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(diameter less than or equal to 1 inch) Marine lamp means a lamp that is marketed as a sign service lamp, and has as defined in ANSI C79.1–2002 designed and marketed for use on boats a maximum rated wattage of 15 watts. (incorporated by reference; see § 430.3), and can operate at or between 12 volts Silver bowl lamp means a lamp that nominal overall length less than 12 and 13.5 volts. has an opaque reflective coating applied inches, and that are not compact Marine signal service lamp means a directly to part of the bulb surface that fluorescent lamps (as defined in this lamp that is designed and marketed for reflects light toward the lamp base and section); marine signal service applications. that is designed and marketed as a silver (26) Traffic signal lamps; * * * * * bowl lamp. (27) Incandescent reflector lamps. Mine service lamp means a lamp that * * * * * General service light-emitting diode is designed and marketed for mine Specialty MR lamp means a lamp that (LED) lamp means an integrated or non- service applications. has an MR shape as defined in ANSI integrated LED lamp designed for use in * * * * * C79.1–2002 (incorporated by reference; general lighting applications (as defined Non-integrated lamp means a lamp see § 430.3), a diameter of less than or in this section) and that uses light- that is not an integrated lamp. equal to 2.25 inches, a lifetime of less emitting diodes as the primary source of * * * * * than or equal to 300 hours, and that is light. Other fluorescent lamp means low designed and marketed for a specialty General service organic light-emitting pressure mercury electric-discharge application. diode (OLED) lamp means an integrated sources in which a fluorescing coating * * * * * or non-integrated OLED lamp designed transforms some of the ultraviolet Traffic signal lamp means a lamp that for use in general lighting applications energy generated by the mercury is designed and marketed for traffic (as defined in this section) and that uses discharge into light and include circline signal applications and has a lifetime of organic light-emitting diodes as the lamps and include double-ended lamps 8,000 hours or greater. primary source of light. with the following characteristics: * * * * * * * * * * Lengths from one to eight feet; designed [FR Doc. 2016–32013 Filed 1–18–17; 8:45 am] Infrared lamp means a lamp that is for cold temperature applications; designed and marketed as an infrared designed for use in reprographic BILLING CODE 6450–01–P lamp; has its highest radiant power equipment; designed to produce peaks in the infrared region of the radiation in the ultra-violet region of the DEPARTMENT OF ENERGY electromagnetic spectrum (770 nm to 1 spectrum; impact-resistant; reflectorized mm); has a rated wattage of 125 watts or aperture; or a CRI of 87 or greater. 10 CFR Part 430 or greater; and which has a primary * * * * * purpose of providing heat. [Docket Number EERE–2013–BT–STD– Pin base lamp means a lamp that uses 0051] * * * * * a base type designated as a single pin Integrated lamp means a lamp that base or multiple pin base system. RIN 1904–AD09 contains all components necessary for * * * * * Energy Conservation Program: Energy the starting and stable operation of the Plant light lamp means a lamp that is Conservation Standards for General lamp, does not include any replaceable designed to promote plant growth by Service Lamps or interchangeable parts, and is emitting its highest radiant power peaks connected directly to a branch circuit in the regions of the electromagnetic AGENCY: Office of Energy Efficiency and through an ANSI base and spectrum that promote photosynthesis: Renewable Energy, Department of corresponding ANSI standard lamp- Blue (440 nm to 490 nm) and/or red Energy. holder (socket). (620 to 740 nm), and is designed and ACTION: Final rule. * * * * * marketed for plant growing LED Downlight Retrofit Kit means a applications. SUMMARY: On March 17, 2016, the U.S. product designed and marketed to * * * * * Department of Energy (DOE) published install into an existing downlight, Reflector lamp means a lamp that has a notice of proposed rulemaking (NOPR) replacing the existing light source and an R, PAR, BPAR, BR, ER, MR, or proposing standards for general service related electrical components, typically similar bulb shape as defined in ANSI lamps (GSLs) pursuant to the Energy employing an ANSI standard lamp base, C78.20–2003 (incorporated by reference; Policy and Conservation Act of 1975 either integrated or connected to the see § 430.3) and ANSI C79.1–2002 (EPCA), as amended. In this final rule downlight retrofit by wire leads, and is (incorporated by reference; see § 430.3) DOE responds to comments received on a retrofit kit. LED downlight retrofit kit and is used to provide directional light. the October 2016 NOPDDA regarding does not include integrated lamps or * * * * * IRLs and amends the definition of GSL. non-integrated lamps. Showcase lamp means a lamp that has DATES: The effective date of this rule is Left-hand thread lamp means a lamp a T shape as specified in ANSI C78.20– January 1, 2020. with direction of threads on the lamp 2003 (incorporated by reference; see ADDRESSES: The docket, which includes base oriented in the left-hand direction. § 430.3) and ANSI C79.1–2002 Federal Register notices, public meeting * * * * * (incorporated by reference; see § 430.3), attendee lists and transcripts, Light fixture means a complete is designed and marketed as a showcase comments, and other supporting lighting unit consisting of light source(s) lamp, and has a maximum rated wattage documents/materials, is available for and ballast(s) or driver(s) (when of 75 watts. review at www.regulations.gov. All applicable) together with the parts * * * * * documents in the docket are listed in designed to distribute the light, to Sign service lamp means a vacuum the www.regulations.gov index. position and protect the light source, type or gas-filled lamp that has However, some documents listed in the and to connect the light source(s) to the sufficiently low bulb temperature to index may not be publicly available, power supply. permit exposed outdoor use on high- such as those containing information * * * * * speed flashing circuits, is designed and that is exempt from public disclosure.

