CHAPTER 1. INTRODUCTION

TABLE O F CONTENTS

**1.1 PURPOSE**  **O F**  **THE DOCUMENT** 

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

**1.2 OVERVIEW**  **O F**  **THE APPLIANCES**  **AND COMMERCIAL**  **EQUIPMENT**

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

**1.3 OVERVIEW**  **O F**  **THE SUBCATEGORIES**  **OF LAMPS**  **COVERED**

**........................... 1­2** 

**1.4 PROCESS**  **F OR**  **SETTING ENERGY**  **CONERVATION STANDARDS......................**  **1­4**

**1.5 STRUCTURE**  **O F**  **THE DOCUMENT............................................................................**  **1­7**

LIST O F TABLES

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

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

**1­i**CHAPTER 1. INTRODUCTION

1.1 PURPOSE O F THE DOCUMENT

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

**analyses supporting**  **the information**  **in the**  **Advance Notice**  **of Proposed**  **Rulemaking (ANOPR)** 

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

1.2 OVERVIEW 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. 6295(i)**  **b ecause**  **lamps were**  **assigned a**  **low priority**  **based on**  **public comment**  **and energy** 

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

**EPCA establishes**  **s tandards**  **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**  **e stablishes**  **energy conservation**  **standards for**  **IRL, requiring**  **that certain** 

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

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

**1­1 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 OVERVIEW 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**  **Advanced Notice**  **of Proposed** 

**Rulemaking (ANOPR)**  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) Except 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) Any s traight­shaped lamp (commonly referred to as 4­foot medium bi­pin

lamps) w ith medium bi­pin bases of nominal overall length of 48 inches

and r ated wattage of 28 or more. (ii) Any U ­shaped lamp (commonly referred to as 2­foot U­shaped lamps)

with m edium bi­pin bases of nominal overall length between 22 and 25

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

with r ecessed 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) Any 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) The 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) Fluorescent l amps designed to promote plant growth.

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

(iii) Colored f luorescent lamps.

(iv) Impact­resistant f luorescent lamps.

(v) Reflectorized o r aperture lamps.

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

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

of the spectrum.

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

(C) Except 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) Any 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) Any 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) Any 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) The 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 PROCESS 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) the**  **e conomic**  **impact of**  **the standard**  **on the**  **manufacturers and**  **consumers of**  **the**

**products s**  **ubject to**  **the standard;** 

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

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

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

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

**imposition o**  **f the**  **standard;**

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

**imposition o**  **f the**  **standard;**

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

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

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

**(7) other**  **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 standard**  **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 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 Final 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** 

**Life­cycle c**  **ost and**  **payback period** 

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

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

**National i**  **mpact analysis** 

**Preliminary 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**

**.**

**DOE h**  **eld a**  **public meeting**  **on June**  **15, 2006**  **(hereafter “public**  **meeting”), 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**  **life**

**cycle 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**

**ml**

**.**

**During 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) updating**  **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) the**  **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. Appendix**  **12A contains**  **a complete**  **copy of**  **the interview**  **guides.**

**DOE i**  **ncorporated the**  **information gathered**  **at the**  **meetings into**  **its engineering**  **analysis**

**(Chapter 5)**  **and the**  **preliminary manufacturer**  **impact analysis**  **(Chapter 12).**  **Following the** 

**1­6 publication**  **of the**  **ANOPR and**  **the ANOPR**  **public meeting,**  **DOE intends**  **to hold**  **additional**

