APPENDIX 12A. PRELIMINARY MANUFACTURER INTERVIEW GUIDE

TABLE OF CONTENTS

**12A.1 INTRODUCTION** 

**................................................................................................ 12A­1** 

**12A.2 GENERAL**  **SERVICE FLUORESCENT**  **LAMPS............................................... 12A­2** 

**12A.3 INCANDESCENT**  **REFLECTOR LAMPS........................................................**  **12A­11**

LIST OF TABLES

**Table 12A.2.1**  **Fluorescent Lamps**  **Under Initial**  **Consideration for**  **this Rulemaking...........**  **12A­2**

**7A­i**APPENDIX 12A. PRELIMINARY MANUFACTURER INTERVIEW GUIDE

12A.1 INTRODUCTION

**Appendix 12A**  **contains a**  **copy of**  **the interview**  **guides used**  **for the**  **preliminary**

**manufacturer impact**  **analysis, described**  **in Chapter**  **12 of**  **this TSD.**  **DOE developed**  **two**

**separate interview**  **guides, one**  **for general**  **service fluorescent**  **lamps and**  **one for**  **incandescent**

**reflector lamps.**  **The contractor**  **to DOE**  **who conducted**  **the preliminary**  **manufacturer interviews** 

**circulated the**  **interview guides**  **to a**  **limited number**  **of manufacturers**  **of fluorescent**  **and**

**incandescent lamps**  **who operate**  **in the**  **U.S. market.** 

**12A­1**12A.2 GENERAL SERVICE FLUORESCENT LAMPS

P ART 1. G ENERAL S ERVICE F LUORESCENT L AMPS

A. Market Data

**This section**  **addresses information**  **on the**  **distribution of**  **GSFL by**  **wattage, efficacy**  **and lamp** 

**type, as**  **well as**  **the average**  **manufacturer selling**  **price for**  **common lamps.**  **When responding**  **to**

**questions in**  **this section,**  **please exclude**  **any specialty**  **application lamps**  **that would**  **otherwise be** 

**exempt from**  **regulations (e.g.**  **cold temperature**  **service, colored**  **fluorescent lamps,**  **etc.), with**  **the**

**exception of**  **the CRI**  **limitation. Consider**  **lamps with**  **a CRI**  **greater than**  **45 and**  **less than**  **87.**

Table 12A.2.1 Fluorescent Lamps Under Initial Consideration for this Rulemaking

Lamp Type Diameter

**4ft linear**  **medium bi­pin**  **>T8**

**≤T8**

**8ft linear**  **single pin,**  **slimline >T8** 

**≤T8**

**8ft linear,**  **high output,**  **recessed double­contact**  **>T8**

**≤T8**

**8ft linear,**  **very high**  **output, recessed**  **double­contact >T8** 

**≤T8**

**2ft U­shaped,**  **medium bi­pin**  **>T8**

**≤T8**

**A.1 Please**  **comment on**  **the above**  **table, including**  **any lamps**  **that should**  **be omitted**  **or added.** 

**A.2 Please**  **comment on**  **whether base­types**  **should be**  **specified, or**  **if this**  **aspect of**  **a**

**fluorescent lamp**  **does not**  **directly impact**  **the efficacy**  **values, and**  **therefore should**  **be**

**omitted.**

**A.3 Of**  **your total**  **shipments of**  **general service**  **fluorescent lamps**  **listed above,**  **approximately**

**what percentage**  **(by lamp**  **type) have**  **diameters other**  **than T12**  **and T8?** 

**Of the**  **ten product**  **classes identified**  **above, DOE**  **is currently**  **considering analyzing**  **four product** 

**classes and**  **scaling the**  **results from**  **those product**  **classes to**  **other lamps.**  **The four**  **product**

**12A­2 classes**  **are:**

o **4ft MBP,**  **T12**

o **4ft MBP,**  **T8**

o **8ft Single**  **Pin, T12** 

o **2ft U­Shaped,**  **T8**

**A.4 DOE**  **seeks comment**  **on whether**  **these four**  **are the**  **most appropriate**  **and representative** 

**product classes**  **to study**  **in detail.** 

**A.5 For**  **the representative**  **product classes**  **identified, DOE**  **seeks comment**  **on the**  **most**

**common lamp**  **sold for**  **each of**  **the representative**  **product classes.**  **Please describe**  **lamp**

**attributes (i.e.,**  **wattage, lumen**  **output, life,**  **CCT, CRI,**  **and average**  **manufacturer selling** 

**price)**

**The Team**  **is considering**  **extrapolating findings**  **from the**  **analyzed lamps**  **to the**  **other product** 

