there are over
250 million of these bulbs in the region. The NPCC stated that LED
lamps provide equal or better service at a much lower energy
consumption rate and higher durability. (NPCC, No. 5 at pp. 1-2) The CA
IOUs stated that when incandescent light bulbs leave the market, any
economic harm to the lighting industry will be far outweighed by the
energy and environmental savings. (CA IOUs, No. 17 at p. 2)
2. Consumer Costs, Energy Savings, Emission Reductions
DOE received several comments on the benefits of amending the
definitions of GSL and GSIL as proposed in the August 2021 NOPR. The
State of Washington DOC stated that although
[[Page 27471]]
Washington already has a 45 lm/W efficacy standard in place, the
proposed DOE action will strengthen enforcement and improve compliance
in Washington, as well as avoid excess electricity consumption in other
Western states, especially those without a state-level standard for
GSLs as the Western electricity grid is very interconnected. (State of
Washington DOC, No. 13 at pp. 1-2) The SC, NRDC, and EJ stated that the
two-year delay in reinstatement of the January 2017 Definitions and
application of the 45 lm/W backstop has prevented gains in reducing air
pollutant emissions associated with electricity generation and consumer
benefits, in particular, for low-income families. (SC, NRDC, and EJ,
No. 18 at p. 2) NASEO and the State of Washington DOC stated that
adopting the proposed GSL definitions will deliver large cost savings
for consumers and reductions in climate emissions and encouraged the
two-step process of first, expanding the definition of GSL to include
all common bulb types and second, implementing the 45 lm/W backstop
standard. (NASEO, No. 8 at p. 1; State of Washington DOC, No. 13 at pp.
1-2)
DOE also received comments that quantified cost savings and
emissions reductions from adopting the definitions as proposed in the
August 2021 NOPR. The AGs stated that, if adopted, the proposed
definitions would save billions of dollars in energy costs and
avoidance of millions of metric tons of greenhouse gas emissions
annually. (AGs, No. 11 at p. 1) NASEO, the Joint Comment, and ASAP
stated that switching a single incandescent bulb to LED saves $40-$90
over 10 years. Therefore, a midpoint of $65 in savings for a typical 45
bulbs per household would result in average estimated savings of $3,000
over 10 years. (NASEO, No. 8 at pp. 1-2; Joint Comment, No. 16 at p. 2;
ASAP, No. 19 at p. 2) NASEO added that according to ASAP, updated GSL
standards could result in nationwide utility bill savings of $2.6
billion by 2035. (NASEO, No. 8 at p. 2) NYSERDA stated that the
additional products included in the expanded GSL definition, with the
exclusion of A-lamps, would result in $1-$1.4 billion of net present
value. (NYSERDA, No. 10 at p. 2) The CEC added that adopting the
expanded definitions plus enforcing the backstop of 45 lm/W would
result in $3.4 billion in cost savings each year. (CEC, No. 15 at p. 2)
The Joint Comment stated that each month of additional delay in
implementing the 45 lm/W standard will result in $300 million in lost
savings through higher electricity bills and $1.8 billion has already
been spent by consumers on inefficient lighting costs since January
2021. (Joint Comment, No. 16 at pp. 1-2; ASAP, No. 19 at p. 2)
NASEO stated that according to ASAP, the proposed GSL definitions
could avoid an annual 2.7 to 6.2 million metric tons (``MMT'') of
carbon dioxide (``CO2'') emissions by 2030. (NASEO, No. 8 at
p. 2) NYSERDA stated that the additional products included in the
expanded GSL definition, with the exclusion of A-lamps, would reduce
emissions by 0.25 to 0.5 MMT of CO2. (NYSERDA, No. 12 at p.
2) The CEC added that adopting the expanded definitions plus enforcing
the backstop of 45 lm/W would result in 9.5 MMT of avoided
CO2 emissions each year. (CEC, No. 15 at p. 2) The Joint
Comment and ASAP stated that each month of additional delay in
implementing the January 1, 2020, backstop will result in the addition
of 800,000 tons of CO2 emissions. The Joint Comment stated
that since the beginning of the new administration 4.8 million tons of
CO2 have been needlessly released. (Joint Comment, No. 16 at
pp. 1-2; ASAP, No. 19 at p. 2)
DOE also received several comments regarding low-income consumers
and adopting the January 2017 Definitions. NASEO and ASAP stated that
lower income consumers lack easy access to retailers that sell
affordable LED lamps and expanding the GSL definition would ensure
access to a larger consumer base. (NASEO, No. 8 at p. 2; ASAP, No. 19
at p. 2) NYSERDA cited a study it commissioned which assessed the
lighting market in New York state. The study showed that LED lamps
appear to be less available in dense urban environments, as smaller
businesses such as grocery, hardware, and general merchandise stores
have the lowest availability of LED lamps, compared to big-box or
national operations typically located outside urban city centers.
NYSERDA stated that DOE's proposed rule can solve the resulting issue
of inequitable access to LED lamps. (NYSERDA, No. 10 at pp. 3-4) Based
on research in Michigan and New York, the Joint Comment also found that
low-income consumers, particularly in urban areas, have less access to
affordable LED lamps than other consumers because the stores they often
shop at do not stock them or set prices high. The Joint Comment stated
that the proposed GSL definition would ensure that all consumers have
access to LED lamps regardless of distribution channel (i.e., big box
suburban stores, grocery stores, hardware stores, dollar stores, corner
stores). The Joint Comment added that low-income consumers tend to have
disproportionately higher energy bills and are typically renters of
housing with inefficient pre-installed lightbulbs (i.e., incandescent
lamps or CFLs). The Joint Comment also stated that when the commercial
and industrial sectors save on lighting costs, these energy savings can
be passed on to consumers in the form of lower costs for goods and
services and can be spent in other areas of our economy with greater
multiplier effects. Furthermore, the Joint Comment stated that a 2019
Consumer Federation of America (``CFA'') survey found that two-thirds
of respondents support Federal energy efficiency standards for light
bulbs, citing energy savings and less frequent light bulb replacements
as benefits. (Joint Comment, No. 16 at p. 2)
Although this final rule only defines the scope of GSLs and does
not set energy efficiency standards for GSLs, DOE appreciates
commenters' information regarding estimated impacts of the adoption of
the proposed August 2021 definitions on the market, consumer costs,
energy savings, and emissions reductions. DOE has also conducted an
analysis of the impacts of expanding the definitions of GSL and GSIL if
the statutory backstop requirement for GSLs comes into effect. This
analysis shows consumers will save $2.2 billion in annualized reduced
operating costs savings at a 7% discount rate, and $2.3 billion at a 3%
discount rate, and reduce CO2 emissions by 174 million
metric tons from products shipped between 2022-2051. Please see III.H
of this document for a discussion of this analysis.
F. State Preemption
NEMA requested that the GSL definition final rule specify in clear
and unambiguous language that the federal definition of a product class
preempts any existing or future State definition. (NEMA, No. 9 at p. 7)
In response, DOE notes that Federal energy conservation
requirements generally supersede state laws or regulations concerning
energy conservation testing, labeling, and standards. (42 U.S.C.