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

**analysis conducted**  **during the**  **NOPR phase.** 

**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 STRUCTURE O F THE DOCUMENT

**This A**  **NOPR TSD**  **outlines the**  **analytical approaches**  **used in**  **this rulemaking.**  **The TSD** 

**consists of**  **14 Chapters,**  **an environmental**  **assessment, a**  **regulatory impact**  **analysis, and** 

**appendices.**

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

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

**outlines t**  **he 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 candidate**  **standard levels** 

**Chapter 6**  **Energy Use**  **Characterization: discusses**  **the sources**  **and methods**  **for**

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

**lamps**

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

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

**analyzed**

**Chapter 8**  **Life­Cycle Cost**  **and Payback**  **Period Analyses:**  **discusses the** 

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

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

**conservation standards** 

**1­7 Chapter**  **9 Shipments**  **Analysis: discusses**  **the methods**  **used for**  **forecasting**

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

**Chapter 1**  **0 National**  **Impact Analysis:**  **describes the**  **national forecast**  **of energy** 

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

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

**Chapter 1**  **1 Life­Cycle**  **Cost Sub­Group**  **Analysis: discusses**  **the methods**  **to be** 

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

**incandescent lamp**  **consumers and**  **compares the**  **LCC and**  **PBP of** 

**equipment with**  **and without**  **higher efficiency**  **standards for**  **these**

**consumers**

**Chapter 1**  **2 Manufacturer**  **Impact Analysis:**  **discusses the**  **methods to**  **be used**  **to**

**study the**  **effects of**  **standards on**  **the finances**  **and profitability**  **of**

**fluorescent and**  **incandescent lamp**  **manufacturers, and**  **presents**

**preliminary manufacturer**  **impact analysis**  **results**

**Chapter 1**  **3 Utility**  **Impact Analysis:**  **discusses the**  **methods to**  **be used**  **to study**  **the**

**effects of**  **standards on**  **electric utilities** 

**Chapter 1**  **4 Employment**  **Impact Analysis:**  **discusses the**  **methods to**  **be used**  **to**

**analyze the**  **effects of**  **standards on**  **national employment** 

**Environmental A**  **ssessment for**  **General Service**  **Fluorescent Lamps**  **and Incandescent** 

**Reflector Lamps:**  **discusses the**  **methods to**  **be used**  **to study**  **the effects** 

**of standards**  **on two**  **pollutants, sulfur**  **dioxide (SO**  **2 )**  **and nitrogen** 

**oxides (NOx),**  **as well**  **as carbon**  **emissions**

**Regulatory I**  **mpact Analysis**  **for General**  **Service Fluorescent**  **Lamps and**  **Incandescent**

**Reflector Lamps:**  **discusses the**  **methods to**  **be used**  **to determine**  **the**

**impact of**  **non­regulatory alternatives**  **to energy**  **conservation standards** 

**Appendix A**  **A Acronyms**  **and Abbreviations:**  **provides a**  **set of**  **acronyms and** 

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

**Appendix 3**  **A Lighting**  **Definitions 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 5**  **A Engineering**  **Results Used**  **in the**  **Shipments and**  **National Impacts** 

**Analyses: provides**  **the characteristics**  **of lamp**  **designs and**  **lamp­and**

**ballast designs**  **considered in**  **the shipments**  **and NIA** 

**Appendix 6**  **A Energy**  **End Use**  **Characterization Results**  **Used in**  **the National** 

**Impacts Analysis:**  **provides the**  **characteristics of**  **lamp designs**  **and**

**lamp­and­ballast designs**  **considered in**  **the NIA.** 

**1­8 Appendix**  **7A Additional**  **En d­User**  **Price Results:**  **provides end­user**  **price results**  **for**

**additional p**  **roducts 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 f**  **or the**  **Monte Carlo**  **and sensitivity**  **analyses**

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

**Appendix 9**  **A Supplementary**  **S cenarios**  **for the**  **Shipments Analysis:**  **provides**

**additional i**  **nputs and**  **results for**  **the shipments**  **analysis**

**Appendix 1**  **0A User**  **I nstructions**  **for Shipments**  **and NIA**  **Spreadsheet**

**Appendix 1**  **0B Supplementary**  **S cenarios**  **for the**  **National Impacts**  **Analysis: provides** 

**results f**  **or additional**  **NIA scenarios** 

**Appendix 1**  **2A Preliminary**  **M anufacturer**  **Interview Guide** 

**1­9**