CHAPTER 1. INTRODUCTION

TABLE O F CONTENTS

**1.1 P**  **URPOSE OF**  **THE DOCUMENT** 

**................................................................................. 1­1** 

**1.2 O**  **VERVIEW OF**  **THE APPLIANCES**  **AND COMMERCIAL**  **EQUIPMENT**

**STANDARDS PROGRAM.............................................................................................**  **1­1**

**1.3 O**  **VERVIEW OF**  **THE SUBCATEGORIES**  **OF LAMPS**  **COVERED**

**........................... 1­2** 

**1.4 P**  **ROCESS FOR**  **SETTING ENERGY**  **CONERVATION STANDARDS......................**  **1­4**

**1.5 S**  **TRUCTURE OF**  **THE DOCUMENT............................................................................**  **1­7**

LIST O F TABLES

**Table 1**  **.4.1 Analyses**  **Under the**  **Process Rule** 

**............................................................................ 1­5** 

**1­i**CHAPTER 1. INTRODUCTION

1.1 P URPOSE O F THE DOCUMENT

**This t**  **echnical support**  **document (TSD)**  **is a**  **stand­alone report**  **that provides**  **the technical** 

**analyses supporting**  **the information**  **in the**  **Notice of**  **Proposed Rulemaking**  **(NOPR) for**  **general**

**service fluorescent**  **lamps (GSFL)**  **and incandescent**  **reflector lamps**  **(IRL).**

1.2 O VERVIEW O F THE APPLIANCES AND COMMERCIAL EQUIPMENT

STANDARDS PROGRAM

**Part B**  **of Title**  **III of**  **the Energy**  **Policy and**  **Conservation Act**  **(EPCA or**  **the Act)**  **of 1975** 

**(42 U.S.C.**  **6291–6309) established**  **the energy**  **conservation program**  **for consumer**  **products**

**other than**  **automobiles, covering**  **major household**  **appliances. The**  **National Energy** 

**Conservation Policy**  **Act of**  **1978 (NECPA)**  **amended EPCA**  **to add**  **Part C**  **of Title**  **III (42**  **U.S.C.**

**6311–6317), which**  **established an**  **energy conservation**  **program for**  **certain industrial**  **equipment.**

**Additional amendments**  **to EPCA**  **have given**  **the U.S.**  **Department of**  **Energy (DOE)**  **the**

**authority to**  **regulate the**  **energy efficiency**  **of several**  **products, including**  **certain fluorescent**  **and**

**incandescent lamps,**  **the products**  **that are**  **the focus**  **of this**  **document.**

**Amendments t**  **o EPCA**  **in the**  **Energy Policy**  **Act of**  **1992 (EPACT**  **1992), P.L.**  **102­486,**

**and subsequent**  **amendments in**  **the Energy**  **Independence and**  **Security Act**  **(EISA 2007),**  **P.L.**

**110­140, established**  **energy conservation**  **standards for**  **GSFL and**  **IRL, as**  **well as**  **requirements**

**to conduct**  **two cycles**  **of rulemakings**  **to determine**  **whether these**  **standards should**  **be amended.** 

**(42 U.S.C.**  **6295(i)(1) and**  **(3)–(4)) EPCA**  **also provides**  **that within**  **24 months**  **after U.S.**  **Federal**

**Trade Commission**  **(FTC) labeling**  **requirements have**  **become effective**  **for GSFL,**  **DOE must** 

**initiate a**  **rulemaking to**  **determine if**  **the standards**  **in effect**  **for these**  **lamps should**  **be amended**  **to**

**be applicable**  **to additional**  **GSFL. (42**  **U.S.C. 6295(i)(5))**  **According to**  **EPCA, DOE**  **must**

**publish a**  **rule within**  **18 months**  **of initiating**  **the rulemaking.**  **(42 U.S.C.**  **6295(i)(5)) The**  **FTC**

**published labeling**  **requirements for**  **covered lamps**  **on May**  **13, 1994,**  **with an**  **effective date**  **of**

**May 15,**  **1995. 59**  **FR 25176.**  **Previously, DOE**  **did not**  **take action**  **on the**  **requirements of**  **42**

**U.S.C. 6**  **295(i) b**  **ecause lamps**  **were assigned**  **a low**  **priority based**  **on public**  **comment and**  **energy**

**savings estimates**  **in the**  **priority­setting process.** 

**EPCA establishes**  **standards for**  **GSFL, requiring**  **that they**  **meet prescribed**  **minimum**

**efficacy levels**  **for given**  **color rendering**  **index (CRI)**  **levels. EPCA**  **also requires**  **that DOE** 

