Energy Conservation Program: Energy Conservation Standards for General Service Lamps
| Published date | 11 February 2019 |
| Citation | 84 FR 3120 |
| Record Number | 2019-01853 |
| Section | Proposed rules |
| Court | Energy Department |
Federal Register, Volume 84 Issue 28 (Monday, February 11, 2019)
[Federal Register Volume 84, Number 28 (Monday, February 11, 2019)]
[Proposed Rules]
[Pages 3120-3131]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-01853]
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DEPARTMENT OF ENERGY
10 CFR Part 430
RIN 1904-AE26
Energy Conservation Program: Energy Conservation Standards for
General Service Lamps
AGENCY: Office of Energy Efficiency and Renewable Energy, Department of
Energy.
ACTION: Notice of proposed rulemaking and request for comment.
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SUMMARY: On January 19, 2017, the U.S. Department of Energy (DOE)
published two final rules adopting revised definitions of general
service lamp (GSL), general service incandescent lamp (GSIL) and other
supplemental definitions, effective January 1, 2020. DOE has since
determined that the legal basis underlying those revisions misconstrued
existing law. As a result, DOE is issuing this notice of proposed
rulemaking (NOPR) proposing to withdraw the definitions established in
the January 19, 2017, final rules. DOE proposes to maintain the
existing regulatory definitions of GSL and GSIL,
[[Page 3121]]
which are the same as the statutory definitions of those terms.
DATES: Meeting: DOE will hold a public meeting on February 28, 2019,
from 9:00 a.m. to 2:00 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.
Comments: DOE will accept comments, data, and information regarding
this NOPR no later than April 12, 2019. See section VI, ``Public
Participation,'' for details.
ADDRESSES: Interested persons are encouraged to submit comments,
identified by ``1904-AE26,'' by any of the following methods:
Federal eRulemaking Portal: http://www.regulations.gov. Follow the
instructions for submitting comments.
Email: GSL2018STD0010@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.
Postal Mail: Appliance and Equipment Standards 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.
Hand Delivery/Courier: Appliance and Equipment Standards Program,
U.S. Department of Energy, Building Technologies Office, 950 L'Enfant
Plaza SW, Suite 600, Washington, DC 20024. Telephone: (202) 287-1445.
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: For access to the docket to read background documents, or
comments received, go to the Federal eRulemaking Portal at http://www.regulations.gov/docket?D=EERE-2018-BT-STD-0010.
The docket, which includes Federal Register notices, public meeting
attendee lists and transcripts, comments, and other supporting
documents/materials, is available for review at http://www.regulations.gov. All documents in the docket are listed in the
http://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.
The docket web page can be found at: http://www.regulations.gov/docket?D=EERE-2018-BT-STD-0010. The docket web page contains
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 http://www.regulations.gov.
FOR FURTHER INFORMATION CONTACT: 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)
287-1445 or by email: ApplianceStandardsQuestions@ee.doe.gov.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Authority and Background
II. Synopsis of the Notice of Proposed Rulemaking
III. Discussion
A. Scope of Applicability
B. Proposed Withdrawal of Revised General Service Lamp and
General Service Incandescent Lamp Definitions
1. Five Specialty Incandescent Lamps
2. Incandescent Reflector Lamps
3. T-Shape Lamps and B, BA, CA, F, G16-1/2, G25, G30, S, and M-
14 Lamps
4. Candelabra Base Lamps in Shapes B, BA, CA, F, G16-1/2
C. Withdrawal of Supplemental Definitions
IV. Overview of Data
A. Discussion of Data
B. Lamp Shipments
C. Requests for Additional Data
V. Procedural Issues and Regulatory Review
A. Review Under Executive Order 12866 and 113563
B. Review Under Executive Order 113771
C. Review Under the Regulatory Flexibility Act
D. Review Under the Paperwork Reduction Act of 1995
E. Review Under the National Environmental Policy Act of 1969
F. Review Under Executive Order 113132
G. Review Under Executive Order 12988
H. Review Under the Unfunded Mandates Reform Act of 1995
I. Review Under the Treasury and General Government
Appropriations Act, 1999
J. Review Under Executive Order 112630
K. Review Under Treasury and General Government Appropriations
Act, 2001
L. Review Under Executive Order 13211
VI. Public Participation
A. Attendance at Public Meeting
B. Procedure for Submitting Prepared General Statements for
Distribution
C. Conduct of Public Meeting
D. Submission of Comments
E. Issues on Which DOE Seeks Comment
VII. Approval of the Office of the Secretary
I. Authority and Background
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''), which includes general service lamps (GSLs), the subject
of this NOPR. Amendments to EPCA in the Energy Independence and
Security Act of 2007 (EISA) directed DOE to conduct two rulemaking
cycles to evaluate energy conservation standards for GSLs. (42 U.S.C.
6295(i)(6)(A)-(B)) GSLs are currently defined in EPCA to include
general service incandescent lamps (GSILs), compact fluorescent lamps
(CFLs), general service light-emitting diode (LED) lamps and organic
light-emitting diode (OLED) lamps, and any other lamps that the
Secretary of Energy (Secretary) determines are used to satisfy lighting
applications traditionally served by general service incandescent
lamps. (42 U.S.C. 6291(30)(BB))
For the first rulemaking cycle, Congress instructed DOE to initiate
a rulemaking process prior to January 1, 2014, to consider two
questions: (1) Whether to amend energy conservation standards for
general service lamps and (2) whether ``the exemptions for certain
incandescent lamps should be maintained or discontinued.'' (42 U.S.C.
6295(i)(6)(A)(i)) Further, if the Secretary determines that the
standards in effect for GSILs should be amended, EPCA provides that a
final rule must be published by January 1, 2017, with a compliance date
at least 3 years after the date on which the final rule is published.
(42 U.S.C. 6295(i)(6)(A)(iii)) In developing such a rule, DOE must
consider a minimum efficacy standard of 45 lumens per watt (lm/W). (42
U.S.C. 6295(i)(6)(A)(ii)) If DOE fails to complete a rulemaking in
accordance with 42 U.S.C. 6295(i)(6)(A)(i)-(iv) or a final rule from
the first rulemaking cycle does not produce savings greater than or
equal to the savings from a minimum efficacy standard of 45 lm/W, the
statute provides a ``backstop'' under which DOE must prohibit sales of
GSLs that do not meet a minimum 45 lm/W standard
[[Page 3122]]
beginning on January 1, 2020. (42 U.S.C. 6295(i)(6)(A)(v))
The EISA-prescribed amendments further directed DOE to initiate a
second rulemaking cycle by January 1, 2020, to determine whether
standards in effect for GSILs should be amended with more-stringent
requirements and if the exemptions for certain incandescent lamps
should be maintained or discontinued. (42 U.S.C. 6295(i)(6)(B)(i)) For
this second review of energy conservation standards, the scope is not
limited to incandescent lamp technologies. (42 U.S.C.
