Energy Conservation Program: Energy Conservation Standards for General Service Lamps

Federal Register, Volume 81 Issue 201 (Tuesday, October 18, 2016)

Federal Register Volume 81, Number 201 (Tuesday, October 18, 2016)

Proposed Rules

Pages 71794-71816

From the Federal Register Online via the Government Publishing Office www.gpo.gov

FR Doc No: 2016-24865

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Vol. 81

Tuesday,

No. 201

October 18, 2016

Part II

Department of Energy

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10 CFR Parts 429 and 430

Energy Conservation Program: Energy Conservation Standards for General Service Lamps; Proposed Rule

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DEPARTMENT OF ENERGY

10 CFR Parts 429 and 430

Docket Number EERE-2013-BT-STD-0051

RIN 1904-AD09

Energy Conservation Program: Energy Conservation Standards for General Service Lamps

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

ACTION: Proposed definition and data availability.

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SUMMARY: On March 17, 2016, DOE published a notice of proposed rulemaking (NOPR) proposing standards for general service lamps (GSLs) pursuant to the Energy Policy and Conservation Act of 1975 (EPCA), as amended. During the subsequent public meeting and in written comments, stakeholders provided additional data and raised concerns regarding the expansion of scope in the proposed GSL definition and DOE's approach to analyzing the 22 general service incandescent lamp exemptions. In response to several of those comments, DOE collected additional data and is publishing this document to propose a revised definition of GSL; announce the availability of National Electrical Manufacturers Association (NEMA) data and supplemental data collected by DOE; request public comment on proposed definitions and compiled data; and request any additional data that stakeholders may have in support of this evaluation.

DATES: Comments: DOE will accept comments, data, and information regarding this notice of proposed definition and data availability submitted no later than November 8, 2016. See section VI, ``Public Participation,'' of this document for details.

Meeting: DOE will hold a public meeting on October 21, 2016, from 9:30 a.m. to 4:00 p.m., in Washington, DC The meeting will also be broadcast as a webinar. See section VI, ``Public Participation,'' for webinar registration information, participant instructions, and information about the capabilities available to webinar participants.

ADDRESSES: The public meeting will be held at the U.S. Department of Energy, Forrestal Building, Room 1E-245, 1000 Independence Avenue SW., Washington, DC 20585. Any foreign national wishing to participate in the meeting should advise DOE as soon as possible by contacting regina.washington@ee.doe.gov to initiate the necessary procedures. Please also note that any person wishing to bring a laptop into the Forrestal Building will be required to obtain a property pass. Visitors should avoid bringing laptops, or allow an extra 45 minutes. Persons may also attend the public meeting via webinar.

Instructions: Any comments submitted must identify the notice of proposed definition and data availability for GSLs, and provide docket number EE-2013-BT-STD-0051 and/or regulatory information number (RIN) 1904-AD09. Comments may be submitted using any of the following methods:

1. Federal eRulemaking Portal: www.regulations.gov. Follow the instructions for submitting comments.

2. Email: GSL2013STD0051@ee.doe.gov. Include the docket number and/

or RIN in the subject line of the message. Submit electronic comments in WordPerfect, Microsoft Word, PDF, or ASCII file format, and avoid the use of special characters or any form of encryption.

3. Postal Mail: Appliance and Equipment Program, U.S. Department of Energy, Building Technologies Office, Mailstop EE-5B, 1000 Independence Avenue SW., Washington, DC 20585-0121. If possible, please submit all items on a compact disc (CD), in which case it is not necessary to include printed copies.

4. Hand Delivery/Courier: Appliance and Equipment Program, U.S. Department of Energy, Building Technologies Office, 950 L'Enfant Plaza SW., Suite 600, Washington, DC 20024. Telephone: (202) 586-6636. If possible, please submit all items on a CD, in which case it is not necessary to include printed copies.

No telefacsimilies (faxes) will be accepted. For detailed instructions on submitting comments and additional information on the rulemaking process, see section VI of this document (``Public Participation'').

Docket: The docket, which includes Federal Register notices, public meeting attendee lists and transcripts, comments, and other supporting documents/materials, is available for review at www.regulations.gov. All documents in the docket are listed in the www.regulations.gov index. However, some documents listed in the index may not be publicly available, such as those containing information that is exempt from public disclosure.

A link to the docket Web page can be found at: https://www1.eere.energy.gov/buildings/appliance_standards/standards.aspx?productid=4. This Web page contains a link to the docket for this notice on the www.regulations.gov site. The www.regulations.gov Web page contains simple instructions on how to access all documents, including public comments, in the docket. See section VI, ``Public Participation,'' for further information on how to submit comments through www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: Ms. Lucy deButts, U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy, Building Technologies Office, EE-2J, 1000 Independence Avenue SW., Washington, DC 20585-0121. Telephone: (202) 287-1604. Email: gsl@ee.doe.gov

Ms. Celia Sher, U.S. Department of Energy, Office of the General Counsel, GC-33, 1000 Independence Avenue SW., Washington, DC 20585-

0121. Telephone: (202) 287-6122. Email: celia.sher@hq.doe.gov

For further information on how to submit a comment, review other public comments and the docket, or participate in the public meeting, contact the Appliance and Equipment Standards Program Staff at (202) 586-6636 or by email: Appliance_Standards_Public_Meetings@ee.doe.gov.

SUPPLEMENTARY INFORMATION: DOE intends to incorporate by reference the following industry standards into 10 CFR part 430:

(1) American National Standards Institute C81.61-2016 (``ANSI C81.61-2016''), Electric Lamp Bases--Specifications for Bases (Caps) for Electric Lamps, dated April 20, 2016.

A copy of ANSI C81.61-2016 can be obtained from the American National Standards Institute, 25 W. 43rd Street, 4th Floor, New York, NY 10036, (212) 642-4900, or go to http://webstore.ansi.org.

(2) International Electrotechnical Commission 60061-1:2005 (``IEC 60061-1:2005''), Lamp caps and holders together with gauges for the control of interchangeability and safety--Part 1: Lamp caps, Amendment 35, Edition 3, dated January 27, 2005.

A copy of IEC 60061-1:2005 can be obtained from the American National Standards Institute, 25 W. 43rd Street, 4th Floor, New York, NY 10036, (212) 642-4900, or go to http://webstore.ansi.org.

(3) Underwriter Laboratories 1598C-2014 (``UL 1598C-2014''), Standard for Light-Emitting Diode Retrofit Luminaire Conversion Kits, First Edition, dated January 16, 2014.

A copy of UL 1598C-2014 can be obtained from Comm 2000, 151 Eastern

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Avenue, Bensenville, IL 60106, 1-888-853-3503, or go to http://ulstandards.ul.com/standards-catalog/.

For a further discussion of these standards, see section V.M.

Table of Contents

I. Introduction

II. Proposed Definition of General Service Lamp

  1. General Service Lamp Definition

    1. GSILs

    1. Exemptions Discontinued

    2. Exemptions Maintained

    3. Proposed Definition for GSIL

      2. CFLs

      3. General Service LED Lamps and OLED Lamps

      4. Other Lamps

    4. General Lighting Applications

    5. ANSI Bases

    6. Lumen Range

    7. Operating Voltage

    8. Exempted Lamps From GSL

    9. Lamps Subject to Other Rulemakings

      5. Summary and Proposed Regulatory Text Definition

  2. Supporting Definitions

    1. LED Downlight Retrofit Kit

    2. Reflector Lamp and Non-Reflector Lamp

    3. Black Light Lamp, Colored Lamp, Plant Light Lamp, and Bug Lamp

    4. Mine Service Lamp

    5. Appliance Lamp

    6. Marine Lamp and Marine Signal Service Lamp

    7. Vibration Service Lamp and Rough Service Lamp

    8. Covered Product

    9. MR Lamp

    10. Other Definitions

    III. Clarifications to Regulatory Text

    IV. Effective Date

    V. Procedural Issues and Regulatory Review

  3. Review Under Executive Orders 12866 and 13563

  4. Review Under the Regulatory Flexibility Act

  5. Review Under the Paperwork Reduction Act

  6. Review Under the National Environmental Policy Act of 1969

  7. Review Under Executive Order 13132

  8. Review Under Executive Order 12988

  9. Review Under the Unfunded Mandates Reform Act of 1995

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

    I. Review Under Executive Order 12630

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

  12. Review Under Executive Order 13211

    L. Review Under the Information Quality Bulletin for Peer Review

  13. Description of Materials Incorporated by Reference

    VI. Public Participation

  14. Attendance at the Public Meeting

  15. Procedure for Submitting Prepared General Statements for Distribution

  16. Conduct of the Public Meeting

  17. Submission of Comments

  18. Issues on Which DOE Seeks Comment

    VII. Approval of the Office of the Secretary

    I. Introduction

    Title III, Part B of the Energy Policy and Conservation Act of 1975 (EPCA or the Act), Public Law 94-163 (42 U.S.C. 6291-6309, as codified) established the Energy Conservation Program for Consumer Products Other Than Automobiles, a program covering most major household appliances (collectively referred to as ``covered products'').\1\ Subsequent amendments expanded Title III of EPCA to include additional consumer products, including general service lamps (GSLs)--the products that are the focus of this notice of proposed definition and data availability (NOPDDA).