**classes.**

**A.6 Can**  **you describe**  **how this**  **extrapolation might**  **be applied**  **to the**  **following lamps?** 

o **From 8ft**  **Single­Pin T12**  **to 8ft**  **Single­Pin T8** 

o **From 8ft**  **Single­Pin Slimline**  **to 8ft**  **HO and**  **8ft VHO** 

o **From 2ft**  **U­shaped T8**  **or 4ft**  **T12 Medium**  **Bi­Pin to**  **2ft U­shaped**  **T12**

**In order**  **to consider**  **lamps with**  **a higher**  **efficacy than**  **the baseline**  **lamps identified**  **(see question** 

**A.5), DOE**  **must develop**  **Candidate Standard**  **Levels. DOE**  **is considering**  **maintaining the**  **light**

**output to**  **within 10%**  **of the**  **baseline**

**– considering**  **reduced wattage**  **lamps for**  **replacements and** 

**lamps with**  **the same**  **wattage operating**  **at lower**  **BF for**  **new and**  **renovation installations.** 

**A.7 Please**  **comment on**  **the design**  **options (i.e.,**  **gas fill,**  **improved phosphors,**  **etc.) used**  **to**

**span the**  **efficacy of**  **the most**  **common lamp**  **sold to**  **the maximum**  **technologically**

**feasible (i.e.,**  **highest efficacy)**  **lamp. Please**  **comment on**  **the impact**  **on manufacturer** 

**selling price**  **associated with**  **these design**  **options.**

**A.8 Can**  **you provide**  **comment on**  **what you**  **would consider**  **appropriate Candidate**  **Standard**

**Levels for**  **this analysis**  **and why?** 

**In order**  **to calculate**  **the aggregate**  **national energy**  **savings from**  **the Candidate**  **Standard Levels** 

**considered, DOE**  **would need**  **data on**  **shipments and**  **typical efficacy**  **values. For**  **each of**  **the**

**12A­3 representative**  **product classes**  **considered, DOE**  **is interested**  **in obtaining**  **shipment data**  **by**

**wattage.**

**A.9 For**  **the 4ft**  **medium bi­pin**  **T12 lamps,**  **what is**  **the proportion**  **of shipments**  **and average** 

**efficacy at**  **40W, 34W,**  **32W and**  **25W?**

**A.10 For**  **the 4ft**  **medium bi­pin**  **T8 lamps,**  **what is**  **the proportion**  **of shipments**  **and average** 

**efficacy at**  **32W, 30W,**  **28W and**  **25W?**

**A.11 For**  **the 8ft**  **single­pin T12**  **lamps, what**  **is the**  **proportion of**  **shipments and**  **average**

**efficacy at**  **75W and**  **60W?**

**A.12 For**  **the 2ft**  **U­shaped T8**  **lamps, what**  **is the**  **proportion of**  **shipments and**  **average efficacy** 

**at 32W,**  **31W and**  **30W?**

**For the**  **lamps which**  **are not**  **being analyzed,**  **more generalized**  **data would**  **be utilized**  **to obtain**  **an**

**estimate of**  **the aggregate**  **national energy**  **savings.**

**A.13 For**  **the following**  **lamp types,**  **what are**  **the shipment**  **weighted wattages**  **and efficacies?** 

o **8ft Single­Pin**  **T8**

o **8ft RDC**  **T12**

o **8ft RDC**  **T8**

o **8ft VHO**  **T12**

o **8ft VHO**  **T8**

o **2ft U­shaped**  **T12**

**The Team**  **will need**  **to prepare**  **estimates of**  **average lamp**  **prices at**  **each of**  **the Candidate** 

**Standard Levels**  **considered.**

**A.14 Can**  **you describe**  **how the**  **manufacturer selling**  **price changes**  **by efficacy,**  **at constant** 

**wattage? What**  **are the**  **technology options**  **that underpin**  **this change**  **in price?** 

**A.15 DOE**  **also needs**  **to estimate**  **manufacturer prices**  **for a**  **range of**  **wattages at**  **constant**

**efficacy. Can**  **you describe**  **how the**  **manufacturer selling**  **price changes**  **by wattage,**  **at a** 

**constant efficacy?** 

**12A­4**B. Ballasts

**In order**  **to more**  **accurately represent**  **the performance**  **of a**  **fluorescent lamp,**  **DOE will**  **consider**