6295(i)(6)(B)(ii))
DOE initiated the first GSL standards rulemaking process by
publishing in the Federal Register a notice of availability of a
framework document. 78 FR 73737 (Dec. 9, 2013); see also 79 FR 73503
(Dec. 11, 2014) (notice of availability of preliminary analysis). DOE
later issued a NOPR to propose amended energy conservation standards
for GSLs. 81 FR 14528, 14629-14630 (Mar. 17, 2016) (the March 2016
NOPR). The March 2016 NOPR focused on the first question that Congress
directed DOE to consider--whether to amend energy conservation
standards for general service lamps. (42 U.S.C. 6295(i)(6)(A)(i)(I)) In
the March 2016 NOPR proposing energy conservation standards for GSLs,
DOE stated that it would be unable to undertake any analysis regarding
GSILs and other incandescent lamps because of a then applicable
congressional restriction (the Appropriations Rider \1\) on the use of
appropriated funds to implement or enforce 10 CFR 430.32(x). 81 FR
14528, 14540-14541 (Mar. 17, 2016). Notably, the applicability of this
Appropriations Rider has not been extended in the current
appropriations statute, and thus is no longer in effect.\2\
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\1\ Section 312 of the Consolidated and Further Continuing
Appropriations Act, 2016 (Pub. L. 114-113, 129 Stat. 2419) prohibits
expenditure of funds appropriated by that law to implement or
enforce: (1) 10 CFR 430.32(x), which includes maximum wattage and
minimum rated lifetime requirements for GSILs; and (2) standards set
forth in section 325(i)(1)(B) of EPCA (42 U.S.C. 6295(i)(1)(B)),
which sets minimum lamp efficiency ratings for incandescent
reflector lamps.
\2\ See, the Consolidated Appropriations Act of 2017 (Pub. L.
115-31, div. D, tit. III); see also, Consolidated Appropriations
Act, 2018 (Pub. L. 115-141).
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In response to comments to the March 2016 NOPR, DOE conducted
additional research and published a notice of proposed definition and
data availability (NOPDDA), which proposed to amend the definitions of
GSIL and GSL. 81 FR 71794, 71815 (Oct. 18, 2016). DOE explained that
the October 2016 NOPDDA related to the second question that Congress
directed DOE to consider--whether ``the exemptions for certain
incandescent lamps should be maintained or discontinued,'' and was not
a rulemaking to establish an energy conservation standard for GSLs. (42
U.S.C. 6295(i)(6)(A)(i)(II)); see also 81 FR 71798. The relevant
``exemptions,'' DOE explained, referred to the 22 categories of
incandescent lamps that are statutorily excluded from the definitions
of GSIL and GSL. 81 FR 71798. In the NOPDDA, DOE clarified that it was
defining what lamps constitute GSLs so that manufacturers could
understand how any potential energy conservation standards might apply
to the market. Id.
On January 19, 2017, DOE published two final rules concerning the
definition of GSL. 82 FR 7276; 82 FR 7322. The January 2017 definition
final rules amended the definitions of GSIL and GSL by bringing certain
categories of lamps that had been excluded by statute from the
definition of GSIL within the definitions of GSIL and GSL. Like the
October 2016 NOPDDA, DOE stated that the January 2017 definition final
rules related only to the second question that Congress directed DOE to
consider, regarding whether to maintain or discontinue certain
``exemptions.'' (42 U.S.C. 6295(i)(6)(A)(i)(II)). That is, neither of
the two final rules issued on January 19, 2017, purported to establish
energy conservation standards applicable to GSLs.
With the removal of the Appropriations Rider in the Consolidated
Appropriations Act, 2017, DOE is no longer restricted from undertaking
analysis and decision making required by the first question presented
by Congress, i.e., whether to amend energy conservation standards for
general service lamps, including GSILs. Thus, on August 15, 2017, DOE
published a notice of data availability and request for information
(NODA) seeking data for GSILs and other incandescent lamps. 82 FR
38613. The purpose of this NODA was to assist DOE in making a decision
on the first question posed to DOE by Congress; i.e., a determination
regarding whether standards for GSILs should be amended. Comments
submitted in response to the NODA also led DOE to re-consider the
decisions it had already made with respect to the second question
presented to DOE; i.e., whether the exemptions for certain incandescent
lamps should be maintained or discontinued. As a result of the comments
received in response to the NODA, DOE re-assessed the legal
interpretations underlying certain decisions made in the January 2017
definition final rules and developed this proposal to withdraw the
revised definitions of GSL, GSIL, and the supporting definitions
established in the January 2017 definition rules.
The determination on whether to amend standards for GSILs remains a
decision DOE is obligated to make and will be addressed in a separate
rulemaking proceeding. In that future proceeding, DOE will include the
data received from the NODA to conduct its analysis of whether energy
conservation standards for GSILs need to be amended. In this current
proposal, DOE addresses only the scope of lamps considered to be GSILs
and thus GSLs.
II. Synopsis of the Notice of Proposed Rulemaking
In this NOPR, DOE proposes to withdraw the revised definitions of
GSL and GSIL established in the January 2017 definition rules which
take effect on January 1, 2020. These definitions improperly included
certain GSILs as GSLs. Additionally, DOE proposes to withdraw the
supplemental definitions established in the January 2017 final
definition rules that would no longer be necessary in light of the
proposed withdrawal of the revised definitions of GSL and GSIL. This
proposal would maintain the existing definitions of GSL and GSIL
currently found in DOE's regulations, which are the same as the
statutory definition of those terms. Specifically, the proposed
withdrawal would maintain the statutory exclusions of specified lamps
from the definition of GSIL, and thus, such lamps would not be GSLs.
III. Discussion
DOE developed this proposal after re-evaluating its legal
interpretations underlying the two January 2017 definition final rules
and considering comments, data, and information from interested parties
that represent a variety of interests. The following discussion
addresses issues raised by these commenters.