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    \1\ Part B was re-designated Part A on codification in the U.S. Code for editorial reasons.

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    In particular, amendments to EPCA in the Energy Independence and Security Act of 2007 (EISA 2007) directed DOE to conduct two rulemaking cycles to evaluate energy conservation standards for GSLs. (42 U.S.C. 6295(i)(6)(A)-(B)) For the first rulemaking cycle, EPCA, as amended by EISA 2007, directs DOE to initiate a rulemaking no later than January 1, 2014, to evaluate standards for GSLs and determine whether exemptions for certain incandescent lamps should be maintained or discontinued. (42 U.S.C. 6295(i)(6)(A)(i)) The scope of the rulemaking is not limited to incandescent lamp technologies. (42 U.S.C. 6295(i)(6)(A)(ii)) Further, for this first cycle of rulemaking, the EISA 2007 amendments provide that DOE must consider a minimum standard of 45 lumens per watt (lm/W). (42 U.S.C. 6295(i)(6)(A)(ii)) If DOE fails to meet the requirements of 42 U.S.C. 6295(i)(6)(A)(i)-(iv) or the final rule from the first rulemaking cycle does not produce savings greater than or equal to the savings from a minimum efficacy standard of 45 lm/W, the statute provides a ``backstop requirement'' under which GSLs would be subject to a minimum 45 lm/W standard beginning on January 1, 2020. (42 U.S.C. 6295(i)(6)(A)(v))

    In March 2016, DOE published a notice of proposed rulemaking (NOPR) that proposed a revised definition of GSL and energy conservation standards for certain GSLs (hereafter the ``March 2016 GSL ECS NOPR''). 81 FR 14528 (March 17, 2016). In conjunction with the NOPR, DOE also published on its Web site the complete technical support document (TSD) for the proposed rule, which described the analyses DOE conducted and included technical documentation for each analysis. The TSD also included the life cycle cost (LCC) spreadsheet, the national impact analysis spreadsheet, and the manufacturer impact analysis (MIA) spreadsheet.\2\

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    \2\ The spreadsheets developed for this rulemaking proceeding are available at: https://www1.eere.energy.gov/buildings/appliance_standards/standards.aspx?productid=4.

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    DOE held a public meeting on April 20, 2016, to hear oral comments on and solicit information relevant to the proposed rule. At this meeting, DOE heard concerns from stakeholders regarding the expansion of scope in the proposed GSL definition and DOE's approach to analyzing the 22 exemptions. In addition, DOE received written comments that reiterated these concerns and also provided additional data for DOE's consideration. Specifically, the National Electrical Manufacturers Association (NEMA) provided new data and information on the 22 exempted lamp types to inform DOE's evaluation of whether the exemptions should be maintained or discontinued as required by 42 U.S.C. 6295(i)(6)(A)(i)(II).

    Since the publication of the NOPR, DOE has analyzed the data submitted by NEMA and collected additional data where available. DOE is publishing this NOPDDA to: (1) Propose a revised definition of GSL; (2) announce the availability of the NEMA data and supplemental data collected by DOE; (3) request public comment on proposed definitions and compiled data; and (4) request any additional data that stakeholders may have in support of this evaluation. The following sections describe the revised definition and additional data in more detail. After considering the comments received, DOE will publish a final rule.

    II. Proposed Definition of General Service Lamp

  19. General Service Lamp Definition

    The term general service lamp (GSL) includes general service incandescent lamps (GSILs), compact fluorescent lamps (CFLs), general service light-emitting diode (LED) and organic light-emitting diode (OLED) lamps, and any other lamps that DOE determines are used to satisfy lighting applications traditionally served by GSILs; however, GSLs do not include any lighting application or bulb shape excluded from the ``general service incandescent lamp'' definition, or any general service fluorescent lamp or incandescent reflector lamp. (42 U.S.C. 6291(30)(BB))

    DOE has the authority to consider additional lamps that it determines are used to satisfy lighting applications traditionally served by GSILs. (42 U.S.C. 6291(30)(BB)(i)(IV)) In the March 2016

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    GSL ECS NOPR, DOE proposed to define a general service lamp as any lamp intended to serve in general lighting applications and that has the following basic characteristics: (1) An ANSI base (with the exclusion of light fixtures); (2) a lumen output of 310 lumens or greater; (3) an ability to operate at any voltage; (4) is not or could not be the subject of other rulemakings; and (5) no designation or label for use in certain non-general applications (see section II.A.4 for more information). ``General lighting application'' is currently defined at 10 CFR 430.2 as lighting that provides an interior or exterior area with overall illumination.

    More specifically, DOE proposed the following definition for GSL in the March 2016 GSL ECS NOPR:

    General service lamp means a lamp that has an ANSI base, operates at any voltage, has an initial lumen output of 310 lumens or greater (or 232 lumens or greater for modified spectrum general service incandescent lamps), is not a light fixture, is not an LED downlight retrofit kit, and is used in general lighting applications. General service lamps include, but are not limited to, general service incandescent lamps, compact fluorescent lamps, general service light-

    emitting diode lamps, and general service organic light-emitting diode lamps, but do not include general service fluorescent lamps; incandescent reflector lamps; mercury vapor lamps; appliance lamps; black light lamps; bug lamps; colored lamps; infrared lamps; marine signal lamps; mine service lamps; plant light lamps; sign service lamps; traffic signal lamps; and medium screw base incandescent lamps that are left-hand thread lamps, marine lamps, reflector lamps, rough service lamps, shatter-resistant lamps (including a shatter-proof lamp and a shatter-protected lamp), silver bowl lamps, showcase lamps, 3-way incandescent lamps, vibration service lamps, G shape lamps as defined in ANSI C78.20 (incorporated by reference; see Sec. 430.3) and ANSI C79.1-2002 (incorporated by reference; see Sec. 430.3) with a diameter of 5 inches or more, T shape lamps as defined in ANSI C78.20 (incorporated by reference; see Sec. 430.3) and ANSI C79.1-2002 (incorporated by reference; see Sec. 430.3) and that use not more than 40 watts or have a length of more than 10 inches, and B, BA, CA, F, G16-1/2, G-25, G30, S, or M-14 lamps as defined in ANSI C79.1-2002 (incorporated by reference; see Sec. 430.3) and ANSI C78.20 (incorporated by reference; see Sec. 430.3) of 40 watts or less.

    DOE received some general comments on the proposed definition. General Electric Lighting (GE) asserted that Congress did not give DOE authority to expand the definition of GSL to include all lamps that have any ANSI base, operate at any voltage, and produce general illumination, and that the expanded definition in conjunction with the backstop will eliminate specialty and niche products with no possible substitutes. (GE, No. 70 at pp. 7-8) The International Association of Lighting Designers (IALD) stated that the broadened scope of GSLs was going beyond readily available technology. (IALD, No. 62 at p. 3) Philips Lighting (Philips) also stated it did not support the broadened definition of GSL and referred to detailed comments from NEMA on the matter. (Philips, No. 71 at p. 3) Earthjustice stated that the proposed definition makes it clear what lamp types are covered. (Earthjustice, Public Meeting Transcript, No. 54 at p. 24) However, DOE also received several comments expressing concern that the definition did not clearly specify the scope of lamps that are GSLs.