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A link to the docket Web page can be including general service lamps written comments that reiterated these found at: https://www1.eere.energy.gov/ (GSLs)—the products that are the focus concerns, and also provided additional buildings/appliance_standards/ of this final rule. data for DOE’s consideration. standards.aspx?productid=4. This Web In particular, amendments to EPCA in Specifically, the National Electrical page contains a link to the docket for the Energy Independence and Security Manufacturers Association (NEMA) this document on the Act of 2007 (EISA 2007) directed DOE provided new data and information on www.regulations.gov site. The to engage in rulemakings regarding the 22 exempted lamp types to inform www.regulations.gov Web page contains GSLs. (42 U.S.C. 6295(i)(6)(A)–(B)) DOE’s evaluation of whether the simple instructions on how to access all EPCA, as amended by EISA 2007, exemptions should be maintained or documents, including public comments, directs DOE to initiate a rulemaking no discontinued as required by 42 U.S.C. in the docket. later than January 1, 2014, to determine 6295(i)(6)(A)(i)(II). FOR FURTHER INFORMATION CONTACT: Ms. whether standards in effect for GSLs After the publication of the March Lucy deButts, U.S. Department of should be amended and determine 2016 GSL ECS NOPR, DOE analyzed the Energy, Office of Energy Efficiency and whether exemptions for certain data submitted by NEMA and collected Renewable Energy, Building incandescent lamps should be additional data where available. DOE Technologies Office, EE–2J, 1000 maintained or discontinued. (42 U.S.C. published a notice of proposed Independence Avenue SW., 6295(i)(6)(A)(i)) The scope of the definition and data availability Washington, DC 20585–0121. rulemaking is not limited to (hereafter the ‘‘October 2016 NOPDDA’’) Telephone: (202) 287–1604. Email: incandescent lamp technologies. (42 to: (1) Propose a revised definition of GSL that included, among other lamp ApplianceStandardsQuestions@ U.S.C. 6295(i)(6)(A)(ii)) Further, for this types, IRLs; (2) announce the ee.doe.gov. first cycle of rulemaking, the EISA 2007 amendments provide that DOE must availability of the NEMA data and SUPPLEMENTARY INFORMATION: consider a minimum standard of 45 supplemental data collected by DOE; (3) Table of Contents lumens per watt (lm/W). (42 U.S.C. request public comment on proposed 6295(i)(6)(A)(ii)) If DOE fails to definitions and compiled data; and (4) I. Introduction complete a rulemaking in accordance request any additional data that II. Authority and Rulemaking Process stakeholders may have in support of this III. Definition of General Service Lamp with 42 U.S.C. 6295(i)(6)(A)(i)–(iv) or a final rule from the first rulemaking cycle evaluation. 81 FR 71794 (October 18, 1. Incandescent Reflector Lamps 2016). DOE also held a public meeting 2. Summary and Regulatory Text does not produce savings greater than or Definition equal to the savings from a minimum on October 21, 2016 to hear oral IV. Effective Date efficacy standard of 45 lm/W, the statute comments and solicit information V. Procedural Issues and Regulatory Review provides a ‘‘backstop’’ under which relevant to the October 2016 NOPDDA. A. Review Under Executive Orders 12866 DOE must prohibit sales of GSLs that do In a separate final rule being and 13563 not meet a minimum 45 lm/W standard published in the same issue of the B. Review Under the Regulatory Flexibility beginning on January 1, 2020. (42 U.S.C. Federal Register, DOE has adopted a Act 6295(i)(6)(A)(v)) definition of GSL that reflects its C. Review Under the Paperwork Reduction discontinuation of certain exemptions Act In March 2016, DOE published a notice of proposed rulemaking (NOPR) and its maintaining of others, and its D. Review Under the National interpretation and application of certain Environmental Policy Act of 1969 that proposed a revised definition of clauses of the statutory definition of E. Review Under Executive Order 13132 GSL and energy conservation standards F. Review Under Executive Order 12988 for certain GSLs (hereafter the ‘‘March GSL (hereafter the ‘‘GSL definition final G. Review Under the Unfunded Mandates 2016 GSL ECS NOPR’’). 81 FR 14528 rule’’). In that rule, DOE postponed its Reform Act of 1995 (March 17, 2016). In conjunction with decision on the IRL exemption, which it H. Review Under the Treasury and General the March 2016 GSL ECS NOPR, DOE had previously proposed to discontinue. Government Appropriations Act, 1999 also published on its Web site the Accordingly, that rule perpetuated the I. Review Under Executive Order 12630 IRL exemption in DOE’s regulatory J. Review Under the Treasury and General complete technical support document (TSD) for the proposed rule, which definition. In this final rule, DOE Government Appropriations Act, 2001 determines to discontinue the IRL K. Review Under Executive Order 13211 described the analyses DOE conducted exemption, and it is amending its L. Review Under Section 32 of the Federal and included technical documentation Energy Administration Act of 1974 for each analysis. The TSD also definition of GSL accordingly. The following sections of this final M. Congressional Notification included the life cycle cost (LCC) rule respond to comments received on VI. Approval of the Office of the Secretary spreadsheet, the national impact the October 2016 NOPDDA and during analysis spreadsheet, and the I. Introduction the NOPDDA public meeting regarding manufacturer impact analysis (MIA) IRLs in more detail. Title III, Part B of the Energy Policy spreadsheet.2 and Conservation Act of 1975 (EPCA or DOE held a public meeting on April II. Authority and Rulemaking Process the Act), Public Law 94–163 (42 U.S.C. 20, 2016, to hear oral comments on and 6291–6309, as codified) established the DOE is required under the EISA 2007 solicit information relevant to the amendments to EPCA to undertake the Energy Conservation Program for proposed rule. At this meeting, DOE Consumer Products Other Than present rulemaking. Under EPCA, DOE heard concerns from stakeholders shall initiate a rulemaking to determine Automobiles, a program covering most regarding the expansion of scope in the major household appliances whether standards in effect for GSLs proposed GSL definition and DOE’s should be amended to establish more (collectively referred to as ‘‘covered approach to analyzing the 22 GSIL 1 stringent standards; and determine products’’). Subsequent amendments exemptions. In addition, DOE received expanded Title III of EPCA to include whether exemptions for certain incandescent lamps should be additional consumer products, 2 The spreadsheets developed for this rulemaking proceeding are available at: https:// maintained or discontinued. (42 U.S.C. 1 Part B was re-designated Part A on codification www1.eere.energy.gov/buildings/appliance_ 6295(i)(6)(A)(i)) In addition to that in the U.S. Code for editorial reasons. standards/standards.aspx?productid=4. mandate, DOE has the authority to