**conduct two**  **cycles of**  **rulemakings to**  **determine if**  **the standards**  **should be**  **amended. (42**  **U.S.C.**

**6295(i)(1), (3)–(4))**  **In addition,**  **the Act**  **requires DOE**  **to conduct**  **a rulemaking**  **to determine**  **if**

**the standards**  **in effect**  **for fluorescent**  **lamps should**  **be amended**  **so that**  **they would**  **be applicable** 

**to additional**  **GSFL. (42**  **U.S.C. 6295(i)(5))**  **In this**  **rulemaking, DOE**  **is conducting**  **its first** 

**review to**  **determine if**  **the standards**  **should be**  **amended, while**  **fulfilling the**  **additional statutory** 

**requirement of**  **determining if**  **the standards**  **should be**  **applicable to**  **other GSFL.** 

**EPCA also**  **establishes energy**  **conservation standards**  **for IRL,**  **requiring that**  **certain**

**lamps meet**  **prescribed efficacy**  **levels. The**  **Act directs**  **DOE to**  **conduct two**  **cycles of** 

**1­1 rulemakings**  **to determine**  **if the**  **standards should**  **be amended.**  **(42 U.S.C.**  **6295(i)(1), (3)­(4))**  **In**

**this rulemaking,**  **DOE is**  **conducting its**  **first review**  **to determine**  **if the**  **standards for**  **IRL should** 

**be amended.**  **DOE is**  **also fulfilling**  **the requirement**  **of determining**  **whether the**  **standards should** 

**cover additional**  **GSFL, including**  **additional IRL.** 

**Additionally, EP**  **CA specifies**  **that the**  **Secretary of**  **Energy shall**  **prescribe test**  **procedures**

**for fluorescent**  **lamps and**  **incandescent reflector**  **lamps, taking**  **into consideration**  **the applicable** 

**Illumination Engineering**  **Society of**  **North America**  **(IESNA) or**  **American National**  **Standards**

**Institute (ANSI)**  **standards. (42**  **U.S.C. 6293(b)(6)**  **Accordingly, on**  **May 29,**  **1997, DOE** 

**published a**  **final rule**  **establishing test**  **procedures for**  **fluorescent and**  **incandescent lamps** 

**incorporating by**  **reference ANSI,**  **IESNA, and**  **International Commission**  **on Illumination**  **(CIE)**

**industry standards**  **to measure**  **lamp efficacy**  **and CRI.**  **62 FR**  **29222. DOE**  **intends to**  **update the** 

**test procedures**  **of the**  **lamps covered**  **in this**  **rulemaking through**  **a separate**  **rulemaking process.** 

1.3 O VERVIEW O F THE SUBCATEGORIES OF LAMPS COVERED

**This r**  **ulemaking covers**  **certain types**  **of fluorescent**  **lamps and**  **incandescent lamps.** 

**Section 321(30)**  **of EPCA**  **(42 U.S.C.**  **6291(30)) contains**  **definitions for**  **“fluorescent lamps,”** 

**“general service**  **fluorescent lamps”**  **and “incandescent**  **lamps.”**

**In a**  **ddition to**  **the statutory**  **definitions, DOE**  **published definitions**  **for terms**  **that**

**supplement the**  **statutory definitions**  **for fluorescent**  **and incandescent**  **lamps. 62**  **FR 29222**  **(May**

**29, 1997);**  **10 CFR**  **section 430.2.**  **Appendix 3A**  **defines these**  **terms. The**  **market and**  **technology**

**assessment (Chapter**  **3) describes**  **in more**  **detail the**  **definitions for**  **fluorescent and**  **incandescent**

**lamps, as**  **well as**  **the two**  **categories of**  **lamps covered**  **in this**  **rulemaking. As**  **part of**  **this**

**rulemaking, DOE**  **is considering**  **whether to**  **extend coverage**  **to “additional**  **general service** 

**fluorescent lamps.”**  **(42 U.S.C.**  **6295(5)) Please**  **see the**  **NOPR** Federal Register **notice for**  **this**

**rulemaking for**  **a detailed**  **discussion on**  **DOE’s consideration**  **to expand**  **coverage. Below**  **are**

**statutory definitions**  **for fluorescent**  **and incandescent**  **lamps.**

**Sections 3**  **21(30)(A)–(F) of**  **EPCA (42**  **U.S.C. 6291(30)(A)–(F))**  **contains definitions**  **for**

**“fluorescent lamp,”**  **“general service**  **fluorescent lamp,”**  **“incandescent lamp,”**  **and “incandescent** 

**reflector lamp”**  **relevant to**  **this rulemaking:** 

(A) Ex cept as provided in subparagraph (E), the term “fluorescent lamp” means a lowpressure mercury electric­discharge source in which a fluorescing coating transforms

some of the ultraviolet energy generated by the mercury discharge into light,

including only the following:

(i) A ny s traight­shaped lamp (commonly referred to as 4­foot medium bi­pin

lamps) with medium bi­pin bases of nominal overall length of 48 inches

and rated wattage of 28 or more. (ii) A ny U ­shaped lamp (commonly referred to as 2­foot U­shaped lamps)

with medium bi­pin bases of nominal overall length between 22 and 25

inches and rated wattage of 28 or more. (iii) A ny r apid start lamp (commonly referred to as 8­foot high output lamps)

with recessed double contact bases of nominal overall length of 96 inches

**1­2**and 0.800 nominal amperes, as defined in ANSI C78.1­1978 and related

supplements.

(iv) A ny i nstant start lamp (commonly referred to as 8­foot slimline lamps)

with single pin bases of nominal overall length of 96 inches and rated

wattage of 52 or more, as defined in ANSI C78.3­1978 (R1984) and

related supplement ANSI C78.3a­1985.

(B) T he t erm “general service fluorescent lamp” means fluorescent lamps which can be

used to satisfy the majority of fluorescent applications, but does not include any lamp

designed and marketed for the following nongeneral lighting applications:

(i) F luorescent l amps designed to promote plant growth.

(ii) F luorescent l amps specifically designed for cold temperature installations.

(iii) C olored f luorescent lamps.

(iv) I mpact­resistant f luorescent lamps.

(v) R eflectorized o r aperture lamps.

(vi) F luorescent l amps designed for use in reprographic equipment.

(vii) L amps p rimarily designed to produce radiation in the ultra­violet region

of the spectrum.

(viii) L amps w ith a color rendering index of 87 or greater.

(C) E xcept as provided in subparagraph (E), the term “incandescent lamp” means a lamp in which light is produced by a filament heated to incandescence by an electric

current, including only the following:

(i) A ny l amp (commonly referred to as lower wattage nonreflector general

service lamps, including any tungsten­halogen lamp) that has a rated

wattage between 30 and 199 watts, has an E26 medium screw base, has a

rated voltage or voltage range that lies at least partially within 115 and

130 volts, and is not a reflector lamp.

(ii) A ny l amp (commonly referred to as a reflector lamp) which is not colored

or designed for rough or vibration service applications, that contains an

inner reflective coating on the outer bulb to direct the light, an R, PAR,

ER, BR, BPAR or similar bulb shapes with E26 medium screw bases, a

rated voltage or voltage range that lies at least partially within 115 and

130 volts, a diameter which exceeds 2.25 inches, and has a rated wattage

that is 40 watts or higher.

(iii) A ny g eneral service incandescent lamp (commonly referred to as a highor higher­wattage lamp) that has a rated wattage above 199 watts (above

205 watts for a high wattage reflector lamp).

* * * * *

( E) T he t erms “fluorescent lamp” and “incandescent lamp” do not include any lamp

excluded by the Secretary, by rule, as a result of a determination that standards for

such lamp would not result in significant energy savings because such lamp is

designed for special applications or has special characteristics not available in

reasonably substitutable lamp types.

**1­3**(F) The t erm “incandescent reflector lamp” means a lamp described in subparagraph

(C)(ii).

1.4 P ROCESS F OR SETTING ENERGY CONERVATION STANDARDS

**Under EP**  **CA, when**  **DOE evaluates**  **new or**  **amended standards,**  **it must**  **consider the** 

**following seven**  **factors to**  **the greatest**  **extent practicable:** 

**(1) t**  **he e**  **conomic impact**  **of the**  **standard on**  **the manufacturers**  **and consumers**  **of the** 

**products subject**  **to the**  **standard;**

**(2) t**  **he s**  **avings in**  **operating costs**  **throughout the**  **estimated average**  **life of**  **the products** 

**compared to**  **any increases**  **in the**  **price, initial**  **charges, or**  **maintenance expenses**  **for**

**the products**  **that are**  **likely to**  **result from**  **the imposition**  **of the**  **standard;**

**(3) t**  **he t**  **otal projected**  **amount of**  **energy savings**  **likely to**  **result directly**  **from**

**imposition of**  **the standard;** 

**(4) a**  **ny l**  **essening of**  **the utility**  **or the**  **performance of**  **the products**  **likely to**  **result from** 