    The California Energy Commission (CEC) stated that many lamp types are not intended for general service applications and should not be included in the GSL definition, but could appear to be under the proposed definition, leading to uncertainty and differences in interpretation between manufacturers. (CEC, No. 69 at p. 18) CEC specifically identified directional lamps less than 2.25 inches in diameter and MR16 lamps as examples in which the coverage of the GSL definition is uncertain. CEC recommended that DOE either state the GSL scope of coverage explicitly by listing specific voltages, wattages, lumen outputs, or similar attributes, or define ``general service application'' to clarify what applications are general service in nature. (CEC, No. 69 at pp. 18-19) Westinghouse agreed, noting this ambiguity could introduce compliance issues for manufacturers. (Westinghouse, Public Meeting Transcript, No. 54 at p. 39)

    GE recommended that DOE define GSLs to be clear in not including specialty incandescent or specialty halogen lamps with specialty bases that operate at other than 120 volts (or MR lamps that operate on a 120 V/12 V transformer) and lamps that have a lumen output of greater than 2,600 lumens. GE also recommended defining specialty base and specialty lamp in a separate definition in order to limit the definition length and improve readability. (GE, No. 70 at p. 10) Further, GE suggested DOE clearly state that products designed or labeled for use in non-

    general applications should not be included in the definition. (GE, Public Meeting Transcript, No. 54 at pp. 36-37) In contrast, Westinghouse and ASAP voiced concern for the potential loophole that could exist if products could be excluded from scope by simply indicating on their label that they are intended for non-general applications. (Westinghouse, Public Meeting Transcript, No. 54 at p. 39; ASAP, Public Meeting Transcript, No. 54 at p. 43)

    NEMA suggested an alternative definition of general service lamp that would modify the proposed definition in the March 2016 GSL ECS NOPR by stating that a general service lamp is used to satisfy a majority of lighting applications and is not a specialty base lamp nor a specialty lamp. Further, NEMA suggested that the definition should specify that general service lamps operate at a rated voltage from 110 to 130 V or 11 to 13 V; have an initial lumen output of 232 lumens or greater for modified spectrum general service incandescent lamps; and have an initial lumen output of 2,600 lumens or less. Additionally, NEMA recommended a definition for ``specialty lamp'' and ``specialty base lamp.'' (NEMA, No. 66 at pp. 43-44) NEMA commented that DOE should follow the Federal Trade Commission's (FTC's) approach to labeling specialty lamps. NEMA explained that instead of amending the definition of general service lamp, FTC incrementally categorized certain specialty lamps as ``specialty consumer lamps.'' (NEMA, No. 66 at p. 19)

    The California Investor Owned Utilities (CA IOUs) agreed that a more explicit list of covered lamp types would be helpful but only for informational purposes and not for inclusion in the regulatory text. (CA IOUs, Public Meeting Transcript, No. 54 at pp. 50-51) The Energy Efficiency Advocates (EEAs) \3\ recommended that, after publication of the final rule, DOE host an informational webinar on the lamp types that are GSLs and how standards apply to them. (EEAs, No. 64 at p. 2) The Northeast Energy Efficiency Partnerships (NEEP) suggested DOE include a table in the final rule that summarizes the scope of coverage by lamp types. (NEEP, No. 67 at p. 4)

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    \3\ The Appliance Standards Awareness Project, Natural Resources Defense Council, Alliance to Save Energy, American Council for an Energy Efficient Economy, Consumer Federation of America, Consumers Union, National Consumer Law Center, Northeast Energy Efficiency Partnerships, and Northwest Energy Efficiency Alliance.

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    As discussed previously in this section, in the March 2016 GSL ECS NOPR DOE interpreted general service

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    lamps as lamps intended to serve in general lighting applications and that have the following basic characteristics: (1) An ANSI base (with the exclusion of light fixtures); (2) a lumen output of 310 lumens or greater; (3) an ability to operate at any voltage; (4) are not or could not be the subject of other rulemakings; and (5) no designation or label for use in certain non-general applications. DOE is generally maintaining this interpretation of GSL when considering whether additional lamps are used to satisfy lighting applications traditionally served by GSILs (see section II.A.4 for modifications to lumen output and other rulemaking criteria). To delineate the lamp types considered to be GSLs, DOE is continuing to propose a revised definition of ``general service lamp'' in Sec. 430.2 to capture these criteria and the exemptions. DOE has revisited the proposed definition of GSL, including the exemptions contained in the GSIL and GSL definitions, for this notice. DOE discusses key aspects of the proposed definition of GSL and additional comments from stakeholders in the following sections.

    1. GSILs

    As stated previously, GSLs include GSILs. (42 U.S.C. 6291(30)(BB)(i)(I)) The definition of ``general service incandescent lamp'' is as follows:

    General service incandescent lamp means a standard incandescent or halogen type lamp that is intended for general service applications; has a medium screw base; has a lumen range of not less than 310 lumens and not more than 2,600 lumens or, in the case of a modified spectrum lamp, not less than 232 lumens and not more than 1,950 lumens; and is capable of being operated at a voltage range at least partially within 110 and 130 volts; however this definition does not apply to the following incandescent lamps--

    (1) An appliance lamp;

    (2) A black light lamp;

    (3) A bug lamp;

    (4) A colored lamp;

    (5) An infrared lamp;

    (6) A left-hand thread lamp;

    (7) A marine lamp;

    (8) A marine signal service lamp;

    (9) A mine service lamp;

    (10) A plant light lamp;

    (11) A reflector lamp;

    (12) A rough service lamp;

    (13) A shatter-resistant lamp (including a shatter-proof lamp and a shatter-protected lamp);

    (14) A sign service lamp;

    (15) A silver bowl lamp;

    (16) A showcase lamp;

    (17) A 3-way incandescent lamp;

    (18) A traffic signal lamp;

    (19) A vibration service lamp;

    (20) A G shape lamp (as defined in ANSI C78.20 and ANSI C79.1-2002) with a diameter of 5 inches or more;

    (21) A T shape lamp (as defined in ANSI C78.20 and ANSI C79.1-2002) and that uses not more than 40 watts or has a length of more than 10 inches; and

    (22) A B, BA, CA, F, G16-1/2, G-25, G30, S, or M-14 lamp (as defined in ANSI C79.1-2002 and ANSI C78.20) of 40 watts or less.

    10 CFR 430.2

    In the March 2016 GSL ECS NOPR, DOE declined to make a determination about discontinuing the 22 exemptions from the GSIL definition. In the NOPR, DOE initially concluded that, because the Appropriations Rider \4\ prohibits DOE from using appropriated funds to implement or enforce standards for GSILs, DOE could not re-evaluate the existing exemptions for GSILs in the GSL rulemaking. 81 FR 14540. Specifically, DOE stated that, by definition, GSL does not apply to any lighting application or bulb shape excluded from the ``general service incandescent lamp'' definition. (42 U.S.C. 6291(30)(BB)) Therefore, based on the GSL definition, the 22 incandescent lamps that are excluded in EPCA from the definition of GSIL would not be GSLs. Further, DOE stated that the formerly exempted lamp types would have to be considered GSILs in order for DOE to regulate the lamps under its authority to promulgate standards for GSLs. Since the Appropriations Rider prohibits the expenditure of funds to implement or enforce standards for GSILs, DOE reasoned that it would not be able to establish or amend energy conservation standards for any of these lamps. As a result, making a determination about discontinuing the exemption from the GSIL definition for any of the 22 medium screw base lamps would make no difference in the GSL rulemaking, and DOE declined to address the exemptions at that time. 81 FR 14541.

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    \4\ The Consolidated and Further Continuing Appropriations Act, 2015 (Pub. L. 113-235, Dec. 16, 2014).

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    A number of commenters stated that EPCA requires DOE to determine whether the exemptions of incandescent lamps should be discontinued or maintained as required under 42 U.S.C. 6295(i)(6)(A)(i)(II). (ASAP, Public Meeting Transcript, No. 54 at p. 12; NRDC, Public Meeting Transcript, No. 54 at pp. 16-17; CEC, No. 69 at p. 20; Earthjustice, No. 61 at pp. 2-3; Philips, No. 71 p. 4) Earthjustice stated that the definition of GSL proposed in the March 2016 GSL ECS NOPR unlawfully maintained exemptions for certain incandescent lamps, including the 22 types of lamps excluded from EPCA's definition of ``general service incandescent lamp.'' (Earthjustice, No. 61 at p. 1) CEC commented that DOE should either correctly interpret the Appropriations Rider as allowing DOE to determine whether to discontinue the 22 lamp exemptions and examine them as technology neutral, or exempt all 22 lamp types regardless of technology and allow states to set appropriate standards. (CEC, No. 69 at pp. 20-21)

    Several other commenters disagreed with DOE's approach in the proposed rule regarding the 22 exemptions for GSILs. NEMA asserted that DOE has impermissibly read EPCA's use of the terms ``exempted'' and ``excluded'' as the same term, and that 42 U.S.C. 6295(i)(6)(A)(i)(II) does not authorize DOE to discontinue the exemptions for the 22 lamps listed under the GSIL definition. (NEMA, No. 66 at pp. 17-18) DOE acknowledges that EPCA uses both the terms ``exclusion'' and ``exempted''; however, in the context of GSLs and GSILs, DOE understands the term ``exempted'' to reference lamps listed under the ``Exclusions'' heading in the GSIL definition. EPCA does not establish any ``exemptions'' for GSLs or GSILs using that term; so if ``exempted'' does not refer to ``exclusions'' or something comparable then the instruction in 42 U.S.C. 6295(i)(6)(A)(i)(II) has no application. The word that EPCA uses for the concept of ``exempting'' certain lamps from being GSILs or GSLs is ``excluding''; and DOE accordingly takes ``exempted'' to refer to those exclusions. Furthermore, DOE interprets Congress' intent to be for DOE to evaluate whether certain lamps that have been excluded from the GSIL definition should be subject to any future GSL standards. DOE concludes that to leave certain of the exemptions in place would diminish the energy savings that would otherwise be achieved because the excluded lamps would provide a less efficient option to meet the same general lighting application.