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qualify lamps as general service lamps conservation by imposing efficiency Besides the 22 lamp types listed in upon determining that they are ‘‘used to standards for general lighting. section 6291(30)(D)(ii), which the GSL satisfy lighting applications While the statute does not expressly definition final rule addressed, DOE is traditionally served by general service state a criterion by which DOE should also interpreting ‘‘the exemptions’’ in incandescent lamps.’’ (42 U.S.C. decide which exemptions to maintain— section 6291(i)(6)(A)(i)(II) to include the 6291(30)(BB)(i)(IV)) it simply identifies one important exemption in section 6291(30)(BB)(ii) An additional statute relevant to this evidentiary input, sales data—DOE for incandescent reflector lamps. Clause rulemaking is section 312 of the understands its instruction to be that (i)(II) refers to ‘‘the exemptions for Consolidated and Further Continuing DOE should maintain an exemption if certain incandescent lamps’’; and the Appropriations Act, 2016 (Pub. L. 114– doing so would be consistent with that (BB)(ii) carve-out for ‘‘incandescent 113, 129 Stat. 2419; hereafter referred to statutory purpose, and discontinue the reflector lamps’’ readily fits that as the ‘‘Appropriations Rider’’) that exemption if it would not. To carry out description so long as it can properly be prohibits expenditure of funds that instruction, DOE has assessed viewed as an ‘‘exemption.’’ In the GSL appropriated by that law to implement whether lamps within the IRL definition final rule that is being or enforce: (1) 10 CFR 430.32(x), which exemption are readily substitutable for published in the same issue of the includes maximum wattage and lamps that are already categorized as Federal Register, DOE explained its minimum rated lifetime requirements general service lamps. Sales data, as the understanding of what clause (i)(II) for GSILs; and (2) standards set forth in statute directs, are an important type of means by an ‘‘exemption.’’ DOE adheres section 325(i)(1)(B) of EPCA (42 U.S.C. evidence informing that assessment. to its conclusion in the GSL definition 6295(i)(1)(B)), which sets minimum The discontinuation of the IRL final rule that the 22 lamp types listed lamp efficiency ratings for incandescent exemption will render the lamps within in subparagraph (D)(ii) are reflector lamps (IRLs).3 that exemption GSLs, to the extent they ‘‘exemptions’’ for these purposes, and This final rule constitutes a decision would otherwise qualify as GSLs, As the the language of the IRL carve-out is the on whether to maintain or discontinue October 2016 NOPDDA observed, DOE same as that for the 22 types. Therefore, the exemption for IRLs, and include will then either impose standards on DOE believes it is also an ‘‘exemption.’’ IRLs as GSLs if discontinued. This final these lamps pursuant to its authority to DOE recognizes that, as a commenter rule does not determine whether DOE develop GSL standards or apply the pointed out, IRLs are already subject to should impose or amend standards for backstop standard prohibiting the sale standards under EPCA. The GSL any category of lamps, such as GSILs or of lamps not meeting a 45 lm/W efficacy definition final rule that is being GSLs. standard. published in the same issue of the As discussed in more detail, DOE is Commenters on the March 2016 GSL Federal Register explained DOE’s view grounding the decision of whether to ECS NOPR and October 2016 NOPDDA that a lamp subject to some standards maintain or discontinue the IRL contended that DOE lacked authority to under EPCA can still be ‘‘exempt’’ for exemption on an assessment of whether discontinue exemptions in the way it purposes of the clause (i)(II) rulemaking, IRLs would provide a convenient proposed and objected to the procedures because the ‘‘exemptions’’ that DOE is unregulated alternative to lamps that DOE had undertaken. DOE discussed reviewing are exemptions from GSL will be subject to energy conservation those comments in the GSL definition regulation. DOE adheres to that view in standards. In DOE’s view, EPCA final rule that is being published in the this final rule. exempted certain categories of lamps same issue of the Federal Register. In For IRLs, the existing standards are from the definition of GSL because, on many ways, DOE’s interpretations of much less stringent than the 45 lm/W the one hand, some lamps in those EPCA relevant to this final rule are backstop standard, and presumably less categories have specialty applications; similar to those in the GSL definition stringent than any standard that DOE and on the other hand, it was not clear, final rule; and the procedures are might develop to achieve energy savings when these lamp provisions were comparable in that this final rule comparable to those from the 45 lm/W enacted, whether those lamps were part proceeds from the same notices that led backstop standard. For example, when of the broader lamp market to which to the GSL definition final rule. That EISA 2007 was adopted, the standard Congress wished to apply energy said, DOE’s decision regarding IRLs is for incandescent reflector lamps ranged conservation standards. For certain independent from the decisions it made from 10.5 to 15 lm/W. It seems unlikely lamps exempted from regulation as a in the GSL definition final rule, and it that Congress would have considered GSL, EPCA established standards. With has considered the comments and issues that standard an adequate alternative to regard to IRLs, EPCA imposed efficiency independently with respect to this rule. GSL standards. Therefore, DOE standards ranging from 10.5 to 15 lm/W. After reviewing those comments and considers it consistent with the scheme (42 U.S.C. 6295(i)(1)(B)). The purpose, issues again, DOE has come to the same of subsection (i)(6) that DOE should then, of the decision that Congress conclusions as it did in the GSL assess whether to subject to GSL entrusted to DOE, to maintain or to definition final rule, for the reasons regulation the lamps within the IRL discontinue a given exemption, was that given in the preamble to that rule. For exemption. DOE should assess the role of lamps of convenience, DOE does not repeat those Commenters also argued that DOE that type in the broader lighting market, discussions here, as the explanations cannot discontinue the exemption for bearing in mind the evident statutory provided in the GSL definition final IRLs because, the commenters observed, purpose of achieving energy rule—regarding which exemptions DOE the statute exempts these lamps from has the authority to discontinue, what being GSLs twice. First, ‘‘reflector lamps’’ are one of the 22 types of lamp 3 This provision of the Consolidated and Further factors DOE is considering in a decision Continuing Appropriations Act, 2016 has been whether to discontinue an exemption, exempted by section 6291(30)(BB)(ii)(I); extended to the current appropriations and what procedures DOE has and second section 6291(30)(BB)(ii)(II) authorization. See, The Continuing Appropriations followed—are adequate. In this rule, specifically exempts incandescent and Military Construction, Veteran Affairs, and reflector lamps. By exempting them Related Agencies Appropriations Act, 2017 and DOE discusses its consideration of Zika Response and Preparedness Act, 2017 (Pub. L. comments and issues specifically twice, the commenters suggest, Congress 114–223, 130 Stat. 908). related to IRLs. made quite clear that incandescent