6297(a)-(c)) Absent limited exceptions, states generally are precluded
from adopting energy conservation standards for covered products both
before an energy conservation standard becomes effective, and after an
energy conservation standard becomes effective. (42 U.S.C. 6297(b) and
(c))
For energy conservation standards applicable to GSLs, EISA 2007
established additional preemption
[[Page 27472]]
provisions specific to California and Nevada. Namely, beginning January
1, 2018, no provision of law can preclude these states from adopting:
(1) Standards established in a final DOE rule adopted in accordance
with 42 U.S.C. 6295(i)(6)(A)(i)-(iv); (2) the backstop requirement of
45 lm/W if no final rule was adopted in accordance with 42 U.S.C.
6295(i)(6)(A)(i)-(iv); or (3) for the State of California, if a final
rule has not been adopted in accordance with 42 U.S.C.
6295(i)(6)(A)(i)-(iv), any California regulations related to ``these
covered products'' adopted pursuant to state statute in effect as of
the date of enactment of EISA 2007 (i.e., December 19, 2007). (42
U.S.C. 6295(i)(6)(A)(vi))
G. Effective Date
1. GSL Definitions Effective Date
In the August 2021 NOPR, DOE proposed an effective date of 60 days
from the publication of the final rule for the proposed definitions. 86
FR 46611, 46620. NEMA and GE Lighting stated that the 60-day effective
date proposed for the GSL definitions is insufficient time for
manufacturers to respond. NEMA and GE Lighting cited as concerns the
potential lack of LED lamp substitutes for lamp types impacted by the
amended GSIL and GSL definitions and complying with existing
regulations for newly impacted lamp types. (NEMA, No. 9 at pp. 2-3; GE
Lighting, No. 14 at p. 2)
NEMA and GE Lighting stated that almost all GSLs are made overseas
and described the steps of the manufacturing and retail supply chain.
NEMA stated that the supply forecasting process, which includes
cancelling and selling affected products, as well as identifying,
ordering, and shipping alternative LED products, would require at least
9-12 months for the lamps newly impacted by the GSL definition. NEMA
stated that manufacturers would need at least 12 months to adjust
supply chains and retailers would need an additional 12 months to sell
through inventory. (NEMA, No. 9 at pp. 2-3; GE Lighting, No. 14 at p.
2) NEMA and GE Lighting added that global supply chains are currently
under stress due to congested ports, coronavirus disease protocols and
outbreaks, electronic chip shortages, and rolling blackouts that lead
to unpredictable lighting factory shutdowns in China. NEMA stated that
logistics and shipping delays are doubling lead times from 5-6 weeks to
10-12 weeks and electronic chip shortages are increasing component lead
times from 1 month to 3 months. (NEMA, No. 9 at p. 4) NEMA added that
the date Customs and Border Protection (``CBP'') clears a shipment is
the date recorded as the date of manufacture for regulatory purposes.
Thus, NEMA stated that with a 60-day effective date, it is possible
that a cargo ship could depart with legal cargo that becomes illegal by
the time of arrival. (NEMA, No. 9 at pp. 2-3) Further, NEMA stated that
to convert the remaining 400 million incandescent decorative lamps
(i.e., T-Shape, B, BA, F, G16-1/2, G25, G30, S and M-14 lamps) to LED
technology would take approximately 37 months (approximately 3 years)
at a current worldwide production and shipping capacity of about 11
million decorative LED lamps per month into the United States. (NEMA,
No. 20 at pp. 3-4) NEMA also noted that several LED lamp type options,
in particular legacy lamp types, are not available due to technical and
financial limitations. NEMA stated that product development and
inventory planning take months to years and not all of the DOE proposal
is possible or practicable. (NEMA, No. 9 at p. 2)
NEMA stated that medium screw base decorative lamps, 3-way lamps,
vibration service lamps, rough service lamps, shatter-resistant lamps,
and any other newly regulated lamps would need to be formally tested,
certified, and listed in the DOE database under the proposed GSL
definitions. NEMA stated that substitute lamps that are not currently
regulated products have likely been tested in a manufacturer's
laboratory or a less stringent lab for labeling or marketing purposes
rather than undergoing the National Voluntary Laboratory Accreditation
Program (``NVLAP'') or International Laboratory Accreditation
Cooperation (``ILAC'') testing required to meet DOE certification
standards. NEMA stated that manufacturers generally have 3 years to
prepare newly covered products for legal sale and that testing alone
would take several months. (NEMA, No. 9 at pp. 4-5; NEMA, Public
Meeting Transcript, No. 7 at pp. 28-30)
Finally, NEMA and GE Lighting stated that a 60-day effective date
will result in financial loss to lamp manufacturers due to stranded
assets, specifically costs associated with non-cancellable supply
contracts, components already purchased based on forecasted production
quantities, capital investments already made for labor and production,
the value of finished goods that cannot clear customs (import date)
within 60 days, and retailer stock resets for all medium screw based
decorative lamps, 3-way lamps, vibration service lamps, rough service
lamps, and shatter-resistant lamps. NEMA stated that the resulting
product shortages and empty store shelves would have a disproportionate
impact on smaller manufacturers and smaller retailers. (NEMA, No. 9 at
p. 5; GE Lighting, No. 14 at p. 2)
NEMA recommended that DOE align the timing of the definitions with
the implementation of new energy conservation standards; however, if
DOE moved ahead sooner with the implementation of the definitions, NEMA
requested a minimum effective date of 9 to 12 months to account for
global supply chain blockages. (NEMA, No. 9 at pp. 5-6) Westinghouse
requested clarity on whether products that are newly defined as GSLs
will be subject to the existing GSIL standard. (Westinghouse, Public
Meeting Transcript, No. 7 at pp. 19-21)
The CEC recommended keeping the 60-day effective date and stated
that any stranded lamps should be absorbed by the industry and that
allowing the sale of inefficient lamps would merely pass the costs of
these products from manufacturers to consumers through higher energy
bills and environmental harm. (CEC, No. 15 at pp. 1-2; CEC, No. 15 at
p. 4; CA IOUs, No. 17 at p. 2) NYSERDA stated that though the 60-day
effective date may seem brief, the expanded GSL definition was
initially proposed by DOE over 5 years ago and the market has matured
significantly since then. (NYSERDA, No. 12 at p. 2)
The CA IOUs stated that they support the proposed definitions for
GSLs and GSILs to become effective 60 days after adoption. The CA IOUs
stated that because DOE's existing GSIL standards only prohibit the
manufacture or import of non-compliant light bulbs, rather than the
sale, retailers may continue to sell non-compliant GSILs already in the
U.S. when the definitions become effective. Regarding products en route
that may become ineligible for importation, the CA IOUs stated that as
the GSL definitions NOPR was published on August 19, 2021, a 60-day
effective date is a reasonable gap between adoption and enactment of
the expanded GSL definition. The CA IOUs stated that risk-averse
planners would have anticipated the GSL backstop and definitions nine
months ago with the change of the administration, and thus wholesale
market disruption from a short 60-day timeframe should be avoidable.