    Upon consideration of the comments received on the March 2016 GSL ECS NOPR and further review of the relevant authorities, DOE has revisited its interpretation with respect to the proposed definition of GSL and application of the Appropriations Rider. In the March 2016 GSL ECS NOPR, DOE stated that it believed it is prohibited by the Appropriations Rider from modifying the existing exemptions for GSILs in this rulemaking. 81 FR 14540.

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    However, the focus of the NOPR was to propose new energy conservation standards for GSLs; in that context, DOE did not propose to modify the GSIL exemptions and then impose new standards for GSILs. By contrast, this proposed rule neither implements nor seeks to enforce any standard. Rather, this proposed rule merely seeks to define what constitutes a GSIL and what constitutes a GSL. As noted above, the Appropriations Rider restricts DOE from ``implementing or enforcing'' the standards imposed on GSILs by 10 CFR 430.32(x). It does not preclude DOE from utilizing its authority under EPCA to alter the scope of GSIL and GSL. DOE believes this is a reasonable interpretation of the Appropriations Rider because, in evaluating the exemptions, DOE is following a directive related to a GSL rulemaking to define the scope of GSLs. DOE is not conducting any analysis in support of establishing energy conservation standards for GSILs. Although a collateral effect is to broaden the scope of the GSIL definition, DOE is simply defining what lamps constitute GSLs so that both manufacturers and DOE can understand how the regulations apply to the market. Without such a definition of GSLs, regulated entities would face uncertainty as to what is a GSL. Furthermore, as noted above, leaving certain exemptions in place would diminish the energy savings that would otherwise be achieved because the excluded lamps would provide a less efficient option to meet the same general service lighting application.

    A lamp exempted from the GSIL definition is not a covered GSIL and is not subject to the regulations for GSILs. However, DOE is directed as part of the GSL rulemaking to determine whether certain of these exemptions should be maintained or discontinued based, in part, on exempted lamp sales collected from manufacturers. (42 U.S.C. 6295(i)(6)(A)(i)(II)). If DOE discontinues a given exemption, medium screw base incandescent lamps subject to that exemption will become GSILs and thus GSLs; CFLs and general service LED and OLED lamps of that lighting application or bulb shape will become GSLs; and other lamps of that lighting application or bulb shape will also become GSLs, to the extent DOE determines those lamps are used to satisfy lighting applications traditionally served by general service incandescent lamps.

    In this proposed rule, DOE evaluates the 22 lighting applications or bulb shapes exempted under the GSIL definition to determine whether such exemptions should be maintained or discontinued.

    As stated previously, the definition of GSIL lists 22 lamp types that are not included in the definition, and these lamps are described under the heading ``Exclusions.'' (42 U.S.C. 6291(30)(D)(ii)) Under the authority for the GSL rulemaking, EPCA directs DOE to consider whether to maintain the ``exemptions'' for certain incandescent lamps, based, in part, on exempted lamp sales data collected by DOE. (42 U.S.C. 6295(i)(6)(A)(i)(II)) For four of the lamps included in the list of 22 lamps (i.e., rough service lamps, vibration service lamps, 3-way incandescent lamps, and shatter-resistant lamps), EPCA directs DOE to collect sales data and prescribe standards for these lamps when certain sales thresholds are met. (42 U.S.C. 6295(l)(4)) DOE understands the reference to ``data collected'' by DOE under the GSL rulemaking provision to mean the data collected as required for rough service lamps, vibration service lamps, 3-way incandescent lamps, and shatter-

    resistant lamps (i.e., lamps listed under the ``Exclusion'' heading). Here, Congress appears to be using the term ``exempted'' to refer to lamps under the ``Exclusion'' heading. Moreover, Congress used ``exempted'' to refer to lamps identified under ``exclusions'' in prior amendments to the lamp provisions in EPCA. In section 321 of EISA, Congress provided that an individual could petition DOE to establish standards for lamps excluded from the definition of GSL, and that such petition must include evidence that the sales of exempted incandescent lamps have increased. Public Law 140-110; 121 Stat. 1492, 1528. Again, the use of ``excluded'' appears synonymous with ``exempted'' in the context of GSLs. As such, DOE understands the direction to determine whether to maintain the exemptions for certain incandescent lamps to include a determination of whether to include in the definition of GSL lamps meeting the description of the 22 lighting applications or bulb shapes.

    NEMA also argued that because incandescent appliance lamps; T shape lamps, B, BA, CA, F, G16-1/2, G25, G30, S, or M14-shaped lamps; and vibration service incandescent lamps are subject to standards, there is no exemption from energy conservation standards to maintain or discontinue for these lamps under 42 U.S.C. 6295(i)(6)(a)(i)(II). NEMA stated that in defining these specialty lamps, Congress imposed a maximum quantity of energy use standard that had the actual effect of eliminating higher wattage versions of these lamps from the market and saving energy. Thus, these wattage caps are energy conservation standards. (NEMA, No. 66 at p. 18)

    DOE disagrees with NEMA's interpretation of the definitions of the identified lamps. The ``standards'' to which NEMA refers for these lamps are the maximum wattage limits set under EPCA in defining the lamps for the purpose of excluding them from the definition of GSIL. The maximum wattage provides definitional boundaries, not standards. (42 U.S.C. 6291(30)(T), (D)(ii)(XXI) and (D)(ii)(XXII)) Appliance lamps and T, B, BA, CA, F, G16-1/2, G-25, G30, S, and M-14 shape incandescent lamps are expressly listed under the exclusion provision in the definition of GSIL. (42 U.S.C. 6291(30)(D)(ii)(I), (XXI), and (XXII))

    DOE also received comments regarding subjecting specialty lamp types to the backstop. NEMA disagreed with DOE's position that the backstop will apply to specialty lamps typically used in niche applications. (NEMA, No. 66 at p. 84) NEMA and Osram Sylvania, Inc (OSI) noted that it is not necessary to establish standards for lamps used in unique applications and that do not consume significant amounts of energy. (NEMA, No. 66 at pp. 83-84; OSI, No. 73 at pp. 12-13) NEMA pointed out that one of the more popular exempt specialty lamps, globe shaped incandescent lamps, did not meet the annual energy use threshold to be considered for regulation under EPCA. NEMA also stated that the market will remove specialty CFLs without regulatory action and that standards on such products would impose an unnecessary additional regulatory burden. (NEMA, No. 66 at p. 48)

    NEMA appears to be arguing that DOE lacks authority to establish an energy conservation standard for lamps that would otherwise be subject to the exemptions listed as part of the GSIL definition. DOE disagrees. As discussed previously, in a paragraph entitled ``Standards for general service lamps,'' EPCA directs DOE to consider whether to establish or maintain the exemptions for certain incandescent lamps as part of a rulemaking to establish energy conservation standards for GSLs. In doing so, EPCA gives DOE authority to evaluate the scope of lamps that are GSLs and to set standards for them.

    Based on the comments received and further review of DOE's obligations, DOE is evaluating each of the 22 exemptions to see whether it should be maintained or discontinued, based in part on sales data. DOE proposes to make these decisions in light of the fact that GSLs will become subject to the 45 lm/W statutory standard in 2020. Lamps

    Page 71799

    for which DOE continues the exemptions will not be subject to the standard, so DOE proposes to discontinue a given exemption if the continuation of the exemption would undermine the 45 lm/W standard by providing a convenient unregulated alternative to GSLs. DOE understands the exclusions to exist, in part, as a reflection of past practice and, in part, because of uncertainty when the GSL standard was enacted about whether excluded lamps are only specialty products or are substitutable for broader-use lamps. The directive of Congress to reconsider the exclusions demonstrates its intent for DOE to take a fresh look at whether excluded lamps should continue to be treated as specialty products. DOE will use the information available, including sales data, to assess that question for each exemption. Thus, DOE proposes to discontinue an exemption if lamps within that exemption are capable of providing general illumination like other general service lamps (e.g., GSILs, MBCFLs, general service LEDs) and if sales data suggest that substantial numbers of consumers are using those lamps for general illumination.

    The following sections assess the exemptions and present DOE's preliminary determination of whether the exemption should be maintained or discontinued. DOE referenced a combination of sources for available information on lamp sales. Specifically, DOE considered the sales data submitted by NEMA as required by 42 U.S.C. 6295(l)(4)(B) for rough service lamps, vibration service lamps, 3-way incandescent lamps, 2,601-3,300 lumen general service incandescent lamps, and shatter-

    resistant lamps; \5\ information submitted by NEMA in its public comment in support of the GSL rulemaking; extrapolation from DOE's product database based on an inventory of available products; and data available from rulemakings for other covered products. DOE believes these sources of data and information are sufficient representations of sales data as required, in part, by the statute and thus are an appropriate basis on which to make its preliminary determination.