A. Scope of Applicability
If this NOPR is adopted, DOE would retain the existing statutory
exemptions from the GSIL definition by withdrawing the revised
definition of GSIL, which, among other lamps included as GSIL the five
specialty incandescent lamps regulated under 42 U.S.C. 6295(l)(4),
namely rough service lamps, vibration service lamps, 3-way incandescent
lamps, high lumen lamps and shatter-resistant lamps. Additionally, DOE
would maintain the existing exclusion of IRLs from the statutory
definitions of GSIL and GSL, as well as T-shape lamps that use no more
than 40 W or have a length of
[[Page 3123]]
more than 10 inches, B, BA, CA, F, G16-1/2, G25, G30, S, and M-14 lamps
of 40 W or less. Further, candelabra base incandescent lamps would not
be considered GSL because the existing definition of GSIL applies only
to medium screw base lamps.
The Sierra Club and Earthjustice commented in response to the
August 2017 NODA that any attempt by DOE to reinstate a narrow scope
for the 2020 standards or to roll back or otherwise evade the backstop
requirement would violate the law. (Sierra Club and Earthjustice, No. 8
at p. 1). The Southeast Energy Efficiency Alliance (hereafter the
``Energy Efficiency Advocates'' or the ``EEAs'') similarly commented
that any action by DOE to narrow the definition of GSL would increase
the allowable energy use of lamps subject to the backstop standard,
thereby violating EPCA's anti-backsliding provision in 42 U.S.C.
6295(o)(1). (EEAs, No. 11 at p. 16) The California Energy Commission
(CEC) also asserted that while DOE can further modify the definition of
``general service lamp'' to add new lamp types, it is statutorily
prohibited from taking any action that results in an energy
conservation standard that is less stringent than 45 lm/W. (CEC, No. 6
at p. 5)
DOE acknowledges that this proposal would maintain the existing
statutory scope of lamps that would be the subject of analysis in
determining the potential for significant energy savings, economic
justification, and technological feasibility of any future GSL energy
conservation standard. For the reasons described in this proposal, DOE
believes that scope is more legally justifiable than the definitions
contained in the January 2017 rules. Maintaining the statutory
definitions of GSIL and GSL would ensure that only those lamps intended
by Congress to be GSILs and GSLs would be subject to energy
conservation standards. DOE welcomes comment regarding this proposed
change in scope to the definitions of GSIL and GSL and the consequences
of such change.
With regard to the applicability of EPCA's anti-backsliding
provision, DOE notes that the first of the two \3\ January 2017
definition final rules was explicit in stating that it did not make a
determination regarding energy conservation standards for any type of
GSL. The definition final rule was unambiguous in maintaining that it
constituted a decision on whether to maintain or discontinue various
lamp exemptions based, in part on lamp sales and determining that
certain types of lamps should be included as GSLs because they are used
for lighting applications traditionally served by GSILs. The final rule
stated clearly that it ``does not determine whether DOE should impose
or amend standards for any category of lamps, such as GSILs or GSLs.''
82 FR 7277. While DOE acknowledged that a likely consequence of
including additional lamps in the definition of GSL is that those lamps
would be subject to energy conservation standards, DOE made clear in
the rule that it was not undertaking the statutory analysis required to
develop an energy conservation standard. DOE was only determining which
lamps to include within the scope of GSLs, a precursor to any standards
development for GSLs. Id. at 82 FR 7278.
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\3\ In terms of order of publication in the daily edition of the
Federal Register published on January 19, 2017. The second of the
two final rules published on January 19, 2017, addressed only
incandescent reflector lamps.
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The anti-backsliding provision at 42 U.S.C. 6295(o) precludes DOE
from amending an existing energy conservation standard to permit
greater energy use or a lesser amount of energy efficiency. This
proposed rule cannot possibly constitute the amendment of an existing
energy conservation standard to permit greater energy use or a lesser
amount of energy efficiency, given that: (1) The proposal is
considering withdrawing two final rules that DOE stated explicitly were
not energy conservation standards; (2) DOE was previously prohibited by
the Appropriations Rider from making a determination regarding the need
for amending standards applicable to GSILs; and (3) DOE never finalized
its March 2016 proposed rule concerning establishing energy
conservation standards for GSLs.
Moreover, DOE has not yet made a final determination on whether
standards applicable to GSILs should be amended, and, therefore, no
backstop energy conservation standard has yet been imposed.\4\ DOE will
make this determination in a future rulemaking proceeding, in which DOE
will perform the required statutory analysis to determine whether
amending standards applicable to GSILs is technologically feasible and
economically justified and would result in a significant savings of
energy. Thus, it is not possible that a change in the definition of GSL
could constitute ``backsliding'' prohibited by EPCA. Further, the
withdrawal of definitions that have not yet taken effect results in the
maintenance of the current definitions of the relevant terms. Retaining
the status quo cannot constitute backsliding.
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\4\ On Aug. 8, 2017, NEMA filed a declaratory judgment action
with the United States District Court for the Eastern District of
California alleging EPCA preempted the California Energy
Commission's state regulations establishing the 45 lm/W backstop
standard for State-Regulated LED Lamps, State-Regulated Small
Diameter Directional Lamps, and State-Regulated GSLs. The court
denied NEMA's motion for judgment on the pleadings in an order
issued on December 22, 2017. In that order, the court agreed with
NEMA's reading that 42 U.S.C. 6295(i)(6)(A)(iii) of EPCA requires a
final GSIL standards rule by January 1, 2017 only if DOE determines
that standards for GSILs should be amended. NEMA v. CEC, No. 2:17-
CV-01625-KJM-AC, 2017 WL 6558134 (E.D. Cal. Dec. 21, 2017).
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DOE recognizes the language in the January 2017 definition final
rules concerning whether the rules constituted a standard may be a
source of confusion. While DOE stated multiple times in the definition
rules that the rules did not constitute a standard, DOE acknowledged in
the rules that a consequence of expanding the scope of GSL and GSIL
would be that additional incandescent lamps may become subject to
either a DOE-developed standard or to the 45 lm/W backstop standard. 82
FR 7288. While DOE intends this current NOPR to reiterate unambiguously
its consistently stated position that DOE has not yet made a
determination on whether to amend standards for GSLs, including GSILs,
and therefore no backstop energy conservation standard has yet been
imposed, DOE requests comment on whether any potential lack of clarity
on what standards may apply to certain GSLs and GSILs caused financial
hardship to retailers trying to plan their inventory.