**some of**  **the critical**  **attributes of**  **the ballasts**  **that operate**  **them.**

**B.1 You**  **are invited**  **to comment**  **on the**  **typical ballast**  **factors and**  **the typical**  **number of**  **lamps**

**per ballast**  **for the**  **baseline lamps**  **of the**  **analyzed product**  **classes (see**  **question A.5):** 

• **4ft MBP,**  **T12**

• **4ft MBP,**  **T8**

• **8ft Single**  **Pin, T12** 

• **2ft U­Shaped,**  **T8**

**B.2 You**  **are invited**  **to comment**  **on the**  **typical ballast**  **factors for**  **the installed**  **stock of**  **ballasts**

**operating each**  **of the**  **main categories**  **of General**  **Service Fluorescent**  **Lamps in**  **the U.S.** 

**(4ft medium**  **bi­pin, 8ft**  **single­pin, 8ft**  **recessed double**  **contact, 8ft**  **very high**  **output and** 

**2ft U­shaped).**  **Do these**  **ballast factors**  **vary significantly**  **with lamp**  **diameter or**  **wattage?**

**B.3 DOE**  **has observed**  **that the**  **retail prices**  **of fluorescent**  **lamp ballasts**  **vary with**  **ballast**

**factor. Are**  **you aware**  **of why**  **this might**  **be the**  **case? Does**  **the manufacturer’s**  **cost of** 

**production change**  **significantly? What**  **is driving**  **the variance**  **in retail**  **price (e.g.,**  **low**

**ballast factor**  **ballasts tend**  **to be**  **more expensive)?** 

C. Distribution Channels, Installed Base and Operating Hours

**DOE will**  **need to**  **develop a**  **distribution chain**  **model to**  **understand how**  **lamps migrate**  **through**

**the market**  **from manufacturer**  **to end­user.**  **DOE is**  **interested in**  **understanding both**  **the**

**proportion (volume)**  **of products**  **that move**  **through certain**  **channels and**  **the mark­ups**  **applied.**

**C.1 Can**  **you describe**  **how the**  **distribution chain**  **operates for**  **general service**  **fluorescent**

**lamps? What**  **proportion of**  **shipments move**  **through the**  **various channels,**  **and what**  **are**

**the typical**  **mark­ups applied**  **by stakeholders**  **in those**  **channels?**

**C.2 Which**  **end­use sectors**  **(e.g., commercial,**  **residential) tend**  **to use**  **the channels**  **you**

**identified in**  **C.1?**

**12A­5 C.3**  **DOE is**  **intending to**  **consider fluorescent**  **lamps operating**  **in different**  **sectors. For**  **the**

**lamp types**  **under consideration**  **in this**  **rulemaking (Table**  **A.1), can**  **you provide**  **an**

**estimate of**  **the proportion**  **of GSFL**  **lamps sold**  **into the**  **commercial, industrial**  **and**

**residential sectors?** 

**To more**  **accurately capture**  **the energy**  **savings potential**  **of a**  **standard, DOE**  **is interested**  **in**

**understanding the**  **approximate installed**  **stock of**  **lamps in**  **the United**  **States, and**  **how that**  **stock**

**is changing**  **over time.** 

**C.4 Can**  **you comment**  **on the**  **approximate number**  **of sockets**  **in the**  **U.S., and**  **how these**  **are**

**changing over**  **time for**  **each of**  **the ten**  **product classes**  **identified in**  **Table A.1?** 

**According to**  **our analysis**  **using EIA**  **data and**  **data from**  **the U.S.**  **Lighting Market** 

**Characterization, Volume**  **I (DOE,**  **2002), the**  **average annual**  **operating hours**  **for GSFL**  **is 3,435** 

**hours for**  **the commercial**  **sector, 4,800**  **hours for**  **the industrial**  **sector and**  **712 hours**  **for the** 

**residential sector.** 

**C.5 Are**  **these reasonable**  **estimates? If**  **not, what**  **is the**  **average annual**  **operating hours**  **by**

**sector? Does**  **the average**  **annual operating**  **hours vary**  **significantly by**  **lamp length,**  **type**

**or diameter?**  **Please comment.** 

D. Anticipated Consumer Responses to a Standard

**In its**  **analysis, DOE**  **will need**  **to anticipate**  **how consumers**  **may respond**  **to an**  **energy**

**conservation standard.**  **Please provide**  **your estimate**  **of the**  **anticipated consumer**  **response to**  **an**

**increase in**  **the efficacy**  **standard. Often,**  **there is**  **more than**  **one possible**  **replacement lamp**  **for**

