71794 Federal Register / Vol. 81, No. 201 / Tuesday, October 18, 2016 / Proposed Rules

DEPARTMENT OF ENERGY [email protected] to page contains a link to the docket for initiate the necessary procedures. Please this notice on the www.regulations.gov 10 CFR Parts 429 and 430 also note that any person wishing to site. The www.regulations.gov Web page [Docket Number EERE–2013–BT–STD– bring a laptop into the Forrestal contains simple instructions on how to 0051] Building will be required to obtain a access all documents, including public property pass. Visitors should avoid comments, in the docket. See section VI, RIN 1904–AD09 bringing laptops, or allow an extra 45 ‘‘Public Participation,’’ for further minutes. Persons may also attend the Energy Conservation Program: Energy information on how to submit public meeting via webinar. Conservation Standards for General comments through Instructions: Any comments www.regulations.gov. Service Lamps submitted must identify the notice of FOR FURTHER INFORMATION CONTACT: proposed definition and data AGENCY: Office of Energy Efficiency and Ms. Lucy deButts, U.S. Department of availability for GSLs, and provide Renewable Energy, Department of Energy, Office of Energy Efficiency docket number EE–2013–BT–STD–0051 Energy. and Renewable Energy, Building and/or regulatory information number ACTION: Proposed definition and data Technologies Office, EE–2J, 1000 (RIN) 1904–AD09. Comments may be availability. Independence Avenue SW., submitted using any of the following Washington, DC 20585–0121. methods: SUMMARY: On March 17, 2016, DOE Telephone: (202) 287–1604. Email: published a notice of proposed 1. Federal eRulemaking Portal: www.regulations.gov. Follow the [email protected] rulemaking (NOPR) proposing standards Ms. Celia Sher, U.S. Department of instructions for submitting comments. for general service lamps (GSLs) Energy, Office of the General Counsel, pursuant to the Energy Policy and 2. Email: GSL2013STD0051@ ee.doe.gov. Include the docket number GC–33, 1000 Independence Avenue Conservation Act of 1975 (EPCA), as SW., Washington, DC 20585–0121. amended. During the subsequent public and/or RIN in the subject line of the message. Submit electronic comments Telephone: (202) 287–6122. Email: meeting and in written comments, [email protected] stakeholders provided additional data in WordPerfect, Microsoft Word, PDF, For further information on how to and raised concerns regarding the or ASCII file format, and avoid the use submit a comment, review other public expansion of scope in the proposed GSL of special characters or any form of comments and the docket, or participate definition and DOE’s approach to encryption. in the public meeting, contact the analyzing the 22 general service 3. Postal Mail: Appliance and Appliance and Equipment Standards incandescent lamp exemptions. In Equipment Program, U.S. Department of Program Staff at (202) 586–6636 or by response to several of those comments, Energy, Building Technologies Office, email: Appliance_Standards_Public_ DOE collected additional data and is Mailstop EE–5B, 1000 Independence [email protected]. publishing this document to propose a Avenue SW., Washington, DC 20585– revised definition of GSL; announce the 0121. If possible, please submit all items SUPPLEMENTARY INFORMATION: DOE availability of National Electrical on a compact disc (CD), in which case intends to incorporate by reference the Manufacturers Association (NEMA) data it is not necessary to include printed following industry standards into 10 and supplemental data collected by copies. CFR part 430: 4. Hand Delivery/Courier: Appliance DOE; request public comment on (1) American National Standards and Equipment Program, U.S. proposed definitions and compiled data; Institute C81.61–2016 (‘‘ANSI C81.61– Department of Energy, Building and request any additional data that 2016’’), Electric Lamp Bases— Technologies Office, 950 L’Enfant Plaza stakeholders may have in support of this Specifications for Bases (Caps) for SW., Suite 600, Washington, DC 20024. evaluation. Electric Lamps, dated April 20, 2016. Telephone: (202) 586–6636. If possible, A copy of ANSI C81.61–2016 can be DATES: Comments: DOE will accept please submit all items on a CD, in obtained from the American National comments, data, and information which case it is not necessary to include Standards Institute, 25 W. 43rd Street, regarding this notice of proposed printed copies. 4th Floor, New York, NY 10036, (212) definition and data availability No telefacsimilies (faxes) will be 642–4900, or go to http:// submitted no later than November 8, accepted. For detailed instructions on webstore.ansi.org. 2016. See section VI, ‘‘Public submitting comments and additional (2) International Electrotechnical Participation,’’ of this document for information on the rulemaking process, Commission 60061–1:2005 (‘‘IEC details. see section VI of this document (‘‘Public 60061–1:2005’’), Lamp caps and holders Meeting: DOE will hold a public Participation’’). together with gauges for the control of meeting on October 21, 2016, from 9:30 Docket: The docket, which includes interchangeability and safety—Part 1: a.m. to 4:00 p.m., in Washington, DC Federal Register notices, public meeting Lamp caps, Amendment 35, Edition 3, The meeting will also be broadcast as a attendee lists and transcripts, dated January 27, 2005. webinar. See section VI, ‘‘Public comments, and other supporting A copy of IEC 60061–1:2005 can be Participation,’’ for webinar registration documents/materials, is available for obtained from the American National information, participant instructions, review at www.regulations.gov. All Standards Institute, 25 W. 43rd Street, and information about the capabilities documents in the docket are listed in 4th Floor, New York, NY 10036, (212) available to webinar participants. the www.regulations.gov index. 642–4900, or go to http:// ADDRESSES: The public meeting will be However, some documents listed in the webstore.ansi.org. held at the U.S. Department of Energy, index may not be publicly available, (3) Underwriter Laboratories 1598C– Forrestal Building, Room 1E–245, 1000 such as those containing information 2014 (‘‘UL 1598C–2014’’), Standard for Independence Avenue SW., that is exempt from public disclosure. Light-Emitting Diode Retrofit Luminaire Washington, DC 20585. Any foreign A link to the docket Web page can be Conversion Kits, First Edition, dated national wishing to participate in the found at: https://www1.eere.energy.gov/ January 16, 2014. meeting should advise DOE as soon as buildings/appliance_standards/ A copy of UL 1598C–2014 can be possible by contacting standards.aspx?productid=4. This Web obtained from Comm 2000, 151 Eastern

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Avenue, Bensenville, IL 60106, 1–888– I. Introduction analysis spreadsheet, and the 853–3503, or go to http:// Title III, Part B of the Energy Policy manufacturer impact analysis (MIA) 2 ulstandards.ul.com/standards-catalog/. and Conservation Act of 1975 (EPCA or spreadsheet. For a further discussion of these the Act), Public Law 94–163 (42 U.S.C. DOE held a public meeting on April standards, see section V.M. 6291–6309, as codified) established the 20, 2016, to hear oral comments on and Energy Conservation Program for solicit information relevant to the Table of Contents Consumer Products Other Than proposed rule. At this meeting, DOE I. Introduction Automobiles, a program covering most heard concerns from stakeholders II. Proposed Definition of General Service major household appliances regarding the expansion of scope in the Lamp (collectively referred to as ‘‘covered proposed GSL definition and DOE’s A. General Service Lamp Definition products’’).1 Subsequent amendments approach to analyzing the 22 1. GSILs expanded Title III of EPCA to include exemptions. In addition, DOE received a. Exemptions Discontinued additional consumer products, written comments that reiterated these b. Exemptions Maintained concerns and also provided additional c. Proposed Definition for GSIL including general service lamps (GSLs)—the products that are the focus data for DOE’s consideration. 2. CFLs Specifically, the National Electrical 3. General Service LED Lamps and OLED of this notice of proposed definition and data availability (NOPDDA). Manufacturers Association (NEMA) Lamps provided new data and information on 4. Other Lamps In particular, amendments to EPCA in a. General Lighting Applications the Energy Independence and Security the 22 exempted lamp types to inform b. ANSI Bases Act of 2007 (EISA 2007) directed DOE DOE’s evaluation of whether the c. Lumen Range to conduct two rulemaking cycles to exemptions should be maintained or d. Operating Voltage evaluate energy conservation standards discontinued as required by 42 U.S.C. e. Exempted Lamps From GSL for GSLs. (42 U.S.C. 6295(i)(6)(A)–(B)) 6295(i)(6)(A)(i)(II). f. Lamps Subject to Other Rulemakings For the first rulemaking cycle, EPCA, as Since the publication of the NOPR, 5. Summary and Proposed Regulatory Text amended by EISA 2007, directs DOE to DOE has analyzed the data submitted by Definition initiate a rulemaking no later than NEMA and collected additional data B. Supporting Definitions where available. DOE is publishing this 1. LED Downlight Retrofit Kit January 1, 2014, to evaluate standards for GSLs and determine whether NOPDDA to: (1) Propose a revised 2. Reflector Lamp and Non-Reflector Lamp definition of GSL; (2) announce the 3. Black Light Lamp, Colored Lamp, Plant exemptions for certain incandescent Light Lamp, and Bug Lamp lamps should be maintained or availability of the NEMA data and 4. Mine Service Lamp discontinued. (42 U.S.C. supplemental data collected by DOE; (3) 5. Appliance Lamp 6295(i)(6)(A)(i)) The scope of the request public comment on proposed 6. Marine Lamp and Marine Signal Service rulemaking is not limited to definitions and compiled data; and (4) Lamp incandescent lamp technologies. (42 request any additional data that 7. Vibration Service Lamp and Rough U.S.C. 6295(i)(6)(A)(ii)) Further, for this stakeholders may have in support of this Service Lamp first cycle of rulemaking, the EISA 2007 evaluation. The following sections 8. Covered Product amendments provide that DOE must describe the revised definition and 9. MR Lamp consider a minimum standard of 45 additional data in more detail. After 10. Other Definitions considering the comments received, III. Clarifications to Regulatory Text lumens per watt (lm/W). (42 U.S.C. DOE will publish a final rule. IV. Effective Date 6295(i)(6)(A)(ii)) If DOE fails to meet the V. Procedural Issues and Regulatory Review requirements of 42 U.S.C. II. Proposed Definition of General A. Review Under Executive Orders 12866 6295(i)(6)(A)(i)–(iv) or the final rule Service Lamp and 13563 from the first rulemaking cycle does not B. Review Under the Regulatory Flexibility produce savings greater than or equal to A. General Service Lamp Definition Act the savings from a minimum efficacy The term general service lamp (GSL) C. Review Under the Paperwork Reduction standard of 45 lm/W, the statute includes general service incandescent Act provides a ‘‘backstop requirement’’ lamps (GSILs), compact fluorescent D. Review Under the National under which GSLs would be subject to Environmental Policy Act of 1969 lamps (CFLs), general service light- E. Review Under Executive Order 13132 a minimum 45 lm/W standard emitting diode (LED) and organic light- F. Review Under Executive Order 12988 beginning on January 1, 2020. (42 U.S.C. emitting diode (OLED) lamps, and any G. Review Under the Unfunded Mandates 6295(i)(6)(A)(v)) other lamps that DOE determines are Reform Act of 1995 In March 2016, DOE published a used to satisfy lighting applications H. Review Under the Treasury and General notice of proposed rulemaking (NOPR) traditionally served by GSILs; however, Government Appropriations Act, 1999 that proposed a revised definition of GSLs do not include any lighting I. Review Under Executive Order 12630 GSL and energy conservation standards application or bulb shape excluded from J. Review Under the Treasury and General for certain GSLs (hereafter the ‘‘March the ‘‘general service incandescent lamp’’ Government Appropriations Act, 2001 2016 GSL ECS NOPR’’). 81 FR 14528 definition, or any general service K. Review Under Executive Order 13211 (March 17, 2016). In conjunction with L. Review Under the Information Quality fluorescent lamp or incandescent the NOPR, DOE also published on its reflector lamp. (42 U.S.C. 6291(30)(BB)) Bulletin for Peer Review Web site the complete technical support M. Description of Materials Incorporated DOE has the authority to consider by Reference document (TSD) for the proposed rule, additional lamps that it determines are VI. Public Participation which described the analyses DOE used to satisfy lighting applications A. Attendance at the Public Meeting conducted and included technical traditionally served by GSILs. (42 U.S.C. B. Procedure for Submitting Prepared documentation for each analysis. The 6291(30)(BB)(i)(IV)) In the March 2016 General Statements for Distribution TSD also included the life cycle cost C. Conduct of the Public Meeting (LCC) spreadsheet, the national impact 2 The spreadsheets developed for this rulemaking D. Submission of Comments proceeding are available at: https:// E. Issues on Which DOE Seeks Comment 1 Part B was re-designated Part A on codification www1.eere.energy.gov/buildings/appliance_ VII. Approval of the Office of the Secretary in the U.S. Code for editorial reasons. standards/standards.aspx?productid=4.

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GSL ECS NOPR, DOE proposed to Electric Lighting (GE) asserted that Public Meeting Transcript, No. 54 at pp. define a general service lamp as any Congress did not give DOE authority to 36–37) In contrast, Westinghouse and lamp intended to serve in general expand the definition of GSL to include ASAP voiced concern for the potential lighting applications and that has the all lamps that have any ANSI base, loophole that could exist if products following basic characteristics: (1) An operate at any voltage, and produce could be excluded from scope by simply ANSI base (with the exclusion of light general illumination, and that the indicating on their label that they are fixtures); (2) a lumen output of 310 expanded definition in conjunction intended for non-general applications. lumens or greater; (3) an ability to with the backstop will eliminate (Westinghouse, Public Meeting operate at any voltage; (4) is not or specialty and niche products with no Transcript, No. 54 at p. 39; ASAP, could not be the subject of other possible substitutes. (GE, No. 70 at pp. Public Meeting Transcript, No. 54 at p. rulemakings; and (5) no designation or 7–8) The International Association of 43) label for use in certain non-general Lighting Designers (IALD) stated that NEMA suggested an alternative applications (see section II.A.4 for more the broadened scope of GSLs was going definition of general service lamp that information). ‘‘General lighting beyond readily available technology. would modify the proposed definition application’’ is currently defined at 10 (IALD, No. 62 at p. 3) Philips Lighting in the March 2016 GSL ECS NOPR by CFR 430.2 as lighting that provides an (Philips) also stated it did not support stating that a general service lamp is interior or exterior area with overall the broadened definition of GSL and used to satisfy a majority of lighting illumination. referred to detailed comments from applications and is not a specialty base More specifically, DOE proposed the NEMA on the matter. (Philips, No. 71 at lamp nor a specialty lamp. Further, following definition for GSL in the p. 3) Earthjustice stated that the NEMA suggested that the definition March 2016 GSL ECS NOPR: proposed definition makes it clear what should specify that general service General service lamp means a lamp lamp types are covered. (Earthjustice, lamps operate at a rated voltage from that has an ANSI base, operates at any Public Meeting Transcript, No. 54 at p. 110 to 130 V or 11 to 13 V; have an voltage, has an initial lumen output of 24) However, DOE also received several initial lumen output of 232 lumens or 310 lumens or greater (or 232 lumens or comments expressing concern that the greater for modified spectrum general greater for modified spectrum general definition did not clearly specify the service incandescent lamps; and have service incandescent lamps), is not a scope of lamps that are GSLs. an initial lumen output of 2,600 lumens light fixture, is not an LED downlight The California Energy Commission or less. Additionally, NEMA retrofit kit, and is used in general (CEC) stated that many lamp types are recommended a definition for ‘‘specialty lighting applications. General service not intended for general service lamp’’ and ‘‘specialty base lamp.’’ lamps include, but are not limited to, applications and should not be included (NEMA, No. 66 at pp. 43–44) NEMA general service incandescent lamps, in the GSL definition, but could appear commented that DOE should follow the compact fluorescent lamps, general to be under the proposed definition, Federal Trade Commission’s (FTC’s) service light-emitting diode lamps, and leading to uncertainty and differences in approach to labeling specialty lamps. general service organic light-emitting interpretation between manufacturers. NEMA explained that instead of diode lamps, but do not include general (CEC, No. 69 at p. 18) CEC specifically amending the definition of general service fluorescent lamps; incandescent identified directional lamps less than service lamp, FTC incrementally reflector lamps; mercury vapor lamps; 2.25 inches in diameter and MR16 categorized certain specialty lamps as appliance lamps; black light lamps; bug lamps as examples in which the ‘‘specialty consumer lamps.’’ (NEMA, lamps; colored lamps; infrared lamps; coverage of the GSL definition is No. 66 at p. 19) marine signal lamps; mine service uncertain. CEC recommended that DOE The California Investor Owned lamps; plant light lamps; sign service either state the GSL scope of coverage Utilities (CA IOUs) agreed that a more lamps; traffic signal lamps; and medium explicitly by listing specific voltages, explicit list of covered lamp types screw base incandescent lamps that are wattages, lumen outputs, or similar would be helpful but only for left-hand thread lamps, marine lamps, attributes, or define ‘‘general service informational purposes and not for reflector lamps, rough service lamps, application’’ to clarify what applications inclusion in the regulatory text. (CA shatter-resistant lamps (including a are general service in nature. (CEC, No. IOUs, Public Meeting Transcript, No. 54 shatter-proof lamp and a shatter- 69 at pp. 18–19) Westinghouse agreed, at pp. 50–51) The Energy Efficiency protected lamp), silver bowl lamps, noting this ambiguity could introduce Advocates (EEAs) 3 recommended that, showcase lamps, 3-way incandescent compliance issues for manufacturers. after publication of the final rule, DOE lamps, vibration service lamps, G shape (Westinghouse, Public Meeting host an informational webinar on the lamps as defined in ANSI C78.20 Transcript, No. 54 at p. 39) lamp types that are GSLs and how (incorporated by reference; see § 430.3) GE recommended that DOE define standards apply to them. (EEAs, No. 64 and ANSI C79.1–2002 (incorporated by GSLs to be clear in not including at p. 2) The Northeast Energy Efficiency reference; see § 430.3) with a diameter specialty incandescent or specialty Partnerships (NEEP) suggested DOE of 5 inches or more, T shape lamps as halogen lamps with specialty bases that include a table in the final rule that defined in ANSI C78.20 (incorporated operate at other than 120 volts (or MR summarizes the scope of coverage by by reference; see § 430.3) and ANSI lamps that operate on a 120 V/12 V lamp types. (NEEP, No. 67 at p. 4) C79.1–2002 (incorporated by reference; transformer) and lamps that have a As discussed previously in this see § 430.3) and that use not more than lumen output of greater than 2,600 section, in the March 2016 GSL ECS 40 watts or have a length of more than lumens. GE also recommended defining NOPR DOE interpreted general service 10 inches, and B, BA, CA, F, G16–1/2, specialty base and specialty lamp in a G–25, G30, S, or M–14 lamps as defined separate definition in order to limit the 3 The Appliance Standards Awareness Project, in ANSI C79.1–2002 (incorporated by definition length and improve Natural Resources Defense Council, Alliance to reference; see § 430.3) and ANSI C78.20 readability. (GE, No. 70 at p. 10) Save Energy, American Council for an Energy (incorporated by reference; see § 430.3) Further, GE suggested DOE clearly state Efficient Economy, Consumer Federation of America, Consumers Union, National Consumer of 40 watts or less. that products designed or labeled for Law Center, Northeast Energy Efficiency DOE received some general comments use in non-general applications should Partnerships, and Northwest Energy Efficiency on the proposed definition. General not be included in the definition. (GE, Alliance.