**imposition of**  **the standard;** 

**(5) t**  **he i**  **mpact of**  **any lessening**  **of competition,**  **as determined**  **in writing**  **by the** 

**Attorney General,**  **likely to**  **result from**  **imposition of**  **the standard;** 

**(6) t**  **he n**  **eed for**  **national energy**  **conservation; and** 

**(7) o**  **ther f**  **actors the**  **Secretary considers**  **relevant.**

**(42 U**  **.S.C. 6295(o)(2)(B)(i))**  **Additional statutory**  **requirements for**  **prescribing new**  **or**

**amended standards**  **are set**  **forth in**  **42 U.S.C.**  **6295(o)(1)–(2)(A), (2)(B)(ii)–(iii),**  **and (3)–(4).** 

**DOE c**  **onsiders stakeholder**  **participation a**  **very important**  **part of**  **the standards­setting** 

**process. DOE**  **encourages the**  **participation of**  **all stakeholders**  **during the**  **comment period**  **of**

**each rulemaking**  **stage. Beginning**  **with the**  **Rulemaking Framework**  **Document for**  **General**

**Service Fluorescent**  **Lamps, Incandescent**  **Reflector Lamps,**  **and General**  **Service Incandescent** 

**Lamps (Framework**  **Document) and**  **during subsequent**  **comment periods,**  **interactions among** 

**stakeholders provide**  **a balanced**  **discussion of**  **the information**  **that is**  **required for**  **the standards** 

**rulemaking.**

**In c**  **onducting the**  **test procedures**  **rulemaking and**  **the energy**  **conservation standards** 

**rulemakings, DOE**  **involves stakeholders**  **through formal**  **public notifications**  **(i.e.,** Federal

Register **notices). For**  **this fluorescent**  **and incandescent**  **lamps energy**  **conservation standards** 

**rulemaking, DOE**  **will employ**  **the procedures**  **set forth**  **in DOE’s**  **Process Rule**  **(Procedures for** 

**Consideration of**  **New or**  **Revised Energy**  **Conservation Standards**  **for Consumer**  **Products, 61**  **FR**

**36974, July**  **15, 1996,**  **10 CFR**  **Part 430,**  **Subpart C,**  **Appendix A)**  **to the**  **extent they**  **are**

**appropriate for**  **developing energy**  **conservation standards**  **for the**  **lamps covered**  **under this** 

**rulemaking.**

**1­4 Before**  **DOE determines**  **whether to**  **establish or**  **amend energy**  **conservation standards**  **for**

**GSFL and**  **IRL, it**  **must first**  **solicit comments**  **on a**  **proposed standard.**  **(42 U.S.C.** 

**6295(o)(2)(B)(i)). DOE**  **must design**  **each new**  **or amended**  **standard for**  **these products**  **to**

**achieve the**  **maximum improvement**  **in energy**  **efficiency that**  **is technologically**  **feasible and** 

**economically justified,**  **and would**  **result in**  **significant energy**  **savings. (42**  **U.S.C. 6295(o)(2)(A)** 

**and (3))**  **To determine**  **whether a**  **proposed standard**  **complies with**  **these requirements,**  **DOE**

**must, after**  **receiving comments**  **on the**  **proposed standard,**  **determine whether**  **the benefits**  **of the** 

**standard exceed**  **its burdens**  **to the**  **greatest extent**  **practicable, weighing**  **the seven**  **factors listed** 

**above.**

**Subsequent t**  **o the**  **publication of**  **the Framework**  **Document, the**  **standards rulemaking** 

**process involves**  **three additional**  **formal, major**  **public notices,**  **which are**  **published in**  **the**

Federal Register

**. The**  **first of**  **the rulemaking**  **notices is**  **an Advanced**  **Notice of**  **Public**

**Rulemaking (ANOPR).**  **The ANOPR**  **is designed**  **to publicly**  **vet the**  **models and**  **tools used**  **in the** 

**rulemaking and**  **to facilitate**  **public participation**  **before the**  **proposed rule**  **stage. The**  **second**

**notice is**  **a NOPR,**  **which presents**  **a discussion**  **of comments**  **received in**  **response to**  **the ANOPR;** 

**analysis of**  **the impacts**  **of standards**  **on consumers,**  **manufacturers, and**  **the nation;**  **DOE’s**

**weighing of**  **the impacts;**  **and the**  **proposed standards.**  **The third**  **notice is**  **the Final**  **Rule, which** 

**presents a**  **discussion of**  **comments received**  **in response**  **to the**  **NOPR; the**  **revised analysis**  **of the** 

**impacts of**  **standards; DOE’s**  **weighing of**  **the impacts;**  **the standards**  **adopted by**  **DOE; and**  **the**