**consumers. Furthermore,**  **with fluorescent**  **lamps, consumers**  **have the**  **option to**  **pair new**  **ballasts**

**with lamps**  **in new**  **construction, retrofit,**  **and ballast**  **replacement situations.** 

**D.1 What**  **percentage of**  **the market**  **do you**  **estimate will**  **shift to**  **lower wattages,**  **stay at** 

**constant wattage,**  **or shift**  **to higher**  **wattages?**

**D.2 How**  **would this**  **percentage share**  **change, as**  **the standard**  **increases in**  **its efficacy** 

**requirement?**

**D.3 When**  **replacing the**  **ballast, what**  **percentage of**  **consumers will**  **choose the**  **same ballast** 

**factor, lower**  **ballast factor**  **or higher**  **ballast factor**  **ballast? Will**  **they place**  **in this**  **ballast a** 

**lamp with**  **the same,**  **lower or**  **higher wattage?** 

**12A­6 D.4**  **How would**  **this percentage**  **share change,**  **as the**  **standard increases**  **in its**  **efficacy**

**requirement?**

**DOE’s analysis**  **will take**  **into account**  **the market**  **impact of**  **new ballast**  **standards (both**  **that of** 

**DOE’s energy**  **conservation standards**  **rulemaking (10**  **CFR 430.32(M)**  **and the**  **Energy Policy** 

**Act of**  **2005 (135(c)(2)(B)).** 

**D.5 If**  **a 8ft**  **T12 Slimline**  **magnetic ballast**  **is taken**  **out of**  **service what**  **is the**  **likelihood that** 

**the consumer**  **will replace**  **it with**  **a 4ft**  **T8 MBP,**  **an 8ft**  **T8 or**  **an 8ft**  **T12 electronic?** 

**D.6 If**  **a 8ft**  **T12 RDC**  **magnetic ballast**  **is taken**  **out of**  **service what**  **is the**  **likelihood that**  **the**

**consumer will**  **replace it**  **with a**  **4ft T8**  **MBP, an**  **8ft T8**  **or an**  **8ft T12**  **electronic?**

**D.7 How**  **would these**  **anticipated consumer**  **responses (both**  **in lamps**  **and ballasts)**  **change at** 

**higher efficacy**  **lamp standards?** 

**12A­7**P ART 2. P RELIMINARY M ANUFACTURER I MPACT A NALYSIS

A. Key Issues

**A.1 What**  **are the**  **key issues**  **for your**  **company regarding**  **any new**  **or amended**  **energy**

**conservation standards**  **for general**  **service fluorescent**  **lamps?**

B. Production and Product Mix

**B.1 What**  **are your**  **product lines,**  **niches and**  **relative strengths**  **in the**  **lamps market?** 

**B.2 Where**  **are your**  **production facilities**  **located, and**  **what is**  **the product**  **mix manufactured**  **at**

**each location?**  **Does the**  **bulk of**  **your company’s**  **lamp production**  **occur domestically?** 

**What are**  **your employment**  **levels at**  **these facilities?** 

**B.3 Are**  **the materials**  **necessary to**  **build more**  **energy­efficient lamps**  **readily available?** 

**B.4 How**  **would material**  **price changes**  **affect your**  **company’s business?** 

**B.5 How**  **would your**  **company’s product**  **mix and**  **marketing strategy**  **change as**  **the efficiency** 

**standard changes?** 

**B.6 Generally**  **how would**  **new efficiency**  **standards on**  **lamps impact**  **your customer**  **mix,**

**distribution channels**  **and corresponding**  **profit margins?** 

**B.7 Are**  **there any**  **other manufacturing**  **or employment**  **issues that**  **DOE should**  **be aware**  **of in** 

**terms of**  **producing more**  **energy efficient**  **lamps at**  **your facility?** 

C. Conversion Costs

**C.1 What**  **level of**  **capital expenditure**  **and product**  **conversion costs**  **would you**  **anticipate you** 

**may need**  **to make**  **at higher**  **standard levels?**  **Please describe**  **what they**  **are and**  **provide**

**your best**  **estimate of**  **their respective**  **magnitudes.**

**C.2 How**  **would the**  **imposition of**  **new energy**  **efficiency standards**  **affect capacity**  **utilization**

**and manufacturing**  **assets at**  **your domestic**  **production facilities?**  **Would a**  **new standard** 

**result in**  **stranded capital**  **assets? Would**  **any facilities**  **be closed**  **or downsized?**  **Added or** 