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

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    In addition to considering sales data, DOE also considered whether an exempted lamp could be used as a replacement for a GSIL. This consideration of ``lamp switching'' is to minimize the potential for creating a loophole in any GSL standard(s). If DOE were to maintain an exemption for a lamp that has the same consumer utility as a lamp subject to a standard, the use of such lamps could increase in response to standards. This would result in less energy savings being realized as the market shifted to an increased use of the unregulated lamps.

    Table II.1 summarizes the status of the exemptions, the sales data underlying DOE's decision, and the reasons supporting DOE's decision.

    Table II.1--Determinations Regarding Exemptions

    --------------------------------------------------------------------------------------------------------------------------------------------------------

    Estimated sales data (units DOE's preliminary determination on

    GSIL exempted lamp category annual sales) Additional factors DOE considered exemption status

    --------------------------------------------------------------------------------------------------------------------------------------------------------

    Appliance Lamp....................... Industry Information Lists, http://www.hoovers.com (last accessed October 6, 2016).

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    DOE notes that this proposed rule merely seeks to define what constitutes a GSIL and what constitutes a GSL. General service lamps are required to use DOE's test procedures to make representations and certify compliance with standards, if required. The test procedure rulemakings for compact fluorescent lamps, integrated LED lamps, and other general service lamps \15\ addressed impacts on small businesses due to test procedure requirements. 81 FR 59386 (August 29, 2016); 81 FR 43404 (July 1, 2016). DOE understands that the proposed definitions, especially those proposed expirations within the GSIL definition, will require that certain exempted lamps comply with the current Federal test procedures and Federal energy conservation standards for GSILs upon the effective date of this rulemaking. Because the proposed effective date is aligned with the 45 lm/W statutory standard beginning on January 1, 2020, DOE believes reasonable time is provided for manufacturers to transition, while reducing the number of redesigns needed. For these reasons, DOE tentatively concludes and certifies that the new proposed definitions would not have a significant economic impact on a substantial number of small entities, and the preparation of an IRFA is not warranted.

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    \15\ The pre-publication of the general service lamps test procedure final rule was issued on September 30, 2016 and is available at: http://energy.gov/sites/prod/files/2016/09/f33/General%20Service%20Lamps%20TP%20Final%20Rule.pdf.

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  20. Review Under the Paperwork Reduction Act

    Manufacturers of GSLs must certify to DOE that their products comply with any applicable energy conservation standards. In certifying compliance, manufacturers must test their products according to the DOE test procedures for GSLs, including any amendments adopted for those test procedures. DOE has established regulations for the certification and recordkeeping requirements for all covered consumer products and commercial equipment. 76 FR 12422 (March 7, 2011). The collection-of-

    information requirement for the certification and recordkeeping is subject to review and approval by OMB under the Paperwork Reduction Act (PRA). This requirement has been approved by OMB under OMB control number 1910-1400. DOE requested OMB approval of an extension of this information collection for three years, specifically including the collection of information proposed in the present rulemaking, and estimated that the annual number of burden hours under this extension is 30 hours per company. In response to DOE's request, OMB approved DOE's information collection requirements covered under OMB control number 1910-1400 through November 30, 2017. 80 FR 5099 (January 30, 2015).

    Notwithstanding any other provision of the law, no person is required to respond to, nor shall any person be subject to a penalty for failure to comply with, a collection of information subject to the requirements of the PRA, unless that collection of information displays a currently valid OMB control number.

  21. Review Under the National Environmental Policy Act of 1969

    In this proposed rule, DOE proposes definitions for and related to GSLs. DOE has determined that this rule falls into a class of actions that are categorically excluded from review under the National Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq.) and DOE's implementing regulations at 10 CFR part 1021. Specifically, this rule proposes a definition for general service lamp and related terms but does not affect the amount, quality or distribution of energy usage, and, therefore, will not result in any environmental impacts. Thus, this rulemaking is covered by Categorical Exclusion A5 under 10 CFR part 1021, subpart D. Accordingly, neither an environmental assessment nor an environmental impact statement is required.

  22. Review Under Executive Order 13132

    Executive Order 13132, ``Federalism,'' 64 FR 43255 (August 10, 1999), imposes certain requirements on federal agencies formulating and implementing policies or regulations that preempt state law or that have Federalism implications. The Executive Order requires agencies to examine the constitutional and statutory authority supporting any action that would limit the policymaking discretion of the states and to carefully assess the necessity for such actions. The Executive Order also requires agencies to have an accountable process to ensure meaningful and timely input by state and local officials in the development of regulatory policies that have Federalism implications. On March 14, 2000, DOE published a statement of policy describing the intergovernmental consultation process it will follow in the development of

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    such regulations. 65 FR 13735. DOE has examined this proposed rule and has tentatively determined that it would not have a substantial direct effect on the states, on the relationship between the national government and the states, or on the distribution of power and responsibilities among the various levels of government. EPCA governs and prescribes federal preemption of state regulations as to energy conservation for the products that are the subject of this proposed rule. States can petition DOE for exemption from such preemption to the extent, and based on criteria, set forth in EPCA. (42 U.S.C. 6297) Therefore, no further action is required by Executive Order 13132.

  23. Review Under Executive Order 12988

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

  24. Review Under the Unfunded Mandates Reform Act of 1995

    Title II of the Unfunded Mandates Reform Act of 1995 (UMRA) requires each federal agency to assess the effects of federal regulatory actions on state, local, and tribal governments and the private sector. Public Law 104-4, sec. 201 (codified at 2 U.S.C. 1531). For a proposed regulatory action likely to result in a rule that may cause the expenditure by state, local, and tribal governments, in the aggregate, or by the private sector of $100 million or more in any one year (adjusted annually for inflation), section 202 of UMRA requires a federal agency to publish a written statement that estimates the resulting costs, benefits, and other effects on the national economy. (2 U.S.C. 1532(a), (b)) The UMRA also requires a federal agency to develop an effective process to permit timely input by elected officers of state, local, and tribal governments on a proposed ``significant intergovernmental mandate,'' and requires an agency plan for giving notice and opportunity for timely input to potentially affected small governments before establishing any requirements that might significantly or uniquely affect them. On March 18, 1997, DOE published a statement of policy on its process for intergovernmental consultation under UMRA. 62 FR 12820. DOE's policy statement is also available at http://energy.gov/sites/prod/files/gcprod/documents/umra_97.pdf.

    DOE examined this proposed rule according to UMRA and its statement of policy and determined that the rule contains neither an intergovernmental mandate, nor a mandate that may result in the expenditure of $100 million or more in any year, so these requirements do not apply.

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

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

    I. Review Under Executive Order 12630

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

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

    Section 515 of the Treasury and General Government Appropriations Act, 2001 (44 U.S.C. 3516 note) provides for federal agencies to review most disseminations of information to the public under information quality guidelines established by each agency pursuant to general guidelines issued by OMB. OMB's guidelines were published at 67 FR 8452 (Feb. 22, 2002), and DOE's guidelines were published at 67 FR 62446 (Oct. 7, 2002). DOE has reviewed this NOPDDA under the OMB and DOE guidelines and has concluded that it is consistent with applicable policies in those guidelines.

  27. Review Under Executive Order 13211

    Executive Order 13211, ``Actions Concerning Regulations That Significantly Affect Energy Supply, Distribution, or Use,'' 66 FR 28355 (May 22, 2001), requires federal agencies to prepare and submit to OIRA at OMB, a Statement of Energy Effects for any proposed significant energy action. A ``significant energy action'' is defined as any action by an agency that promulgates or is expected to lead to promulgation of a final rule, and that: (1) Is a significant regulatory action under Executive Order 12866, or any successor order; and (2) is likely to have a significant adverse effect on the supply, distribution, or use of energy, or (3) is designated by the Administrator of OIRA as a significant energy action. For any proposed significant energy action, the agency must give a detailed statement of any adverse effects on energy supply, distribution, or use should the proposal be implemented, and of reasonable alternatives to the action and their expected benefits on energy supply, distribution, and use.

    This regulatory action to propose definitions for GSL and related terms is not a significant regulatory action under Executive Order 12866. Moreover, it would not have a significant adverse effect on the supply, distribution, or use of energy, nor has it been designated as a significant energy action by the Administrator of OIRA. Therefore, it is not a significant energy action, and, accordingly, DOE has not prepared a Statement of Energy Effects.