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lamps as lamps intended to serve in (18) A traffic signal lamp; definition of GSL proposed in the March general lighting applications and that (19) A vibration service lamp; 2016 GSL ECS NOPR unlawfully have the following basic characteristics: (20) A G shape lamp (as defined in maintained exemptions for certain (1) An ANSI base (with the exclusion of ANSI C78.20 and ANSI C79.1–2002) incandescent lamps, including the 22 light fixtures); (2) a lumen output of 310 with a diameter of 5 inches or more; types of lamps excluded from EPCA’s lumens or greater; (3) an ability to (21) A T shape lamp (as defined in definition of ‘‘general service operate at any voltage; (4) are not or ANSI C78.20 and ANSI C79.1–2002) incandescent lamp.’’ (Earthjustice, No. could not be the subject of other and that uses not more than 40 watts or 61 at p. 1) CEC commented that DOE rulemakings; and (5) no designation or has a length of more than 10 inches; and should either correctly interpret the label for use in certain non-general (22) A B, BA, CA, F, G16–1/2, G–25, Appropriations Rider as allowing DOE applications. DOE is generally G30, S, or M–14 lamp (as defined in to determine whether to discontinue the maintaining this interpretation of GSL ANSI C79.1–2002 and ANSI C78.20) of 22 lamp exemptions and examine them when considering whether additional 40 watts or less. as technology neutral, or exempt all 22 lamp types regardless of technology and lamps are used to satisfy lighting 10 CFR 430.2 applications traditionally served by allow states to set appropriate GSILs (see section II.A.4 for In the March 2016 GSL ECS NOPR, standards. (CEC, No. 69 at pp. 20–21) modifications to lumen output and DOE declined to make a determination Several other commenters disagreed other rulemaking criteria). To delineate about discontinuing the 22 exemptions with DOE’s approach in the proposed the lamp types considered to be GSLs, from the GSIL definition. In the NOPR, rule regarding the 22 exemptions for DOE is continuing to propose a revised DOE initially concluded that, because GSILs. NEMA asserted that DOE has 4 definition of ‘‘general service lamp’’ in the Appropriations Rider prohibits impermissibly read EPCA’s use of the § 430.2 to capture these criteria and the DOE from using appropriated funds to terms ‘‘exempted’’ and ‘‘excluded’’ as exemptions. DOE has revisited the implement or enforce standards for the same term, and that 42 U.S.C. proposed definition of GSL, including GSILs, DOE could not re-evaluate the 6295(i)(6)(A)(i)(II) does not authorize the exemptions contained in the GSIL existing exemptions for GSILs in the DOE to discontinue the exemptions for and GSL definitions, for this notice. GSL rulemaking. 81 FR 14540. the 22 lamps listed under the GSIL DOE discusses key aspects of the Specifically, DOE stated that, by definition. (NEMA, No. 66 at pp. 17–18) proposed definition of GSL and definition, GSL does not apply to any DOE acknowledges that EPCA uses both additional comments from stakeholders lighting application or bulb shape the terms ‘‘exclusion’’ and ‘‘exempted’’; in the following sections. excluded from the ‘‘general service however, in the context of GSLs and incandescent lamp’’ definition. (42 GSILs, DOE understands the term 1. GSILs U.S.C. 6291(30)(BB)) Therefore, based ‘‘exempted’’ to reference lamps listed As stated previously, GSLs include on the GSL definition, the 22 under the ‘‘Exclusions’’ heading in the GSILs. (42 U.S.C. 6291(30)(BB)(i)(I)) The incandescent lamps that are excluded in GSIL definition. EPCA does not definition of ‘‘general service EPCA from the definition of GSIL would establish any ‘‘exemptions’’ for GSLs or incandescent lamp’’ is as follows: not be GSLs. Further, DOE stated that GSILs using that term; so if ‘‘exempted’’ General service incandescent lamp the formerly exempted lamp types does not refer to ‘‘exclusions’’ or means a standard incandescent or would have to be considered GSILs in something comparable then the halogen type lamp that is intended for order for DOE to regulate the lamps instruction in 42 U.S.C. general service applications; has a under its authority to promulgate 6295(i)(6)(A)(i)(II) has no application. medium screw base; has a lumen range standards for GSLs. Since the The word that EPCA uses for the of not less than 310 lumens and not Appropriations Rider prohibits the concept of ‘‘exempting’’ certain lamps more than 2,600 lumens or, in the case expenditure of funds to implement or from being GSILs or GSLs is of a modified spectrum lamp, not less enforce standards for GSILs, DOE ‘‘excluding’’; and DOE accordingly takes than 232 lumens and not more than reasoned that it would not be able to ‘‘exempted’’ to refer to those exclusions. 1,950 lumens; and is capable of being establish or amend energy conservation Furthermore, DOE interprets Congress’ operated at a voltage range at least standards for any of these lamps. As a intent to be for DOE to evaluate whether partially within 110 and 130 volts; result, making a determination about certain lamps that have been excluded however this definition does not apply discontinuing the exemption from the from the GSIL definition should be to the following incandescent lamps— GSIL definition for any of the 22 subject to any future GSL standards. (1) An appliance lamp; medium screw base lamps would make DOE concludes that to leave certain of (2) A black light lamp; no difference in the GSL rulemaking, the exemptions in place would diminish (3) A bug lamp; and DOE declined to address the the energy savings that would otherwise (4) A colored lamp; exemptions at that time. 81 FR 14541. be achieved because the excluded lamps (5) An infrared lamp; A number of commenters stated that would provide a less efficient option to (6) A left-hand thread lamp; EPCA requires DOE to determine meet the same general lighting (7) A marine lamp; whether the exemptions of incandescent application. (8) A marine signal service lamp; lamps should be discontinued or Upon consideration of the comments (9) A mine service lamp; maintained as required under 42 U.S.C. received on the March 2016 GSL ECS (10) A plant light lamp; 6295(i)(6)(A)(i)(II). (ASAP, Public NOPR and further review of the relevant (11) A reflector lamp; Meeting Transcript, No. 54 at p. 12; authorities, DOE has revisited its (12) A rough service lamp; NRDC, Public Meeting Transcript, No. interpretation with respect to the (13) A shatter-resistant lamp 54 at pp. 16–17; CEC, No. 69 at p. 20; proposed definition of GSL and (including a shatter-proof lamp and a Earthjustice, No. 61 at pp. 2–3; Philips, application of the Appropriations Rider. shatter-protected lamp); No. 71 p. 4) Earthjustice stated that the In the March 2016 GSL ECS NOPR, DOE (14) A sign service lamp; stated that it believed it is prohibited by (15) A silver bowl lamp; 4 The Consolidated and Further Continuing the Appropriations Rider from (16) A showcase lamp; Appropriations Act, 2015 (Pub. L. 113–235, Dec. 16, modifying the existing exemptions for (17) A 3-way incandescent lamp; 2014). GSILs in this rulemaking. 81 FR 14540.

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However, the focus of the NOPR was to As stated previously, the definition of energy conservation standards. (NEMA, propose new energy conservation GSIL lists 22 lamp types that are not No. 66 at p. 18) standards for GSLs; in that context, DOE included in the definition, and these DOE disagrees with NEMA’s did not propose to modify the GSIL lamps are described under the heading interpretation of the definitions of the exemptions and then impose new ‘‘Exclusions.’’ (42 U.S.C. 6291(30)(D)(ii)) identified lamps. The ‘‘standards’’ to standards for GSILs. By contrast, this Under the authority for the GSL which NEMA refers for these lamps are proposed rule neither implements nor rulemaking, EPCA directs DOE to the maximum wattage limits set under seeks to enforce any standard. Rather, consider whether to maintain the EPCA in defining the lamps for the this proposed rule merely seeks to ‘‘exemptions’’ for certain incandescent purpose of excluding them from the define what constitutes a GSIL and what lamps, based, in part, on exempted lamp definition of GSIL. The maximum constitutes a GSL. As noted above, the sales data collected by DOE. (42 U.S.C. wattage provides definitional Appropriations Rider restricts DOE from 6295(i)(6)(A)(i)(II)) For four of the lamps boundaries, not standards. (42 U.S.C. ‘‘implementing or enforcing’’ the included in the list of 22 lamps (i.e., 6291(30)(T), (D)(ii)(XXI) and standards imposed on GSILs by 10 CFR rough service lamps, vibration service (D)(ii)(XXII)) Appliance lamps and T, B, 430.32(x). It does not preclude DOE lamps, 3-way incandescent lamps, and BA, CA, F, G16–1/2, G–25, G30, S, and from utilizing its authority under EPCA shatter-resistant lamps), EPCA directs M–14 shape incandescent lamps are to alter the scope of GSIL and GSL. DOE DOE to collect sales data and prescribe expressly listed under the exclusion believes this is a reasonable standards for these lamps when certain provision in the definition of GSIL. (42 interpretation of the Appropriations sales thresholds are met. (42 U.S.C. U.S.C. 6291(30)(D)(ii)(I), (XXI), and Rider because, in evaluating the 6295(l)(4)) DOE understands the (XXII)) exemptions, DOE is following a reference to ‘‘data collected’’ by DOE DOE also received comments directive related to a GSL rulemaking to under the GSL rulemaking provision to regarding subjecting specialty lamp define the scope of GSLs. DOE is not mean the data collected as required for types to the backstop. NEMA disagreed conducting any analysis in support of rough service lamps, vibration service with DOE’s position that the backstop establishing energy conservation lamps, 3-way incandescent lamps, and will apply to specialty lamps typically standards for GSILs. Although a shatter-resistant lamps (i.e., lamps listed used in niche applications. (NEMA, No. collateral effect is to broaden the scope under the ‘‘Exclusion’’ heading). Here, 66 at p. 84) NEMA and Osram Sylvania, of the GSIL definition, DOE is simply Congress appears to be using the term Inc (OSI) noted that it is not necessary defining what lamps constitute GSLs so ‘‘exempted’’ to refer to lamps under the to establish standards for lamps used in that both manufacturers and DOE can ‘‘Exclusion’’ heading. Moreover, unique applications and that do not understand how the regulations apply to Congress used ‘‘exempted’’ to refer to consume significant amounts of energy. (NEMA, No. 66 at pp. 83–84; OSI, No. the market. Without such a definition of lamps identified under ‘‘exclusions’’ in 73 at pp. 12–13) NEMA pointed out that GSLs, regulated entities would face prior amendments to the lamp one of the more popular exempt uncertainty as to what is a GSL. provisions in EPCA. In section 321 of specialty lamps, globe shaped Furthermore, as noted above, leaving EISA, Congress provided that an incandescent lamps, did not meet the certain exemptions in place would individual could petition DOE to annual energy use threshold to be diminish the energy savings that would establish standards for lamps excluded considered for regulation under EPCA. otherwise be achieved because the from the definition of GSL, and that NEMA also stated that the market will excluded lamps would provide a less such petition must include evidence remove specialty CFLs without efficient option to meet the same general that the sales of exempted incandescent regulatory action and that standards on service lighting application. lamps have increased. Public Law 140– A lamp exempted from the GSIL such products would impose an 110; 121 Stat. 1492, 1528. Again, the use definition is not a covered GSIL and is unnecessary additional regulatory of ‘‘excluded’’ appears synonymous not subject to the regulations for GSILs. burden. (NEMA, No. 66 at p. 48) with ‘‘exempted’’ in the context of However, DOE is directed as part of the NEMA appears to be arguing that DOE GSLs. As such, DOE understands the GSL rulemaking to determine whether lacks authority to establish an energy direction to determine whether to certain of these exemptions should be conservation standard for lamps that maintain the exemptions for certain maintained or discontinued based, in would otherwise be subject to the incandescent lamps to include a part, on exempted lamp sales collected exemptions listed as part of the GSIL from manufacturers. (42 U.S.C. determination of whether to include in definition. DOE disagrees. As discussed 6295(i)(6)(A)(i)(II)). If DOE discontinues the definition of GSL lamps meeting the previously, in a paragraph entitled a given exemption, medium screw base description of the 22 lighting ‘‘Standards for general service lamps,’’ incandescent lamps subject to that applications or bulb shapes. EPCA directs DOE to consider whether exemption will become GSILs and thus NEMA also argued that because to establish or maintain the exemptions GSLs; CFLs and general service LED and incandescent appliance lamps; T shape for certain incandescent lamps as part of OLED lamps of that lighting application lamps, B, BA, CA, F, G16–1/2, G25, G30, a rulemaking to establish energy or bulb shape will become GSLs; and S, or M14-shaped lamps; and vibration conservation standards for GSLs. In other lamps of that lighting application service incandescent lamps are subject doing so, EPCA gives DOE authority to or bulb shape will also become GSLs, to to standards, there is no exemption from evaluate the scope of lamps that are the extent DOE determines those lamps energy conservation standards to GSLs and to set standards for them. are used to satisfy lighting applications maintain or discontinue for these lamps Based on the comments received and traditionally served by general service under 42 U.S.C. 6295(i)(6)(a)(i)(II). further review of DOE’s obligations, incandescent lamps. NEMA stated that in defining these DOE is evaluating each of the 22 In this proposed rule, DOE evaluates specialty lamps, Congress imposed a exemptions to see whether it should be the 22 lighting applications or bulb maximum quantity of energy use maintained or discontinued, based in shapes exempted under the GSIL standard that had the actual effect of part on sales data. DOE proposes to definition to determine whether such eliminating higher wattage versions of make these decisions in light of the fact exemptions should be maintained or these lamps from the market and saving that GSLs will become subject to the 45 discontinued. energy. Thus, these wattage caps are lm/W statutory standard in 2020. Lamps

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for which DOE continues the other general service lamps (e.g., GSILs, data and information are sufficient exemptions will not be subject to the MBCFLs, general service LEDs) and if representations of sales data as required, standard, so DOE proposes to sales data suggest that substantial in part, by the statute and thus are an discontinue a given exemption if the numbers of consumers are using those appropriate basis on which to make its continuation of the exemption would lamps for general illumination. preliminary determination. undermine the 45 lm/W standard by The following sections assess the In addition to considering sales data, providing a convenient unregulated exemptions and present DOE’s alternative to GSLs. DOE understands preliminary determination of whether DOE also considered whether an the exclusions to exist, in part, as a the exemption should be maintained or exempted lamp could be used as a reflection of past practice and, in part, discontinued. DOE referenced a replacement for a GSIL. This because of uncertainty when the GSL combination of sources for available consideration of ‘‘lamp switching’’ is to standard was enacted about whether information on lamp sales. Specifically, minimize the potential for creating a excluded lamps are only specialty DOE considered the sales data loophole in any GSL standard(s). If DOE products or are substitutable for submitted by NEMA as required by 42 were to maintain an exemption for a broader-use lamps. The directive of U.S.C. 6295(l)(4)(B) for rough service lamp that has the same consumer utility Congress to reconsider the exclusions lamps, vibration service lamps, 3-way as a lamp subject to a standard, the use demonstrates its intent for DOE to take incandescent lamps, 2,601–3,300 lumen of such lamps could increase in a fresh look at whether excluded lamps general service incandescent lamps, and response to standards. This would result should continue to be treated as shatter-resistant lamps; 5 information in less energy savings being realized as specialty products. DOE will use the submitted by NEMA in its public the market shifted to an increased use information available, including sales comment in support of the GSL of the unregulated lamps. data, to assess that question for each rulemaking; extrapolation from DOE’s exemption. Thus, DOE proposes to product database based on an inventory Table II.1 summarizes the status of the discontinue an exemption if lamps of available products; and data available exemptions, the sales data underlying within that exemption are capable of from rulemakings for other covered DOE’s decision, and the reasons providing general illumination like products. DOE believes these sources of supporting DOE’s decision.