**upgraded?**

**12A­8 C.3**  **What are**  **the depreciation**  **periods for**  **the three**  **types of**  **capital expenditures**  **(building,**

**equipment, tooling)?** 

**C.4 How**  **might a**  **new standard**  **impact product**  **innovation?**

**C.5 What**  **specific annual**  **compliance costs**  **(after the**  **effective date)**  **do you**  **anticipate**

**incurring to**  **comply with**  **standards? Will**  **they vary**  **with standard**  **level? Would**  **these**

**costs vary**  **over time?** 

D. Exports, Foreign Competition, and Outsourcing

**D.1 Would**  **new standards**  **change your**  **projected export**  **sales?**

**D.2 Would**  **new standards**  **have an**  **impact on**  **the portion**  **of the**  **domestic market**  **served by** 

**foreign competition?** 

**D.3 Would**  **standards impact**  **your decisions**  **regarding domestic**  **production levels?**  **How**

**would domestic**  **employment levels**  **change under**  **new energy**  **efficiency standards?** 

E. Market Shares and Industry Consolidation

**E.1 In**  **the absence**  **of new**  **standards, do**  **you expect**  **any industry**  **consolidation?**

**E.2 How**  **would new**  **standards affect**  **your ability**  **to compete?** 

**E.3 Could**  **new standards**  **disproportionately advance**  **or harm**  **the competitive**  **positions of** 

**some firms?** 

**E.4 Are**  **there concerns**  **over intellectual**  **property?**

**E.5 Could**  **new standards**  **result in**  **disproportionate economic**  **or performance**  **penalties for** 

**particular consumer/user**  **subgroups?**

**E.6 Beyond**  **price and**  **energy efficiency,**  **could new**  **standards result**  **in products**  **that will**  **be**

**more or**  **less desirable**  **to consumers**  **due to**  **changes in**  **product functionality,**  **utility or** 

**other features?** 

**12A­9**F. Cumulative Regulatory Burden

**F.1 Are**  **there recent**  **or impending**  **regulations on**  **lamps or**  **related products**  **that do**  **or will** 

**impose a**  **cumulative burden**  **on the**  **industry? How**  **might an**  **energy efficiency**  **standard**

**impact the**  **cumulative regulatory**  **burden faced**  **by your**  **company?**

**F.2 What**  **is the**  **total expected**  **impact of**  **those other**  **regulations?**

G. Miscellaneous

**G.1 Are**  **there any**  **federal tax**  **credits or**  **other incentive**  **programs to**  **encourage you**  **to produce** 

**energy efficient**  **lamps (covered**  **or subsidized**  **for covered)?** 

**12A­10**12A.3 INCANDESCENT REFLECTOR LAMPS

P ART 1. I NCANDESCENT R EFLECTOR L AMPS

A. Shipments, Efficacy, Wattage and Price

**This section**  **addresses information**  **on the**  **distribution of**  **IRL by**  **wattage and**  **efficacy, and** 

**average manufacturer**  **selling prices.**  **Two sub­sections**  **address information**  **pertaining to**  **1)**

**lamps currently**  **regulated by**  **DOE, and**  **to 2)**  **lamps proposed**  **for coverage**  **by NEMA**  **and**

**ACEEE. When**  **responding to**  **questions in**  **this section,**  **please exclude**  **any specialty**  **application**

**lamps that**  **would otherwise**  **be exempt**  **from regulations**  **(e.g. rough**  **service, colored**  **lamps, etc.).** 

i. Currently regulated IRL a

**DOE is**  **considering analyzing**  **common wattages**  **for its**  **analysis and**  **extrapolating to**  **other**

**wattages.**

**A.1 Of**  **the lamps**  **that are**  **currently regulated,**  **what are**  **the most**  **common wattages**  **sold today** 

**and what**  **are their**  **percent shipments?** 

**A.2 What**  **are the**  **most common**  **lamps sold**  **at each**  **of the**  **common wattages**  **noted above?** 

**Please describe**  **lamp attributes**  **(i.e., lumen**  **output, life,**  **coating, average**  **manufacturer**

**selling price).** 

b ii. NEMA & ACEEE­Proposed Additional Lamps

**DOE is**  **considering NEMA**  **and ACEEE’s**  **proposal to**  **regulate additional**  **incandescent reflector** 

**lamps.**

**A.3 Of**  **the proposed**  **additional lamps,**  **what are**  **the most**  **common wattages**  **sold today**  **and**