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reflector lamps are not to be considered nature, and EPCA calls on DOE to signal lamp,’’ or ‘‘vibration service GSLs. decide whether to maintain or lamp,’’ that has specialty applications The interpretation that these discontinue each. DOE addressed the and that Congress could have thought commenters advance would ‘‘reflector lamp’’ exemption, as applied might have few or no general service significantly impair the standards to lamps that are not IRLs, in the GSL applications. The statute does not reflect regime established by EISA 2007. That definition final rule that is being a final judgment on that point; instead statute’s amendments to EPCA imposed published in the same issue of the it defers the decision for DOE to make standards for general service fluorescent Federal Register. in a section 6295(i)(6)(A)(i)(II) lamps and incandescent reflector lamps, Paragraph (30)(C) defines rulemaking. Still, the general character the two categories of lamp that ‘‘incandescent lamp’’ to ‘‘includ[e] only of the 22 exemptions is that they are subclause (30)(BB)(ii)(II) exempts from the following’’: ‘‘[a]ny lamp . . . that is lamp types about which such a being GSLs. For general service not a reflector lamp’’ and meets certain judgment—whether the exempted lamps fluorescent lamps, when EISA was criteria, such as a rated wattage between have substantial general service enacted the standards ranged from 64 to 30 and 199 watts; ‘‘[a]ny lamp applications—would be necessary in 80 lm/W, substantially above the (commonly referred to as a reflector deciding whether to impose general backstop that the EISA amendments lamp) which is not colored or designed lamp standards. By contrast, specify as the default for GSLs. For for rough or vibration services subparagraph (C)(ii), which defines incandescent reflector lamps, the applications, that contains an inner IRLs, encompasses a wide range of standards when EISA 2007 was enacted reflective coating on the outer bulb to lamps which certainly had general ranged from 10.5 to 15.0 lumens per direct the light,’’ and meets additional service applications; and EPCA reflected watt, well below the backstop. Today, technical criteria like bulb shape; and that reality by imposing efficiency incandescent reflector lamps are widely ‘‘[a]ny general service incandescent standards (ranging from 10.5 to 15 lm/ used for general illumination just as lamp’’ rated above 199 watts. DOE notes W) on IRLs since 1995. Public Law 102– GSILs are. If EPCA mandated that IRLs that paragraph (30)(C) did not define 486, section 123(f), 106 Stat. 2824. continue being exempt from GSLs, then ‘‘reflector lamp’’ to mean a lamp It bears mention also that EPCA first they would present a convenient described in the terms just quoted; added ‘‘reflector lamps’’ among the 22 alternative product, subject to much less rather, paragraph (30)(C) noted that such exempted lamp types as a result of EISA stringent standards than GSLs. The GSL lamps commonly are called reflector amendments in 2007. EISA 2007 section standards (potentially the backstop or lamps. By contrast, paragraph (30)(F) 321 also established the first statutory standards developed by DOE) would does define the term IRL to mean ‘‘a standards for GSILs. Public Law 110– save far less energy if consumers and lamp described in subparagraph (C)(ii).’’ 140, section 321(a)(3), 121 Stat. 1577. manufacturers can switch many lighting Finally, paragraph (30)(D) defines GSIL, While those standards were expressed applications to less-efficient IRLs. That and that definition states that GSILs do in terms of a maximum wattage for a outcome would be especially odd in not include any of 22 lamp types, one given range of lumen output, the light of the authority that Congress of which is ‘‘reflector lamps.’’ minimum efficiency needed to satisfy provided DOE to assess whether to From this set of definitions, DOE those standards would be from 17 to 36 maintain or discontinue exemptions—a infers that ‘‘reflector lamp’’ does not lm/W in the wattage range that includes decision that, as DOE has explained, necessarily mean the same thing as IRLs.4 If the ‘‘reflector lamp’’ exemption DOE believes was meant to focus on ‘‘incandescent reflector lamp.’’ Had was necessarily coextensive with IRLs, which exempted lamps would be Congress wanted to define ‘‘reflector then the statute imposing the new substitutes for regulated GSLs. DOE’s lamp,’’ it could easily have done so. standard simultaneously created a major interpretation, under which paragraph That it did not suggests that Congress loophole by leaving IRLs—a category of (i)(6) authorizes it to make the same sort left the term, as used in the list of 22 lamp that already in 2007 was widely of determination with respect to IRLs, is lamp types, for DOE to elaborate. used for general illumination—subject a more consistent and coherent Furthermore, if ‘‘reflector lamp’’ was only to the much older and lower interpretation of the EISA amendments. meant to be necessarily coextensive efficiency standard effective at the time, Of course, if the statute with subparagraph (C)(ii), the definition which was 10.5 to 15 lm/W. That would unambiguously foreclosed that of GSIL contains a curious circular be an odd outcome. Had Congress interpretation or indicated that DOE redundancy. The statute defines intended to undermine its own standard must not discontinue the IRL ‘‘incandescent lamp’’ to include the in that way, it could have done so exemption, that command would trump lamps described in subparagraph (C)(ii); explicitly by defining ‘‘reflector lamp’’ the policy considerations just discussed. it defines ‘‘general service incandescent to have the same scope (with respect to But with respect to IRLs, the statute lamp’’ to be an incandescent lamp or incandescent lamps) as IRL. Instead, in does permit DOE’s interpretation that halogen lamp with certain additional a statute which tweaked subparagraph the IRL exemption is one that DOE can attributes; and then it says general (C)(ii) and added definitions for various discontinue in a subsection service incandescent lamps do not specific lamp types, it left ‘‘reflector (i)(6)(A)(i)(II) rulemaking. As explained include ‘‘reflector lamp[s].’’ If that usage lamp’’ undefined. in the paragraphs that follow, through a of ‘‘reflector lamp’’ necessarily has the In light of these observations, DOE careful exploration of sections 6291 and same scope as subparagraph (C)(ii), the understands the definition of ‘‘general 6295, DOE believes the ‘‘reflector lamp’’ statute included them in GSILs only to service lamp’’ as follows (as concerns exemption in section 6291(30)(D)(ii) is exclude them. reflector lamps and IRLs): Until DOE not necessarily as broad as the IRL The context further suggests that discontinued the relevant exemptions, exemption. DOE believes ‘‘reflector ‘‘reflector lamp,’’ as used in the list of no ‘‘reflector lamps,’’ as the term is used lamp’’ was meant to encompass a 22 exempted lamp types, was meant to in section 6291(30)(D)(ii), were GSILs or different range of lamps, with a scope exempt a scope different from, and in left to DOE to interpret, while IRL is a some respects narrower than, paragraph 4 The EISA section 321 standards imposed a defined term with a broad scope. Thus, (C)(ii). Each of the other exemptions maximum wattage of 29 watts for lamps between 310 and 749 lumens of output. Meanwhile IRLs, the ‘‘reflector lamp’’ and IRL describes a narrow category of lamp, according to section 6291(30)(C)(ii), include only exemptions are somewhat different in such as ‘‘mine service lamp,’’ ‘‘traffic lamps above 40 watts.