TABLE II.1—DETERMINATIONS REGARDING EXEMPTIONS

DOE’s preliminary GSIL exempted lamp category Estimated sales data Additional factors DOE determination on (units annual sales) considered exemption status

Appliance Lamp ...... <3 million ...... Maintain exemption. Black Light Lamp ...... <1 million ...... Maintain exemption. Bug Lamp ...... <1 million ...... Maintain exemption. Colored Lamp ...... <2 million ...... Maintain exemption. Infrared Lamp ...... <1 million ...... Maintain exemption. Left-Hand Thread Lamp ...... <1 million ...... Maintain exemption. Marine Lamp ...... <1 million ...... Maintain exemption. Marine Signal Service Lamp ...... <1 million ...... Maintain exemption. Mine Service Lamp ...... <1 million ...... Maintain exemption. Plant Light Lamp ...... <1 million ...... Maintain exemption. Reflector Lamp ...... Approximately 300 million ...... Lamp switching risk ...... Discontinue exemption. Rough Service Lamp * ...... 10,914,000 ...... Discontinue exemption. Shatter-Resistant Lamp ...... 689,000 ...... Lamp switching risk ...... Discontinue exemption. Sign Service Lamp ...... Approximately 1 million ...... Maintain exemption. Silver Bowl Lamp ...... Approximately 1 million ...... Maintain exemption. Showcase Lamp ...... <1 million ...... Maintain exemption. 3-way Incandescent Lamp ...... 32,665,000 ...... Lamp switching risk ...... Discontinue exemption. Traffic Signal Lamp ...... <1 million ...... Maintain exemption. Vibration Service Lamp ...... 7,071,000 ...... Discontinue exemption. G-shape Lamp with diameter of 5 inches Approximately 8 million ...... Lamp switching risk ...... Discontinue exemption. or more. T-shape lamp of 40 W or less or length of Approximately 7 million ...... Lamp switching risk ...... Discontinue exemption. 10 inches or more. B, BA, CA, F, G16–1/2, G25, G30, S, M– Approximately 42 million ...... Lamp switching risk ...... Discontinue exemption. 14 lamp of 40 W or less. * NEMA submitted revised data for rough service lamps following the publication of the notice of data availability for five lamp types. See 81 FR 20261 (April 7, 2016). The revised data showed sales of 10,914,000 rough service lamps in 2015, which results in a requirement for DOE to initiate an accelerated rulemaking to establish an energy conservation standard for rough service lamps. See ex parte memorandum published in the docket at: https://www.regulations.gov/document?D=EERE-2011-BT-NOA-0013-0019.

As shown in Table II.1, based on the DOE is proposing to maintain 14 of the a. Exemptions Discontinued compiled sales data and a consideration GSIL exemptions due to low sales and As stated, DOE is proposing to of additional, applicable factors, DOE low potential for use in GSL discontinue eight exemptions from the has tentatively determined to applications. DOE discusses each of the definition of GSIL. DOE assessed data discontinue eight GSIL exemptions. exemptions in the sections that follow. available for medium screw base

5 See II.A.1 for revised data submitted by NEMA on rough service lamps.

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reflector lamps that are incandescent inches. For B, BA, CA, F, G16–1/2, G25, published in the docket at: https:// and preliminarily concluded that these G30, S, and M–14 lamps of 40 W or less, www.regulations.gov/ lamps have high annual sales. DOE estimated the annual sales as document?D=EERE-2011-BT-NOA-0013- Specifically, DOE estimated that the approximately 42 million. For G-shape 0019. If the Secretary does not complete sales of medium base reflector lamps lamps with a diameter of 5 inches or this accelerated rulemaking in the that are incandescent are approximately more, DOE estimated the annual sales as allotted time, the statute provides a 300 million units per year (about 270 approximately 8 million units. In ‘‘backstop requirement’’ that becomes million incandescent reflector lamps addition to the sizeable sales of larger the regulatory standard for rough service [IRLs] and about 30 million non-IRL globe shape lamps, DOE believes it is lamps. This backstop requirement reflector lamps). In addition, DOE likely that larger globe shape lamps may would require rough service lamps to: believes medium screw base reflector be used as substitutes for the G16.5, (1) Have a shatter-proof coating or lamps are capable of providing overall G25, and G30 lamps if the exemption is equivalent technology that complies illumination and could be used as a not also discontinued. Regarding T- with NSF/ANSI 51 and is designed to replacement for a GSIL. Therefore, there shape lamps that use not more than 40 contain the glass if the glass envelope of is also high potential for ‘‘lamp W or have a length of more than 10 the lamp is broken and to provide switching’’ and subsequently creating a inches, DOE estimated the annual sales effective containment over the life of the loophole. For these reasons, DOE is of these lamps as roughly 7 million lamp, (2) have a maximum 40-watt proposing to discontinue the exemption units. Further, the lamps of the specific limitation, and (3) be sold at retail only for reflector lamps in this document. shapes discussed in this paragraph are in a package containing one lamp. Although IRLs are explicitly exempt frequently used in general lighting Although the sales of shatter-resistant from the definition of GSL, 42 U.S.C. applications and thus DOE believes and 3-way incandescent lamps have not 6295(i)(6)(A)(i)(II) directs DOE to there is a significant risk for lamp yet exceeded their estimated consider whether to discontinue the switching. Therefore, due to high sales benchmarks, DOE expects these sales exemptions for certain incandescent and high potential for lamp switching, will likely increase since these lamps lamps. DOE interprets this direction as DOE is proposing to discontinue the could be used as replacements for other referring to all exempt incandescent GSIL exemption for these specific regulated lamp types. In addition, the lamps in 42 U.S.C. 6291(BB)(ii); that is, shapes. sales of these lamps are not negligible. incandescent reflector lamps and the 22 Pursuant to 42 U.S.C. 6295(l)(4), DOE Specifically, the NEMA-submitted data types exempt from GSIL. Furthermore, is required to collect unit sales data for for 2015 indicated that almost 38 DOE notes that discontinuing the rough service, shatter-resistant, 3-way million 3-way incandescent lamps (67.2 exemption for reflector lamps from GSIL incandescent lamps, and vibration percent of the benchmark estimate) and expressly includes incandescent service lamps. Section 321(a)(3)(B) of nearly 700,000 shatter-resistant lamps reflector lamps as GSILs and therefore EISA 2007 in part amends paragraph (41.1 percent of the benchmark as GSLs. 325(l)(4) of EPCA by adding paragraphs estimate) were sold in the previous year. While DOE is discontinuing the (D) through (H), which direct DOE to 81 FR at 20263–64 (April 7, 2016). exemption for reflector lamps generally, take regulatory action if the actual Based on the high sales volume and R20 short lamps will continue to not be annual unit sales of any of these lamp probability of consumers switching to subject to standards. R20 short lamps types are more than 200 percent of the these lamp types, DOE is proposing to are defined as R20 incandescent predicted shipments (i.e., more than discontinue the exemptions of rough reflector lamps that have a rated wattage double the benchmark unit sales service, shatter-resistant, 3-way of 100 watts; have a maximum overall estimate). (42 U.S.C. 6295(l)(4)(D)–(H)) incandescent, and vibration service length of 3 and 5⁄8, or 3.625, inches; and DOE published a notice of data lamps from GSILs in this document. are designed, labeled, and marketed availability (NODA) in April 2016, As stated, DOE is required to specifically for pool and spa which indicated that the shipments of prescribe standards for rough service applications. In a final rule published vibration service lamps were over 7 incandescent lamps, vibration service on November 14, 2013, DOE determined million units in 2015, which equates to incandescent lamps, 3-way that standards for these lamps would 272.5 percent of the benchmark incandescent lamps, 2,601–3,300 lumen not result in significant energy savings estimate. 81 FR 20261, 20263 (April 7, general service incandescent lamps,7 because such lamps are designed for 2016). Therefore, vibration service and shatter resistant incandescent lamps special applications or have special lamps exceeded the statutory threshold (hereafter ‘‘five-exempted incandescent characteristics not available in for the first time, thus triggering an lamps’’) if their respective lamp sales reasonably substitutable lamp types. 78 accelerated rulemaking. Furthermore, exceed a certain threshold. Further, if FR 68331, 68340. Pursuant to 42 U.S.C. NEMA submitted revised data for rough DOE fails to set a standard, the lamp 6291(30)(E), these lamps are specifically service lamps following the publication becomes subject to a specific wattage not incandescent lamps and therefore of the April 2016 NODA. See 81 FR limit. 42 U.S.C. 6295(l)(4). NEMA do not become GSILs when the reflector 20261 (April 7, 2016). The revised data asserted that this differential treatment lamp exemption is discontinued. showed sales of 10,914,000 rough of the five-exempted incandescent DOE also collected data for medium service lamps in 2015, which results in lamps from the other 22 exempted screw base incandescent lamps of the a requirement for DOE to initiate an following specific shapes: B, BA, CA, F, service lamps are more than double the benchmark accelerated rulemaking for rough service sales estimate for the 2015 calendar year, DOE must G16–1/2, G25, G30, S, M–14 lamps (as lamps.6 See ex parte memorandum defined in ANSI C78.20 and ANSI conduct an accelerated energy conservation standards rulemaking for rough service lamps to be C79.1–2002) of 40 W or less; G-shape 6 Section 321(a)(3)(B) of EISA 2007 in part completed no later than the end of the 2016 lamps (as defined in ANSI C78.20 and amends paragraph 325(l)(4) of EPCA by adding calendar year. ANSI C79.1–2002) with a diameter of 5 paragraphs (D) through (H), which direct DOE to 7 2,601–3,300 lumen lamps are not included in inches or more; T-shape lamps (as take regulatory action if the actual annual unit sales the 22 exemptions from GSIL. However, the of any of the five lamp types exceed the predicted definition of GSIL prescribes a lumen range of 310 defined in ANSI C78.20 and ANSI shipments by at least 100 percent (i.e., more than to 2,600 lumens thereby excluding these lamps. See C79.1–2002) that use not more than 40 double the benchmark unit sales estimate). (42 section II.A.4 for a discussion of lumen output W or has a length of more than 10 U.S.C. 6295(l)(4)(D)–(H)) As the sales for rough range.

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incandescent lamp types, and that their lamps are costly to make and rough service lamps in this NOPDDA. In sales data threshold is not based on consequently have higher retail prices addition, as discussed previously, DOE growth in market share, shows that than incandescent, fluorescent, or LED is proposing to discontinue the Congress did not intend to treat these as lamps used in a majority of lighting exemptions for shatter-resistant and 3- GSLs when they exceed the specific applications. Based on these factors, way lamps from the definition of GSIL sales limit. (NEMA, No. 66 at pp. 21–22) NEMA asserted DOE should maintain in this NOPDDA due to lamp sales and OSI and GE observed that DOE is these exemptions. (NEMA, No. 66 at p. the likelihood of lamp switching and already taking steps to evaluate these 46) potential loopholes if these exemptions five kinds of lamps as required by EEAs noted that shipments of rough were to remain. legislation. (OSI, No. 73 at p. 6; GE, No. service lamps are significantly higher DOE requests comment on the eight 70 at pp. 8–9) than DOE’s model and that they expect GSIL exemptions that are proposed to be In contrast, NRDC expressed concern to see further increases in the shipments discontinued in this rule. In particular, that 3-way incandescent lamps, shatter- of these lamps. (EEAs, No. 64 at pp. 6– DOE requests comment on the estimated resistant incandescent lamps, and 7) NEMA acknowledged that the sales of annual unit sales, potential for lamp vibration service incandescent lamps rough service incandescent lamps have switching, and any other factors that may become loopholes if DOE does not declined but not at a rate as fast as the DOE should consider. establish standards for them. (NRDC, modeled decline. Thus, NEMA Public Meeting Transcript, No. 54 at pp. suggested that DOE adopt the following b. Exemptions Maintained 16–17) EEAs commented that vibration standard for rough service incandescent As stated previously, DOE is service incandescent lamps, rough lamps: a maximum wattage of 40 watts proposing to maintain 14 exemptions service incandescent lamps, shatter- and sold at retail only in a package from the definition of GSIL. DOE found resistant incandescent lamps, and 3-way containing one lamp. (NEMA, No. 66 at that medium screw base incandescent incandescent lamps are loophole risks p. 47) DOE notes that after providing lamps that are appliance; black light; because they are capable of serving in these comments, NEMA submitted data bug; colored; infrared; left-hand thread; general lighting applications; are indicating that the sales of rough service marine; marine signal service; mine available in shapes, sizes, and lumen lamps had increased such that they service; plant light; sign service; silver packages that allow them to replace were more than 200 percent of the bowl; showcase; and traffic signal lamps common GSILs; and are relatively predicted shipments in 2015 (i.e., more had low sales data thus indicating that inexpensive. (EEAs, No. 64 at pp. 6–7) than double the benchmark unit sales these are low volume products. DOE EEAs stated DOE should review estimate). See ex parte memorandum estimates that 12 of the 14 exemptions whether they should be included within published in the docket at: https:// have annual unit sales of 1 million units the definition of GSL as part of the www.regulations.gov/ or less. The remaining two exemptions, current rulemaking in the same way it document?D=EERE-2011-BT-NOA-0013- appliance lamps and colored lamps, are is required to review the other 18 0019. estimated to have less than 3 million exempted lamp types. ASAP also EEAs, GE, CEC, and NEMA noted that annual unit sales and less than 2 million commented that these lamps should be the shipments of vibration service lamps annual unit sales, respectively. DOE has included in the definition of a GSL. have exceeded the projected sales limit also tentatively concluded that several (ASAP, Public Meeting Transcript, No. and now require regulation. (EEAs, No. of these exempted lamp types are 54 at p. 53–54) 64 at pp. 6–7; GE, No. 70 at p. 12; CEC, EEAs indicated that the shipment No. 69 at p. 22; NEMA, No. 66 at p. 47) unable to serve in general lighting tracking approach is only effective if NEMA suggested DOE incorporate the applications and cannot provide overall DOE receives comprehensive shipment accelerated rulemaking for vibration illumination. Specifically, black light; data for the U.S. market, which is service incandescent lamps into this bug; colored; infrared; and plant light dependent upon comprehensive rulemaking and adopt the following lamps produce radiant power in specific reporting by NEMA’s manufacturer standard: A maximum wattage of 40 wavelengths of the electromagnetic members. The actual shipments and watts and sold at retail only in a spectrum that would prevent these sales of the exempted lamp types could package containing one lamp. (NEMA, lamps from serving in general lighting be significantly higher than reported if No. 66 at p. 47) GE concurred that DOE applications. Further, DOE believes that non-NEMA members serve the market. should address vibration service proposing definitions for these (EEAs, No. 64 at p. 7) Further, EEAs incandescent lamps in this rulemaking. exempted lamp types will help to noted that the wattage limit (GE, No. 70 at p. 12) However, CEC prevent them from becoming loopholes. requirements for vibration service, recommended an accelerated (See section II.B for a discussion of the rough service, and shatter-resistant rulemaking for vibration service lamps definitions proposed for exemptions.) lamps that would be triggered if DOE and urged DOE to adopt a technology DOE requests comment on the 14 did not establish standards as required neutral standard that aligns with GSIL exemptions proposed to be are less stringent than the GSL backstop standards adopted in this rulemaking. maintained in this proposed rule. In and may be insufficient to stop these (CEC, No. 69 at p. 22) particular, DOE requests comment on types of lamps from becoming As stated previously, the sales the estimated annual unit sales, loopholes. EEAs also stated that the threshold has been triggered for potential for lamp switching, and any backstop for 3-way incandescent lamps vibration service lamps. Subsequent other factors that DOE should consider. should apply to each filament in the data submitted by NEMA indicates that DOE also requests any additional sales lamp. (EEAs, No. 64 at pp. 6–7) the sales threshold has also been data from stakeholders that could be NEMA noted that sales of shatter- triggered for rough service lamps. considered when determining whether resistant incandescent lamps, 3-way Therefore, DOE agrees with the to maintain or discontinue the GSIL incandescent lamps, and incandescent suggestion from several stakeholders to exemptions. lamps from 2,601–3,300 lumens have include vibration service and rough c. Proposed Definition for GSIL declined substantially since the baseline service incandescent lamps as GSLs and period 1990–2006. NEMA commented proposes to discontinue the exemptions Based on these preliminary that these three specialty incandescent from GSIL for vibration service and determinations, DOE is proposing to