Further, the CA IOUs stated that since January 2020 when California
implemented the revised GSL and GSIL definitions and a 45 lm/W minimum
energy standard a full range of compliant GSLs have been available in
California and there has been no market disruption. The CA IOUs stated
that the fact that consumers want to buy incandescent bulbs defines the
market
[[Page 27473]]
failure that the energy efficiency standards were designed to address.
The CA IOUs stated that DOE should take steps to minimize any market
disruption caused by the transition; however, regulation is necessary
to ensure a thorough and quick transition. (CA IOUs, No. 17 at pp. 2-3;
CA IOUs, Public Meeting Transcript, No. 7 at pp. 23-24, 32-33)
NEMA responded that the reason manufacturers are still sourcing and
supplying incandescent lamps is because customers are buying them.
(NEMA, Public Meeting Transcript, No. 7 at p. 28) GE Lighting stated
that the market transformation to LED technology has been happening
rapidly noting that since 2016-2017, when DOE began its review of GSLs,
a big chunk of the market has by itself converted to LED technology and
will continue to do so. (GE Lighting, Public Meeting Transcript, No. 7
at pp. 33-35) The Edison Electric Institute (``EEI'') stated that since
LED lamps for GSL shipments have increased from around 10 percent
several years ago to now 70 to 75 percent of the market, the industry
should not be characterized as a ``market failure.'' (EEI, Public
Meeting Transcript, No. 7 at pp. 36-37)
Furthermore, Westinghouse stated that manufacturers cannot choose
to stop producing products based off speculations for future
regulations, and instead need certainty from DOE through a final rule
followed by adequate time to adjust. (Westinghouse, Public Meeting
Transcript, No. 7 at pp. 24-25) GE Lighting added that manufacturers
must respond to demand and if they discontinue their incandescent
product line, another manufacturer would take that market space up. GE
Lighting stated that its product line can only be controlled when the
regulation goes final. (GE Lighting, Public Meeting Transcript, No. 8
at pp. 25-27)
A lamp covered as a GSL or GSIL under the amended definitions would
be subject to any energy conservation standard applicable to that lamp
as a GSL or GSIL beginning on the effective date of this final rule,
including the 45 lm/W GSL backstop requirement, if applicable. DOE
notes that of the lamps newly covered under the amended definitions
adopted in this final rule, only certain lamps will be subject to
existing standards, i.e., lamp types for which exemption from the GSIL
definition is discontinued. See 10 CFR 430.32(x)(1). Generally, the
energy conservation standards apply to covered products as
manufactured. (See 42 U.S.C. 6302 and 42 U.S.C. 6303) However, as noted
by the CA IOUs, the GSIL energy conservation standards at 10 CFR
430.32(x)(1) apply to GSILs manufactured on or after January 1, 2012,
January 1, 2013, and January 1, 2014, depending on the rated lumens of
the lamp. As such, in determining whether compliance is required by a
lamp newly covered by the amended GSIL definition, the compliance dates
in 10 CFR 430.32(x)(1) would be applicable. To determine the
appropriateness of a 60-day effective date, DOE examined its impact on
these new GSILs subject to GSIL standards.
Specifically, the following lamp types become GSILs under the GSIL
definition adopted in this final rule and subject to existing GSIL
standards: (1) T shape lamp that uses not more than 40 watts or has a
length of more than 10 inches; (2) B, BA, CA, F, G16-1/2, G-25, G30, S,
or M-14 lamp of 40 watts or less; (3) reflector lamp; (4) rough service
lamp; (5) shatter-resistant lamp; (6) 3-way lamp; and (7) vibration
service lamp. Per the GSIL definition established in this rule, these
lamp types must have a medium screw base; 310-2,600 lumens (232-1,950
lumens for modified spectrum); and operate within 110 and 130 V. DOE's
review of the market indicates that there are LED lamp substitutes
available for these lamp types. The incandescent version of rough
service and vibration service lamps use filaments strengthened with
additional supports. The incandescent version of shatter-resistant
lamps has a reinforced outer bulb to contain glass pieces in the event
the bulb breaks. LED lamps inherently provide the consumer with these
features because they do not have metal filaments and LED lamps are
available that do not use glass outer bulbs. DOE has also found that
there are product offerings of LED lamps that are medium screw base,
310-2,600 lumens, operate within 110 and 130 volts and are a (1) T
shape lamp of 749 lumens \11\ or less (equivalent of 40 watts or less)
or has a length of more than 10 inches (2) B, BA, CA, F, G16-1/2, G-25,
G30, S, or M-14 lamp of 749 lumens or less \12\ (equivalent of 40 watts
or less); (3) reflector lamp, or (4) 3-way lamp. Therefore, DOE finds
that there will be substitutes for lamps newly regulated as GSILs.
---------------------------------------------------------------------------
\11\ DOE determined that an incandescent lamp of 40 watts or
less produces a maximum lumen output of 749 lumens. The threshold of
749 lumens is based on DOE's GSIL energy conservation standards
which require lamps with 750--1049 lumens to have a maximum wattage
of 43 W (see 10 CFR 430.32(x)(1)).
\12\ Ibid.
---------------------------------------------------------------------------
As proposed in the August 2021 NOPR, DOE is establishing a 60-day
effective date for this rule in recognition of the need to act promptly
in connection with the statutory requirements. As indicated by
commenters, a substantial part of the lamp market has already
transitioned to LED technology. DOE does not find that the impact on
certain types of incandescent/halogen lamps will disrupt the market and
thereby substantively impact consumers, manufacturers, or retailers.
DOE acknowledges that manufacturers will have to comply with the
statutory backstop requirement for GSLs when effective. It is DOE's
intent that newly regulated GSILs will not be required to comply with
multiple standards in a short period of time. DOE intends to do this by
using its enforcement discretion in the period after this rule is
effective, but before the final rule implementing the backstop becomes
effective. Hence, DOE finds that an effective date of 60 days after the
publication of this final rule is appropriate.
2. GSL Backstop Effective Date
In addition to the expanded GSL definition, NYSERDA, the AGs, the
CEC, Joint Comment, and the CA IOUs recommended that DOE promptly
implement the 45 lm/W minimum requirement for GSLs. The CEC and CA IOUs
stated that the 45 lm/W backstop has been triggered and is not a
discretionary action; because DOE failed to meet its statutory
requirements as of January 1, 2017, DOE has been legally obligated to
enforce the backstop for GSLs since January 1, 2020. The CEC stated
that the 45 lm/W backstop should be applied immediately for the
existing GSL definitions and applied on the operative date of the final
rule for the proposed expanded GSL definitions. (CEC, No. 15 at p. 2)
NEMA recommended a two-step approach in enacting a 45 lm/W minimum
requirement: (1) Manufacture-by date of certain lamp types in effect
one year after final rule publication in the Federal Register, and (2)
sell-by date of same lamp types effective one year following
manufacture-by date. (NEMA, No. 9 at pp. 5-6) NEMA stated it is not
opposed to regulating different lamp groups in different years. NEMA
and GE Lighting suggested regulating A-line lamps first, followed by
reflector lamps, then decorative lamps, all separated by at least a
year to account for timing of manufacturer and retailer resets. NEMA
recommended that decorative lamp types follow A-lamps by a minimum of
two years, as the decorative lamp market is less transitioned to LEDs.