**what are**  **their percent**  **shipments?**

**A.4 What**  **are the**  **most common**  **lamps sold**  **at each**  **of the**  **common wattages**  **noted above?** 

**Please describe**  **lamp attributes**  **(i.e., lumen**  **output, average**  **manufacturer selling**  **price,**

**life).**

iii. All Lamps: Designs and Extrapolations

**The Team**  **is considering**  **extrapolating findings**  **from the**  **analyzed lamps**  **to other**  **wattages.**

**a R,**  **PAR, or**  **similar bulb**  **shape with**  **diameter ≥**  **2.75” that**  **has a**  **rated wattage**  **between 40**  **and 205W**  **(42 U.S.C** 

**6291(30)(C)(ii)) (42**  **U.S.C 6291(30)(F))** 

**b Includes**  **ER, BR**  **and BPAR**  **with diameter**  **≥ 2.25”,**  **R, PAR,**  **similar bulb**  **shape lamps**  **with 2.25”**  **≤ diameter**  **≤**

**2.75”. Exempting**  **≤ 45**  **Watt R20;**  **≤ 50**  **Watt ER30,**  **ER40, BR30,**  **BR40; and**  **65 Watt**  **ER40, BR30,**  **BR40. (ACEEE** 

**& NEMA,**  **No. 14**  **at p.**  **4­8)**

**12A­11 A.5**  **Please comment**  **on the**  **design options**  **(i.e., life,**  **filament, capsule**  **coating, gas**  **fill, etc.)** 

**used to**  **span the**  **efficacy of**  **the most**  **common lamp**  **sold to**  **the maximum**  **technologically**

**feasible (i.e.,**  **highest efficacy)**  **lamp.**

**A.6 What**  **is the**  **relationship between**  **operating life,**  **efficacy and**  **wattage for**  **incandescent**

**lamps? Is**  **that relationship**  **the same**  **for halogen**  **lamps and**  **halogen infrared**  **lamps?**

**A.7 Comparing**  **published literature,**  **there is**  **some variation**  **in IRL**  **efficacy at**  **constant**

**wattage and**  **life for**  **commercially available**  **incandescent lamps**  **and for**  **commercially**

**available halogen**  **lamps. Please**  **comment on**  **the factors**  **that may**  **be contributing**  **to that** 

**variation.**

iv. Average Manufacturer Selling Prices

**A.9 Please**  **comment on**  **how manufacturer**  **selling price**  **varies with**  **design options**  **(i.e., life,** 

**filament, capsule**  **coating, gas**  **fill, etc.)**  **incorporated in**  **IRL. If**  **possible, please**  **provide**

**examples.**

**A.10 For**  **a given**  **lamp design**  **(i.e., incandescent,**  **halogen, halogen**  **infrared), please**  **comment**

**on how**  **manufacturer selling**  **price varies**  **with wattage.**  **If possible,**  **please provide** 

**examples.**

B. Distribution Channels

**DOE will**  **need to**  **develop a**  **distribution chain**  **model to**  **understand how**  **lamps migrate**  **through**

**the market**  **from manufacturer**  **to end­user.**  **DOE is**  **interested in**  **understanding both**  **the**

**proportion (volume)**  **of products**  **that move**  **through certain**  **channels and**  **the mark­ups**  **applied.**

**B.1 Can**  **you describe**  **how the**  **distribution chain**  **operates for**  **IRL? What**  **proportion of** 

**shipments move**  **through the**  **various channels,**  **and what**  **are the**  **typical mark­ups**  **applied**

**by stakeholders**  **in those**  **channels?**

**B.2 Which**  **end­use sectors**  **(e.g., residential,**  **commercial) tend**  **to use**  **the various**  **channels**

**you identified**  **in B.1?** 

C. Installed Stock and Market Trends

**In order**  **to calculate**  **the aggregate**  **national energy**  **savings from**  **the standard**  **levels considered,** 

**DOE would**  **need data**  **on shipments**  **and typical**  **efficacy values**  **and wattages.** 

**C.1 Please**  **provide your**  **estimate of**  **national shipments**  **of IRL.** 

**12A­12 C.2**  **Please comment**  **on the**  **magnitude of**  **the installed**  **stock (i.e.,**  **number of**  **E26 medium** 

**screw base**  **sockets serviced**  **by IRL).** 

**C.3 Please**  **comment on**  **the proportion**  **of shipments**  **for the**  **major wattages**  **noted in**  **your**