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include in the definition for GSIL the lamps. The adopted definition for CFL integrated LED lamp designed for use in following: is as follows: general lighting applications (as defined General service incandescent lamp Compact fluorescent lamp (CFL) in 430.2) and that uses light-emitting means a standard incandescent or means an integrated or non-integrated diodes as the primary source of light. halogen type lamp that is intended for single-base, low pressure mercury, Similarly, general service OLED general service applications; has a electric-discharge source in which a lamps are also included in the medium screw base; has a lumen range fluorescing coating transforms some of definition of GSL. DOE does not of not less than 310 lumens and not the ultraviolet energy generated by the currently have a definition for ‘‘OLED more than 2,600 lumens or, in the case mercury discharge into light; the term lamp,’’ however, ‘‘OLED’’ is defined at of a modified spectrum lamp, not less does not include circline or U-shaped 10 CFR 430.2 as a thin-film light- than 232 lumens and not more than lamps. emitting device that typically consists of 1,950 lumens; and is capable of being In response to the March 2016 GSL a series of organic layers between two operated at a voltage range at least ECS NOPR, NEMA and OSI stated that electrical contacts (electrodes). DOE partially within 110 and 130 volts; non-integrated CFLs comprise a small proposed the following definition for however this definition does not apply portion of the GSL commercial market OLED lamp in the March 2016 GSL ECS to the following incandescent lamps— with declining sales. (NEMA, No. 66 at NOPR: (1) An appliance lamp; p. 5; OSI, No. 73 at p. 13) As such, Organic light-emitting diode or OLED (2) A black light lamp; NEMA recommended that non- lamp means an integrated or non- (3) A bug lamp; integrated CFLs only be subject to the 45 integrated lamp designed for use in (4) A colored lamp; lm/W backstop requirement. (NEMA, general lighting applications (as defined (5) An infrared lamp; No. 66 at p. 5) As discussed previously, in 430.2) and that uses OLEDs as the (6) A left-hand thread lamp; DOE determined that the term compact primary source of light. fluorescent includes both integrated and (7) A marine lamp; NEMA and OSI suggested non-integrated CFLs, and therefore non- (8) A marine signal service lamp; modifications to the proposed integrated CFLs meet the definition of (9) A mine service lamp; definitions of ‘‘general service light- GSL. Further, DOE found that the (10) A plant light lamp; emitting diode (LED) lamp’’ and market share of non-integrated CFLs is (11) An R20 short lamp; ‘‘organic light-emitting diode or OLED not negligible given the vast number of (12) A sign service lamp; lamp’’—specifically to change the product offerings and common use in (13) A silver bowl lamp; phrase ‘‘for use in general lighting commercial applications. (14) A showcase lamp; and applications’’ to either of the following (15) A traffic signal lamp. 3. General Service LED Lamps and phrases: ‘‘for use in a majority of As noted previously, GSILs are OLED Lamps lighting applications’’ or ‘‘for use in included in the definition of GSL. (42 General service LED lamps are general service applications.’’ If DOE U.S.C. 6291(30)(BB)(i)(I)) Thus, any included in the definition of GSL under preferred the latter phrase, they lamp that meets the proposed definition 42 U.S.C. 6291(30)(BB). DOE does not recommended a definition for ‘‘general of a GSIL would consequently also be a currently have a definition for ‘‘general service applications’’ that specified GSL. DOE requests comment on the service LED lamp,’’ however ‘‘light- majority of lighting installations and proposed definition for GSIL. emitting diode or LED’’ is defined at 10 excluded minority of lighting 2. CFLs CFR 430.2 as a p-n junction solid-state applications. (NEMA, No. 66 at p. 73; device of which the radiated output, OSI, No. 73 at p. 5) CFLs are also included in the either in the infrared region, the visible DOE is proposing to maintain the use definition of GSL; however, the term region, or the ultraviolet region, is a of the phrase ‘‘general lighting ‘‘compact fluorescent lamp’’ was not function of the physical construction, applications’’ in the definitions where it previously defined. DOE determined the material used, and exciting current of was previously proposed, including term ‘‘compact fluorescent lamp’’ the device. In addition, the July 2016 those for ‘‘general service light-emitting applied to both integrated (e.g., medium LED TP final rule adopted a definition diode (LED) lamp’’ and ‘‘organic light- base CFLs) and non-integrated CFLs for the term ‘‘integrated LED lamp’’ in emitting diode or OLED lamp.’’ (See (e.g., pin base CFLs) in the preliminary order to define the scope of the test section II.A.4 for more information.) For analysis of the general service procedure. 81 FR 43404, 43426 (July 1, consistency, DOE is proposing here to fluorescent lamp (GSFL) and 2016). The term ‘‘integrated LED lamp’’ adopt the term ‘‘general service organic incandescent reflector lamp (IRL) energy was defined using the industry standard lighting-emitting diode or OLED lamp’’ conservation standards rulemaking.8 ANSI/IES RP–16–2010 and was adopted rather than ‘‘organic lighting-emitting Because the term ‘‘compact fluorescent as follows: diode or OLED lamp’’ as originally lamps’’ was not previously defined, Integrated light-emitting diode lamp proposed in the March 2016 GSL ECS DOE adopted a definition for CFL in the means an integrated LED lamp as NOPR. August 2016 CFL test procedure final defined in ANSI/IES RP–16 NEMA also recommended DOE rule. 81 FR 59386, 59403 (August 29, (incorporated by reference; see § 430.3). specify that general service LED lamps 2016). DOE incorporated language from However, because LED lamps can be include lamps marketed as vibration the industry standards published by the integrated or non-integrated, DOE service, vibration resistant, or rough Illuminating Engineering Society of proposed a definition for the term service lamps. (NEMA, No. 66 at p. 105) North America (IES) RP–16–10 and IES ‘‘general service LED lamp’’ to include DOE preliminarily determines that this LM–66–14 to define CFL without both integrated and non-integrated inclusion is unnecessary and, inappropriately excluding or including lamps in the March 2016 GSL ECS furthermore, would be confusing unless NOPR. DOE proposed the following every sub-lamp type within general 8 The preliminary analysis technical support definition for general service LED service LED lamps were also specified. document for the GSFL and IRL Standards Therefore, DOE proposes the Rulemaking is available at www.regulations.gov/ lamps: #!documentDetail;D=EERE-2011-BT-STD-0006- General service light-emitting diode following definitions for ‘‘general 0022. (LED) lamp means an integrated or non- service light-emitting diode (LED)

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lamp’’ and ‘‘general service organic overall illumination’’ in the definitions linear fluorescent lamps. However, light-emitting diode (OLED) lamp’’: of ‘‘general service incandescent lamp’’ niche incandescent or niche halogen General service light-emitting diode or ‘‘general service lamp.’’ Relying on lighting product with low and declining (LED) lamp means an integrated or non- the language of the GSIL definition sales volumes, unique shapes, specialty integrated LED lamp designed for use in established in the Energy Policy Act of bases, or operating on non-residential general lighting applications and that 1992 (Pub. L. 102–486; October 24, voltages should not be considered as uses light-emitting diodes as the 1992), NEMA stated that the definition satisfying a majority of lighting primary source of light. of GSL should be limited to lamps that applications traditionally served by General service organic light-emitting are used to satisfy the majority of GSILs. (GE, No. 70 at p. 9; OSI, No. 73 diode (OLED) lamp means an integrated lighting applications. (NEMA No. 66, at p. 6) or non-integrated OLED lamp designed pp. 24–25) NEMA and OSI stated DOE should for use in general lighting applications NEMA and OSI noted that the phrases conform to the clear intent of Congress and that uses OLEDs as the primary ‘‘general lighting application,’’ and indicated by its reference to GSLs as source of light. ‘‘overall illumination’’ were introduced lamps that are used in a majority of 4. Other Lamps to EPCA in EISA 2007 in the context of lighting applications and exclusion of ‘‘metal halide lamp fixtures’’ and that those that are used in a minority of As stated previously, the definition of DOE was improperly incorporating it lighting applications. NEMA and OSI GSL includes any other lamps that DOE into the definition of GSL. (NEMA, No. recommended DOE create a new determines are used to satisfy lighting 66 at p. 8, OSI No. 73 at p. 5) NEMA definition for the term ‘‘general service applications traditionally served by further commented that the statutory list applications’’ to mean the majority of GSILs. (42 U.S.C. 6291(30)(BB)(i)(IV)) In of lamps excluded from the definitions lighting installations and not including addition to GSILs, CFLs and general of both incandescent and fluorescent specialty lamps designed for special service LED and OLED lamps, DOE ‘‘general service’’ lamps in EPAct 1992 purposes or special applications that proposed in the March 2016 GSL ECS are specialty lamps that did not satisfy represent a minority of lighting NOPR, a determination that any other a majority of lighting applications; applications. (NEMA, No. 66 at p. 73; lamps that are intended to serve in accordingly, they were and are not OSI, No. 73 at p. 5) general lighting applications and have ‘‘general service’’ lamps. (NEMA, No. 66 As stated previously, EISA 2007 specific features would meet the at pp. 8, 25) NEMA added that several added the definition of GSL to EPCA statutory criterion of lamps used to incandescent and fluorescent lamps on and defined the term, in part, to include satisfy lighting applications the EPAct 1992 list of excluded lamps GSILs, CFLs, general service LED and traditionally served by GSILs. To are capable of providing ‘‘an interior or OLED lamps, and any other lamp that implement this determination, DOE exterior area with overall illumination,’’ DOE determines is used to satisfy proposed to define general service including ‘‘shatter resistant,’’ ‘‘street lighting applications traditionally lamps as lamps intended to serve in lighting service,’’ ‘‘airway’’ and served by GSILs. The term GSIL was general lighting applications and that ‘‘airport’’ service incandescent lamps, originally added to EPCA by EPAct have the following basic characteristics: further evidencing that Congress never 1992, and defined, in part, to include (1) An ANSI base (with the exclusion of intended for ‘‘overall illumination’’ to any incandescent lamp that ‘‘can be light fixtures); (2) a lumen output of 310 be a consideration in the definition of a used to satisfy the majority of lighting lumens or greater; (3) an ability to GSL. (NEMA, No. 66 at p. 8) By applications.’’ (EPAct 1992, section 123; operate at any voltage; (4) are not or including lamps that provide ‘‘overall 106 Stat 2776, 2817) The definition of could not be the subject of other illumination’’ in the definition of GSL, GSIL was subsequently amended by rulemakings; and (5) no designation or NEMA argued, DOE would cover EISA 2007, which removed the label for use in certain non-general speciality lamps in the definition of GSL reference to lamps that ‘‘can be used to applications. 81 FR 14628. ‘‘General contrary to the intent of Congress. satisfy the majority of lighting lighting application’’ is currently (NEMA, No. 66 at p. 8) NEMA asserted applications,’’ and instead specified that defined at 10 CFR 430.2 as lighting that that if DOE were to consider a GSIL is a lamp intended for general provides an interior or exterior area establishing standards for CFL and LED service applications. (EISA 2007, sec. with overall illumination. The key lamps of the types exempted from the 321; 121 Stat. 1492, 1574) EISA did not aspects of the proposed definition of GSIL definition, DOE must determine define ‘‘general service application’’ but GSL and specific comments received that these speciality lamps are covered did provide DOE discretion to regarding these features are discussed in products according to 42 U.S.C. 6292(b), determine which lamps satisfy lighting the following sections. then initiate a rulemaking procedure applications traditionally served by under 42 U.S.C. 6295(l). (NEMA, No. 66 GSILs. (42 U.S.C. 6291(30)(BB)(i)(IV)) a. General Lighting Applications at p. 16) The definition of GSIL and the As stated previously, the term GSL GE and OSI added that, in order to be determination to be made under the includes any other lamps that DOE considered a GSL, a lamp must be definition of GSL are in the context of determines are used to satisfy lighting designed to satisfy the majority of the capabilities of a lamp to serve a applications traditionally served by applications traditionally serviced by particular lighting application. DOE GSILs (‘‘other lamps’’ authority). (42 GSILs, and based on DOE’s 2010 U.S. must look at the applications U.S.C. 6291(30)(BB)(i)(IV)) In response Lighting Market Characterization report, traditionally served by GSILs and then to the March 2016 GSL ECS NOPR, 98 percent of GSILs are used in determine whether a lamp is used in NEMA argued that DOE exceeded its residential homes, and therefore, a lamp those applications. EPCA directs DOE to statutory authority by proposing to must have a residential application to consider how GSILs have traditionally define GSL to include lamps intended to satisfy this requirement. GE stated that been used—what applications GSILs serve in general lighting applications. a majority of residential lighting served—not how a lamp under (NEMA, No. 66 at p. 2) NEMA stated applications include GSIL, reflector, consideration for inclusion in the that the EISA 2007 amendment to EPCA candelabra base or intermediate base definition of GSL has traditionally been did not include the phrases ‘‘general decorative, general service MR reflector, used. In looking at the application of a lighting applications’’ or ‘‘provides . . . integrated CFL, integrated LED, and GSIL, DOE considered the lighting

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characteristics of a GSIL, i.e., DOE Public Meeting Transcript, No. 54 at pp. tentatively concluded that the limited considered what lighting characteristics 51–52) and unique product offerings above allow a GSIL to meet the needs of a DOE considers an ANSI base to be a 4,000 lumens indicate that these lamps general service application and what lamp base standardized by the may be used mainly in specialty lighting characteristics would satisfy a American National Standards Institute. applications rather than for purposes lighting application traditionally served DOE clarifies that if a linear LED lamp traditionally served by GSILs. EISA by a GSIL. DOE determined that any utilizes a base defined and standardized 2007 directs DOE to track sales of five lamp that is capable of being used in an by ANSI, the lamp would meet that exempt lamp types, including 2,601 to application traditionally served by a requirement of the GSL definition. DOE 3,300 lumen incandescent lamps. While GSIL is likely to be used for that continues to propose that a GSL must DOE acknowledges that reported data purpose. As GSILs have traditionally have an ANSI base, with the exclusion show that sales of these incandescent provided overall illumination, a lamp of light fixtures and LED downlight lamps have been decreasing over the that would satisfy the same application retrofit kits. To better clarify the term last several years, DOE notes that the as traditionally served by GSILs is one ANSI base, DOE proposes the following majority of product offerings between that would provide overall illumination. definition: 2,601 and 3,300 lumens are CFLs or LED The fact that some of the lamps listed ANSI base means a base type lamps and thus are not captured in the under the exemptions provided in 42 specified in ANSI C81.61–2016 sales data. For the reasons described in U.S.C. 6391(30)(D)(ii) may provide (incorporated by reference; see § 430.3) this paragraph, DOE is proposing that overall illumination does not preclude or IEC 60061–1:2005 (incorporated by general service lamps must have lumen the consideration of general reference; see § 430.3). outputs greater than or equal to 310 illumination as an element to the c. Lumen Range lumens and less than or equal to 4,000 underlying definition of GSL. DOE does lumens. DOE will continue to monitor not read the list of exemptions as In the March 2016 GSL ECS NOPR, the market and may re-evaluate this necessitating a narrowed interpretation DOE did not prescribe a maximum lumen range in future rulemakings. DOE of the underlying definition. Instead, the lumen output when defining GSL. GE requests comment on the proposed GSL exemptions list includes lamps that may stated that DOE should not define lamps lumen range, and also on whether DOE be considered GSLs (i.e., may provide with lumens higher than 2,600 as GSLs should adopt different upper and lower overall illumination), but which as these lamps are designed for bounds for the range or should have no Congress chose to exempt at the time commercial, industrial, or specialty upper or lower limit to the lumen from the GSIL definition. As explained applications, and are not used in the capacity of GSLs. in the March 2016 GSL ECS NOPR, DOE residential sector. GE stated that some considers the term ‘‘overall lamps go up to 50,000 lumens, and d. Operating Voltage illumination’’ to be similar in meaning consumers would never use them in a In the March 2016 GSL ECS NOPR, to the term ‘‘general lighting’’ as defined home due to the cost and unnecessarily DOE did not propose a voltage range in the industry standard ANSI/IES RP– high light output. GE added that such when defining GSL. GE commented that 16–10 (hereafter ‘‘RP–16’’). RP–16 states products also do not have direct CFL any lamp designed to operate at a that ‘‘general lighting’’ means lighting and LED substitutes. (GE, No. 70 at pp. voltage outside of 12V or 120V should designed to provide a substantially 9–10; GE, Public Meeting Transcript, not be included in the definition of GSL. uniform level of illuminance throughout No. 54 at pp. 64–65) The Appliance (GE, No. 70 at p. 10) DOE believes that an area, exclusive of any provision for Standards Awareness Project (ASAP), lamps with operating voltage outside of special local requirements. 81 FR 14542. however, asserted that until a decade 12 V or 120 V can be used in general This interpretation of ‘‘overall ago, the torchiere with a 500 W halogen lighting applications. Therefore, DOE is illumination’’ excludes from the GSL lamp was one of the most popular not proposing a specific voltage range definition specialty lamps that could consumer luminaires. (ASAP, Public for the GSL definition. not provide overall illumination. Meeting Transcript, No. 54 at p. 65) GE stated that torchieres with 500 W quartz e. Exempted Lamps From GSL b. ANSI Bases halogen lamps for residential use were By definition, GSL does not apply to DOE’s proposed definition of GSL in briefly on the market but no longer are any lighting application or bulb shape the March 2016 GSL ECS NOPR sold due to safety concerns. (GE, Public described in the exemptions under the included the requirement for an ANSI Meeting Transcript, No. 54 at pp. 64–65) ‘‘general service incandescent lamp’’ base but excluded light fixtures. CEC DOE continues to believe that lamps definition. (42 U.S.C. supported DOE’s proposal not to limit with lumen outputs greater than 2,600 6291(30)(BB))(ii)(I)) In the March 2016 the GSL definition to medium screw can be used in overall illumination and GSL ECS NOPR, DOE initially applied base lamps. (CEC, No. 69 at p. 18) GE therefore would meet the definition of the exemptions to the GSL definition agreed that a GSL is not a light fixture GSL. However, DOE reviewed available identified under 42 U.S.C. or an LED downlight retrofit kit. (GE, product information and is now 6291(30)(BB)(ii)(I) only to medium No. 70 at p. 10) Similarly, Eaton, NEMA, proposing a maximum lumen output in screw base incandescent lamps, as the Philips, and OSI agreed with excluding the definition of GSL. DOE notes that referenced descriptions of the exempted LED downlight retrofit kits from the overall product offerings of general lamps were from the GSIL definition. 81 definition of GSLs. (Eaton, Public service lamps significantly decrease FR at 14545 (March 17, 2016). Although Meeting Transcript, No. 54 at pp. 58–59; around 4,000 lumens. Using product DOE applied these exemptions only to Philips, No. 71 at p. 4; OSI, No. 73 at offerings as a proxy for overall sales, medium screw base incandescent p. 5; NEMA, No. 66 at p. 73) CA IOUs DOE concludes that sales of lamps with lamps, DOE evaluated whether the 22 commented that the term, ‘‘ANSI-based’’ lumen outputs greater than 4,000 exemptions should also apply to CFL is not clearly defined, and it was not lumens are also much lower than lamps and LED lamps. 81 FR at 14545 (March clear if it was based on a particular with lumen outputs between 310 and 17, 2016). ANSI standard, such as ANSI C81.61, 4,000 lumens. While sales are not CA IOUs, NEEP, and ASAP cautioned and how, for example, bases of linear necessarily an indication of use in DOE to prevent potential loopholes with LED lamps are classified. (CA IOUs, general lighting applications, DOE has lamps exempted from the GSL