GE Lighting agreed, adding that the A-line market has the highest
percentage of LED socket penetration followed by
[[Page 27474]]
reflector lamps and then decorative lamps have the least. GE Lighting
also added that product capacity is higher for LED A-line lamps and
much lower for LED decorative lamps. NEMA added that exempted reflector
lamps (R20, R30 and R40) could also be regulated using the current IRL
regulations in a separate phased-in year. NEMA recommended an end date
for manufacture/import and a year-later date for sell through for any
regulation. NEMA stated that this approach would allow sell through to
clear out existing incandescent inventory, avoid stranded assets and
empty store shelves, and have a limited effect on energy saving due to
the short life of the lamps. (NEMA, No. 9 at pp. 9-10; GE Lighting, No.
14 at pp. 2-3)
The CA IOUs stated that DOE should issue the GSL backstop standard
without delay and consider phased-in effective dates for certain lamps
per the provision in EISA and as deemed necessary based on information
received from manufacturers and retailers. (CA IOUs, No. 17 at pp. 2-3)
The CA IOUs stated that the 45 lm/W efficacy standard is far below
typical LED performance and recommended that after implementing the
January 2017 Definitions, DOE undertake further rulemakings for GSILs
and GSLs as soon as possible. (CA IOUs, No. 17 at p. 3) NYSERDA stated
that its 2020 Stocking and Shelving Survey \13\ study found that most
retailers rely on manufacturers to provide compliant products and
manufacturers anticipate increases in standards but will not initiate
product changes without a high level of certainty that the requirements
will go into effect. (NYSERDA, No. 10 at pp. 4-5; AGs, No. 11 at p. 2)
---------------------------------------------------------------------------
\13\ Cadmus Group and Appliance Standards Awareness Project,
General Service Lamps: Stocking and Shelving Survey, December 2020.
https://www.nyserda.ny.gov/-/media/Files/Publications/Research/
Other-Technical-Reports/21-20-General-Service-Lamps_Stocking-and-
Shelving-Survey.pdf.
---------------------------------------------------------------------------
ASAP stated that DOE could consider implementing the standards in a
phased approach with standards going into effect for high-volume lamps
sooner than lamps that sell more slowly and need longer to clear
inventory. ASAP stated, however, while it's important that the standard
is implemented smoothly and without needless market disruption, the
standard is also two years delayed and is needed to protect the climate
and result in savings. (ASAP, Public Meeting Transcript, No. 7 at pp.
30-32) NASEO and ASAP stated Executive Order 13990, under which DOE
identified light bulb rules for review, directs DOE to complete work on
these and other reviews by December 31, 2021. NASEO and ASAP urged DOE
to finalize the GSL definitions and adopt the 45 lm/W backstop standard
no later than December 31, 2021. (NASEO, No. 8 at p. 2; ASAP, No. 19 at
pp. 2-3)
While this final rule does not propose any new or amended standards
or address the applicability of the 45 lm/W backstop requirement, on
December 13, 2021, DOE issued a notice of proposed rulemaking to codify
in the CFR the backstop requirement for GSLs. 86 FR 70755. As discussed
previously, a final rule codifying the backstop requirement is being
issued simultaneously with this rule. In that rule, DOE is addressing
application of the backstop requirement to lamps that become GSLs or
GSILs via this final rule and, consequently, the dates of required
compliance for GSLs and GSILs, so that manufacturers of newly regulated
GSILs will not have to comply with immediately sequential standards.
H. Analysis
DOE estimated the annualized national economic costs and benefits
associated with the expansion of the GSL definition and the proposed
implementation of the 45 lm/w backstop relative to a no-new standard
case. DOE first considered the product price and energy use of
commercially-available lamp options in the expanded GSL definition,
including those that would be prohibited under implementation of the 45
lm/W backstop and more efficacious GSLs that would continue to be
available. DOE then developed a shipments model to project lamp
shipments within the expanded GSL definition for the no-new-standards
case and for the 45 lm/W backstop case over a thirty-year period
between 2022-2051. Shipments were estimated using a consumer-choice
model sensitive to first cost, energy savings, lamp lifetime, and the
presence of mercury. The shipments analysis also considered the impact
of price learning on product price. Based on the shipments projections,
DOE calculated the national consumer economic impacts of the expanded
definition and 45 lm/W backstop, by comparing the total installed
product costs and operating costs in the 45 lm/W backstop case to the
no-new-standards case.
DOE also analyzed the reduction in several greenhouse gases and
other pollutants that would result from the expanded GSL definition and
the proposed 45 lm/W backstop using emissions intensity factors
intended to represent the marginal impacts of the change in electricity
consumption associated with amended or new standards.\14\ As part of
the development of this final rule, for the purpose of complying with
the requirements of Executive Order 12866, DOE also considered the
estimated monetary benefits from the reduced emissions of
CO2, CH4, N2O, NOX, and
SO2. DOE notes that it would have reached the same
conclusion presented in this document in the absence of the social cost
of greenhouse gases (``SC-GHG), including the February 2021 Interim
Estimates presented by the Interagency Working Group on the Social Cost
of Greenhouse Gases.
---------------------------------------------------------------------------
\14\ The methodology is described in ``Utility Sector Impacts of
Reduced Electricity Demand'' (Coughlin, 2014; Coughlin 2019).
---------------------------------------------------------------------------
On March 16, 2022, the Fifth Circuit Court of Appeals (No. 22-
30087) granted the federal government's emergency motion for stay
pending appeal of the February 11, 2022, preliminary injunction issued
in Louisiana v. Biden, No. 21-cv-1074-JDC-KK (W.D. La.). As a result of
the Fifth Circuit's order, the preliminary injunction is no longer in
effect, pending resolution of the federal government's appeal of that
injunction or a further court order. Among other things, the
preliminary injunction enjoined the defendants in that case from
``adopting, employing, treating as binding, or relying upon'' the
interim estimates of the social cost of greenhouse gases--which were
issued by the Interagency Working Group on the Social Cost of
Greenhouse Gases on February 26, 2021--to monetize the benefits of
reducing greenhouse gas emissions. In the absence of further
intervening court orders, DOE will revert to its approach prior to the
injunction and present monetized benefits where appropriate and
permissible under law.
For the purpose of complying with the requirements of Executive
Order 12866, DOE estimates the monetized benefits of the reductions in
emissions of CO2, CH4, and N2O by
using a measure of the social cost (``SC'') of each pollutant (e.g.,
SC-GHGs). These estimates represent the monetary value of the net harm
to society associated with a marginal increase in emissions of these
pollutants in a given year, or the benefit of avoiding that increase.