B. Proposed Withdrawal of Revised General Service Lamp and General
Service Incandescent Lamp Definitions
1. Five Specialty Incandescent Lamps
In the January 2017 definition rules, DOE included rough service
lamps, shatter-resistant lamps, 3-way incandescent lamps, high lumen
incandescent lamps and vibration service lamps in the definition of
GSIL. 82 FR 7296. In its comments to the August 2017 NODA, the National
Electrical Manufacturers Association (NEMA), with the support of
General Electric (GE) Lighting, LEDVANCE, Westinghouse Lighting
(Westinghouse) and the American Lighting Association (ALA), disagreed
with DOE's approach for these lamps, arguing that DOE ignored and
abandoned the specific regulatory process that Congress established for
the five specialty incandescent lamps in 42 U.S.C. 6295(l)(4). (NEMA,
No. 4 at p. 54)
Section 6295(l)(4) of EPCA requires DOE to consider energy
efficiency standards for the following 5 categories
[[Page 3124]]
of lamps if their respective lamp sales exceeded their predicted growth
rate: Vibration service lamps, rough service lamps, 3-way incandescent
lamps, shatter-resistant incandescent, and higher lumen (2,601-3,300
lm) incandescent lamps. Under this provision, DOE is required to track
the sales data of these incandescent lamps annually, and initiate an
accelerated rulemaking to establish energy conservation standards for
these lamps if the actual annual unit sales of any of the lamp types in
any year between 2010 and 2025 exceed the benchmark estimate of unit
sales by at least 100 percent. (42 U.S.C. 6295(l)(4)(D)-(H)) If the
Secretary does not complete the accelerated rulemakings within one year
from the end of the previous calendar year during which predicted sales
were exceeded, there is a ``backstop requirement'' for each lamp type,
which would establish, by statute, energy conservation levels and
related requirements. Id.
On December 26, 2017, DOE published a final rule codifying in the
CFR, at 10 CFR 430.32(bb), the statutory backstop requirements for
rough service lamps and vibration service lamps prescribed in 42 U.S.C.
6295(l)(4)(D)(ii) and (E)(ii), since, in 2015, these lamp types
exceeded sales thresholds specified in the statute and DOE did not
complete a rulemaking in the required time period. 82 FR 60845. These
backstop requirements became an energy conservation standard for rough
and vibration service lamps, and require vibration service lamps to:
(1) Have a maximum 40-watt limitation and (2) be sold at retail only in
a package containing one lamp. For rough service lamps, the backstop
requires that the lamps: (1) Have a shatter-proof coating or equivalent
technology that complies with NSF/ANSI 51 and is designed to contain
the glass if the glass envelope of the lamp is broken and to provide
effective containment over the life of the lamp; (2) have a maximum 40-
watt limitation; and (3) be sold at retail only in a package containing
one lamp.
DOE agrees with NEMA and other commenters that vibration service
lamps, rough service lamps, 3-way incandescent lamps, shatter-resistant
incandescent, and higher lumen (2,601-3,300 lm) incandescent lamps are
subject to standards in accordance with a specific regulatory process
under 42 U.S.C. 6295(l)(4). As such, DOE sees no need to undertake an
additional process for determining whether to establish energy
conservation standards for these lamp types as GSLs under 42 U.S.C.
6295(i)(6)(A)(i). Doing so would subject these lamp types to
potentially two separate standards and create confusion among regulated
entities as to which standard applies. To avoid any such double
regulation, DOE proposes to withdraw the revised definitions of GSL and
GSIL, and maintain the exclusion of the incandescent versions of these
lamp types in the existing definition of GSIL.
2. Incandescent Reflector Lamps
When the January 2017 definition rules were issued, DOE in the
first definition rule adopted a definition of GSL that reflected its
discontinuation of certain exemptions and its maintaining of others,
and its interpretation and application of certain clauses of the
statutory definition of GSL. In that rule, DOE postponed its decision
on the IRL exemption, which it had previously proposed to discontinue.
Accordingly, that rule perpetuated the IRL exemption in DOE's
regulatory definition. In the second definition final rule, issued
simultaneously, DOE determined to discontinue the IRL exemption, and it
amended its definition of GSL accordingly. 82 FR 7292; 82 FR 7323. In
its comments to the August 2017 NODA, NEMA, supported by GE Lighting,
LEDVANCE, Westinghouse Lighting and ALA, reiterated its comments from
the January 2017 definition rulemaking that Congress twice excluded the
incandescent reflector lamp from the definition of GSL in 42 U.S.C.
6291(30)(BB)(ii). In the statutory definition of GSL, NEMA pointed out
that it states, without ambiguity, that the term ``general service
lamp'' does ``not include'' (I) any of the lighting applications or
bulb shapes that were excluded from the definition of ``GSIL'' or (ii)
general service fluorescent lamps or incandescent reflector lamps. NEMA
noted that it is significant that Congress specifically called out IRLs
in the second sub-clause of this exclusion, because reflector lamps are
also included in the list of lamp shapes excluded in the first sub-
clause of the exclusion. NEMA added that Congress said the same thing
twice in a single statutory breath and could not have been clearer: do
not include or regulate incandescent reflector lamps within the
definition of ``general service lamps.'' NEMA asserts this is because
IRLs are already regulated under another part of the statute and
Congress did not want the Secretary regulating them in this proceeding.
(NEMA, No. 4 at pp. 59-60)
DOE agrees that EPCA specifically exempts IRLs from being GSLs in
42 U.S.C. 6291(30)(BB)(ii)(II).\5\ While, in the second January 2017
definition rule, DOE previously interpreted section
6295(i)(6)(A)(i)(II) to include the exemption in section
6291(30)(BB)(ii) for IRLs, and expanded the scope of the GSL definition
to include IRLs, DOE no longer adheres to this view for the reasons
described in NEMA's comments in the preceding paragraph. As a result,
DOE is of the opinion that the second January 2017 definition final
rule that included IRLs within the definition of GSL was unauthorized
as a matter of law. Thus, DOE proposes to withdraw the revised
definitions of GSL and GSIL, which would remove IRLs from the
definition of GSIL established in the second January 2017 definition
rule.\6\
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\5\ 42 U.S.C. 6291(30)(BB)(ii)(II) provides that the ``term
`general service lamp' does not include . . . ``incandescent
reflector lamp[s].''
\6\ DOE notes that IRLs are already subject to minimum
efficiency standards, and DOE completed a final rule in January 2015
that concluded amended energy conservation standards for IRLs (other
than ER30, BR30, BR40, and ER40 lamps of 50 W or less; BR30 BR40,
and ER40 lamps of 65 W; and R20 lamps of 45 W or less) would not be
economically justified. 80 FR 4042 (January 26, 2015).