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definition. (CA IOUs, No. 65 at p. 18; DOE is changing its interpretation in the lamps; mine service lamps; plant light NEEP, No. 67 at p. 3; ASAP, Public March 2016 GSL ECS NOPR; DOE lamps; sign service lamps; silver bowl Meeting Transcript, No. 54 at p. 12) considers the language of 42 U.S.C. lamps; showcase lamps; and traffic NEEP stated appliance lamps and traffic 6291(30)(BB)(ii)(I) to exclude from GSLs signal lamps are not specific to signal lamps could result in potential any lamps—whether GSILs, CFLs, incandescent technology. Therefore, the loopholes as they are offered in a similar general service LED and OLED lamps exemptions for all 14 lamp categories form factor as other GSLs and could and any ‘‘other lamps’’ DOE includes in extend to all GSLs. DOE requests serve in general lighting applications. the GSL definition—that serve the listed comment on its preliminary (NEEP, No. 67 at p. 3) lighting application or are of the same determination that the 14 exemption NEMA stated that exempted lamp lamp shape described in the GSIL types are not specific to incandescent type versions of CFLs or LED lamps ‘‘exclusions’’ provision. Nonetheless, technology. should remain exempt if they are not on although the language of 42 U.S.C. DOE received comments regarding the the market and may never be 6291(30)(BB)(ii)(I) is not specific to discontinued exemption for reflector manufactured; are not likely to consume incandescent technology, some of the lamps. NEMA and OSI asserted that an average of more than 100 kWh per lamp applications and bulb shapes DOE does not have the authority to household per year; and/or are described under the exemptions to the impose a 45 lm/W standard on halogen exclusively for commercial use. NEMA GSIL definition may be specific to MR-shaped lamps, as it would be asserted that DOE could easily incandescent lamps. technologically infeasible and eliminate determine to maintain the exemption for In section II.A.1, DOE assessed each the lamp, and there are no adequate CFL a number of lamps that NEMA stated are of the 22 lamp categories within the or LED lamp substitutes. (NEMA, 66 at commercial lamps, and lamps that GSIL exemptions to determine whether p. 56; OSI, No. 73 at p. 13) NEMA noted NEMA stated could not produce an the Secretary should discontinue or that the most common halogen MR16 average annual household energy use in maintain these exemptions for purposes lamps are available in wattages of 20 W, excess of 100 kWh per year, and of the GSL definition. DOE has 35 W, 50W and 70/75 W at 12 V or 120 therefore would not be covered tentatively concluded in that section V. Instead of subjecting these lamps to products. (NEMA, No. 66 at p. 45) that 14 of the 22 GSIL exemptions for the backstop, NEMA recommended DOE NEMA provided detailed information medium screw base incandescent lamps adopt a maximum 50W standard for regarding its position on each of the should be maintained, while eight of the MR11, MR14, MR16 and MR20 exempted lamp types in Tables A, B, GSIL exemptions should be incandescent/halogen lamps. (NEMA, and C of their written comments. discontinued and considered as GSLs. No. 66 at pp. 69–70, 82–83) Similarly, (NEMA, No. 66 at pp. 48–49, 75–81) Consistent with that tentative CEC argued that allowing the backstop Moreover, NEMA disagreed with determination, DOE is now assessing to take effect instead of analyzing DOE’s interpretation of the ‘‘exclusions’’ the remaining 14 lamp categories in the efficacy levels for small-diameter provision under the definition of GSL. GSIL exemptions to determine whether directional lamps, including MR16 NEMA argued that under the statutory the application or lamp shape described lamps, could lead to a backsliding of definition of GSL, lamps that provide is specific to an incandescent energy savings in California, where lighting applications, or are of the same technology in order to determine the standards for these lamp types are set at bulb shape, as described in the list of applicability of each exemption to GSLs 80 lm/W, effective for lamps GSIL exempted lamps, regardless of other than GSILs. manufactured on or after January 1, lamp technology, are ‘‘excluded’’ from As discussed in section II.A.1, DOE 2018. (CEC, No. 69 at p. 19) CEC stated the definition of GSL. (NEMA, No. 66 at maintained exemptions from the GSIL that the backstop would decrease the pp. 82–83.) NEMA further argued that definition for the following lamp types: standard to 45 lm/W, effective for lamps these specialty lamps do not become appliance; black light; bug; colored; sold on or after January 1, 2020, ‘‘general service lamps’’ until they cease infrared; left-hand thread; marine; resulting in both a loss of energy savings becoming designed for and used in marine signal service; mine service; and a potential gap in lamp availability special applications that represent a plant light; sign service; silver bowl; for manufacturers who decline to make minority of lighting applications. (Id.) showcase; and traffic signal lamps. DOE a California line of lamps during the NEMA asserted that if DOE were to then considered whether each of these two-year gap. (CEC, No. 69 at p. 19) CA consider establishing standards for CFL exemptions were specific to IOUs agreed with CEC and stated that and LED lamps of the types exempted incandescent technology. If the DOE is missing significant additional from the GSIL definition, DOE must exemption was determined to be energy savings by not setting a standard determine that those lamps are covered specific to incandescent technology, higher than 45 lm/W for MR16 lamps products according to 42 U.S.C. 6292(b), then by its own terms it did not apply and other small diameter directional then initiate a rulemaking procedure to other (e.g., fluorescent and LED) lamps (SDDLs). They noted that CEC under 42 U.S.C. 6295(l). (NEMA, No. 66 technologies. However, if the exemption will require small diameter directional at p. 16.) was not specific to incandescent lamps to meet an efficacy range of 70– Upon further consideration of the technology, then CFLs, LED lamps, and 80 lm/W depending on CRI by 2018 and statutory language, DOE agrees with incandescent lamps that are not there are already ENERGY STAR- NEMA in that the language of the medium screw base (i.e., non-GSILs) certified MR16 LED lamps meeting 85– ‘‘exclusions provision’’ under 42 U.S.C. that provide lighting for the same 90 lm/W. (CA IOUs, No. 65 at pp. 13– 6291(30)(BB)(ii)(I) is not limited to application or are of the same shape 14) lamps that are medium screw base or would be excluded from the definition NEMA, OSI, and GE expressed the lamps that use incandescent technology. of GSL in addition to the medium screw view that, based on DOE’s authority to The GSL definition excludes lamps that base incandescent lamps that are include other lamps as GSLs, DOE can serve the lighting application or are of currently exempt. DOE has tentatively only include the MR lamp (with a pin the same lamp shape described in the determined that appliance lamps; black base or medium screw base) operated at GSIL ‘‘exclusions’’ provision, and makes light lamps; bug lamps; colored lamps; between 115 and 130 V, or at 12 V on no express reference to lighting infrared lamps; left-hand thread lamps; a 120 V transformer. They stated that technology or base type. Consequently, marine lamps; marine signal service this lamp type is commonly used in a

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large number of residential lighting film lighting, medical equipment ASAP, Public Meeting Transcript, No. applications, is not a currently lighting, and emergency lighting would 54 at pp. 12–13) exempted incandescent lamp, is not not be included in the GSL definition. DOE notes that although MBCFLs and currently included in the definition of DOE is proposing a definition for GSILs are currently subject to their own reflector lamp, and is not covered by ‘‘specialty MR-lamp’’ to clarify which standards, these lamp types are another rulemaking. (NEMA, No. 66 at MR lamps meet the definition of GSL. included in the statutory definition of pp. 74; OSI, No. 73 at pp. 6–7; GE, No. (See section II.B.9 for more GSL and therefore expressly included in 70 at p. 9) information.) DOE requests comment on the scope of this rulemaking. When As discussed in section II.A.1, DOE its preliminary determination that evaluating whether to include other has proposed to discontinue the specialty MR-lamps should not be lamp types as GSLs, DOE proposed the exemption for reflector lamps from the included in the GSL definition and the criteria that a GSL cannot be a lamp definition of GSIL.9 If DOE discontinues proposed definition for the term evaluated in other rulemakings that are the exemption from the GSIL definition, ‘‘specialty MR-lamp.’’ or were ongoing at the time of the GSL then the exemption also does not apply As noted in section II.A.1, DOE rulemaking to limit the possibility that to the GSL definition; DOE is not determined in a final rule published on one lamp type might be subject to two required to reapply the exemption to November 14, 2013 that standards for different standards. Due to differences other GSLs. Therefore, reflector lamps R20 short lamps would not result in in scope and other factors, separate are not exempt from the definition of significant energy savings because such rulemakings for the same lamp type may GSL, and MR lamps of any base type, lamps are designed for special result in two different efficacy voltage, and technology are included in applications or have special requirements. the scope of the GSL definition. characteristics not available in In this NOPDDA, DOE has revised GE and NEMA also commented that reasonably substitutable lamp types. this criteria regarding other there are specialty MR-shaped lamps 78 FR 68331, 68340. Therefore, DOE rulemakings. DOE continues to exempt that should not be included in the GSL maintained the exemption for these GSFLs from the definition of GSL. definition. (GE, No. 70 at p. 9; NEMA, lamps from GSIL and is exempting R20 Because the definition of GSFL and the No. 66 at p. 24) GE specified that there short lamps from the definition of GSL. supporting definition of fluorescent are several MR-shaped lamps with lamp are structured in a certain way, smaller diameters than the typical MR16 f. Lamps Subject to Other Rulemakings DOE is adding some exemptions in this lamp, and they are often designed at In the March 2016 GSL ECS NOPR, rule to exclude lamps that are odd voltages for use in specialty DOE proposed that a GSL cannot be a specifically and currently excluded equipment and applications. GE also lamp that is the subject of other from the GSFL and fluorescent lamp added that there are not currently LED rulemakings. 81 FR 14543. Philips, OSI, definitions from the definition of GSL. versions of these specialty MR-shaped and GE agreed that lamps subject to However, DOE is not exempting other lamps on the market. (GE, No. 70 at p. other rulemakings (e.g., GSFLs, IRLs, lamps that were the subject of other 9) NEMA noted that these lamp types mercury vapor lamps) should not be ongoing rulemakings. As described in typically have uncommon base types included in the scope of GSLs. (Philips, section II.A.1, DOE has discontinued the and, because of low market share, do No. 71 at p. 4; GE, No. 70 at p. 9 -10; exemption for reflector lamps and not contribute significantly to energy OSI, No. 73 at p. 6) therefore discontinued the exemption consumption. (NEMA, No. 66 at p. 24) Earthjustice disagreed with DOE’s for IRLs. DOE is also not specifically DOE surveyed the market for MR- position specifically concerning IRLs, exempting high intensity discharge shaped lamps with smaller diameters stating that the fact that these lamps are (HID) lamps that otherwise meet the than the common MR16 lamps. DOE addressed in a separate rulemaking GSL criteria. confirmed that these lamps are typically should not prevent DOE from evaluating marketed for use in non-general lighting whether to maintain their exemption 5. Summary and Proposed Regulatory applications such as projectors, from GSLs. Earthjustice stated that DOE Text Definition scientific illumination equipment, has engaged in several rulemakings that As in the March 2016 GSL ECS NOPR, theater lighting, studio lighting, stage satisfy several statutory requirements in DOE is proposing to define general lighting, film lighting, medical a single action (e.g., residential boilers, service lamp as a lamp intended to serve equipment lighting, and emergency residential furnaces). Further in general lighting applications and that lighting. In addition, DOE found that Earthjustice stated that standards has the following basic characteristics: these lamps are significantly more adopted in the GSL rule would likely set (1) An ANSI base (with the exclusion of expensive and have shorter lifetimes new, more stringent efficacy standards light fixtures and LED downlight retrofit than MR-shaped lamps designed for than the ones to which IRLs are kits); (2) a lumen output of greater than general lighting applications. Further, currently subject, which would not pose or equal to 310 lumens and less than or DOE is unsure whether higher efficacy a conflict or be inconsistent. equal to 4,000 lumens; (3) an ability to replacements are technologically Additionally, Earthjustice asserted that operate at any voltage; and (4) no feasible for these lamps due to their the Appropriations Rider does not designation or label for use in non- specific optical working distances and restrict DOE from discontinuing the IRL general applications. smaller form factors. Due to their use in exemption from the scope of GSLs. DOE is proposing a definition of specialty applications and lack of more (Earthjustice, No. 61 at p. 5) EEAs ‘‘general service lamp’’ in 430.2 to efficacious replacements, DOE proposes concurred with Earthjustice’s reasoning capture the criteria and the exemptions that MR-lamps with diameter less than on this matter and requested DOE define discussed in previous sections. DOE 2 inches that are designed and marketed all reflector lamps, including IRLs, as proposes to define GSL as follows: for use in projectors, scientific GSLs. (EEAs, No. 64 at pp. 7–8) EEAs General service lamp means a lamp illumination equipment, theater and ASAP stated that IRLs are that has an ANSI base, operates at any lighting, studio lighting, stage lighting, commonly used for general illumination voltage, has an initial lumen output of and noted that MBCFLs and GSILs are greater than or equal to 310 lumens (or 9 DOE is maintaining the exemption from GSIL also currently subject to their own 232 lumens for modified spectrum for R20 short lamps. standards. (EEAs, No. 64 at pp. 7–8; general service incandescent lamps) and

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less than or equal to 4,000 lumens, is 73 at p. 5; NEMA, No. 66 at p. 73) DOE that the stipulations in the definitions not a light fixture, is not an LED received no other comments on the for ‘‘black light lamp,’’ ‘‘bug lamp,’’ and downlight retrofit kit, and is used in proposed definition of ‘‘LED downlight ‘‘plant light lamp’’ regarding the range general lighting applications. General retrofit kit.’’ DOE continues to propose of the electromagnetic spectrum within service lamps include, but are not a definition for ‘‘LED downlight retrofit which each of these lamps’ radiant limited to, general service incandescent kit’’ in this document. DOE has replaced power peaks must fall prevents such lamps, compact fluorescent lamps, the term ‘‘intended’’ with ‘‘designed and loopholes. A similar outcome occurs general service light-emitting diode marketed’’ as the latter provides more with the definition of ‘‘colored lamp,’’ lamps, and general service organic light- clarity. The proposed definition reads as as DOE proposed in this definition, two emitting diode lamps, but do not follows: different criteria for CRI and correlated include general service fluorescent LED Downlight Retrofit Kit means a color temperature (CCT) that the lamp’s lamps; linear fluorescent lamps of product designed and marketed to light output must exhibit. Hence, DOE lengths from one to eight feet; circline install into an existing downlight, continues to propose these definitions fluorescent lamps; fluorescent lamps replacing the existing light source and as presented in the March 2016 GSL specifically designed for cold related electrical components, typically ECS NOPR and as follows: temperature applications; impact- employing an ANSI standard lamp base, Black light lamp means a lamp that is resistant fluorescent lamps; reflectorized either integrated or connected to the designed and marketed as a black light or aperture fluorescent lamps; downlight retrofit by wire leads, and is lamp and is an ultraviolet lamp with the fluorescent lamps designed for use in a retrofit kit classified or certified to UL highest radiant power peaks in the UV– reprographic equipment; fluorescent 1598C–2014 (incorporated by reference; A band (315 to 400 nm) of the lamps primarily designed to produce see § 430.3). LED downlight retrofit kit electromagnetic spectrum. radiation in the ultra-violet region of the does not include integrated lamps or Bug lamp means a lamp that is spectrum; fluorescent lamps with a non-integrated lamps. designed and marketed as a bug lamp, color rendering index of 87 or greater; has radiant power peaks above 550 nm R20 short lamps; specialty MR lamps; 2. Reflector Lamp and Non-Reflector on the electromagnetic spectrum, and appliance lamps; black light lamps; bug Lamp has a visible yellow coating. lamps; colored lamps; infrared lamps; NEMA agreed with the proposed Colored lamp means a colored left-hand thread lamps, marine lamps, definition of ‘‘reflector lamp.’’ (NEMA, fluorescent lamp, a colored marine signal service lamps; mine No. 66 at p. 24) DOE received no other incandescent lamp, or a lamp designed service lamps; plant light lamps; sign comments on the proposed definitions and marketed as a colored lamp and not service lamps; silver bowl lamps, of ‘‘reflector lamp’’ or ‘‘non-reflector’’ designed and marketed for general showcase lamps, and traffic signal lamp. As such, DOE continues to lighting applications with either of the lamps. propose the following definitions for following characteristics (if multiple DOE requests comment on its ‘‘reflector lamp’’ and ‘‘non-reflector modes of operation are possible [such as proposed definition of GSL. lamp’’ in this document: variable CCT], either of the below Reflector lamp means a lamp that has characteristics must be maintained B. Supporting Definitions an R, PAR, BPAR, BR, ER, MR, or throughout all modes of operation): In the March 2016 GSL ECS NOPR, similar bulb shape as defined in ANSI (1) A CRI less than 40, as determined DOE proposed several definitions to C78.20 (incorporated by reference; see according to the method set forth in CIE support its proposed definition of § 430.3) and ANSI C79.1 (incorporated Publication 13.3 (incorporated by ‘‘general service lamp.’’ Specifically, by reference; see § 430.3) and is used to reference; see § 430.3); or DOE proposed definitions for direct light. (2) A correlated color temperature less ‘‘integrated lamp,’’ ‘‘non-integrated Non-reflector lamp means a lamp that than 2,500 K or greater than 7,000 K as lamp,’’ ‘‘light fixture,’’ ‘‘pin base lamp,’’ is not a reflector lamp. determined according to the method set ‘‘GU24 base,’’ ‘‘LED downlight retrofit forth in IES LM–66 or IES LM–79 as 3. Black Light Lamp, Colored Lamp, kit,’’ and several terms to better define appropriate (incorporated by reference; Plant Light Lamp, and Bug Lamp the lamp types described in section see § 430.3). II.A.4 that are exempt from the Regarding the definitions of lamps Plant light lamp means a lamp that is definition of general service lamp. EEAs that are colored (i.e., ‘‘black light lamp,’’ designed to promote plant growth by expressed concern that certain proposed ‘‘bug lamp,’’ ‘‘colored lamp,’’ and ‘‘plant emitting its highest radiant power peaks exempted lamp type definitions may light lamp’’), NEEP stated, with support in the regions of the electromagnetic allow exempted incandescent lamps to from EEAs and ASAP, that DOE should spectrum that promote photosynthesis: be converted for use in general lighting require that the color-element must be blue (440 nm to 490 nm) and/or red (620 applications. (EEAs, No. 64 at p. 7) In inherent in the construction of the lamp, to 740 nm). Plant light lamps must be this proposed rule, DOE re-evaluated its and cannot be a consumer removable designed and marketed for plant proposed definitions for exempted lamp film or cover. NEEP added there are growing applications. types and determined that they provide colored lamps now at internet prices of 4. Mine Service Lamp sufficient detail to prevent possible $1. (NEEP, No. 67 at p. 4; NEEP, Public loopholes. DOE also received several Meeting Transcript, No. 54 at pp. 59–60; Philips supported the proposed specific comments regarding the ASAP, Public Meeting Transcript, No. definition for ‘‘mine service lamp.’’ proposed definitions as discussed in the 54 at p. 60; EEAs, No. 64 at p. 7) Philips, (Philips, No. 71 at p. 4) However, ASAP following sections. however, agreed with the proposed expressed concern that it was too broad. definitions for ‘‘black light lamp,’’ ‘‘bug ASAP noted that the original reasoning 1. LED Downlight Retrofit Kit lamp,’’ ‘‘colored lamp,’’ and ‘‘plant light for a separate definition for mine service Eaton, NEMA, Philips, and OSI agreed lamp.’’ (Philips, No. 71 at p. 4) lamp was due to concerns of CFLs being with the proposed definition of the DOE has preliminary determined that used in hazardous gas environments, a ‘‘LED downlight retrofit kit.’’ (Eaton, the technical criteria specified in these risk that is avoided with solid-state Public Meeting Transcript, No. 54 at pp. definitions would be sufficient to lighting technology, and asked if this 58–59; Philips, No. 71 at p. 4; OSI, No. prevent possible loopholes. DOE notes remained the reasoning for this