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GSLs. Depending on how DOE a definition for GSL in the October 2016 6295(i)(6)(A)(i)(II) for DOE to consider, interprets the ‘‘reflector lamp’’ NOPDDA. A general service lamp, as in part, ‘‘exempted lamp sales’’ exemption, some IRLs may be GSILs proposed, would be a lamp that has an collected by DOE as supporting the (due to not falling in the possibly ANSI base, operates at any voltage, has requirement for increased lamp sales in narrower ‘‘reflector lamp’’ exemption).5 an initial lumen output of greater than order to discontinue an exemption. However, even those that are GSILs are or equal to 310 lumens (or 232 lumens (NEMA, No. 93 at 5; LEDVANCE, No. 90 not GSLs, because the definition of for modified spectrum general service at p. 26) NEMA and LEDVANCE added GSLs says they include GSILs but do not incandescent lamps) and less than or that a determination of lamp switching include IRLs. equal to 4,000 lumens, is not a light must be driven by data showing In principle, then, DOE has had two fixture, is not an LED downlight retrofit increased sales. (NEMA No. 93 at p. 13; tasks regarding exemptions relevant for kit, and is used in general lighting LEDVANCE, No. 90 at pp. 25–27) reflector lamps. With respect to applications. General service lamps NEMA and LEDVANCE concluded that ‘‘reflector lamps,’’ it was to assess include, but are not limited to, general the October 2016 NOPDDA did not whether that one of the relatively service incandescent lamps, compact provide data indicating that lamp narrow 22 listed lamp types—the scope fluorescent lamps, general service light- switching was occurring, and rather of which the statute does not make emitting diode lamps, and general data from the Energy Information clear—has uses in general illumination, service organic light-emitting diode Administration 6 shows that sales are and whether sales data and other lamps, but do not include general decreasing. NEMA and LEDVANCE evidence indicate that such lamps are service fluorescent lamps; linear commented that if DOE was petitioned ready substitutes for lamps that are fluorescent lamps of lengths from one to under section 325(i)(3)(E), it would not already included as GSLs. DOE has eight feet; circline fluorescent lamps; grant the petition or decide to regulate finalized this analysis in a separate final fluorescent lamps specifically designed these specialty lamps and therefore any rule, the GSL definition final rule. By for cold temperature applications; other action taken under section contrast, as noted previously, the impact-resistant fluorescent lamps; 325(i)(6)(A) is illogical. (NEMA, No. 93 category of IRLs includes lamps that, as reflectorized or aperture fluorescent at p. 13; LEDVANCE, No. 90 at pp. 25– of 2007, it was already evident were lamps; fluorescent lamps designed for 27) being used in general lighting use in reprographic equipment; As DOE has explained in the GSL applications. However, DOE must still fluorescent lamps primarily designed to definition final rule that is being analyze whether, in light of sales data produce radiation in the ultra-violet published in the same issue of the and other evidence, IRLs are an region of the spectrum; fluorescent Federal Register, the petition process important enough substitute for lamps lamps with a color rendering index of from EISA section 321(a)(3) is distinct already included as GSLs to warrant 87 or greater; R20 short lamps; specialty from the decision that subparagraph discontinuing their exemption. This MR lamps; appliance lamps; black light (6)(A)(i)(II) calls for about maintaining analysis is the subject of this final rule lamps; bug lamps; colored lamps; or discontinuing exemptions. The and discussed in more detail in the infrared lamps; left-hand thread lamps, statute does not require DOE to consider section that follows. marine lamps, marine signal service the same factors in the clause (i)(II) III. Definition of General Service Lamp lamps; mine service lamps; plant light decision that it would in reviewing a lamps; sign service lamps; silver bowl petition. In particular, it does not A. Incandescent Reflector Lamps lamps, showcase lamps, and traffic restrict DOE to discontinuing an The term general service lamp (GSL) signal lamps. exemption only if sales of lamps within includes general service incandescent In support of its analysis of whether that exemption are increasing. While lamps (GSILs), compact fluorescent to maintain or discontinue an increases or decreases in lamp sales are lamps (CFLs), general service light- exemption, in the October 2016 an important consideration, DOE emitting diode (LED) and organic light- NOPDDA DOE presented estimated believes it can in some circumstances be emitting diode (OLED) lamps, and any sales data. NEMA stated that sales for appropriate to discontinue an other lamps that DOE determines are most of the exempted lamps are exemption even at a time when sales of used to satisfy lighting applications declining and that it was the intent of those lamps are decreasing. As traditionally served by GSILs; however, Congress to require that DOE find sales described by GE, LEDVANCE, and GSLs do not include any lighting increasing as a prerequisite to Westinghouse, incandescent sales can application or bulb shape that under 42 discontinue an exemption. (NEMA, No. be decreasing because consumers are U.S.C. 6291(30)(D)(ii) is not included in 83 at p. 34; NEMA No. 93 at p. 12) purchasing LED versions of the same the ‘‘general service incandescent lamp’’ NEMA pointed to the petition process lamp. Thus, the lamp itself is not definition, or any general service established under section 321 of EISA unpopular but rather is undergoing a fluorescent lamp or incandescent 2007 as indicative of that intent. shift in technology. For example, GE reflector lamp. (42 U.S.C. 6291(30)(BB)) (NEMA, No. 93 at pp. 12–13) NEMA and stated that sales of IRLs have been The October 2016 NOPDDA revisited LEDVANCE noted that Congress declining significantly over the last five the proposed definition of GSL from the required a demonstration of increased years but that was in large part caused March 2016 GSL ECS NOPR, including sales as a prerequisite for DOE to grant by the increasing sales of LED reflector the exemptions contained in the GSIL a petition submitted by the public to lamps. (GE, No. 83 at pp. 38, 84–85; and GSL definitions, and proposed a reconsider an exemption, and that DOE LEDVANCE, No. 90 at p. 35; revised definition of ‘‘general service must be guided by the same Westinghouse, No. 83 at pp. 128–129) lamp’’ in § 430.2 to capture various consideration when determining Consequently, it can in some criteria and delineate the lamp types whether an exemption should be circumstances be appropriate to considered to be GSLs. 81 FR 71806– maintained under 42 U.S.C. 71807. More specifically, DOE proposed 6295(i)(6)(A)(i)(II). (NEMA, No. 83 at pp. 6 See Energy Information Administration, Sales of specialty incandescent bulbs decline despite 5 DOE has not thus far articulated an 33–34; LEDVANCE, No. 90 at pp. 25–27) exemption from efficiency standards (April 2, 2013) interpretation of the ‘‘reflector lamp’’ exemption NEMA and LEDVANCE cited the available at: http://www.eia.gov/todayinenergy/ that would resolve the status of IRLs. requirement under 42 U.S.C. detail.php?id=10631.