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3. T-Shape Lamps and B, BA, CA, F, G16-1/2, G25, G30, S, and M-14 Lamps
In the January 2017 definition rules, DOE broadly redefined GSL,
determining which exemptions set forth in 42 U.S.C. 6291(30)(D)(ii) and
(BB)(ii) to maintain or discontinue on an assessment of whether lamps
within a given exemption would provide a convenient unregulated
alternative to lamps that could be subject to energy conservation
standards. 82 FR 7277. DOE based its decision on each exemption on an
assessment of whether the exemption encompasses lamps that can provide
general illumination and can functionally be a ready substitute for
lamps already covered as GSLs. 82 FR 7288. DOE noted that it may be
appropriate to discontinue an exemption even though current sales are
relatively low, if technical characteristics of exempted lamps make
them likely to serve as ready substitutes for GSLs once GSL standards
are in place. Id. To that end, in the January 2017 definition rules,
DOE determined that T-shape lamps are capable of providing overall
illumination and therefore have a high potential for lamp switching. 82
FR 7294. Due to the high potential for lamp switching, reflected in
part by high sales, DOE discontinued the exemption from the GSIL
definition for T shape lamps that use not more than 40 watts or have a
length of more than 10 inches. Id. Similarly, DOE discontinued
exemptions from the GSIL definition for B, BA, CA, F, G16-1/2, G25,
G30, S, and M-14 lamps of 40 W or less due to high sales volume and its
[[Page 3125]]
concern with lamp switching for these lamps. 82 FR 7295.
NEMA, with the support of GE lighting, LEDVANCE, Westinghouse
Lighting and ALA, asserted in its comments on the August 2017 NODA that
Congress did not authorize the Secretary to define a GSL in terms of
whether it was a ``convenient unregulated alternative'' to a regulated
lamp. Instead, Congress identified three specific types of lamps that
were GSLs and gave the Secretary limited authority to include ``other
lamps . . . used to satisfy lighting applications traditionally served
by general service incandescent lamps.'' (NEMA, No. 4 at pp. 49-50)
NEMA further asserted that ``convenient unregulated alternative'' is a
subjective non-statutory catchphrase adopted by DOE to avoid the
meaningful objective, dynamic sales analysis intended by Congress
whether a consumer will actually or even likely switch from a more
efficient general service lamp to a less efficient lamp and thereby
undermine energy efficiency.
With regard to T-shape lamps, NEMA asserted that DOE inferred lamp
switching risk for T-shape lamps from subjectively determined high
sales in one year without citing evidence of actual or likely switching
by consumers. (NEMA, No. 4 at pp. 50-51) NEMA questioned how DOE could
know this without any evidence that the T-shape lamp's sales were
increasing because they were being switched for GSLs. (NEMA, No. 4 at
pp. 55) NEMA asserted that there are no facts in the record on which
DOE relied on that ``switching'' between the T-shape lamp and the
standard incandescent lamp was occurring. NEMA stated that the
exemption for the T-shape lamp should be maintained in the absence of
any evidence in the rulemaking record that would justify regulation.
(NEMA, No. 4 at pp. 56)
Regarding B, BA, CA, F, G16-1/2, G25, G30, S, and M-14 lamps, NEMA
asserted that DOE referred to no evidence of lamp switching between
these odd shape lamps and the general service lamp. Nor did DOE rely on
any evidence of increasing sales of a particular lamp, which NEMA
asserted is the test that Congress specifically required in section
6295(i)(1)(E)(ii) before an exemption can be discontinued. NEMA stated
that the sales data in the record does not support a lamp switching
claim, as the data showed declining or at best flat sales for these
lamps over time. Instead, DOE's entire conclusion rests upon a
completely subjective, unsubstantiated claim of potential. (NEMA, No. 4
at pp. 55)
DOE agrees with NEMA and other commenters that DOE may have
overstepped its limited authority by adding T-shape lamps and B, BA,
CA, F, G16-1/2, G25, G30, S, and M-14 lamps to the definition of GSIL.
DOE acknowledges it relied on factors which Congress did not intend it
to consider, rather than actual unit sales. DOE acknowledges it is
unlikely Congress intended that DOE have broad discretion to regulate
an incandescent lamp out of existence based on an assumption that
manufacturers could make and sell an LED version of the lamp or that
Congress authorized DOE to eliminate ``convenient unregulated
alternatives'' that DOE concluded could undercut this unstated intent
of Congress. Thus, DOE proposes to withdraw the revised definitions of
GSL and GSIL, which would maintain the current exclusion of T-shape
lamps and B, BA, CA, F, G16-1/2, G25, G30, S, and M-14 lamps from the
definition of GSIL.
4. Candelabra Base Lamps in Shapes B, BA, CA, F, G16-1/2
EPCA defines the term GSL to include any other lamps that the
Secretary determines are used to satisfy lighting applications
traditionally served by GSILs. (42 U.S.C. 6291(30)(BB)(i)(IV)) In the
January 2017 definition rule, DOE determined that lamps that would
satisfy the same applications as traditionally served by GSILs are ones
that would provide overall illumination. 82 FR 7304. To implement this
determination, DOE revised the definition of GSL to include all lamps
that have an ANSI base. One of the larger categories of lamps that this
includes is candelabra base lamps. Candelabra base lamps are often
available in shapes such as B, BA, CA, F, and G16-1/2.
In response to the August 2017 NODA, NEMA, with the support of
other commenters, objected to DOE's revised definition of GSL, which
NEMA argued causes the Secretary to abandon any inquiry into the
lighting applications traditionally served by GSILs, and re-writes the
statute in a manner that is contrary to law and not authorized by EPCA.
This re-write allows DOE to focus on whether a lamp is ``used in
general lighting applications,'' which results in DOE being able to
include nearly anything that emits light in the class of ``general
service lamp,'' including a candelabra base lamp. NEMA further asserted
that a consumer cannot use a candelabra base lamp in a medium screw
base application, as the shape of the bulb is not desired by the
consumer for GSIL applications, and the lumen output of the lamp is too
low for most applications traditionally served by GSILs. (NEMA, No. 93
at p. 34). Additionally, NEMA shared data indicating that sales of
these lamps have been declining, contrary to DOE's estimation. (NEMA,
No. 93 at p. 22).