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definition. (ASAP, Public Meeting 6. Marine Lamp and Marine Signal explicitly state within the definition of Transcript, No. 54 at p. 60) In this Service Lamp covered product which covered document, DOE is proposing to exempt NEEP requested DOE define ‘‘marine products are affected by preemption. ‘‘mine service lamp’’ from the GSL lamps’’ to avoid confusion with ‘‘marine (OSI, No. 73 at p. 3) definition. To provide clarity regarding signal service lamps.’’ (NEEP, No. 67 at As mentioned, DOE is proposing a exempted lamp types, DOE proposes to p. 5) DOE initially determined in the definition that specifies the lamps that define ‘‘mine service lamp’’ so that it is March 2016 GSL ECS NOPR that marine are GSLs, (see section II.A for details on technology neutral and encompasses lamps provide overall illumination and the definition of ‘‘general service lamp’’) only lamps designed and marketed for can serve in general lighting which should explicitly address which mine service applications. Hence, the applications, therefore, DOE did not lamps are subject to the GSL use of the lamp would be sufficiently propose an exemption for marine lamps regulations. clear, thus discouraging consumers from from the GSL definition. However, in 9. MR Lamp using mine service lamps in general this rule, DOE has revised its position lighting applications. DOE continues to and proposed to maintain the NEMA recommended a definition for propose the following definition for exemption for marine lamps. (See ‘‘MR lamp,’’ describing it as ‘‘a curved ‘‘mine service lamp’’ as proposed in the sections II.A.1 and II.A.4 for more focusing reflectorized bulb which may March 2016 GSL ECS NOPR: information.) Therefore, to provide have a multifaceted inner surface that is Mine service lamp means a lamp that clarity regarding the exempted lamp generally dichroic coated and referred to is designed and marketed for mine type, DOE proposes to define ‘‘marine as a multifaceted reflector lamp with a service applications. lamp’’ as follows: GU10, GU11, GU5.3, GUX5.3, GU8, GU4, or E26 base’’ and providing 5. Appliance Lamp Marine lamp means a lamp that is designed and marketed for use on boats. information regarding common light DOE received comments on its use of With regard to marine signal service sources and diameters used in the lamp the statutory definition of ‘‘appliance lamps, DOE’s proposed definition states type. (NEMA, No. 66 at pp. 5, 106) As lamp,’’ which is defined at 42 U.S.C. the lamp must be ‘‘designed and in the March 2016 GSL ECS NOPR, in 6291(30)(T) as: marketed for marine signal service this rule, DOE does not find that a Appliance lamp means any lamp applications,’’ which should prevent general definition for MR-shaped lamps that— marine lamps from being used as a is necessary to clarify the scope of this rulemaking. However, DOE is proposing (1) Is specifically designed to operate replacement lamp. Philips commented a definition for ‘‘specialty MR lamp.’’ As in a household appliance, has a in support of the proposed definitions specified in II.A.4, DOE is proposing to maximum wattage of 40 watts, is sold at for ‘‘marine signal service lamp.’’ exempt certain MR-shaped lamps that retail (including an oven lamp, (Philips, No. 71 at p. 4) DOE continues have smaller diameters than MR16 refrigerator lamp, and vacuum cleaner to propose defining ‘‘marine signal lamps, operate at odd voltages, and are lamp); and service lamp’’ as follows: Marine signal service lamp means a marketed for use in specialty (2) Is designated and marketed for the applications. In doing so, DOE finds it intended application, with lamp that is designed and marketed for marine signal service applications. necessary to establish a definition for (i) The designation on the lamp ‘‘specialty MR lamp’’ to describe the packaging; and 7. Vibration Service Lamp and Rough lamps used in these specialty (ii) Marketing materials that identify Service Lamp applications. The details regarding the the lamp as being for appliance use. NEMA suggested DOE revise the bulb shape provided in NEMA’s NEEP recommended DOE revisit its definition of ‘‘vibration service lamp’’ to definition are very similar to those in definition of ‘‘appliance lamp’’ to remove the wattage limit and number of the ANSI standard that DOE references prevent the exploitation of that lamp packages sold in retail to prevent a in its definition of ‘‘specialty MR lamp.’’ type as a loophole from standards. They conflict with its proposed standard for Specifically, DOE proposes the requested DOE limit the definition to vibration service lamps. (NEMA, No. 66 following definition for ‘‘specialty MR lamps that must operate at high at pp. 5, 107) NEEP noted that lamp:’’ temperatures in applications such as ‘‘vibration service lamp’’ and ‘‘rough Specialty MR lamp means a lamp that ovens and clothes dryers. (NEEP, No. 67 service lamp’’ are nearly has an MR bulb shape as defined in at pp. 3–4) Regarding a potential interchangeable and DOE should ANSI C79.1 (incorporated by reference; loophole with this lamp type, DOE is reconsider their definitions to avoid see § 430.3) with a diameter less than 2 proposing a revised definition of confusion particularly, after shipment inches; operates at any voltage; and that ‘‘designed and marketed’’ to clarify that data for vibration service lamps triggers is designed and marketed for use in the term means that a lamp is their own rulemaking. (NEEP, No. 67 at projectors, scientific illumination exclusively designed to fulfill the p. 5) equipment, theatre lighting, studio indicated application and, when DOE is proposing to discontinue the lighting, stage lighting, film lighting, distributed in commerce, is designated exemptions for vibration service lamps medical equipment lighting, or and marketed solely for that application, and rough service lamps in this rule, emergency lighting. with the designation on the packaging thus revised definitions are not 10. Other Definitions and all publicly available documents necessary as these would be considered (e.g., product literature, catalogs, and GSLs. DOE also received comments from packaging labels). (See section II.B.10 Philips supporting the proposed for further details.) DOE has initially 8. Scope of Coverage definitions for ‘‘infrared lamp,’’ ‘‘sign determined that the specialty NEMA recommended DOE modify the service lamp,’’ ‘‘silver bowl lamp,’’ application of appliance lamps would definition of ‘‘covered product’’ to ‘‘showcase lamp,’’ and ‘‘traffic signal be sufficiently clear, thus discouraging include the several additional lamp lamp.’’ (Philips, No. 71 at p. 4) DOE consumers from using appliance lamps types that describe GSLs. (NEMA, No. received no other comments on these in general lighting applications. 66 at pp. 5, 71) OSI urged DOE to definitions. DOE continues to propose

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definitions for each of these lamps as in DOE is proposing a new definition for certification and reporting requirements the March 2016 GSL ECS NOPR: the term ‘‘left-hand thread lamp’’ in this of integrated LED lamps. Infrared lamp means a lamp that is rule to better define the lamps that meet IV. Effective Date designed and marketed as an infrared this definition and therefore are lamp, has its highest radiant power proposed to be exempt. The proposed For the proposed changes described peaks in the infrared region of the definition is as follows: in the various definitions in this electromagnetic spectrum (770 nm and Left-hand thread lamp means a lamp document, DOE is proposing a January 1 mm), and which has a primary with direction of threads on the lamp 1, 2020 effective date. DOE understands purpose of providing heat. base oriented in the left-hand direction. that the proposed definitions, especially Sign service lamp means a vacuum Lastly, DOE is proposing slight those proposed expirations within the type or gas-filled lamp that has modifications to the definition proposed GSIL definition, will require that certain sufficiently low bulb temperature to for ‘‘designed and marketed’’ in the exempted lamps comply with the permit exposed outdoor use on high- March 2016 GSL ECS NOPR to improve current Federal energy conservation speed flashing circuits, is designed and clarity. The proposed definition is as standards for GSILs upon the effective marketed as a sign service lamp, and has follows: date of this rulemaking. By aligning the a maximum rated wattage 15 watts. Designed and marketed means proposed effective date with the 45 lm/ Silver bowl lamp means a lamp that exclusively designed to fulfill the W statutory standard beginning on has a reflective coating applied directly indicated application and, when January 1, 2020, DOE believes this will to part of the bulb surface that reflects distributed in commerce, is designated allow reasonable time for manufacturers light toward the lamp base and that is and marketed solely for that application, to transition, while reducing the number designed and marketed as a silver bowl with the designation on the packaging of redesigns needed. lamp. and all publicly available documents V. Procedural Issues and Regulatory Showcase lamp means a lamp that has (e.g., product literature, catalogs, and Review a T-shape as specified in ANSI C78.20 packaging labels). This definition is (incorporated by reference; see § 430.3) applicable to terms related to the A. Review Under Executive Orders and ANSI C79.1 (incorporated by following covered lighting products: 12866 and 13563 reference; see § 430.3), is designed and Fluorescent lamp ballasts; fluorescent The Office of Management and Budget marketed as a showcase lamp, and has lamps; general service fluorescent (OMB) has determined that this a maximum rated wattage of 75 watts. lamps; general service incandescent NOPDDA does not constitute a Traffic signal lamp means a lamp that lamps; general service lamps; ‘‘significant regulatory action’’ under is designed and marketed for traffic incandescent lamps; incandescent section 3(f) of Executive Order 12866, signal applications. reflector lamps; medium base compact Regulatory Planning and Review, 58 FR DOE received no comments on the fluorescent lamps; and specialty 51735 (Oct. 4, 1993). This proposed rule proposed definitions or revisions to application mercury vapor lamp neither implements nor seeks to enforce existing definitions for ‘‘light fixture,’’ ballasts. any standard. Rather, this proposed rule ‘‘integrated lamp,’’ ‘‘non-integrated III. Clarifications to Regulatory Text merely seeks to define what constitutes lamp,’’ ‘‘pin base lamp,’’ and ‘‘GU24 a GSIL and what constitutes a GSL. base’’; therefore DOE continues to DOE is proposing editorial Accordingly, this action was not subject propose definitions for these terms as in modifications to regulatory text to align to review under the Executive Order by the March 2016 GSL ECS NOPR: with the recently adopted test procedure the Office of Information and Regulatory Light fixture means a complete for integrated LED lamps. Specifically, Affairs (OIRA) in the OMB. lighting unit consisting of light source(s) DOE is proposing changes to 10 CFR and ballast(s) or drivers(s) (when 429.56 regarding the certification and B. Review Under the Regulatory applicable) together with the parts reporting requirements of integrated Flexibility Act designed to distribute the light, to LED lamps. In the July 2016 LED test The Regulatory Flexibility Act (5 position and protect the light source, procedure (TP) final rule, DOE adopted U.S.C. 601 et seq.) requires preparation and to connect the light source(s) to the the requirement that testing of of an initial regulatory flexibility power supply. integrated LED lamps be conducted by analysis (IRFA) for any rule that by law Integrated lamp means a lamp that test laboratories accredited by an must be proposed for public comment, contains all components necessary for Accreditation Body that is a signatory unless the agency certifies that the rule, the starting and stable operation of the member to the International Laboratory if promulgated, will not have a lamp, does not include any replaceable Accreditation Cooperation (ILAC) significant economic impact on a or interchangeable parts, and is Mutual Recognition Arrangement substantial number of small entities. As connected directly to a branch circuit (MRA). 81 FR 43404, 43419 (July 1, required by Executive Order 13272, through an ANSI base and 2016). To align with this requirement, ‘‘Proper Consideration of Small Entities corresponding ANSI standard lamp- DOE is proposing in this NOPDDA to in Agency Rulemaking,’’ 67 FR 53461 holder (socket). modify the certification report language (August 16, 2002), DOE published Non-integrated lamp means a lamp in 429.56(b)(2) to specify that the testing procedures and policies on February 19, that is not an integrated lamp. laboratory’s ILAC accreditation body’s 2003, to ensure that the potential Pin base lamp means a lamp that uses identification number or other approved impacts of its rules on small entities are a base type designated as a single pin identification assigned by the ILAC properly considered during the base or multiple pin base system in accreditation body must be included in rulemaking process. 68 FR 7990. DOE Table 1 of ANSI C81.61, Specifications the certification report. In addition, DOE has made its procedures and policies for Electrics Bases (incorporated by is proposing that manufacturers must available on the Office of the General reference; see § 430.3). also report color rendering index (CRI) Counsel’s Web site (http://energy.gov/ GU24 base means the GU24 base in the certification report for integrated gc/office-general-counsel). standardized in ANSI C81.61–2016 LED lamps. DOE requests comment on DOE reviewed the definitions for GSL (incorporated by reference; see § 430.3). the proposed changes regarding the and related terms proposed in this