**effective dates**  **of the**  **standards. Until**  **recently, DOE**  **performed the**  **manufacturer impact** 

**analysis in**  **its entirety**  **between the**  **ANOPR and**  **NOPR. However,**  **as noted**  **in Table**  **1.4.1, DOE** 

**now conducts**  **a preliminary**  **manufacturer impact**  **analysis in**  **the ANOPR**  **stage. DOE**  **believes**

**this change**  **will improve**  **the rulemaking**  **process.**

Table 1 .4.1 Analyses Under the Process Rule

ANOPR NOPR F inal R ule*

**Market a**  **nd technology**  **assessment Revised**  **A NOPR**  **analyses Revised**  **a nalyses** 

**Screening a**  **nalysis Life­cycle**  **c ost**  **sub­group analysis** 

**Engineering a**  **nalysis Manufacturer**  **i mpact**  **analysis**

**Energy u**  **se characterization**  **Utility i**  **mpact analysis** 

**Product p**  **rice determination**  **Employment i**  **mpact analysis** 

**Life­cycl e**  **c ost**  **and payback**  **period**

**analyses Environmental**  **a ssessment** 

**Shipments a**  **nalysis Regulatory**  **i mpact**  **analysis**

**Nat ional**  **i mpact**  **analysis**

**Prel iminary**  **m anufacturer**  **impact**

**analysis**

***** **During th**  **e Final**  **Rule phase,**  **DOE considers**  **the comments**  **submitted by**  **the U.S.**  **Department of**  **Justice in**  **the**

**NOPR phase**  **concerning the**  **impact of**  **any lessening**  **of competition**  **that is**  **likely to**  **result from**  **the imposition**  **of the** 

**standard. (42**  **U.S.C. 6295(o)(2)(B)(v))** 

**In May**  **2006, DOE**  **published a**  **Rulemaking Framework**  **Document for**  **General Service** 

**Fluorescent Lamps,**  **Incandescent Reflector**  **Lamps, and**  **General Service**  **Incandescent Lamps,** 

**which describes**  **the procedural**  **and analytical**  **approaches DOE**  **anticipated using**  **to evaluate**  **the**

**establishment of**  **energy conservation**  **standards for**  **fluorescent and**  **incandescent lamps.**  **A PDF** 

**1­5 copy**  **of the**  **Framework Document**  **is available**  **at**

**http://www.eere.energy.gov/buildings/appliance_standards/residential/pdfs/lamps_framework.pd**

**f**

**.**

**D OE**  **h eld**  **a public**  **meeting on**  **June 15,**  **2006 to**  **discuss procedural**  **and analytical** 

**approaches to**  **the rulemaking,**  **and to**  **inform and**  **facilitate stakeholders’**  **involvement in**  **the**

**rulemaking process.**  **The analytical**  **framework presented**  **at the**  **public meeting**  **described**

**rulemaking analyses,**  **such as**  **the engineering**  **analysis and**  **the life­cycle**  **cost (LCC)**  **and payback** 

**period (PBP)**  **analyses, the**  **methods proposed**  **for conducting**  **them, and**  **the relationships**  **among**

**the various**  **analyses. See**  **Table 1.4.1**  **for all**  **the analyses**  **discussed at**  **the public**  **meeting to**  **be**

**undertaken in**  **each of**  **the formal**  **public rulemaking**  **documents. PDF**  **copies of**  **the slides**  **and**

**other material**  **associated with**  **the public**  **meeting are**  **available at** 

**http://www.eere.energy.gov/buildings/appliance_standards/residential/lamps_meeting_061506.ht**

**m l** 

**.**

**D uring**  **t he**  **public meeting**  **and the**  **Framework Document**  **comment period,**  **stakeholders,**

**including manufacturers,**  **trade associations,**  **environmental advocates,**  **and other**  **interested**

**parties submitted**  **several comments**  **about the**  **lamps rulemaking.**  **The major**  **issues discussed** 

**were: (1)**  **the rulemaking’s**  **scope of**  **coverage and**  **definition of**  **exemptions; (2)**  **the development** 

**of product**  **classes; (3)**  **lamp life**  **variation; (4)**  **selection of**  **representative lamps**  **for analysis**  **and**

**baseline models;**  **(5) appropriate**  **methods and**  **sources for**  **developing end­user**  **price estimates;** 

**(6) up**  **dating t**  **est procedures;**  **(7) the**  **methodology for**  **developing shipment**  **estimates; (8)**  **the**

**need for**  **system­based analysis**  **for GSFL**  **(i.e., analyzing**  **a lamp**  **and a**  **ballast in**  **some scenarios);** 