In consideration of these comments, DOE proposes to withdraw the
revised definition of GSL, which would maintain the current exclusion
of candelabra base lamp shapes from the definition of GSL. Overbreadth
in DOE's January 2017 final rules had the consequence of including
lamps such as candelabra base lamps as GSLs, even though such lamps
could not meet the statutory definition of GSIL since such lamps do not
have a medium screw base. New data submitted by NEMA also indicates
that DOE's estimated shipment numbers for candelabra base incandescent
lamps in the August 2017 NODA were potentially too high by a factor of
more than two. (NEMA, No. 93 at p. 22).
C. Withdrawal of Supplemental Definitions
DOE proposes to withdraw the following supplemental definitions
included in the January 2017 definition rules. These definitions are no
longer necessary as they were included to provide clarity to the
revised GSL and GSIL definitions, which are proposed to be withdrawn:
``Black light lamp,'' ``Bug lamp,'' ``Colored lamp,'' ``General service
light-emitting diode (LED) lamp,'' ``General service organic lighting-
emitting diode (OLED) lamp,'' ``Infrared lamp,'' ``Integrated lamp,''
``LED Downlight Retrofit Kit,'' ``Left-hand thread lamp,'' ``Light
fixture,'' ``Marine lamp,'' ``Marine signal service lamp,'' ``Mine
service lamp,'' ``Non-integrated lamp,'' ``Other fluorescent lamp,''
``Pin base lamp,'' ``Plant light lamp,'' ``Reflector lamp,'' ``Showcase
Lamp,'' ``Sign service lamp,'' ``Silver bowl lamp,'' ``Specialty MR
lamp,'' and ``Traffic signal lamp.''
For these same reasons, DOE also proposes to withdraw the revision
of the definition of ``designed and marketed'' published in the January
19, 2017 definition rule. 82 FR 7321.
IV. Overview of Data
A. Discussion of Data
Historically, the Department has not conducted analysis of its
definitional rules. In its January 2017 rules, DOE explained that the
analytical requirements to which DOE is subject apply, by their terms,
only when DOE prescribes a new or amended standard. By contrast, a rule
that alters
[[Page 3126]]
definitions, as this proposal would do, does not establish or
materially change any standard, and the same analytical requirements do
not apply (82 FR 7278). As a result, this proposal does not include a
technical support document or other analyses for the definition change.
Although the definitional changes in this proposal are not subject
to analysis, this proposal reiterates that DOE has not yet made a
determination on whether to amend standards for GSLs, including GSILs,
and therefore no backstop energy conservation standard has yet been
imposed. DOE anticipates that clarifying this point will result in
measurable effects on the markets for certain incandescent lamps,
including vibration service, 3-way, shatter resistant, high-lumen,
candelabra, halogen, and globe lamps. Significant uncertainty exists in
the retail market regarding the scope of lamps that may be available
for sale, which DOE has failed to clarify in previous statements or
rulemakings. As a result of this uncertainty, retail outlets have not
been able to plan adequately for a potential change in stock, or lack
thereof. This uncertainty creates cost for retailers, and this
clarification is expected to reduce those uncertainty costs. DOE is
conducting an analysis regarding the extent of those cost savings and
affected retail outlets. DOE requests comment on the potential range of
cost savings associated with this proposed action.
B. Lamp Shipments
DOE examined available shipments data for halogen lamps, LEDs, and
incandescent lamps for portions of 2016 through 2018. This proposal
would clarify the ability to sell several lamp types and could affect
the near-term availability of certain incandescent and halogen lamps.
These shipment data illustrate the magnitude of those changes. Further,
shipment data relating to LEDs illustrate the market for these
technologies relative to halogen lamps.
Graph IV.1 represents quarterly shipments in the consumer channel,
which includes department stores, club stores, drug wholesalers and
retailers, hardware stores, home centers, online sales, and all other
retail. DOE focused on the consumer channel because this channel
captures the vast majority of incandescent and halogen lamp shipments
(approximately 90% and 97%, respectively).
As can be seen below, quarterly incandescent and halogen shipments
have tapered off from a high of 121.1 million and 110.2 million,
respectively, in 2016 Q4. Despite this decline, in 2018 shipments
totaled 149.5 million for incandescent and 125.4 million for halogen
lamps.
[GRAPHIC] [TIFF OMITTED] TP11FE19.011
Across all lamp types, incandescent lamp shipments sold in the
consumer channel averaged $0.54 per unit in 2018. Similarly across all
lamp types, halogen lamp shipments averaged $0.88 per unit in 2018.
These average prices are as reported by manufacturers, and do not
display price variation from lamp type to lamp type, such as between
incandescent A-line and incandescent candelabra lamps.
Based on retailer interviews, DOE is aware that some retail
establishments are currently planning stock for the first quarter of
2020. There are several reasons why retailers may make stocking
decisions well in advance of a compliance date. After shipment,
products are in transit and move through distribution centers before
arriving at a retail destination. These logistics add significant lags
between shipment and final sale. In addition, at any given point a
large retailer may have significant inventory in transit or in
distribution centers rather than on store shelves, which complicates
large retailers' ability to account for all inventory that might be
sold starting in 2020.
Retailers are faced with significant uncertainty as to which
products will be eligible for sale after 2019 Q4. The biggest
uncertainty costs are from the potential of having empty shelves
(``open bays''), which products to source to replace any potentially
non-compliant products, markdowns to clear out inventory, and lost
sales from inventory that is still in distribution centers or in
transit rather than on store shelves.
The largest retail segments of the consumer channel for lamps are
home centers and discount, variety, and department stores. These data
indicate the retail segments most likely to be
[[Page 3127]]
affected by lack of clarity regarding the ability to sell several lamp
types.
[GRAPHIC] [TIFF OMITTED] TP11FE19.012
The lamp shipment data above partially illustrate the magnitude of
this uncertainty, and the retail shipments indicate which stores are
affected. However, the Department is interested in additional input to
inform its analysis (See section IV.C).
C. Requests for Additional Data
As part of its effort to measure the effects of clarifying the
ability to sell several lamp types, DOE seeks comments and data on the
following:
1. How long does it take for a product, such as a lamp, to move
through a major retailer's distribution centers to the store, including
transit?
2. How long are lamps on the shelf at major retailers before they
are purchased?
3. How many units and lamp types of incandescents, CFLs, and LEDs
do major retailers have in distribution, transit, and in stores?