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NOPDDA under the provisions of the the definition of a ‘‘small business,’’ or number 1910–1400. DOE requested Regulatory Flexibility Act and the are completely foreign owned and OMB approval of an extension of this procedures and policies published on operated. DOE determined that nine information collection for three years, February 19, 2003. DOE certifies that the companies are small businesses that specifically including the collection of proposed rule, if adopted, would not maintain domestic production facilities information proposed in the present have a significant economic impact on for general service lamps. rulemaking, and estimated that the a substantial number of small entities. DOE notes that this proposed rule annual number of burden hours under The factual basis for this certification is merely seeks to define what constitutes this extension is 30 hours per company. set forth in the following paragraphs. a GSIL and what constitutes a GSL. In response to DOE’s request, OMB For manufacturers of GSLs, the SBA General service lamps are required to approved DOE’s information collection has set a size threshold, which defines use DOE’s test procedures to make requirements covered under OMB those entities classified as ‘‘small representations and certify compliance control number 1910–1400 through businesses’’ for the purposes of the with standards, if required. The test November 30, 2017. 80 FR 5099 statute. DOE used the SBA’s small procedure rulemakings for compact (January 30, 2015). business size standards to determine fluorescent lamps, integrated LED Notwithstanding any other provision whether any small entities would be lamps, and other general service of the law, no person is required to subject to the requirements of the rule lamps 15 addressed impacts on small respond to, nor shall any person be See 13 CFR part 121. The size standards businesses due to test procedure subject to a penalty for failure to comply are listed by NAICS code and industry requirements. 81 FR 59386 (August 29, with, a collection of information subject description and are available at http:// 2016); 81 FR 43404 (July 1, 2016). DOE to the requirements of the PRA, unless www.sba.gov/sites/default/files/files/ understands that the proposed that collection of information displays a Size_Standards_Table.pdf. definitions, especially those proposed currently valid OMB control number. Manufacturing of GSLs is classified expirations within the GSIL definition, D. Review Under the National under NAICS 335110, ‘‘Electric Lamp will require that certain exempted Environmental Policy Act of 1969 Bulb and Part Manufacturing.’’ The SBA lamps comply with the current Federal sets a threshold of 1,000 employees or test procedures and Federal energy In this proposed rule, DOE proposes less for an entity to be considered as a conservation standards for GSILs upon definitions for and related to GSLs. DOE small business for this category. the effective date of this rulemaking. has determined that this rule falls into To estimate the number of companies Because the proposed effective date is a class of actions that are categorically that could be small businesses that aligned with the 45 lm/W statutory excluded from review under the manufacture GSLs covered by this standard beginning on January 1, 2020, National Environmental Policy Act of rulemaking, DOE conducted a market DOE believes reasonable time is 1969 (42 U.S.C. 4321 et seq.) and DOE’s survey using publicly available provided for manufacturers to implementing regulations at 10 CFR part information. DOE’s research involved transition, while reducing the number of 1021. Specifically, this rule proposes a information provided by trade redesigns needed. For these reasons, definition for general service lamp and associations (e.g., NEMA 10) and DOE tentatively concludes and certifies related terms but does not affect the information from DOE’s Compliance that the new proposed definitions amount, quality or distribution of Certification Management System would not have a significant economic energy usage, and, therefore, will not (CCMS) Database,11 EPA’s ENERGY impact on a substantial number of small result in any environmental impacts. STAR Certified Light Bulbs Database,12 entities, and the preparation of an IRFA Thus, this rulemaking is covered by LED Lighting Facts Database,13 previous is not warranted. Categorical Exclusion A5 under 10 CFR rulemakings, individual company Web part 1021, subpart D. Accordingly, C. Review Under the Paperwork neither an environmental assessment sites, SBA’s database, and market Reduction Act research tools (e.g., Hoover’s reports 14). nor an environmental impact statement DOE used information from these Manufacturers of GSLs must certify to is required. DOE that their products comply with sources to create a list of companies that E. Review Under Executive Order 13132 potentially manufacture or sell GSLs any applicable energy conservation Executive Order 13132, ‘‘Federalism,’’ and would be impacted by this standards. In certifying compliance, 64 FR 43255 (August 10, 1999), imposes rulemaking. DOE screened out manufacturers must test their products certain requirements on federal agencies companies that do not offer products according to the DOE test procedures for formulating and implementing policies covered by this rulemaking, do not meet GSLs, including any amendments adopted for those test procedures. DOE or regulations that preempt state law or 10 National Electric Manufacturers Association | has established regulations for the that have Federalism implications. The Member Products | Lighting Systems | Related certification and recordkeeping Executive Order requires agencies to Manufacturers, http://www.nema.org/Products/ requirements for all covered consumer examine the constitutional and statutory Pages/Lighting-Systems.aspx (last accessed October products and commercial equipment. 76 authority supporting any action that 6, 2016). FR 12422 (March 7, 2011). The would limit the policymaking discretion 11 DOE’s Compliance Certification Database | Lamps—Bare or Covered (No Reflector) Medium collection-of-information requirement of the states and to carefully assess the Base Compact Fluorescent, http:// for the certification and recordkeeping necessity for such actions. The www.regulations.doe.gov/certification-data (last is subject to review and approval by Executive Order also requires agencies accessed October 6, 2016). OMB under the Paperwork Reduction to have an accountable process to 12 ENERGY STAR Qualified Lamps Product List, http://downloads.energystar.gov/bi/qplist/Lamps_ Act (PRA). This requirement has been ensure meaningful and timely input by Qualified_Product_List.xls?dee3-e997 (last accessed approved by OMB under OMB control state and local officials in the October 6, 2016). development of regulatory policies that 13 LED Lighting Facts Database, http:// 15 The pre-publication of the general service have Federalism implications. On www.lightingfacts.com/products (last accessed lamps test procedure final rule was issued on March 14, 2000, DOE published a October 6, 2016). September 30, 2016 and is available at: http:// 14 Hoovers | Company Information √ Industry energy.gov/sites/prod/files/2016/09/f33/ statement of policy describing the Information √ Lists, http://www.hoovers.com (last General%20Service%20Lamps%20TP%20 intergovernmental consultation process accessed October 6, 2016). Final%20Rule.pdf. it will follow in the development of

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such regulations. 65 FR 13735. DOE has private sector. Public Law 104–4, sec. J. Review Under the Treasury and examined this proposed rule and has 201 (codified at 2 U.S.C. 1531). For a General Government Appropriations tentatively determined that it would not proposed regulatory action likely to Act, 2001 have a substantial direct effect on the result in a rule that may cause the Section 515 of the Treasury and states, on the relationship between the expenditure by state, local, and tribal General Government Appropriations national government and the states, or governments, in the aggregate, or by the Act, 2001 (44 U.S.C. 3516 note) provides on the distribution of power and private sector of $100 million or more for federal agencies to review most responsibilities among the various in any one year (adjusted annually for disseminations of information to the levels of government. EPCA governs and inflation), section 202 of UMRA requires public under information quality prescribes federal preemption of state a federal agency to publish a written guidelines established by each agency regulations as to energy conservation for statement that estimates the resulting pursuant to general guidelines issued by the products that are the subject of this costs, benefits, and other effects on the OMB. OMB’s guidelines were published proposed rule. States can petition DOE national economy. (2 U.S.C. 1532(a), (b)) at 67 FR 8452 (Feb. 22, 2002), and for exemption from such preemption to The UMRA also requires a federal DOE’s guidelines were published at 67 the extent, and based on criteria, set agency to develop an effective process FR 62446 (Oct. 7, 2002). DOE has forth in EPCA. (42 U.S.C. 6297) to permit timely input by elected reviewed this NOPDDA under the OMB Therefore, no further action is required officers of state, local, and tribal by Executive Order 13132. and DOE guidelines and has concluded governments on a proposed ‘‘significant that it is consistent with applicable F. Review Under Executive Order 12988 intergovernmental mandate,’’ and policies in those guidelines. requires an agency plan for giving notice With respect to the review of existing K. Review Under Executive Order 13211 regulations and the promulgation of and opportunity for timely input to new regulations, section 3(a) of potentially affected small governments Executive Order 13211, ‘‘Actions Executive Order 12988, ‘‘Civil Justice before establishing any requirements Concerning Regulations That Reform,’’ imposes on federal agencies that might significantly or uniquely Significantly Affect Energy Supply, the general duty to adhere to the affect them. On March 18, 1997, DOE Distribution, or Use,’’ 66 FR 28355 (May following requirements: (1) Eliminate published a statement of policy on its 22, 2001), requires federal agencies to drafting errors and ambiguity; (2) write process for intergovernmental prepare and submit to OIRA at OMB, a regulations to minimize litigation; (3) consultation under UMRA. 62 FR Statement of Energy Effects for any provide a clear legal standard for 12820. DOE’s policy statement is also proposed significant energy action. A affected conduct rather than a general available at http://energy.gov/sites/ ‘‘significant energy action’’ is defined as _ standard; and (4) promote simplification prod/files/gcprod/documents/umra any action by an agency that and burden reduction. 61 FR 4729 (Feb. 97.pdf. promulgates or is expected to lead to 7, 1996). Regarding the review required DOE examined this proposed rule promulgation of a final rule, and that: by section 3(a), section 3(b) of Executive according to UMRA and its statement of (1) Is a significant regulatory action Order 12988 specifically requires that policy and determined that the rule under Executive Order 12866, or any Executive agencies make every contains neither an intergovernmental successor order; and (2) is likely to have reasonable effort to ensure that the mandate, nor a mandate that may result a significant adverse effect on the regulation: (1) Clearly specifies the in the expenditure of $100 million or supply, distribution, or use of energy, or preemptive effect, if any; (2) clearly more in any year, so these requirements (3) is designated by the Administrator of specifies any effect on existing federal do not apply. OIRA as a significant energy action. For law or regulation; (3) provides a clear any proposed significant energy action, legal standard for affected conduct H. Review Under the Treasury and the agency must give a detailed while promoting simplification and General Government Appropriations statement of any adverse effects on burden reduction; (4) specifies the Act, 1999 energy supply, distribution, or use retroactive effect, if any; (5) adequately should the proposal be implemented, Section 654 of the Treasury and defines key terms; and (6) addresses and of reasonable alternatives to the General Government Appropriations other important issues affecting clarity action and their expected benefits on Act, 1999 (Pub. L. 105–277) requires and general draftsmanship under any energy supply, distribution, and use. federal agencies to issue a Family guidelines issued by the Attorney This regulatory action to propose Policymaking Assessment for any rule General. Section 3(c) of Executive Order definitions for GSL and related terms is that may affect family well-being. This 12988 requires Executive agencies to not a significant regulatory action under rule would not have any impact on the review regulations in light of applicable Executive Order 12866. Moreover, it autonomy or integrity of the family as standards in section 3(a) and section would not have a significant adverse an institution. Accordingly, DOE has 3(b) to determine whether they are met effect on the supply, distribution, or use concluded that it is not necessary to or it is unreasonable to meet one or of energy, nor has it been designated as prepare a Family Policymaking more of them. DOE has completed the a significant energy action by the Assessment. required review and determined that, to Administrator of OIRA. Therefore, it is the extent permitted by law, this I. Review Under Executive Order 12630 not a significant energy action, and, proposed rule meets the relevant accordingly, DOE has not prepared a standards of Executive Order 12988. Pursuant to Executive Order 12630, Statement of Energy Effects. ‘‘Governmental Actions and Interference G. Review Under the Unfunded with Constitutionally Protected Property L. Review Under the Information Mandates Reform Act of 1995 Rights,’’ 53 FR 8859 (March 15, 1988), Quality Bulletin for Peer Review Title II of the Unfunded Mandates DOE has determined that this proposed On December 16, 2004, OMB, in Reform Act of 1995 (UMRA) requires rule would not result in any takings that consultation with the Office of Science each federal agency to assess the effects might require compensation under the and Technology Policy (OSTP), issued of federal regulatory actions on state, Fifth Amendment to the U.S. its Final Information Quality Bulletin local, and tribal governments and the Constitution. for Peer Review (the Bulletin). 70 FR

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2664 (Jan. 14, 2005). The Bulletin Lamp caps,’’ IEC 60061–1:2005. IEC enter federal buildings from specific establishes that certain scientific 60061–1:2005 is an industry accepted states and U.S. territories. As a result, information shall be peer reviewed by standard that describes the driver’s licenses from several states or qualified specialists before it is specifications for lamp caps. This territory will not be accepted for disseminated by the federal government, NOPDDA references IEC 60061–1:2005 building entry, and instead, one of the including influential scientific for the definition of the term ‘‘ANSI alternate forms of ID listed below will information related to agency regulatory base.’’ IEC 60061–1:2005 is readily be required. DHS has determined that actions. The purpose of the Bulletin is available on https://webstore.iec.ch/ regular driver’s licenses (and ID cards) to enhance the quality and credibility of home. from the following jurisdictions are not the Government’s scientific information. DOE also incorporates by reference acceptable for entry into DOE facilities: Under the Bulletin, the energy the standard published by UL, titled Alaska, American Samoa, Arizona, conservation standards rulemaking ‘‘Standard for Light-Emitting Diode Louisiana, Maine, Massachusetts, analyses are ‘‘influential scientific Retrofit Luminaire Conversion Kits,’’ Minnesota, New York, Oklahoma, and information,’’ which the Bulletin First Edition, dated January 16, 2014, Washington. Acceptable alternate forms defines as ‘‘scientific information the UL 1598C–2014. UL 1598C–2014 is an of Photo-ID include: U.S. Passport or agency reasonably can determine will industry accepted standard that Passport Card; an Enhanced Driver’s have, or does have, a clear and describes the requirements for LED License or Enhanced ID-Card issued by substantial impact on important public retrofit luminaire conversion kits the States of Minnesota, New York, or policies or private sector decisions.’’ Id. intended to replace existing Washington (Enhanced licenses issued at FR 2667. incandescent, fluorescent, induction, by these states are clearly marked The proposed definitions incorporate and HID systems that comply with Enhanced or Enhanced Driver’s information contained in certain existing requirements for luminaires. License); a military ID or other federal- sections of the following commercial This NOPDDA references UL 1598C– government-issued photo ID-card. standards: 2014 for the definition of the term ‘‘LED In addition, you can attend the public (1) ANSI C81.61–2016, ‘‘American Downlight Retrofit Kit.’’ UL 1598C–2014 meeting via webinar. Webinar National Standard for Electrical Lamp is readily available on http:// registration information, participant Bases—Specifications for Bases (Caps) ulstandards.ul.com/standards-catalog/. instructions, and information about the for Electric Lamps,’’ 2016; capabilities available to webinar (2) IEC Standard 60061, ‘‘Lamp caps VI. Public Participation participants will be published on DOE’s and holders together with gauges for the A. Attendance at the Public Meeting Web site at: https:// control of interchangeability and safety, www1.eere.energy.gov/buildings/ Amendment 35, Edition 3,’’ 2005–01; The time, date, and location of the appliance_standards/ (3) UL 1598C–2014, ‘‘Standard for public meeting are listed in the DATES standards.aspx?productid=4. Light-Emitting Diode (LED) Retrofit and ADDRESSES sections at the beginning Participants are responsible for ensuring Luminaire Conversion Kits, First of this NOPDDA. If you plan to attend their systems are compatible with the Edition,’’ 2014; the public meeting, please notify webinar software. DOE has evaluated these standards Appliance and Equipment Standards and is unable to conclude whether they Program Staff at (202) 586–6636 or B. Procedure for Submitting Prepared fully comply with the requirements of Appliance_Standards_Public_ General Statements for Distribution section 32(b) of the FEAA (i.e., that they [email protected]. Any person who has plans to present were developed in a manner that fully Please note that foreign nationals a prepared general statement may provides for public participation, visiting DOE Headquarters are subject to request that copies of his or her comment, and review.) DOE will advance security screening procedures statement be made available at the consult with both the Attorney General which require advance notice prior to public meeting. Such persons may and the Chairman of the FTC attendance at the public meeting. If a submit requests, along with an advance concerning the impact of these test foreign national wishes to participate in electronic copy of their statement in procedures on competition, prior to the public meeting, please inform DOE PDF (preferred), Microsoft Word or adopting a final rule. of this fact as soon as possible by Excel, WordPerfect, or text (ASCII) file contacting Ms. Regina Washington at format, to the appropriate address M. Description of Materials (202) 586–1214 or by email shown in the ADDRESSES section at the Incorporated by Reference ([email protected]) so that beginning of this document. The request In this NOPDDA, DOE proposes to the necessary procedures can be and advance copy of statements must be incorporate by reference the standard completed. received at least one week before the published by ANSI, titled ‘‘Electric DOE requires visitors to have laptops public meeting and may be emailed, Lamp Bases—Specifications for Bases and other devices, such as tablets, hand-delivered, or sent by mail. DOE (Caps) for Electric Lamps,’’ ANSI checked upon entry into the Forrestal prefers to receive requests and advance C81.61–2016. ANSI C81.61–2016 is an Building. Any person wishing to bring copies via email. Please include a industry accepted standard that these devices into the building will be telephone number to enable DOE staff to describes the specifications for bases required to obtain a property pass. make follow-up contact, if needed. (caps) used on electric lamps. This Visitors should avoid bringing these NOPDDA references ANSI C81.61–2016 devices, or allow an extra 45 minutes to C. Conduct of the Public Meeting for the definition of the term ‘‘ANSI check in. Please report to the visitor’s DOE will designate a DOE official to base.’’ ANSI C81.61–2016 is readily desk to have devices checked before preside at the public meeting and may available on http://webstore.ansi.org/. proceeding through security. also use a professional facilitator to aid DOE also incorporates by reference Due to the REAL ID Act implemented discussion. The meeting will not be a the standard published by IEC, titled by the Department of Homeland judicial or evidentiary-type public ‘‘Lamp caps and holders together with Security (DHS), there have been recent hearing, but DOE will conduct it in gauges for the control of changes regarding identification (ID) accordance with section 336 of EPCA. interchangeability and safety—Part 1: requirements for individuals wishing to (42 U.S.C. 6306) A court reporter will be