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

TABLE III.1—DETERMINATION REGARDING IRLS [Units annual sales]

DOE’s determination on GSL exempt lamp category Estimated sales data exemption status

IRLs ...... Approximately 270 million ...... Discontinue exemption.

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

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

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

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percent increase in the steady state the public apprised of its plans for any 1.5625 inches) as defined in ANSI demand and require tripling capacity for broad exercise of enforcement discretion C79.1–2002; only that year. NEMA stated that the with respect to the standard. • Sign service lamps; proposed definitions in the October • Silver bowl lamps; B. Summary and Regulatory Text 2016 NOPDDA increased the scope of • Showcase lamps; Definition GSLs to a wider range of specialty • Specialty MR lamps; products than what was proposed in the DOE is amending the definition of • T shape lamps that have a first March 2016 GSL ECS NOPR. Hence the ‘‘general service lamp’’ in § 430.2 to number symbol less than or equal to 8 projected spike in demand in 2020 include IRLs. Ageneral service lamp is (diameter less than or equal to 1 inch) would now be even higher. Therefore, a lamp that has an ANSI base; is able to as defined in ANSI C79.1–2002, NEMA encouraged DOE to either not operate at a voltage of 12 volts or 24 nominal overall length less than 12 impose regulations or postpone them for volts, at or between 100 to 130 volts, at inches, and that are not compact a few years on niche products. (NEMA, or between 220 to 240 volts, or of 277 fluorescent lamps (as defined in this No. 83 at pp. 157–158) LEDVANCE volts for integrated lamps (as defined in section); requested clarification on whether an this section), or is able to operate at any • Traffic signal lamps. employment impact analysis was voltage for non-integrated lamps (as conducted for IRLs given that DOE’s defined in this section); has an initial IV. Effective Date proposal to remove the exemption for lumen output of greater than or equal to For the changes described in this final IRLs could have an impact on domestic 310 lumens (or 232 lumens for modified rule, DOE is adopting a January 1, 2020 manufacturing. (LEDVANCE, No. 83 at spectrum general service incandescent effective date. pp. 59–61) lamps) and less than or equal to 3,300 V. Procedural Issues and Regulatory DOE acknowledges that lumens; is not a light fixture; is not an Review manufacturers may face a difficult LED downlight retrofit kit; and is used transition if required to comply with a in general lighting applications. General A. Review Under Executive Orders 45 lm/W standard, particularly for IRLs. service lamps include, but are not 12866 and 13563 Regarding concerns that the application limited to, general service incandescent of the backstop standard would This final rule neither implements nor lamps, compact fluorescent lamps, seeks to enforce any standard. Rather, eliminate domestic manufacturing of general service light-emitting diode IRLs, DOE determined that this final rule merely defines what lamps, and general service organic light- constitutes a GSL. Lamps that are GSLs manufacturers are already planning to emitting diode lamps. General service close or move out of the country several will become subject to either a standard lamps do not include: developed by DOE or to a 45 lm/W domestic production facilities related to • Appliance lamps; backstop standard, but this rule does not the manufacturing of IRLs due to • Black light lamps; reduced demand. In press releases • Bug lamps; determine what standard will be regarding these closures, manufacturers • Colored lamps; applicable to lamps that are being newly noted that the market is moving away • G shape lamps with a diameter of included as GSLs. Accordingly, this from traditional technologies, such as 5 inches or more as defined in ANSI action does not constitute a significant IRLs and other incandescent lamps, and C79.1–2002; regulatory action under Executive transitioning to LED technology.7 • General service fluorescent lamps; Orders 12866 and 13563. DOE is committed to working with • High intensity discharge lamps; B. Review Under the Regulatory • manufacturers to ensure a successful Infrared lamps; Flexibility Act transition if the backstop standard goes • J, JC, JCD, JCS, JCV, JCX, JD, JS, and into effect.8 DOE will continue to have JT shape lamps that do not have Edison The Regulatory Flexibility Act (5 an active dialogue with industry, screw bases; U.S.C. 601 et seq.) requires that when an including meetings and other • Lamps that have a wedge base or agency promulgates a final rule under 5 stakeholder outreach, throughout the prefocus base; U.S.C. 553, after being required by that period between publication of this rule • Left-hand thread lamps; section or any other law to publish a and the compliance date of any • Marine lamps; general NOPR, the agency shall prepare backstop standard for general service • Marine signal service lamps; a final regulatory flexibility analysis lamps, including IRLs. During this • Mine service lamps; (FRFA), unless the agency certifies that period, DOE will keep stakeholders and • MR shape lamps that have a first the rule will not have a significant number symbol equal to 16 (diameter economic impact on a substantial 7 See press releases from OSI and GE regarding equal to 2 inches) as defined in ANSI number of small entities. As required by domestic manufacturing closures available in the C79.1–2002, operate at 12 volts, and Executive Order 13272, ‘‘Proper docket at: https://www.regulations.gov/#!docket Consideration of Small Entities in Detail;D=EERE-2013-BT-STD-0051. have a lumen output greater than or 8 In that vein, DOE also notes NEMA’s comment equal to 800; Agency Rulemaking,’’ 67 FR 53461 that because the backstop requires DOE to ‘‘prohibit • Other fluorescent lamps; (August 16, 2002), DOE published sales,’’ it could present a substantial practical • Plant light lamps; procedures and policies on February 19, difficulty regarding compliance. For most products, • R20 short lamps; 2003, to ensure that the potential NEMA states, after a standard comes into effect • distributors can continue to sell inventory still on Reflector lamps (as defined in this impacts of its rules on small entities are hand that complied with the previous standard. If, section) that have a first number symbol properly considered during the by contrast, distributors cannot sell old lamp less than 16 (diameter less than 2 rulemaking process. 68 FR 7990. DOE inventory after January 1, 2020, that inventory will inches) as defined in ANSI C79.1–2002 has made its procedures and policies be stranded. Although it is premature for DOE to explain in detail how the backstop would work if and that do not have E26/E24, E26d, available on the Office of the General it comes into force, DOE notes that under E26/50x39, E26/53x39, E29/28, E29/ Counsel’s Web site (http://energy.gov/ subsection (i)(2), ‘‘it shall not be unlawful for a 53x39, E39, E39d, EP39, or EX39 bases; gc/office-general-counsel). manufacturer to sell a lamp which is in compliance • S shape or G shape lamps that have DOE reviewed the definition of GSL with the law at the time such lamp was manufactured.’’ DOE expects it would interpret and a first number symbol less than or equal amended in this final rule under the apply the backstop with subsection (i)(2) in mind. to 12.5 (diameter less than or equal to provisions of the Regulatory Flexibility