4. For affected retailers, what proportion of bays, sales, or
inventory is lighting products? The Department is particularly
interested in data from Home Center/DIY stores and discount, variety,
and department stores.
5. How much time would it take retailers to identify and source new
products for an open retail bay?
6. What are the opportunity costs associated with an open bay?
7. Which retailers are affected by additional uncertainty
pertaining to the ability to sell certain lamp types beginning in
January 2020?
The Department is particularly interested in data from Home Center/
DIY stores and discount, variety, and department stores, but welcomes
data pertaining to all affected retailers.
V. Procedural Issues and Regulatory Review
A. Review Under Executive Orders 12866 and 13563
The Office of Management and Budget (OMB) has determined that this
NOPR does not constitute a ``significant regulatory action'' under
section 3(f) of Executive Order 12866, Regulatory Planning and Review,
58 FR 51735 (Oct. 4, 1993). This proposed rule neither implements nor
seeks to enforce any standard. Rather, this proposed rule merely seeks
to maintain the currently effective regulatory definitions of GSL and
GSIL. Accordingly, this action was not subject to review under the
Executive Order by the Office of Information and Regulatory Affairs
(OIRA) in the OMB.
B. Review Under Executive Order 13771
On January 30, 2017, the President issued Executive Order 13771,
``Reducing Regulation and Controlling Regulatory Costs.'' The Executive
Order stated the policy of the executive branch is to be prudent and
financially responsible in the expenditure of funds, from both public
and private sources. The Order stated that it is essential to manage
the costs associated with the governmental imposition of private
expenditures required to comply with Federal regulations. Consistent
with Executive Order 13771, this proposed rule is estimated to result
in cost savings. Therefore, this rule is an Executive Order 13771
deregulatory action.
C. Review Under the Regulatory Flexibility Act
The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires
preparation of an initial regulatory flexibility analysis (IRFA) for
any rule that by law must be proposed for public comment, unless the
agency certifies that the rule, if promulgated, will not have a
significant economic impact on a substantial number of small entities.
As required by Executive Order 13272, ``Proper Consideration of Small
Entities in Agency Rulemaking,'' 67 FR 53461 (August 16, 2002), DOE
published procedures and policies on February 19, 2003, to ensure that
the potential impacts of its rules on small entities are properly
considered during the rulemaking process. 68 FR 7990. DOE
[[Page 3128]]
has made its procedures and policies available on the Office of the
General Counsel's website (http://energy.gov/gc/office-general-counsel).
DOE reviewed the proposed withdrawal of the revised definitions for
GSL, GSIL and related terms proposed in this NOPR under the provisions
of the Regulatory Flexibility Act and the procedures and policies
published on February 19, 2003. DOE certifies that the proposed rule,
if adopted, would not have a significant economic impact on a
substantial number of small entities. The factual basis for this
certification is set forth in the following paragraphs.
For manufacturers of GSLs, the SBA has set a size threshold, which
defines those entities classified as ``small businesses'' for the
purposes of the statute. DOE used the SBA's small business size
standards to determine whether any small entities would be subject to
the requirements of the rule See 13 CFR part 121. The size standards
are listed by NAICS code and industry description and are available at
http://www.sba.gov/sites/default/files/files/Size_Standards_Table.pdf.
Manufacturing of GSLs is classified under NAICS 335110, ``Electric Lamp
Bulb and Part Manufacturing.'' The SBA sets a threshold of 1,250
employees or less for an entity to be considered as a small business
for this category.
To estimate the number of companies that could be small businesses
that manufacture GSLs covered by this rulemaking, DOE conducted a
market survey using publicly available information. DOE's research
involved information provided by trade associations (e.g., NEMA \7\)
and information from DOE's Compliance Certification Management System
(CCMS) Database,\8\ EPA's ENERGY STAR Certified Light Bulbs
Database,\9\ previous rulemakings, individual company websites, SBA's
database, and market research tools (e.g., Hoover's reports \10\). DOE
used information from these sources to create a list of companies that
potentially manufacture or sell GSLs and would be impacted by this
rulemaking. DOE screened out companies that do not offer products
covered by this rulemaking, do not meet the definition of a ``small
business,'' or are completely foreign owned and operated. DOE
determined that eight companies are small businesses that maintain
domestic production facilities for general service lamps.
---------------------------------------------------------------------------
\7\ National Electric Manufacturers Association [bond] Member
Products [bond] Lighting Systems [bond] Related Manufacturers,
http://www.nema.org/Products/Pages/Lighting-Systems.aspx (last
accessed September 26, 2018).
\8\ DOE's Compliance Certification Database [bond] Lamps--Bare
or Covered (No Reflector) Medium Base Compact Fluorescent, http://www.regulations.doe.gov/certification-data (last accessed September
26, 2018).
\9\ ENERGY STAR Qualified Lamps Product List, http://downloads.energystar.gov/bi/qplist/Lamps_Qualified_Product_List.xls?dee3-e997 (last accessed September
26, 2018).
\10\ Hoovers [bond] Company Information [bond] Industry
Information [bond] Lists, http://www.hoovers.com (last accessed
September 26, 2018).
---------------------------------------------------------------------------
DOE notes that this proposed rule seeks to withdraw the revised
definitions of GSIL and GSL that are effective in 2020 in order to
maintain the existing regulatory definitions of these terms, which is
the same as the statutory definitions of these terms, including
exclusions of certain lamp types. As a result, certain lamps will
continue to be exempt from complying with current Federal test
procedures and any applicable Federal energy conservation standards.
For this reason, DOE tentatively concludes and certifies that the
proposed withdrawal of the definitions would not have a significant
economic impact on a substantial number of small entities, and the
preparation of an IRFA is not warranted.
D. 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. See generally 10 CFR part 429. The collection-of-
information requirement for the certification and recordkeeping is
subject to review and approval by OMB under the Paperwork Reduction Act
(PRA). This requirement has been approved by OMB under OMB control
number 1910-1400. Public reporting burden for the certification is
estimated to average 30 hours per response, including the time for
reviewing instructions, searching existing data sources, gathering and
maintaining the data needed, and completing and reviewing the
collection of information.
Notwithstanding any other provision of the law, no person is
required to respond to, nor shall any person be subject to a penalty
for failure to comply with, a collection of information subject to the
requirements of the PRA, unless that collection of information displays
a currently valid OMB control number.