These estimates are intended to include (but are not limited to)
climate-change-related changes in net agricultural productivity, human
health, property damages from increased flood risk, disruption of
energy systems, risk of conflict, environmental migration, and the
value of ecosystem services. DOE exercises its own judgment in
[[Page 27475]]
presenting monetized climate benefits as recommended by applicable
Executive orders and guidance, and, as stated previously, DOE would
reach the same conclusion presented in this document in the absence of
the social cost of greenhouse gases, including the February 2021
Interim Estimates presented by the Interagency Working Group on the
Social Cost of Greenhouse Gases.
DOE estimated the global social benefits of CO2,
CH4, and N2O reductions (i.e., SC-GHGs) using the
estimates presented in the Technical Support Document: Social Cost of
Carbon, Methane, and Nitrous Oxide Interim Estimates under Executive
Order 13990 published in February 2021 by the Interagency Working Group
on the Social Cost of Greenhouse Gases (IWG) (IWG, 2021).\15\ The SC-
GHGs is the monetary value of the net harm to society associated with a
marginal increase in emissions in a given year, or the benefit of
avoiding that increase. In principle, SC-GHGs includes the value of all
climate change impacts, including (but not limited to) changes in net
agricultural productivity, human health effects, property damage from
increased flood risk and natural disasters, disruption of energy
systems, risk of conflict, environmental migration, and the value of
ecosystem services. The SC-GHGs therefore, reflects the societal value
of reducing emissions of the gas in question by one metric ton. The SC-
GHGs is the theoretically appropriate value to use in conducting
benefit-cost analyses of policies that affect CO2,
N2O and CH4 emissions. As a member of the IWG
involved in the development of the February 2021 SC-GHG TSD), the DOE
agrees that the interim SC-GHG estimates represent the most appropriate
estimate of the SC-GHG until revised estimates have been developed
reflecting the latest, peer-reviewed science.
---------------------------------------------------------------------------
\15\ See Interagency Working Group on Social Cost of Greenhouse
Gases, Technical Support Document: Social Cost of Carbon, Methane,
and Nitrous Oxide. Interim Estimates Under Executive Order 13990,
Washington, DC, February 2021. Available at: www.whitehouse.gov/wp-content/uploads/2021/02/TechnicalSupportDocument_SocialCostofCarbonMethaneNitrousOxide.pdf
(last accessed March 17, 2021).
---------------------------------------------------------------------------
The SC-GHGs estimates are presented in DOE's technical support
document (``TSD'') \16\ and were developed over many years, using
transparent process, peer-reviewed methodologies, the best science
available at the time of that process, and with input from the public.
Specifically, in 2009, an interagency working group (IWG) that included
the DOE and other executive branch agencies and offices was established
to ensure that agencies were using the best available science and to
promote consistency in the social cost of carbon (SC-CO2)
values used across agencies. The IWG published SC-CO2
estimates in 2010 that were developed from an ensemble of three widely
cited integrated assessment models (IAMs) that estimate global climate
damages using highly aggregated representations of climate processes
and the global economy combined into a single modeling framework. The
three IAMs were run using a common set of input assumptions in each
model for future population, economic, and CO2 emissions
growth, as well as equilibrium climate sensitivity (ECS)--a measure of
the globally averaged temperature response to increased atmospheric
CO2 concentrations. These estimates were updated in 2013
based on new versions of each IAM. In August 2016 the IWG published
estimates of the social cost of methane (SC-CH4) and nitrous
oxide (SC-N2O) using methodologies that are consistent with
the methodology underlying the SC-CO2 estimates. The
modeling approach that extends the IWG SC-CO2 methodology to
non-CO2 GHGs has undergone multiple stages of peer review.
The SC-CH4 and SC-N2O estimates were developed by
Marten et al. (2015) and underwent a standard double-blind peer review
process prior to journal publication. In 2015, as part of the response
to public comments received to a 2013 solicitation for comments on the
SC-CO2 estimates, the IWG announced a National Academies of
Sciences, Engineering, and Medicine review of the SC-CO2
estimates to offer advice on how to approach future updates to ensure
that the estimates continue to reflect the best available science and
methodologies. In January 2017, the National Academies released their
final report, Valuing Climate Damages: Updating Estimation of the
Social Cost of Carbon Dioxide, and recommended specific criteria for
future updates to the SC-CO2 estimates, a modeling framework
to satisfy the specified criteria, and both near-term updates and
longer-term research needs pertaining to various components of the
estimation process (National Academies, 2017). Shortly thereafter, in
March 2017, President Trump issued Executive Order 13783, which
disbanded the IWG, withdrew the previous TSDs, and directed agencies to
ensure SC-CO2 estimates used in regulatory analyses are
consistent with the guidance contained in OMB's Circular A-4,
``including with respect to the consideration of domestic versus
international impacts and the consideration of appropriate discount
rates'' (E.O. 13783, Section 5(c)).
---------------------------------------------------------------------------
\16\ www.regulations.gov/.
---------------------------------------------------------------------------
On January 20, 2021, President Biden issued Executive Order 13990,
which re-established the IWG and directed it to ensure that the U.S.
Government's estimates of the social cost of carbon and other
greenhouse gases reflect the best available science and the
recommendations of the National Academies (2017). The IWG was tasked
with first reviewing the SC-GHG estimates currently used in Federal
analyses and publishing interim estimates within 30 days of the E.O.
that reflect the full impact of GHG emissions, including by taking
global damages into account. The interim SC-GHG estimates published in
February 2021, specifically the SC-CH4 estimates, are used
here to estimate the climate benefits for this rulemaking. The E.O.
instructs the IWG to undertake a fuller update of the SC-GHG estimates
by January 2022 that takes into consideration the advice of the
National Academies (2017) and other recent scientific literature.
The February 2021 SC-GHG TSD provides a complete discussion of the
IWG's initial review conducted under E.O. 13990. In particular, the IWG
found that the SC-GHG estimates used under E.O. 13783 fail to reflect
the full impact of GHG emissions in multiple ways. First, the IWG found
that a global perspective is essential for SC-GHG estimates because it
fully captures climate impacts that affect the United States and which
have been omitted from prior U.S.-specific estimates due to
methodological constraints. Examples of omitted effects include direct
effects on U.S. citizens, assets, and investments located abroad,
supply chains, and tourism, and spillover pathways such as economic and
political destabilization and global migration. In addition, assessing
the benefits of U.S. GHG mitigation activities requires consideration
of how those actions may affect mitigation activities by other
countries, as those international mitigation actions will provide a
benefit to U.S. citizens and residents by mitigating climate impacts
that affect U.S. citizens and residents. If the United States does not
consider impacts on other countries, it is difficult to convince other
countries to consider the impacts of their emissions on the United
States. As a member of the IWG involved in the development of the
February 2021 SC-GHG TSD, DOE agrees with this assessment and,
therefore, in this final rule DOE centers
[[Page 27476]]
attention on a global measure of SC-GHG. This approach is the same as
that taken in DOE regulatory analyses from 2012 through 2016. Prior to
that, in 2008 DOE presented Social Cost of Carbon (SCC) estimates based
on values the Intergovernmental Panel on Climate Change (IPCC)
identified in literature at that time. As noted in the February 2021
SC-GHG TSD, the IWG will continue to review developments in the
literature, including more robust methodologies for estimating a U.S.-
specific SC-GHG value, and explore ways to better inform the public of
the full range of carbon impacts. As a member of the IWG, DOE will
continue to follow developments in the literature pertaining to this
issue.