    L. Review Under the Information Quality Bulletin for Peer Review

    On December 16, 2004, OMB, in consultation with the Office of Science and Technology Policy (OSTP), issued its Final Information Quality Bulletin for Peer Review (the Bulletin). 70 FR

    Page 71812

    2664 (Jan. 14, 2005). The Bulletin establishes that certain scientific information shall be peer reviewed by qualified specialists before it is disseminated by the federal government, including influential scientific information related to agency regulatory actions. The purpose of the Bulletin is to enhance the quality and credibility of the Government's scientific information. Under the Bulletin, the energy conservation standards rulemaking analyses are ``influential scientific information,'' which the Bulletin defines as ``scientific information the agency reasonably can determine will have, or does have, a clear and substantial impact on important public policies or private sector decisions.'' Id. at FR 2667.

    The proposed definitions incorporate information contained in certain sections of the following commercial standards:

    (1) ANSI C81.61-2016, ``American National Standard for Electrical Lamp Bases--Specifications for Bases (Caps) for Electric Lamps,'' 2016;

    (2) IEC Standard 60061, ``Lamp caps and holders together with gauges for the control of interchangeability and safety, Amendment 35, Edition 3,'' 2005-01;

    (3) UL 1598C-2014, ``Standard for Light-Emitting Diode (LED) Retrofit Luminaire Conversion Kits, First Edition,'' 2014;

    DOE has evaluated these standards and is unable to conclude whether they fully comply with the requirements of section 32(b) of the FEAA (i.e., that they were developed in a manner that fully provides for public participation, comment, and review.) DOE will consult with both the Attorney General and the Chairman of the FTC concerning the impact of these test procedures on competition, prior to adopting a final rule.

  28. Description of Materials Incorporated by Reference

    In this NOPDDA, DOE proposes to incorporate by reference the standard published by ANSI, titled ``Electric Lamp Bases--

    Specifications for Bases (Caps) for Electric Lamps,'' ANSI C81.61-2016. ANSI C81.61-2016 is an industry accepted standard that describes the specifications for bases (caps) used on electric lamps. This NOPDDA references ANSI C81.61-2016 for the definition of the term ``ANSI base.'' ANSI C81.61-2016 is readily available on http://webstore.ansi.org/.

    DOE also incorporates by reference the standard published by IEC, titled ``Lamp caps and holders together with gauges for the control of interchangeability and safety--Part 1: Lamp caps,'' IEC 60061-1:2005. IEC 60061-1:2005 is an industry accepted standard that describes the specifications for lamp caps. This NOPDDA references IEC 60061-1:2005 for the definition of the term ``ANSI base.'' IEC 60061-1:2005 is readily available on https://webstore.iec.ch/home.

    DOE also incorporates by reference the standard published by UL, titled ``Standard for Light-Emitting Diode Retrofit Luminaire Conversion Kits,'' First Edition, dated January 16, 2014, UL 1598C-

    2014. UL 1598C-2014 is an industry accepted standard that describes the requirements for LED retrofit luminaire conversion kits intended to replace existing incandescent, fluorescent, induction, and HID systems that comply with existing requirements for luminaires. This NOPDDA references UL 1598C-2014 for the definition of the term ``LED Downlight Retrofit Kit.'' UL 1598C-2014 is readily available on http://ulstandards.ul.com/standards-catalog/.

    VI. Public Participation

  29. Attendance at the Public Meeting

    The time, date, and location of the public meeting are listed in the DATES and ADDRESSES sections at the beginning of this NOPDDA. If you plan to attend the public meeting, please notify Appliance and Equipment Standards Program Staff at (202) 586-6636 or Appliance_Standards_Public_Meetings@ee.doe.gov.

    Please note that foreign nationals visiting DOE Headquarters are subject to advance security screening procedures which require advance notice prior to attendance at the public meeting. If a foreign national wishes to participate in the public meeting, please inform DOE of this fact as soon as possible by contacting Ms. Regina Washington at (202) 586-1214 or by email (Regina.Washington@ee.doe.gov) so that the necessary procedures can be completed.

    DOE requires visitors to have laptops and other devices, such as tablets, checked upon entry into the Forrestal Building. Any person wishing to bring these devices into the building will be required to obtain a property pass. Visitors should avoid bringing these devices, or allow an extra 45 minutes to check in. Please report to the visitor's desk to have devices checked before proceeding through security.

    Due to the REAL ID Act implemented by the Department of Homeland Security (DHS), there have been recent changes regarding identification (ID) requirements for individuals wishing to enter federal buildings from specific states and U.S. territories. As a result, driver's licenses from several states or territory will not be accepted for building entry, and instead, one of the alternate forms of ID listed below will be required. DHS has determined that regular driver's licenses (and ID cards) from the following jurisdictions are not acceptable for entry into DOE facilities: Alaska, American Samoa, Arizona, Louisiana, Maine, Massachusetts, Minnesota, New York, Oklahoma, and Washington. Acceptable alternate forms of Photo-ID include: U.S. Passport or Passport Card; an Enhanced Driver's License or Enhanced ID-Card issued by the States of Minnesota, New York, or Washington (Enhanced licenses issued by these states are clearly marked Enhanced or Enhanced Driver's License); a military ID or other federal-

    government-issued photo ID-card.

    In addition, you can attend the public meeting via webinar. Webinar registration information, participant instructions, and information about the capabilities available to webinar participants will be published on DOE's Web site at: https://www1.eere.energy.gov/buildings/appliance_standards/standards.aspx?productid=4. Participants are responsible for ensuring their systems are compatible with the webinar software.

  30. Procedure for Submitting Prepared General Statements for Distribution

    Any person who has plans to present a prepared general statement may request that copies of his or her statement be made available at the public meeting. Such persons may submit requests, along with an advance electronic copy of their statement in PDF (preferred), Microsoft Word or Excel, WordPerfect, or text (ASCII) file format, to the appropriate address shown in the ADDRESSES section at the beginning of this document. The request and advance copy of statements must be received at least one week before the public meeting and may be emailed, hand-delivered, or sent by mail. DOE prefers to receive requests and advance copies via email. Please include a telephone number to enable DOE staff to make follow-up contact, if needed.

  31. Conduct of the Public Meeting

    DOE will designate a DOE official to preside at the public meeting and may also use a professional facilitator to aid discussion. The meeting will not be a judicial or evidentiary-type public hearing, but DOE will conduct it in accordance with section 336 of EPCA. (42 U.S.C. 6306) A court reporter will be

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    present to record the proceedings and prepare a transcript. DOE reserves the right to schedule the order of presentations and to establish the procedures governing the conduct of the public meeting. There shall not be discussion of proprietary information, costs or prices, market share, or other commercial matters regulated by U.S. anti-trust laws. After the public meeting, interested parties may submit further comments on the proceedings, as well as on any aspect of the NOPDDA, until the end of the comment period.

    The public meeting will be conducted in an informal, conference style. DOE will present summaries of comments received before the public meeting, allow time for prepared general statements by participants, and encourage all interested parties to share their views on issues affecting this NOPDDA. Each participant will be allowed to make a general statement (within time limits determined by DOE), before the discussion of specific topics. DOE will allow, as time permits, other participants to comment briefly on any general statements.

    At the end of all prepared statements on a topic, DOE will permit participants to clarify their statements briefly and comment on statements made by others. Participants should be prepared to answer questions by DOE and by other participants concerning these issues. DOE representatives may also ask questions of participants concerning other matters relevant to this NOPDDA. The official conducting the public meeting will accept additional comments or questions from those attending, as time permits. The presiding official will announce any further procedural rules or modification of the above procedures that may be needed for the proper conduct of the public meeting.

    A transcript of the public meeting will be included in the docket, which can be viewed as described in the Docket section at the beginning of this notice and will be accessible on the DOE Web site. In addition, any person may buy a copy of the transcript from the transcribing reporter.

  32. Submission of Comments

    DOE will accept comments, data, and information regarding this NOPDDA before or after the public meeting, but no later than the date provided in the DATES section at the beginning of this notice. Interested parties may submit comments, data, and other information using any of the methods described in the ADDRESSES section at the beginning of this notice.

    Submitting comments via www.regulations.gov. The www.regulations.gov Web page will require you to provide your name and contact information. Your contact information will be viewable to DOE Building Technologies staff only. Your contact information will not be publicly viewable except for your first and last names, organization name (if any), and submitter representative name (if any). If your comment is not processed properly because of technical difficulties, DOE will use this information to contact you. If DOE cannot read your comment due to technical difficulties and cannot contact you for clarification, DOE may not be able to consider your comment.

    However, your contact information will be publicly viewable if you include it in the comment itself or in any documents attached to your comment. Any information that you do not want to be publicly viewable should not be included in your comment, nor in any document attached to your comment. Otherwise, persons viewing comments will see only first and last names, organization names, correspondence containing comments, and any documents submitted with the comments.