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present to record the proceedings and Submitting comments via cover letter. Include your first and last prepare a transcript. DOE reserves the www.regulations.gov. The names, email address, telephone right to schedule the order of www.regulations.gov Web page will number, and optional mailing address. presentations and to establish the require you to provide your name and The cover letter will not be publicly procedures governing the conduct of the contact information. Your contact viewable as long as it does not include public meeting. There shall not be information will be viewable to DOE any comments. discussion of proprietary information, Building Technologies staff only. Your Include contact information each time costs or prices, market share, or other contact information will not be publicly you submit comments, data, documents, commercial matters regulated by U.S. viewable except for your first and last and other information to DOE. If you anti-trust laws. After the public meeting, names, organization name (if any), and submit via mail or hand delivery/ interested parties may submit further submitter representative name (if any). courier, please provide all items on a comments on the proceedings, as well If your comment is not processed CD, if feasible, in which case it is not as on any aspect of the NOPDDA, until properly because of technical necessary to submit printed copies. No the end of the comment period. difficulties, DOE will use this telefacsimiles (faxes) will be accepted. The public meeting will be conducted information to contact you. If DOE Comments, data, and other in an informal, conference style. DOE cannot read your comment due to information submitted to DOE will present summaries of comments technical difficulties and cannot contact electronically should be provided in received before the public meeting, you for clarification, DOE may not be PDF (preferred), Microsoft Word or allow time for prepared general able to consider your comment. Excel, WordPerfect, or text (ASCII) file statements by participants, and However, your contact information format. Provide documents that are not encourage all interested parties to share will be publicly viewable if you include secured, that are written in English, and their views on issues affecting this it in the comment itself or in any that are free of any defects or viruses. NOPDDA. Each participant will be documents attached to your comment. Documents should not contain special characters or any form of encryption allowed to make a general statement Any information that you do not want and, if possible, they should carry the (within time limits determined by DOE), to be publicly viewable should not be included in your comment, nor in any electronic signature of the author. before the discussion of specific topics. Campaign form letters. Please submit DOE will allow, as time permits, other document attached to your comment. Otherwise, persons viewing comments campaign form letters by the originating participants to comment briefly on any organization in batches of between 50 to general statements. will see only first and last names, organization names, correspondence 500 form letters per PDF or as one form At the end of all prepared statements containing comments, and any letter with a list of supporters’ names on a topic, DOE will permit participants documents submitted with the compiled into one or more PDFs. This to clarify their statements briefly and comments. reduces comment processing and comment on statements made by others. Do not submit to www.regulations.gov posting time. Participants should be prepared to information for which disclosure is Confidential Business Information. answer questions by DOE and by other restricted by statute, such as trade Pursuant to 10 CFR 1004.11, any person participants concerning these issues. secrets and commercial or financial submitting information that he or she DOE representatives may also ask information (hereinafter referred to as believes to be confidential and exempt questions of participants concerning confidential business information or by law from public disclosure should other matters relevant to this NOPDDA. CBI). Comments submitted through submit via email, postal mail, or hand The official conducting the public www.regulations.gov cannot be claimed delivery/courier two well-marked meeting will accept additional as CBI. Comments received through the copies: One copy of the document comments or questions from those Web site will waive any CBI claims for marked ‘‘confidential’’ including all the attending, as time permits. The the information submitted. For information believed to be confidential, presiding official will announce any information on submitting CBI, see the and one copy of the document marked further procedural rules or modification Confidential Business Information ‘‘non-confidential’’ with the information of the above procedures that may be section below. believed to be confidential deleted. needed for the proper conduct of the DOE processes submissions made Submit these documents via email or on public meeting. through www.regulations.gov before a CD, if feasible. DOE will make its own A transcript of the public meeting will posting. Normally, comments will be determination about the confidential be included in the docket, which can be posted within a few days of being status of the information and treat it viewed as described in the Docket submitted. However, if large volumes of according to its determination. section at the beginning of this notice comments are being processed Factors of interest to DOE when and will be accessible on the DOE Web simultaneously, your comment may not evaluating requests to treat submitted site. In addition, any person may buy a be viewable for up to several weeks. information as confidential include: (1) copy of the transcript from the Please keep the comment tracking A description of the items; (2) whether transcribing reporter. number that www.regulations.gov and why such items are customarily treated as confidential within the D. Submission of Comments provides after you have successfully uploaded your comment. industry; (3) whether the information is DOE will accept comments, data, and Submitting comments via email, hand generally known by or available from information regarding this NOPDDA delivery/courier, or mail. Comments and other sources; (4) whether the before or after the public meeting, but documents submitted via email, hand information has previously been made no later than the date provided in the delivery/courier, or mail also will be available to others without obligation DATES section at the beginning of this posted to www.regulations.gov. If you concerning its confidentiality; (5) an notice. Interested parties may submit do not want your personal contact explanation of the competitive injury to comments, data, and other information information to be publicly viewable, do the submitting person that would result using any of the methods described in not include it in your comment or any from public disclosure; (6) when such the ADDRESSES section at the beginning accompanying documents. Instead, information might lose its confidential of this notice. provide your contact information in a character due to the passage of time; and

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(7) why disclosure of the information VII. Approval of the Office of the as variable CCT or CRI), the certification would be contrary to the public interest. Secretary report must also list which mode was It is DOE’s policy that all comments The Secretary of Energy has approved selected for testing and include detail may be included in the public docket, publication of this notice of proposed such that another laboratory could without change and as received, definition and data availability. operate the lamp in the same mode. including any personal information Lifetime and life are estimated values provided in the comments (except List of Subjects until testing is complete. When information deemed to be exempt from 10 CFR Part 429 reporting estimated values, the public disclosure). certification report must specifically Confidential business information, describe the prediction method, which E. Issues on Which DOE Seeks Comment Energy conservation, Household must be generally representative of the Although DOE welcomes comments appliances, Imports, Reporting and methods specified in appendix BB. on any aspect of this proposal, DOE is recordkeeping requirements. Manufacturers are required to maintain particularly interested in receiving 10 CFR Part 430 records per § 429.71 of the development comments and views of interested Administrative practice and of all estimated values and any parties concerning the following issues: procedure, Confidential business associated initial test data. (1) DOE requests comment on the information, Energy conservation, * * * * * eight GSIL exemptions that are Household appliances, Imports, proposed to be discontinued in this Incorporation by reference, PART 430—ENERGY CONSERVATION notice. In particular, DOE requests Intergovernmental relations, Small PROGRAM FOR CONSUMER comment on the estimated annual unit businesses. PRODUCTS sales, potential for lamp switching, and ■ any other factors that should be Issued in Washington, DC, on October 7, 3. The authority citation for part 430 considered. 2016. continues to read as follows: (2) DOE requests comment on the 14 Kathleen B. Hogan, Authority: 42 U.S.C. 6291–6309; 28 U.S.C. GSIL exemptions that are proposed to be Deputy Assistant Secretary for Energy 2461 note. Efficiency, Energy Efficiency and Renewable maintained in this notice. In particular, ■ Energy. 4. Section 430.2 is amended by: DOE requests comment on the estimated ■ a. Adding in alphabetical order the annual unit sales, potential for lamp For the reasons set forth in the definitions of ‘‘ANSI base,’’ ‘‘Black light switching, and any other factors that preamble, DOE proposes to amend parts lamp,’’ ‘‘Bug lamp,’’ ‘‘Colored lamp,’’ should be considered. 429 and 430 of chapter II, subchapter D, ‘‘General service light-emitting diode (3) DOE requests any additional sales of title 10 of the Code of Federal (LED) lamp,’’ ‘‘General service organic data from stakeholders that could be Regulations, as set forth below: lighting-emitting diode (OLED) lamp,’’ considered when determining whether PART 429—CERTIFICATION, ‘‘GU24 base,’’ ‘‘Infrared lamp,’’ to maintain or discontinue the GSIL COMPLIANCE, AND ENFORCEMENT ‘‘Integrated lamp,’’ ‘‘LED Downlight exemptions. FOR CONSUMER PRODUCTS AND Retrofit Kit,’’ ‘‘Left-hand thread lamp,’’ (4) DOE requests comment on the COMMERCIAL AND INDUSTRIAL ‘‘Light fixture,’’ ‘‘Marine lamp,’’ proposed definition for GSIL. EQUIPMENT ‘‘Marine signal service lamp,’’ ‘‘Mine (5) DOE requests comment on its service lamp,’’ ‘‘Non-integrated lamp,’’ preliminary determination that the ■ 1. The authority citation for part 429 ‘‘Non-reflector lamp,’’ ‘‘Pin base lamp,’’ following exemption types are not continues to read as follows: ‘‘Plant light lamp,’’ ‘‘Reflector lamp,’’ specific to incandescent technology: Authority: 42 U.S.C. 6291–6317; 28 U.S.C. ‘‘Showcase Lamp,’’ ‘‘Sign service lamp,’’ Appliance lamps; black light lamps; bug 2461 note. ‘‘Silver bowl lamp,’’ ‘‘Specialty MR lamps; colored lamps; infrared lamps; lamp,’’ and ‘‘Traffic signal lamp;’’ and ■ left-hand thread lamps; marine lamps; 2. Section 429.56 is amended by ■ b. Revising the definitions of marine signal service lamps; mine revising paragraph (b)(2) to read as ‘‘designed and marketed,’’ ‘‘general service lamps; plant light lamps; sign follows: service incandescent lamp,’’ and service lamps; silver bowl lamps; § 429.56 Integrated light-emitting diode ‘‘general service lamp.’’ showcase lamps; and traffic signal lamps. The additions and revisions read as lamps. * * * * * follows: (6) DOE requests comment on the (b) * * * § 430.2 Definitions. proposed GSL lumen range of greater (2) Values reported in certification than or equal to 310 lumens and less reports are represented values. Pursuant * * * * * than or equal to 4,000 lumens. to § 429.12(b)(13), a certification report ANSI base means a base type (7) DOE requests comment on its shall include the following public specified in ANSI C81.61–2016 preliminary determination that specialty product-specific information: The (incorporated by reference; see § 430.3) MR-lamps warrant an exemption and testing laboratory’s ILAC accreditation or IEC 60061–1:2005 (incorporated by the proposed definition for the term body’s identification number or other reference; see § 430.3). ‘‘specialty MR-lamp.’’ approved identification assigned by the * * * * * (8) DOE requests comment on its ILAC accreditation body, the date of Black light lamp means a lamp that is proposed definition of GSL. manufacture, initial lumen output in designed and marketed as a black light (9) DOE requests comment on the lumens (lm), input power in watts (W), lamp and is an ultraviolet lamp with the various definitions proposed to better lamp efficacy in lumens per watt (lm/ highest radiant power peaks in the UV– delineate the GSL definition. W), CCT in kelvin (K), CRI, power A band (315 to 400 nm) of the (10) DOE requests comment on the factor, lifetime in years (and whether electromagnetic spectrum. proposed changes regarding the value is estimated), and life (and * * * * * certification and reporting requirements whether value is estimated). For lamps Bug lamp means a lamp that is of integrated LED lamps. with multiple modes of operation (such designed and marketed as a bug lamp,

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has radiant power peaks above 550 nm (8) A marine signal service lamp; electromagnetic spectrum (770 nm to 1 on the electromagnetic spectrum, and (9) A mine service lamp; mm), and which has a primary purpose has a visible yellow coating. (10) A plant light lamp; of providing heat. * * * * * (11) An R20 short lamp; Integrated lamp means a lamp that Colored lamp means a colored (12) A sign service lamp; contains all components necessary for fluorescent lamp, a colored (13) A silver bowl lamp; the starting and stable operation of the incandescent lamp, or a lamp designed (14) A showcase lamp; and lamp, does not include any replaceable and marketed as a colored lamp and not (15) A traffic signal lamp. or interchangeable parts, and is designed and marketed for general General service lamp means a lamp connected directly to a branch circuit lighting applications with either of the that has an ANSI base, operates at any through an ANSI base and following characteristics (if multiple voltage, has an initial lumen output of corresponding ANSI standard lamp- modes of operation are possible [such as greater than or equal to 310 lumens (or holder (socket). variable CCT], either of the below 232 lumens for modified spectrum * * * * * characteristics must be maintained general service incandescent lamps) and LED Downlight Retrofit Kit means a throughout all modes of operation): less than or equal to 4,000 lumens, is product designed and marketed to (1) A CRI less than 40, as determined not a light fixture, is not an LED install into an existing downlight, according to the method set forth in CIE downlight retrofit kit, and is used in replacing the existing light source and Publication 13.3 (incorporated by general lighting applications. General related electrical components, typically reference; see § 430.3); or service lamps include, but are not employing an ANSI standard lamp base, (2) A correlated color temperature less limited to, general service incandescent either integrated or connected to the than 2,500 K or greater than 7,000 K as lamps, compact fluorescent lamps, downlight retrofit by wire leads, and is determined according to the method set general service light-emitting diode a retrofit kit classified or certified to UL forth in IES LM–66 or IES LM–79 as lamps, and general service organic light- 1598C–2014 (incorporated by reference; appropriate (incorporated by reference; emitting diode lamps, but do not see § 430.3). LED downlight retrofit kit see § 430.3). include general service fluorescent does not include integrated lamps or * * * * * lamps; linear fluorescent lamps of non-integrated lamps. Designed and marketed means lengths from one to eight feet; circline Left-hand thread lamp means a lamp exclusively designed to fulfill the fluorescent lamps; fluorescent lamps with direction of threads on the lamp indicated application and, when specifically designed for cold base oriented in the left-hand direction. temperature applications; impact- distributed in commerce, is designated * * * * * resistant fluorescent lamps; reflectorized and marketed solely for that application, Light fixture means a complete or aperture fluorescent lamps; with the designation on the packaging lighting unit consisting of light source(s) fluorescent lamps designed for use in and all publicly available documents and ballast(s) (when applicable) together reprographic equipment; fluorescent (e.g., product literature, catalogs, and with the parts designed to distribute the lamps primarily designed to produce packaging labels). This definition is light, to position and protect the light radiation in the ultra-violet region of the applicable to terms related to the source, and to connect the light spectrum; fluorescent lamps with a following covered lighting products: source(s) to the power supply. Fluorescent lamp ballasts; fluorescent color rendering index of 87 or greater; R20 short lamps; specialty MR lamps; * * * * * lamps; general service fluorescent Marine lamp means a lamp that is lamps; general service incandescent appliance lamps; black light lamps; bug lamps; colored lamps; infrared lamps; designed and marketed for use on boats. lamps; general service lamps; Marine signal service lamp means a incandescent lamps; incandescent left-hand thread lamps; marine lamps; marine signal service lamps; mine lamp that is designed and marketed for reflector lamps; medium base compact marine signal service applications. fluorescent lamps; and specialty service lamps; plant light lamps; sign service lamps; silver bowl lamps, * * * * * application mercury vapor lamp Mine service lamp means a lamp that ballasts. showcase lamps, and traffic signal lamps. is designed and marketed for mine * * * * * General service light-emitting diode service applications. General service incandescent lamp (LED) lamp means an integrated or non- * * * * * means a standard incandescent or integrated LED lamp designed for use in Non-integrated lamp means a lamp halogen type lamp that is intended for general lighting applications (as defined that is not an integrated lamp. general service applications; has a in § 430.2) and that uses light-emitting Non-reflector lamp means a lamp that medium screw base; has a lumen range diodes as the primary source of light. is not a reflector lamp. of not less than 310 lumens and not General service organic light-emitting * * * * * more than 2,600 lumens or, in the case diode (OLED) lamp means an integrated of a modified spectrum lamp, not less Pin base lamp means a base type or non-integrated OLED lamp designed designated as a single pin base or than 232 lumens and not more than for use in general lighting applications 1,950 lumens; and is capable of being multiple pin base system in Table 1 of (as defined in § 430.2) and that uses ANSI C81.61, Specifications for operated at a voltage range at least OLEDs as the primary source of light. partially within 110 and 130 volts; Electrics Bases (incorporated by however this definition does not apply * * * * * reference; see § 430.3). to the following incandescent lamps— GU24 base means the GU24 base * * * * * (1) An appliance lamp; standardized in ANSI C81.61–2016 Plant light lamp means a lamp that is (2) A black light lamp; (incorporated by reference; see § 430.3). designed to promote plant growth by (3) A bug lamp; * * * * * emitting its highest radiant power peaks (4) A colored lamp; Infrared lamp means a lamp that is in the regions of the electromagnetic (5) An infrared lamp; designed and marketed as an infrared spectrum that promote photosynthesis: (6) A left-hand thread lamp; lamp, has its highest radiant power Blue (440 nm to 490 nm) and/or red (7) A marine lamp; peaks in the infrared region of the (620 to 740 nm). Plant light lamps must

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be designed and marketed for plant designed and marketed as a silver bowl § 430.3 Materials incorporated by growing applications. lamp. reference. * * * * * * * * * * * * * * * Reflector lamp means a lamp that has Specialty MR lamp means a lamp that (e) * * * an R, PAR, BPAR, BR, ER, MR, or has an MR bulb shape as defined in (12) ANSI C81.61–2016, (‘‘ANSI similar bulb shape as defined in ANSI ANSI C79.1 (incorporated by reference; C81.61–2016’’), American National C78.20 (incorporated by reference; see see § 430.3) with a diameter less than 2 Standard for Electrical Lamp Bases— § 430.3) and ANSI C79.1 (incorporated inches; operates at any voltage; and that Specifications for Bases (Caps) for by reference; see § 430.3) and is used to is designed and marketed for use in Electric Lamps, approved April 20, direct light. projectors, scientific illumination 2016, IBR approved for § 430.2. * * * * * equipment, theatre lighting, studio * * * * * lighting, stage lighting, film lighting, Showcase lamp means a lamp that has (p) * * * a T-shape as specified in ANSI C78.20 medical equipment lighting, or (2) IEC Standard 60061, (‘‘IEC 60061– (incorporated by reference; see § 430.3) emergency lighting. 1:2005’’), Lamp caps and holders and ANSI C79.1 (incorporated by * * * * * together with gauges for the control of reference; see § 430.3), is designed and Traffic signal lamp means a lamp that interchangeability and safety, marketed as a showcase lamp, and has is designed and marketed for traffic Amendment 35, Edition 3, 2005–01; IBR a maximum rated wattage of 75 watts. signal applications. approved for § 430.2. * * * * * * * * * * * * * * * Sign service lamp means a vacuum ■ 5. Section 430.3 is amended by: type or gas-filled lamp that has ■ a. Redesignating paragraphs (e)(12) (u) * * * sufficiently low bulb temperature to through (e)(20) as paragraphs (e)(13) (4) UL 1598C–2014 (‘‘UL 1598C– permit exposed outdoor use on high- through (e)(21), respectively; 2014’’), Standard for Light-Emitting speed flashing circuits, is designed and ■ b. Adding new paragraph (e)(12); Diode (LED) Retrofit Luminaire marketed as a sign service lamp, and has ■ c. Redesignating paragraphs (p)(2) Conversion Kits, First Edition, dated a maximum rated wattage 15 watts. through (p)(7) as paragraphs (p)(3) January 16, 2014, IBR approved for Silver bowl lamp means a lamp that through (p)(8) respectively;: § 430.2. has a reflective coating applied directly ■ d. Adding new paragraph (p)(2); * * * * * to part of the bulb surface that reflects ■ e. Adding new paragraph (u)(4). [FR Doc. 2016–24865 Filed 10–17–16; 8:45 am] light toward the lamp base and that is The additions read as follows: BILLING CODE 6450–01–P

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