While the IWG works to assess how best to incorporate the latest,
peer reviewed science to develop an updated set of SC-GHG estimates, it
set the interim estimates to be the most recent estimates developed by
the IWG prior to the group being disbanded in 2017. The estimates rely
on the same models and harmonized inputs and are calculated using a
range of discount rates. As explained in the February 2021 SC-GHG TSD,
the IWG has recommended that agencies revert to the same set of four
values drawn from the SC-GHG distributions based on three discount
rates as were used in regulatory analyses between 2010 and 2016 and
subject to public comment. For each discount rate, the IWG combined the
distributions across models and socioeconomic emissions scenarios
(applying equal weight to each) and then selected a set of four values
recommended for use in benefit-cost analyses: An average value
resulting from the model runs for each of three discount rates (2.5
percent, 3 percent, and 5 percent), plus a fourth value, selected as
the 95th percentile of estimates based on a 3 percent discount rate.
The fourth value was included to provide information on potentially
higher-than-expected economic impacts from climate change. As explained
in the February 2021 SC-GHG TSD, and DOE agrees, this update reflects
the immediate need to have an operational SC-GHG for use in regulatory
benefit-cost analyses and other applications that was developed using a
transparent process, peer-reviewed methodologies, and the science
available at the time of that process. Those estimates were subject to
public comment in the context of dozens of proposed rulemakings as well
as in a dedicated public comment period in 2013.
The SC-CO2 values used for this final rule were
generated using the values presented in the 2021 update from the IWG's
February 2021 TSD. The SC-CO2 estimates from the latest
interagency update are presented in DOE's TSD. For purposes of
capturing the uncertainties involved in regulatory impact analysis, DOE
has determined it is appropriate to include all four sets of SC-
CO2 values, as recommended by the IWG.\17\ DOE multiplied
the CO2 emissions reduction estimated for each year by the
SC-CO2 value for that year in each of the four cases. To
calculate a present value of the stream of monetary values, DOE
discounted the values in each of the four cases using the specific
discount rate that had been used to obtain the SC-CO2 values
in each case.
---------------------------------------------------------------------------
\17\ For example, the February 2021 TSD discusses how the
understanding of discounting approaches suggests that discount rates
appropriate for intergenerational analysis in the context of climate
change may be lower than 3 percent.
---------------------------------------------------------------------------
The SC-CH4 and SC-N2O values used for this
final rule were generated using the values presented in the 2021 update
from the IWG.\18\ The SC-CH4 and SC-N2O estimates
from the latest interagency update are presented in DOE's TSD. To
capture the uncertainties involved in regulatory impact analysis, DOE
has determined it is appropriate to include all four sets of SC-
CH4 and SC-N2O values, as recommended by the IWG.
DOE multiplied the CH4 and N2O emissions
reduction estimated for each year by the SC-CH4 and SC-
N2O estimates for that year in each of the cases. To
calculate a present value of the stream of monetary values, DOE
discounted the values in each of the cases using the specific discount
rate that had been used to obtain the SC-CH4 and SC-
N2O estimates in each case.
---------------------------------------------------------------------------
\18\ See Interagency Working Group on Social Cost of Greenhouse
Gases, Technical Support Document: Social Cost of Carbon, Methane,
and Nitrous Oxide. Interim Estimates Under Executive Order 13990,
Washington, DC, February 2021. Available at: www.whitehouse.gov/wp-content/uploads/2021/02/TechnicalSupportDocument_SocialCostofCarbonMethaneNitrousOxide.pdf
(last accessed March 17, 2021).
---------------------------------------------------------------------------
The estimated monetary health benefits from the reduced emissions
of SO2 and NOX emissions was estimated based on
the latest benefit per ton estimates for the relevant sector from the
EPA's Benefits Mapping and Analysis Program.\19\
---------------------------------------------------------------------------
\19\ Estimating the Benefit per Ton of Reducing PM2.5
Precursors from 21 Sectors. www.epa.gov/system/files/documents/2021-10/source-apportionment-tsd-oct-2021_0.pdf.
---------------------------------------------------------------------------
DOE converted the time-series of costs and benefits into annualized
values based on the present value in 2021, as shown in Table IV.1. DOE
calculated the present value using discount rates of 3 and 7 percent
for consumer costs, benefits, and health benefits from the reduction of
SO2 and NOX emissions and case-specific discount
rates for the value of the other greenhouse gas (``GHG'')
(CO2, N2O, and CH4) reduction
benefits. For presentational purposes, the climate benefits associated
with the average SC-GHG at a 3 percent discount rate are shown in Table
IV.1 in the following section, but the Department does not have a
single central SC-GHG point estimate, and it emphasizes the importance
and value of considering the benefits calculated using all four SC-GHG
estimates.
IV. Procedural Issues and Regulatory Review
A. Review Under Executive Orders 12866 and 13563
This final rule constitutes a ``significant regulatory action''
under section 3(f) of Executive Order 12866, Regulatory Planning and
Review, 58 FR 51735 (Oct. 4, 1993). Accordingly, this action was
subject to review by the Office of Information and Regulatory Affairs
(``OIRA'') in the Office of Management and Budget (``OMB'').
In addition, the Administrator of OIRA has determined that the
regulatory action is an ``economically significant'' regulatory action
under section (3)(f)(1) of Executive Order 12866. Accordingly, pursuant
to section 6(a)(3)(C) of the Order, DOE has provided to OIRA an
assessment, including the underlying analysis, of benefits and costs
anticipated from the regulatory action, together with, to the extent
feasible, a quantification of those costs. This assessment can be found
in DOE's technical support document (``TSD'') and the methodology is
summarized in III.H.\20\
---------------------------------------------------------------------------
\20\ www.regulations.gov/.
[[Page 27477]]
Table IV.1--Annualized Monetized Costs, Benefits, and Net Benefits
----------------------------------------------------------------------------------------------------------------
Million 2020$/year
-------------------------------------------------------
Primary Low-net-benefits High-net-benefits
estimate estimate estimate
----------------------------------------------------------------------------------------------------------------
3% discount rate
----------------------------------------------------------------------------------------------------------------
Consumer Operating Cost Savings......................... 2,302.0 2,171.2 2,437.6
Climate Benefits *...................................... 457.5 442.6 468.6
Health Benefits **...................................... 847.1 819.9 867.4
-------------------------------------------------------
Total Benefits [dagger]............................. 3,606.7 3,433.6 3,773.5
Consumer Incremental Product Costs [Dagger]......... 181.7 186.0 175.5
-------------------------------------------------------
Net Benefits.................................... 3,424.9 3,247.7 3,598.0
----------------------------------------------------------------------------------------------------------------
7% discount rate
----------------------------------------------------------------------------------------------------------------
Consumer Operating Cost Savings......................... 2,177.3 2,072.5 2,287.0
Climate Benefits *...................................... 457.5 442.6 468.6
Health Benefits **...................................... 721.1 700.6 736.2
-------------------------------------------------------
Total Benefits [dagger]............................. 3,355.9 3,215.8 3,491.8
Consumer Incremental Product Costs [Dagger]......... 205.8 210.2 199.5
-------------------------------------------------------
Net Benefits.................................... 3,150.1 3,005.6 3,292.2
----------------------------------------------------------------------------------------------------------------
Note: This table presents the costs and benefits associated with GSLs in the expanded definition shipped in 2022-
2051. These results include benefits to consumers which accrue after 2051 from the products shipped in 2022-
2051. This analysis presents costs and benefits assuming compliance beginning in 2022. As DOE has explained,
DOE will release enforcement guidance simultaneously with this rulemaking. If significant compliance behavior
changes result from enforcement discretion, both benefits and costs could be reduced for the relevant years,
although DOE expects the net benefits will not be significantly changed.