    Do not submit to www.regulations.gov information for which disclosure is restricted by statute, such as trade secrets and commercial or financial information (hereinafter referred to as confidential business information or CBI). Comments submitted through www.regulations.gov cannot be claimed as CBI. Comments received through the Web site will waive any CBI claims for the information submitted. For information on submitting CBI, see the Confidential Business Information section below.

    DOE processes submissions made through www.regulations.gov before posting. Normally, comments will be posted within a few days of being submitted. However, if large volumes of comments are being processed simultaneously, your comment may not be viewable for up to several weeks. Please keep the comment tracking number that www.regulations.gov provides after you have successfully uploaded your comment.

    Submitting comments via email, hand delivery/courier, or mail. Comments and documents submitted via email, hand delivery/courier, or mail also will be posted to www.regulations.gov. If you do not want your personal contact information to be publicly viewable, do not include it in your comment or any accompanying documents. Instead, provide your contact information in a cover letter. Include your first and last names, email address, telephone number, and optional mailing address. The cover letter will not be publicly viewable as long as it does not include any comments.

    Include contact information each time you submit comments, data, documents, and other information to DOE. If you submit via mail or hand delivery/courier, please provide all items on a CD, if feasible, in which case it is not necessary to submit printed copies. No telefacsimiles (faxes) will be accepted.

    Comments, data, and other information submitted to DOE electronically should be provided in PDF (preferred), Microsoft Word or Excel, WordPerfect, or text (ASCII) file format. Provide documents that are not secured, that are written in English, and that are free of any defects or viruses. Documents should not contain special characters or any form of encryption and, if possible, they should carry the electronic signature of the author.

    Campaign form letters. Please submit campaign form letters by the originating organization in batches of between 50 to 500 form letters per PDF or as one form letter with a list of supporters' names compiled into one or more PDFs. This reduces comment processing and posting time.

    Confidential Business Information. Pursuant to 10 CFR 1004.11, any person submitting information that he or she believes to be confidential and exempt by law from public disclosure should submit via email, postal mail, or hand delivery/courier two well-marked copies: One copy of the document marked ``confidential'' including all the information believed to be confidential, and one copy of the document marked ``non-confidential'' with the information believed to be confidential deleted. Submit these documents via email or on a CD, if feasible. DOE will make its own determination about the confidential status of the information and treat it according to its determination.

    Factors of interest to DOE when evaluating requests to treat submitted information as confidential include: (1) A description of the items; (2) whether and why such items are customarily treated as confidential within the industry; (3) whether the information is generally known by or available from other sources; (4) whether the information has previously been made available to others without obligation concerning its confidentiality; (5) an explanation of the competitive injury to the submitting person that would result from public disclosure; (6) when such information might lose its confidential character due to the passage of time; and

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    (7) why disclosure of the information would be contrary to the public interest.

    It is DOE's policy that all comments may be included in the public docket, without change and as received, including any personal information provided in the comments (except information deemed to be exempt from public disclosure).

  33. Issues on Which DOE Seeks Comment

    Although DOE welcomes comments on any aspect of this proposal, DOE is particularly interested in receiving comments and views of interested parties concerning the following issues:

    (1) DOE requests comment on the eight GSIL exemptions that are proposed to be discontinued in this notice. In particular, DOE requests comment on the estimated annual unit sales, potential for lamp switching, and any other factors that should be considered.

    (2) DOE requests comment on the 14 GSIL exemptions that are proposed to be maintained in this notice. In particular, DOE requests comment on the estimated annual unit sales, potential for lamp switching, and any other factors that should be considered.

    (3) DOE requests any additional sales data from stakeholders that could be considered when determining whether to maintain or discontinue the GSIL exemptions.

    (4) DOE requests comment on the proposed definition for GSIL.

    (5) DOE requests comment on its preliminary determination that the following exemption types are not specific to incandescent technology: Appliance lamps; black light lamps; bug lamps; colored lamps; infrared lamps; left-hand thread lamps; marine lamps; marine signal service lamps; mine service lamps; plant light lamps; sign service lamps; silver bowl lamps; showcase lamps; and traffic signal lamps.

    (6) DOE requests comment on the proposed GSL lumen range of greater than or equal to 310 lumens and less than or equal to 4,000 lumens.

    (7) DOE requests comment on its preliminary determination that specialty MR-lamps warrant an exemption and the proposed definition for the term ``specialty MR-lamp.''

    (8) DOE requests comment on its proposed definition of GSL.

    (9) DOE requests comment on the various definitions proposed to better delineate the GSL definition.

    (10) DOE requests comment on the proposed changes regarding the certification and reporting requirements of integrated LED lamps.

    VII. Approval of the Office of the Secretary

    The Secretary of Energy has approved publication of this notice of proposed definition and data availability.

    List of Subjects

    10 CFR Part 429

    Confidential business information, Energy conservation, Household appliances, Imports, Reporting and recordkeeping requirements.

    10 CFR Part 430

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

    Issued in Washington, DC, on October 7, 2016.

    Kathleen B. Hogan,

    Deputy Assistant Secretary for Energy Efficiency, Energy Efficiency and Renewable Energy.

    For the reasons set forth in the preamble, DOE proposes to amend parts 429 and 430 of chapter II, subchapter D, of title 10 of the Code of Federal Regulations, as set forth below:

    PART 429--CERTIFICATION, COMPLIANCE, AND ENFORCEMENT FOR CONSUMER PRODUCTS AND COMMERCIAL AND INDUSTRIAL EQUIPMENT

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    1. The authority citation for part 429 continues to read as follows:

    Authority: 42 U.S.C. 6291-6317; 28 U.S.C. 2461 note.

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    2. Section 429.56 is amended by revising paragraph (b)(2) to read as follows:

    Sec. 429.56 Integrated light-emitting diode lamps.

    * * * * *

    (b) * * *

    (2) Values reported in certification reports are represented values. Pursuant to Sec. 429.12(b)(13), a certification report shall include the following public product-specific information: The testing laboratory's ILAC accreditation body's identification number or other approved identification assigned by the ILAC accreditation body, the date of manufacture, initial lumen output in lumens (lm), input power in watts (W), lamp efficacy in lumens per watt (lm/W), CCT in kelvin (K), CRI, power factor, lifetime in years (and whether value is estimated), and life (and whether value is estimated). For lamps with multiple modes of operation (such as variable CCT or CRI), the certification report must also list which mode was selected for testing and include detail such that another laboratory could operate the lamp in the same mode. Lifetime and life are estimated values until testing is complete. When reporting estimated values, the certification report must specifically describe the prediction method, which must be generally representative of the methods specified in appendix BB. Manufacturers are required to maintain records per Sec. 429.71 of the development of all estimated values and any associated initial test data.

    * * * * *

    PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS

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

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

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    4. Section 430.2 is amended by:

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    1. Adding in alphabetical order the definitions of ``ANSI base,'' ``Black light lamp,'' ``Bug lamp,'' ``Colored lamp,'' ``General service light-emitting diode (LED) lamp,'' ``General service organic lighting-

      emitting diode (OLED) lamp,'' ``GU24 base,'' ``Infrared lamp,'' ``Integrated lamp,'' ``LED Downlight Retrofit Kit,'' ``Left-hand thread lamp,'' ``Light fixture,'' ``Marine lamp,'' ``Marine signal service lamp,'' ``Mine service lamp,'' ``Non-integrated lamp,'' ``Non-reflector lamp,'' ``Pin base lamp,'' ``Plant light lamp,'' ``Reflector lamp,'' ``Showcase Lamp,'' ``Sign service lamp,'' ``Silver bowl lamp,'' ``Specialty MR lamp,'' and ``Traffic signal lamp;'' and

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    2. Revising the definitions of ``designed and marketed,'' ``general service incandescent lamp,'' and ``general service lamp.''

      The additions and revisions read as follows:

      Sec. 430.2 Definitions.

      * * * * *

      ANSI base means a base type specified in ANSI C81.61-2016 (incorporated by reference; see Sec. 430.3) or IEC 60061-1:2005 (incorporated by reference; see Sec. 430.3).

      * * * * *

      Black light lamp means a lamp that is designed and marketed as a black light lamp and is an ultraviolet lamp with the highest radiant power peaks in the UV-A band (315 to 400 nm) of the electromagnetic spectrum.

      * * * * *

      Bug lamp means a lamp that is designed and marketed as a bug lamp,

      Page 71815

      has radiant power peaks above 550 nm on the electromagnetic spectrum, and has a visible yellow coating.