**(9) t**  **he i**  **mpact of**  **higher efficacy**  **lamps on**  **building space**  **conditioning loads;**  **and (10)**  **the use**  **of**

**tiered versus**  **average electricity**  **rates. Stakeholder**  **comments submitted**  **during the**  **Framework**

**Document comment**  **period elaborated**  **upon the**  **issues raised**  **at the**  **public meeting.**  **DOE**

**worked with**  **its contractors**  **to address**  **these issues**  **in the**  **analyses. Detailed**  **discussion of** 

**stakeholder comments**  **is available**  **in the**  **ANOPR** Federal Register **notice for**  **this rulemaking.** 

**As p**  **art of**  **the information**  **gathering and**  **sharing process,**  **DOE organized**  **and held** 

**interviews with**  **three lamp**  **manufacturers who**  **operate in**  **the U.S.**  **lamps market.**  **DOE had**  **four**

**objectives for**  **these interviews:**  **(1) solicit**  **feedback on**  **the draft**  **engineering analysis**  **(including**

**methodology, prices,**  **and lamp**  **technologies); (2)**  **solicit feedback**  **on topics**  **related to**  **the**

**preliminary manufacturer**  **impact analysis;**  **(3) provide**  **an opportunity**  **early in**  **the rulemaking** 

**process to**  **express specific**  **concerns to**  **DOE; and**  **(4) foster**  **cooperation between**  **manufacturers**

**and DOE.** 

**Two g**  **eneral topics**  **related to**  **the preliminary**  **manufacturer impact**  **analysis were** 

**discussed during**  **each of**  **the interviews:**  **(1) lamp**  **information and**  **(2) preliminary**  **manufacturer**

**impact. Each**  **topic contained**  **around four**  **to six**  **issues, depending**  **on the**  **lamp type.**  **These**

**issues generally**  **included market**  **data, distribution**  **channels, anticipated**  **consumer responses**  **to**

**standards, production**  **and product**  **mix, conversion**  **costs, and**  **cumulative regulatory**  **burden,**

**among other**  **issues. DOE**  **incorporated the**  **information gathered**  **at the**  **meetings into**  **its**

**engineering analysis**  **and preliminary**  **manufacturer impact**  **analysis.**

**In M**  **arch 2008,**  **DOE published**  **an ANOPR**  **and held**  **a public**  **meeting. The**  **major issues** 

**discussed were:**  **(1) additional**  **GSFL considered**  **for coverage;**  **(2) amended**  **definitions for** 

**1­6 “colored**  **fluorescent lamp”**  **and “rated**  **wattage”; (3)**  **proposed product**  **classes; (4)**  **scaling to** 

**product classes**  **not analyzed;**  **(5) screening**  **of design**  **options; (6)**  **lamp operating**  **hours; (7)** 

**GSFL energy**  **consumption; (8)**  **life­cycle cost**  **calculations; (9)**  **installation costs;**  **(10) base­case** 

**market­share matrices**  **in 2012;**  **(11) shipment**  **forecasts; (12)**  **base­case and**  **standards­case**

**forecasted efficacies;**  **(13) trial**  **standard levels;**  **and (14)**  **lamp production**  **equipment conversion** 

**timeframe. Stakeholder**  **comments submitted**  **during the**  **subsequent comment**  **period elaborated** 

**on the**  **issues raised**  **at the**  **public meeting.**  **A detailed**  **discussion of**  **stakeholder comments**  **is**

**available in**  **the NOPR**  Federal Register **notice for**  **this rulemaking.** 

**Following t**  **he publication**  **of the**  **ANOPR and**  **the ANOPR**  **public meeting,**  **DOE held** 

**additional meetings**  **with manufacturers**  **as part**  **of the**  **consultative process**  **for the**  **manufacturer**

**impact analysis.**  **The interviews**  **covered several**  **key issues,**  **including: (1)**  **rare earth**  **phosphor**

**availability and**  **price; (2)**  **reduction in**  **GSFL product**  **portfolio; (3)**  **GSFL product**  **margin impact;** 

**(4) I**  **RL p**  **roduct performance**  **issues; (5)**  **xenon gas**  **availability and**  **price; (6)**  **elimination of** 

**product types**  **in IRL**  **product portfolio;**  **(7) elimination**  **of small**  **diameter IRL**  **lamps; (8)**  **IRL**

**competition; and**  **(9) IRL**  **market erosion.** 

**For t**  **he LCC,**  **PBP and**  **national impact**  **analyses (NIA),**  **DOE developed**  **spreadsheets**

**using Microsoft**  **Excel®. The**  **LCC and**  **PBP spreadsheets**  **calculate the**  **economic impacts**  **of**

**replacing products**  **with standard­compliant**  **ones. The**  **NIA spreadsheets**  **calculate the**  **national**