* Climate benefits are calculated using four different estimates of the social cost of carbon (SC-CO2), methane
(SC-CH4), and nitrous oxide (SC-N2O) (model average at 2.5 percent, 3 percent, and 5 percent discount rates;
95th percentile at 3 percent discount rate). Together these represent the global social cost of greenhouse
gases (SC-GHG). For presentational purposes of this table, the climate benefits associated with the average SC-
GHG at a 3 percent discount rate are shown, but the Department does not have a single central SC-GHG point
estimate, and it emphasizes the importance and value of considering the benefits calculated using all four SC-
GHG estimates.
** Health benefits are calculated using benefit-per-ton values for NOX and SO2. DOE is currently only monetizing
(for SO2 and NOX) PM2.5 precursor health benefits and (for NOX) ozone precursor health benefits, but will
continue to assess the ability to monetize other effects such as health benefits from reductions in direct
PM2.5 emissions. The health benefits are presented at real discount rates of 3 and 7 percent.
[dagger] Total and net benefits include consumer, climate, and health benefits. For presentation purposes, total
and net benefits for both the 3-percent and 7-percent cases are presented using the average SC-GHG with 3-
percent discount rate, but the Department does not have a single central SC-GHG point estimate. DOE emphasizes
the importance and value of considering the benefits calculated using all four SC-GHG estimates. On March 16,
2022, the Fifth Circuit Court of Appeals (No. 22-30087) granted the federal government's emergency motion for
stay pending appeal of the February 11, 2022, preliminary injunction issued in Louisiana v. Biden, No. 21-cv-
1074-JDC-KK (W.D. La.). As a result of the Fifth Circuit's order, the preliminary injunction is no longer in
effect, pending resolution of the federal government's appeal of that injunction or a further court order.
Among other things, the preliminary injunction enjoined the defendants in that case from ``adopting,
employing, treating as binding, or relying upon'' the interim estimates of the social cost of greenhouse
gases--which were issued by the Interagency Working Group on the Social Cost of Greenhouse Gases on February
26, 2021--to monetize the benefits of reducing greenhouse gas emissions. In the absence of further intervening
court orders, DOE will revert to its approach prior to the injunction and present monetized benefits where
appropriate and permissible under law.
[Dagger] Costs include incremental equipment costs as well as installation costs.
DOE has also reviewed this regulation pursuant to E.O. 13563,
issued on January 18, 2011. 76 FR 3281 (Jan. 21, 2011). E.O. 13563 is
supplemental to and explicitly reaffirms the principles, structures,
and definitions governing regulatory review established in E.O. 12866.
B. Review Under the Regulatory Flexibility Act
The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires
preparation of an initial regulatory flexibility analysis (``IRFA'')
and a final regulatory flexibility analysis (``FRFA'') for any rule
that by law must be proposed for public comment, unless the agency
certifies that the rule, if promulgated, will not have a significant
economic impact on a substantial number of small entities. As required
by 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
(www.energy.gov/gc/office-general-counsel).
For manufacturers of GSLs, the SBA has set a size threshold, which
defines those entities classified as ``small businesses'' for the
purposes of the statute. DOE used the SBA's small business size
standards to determine whether any small entities would be subject to
the requirements of the rule. See 13 CFR part 121. The size standards
are listed by NAICS code and industry description and are available at
www.sba.gov/document/report--table-size-standards-naics-codes.
Manufacturing of GSLs is classified under NAICS 335110, ``Electric Lamp
Bulb and Part Manufacturing.'' The SBA sets a threshold of 1,250
employees or less for an entity to be considered as a small business
for this category.
To estimate the number of companies that could be small businesses
that manufacture GSLs impacted by this rulemaking, DOE conducted a
survey using information from DOE's Compliance Certification Database
and previous rulemakings. DOE used information from these sources to
create a list of companies that potentially manufacture or sell GSLs
and would be
[[Page 27478]]
impacted by this rulemaking. DOE screened out companies that do not
offer products covered by this rulemaking and do not meet the
definition of a ``small business.'' DOE determined that 8 companies are
small businesses that manufacture GSLs impacted by this final rule.
DOE reviewed the definitions of GSL, GSIL, and related terms
adopted in this final rule under the provisions of the Regulatory
Flexibility Act and the procedures and policies published on February
19, 2003. DOE certifies that this final rule would not have a
significant economic impact on a substantial number of small entities.
DOE notes that this final 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). Hence
DOE's lamp test procedures--those that are labeled as test procedures
for GSLs, as well as those that are not--as a whole, cover all of the
lamps that constitute GSLs in this final rule.
For this reason, DOE concludes and certifies that the definitions
adopted in this final rule would not have a significant economic impact
on a substantial number of small entities, and the preparation of a
FRFA is not warranted.
C. Review Under the Paperwork Reduction Act
Manufacturers of GSLs and GSILs 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, including GSLs and GSILs.
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
Pursuant to the National Environmental Policy Act (NEPA) of 1969,
DOE has analyzed this proposed action in accordance with NEPA and DOE's
NEPA implementing regulations (10 CFR part 1021). DOE has determined
that this rule qualifies for categorical exclusion under 10 CFR part
1021, subpart D, appendix A5 because it is an interpretive rulemaking
that does not change the environmental effect of the rule and meets the
requirements for application of a CX. See 10 CFR 1021.410. Therefore,
DOE has determined that promulgation of this rule is not a major
Federal action significantly affecting the quality of the human
environment within the meaning of NEPA, and does not require an EA or
EIS.
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 rule and has determined
that it would not have a substantial direct effect on the States, on
the relationship between the national government and the States, or on
the distribution of power and responsibilities among the various levels
of government. EPCA governs and prescribes Federal preemption of State
regulations as to energy conservation for the products that are the
subject of this final rule. States can petition DOE for exemption from
such preemption to the extent, and based on criteria, set forth in
EPCA. (42 U.S.C. 6297) Therefore, no further action is required by
Executive Order 13132.