      * * * * *

      Colored lamp means a colored fluorescent lamp, a colored incandescent lamp, or a lamp designed and marketed as a colored lamp and not designed and marketed for general lighting applications with either of the following characteristics (if multiple modes of operation are possible such as variable CCT, either of the below characteristics must be maintained throughout all modes of operation):

      (1) A CRI less than 40, as determined according to the method set forth in CIE Publication 13.3 (incorporated by reference; see Sec. 430.3); or

      (2) A correlated color temperature less than 2,500 K or greater than 7,000 K as determined according to the method set forth in IES LM-

      66 or IES LM-79 as appropriate (incorporated by reference; see Sec. 430.3).

      * * * * *

      Designed and marketed means exclusively designed to fulfill the indicated application and, when distributed in commerce, is designated and marketed solely for that application, with the designation on the packaging and all publicly available documents (e.g., product literature, catalogs, and packaging labels). This definition is applicable to terms related to the following covered lighting products: Fluorescent lamp ballasts; fluorescent lamps; general service fluorescent lamps; general service incandescent lamps; general service lamps; incandescent lamps; incandescent reflector lamps; medium base compact fluorescent lamps; and specialty application mercury vapor lamp ballasts.

      * * * * *

      General service incandescent lamp means a standard incandescent or halogen type lamp that is intended for general service applications; has a medium screw base; has a lumen range of not less than 310 lumens and not more than 2,600 lumens or, in the case of a modified spectrum lamp, not less than 232 lumens and not more than 1,950 lumens; and is capable of being operated at a voltage range at least partially within 110 and 130 volts; however this definition does not apply to the following incandescent lamps--

      (1) An appliance lamp;

      (2) A black light lamp;

      (3) A bug lamp;

      (4) A colored lamp;

      (5) An infrared lamp;

      (6) A left-hand thread lamp;

      (7) A marine lamp;

      (8) A marine signal service lamp;

      (9) A mine service lamp;

      (10) A plant light lamp;

      (11) An R20 short lamp;

      (12) A sign service lamp;

      (13) A silver bowl lamp;

      (14) A showcase lamp; and

      (15) A traffic signal lamp.

      General service lamp means a lamp that has an ANSI base, operates at any voltage, has an initial lumen output of greater than or equal to 310 lumens (or 232 lumens for modified spectrum general service incandescent lamps) and less than or equal to 4,000 lumens, is not a light fixture, is not an LED downlight retrofit kit, and is used in general lighting applications. General service lamps include, but are not limited to, general service incandescent lamps, compact fluorescent lamps, general service light-emitting diode lamps, and general service organic light-emitting diode lamps, but do not include general service fluorescent lamps; linear fluorescent lamps of lengths from one to eight feet; circline fluorescent lamps; fluorescent lamps specifically designed for cold temperature applications; impact-resistant fluorescent lamps; reflectorized or aperture fluorescent lamps; fluorescent lamps designed for use in reprographic equipment; fluorescent lamps primarily designed to produce radiation in the ultra-

      violet region of the spectrum; fluorescent lamps with a color rendering index of 87 or greater; R20 short lamps; specialty MR lamps; appliance lamps; black light lamps; bug lamps; colored lamps; infrared lamps; left-hand thread lamps; marine lamps; marine signal service lamps; mine service lamps; plant light lamps; sign service lamps; silver bowl lamps, showcase lamps, and traffic signal lamps.

      General service light-emitting diode (LED) lamp means an integrated or non-integrated LED lamp designed for use in general lighting applications (as defined in Sec. 430.2) and that uses light-emitting diodes as the primary source of light.

      General service organic light-emitting diode (OLED) lamp means an integrated or non-integrated OLED lamp designed for use in general lighting applications (as defined in Sec. 430.2) and that uses OLEDs as the primary source of light.

      * * * * *

      GU24 base means the GU24 base standardized in ANSI C81.61-2016 (incorporated by reference; see Sec. 430.3).

      * * * * *

      Infrared lamp means a lamp that is designed and marketed as an infrared lamp, has its highest radiant power peaks in the infrared region of the electromagnetic spectrum (770 nm to 1 mm), and which has a primary purpose of providing heat.

      Integrated lamp means a lamp that contains all components necessary for the starting and stable operation of the lamp, does not include any replaceable or interchangeable parts, and is connected directly to a branch circuit through an ANSI base and corresponding ANSI standard lamp-holder (socket).

      * * * * *

      LED Downlight Retrofit Kit means a product designed and marketed to install into an existing downlight, replacing the existing light source and related electrical components, typically employing an ANSI standard lamp base, either integrated or connected to the downlight retrofit by wire leads, and is a retrofit kit classified or certified to UL 1598C-

      2014 (incorporated by reference; see Sec. 430.3). LED downlight retrofit kit does not include integrated lamps or non-integrated lamps.

      Left-hand thread lamp means a lamp with direction of threads on the lamp base oriented in the left-hand direction.

      * * * * *

      Light fixture means a complete lighting unit consisting of light source(s) and ballast(s) (when applicable) together with the parts designed to distribute the light, to position and protect the light source, and to connect the light source(s) to the power supply.

      * * * * *

      Marine lamp means a lamp that is designed and marketed for use on boats.

      Marine signal service lamp means a lamp that is designed and marketed for marine signal service applications.

      * * * * *

      Mine service lamp means a lamp that is designed and marketed for mine service applications.

      * * * * *

      Non-integrated lamp means a lamp that is not an integrated lamp.

      Non-reflector lamp means a lamp that is not a reflector lamp.

      * * * * *

      Pin base lamp means a base type designated as a single pin base or multiple pin base system in Table 1 of ANSI C81.61, Specifications for Electrics Bases (incorporated by reference; see Sec. 430.3).

      * * * * *

      Plant light lamp means a lamp that is designed to promote plant growth by emitting its highest radiant power peaks in the regions of the electromagnetic spectrum that promote photosynthesis: Blue (440 nm to 490 nm) and/or red (620 to 740 nm). Plant light lamps must

      Page 71816

      be designed and marketed for plant growing applications.

      * * * * *

      Reflector lamp means a lamp that has an R, PAR, BPAR, BR, ER, MR, or similar bulb shape as defined in ANSI C78.20 (incorporated by reference; see Sec. 430.3) and ANSI C79.1 (incorporated by reference; see Sec. 430.3) and is used to direct light.

      * * * * *

      Showcase lamp means a lamp that has a T-shape as specified in ANSI C78.20 (incorporated by reference; see Sec. 430.3) and ANSI C79.1 (incorporated by reference; see Sec. 430.3), is designed and marketed as a showcase lamp, and has a maximum rated wattage of 75 watts.

      * * * * *

      Sign service lamp means a vacuum type or gas-filled lamp that has sufficiently low bulb temperature to permit exposed outdoor use on high-speed flashing circuits, is designed and marketed as a sign service lamp, and has a maximum rated wattage 15 watts.

      Silver bowl lamp means a lamp that has a reflective coating applied directly to part of the bulb surface that reflects light toward the lamp base and that is designed and marketed as a silver bowl lamp.

      * * * * *

      Specialty MR lamp means a lamp that has an MR bulb shape as defined in ANSI C79.1 (incorporated by reference; see Sec. 430.3) with a diameter less than 2 inches; operates at any voltage; and that is designed and marketed for use in projectors, scientific illumination equipment, theatre lighting, studio lighting, stage lighting, film lighting, medical equipment lighting, or emergency lighting.

      * * * * *

      Traffic signal lamp means a lamp that is designed and marketed for traffic signal applications.

      * * * * *

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      5. Section 430.3 is amended by:

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    3. Redesignating paragraphs (e)(12) through (e)(20) as paragraphs (e)(13) through (e)(21), respectively;

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    4. Adding new paragraph (e)(12);

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    5. Redesignating paragraphs (p)(2) through (p)(7) as paragraphs (p)(3) through (p)(8) respectively;:

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    6. Adding new paragraph (p)(2);

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    7. Adding new paragraph (u)(4).

      The additions read as follows:

      Sec. 430.3 Materials incorporated by reference.

      * * * * *

      (e) * * *

      (12) ANSI C81.61-2016, (``ANSI C81.61-2016''), American National Standard for Electrical Lamp Bases--Specifications for Bases (Caps) for Electric Lamps, approved April 20, 2016, IBR approved for Sec. 430.2.

      * * * * *

      (p) * * *

      (2) IEC Standard 60061, (``IEC 60061-1:2005''), Lamp caps and holders together with gauges for the control of interchangeability and safety, Amendment 35, Edition 3, 2005-01; IBR approved for Sec. 430.2.

      * * * * *

      (u) * * *

      (4) UL 1598C-2014 (``UL 1598C-2014''), Standard for Light-Emitting Diode (LED) Retrofit Luminaire Conversion Kits, First Edition, dated January 16, 2014, IBR approved for Sec. 430.2.

      * * * * *

      FR Doc. 2016-24865 Filed 10-17-16; 8:45 am

      BILLING CODE 6450-01-P

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