**energy savings**  **(NES) and**  **national net**  **present values**  **(NPVs) at**  **various energy**  **efficiency levels** 

**and include**  **a model**  **that forecasts**  **the impacts**  **of energy**  **conservation standards**  **at various**  **levels**

**on product**  **shipments. These**  **spreadsheets are**  **available on**  **the DOE**  **website at** 

**http://www.eere.energy.gov/buildings/appliance_standards/**

**.**

1.5 S TRUCTURE O F THE DOCUMENT

**This NO**  **PR TSD**  **outlines the**  **analytical approaches**  **used in**  **this rulemaking.**  **The TSD** 

**consists of**  **15 Chapters,**  **an environmental**  **assessment, a**  **regulatory impact**  **analysis, and** 

**appendices.**

**C hapter**  **1 Introduction:**  **p rovides**  **an overview**  **of the**  **appliance standards** 

**program and**  **how it**  **applies to**  **the rulemaking**  **for GSFL**  **and IRL,**  **and**

**outlines the**  **structure of**  **the document** 

**Chapter 2**  **Analytical Framework:**  **describes the**  **rulemaking process**  **step by**  **step**

**Chapter 3**  **Market and**  **Technology Assessment:**  **characterizes the**  **fluorescent and** 

**incandescent lamps**  **market and**  **the technologies**  **available for** 

**increasing lamp**  **efficacy, and**  **outlines product**  **classes**

**Chapter 4**  **Screening Analysis:**  **determines which**  **technology design**  **options are** 

**viable for**  **consideration in**  **the engineering**  **analysis**

**Chapter 5**  **Engineering Analysis:**  **discusses the**  **sources and**  **methods for** 

**developing the**  **lamp and**  **lamp­and­ballast designs**  **analyzed and** 

**selecting efficacy**  **levels**

**1­7 Chapter**  **6 Energy**  **U se**  **Characterization: discusses**  **the sources**  **and methods**  **for**

**developing energy**  **use estimates**  **for fluorescent**  **and incandescent** 

**reflector lamps** 

**Chapter 7**  **Product P**  **rice Determination:**  **discusses the**  **sources and**  **methods used** 

**to develop**  **end­user prices**  **for the**  **lamps and**  **lamp­and­ballast designs** 

**analyzed**

**Chapter 8**  **Life­Cycle C**  **ost and**  **Payback Period**  **Analyses: discusses**  **the**

**economic effects**  **of standards**  **and compares**  **the LCC**  **and PBP**  **of**

**fluorescent and**  **incandescent reflector**  **lamps with**  **and without**  **higher**

**energy conservation**  **standards**

**Chapter 9**  **Trial S**  **tandard Levels:**  **discusses the**  **efficacy levels**  **for each**  **analyzed**

**product class**  **as they**  **pertain to**  **the trial**  **standard levels**  **chosen for** 

**fluorescent and**  **incandescent reflector**  **lamps.**

**Chapter 1**  **0 Shipments**  **A nalysis:**  **discusses the**  **methods used**  **for forecasting** 

**shipments with**  **and without**  **higher energy**  **conservation standards** 

**Chapter 1**  **1 National**  **I mpact**  **Analysis: describes**  **the national**  **forecast of**  **energy**

**consumption, efficacy**  **of new**  **lamps, and**  **annual fluorescent**  **and**

**incandescent lamp**  **sales in**  **the absence**  **or presence**  **of new**  **standards**

**Chapter 1**  **2 Life­Cycle**  **C ost**  **Sub­Group Analysis:**  **discusses the**  **methods to**  **be**

**used to**  **study the**  **effects of**  **standards on**  **a subgroup**  **of fluorescent**  **and**

**incandescent reflector**  **lamp consumers**  **and compares**  **the LCC**  **and**

**PBP of**  **equipment with**  **and without**  **higher efficacy**  **standards for**  **these**

**consumers**

**Chapter 1**  **3 Manufacturer**  **I mpact**  **Analysis: discusses**  **effects of**  **standards on**  **the**

**finances and**  **profitability of**  **fluorescent and**  **incandescent reflector** 

**lamp manufacturers,**  **and presents**  **preliminary manufacturer**  **impact**

**analysis results** 

**Chapter 1**  **4 Utility**  **I mpact**  **Analysis: discusses**  **the effects**  **of standards**  **on electric** 

**utilities**

**Chapter 1**  **5 Employment**  **I mpact**  **Analysis: discusses**  **the