**answer to**  **question A.1**  **and A.3,**  **and their**  **reduced wattage**  **counterparts.**

**C.4 What**  **are your**  **relative shipments**  **by lamp**  **design (i.e.,**  **incandescent, halogen,**  **halogen**

**infrared)? Do**  **shipments of**  **a certain**  **lamp design**  **vary significantly**  **by efficacy,**  **and if** 

**so, how?** 

**C.5 Please**  **comment on**  **any trends**  **you notice**  **in the**  **market for**  **IRL.**

D. Sector and Operating Hours

i. Sector

**DOE recognizes**  **that electricity**  **prices, discount**  **rates, and**  **contractor markups**  **vary by**  **sector.**

**Therefore, DOE**  **is considering**  **which sectors**  **typically operate**  **which incandescent**  **reflector**

**lamps.**

**D.1 For**  **the most**  **common lamp**  **wattages noted**  **above, please**  **estimate the**  **proportion of**  **IRL**

**lamps sold**  **to the**  **commercial, industrial**  **and the**  **residential sectors?** 

ii. Operating Hours

**DOE uses**  **average operating**  **hour, by**  **sector, to**  **develop estimates**  **of lamp**  **service life.** 

**According to**  **our analysis**  **using EIA**  **data and**  **data from**  **the U.S.**  **Lighting Market** 

**Characterization, Volume**  **I (DOE,**  **2002), the**  **average annual**  **operating hours**  **for IRL**  **is 712** 

**hours for**  **the residential**  **sector, 3,450**  **hours for**  **the commercial**  **sector and**  **4,660 hours**  **for the** 

**industrial sector.** 

**D.2 Are**  **these reasonable**  **operating hour**  **estimates for**  **these three**  **sectors? If**  **not, what**  **is the** 

**average annual**  **operating hours**  **for IRL**  **per sector?** 

**D.3 Please**  **comment on**  **whether the**  **operating hours**  **considered would**  **vary by**  **lamp type** 

**(IRL)?**

E. NICHE PRODUCTS

**DOE is**  **interested in**  **whether new**  **standard levels**  **might have**  **a significant**  **impact on**  **some sub** 

**groups of**  **products because**  **of either**  **technical or**  **commercial considerations.** 

**E.1 Do**  **you have**  **any products**  **whose sales**  **could be**  **significantly impacted**  **by a**  **higher**

**efficiency standard?**  **If so,**  **please identify**  **and comment**  **on these**  **products and**  **the**

**threshold standard**  **level that**  **would have**  **a significant**  **impact.**

**12A­13 E.2**  **Enhanced Spectrum**  **or daylight**  **lamps that**  **use >5%**  **Neodymium are**  **exempted from** 

**coverage. Do**  **you manufacture**  **lamps containing**  **Neodymium? Are**  **these lamps**  **exempt**

**under the**  **>5% of**  **Neodymium criterion?** 

F. Anticipated Consumer Responses to a Standard

**In its**  **analysis, DOE**  **will need**  **to anticipate**  **how consumers**  **may respond**  **to an**  **energy**

**conservation standard.**  **Please estimate**  **how you**  **believe consumers**  **might respond**  **to an**  **increase**

**in the**  **efficacy standard.** 

**F.1 Relative**  **to the**  **common products**  **sold, if**  **DOE were**  **to establish**  **a minimum**  **efficacy**

**standard, what**  **percentage of**  **the market**  **do you**  **estimate will**  **shift to**  **lower wattages,**  **stay**

**at constant**  **wattage, or**  **shift to**  **higher wattages?** 

**F.2 How**  **would this**  **percentage change**  **as the**  **efficacy standard**  **increases?**

**F.3 Do**  **you think**  **CFL shipments**  **will be**  **impacted by**  **a Federal**  **minimum efficacy**  **standard**

**for IRL?**  **If so,**  **how? Would**  **this impact**  **vary with**  **higher standard**  **levels? What**  **about**

**emerging technologies**  **such as**  **ceramic metal**  **halide or**  **white­light LEDs?** 

**F.4 Would**  **you consider**  **GSIL a**  **substitute for**  **IRL, or**  **vice versa?**  **If so,**  **are there**  **any**

**constraints on**  **their substitution?** 

**12A­14**P ART 2. P RELIMINARY M ANUFACTURER I MPACT A NALYSIS

A. Key Issues

**A.1 What**  **are the**  **key issues**  **for your**  **company regarding**  **any new**  **or amended**  **energy**

**conservation standards**  **for incandescent**  **reflector lamps?** 

B. Production and Product Mix

**B.1 What**  **are your**  **product lines,**  **niches and**  **relative strengths**  **in the**  **lamps market?** 

**B.2 Where**  **are your**  **production facilities**  **located, and**  **what is**  **the product**  **mix manufactured**  **at**