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Act and the procedures and policies with standards, if required. The 1021.410(b) and App. B, B(1)–(5).) The published on February 19, 2003. DOE effective date allows reasonable time for rule fits within this category of actions certifies that this final rule does not manufacturers to transition, while because it is a rulemaking that changes have a significant economic impact on reducing the number of redesigns the definition of a covered class of a substantial number of small entities. needed, should manufacturers need to products for which there are existing The factual basis for this certification is comply with a 45 lm/W statutory energy conservation standards, and for set forth in the following paragraphs. standard beginning on January 1, 2020. which none of the exceptions identified For manufacturers of IRLs, the SBA For these reasons, DOE concludes and in CX B5.1(b) apply. Therefore, DOE has has set a size threshold, which defines certifies that the new amended made a CX determination for this those entities classified as ‘‘small definition of GSL, which includes IRLs, rulemaking, and DOE does not need to businesses’’ for the purposes of the does not have a significant economic prepare an Environmental Assessment statute. DOE used the SBA’s small impact on a substantial number of small or Environmental Impact Statement for business size standards to determine entities, and the preparation of an FRFA this rule. DOE’s CX determination for whether any small entities would be is not warranted. this rule is available at http:// subject to the requirements of the rule. energy.gov/nepa/categorical-exclusion- C. Review Under the Paperwork (See 13 CFR part 121.) The size cx-determinations-cx. standards are listed by NAICS code and Reduction Act industry description and are available at Manufacturers of GSLs must certify to E. Review Under Executive Order 13132 http://www.sba.gov/sites/default/files/ DOE that their products comply with Executive Order 13132, ‘‘Federalism,’’ files/Size_Standards_Table.pdf. any applicable energy conservation 64 FR 43255 (August 10, 1999), imposes Manufacturing of GSLs is classified standards. In certifying compliance, certain requirements on federal agencies under NAICS 335110, ‘‘Electric Lamp manufacturers must test their products formulating and implementing policies Bulb and Part Manufacturing.’’ The SBA according to DOE test procedures for or regulations that preempt state law or sets a threshold of 1,250 employees or GSLs, including any amendments that have Federalism implications. The less for an entity to be considered as a adopted for those test procedures. DOE Executive Order requires agencies to small business for this category. has established regulations for the examine the constitutional and statutory To estimate the number of companies certification and recordkeeping authority supporting any action that that could be small businesses that requirements for all covered consumer would limit the policymaking discretion manufacture IRLs covered by this products and commercial equipment. 76 of the states and to carefully assess the rulemaking, DOE conducted a market FR 12422 (March 7, 2011). The necessity for such actions. The survey using publicly available collection-of-information requirement Executive Order also requires agencies information. DOE’s research involved for the certification and recordkeeping to have an accountable process to information provided by trade is subject to review and approval by ensure meaningful and timely input by associations (e.g., NEMA 9) and OMB under the Paperwork Reduction state and local officials in the information from DOE’s CCMS Act (PRA). This requirement has been development of regulatory policies that Database,10 previous rulemakings, approved by OMB under OMB control have Federalism implications. On individual company Web sites, SBA’s number 1910–1400. DOE requested March 14, 2000, DOE published a database, and market research tools OMB approval of an extension of this statement of policy describing the (e.g., Hoover’s reports 11). DOE used information collection for three years, intergovernmental consultation process information from these sources to create specifically including the collection of it will follow in the development of a list of companies that potentially information adopted in the present such regulations. 65 FR 13735. DOE has manufacture or sell IRLs and would be rulemaking, and estimated that the examined this rule and has determined impacted by this rulemaking. DOE annual number of burden hours under that it would not have a substantial screened out companies that do not this extension is 30 hours per company. direct effect on the states, on the offer products covered by this In response to DOE’s request, OMB relationship between the national rulemaking, do not meet the definition approved DOE’s information collection government and the states, or on the of a ‘‘small business,’’ or are completely requirements covered under OMB distribution of power and foreign owned and operated. DOE control number 1910–1400 through responsibilities among the various determined that there are no small November 30, 2017. 80 FR 5099 levels of government. EPCA governs and businesses that maintain domestic (January 30, 2015). prescribes federal preemption of state production facilities for IRLs. Notwithstanding any other provision regulations as to energy conservation for DOE notes that this final rule merely of the law, no person is required to the products that are the subject of this includes IRLs in the regulatory respond to, nor shall any person be final rule. States can petition DOE for definition of GSLs. Manufacturers of subject to a penalty for failure to comply exemption from such preemption to the GSLs, including IRLs, are required to with, a collection of information subject extent, and based on criteria, set forth in use DOE’s test procedures to make to the requirements of the PRA, unless EPCA. (42 U.S.C. 6297) Therefore, no representations and certify compliance that collection of information displays a further action is required by Executive currently valid OMB control number. Order 13132. 9 National Electric Manufacturers Association ⎢ Member Products ⎢ Lighting Systems ⎢ Related D. Review Under the National F. Review Under Executive Order 12988 Manufacturers, http://www.nema.org/Products/ Environmental Policy Act of 1969 With respect to the review of existing Pages/Lighting-Systems.aspx (last accessed November 21, 2016). Pursuant to the National regulations and the promulgation of 10 DOE’s Compliance Certification Database ⎢ Environmental Policy Act (NEPA) of new regulations, section 3(a) of Lamps—Bare or Covered (No Reflector) Medium 1969, DOE has determined that the rule Executive Order 12988, ‘‘Civil Justice Base Compact Fluorescent, http:// fits within the category of actions Reform,’’ imposes on federal agencies www.regulations.doe.gov/certification-data (last included in Categorical Exclusion (CX) the general duty to adhere to the accessed November 21, 2016). 11 Hoovers ⎢ Company Information ⎢ Industry B5.1 and otherwise meets the following requirements: (1) Eliminate Information ⎢ Lists, http://www.hoovers.com (last requirements for application of a CX. drafting errors and ambiguity; (2) write accessed November 21, 2016). (See 10 CFR part 1021, App. B, B5.1(b); regulations to minimize litigation; (3)