effects**  **of standards**  **on**

**national employment** 

**Chapter 1**  **6 Environmental**  **A ssessment:**  **discusses the**  **effects of**  **standards on**  **two**

**pollutants, sulfur**  **dioxide (SO**  **2 )**  **and nitrogen**  **oxides (NO**  **X ),**  **as well**  **as**

**carbon emissions** 

**Chapter 1**  **7 Regulatory**  **I mpact**  **Analysis: discusses**  **the impact**  **of non­regulatory** 

**alternatives to**  **energy conservation**  **standards**

**1­8 Appendix**  **AA Acronyms**  **a nd**  **Abbreviations: provides**  **a set**  **of acronyms**  **and**

**abbreviations used**  **throughout the**  **TSD.**

**Appendix 3**  **A Lighting**  **D efinitions**  **in the**  **United States**  **Code and**  **Code of**  **Federal**

**Regulations: provides**  **a set**  **of existing**  **statutory and**  **regulatory**

**definitions for**  **fluorescent and**  **incandescent lamps** 

**Appendix 3**  **B Xenon**  **A vailability**  **and Pricing:**  **provides a**  **market analysis**  **and price** 

**forecast for**  **xenon gas** 

**Appendix 3**  **C Rare**  **Ea rth**  **Phosphor Availability**  **and Pricing:**  **provides a**  **market**

**analysis and**  **price forecast**  **for rare**  **earth phosphor** 

**Appendix 5**  **A Engineering**  **R esults**  **Used in**  **the LCC**  **Subgroup, Shipments,**  **and**

**National Impacts**  **Analyses: provides**  **the characteristics**  **of lamp** 

**designs and**  **lamp­and­ballast designs**  **considered in**  **the shipments**  **and**

**NIA**

**Appendix 5**  **B T5**  **Halophosphor L**  **amps: describes**  **how the**  **model for**  **T5**

**halophosphor lamps**  **was developed**  **for use**  **in the**  **base case**  **analyses in** 

**the LCC**  **and NIA** 

**Appendix 5**  **C Modified­Spectrum**  **S caling**  **Analysis: discusses**  **the efficacy** 

**requirements for**  **the modified**  **spectrum product**  **class were**  **developed**

**Appendix 5**  **D Advanced**  **I nfrared**  **Coatings: provides**  **technological and**  **pricing**

**details on**  **the on**  **advanced IR**  **coatings**

**Appendix 6**  **A Energy**  **En d**  **Use Characterization**  **Results Used**  **in the**  **LCC Subgroup,** 

**Shipments, and**  **National Impacts**  **Analysis: provides**  **the**

**characteristics of**  **lamp designs**  **and lamp­and­ballast**  **designs**

**considered in**  **the LCC**  **subgroup analysis**  **and NIA.** 

**Appendix 7**  **A Additional**  **En d­User**  **Price Results:**  **provides end­user**  **price results**  **for**

**additional products**  **considered in**  **the NIA**  **(e.g., compact**  **fluorescent**

**lamps)**

**Appendix 8**  **A User**  **I nstructions**  **for Life­Cycle**  **Cost and**  **Payback Period**  **Spreadsheet**

**Appendix 8**  **B Supplementary**  **L ife­Cycle**  **Cost and**  **Payback Period**  **Results: provides** 

**results for**  **the Monte**  **Carlo and**  **sensitivity analyses** 

**Appendix 8**  **C Residential**  **D iscount**  **Rate Distributions** 

**Appendix 1**  **0A Supplementary**  **S cenarios**  **for the**  **Shipments Analysis:**  **provides**

**additional inputs**  **and results**  **for the**  **shipments analysis** 

**1­9 Appendix**  **10B Market**  **S egment­Based**  **Lighting Expertise**  **Analysis: provides**  **the**

**research and**  **analysis DOE**  **used to**  **establish its**  **market segment­based** 

**lighting expertise**  **shipment scenario.** 

**Appendix 1**  **0C Emerging**  **T echnologies**  **Analysis: provides**  **details on**  **the analysis** 

**DOE conducted**  **in developing**  **its emerging**  **technologies and**  **existing**

**technologies base­case**  **shipment scenarios.** 

**Appendix 1**  **1A User**  **I nstructions**  **for Shipments**  **and NIA**  **Spreadsheets**

**Appendix 1**  **1B Supplementary**  **S cenarios**  **for the**  **National Impacts**  **Analysis: provides** 

**results for**  **additional NIA**  **scenarios**

**Appendix 1**  **3A Manufacturer**  **I nterview**  **Guide**

**Appendix 1**  **4A Interpolation**  **o f**  **Utility and**  **Environmental Results**  **from NEMS­BT** 

**Output**

**1­10**