**each location?**  **Does the**  **bulk of**  **your company’s**  **lamp production**  **occur domestically?** 

**What are**  **your employment**  **levels at**  **these facilities?** 

**B.3 Are**  **the materials**  **necessary to**  **build more**  **energy­efficient lamps**  **readily available?** 

**B.4 How**  **would material**  **price changes**  **affect your**  **company’s business?** 

**B.5 How**  **would your**  **company’s product**  **mix and**  **marketing strategy**  **change as**  **the efficiency** 

**standard changes?** 

**B.6 Generally**  **how would**  **new efficiency**  **standards on**  **lamps impact**  **your customer**  **mix,**

**distribution channels**  **and corresponding**  **profit margins?** 

**B.7 Are**  **there any**  **other manufacturing**  **or employment**  **issues that**  **DOE should**  **be aware**  **of in** 

**terms of**  **producing more**  **energy efficient**  **lamps at**  **your facility?** 

C. Conversion Costs

**C.1 What**  **level of**  **capital expenditure**  **and product**  **conversion costs**  **would you**  **anticipate you** 

**may need**  **to make**  **at higher**  **standard levels?**  **Please describe**  **what they**  **are and**  **provide**

**your best**  **estimate of**  **their respective**  **magnitudes.**

**C.2 How**  **would the**  **imposition of**  **new energy**  **efficiency standards**  **affect capacity**  **utilization**

**and manufacturing**  **assets at**  **your domestic**  **production facilities?**  **Would a**  **new standard** 

**result in**  **stranded capital**  **assets? Would**  **any facilities**  **be closed**  **or downsized?**  **Added or** 

**upgraded?**

**12A­15 C.3**  **What are**  **the depreciation**  **periods for**  **the three**  **types of**  **capital expenditures**  **(building,**

**equipment, tooling)?** 

**C.4 How**  **might a**  **new standard**  **impact product**  **innovation?**

**C.5 What**  **specific annual**  **compliance costs**  **(after the**  **effective date)**  **do you**  **anticipate**

**incurring to**  **comply with**  **standards? Will**  **they vary**  **with standard**  **level? Would**  **these**

**costs vary**  **over time?** 

D. Exports, Foreign Competition, and Outsourcing

**D.1 Would**  **new standards**  **change your**  **projected export**  **sales?**

**D.2 Would**  **new standards**  **have an**  **impact on**  **the portion**  **of the**  **domestic market**  **served by** 

**foreign competition?** 

**D.3 Would**  **standards impact**  **your decisions**  **regarding domestic**  **production levels?**  **How**

**would domestic**  **employment levels**  **change under**  **new energy**  **efficiency standards?** 

E. Market Shares and Industry Consolidation

**E.1 In**  **the absence**  **of new**  **standards, do**  **you expect**  **any industry**  **consolidation?**

**E.2 How**  **would new**  **standards affect**  **your ability**  **to compete?** 

**E.3 Could**  **new standards**  **disproportionately advance**  **or harm**  **the competitive**  **positions of** 

**some firms?** 

**E.4 Are**  **there concerns**  **over intellectual**  **property?**

**E.5 Could**  **new standards**  **result in**  **disproportionate economic**  **or performance**  **penalties for** 

**particular consumer/user**  **subgroups?**

**E.6 Beyond**  **price and**  **energy efficiency,**  **could new**  **standards result**  **in products**  **that will**  **be**

**more or**  **less desirable**  **to consumers**  **due to**  **changes in**  **product functionality,**  **utility or** 

**other features?** 

**12A­16**F. Cumulative Regulatory Burden

**F.1 Are**  **there recent**  **or impending**  **regulations on**  **lamps or**  **related products**  **that do**  **or will** 

**impose a**  **cumulative burden**  **on the**  **industry? How**  **might an**  **energy efficiency**  **standard**

**impact the**  **cumulative regulatory**  **burden faced**  **by your**  **company?**

**F.2 What**  **is the**  **total expected**  **impact of**  **those other**  **regulations?**

G. Miscellaneous

**G.1 Are**  **there any**  **federal tax**  **credits or**  **other incentive**  **programs to**  **encourage you**  **to produce** 

**energy efficient**  **lamps (covered**  **or subsidized**  **for covered)?** 

**12A­17**