E. Review Under the National Environmental Policy Act of 1969
Pursuant to the National Environmental Policy Act (NEPA) of 1969,
DOE has determined that the proposed rule fits within the category of
actions included in Categorical Exclusion (CX) B5.1 and otherwise meets
the requirements for application of a CX. (See 10 CFR part 1021, App.
B, B5.1(b); 1021.410(b) and App. B, B(1)-(5).) The proposed rule fits
within this category of actions because it is a rulemaking that
maintains the existing definitions of a covered class of products.
Therefore, DOE has made a CX determination for this rulemaking, and DOE
does not need to prepare an Environmental Assessment or Environmental
Impact Statement for this rule. DOE's CX determination for this rule is
available at http://energy.gov/nepa/categorical-exclusion-cx-determinations-cx.
F. 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 such regulations. 65 FR 13735. DOE has examined this
proposed rule and has determined that it would not have a substantial
direct effect on the states, on the relationship between the national
government and the states, or on the distribution of power and
responsibilities among the various levels of government. EPCA governs
and prescribes federal preemption of state regulations as to energy
conservation for the products that are the subject of this 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.
[[Page 3129]]
G. 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.
H. 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/gc/office-general-counsel. 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.
I. Review Under the Treasury and General Government Appropriations Act,
1999
Section 654 of the Treasury and General Government Appropriations
Act, 1999 (Pub. L. 105-277) requires federal agencies to issue a Family
Policymaking Assessment for any rule that may affect family well-being.
This proposed 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.
J. 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.
K. 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 NOPR under the OMB and DOE
guidelines and has concluded that it is consistent with applicable
policies in those guidelines.
L. 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 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 the withdrawal of the revised
definitions of GSL, GSIL and supplemental definitions 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.
VI. Public Participation
A. Attendance at Public Meeting
The time, date and location of the public meeting are listed in the
DATES and ADDRESSES sections at the beginning of this document. If you
plan to attend the public meeting, please notify Ms. Regina Washington
at (202) 586-1214 or Regina.Washington@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 building. Any person wishing to
bring these
[[Page 3130]]
devices into the Forrestal 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 ID
requirements for individuals wishing to enter Federal buildings from
specific States and U.S. territories. DHS maintains an updated website
identifying the State and territory driver's licenses that currently
are acceptable for entry into DOE facilities at https://www.dhs.gov/real-id-enforcement-brief. A driver's license from a State or territory
identified as not compliant by DHS will not be accepted for building
entry and one of the alternate forms of ID listed below will be
required. Acceptable alternate forms of Photo-ID include U.S. Passport
or Passport Card; an Enhanced Driver's License or Enhanced ID-Card
issued by States and territories as identified on the DHS website
(Enhanced licenses issued by these States and territories 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 website: https://www1.eere.energy.gov/buildings/appliance_standards/standards.aspx?productid=4 Participants are
responsible for ensuring their systems are compatible with the webinar
software.
B. Procedure for Submitting Prepared General Statements for
Distribution
Any person who has 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 notice. 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 a follow-up contact, if needed.
C. Conduct of 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 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. After the public meeting and until the end of the
comment period, interested parties may submit further comments on the
proceedings and any aspect of the rulemaking.
The 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 rulemaking. Each participant will be allowed
to make a general statement (within time limits determined by DOE),
before the discussion of specific topics. DOE will permit, as time
permits, other participants to comment briefly on any general
statements.
At the end of all prepared statements on a topic, DOE will permit
participants to clarify their statements briefly 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 rulemaking. 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. In addition, any person may buy a copy of the
transcript from the transcribing reporter.
D. Submission of Comments
DOE will accept comments, data, and information regarding this
proposed rule before or after the public meeting, but no later than the
date provided in the DATES section at the beginning of this proposed
rule. Interested parties may submit comments, data, and other
information using any of the methods described in the ADDRESSES section
at the beginning of this NOPR.
Submitting comments via http://www.regulations.gov. The http://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 http://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
http://www.regulations.gov cannot be claimed as CBI. Comments received
through the website will waive any CBI claims for the information
submitted. For information on submitting CBI, see the Confidential
Business Information section below.
DOE processes submissions made through http://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
[[Page 3131]]
posted to http://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 (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).
E. Issues on Which DOE Seeks Comment
DOE welcomes comments on any aspect of this proposal, without
restriction.
VII. Approval of the Office of the Secretary
The Secretary of Energy has approved publication of this notice of
proposed rulemaking.
List of Subjects in 10 CFR Part 430
Administrative practice and procedure, Confidential business
information, Energy conservation, Household appliances, Imports,
Incorporation by reference, Intergovernmental relations, Small
businesses.
Signed in Washington, DC, on: January 31, 2019.
Daniel R. Simmons,
Assistant Secretary, Energy Efficiency and Renewable Energy.
For the reasons set forth in the preamble, DOE proposes to amend
part 430 of chapter II, subchapter D, of title 10 of the Code of
Federal Regulations, as set forth below:
PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS
0
1. The authority citation for part 430 continues to read as follows:
Authority: 42 U.S.C. 6291-6309; 28 U.S.C. 2461 note.
Sec. 430.2 [Amended]
0
2. Section 430.2 is amended by:
0
a. Withdrawing the addition of the definitions of ``Black light lamp,''
``Bug lamp,'' ``Colored lamp,'' ``General service light-emitting diode
(LED) lamp,'' ``General service organic lighting-emitting diode (OLED)
lamp,'' ``Infrared lamp,'' ``Integrated lamp,'' ``LED Downlight
Retrofit Kit,'' ``Left-hand thread lamp,'' ``Light fixture,'' ``Marine
lamp,'' ``Marine signal service lamp,'' ``Mine service lamp,'' ``Non-
integrated lamp,'' ``Other fluorescent lamp,'' ``Pin base lamp,''
``Plant light lamp,'' ``Reflector lamp,'' ``Showcase Lamp,'' ``Sign
service lamp,'' ``Silver bowl lamp,'' ``Specialty MR lamp,'' and
``Traffic signal lamp'' published January 19, 2017 (82 FR 7321).
0
b. Withdrawing the revision of the definition of ``designed and
marketed'' published January 19, 2017 (82 FR 7321).
0
c. Withdrawing the revisions of the definitions of ``general service
incandescent lamp,'' and ``general service lamp'' published January 19,
2017 (82 FR 7321).
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d. Withdrawing the removal of paragraph (27) of the definition of
``general service lamp'' published January 19, 2017 (82 FR 7333).
[FR Doc. 2019-01853 Filed 2-8-19; 8:45 am]
BILLING CODE 6450-01-P