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provide a clear legal standard for statement is also available at http:// by an agency that promulgates or is affected conduct rather than a general energy.gov/sites/prod/files/gcprod/ expected to lead to promulgation of a standard; and (4) promote simplification documents/umra_97.pdf. final rule, and that: (1) Is a significant and burden reduction. 61 FR 4729 (Feb. DOE examined this final rule regulatory action under Executive Order 7, 1996). Regarding the review required according to UMRA and its statement of 12866, or any successor order; and (2) by section 3(a), section 3(b) of Executive policy and determined that the rule is likely to have a significant adverse Order 12988 specifically requires that contains neither an intergovernmental effect on the supply, distribution, or use Executive agencies make every mandate, nor a mandate that may result of energy, or (3) is designated by the reasonable effort to ensure that the in the expenditure of $100 million or Administrator of OIRA as a significant regulation: (1) Clearly specifies the more in any year, so these requirements energy action. For any significant energy preemptive effect, if any; (2) clearly do not apply. action, the agency must give a detailed specifies any effect on existing federal H. Review Under the Treasury and statement of any adverse effects on law or regulation; (3) provides a clear General Government Appropriations energy supply, distribution, or use legal standard for affected conduct Act, 1999 should the proposal be implemented, while promoting simplification and and of reasonable alternatives to the burden reduction; (4) specifies the Section 654 of the Treasury and action and their expected benefits on retroactive effect, if any; (5) adequately General Government Appropriations energy supply, distribution, and use. defines key terms; and (6) addresses Act, 1999 (Pub. L. 105–277) requires This regulatory action to amend a other important issues affecting clarity federal agencies to issue a Family definition for GSL is not a significant and general draftsmanship under any Policymaking Assessment for any rule regulatory action under Executive Order guidelines issued by the Attorney that may affect family well-being. This 12866. Moreover, it would not have a General. Section 3(c) of Executive Order rule would not have any impact on the significant adverse effect on the supply, 12988 requires Executive agencies to autonomy or integrity of the family as distribution, or use of energy, nor has it review regulations in light of applicable an institution. Accordingly, DOE has been designated as a significant energy standards in section 3(a) and section concluded that it is not necessary to action by the Administrator of OIRA. 3(b) to determine whether they are met prepare a Family Policymaking Therefore, it is not a significant energy or it is unreasonable to meet one or Assessment. action, and, accordingly, DOE has not more of them. DOE has completed the I. Review Under Executive Order 12630 prepared a Statement of Energy Effects. required review and determined that, to the extent permitted by law, this final Pursuant to Executive Order 12630, L. Review Under Section 32 of the rule meets the relevant standards of ‘‘Governmental Actions and Interference Federal Energy Administration Act of Executive Order 12988. with Constitutionally Protected Property 1974 Rights,’’ 53 FR 8859 (March 15, 1988), G. Review Under the Unfunded DOE has determined that this rule Under section 301 of the Department Mandates Reform Act of 1995 would not result in any takings that of Energy Organization Act (Pub. L. 95– Title II of the Unfunded Mandates might require compensation under the 91; 42 U.S.C. 7101), DOE must comply Reform Act of 1995 (UMRA) requires Fifth Amendment to the U.S. with section 32 of the Federal Energy each federal agency to assess the effects Constitution. Administration Act of 1974, as amended of federal regulatory actions on state, by the Federal Energy Administration local, and tribal governments and the J. Review Under the Treasury and Authorization Act of 1977. (15 U.S.C. private sector. Public Law 104–4, sec. General Government Appropriations 788; FEAA) Section 32 essentially 201 (codified at 2 U.S.C. 1531). For a Act, 2001 provides in relevant part that, where a regulatory action likely to result in a Section 515 of the Treasury and rule authorizes or requires use of rule that includes a Federal mandate General Government Appropriations commercial standards, the NOPR must that may result in the expenditure by Act, 2001 (44 U.S.C. 3516 note) provides inform the public of the use and State, local, and Tribal governments, in for federal agencies to review most background of such standards. In the aggregate, or by the private sector of disseminations of information to the addition, section 32(c) requires DOE to $100 million or more in any one year public under information quality consult with the Attorney General and (adjusted annually for inflation), section guidelines established by each agency the Chairman of the Federal Trade 202 of UMRA requires a federal agency pursuant to general guidelines issued by Commission (FTC) concerning the to publish a written statement that OMB. OMB’s guidelines were published impact of the commercial or industry estimates the resulting costs, benefits, at 67 FR 8452 (Feb. 22, 2002), and standards on competition. DOE has not and other effects on the national DOE’s guidelines were published at 67 incorporated by reference any industry economy. (2 U.S.C. 1532(a), (b)) The FR 62446 (Oct. 7, 2002). DOE has standards in this rulemaking that were UMRA also requires a federal agency to reviewed this final rule under the OMB not already incorporated and therefore develop an effective process to permit and DOE guidelines and has concluded there is no impact on competition. timely input by elected officers of state, that it is consistent with applicable M. Congressional Notification local, and tribal governments on a policies in those guidelines. proposed ‘‘significant intergovernmental As required by 5 U.S.C. 801, DOE will mandate,’’ and requires an agency plan K. Review Under Executive Order 13211 report to Congress on the promulgation for giving notice and opportunity for Executive Order 13211, ‘‘Actions of this rule prior to its effective date. timely input to potentially affected Concerning Regulations That The report will state that it has been small governments before establishing Significantly Affect Energy Supply, determined that the rule is not a ‘‘major any requirements that might Distribution, or Use,’’ 66 FR 28355 (May rule’’ as defined by 5 U.S.C. 804(2). significantly or uniquely affect them. On 22, 2001), requires federal agencies to VI. Approval of the Office of the March 18, 1997, DOE published a prepare and submit to OIRA at OMB, a Secretary statement of policy on its process for Statement of Energy Effects for any intergovernmental consultation under significant energy action. A ‘‘significant The Secretary of Energy has approved UMRA. 62 FR 12820. DOE’s policy energy action’’ is defined as any action publication of this final rule.

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List of Subjects in 10 CFR Part 430 Issued in Washington, DC, on December PART 430—ENERGY CONSERVATION 29, 2016. PROGRAM FOR CONSUMER Administrative practice and David Nemtzow, PRODUCTS procedure, Confidential business Acting Deputy Assistant Secretary for Energy ■ information, Energy conservation, Efficiency, Energy Efficiency and Renewable 1. The authority citation for part 430 Household appliances, Imports, Energy. continues to read as follows: Incorporation by reference, Authority: 42 U.S.C. 6291–6309; 28 U.S.C. Intergovernmental relations, Small For the reasons set forth in the 2461 note. businesses. preamble, the final rule for part 430 of chapter II, subchapter D, of title 10 of ■ 2. In § 430.2, the definition for general the Code of Federal Regulations service lamp is amended by removing effective beginning January 1, 2020, is paragraph (27). amended as set forth below: [FR Doc. 2016–32012 Filed 1–18–17; 8:45 am] BILLING CODE 6450–01–P

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