F. Review Under Executive Order 12988
With respect to the review of existing regulations and the
promulgation of new regulations, section 3(a) of 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 the review required by section 3(a),
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 E.O. 12988 requires executive
agencies to review regulations in light of applicable standards in
section 3(a) and section 3(b) to determine whether they are met or it
is unreasonable to meet one or more of them. DOE has completed the
required review and determined that, to the extent permitted by law,
this final rule meets the relevant standards of E.O. 12988.
G. Review Under the Unfunded Mandates Reform Act of 1995
Title II of the Unfunded Mandates Reform Act of 1995 (``UMRA'')
requires each Federal agency to assess the effects of Federal
regulatory actions on State, local, and Tribal governments and the
private sector. Public Law 104-4, sec. 201 (codified at 2 U.S.C. 1531).
For a regulatory action likely to result in a rule that 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
[[Page 27479]]
estimates the resulting costs, benefits, and other effects on the
national economy. (2 U.S.C. 1532(a), (b)) Before promulgating a rule,
for which a written statement is needed, Section 205 of UMRA generally
requires a Federal agency to identify and consider a reasonable number
of regulatory alternatives and adopt the least costly, most cost
effective, or least burdensome alternative that achieves the objectives
of the rule. Section 205 allows an agency to adopt an alternative that
is not the least costly, most cost effective, or least burdensome
alternative if the agency provides an explanation in the final rule of
why such an alternative was adopted.
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 ``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 www.energy.gov/sites/prod/files/gcprod/documents/umra_97.pdf.
This final rule does not require expenditures of $100 million or
more in any one year by the private sector. The final rule is likely to
result in expenditures of $100 million or more, but there is no
requirement that mandates that result. DOE considered and evaluated
regulatory alternatives before arriving at the definitions finalized
today. These include selecting an effective date for the rule that
gives manufacturers more time to find the necessary resources to
comply. DOE uses a delayed effective date in this rule to minimize cost
and burden to manufacturers of lamp types newly covered under the rule.
DOE believes that today's final rule represents the least costly, most
effective approach to achieving EPCA's goals of increasing the energy
efficiency of covered products through the establishment and amendment
of energy conservation standards and promoting conservation measures
when feasible. The cost-benefit analysis required by UMRA is discussed
in section III.H of this document and the TSD accompanying this rule.
H. Review Under the Treasury and General Government Appropriations Act,
1999
Section 654 of the Treasury and General Government Appropriations
Act, 1999 (Pub. L. 105-277) requires Federal agencies to issue a Family
Policymaking Assessment for any rule that may affect family well-being.
This rule would not have any impact on the autonomy or integrity of the
family as an institution. Accordingly, DOE has concluded that it is not
necessary to prepare a Family Policymaking Assessment.
I. Review Under Executive Order 12630
Pursuant to E.O. 12630, ``Governmental Actions and Interference
with Constitutionally Protected Property Rights,'' 53 FR 8859 (March
18, 1988), DOE has determined that this rule would not result in any
takings that might require compensation under the Fifth Amendment to
the U.S. Constitution.
J. Review Under the Treasury and General Government Appropriations Act,
2001
Section 515 of the Treasury and General Government Appropriations
Act, 2001 (44 U.S.C. 3516, note) provides for Federal agencies to
review most disseminations of information to the public under
information quality guidelines established by each agency pursuant to
general guidelines issued by OMB. OMB's guidelines were published at 67
FR 8452 (Feb. 22, 2002), and DOE's guidelines were published at 67 FR
62446 (Oct. 7, 2002). 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 final rule under the OMB and DOE guidelines and has
concluded that it is consistent with applicable policies in those
guidelines.
K. Review Under Executive Order 13211
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 significant energy action. A
``significant energy action'' is defined as any action by an agency
that promulgates or is expected to lead to promulgation of a final
rule, and that (1) is a significant regulatory action under Executive
Order 12866, or any successor order; and (2) is likely to have a
significant adverse effect on the supply, distribution, or use of
energy, or (3) is designated by the Administrator of OIRA as a
significant energy action. For any significant energy action, the
agency must give a detailed statement of any adverse effects on energy
supply, distribution, or use should the proposal be implemented, and of
reasonable alternatives to the action and their expected benefits on
energy supply, distribution, and use.
DOE has concluded that this regulatory action, which amends
definitions for GSL and GSIL, is not a significant energy action
because the amendments are not likely to have a significant adverse
effect on the supply, distribution, or use of energy, nor has it been
designated as such by the Administrator at OIRA. Accordingly, DOE has
not prepared a Statement of Energy Effects on this final 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 final rule authorizes or requires use of commercial standards,
the final rule 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 final rule to amend the definitions of GSL and
GSIL does not adopt the use of any new commercial standards.
M. Description of Materials Incorporated by Reference
The modifications to the definition of ``general service lamp,''
``general service incandescent 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--
[[Page 27480]]
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.
N. Congressional Notification
As required by 5 U.S.C. 801, DOE will report to Congress on the
promulgation of this rule prior to its effective date. The report will
state that it has been determined that the rule is a ``major rule'' as
defined by 5 U.S.C. 804(2).
V. Approval of the Office of the Secretary
The Secretary of Energy has approved publication of this final
rule.
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, Reporting and
recordkeeping requirements, Small businesses.
Signing Authority
This document of the Department of Energy was signed on April 26,
2022, by Kelly J. Speakes-Backman, Principal Deputy 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 April 28, 2022.
Treena V. Garrett,
Federal Register Liaison Officer, U.S. Department of Energy.
For the reasons set forth in the preamble, DOE amends part 430 of
chapter II 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,'' and ``Colored lamp,'';
0
b. Revising the definitions of ``Designed and marketed,'' and ``General
service incandescent lamp,'';
0
c. Adding in alphabetical order the definitions of ``General service
light-emitting diode (LED) lamp'' and ``General service organic light-
emitting diode (OLED) lamp'';
0
d. Revising the definition of ``General service lamp''; and
0
e. Adding in alphabetical order the definitions of ``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''.
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 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
[[Page 27481]]
at a voltage of 12 volts or 24 volts, at or between 100 to 130 volts,
at or between 220 to 240 volts, or of 277 volts for integrated lamps
(as defined in this section), or is able to operate at any voltage for
non-integrated lamps (as defined in this section); has an initial lumen
output of greater than or equal to 310 lumens (or 232 lumens for
modified spectrum general service incandescent lamps) and less than or
equal to 3,300 lumens; is not a light fixture; is not an LED downlight
retrofit kit; and is used in general lighting applications. General
service lamps include, but are not limited to, general service
incandescent lamps, compact fluorescent lamps, general service light-
emitting diode lamps, and general service organic light emitting diode
lamps. General service lamps do not include:
(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 non-integrated 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
lamp-holder (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 C78.20-2003 (incorporated by
reference; see Sec. 430.3) and ANSI C79.1-2002 (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
C78.20-2003 (incorporated by reference; see Sec. 430.3) and ANSI
C79.1-2002 (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
[[Page 27482]]
permit exposed outdoor use on high-speed 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 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. 2022-09480 Filed 5-6-22; 8:45 am]
BILLING CODE 6450-01-P