CHAPTER 1. INTRODUCTION

TABLE OF C ONTENTS

**1.1 PURPOSE**  **OF THE**  **DOCUMENT**

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

**1.2 OVERVIEW**  **OF THE**  **APPLIANCES AND**  **COMMERCIAL EQUIPMENT** 

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

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

**........................... 1­2** 

**1.4 PROCESS**  **FO R**  **SETTING ENERGY**  **CONERVATION STANDARDS......................**  **1­4**

**1.5 STRUCTURE**  **OF THE**  **DOCUMENT............................................................................ 1­7** 

LIST OF T ABLES

**Table 1.4.1**  **A nalyses**  **Under the**  **Process Rule** 

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

**1­i**CHAPTER 1. INTRODUCTION

1.1 PURPOSE OF THE DOCUMENT

**This technical**  **s upport**  **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 OF THE APPLIANCES AND COMMERCIAL EQUIPMENT

STANDARDS PROGRAM

**Part B**  **o f**  **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 to**  **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)**  **because l**  **amps were**  **assigned a**  **low priority**  **based on**  **public comment**  **and energy** 

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

**EPCA establishes**  **st andards**  **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**  **es tablishes**  **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, EPC**  **A 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 OF THE SUBCATEGORIES OF LAMPS COVERED

**This rulemaking**  **covers c**  **ertain 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 addition**  **to t**  **he 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 321(30)(A)–(F)**  **o f**  **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 p rovided 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 straight­shaped l amp (commonly referred to as 4­foot medium bi­pin

lamps) with m edium bi­pin bases of nominal overall length of 48 inches

and rated w attage of 28 or more. (ii) Any U­shaped l amp (commonly referred to as 2­foot U­shaped lamps)

with medium bi­pin b ases of nominal overall length between 22 and 25

inches and r ated wattage of 28 or more. (iii) Any rapid s tart lamp (commonly referred to as 8­foot high output lamps)

with recessed d ouble 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 instant s tart 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 term “general s ervice 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 la mps designed to promote plant growth.

(ii) Fluorescent la mps specifically designed for cold temperature installations.

(iii) Colored fluorescent l amps. (iv) Impact­resistant fl uorescent lamps.

(v) Reflectorized or aperture lamps.

(vi) Fluorescent la mps designed for use in reprographic equipment.

(vii) Lamps primarily d esigned to produce radiation in the ultra­violet region

of the spectrum.

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

(C) Except as p rovided 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 lamp ( 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 lamp ( 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 general s ervice 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 terms “ 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 term “incandescent r eflector lamp” means a lamp described in subparagraph

(C)(ii).

1.4 PROCESS FO R SETTING ENERGY CONERVATION STANDARDS

**Under EPCA,**  **w hen**  **DOE evaluates**  **new or**  **amended standards,**  **it must**  **consider the** 

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

**(1) the**  **economic i**  **mpact of**  **the standard**  **on the**  **manufacturers and**  **consumers of**  **the**

**products subject**  **t o**  **the standard;** 

**(2) the**  **savings i**  **n operating**  **costs throughout**  **the estimated**  **average life**  **of the**  **products**

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

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

**(3) the**  **total p**  **rojected amount**  **of energy**  **savings likely**  **to result**  **directly from** 

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

**(4) any**  **lessening o**  **f the**  **utility or**  **the performance**  **of the**  **products likely**  **to result**  **from**

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

**(5) the**  **impact o**  **f any**  **lessening of**  **competition, as**  **determined in**  **writing by**  **the**

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

**(6) the**  **need f**  **or national**  **energy conservation;**  **and**

**(7) other**  **factors t**  **he Secretary**  **considers relevant.** 

**(42 U.S.C.**  **6 295(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 considers**  **s takeholder**  **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 conducting**  **t he**  **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 to**  **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 A nalyses Under the Process Rule

ANOPR NOPR Final Rule*

**M arket**  **a nd**  **te chnology**  **assessment Revised**  **ANOPR analyses**  **R evised**  **analyses**

**S creening**  **a nalysis**  **L ife­cycle**  **cost s**  **ub­group analysis** 

**Engineering a**  **n alysis**  **Manufacturer im**  **pact analysis** 

**Energy u**  **se c**  **haracterization Utility**  **impact a**  **nalysis**

**Product p**  **rice d**  **etermination Employment**  **im pact**  **analysis**

**Life­cycle c**  **ost a**  **nd payback**  **period**

**analyses Environmental**  **as sessment** 

**Shipments a**  **nalysis R**  **egulatory impact**  **a nalysis** 

**National i**  **mpact a**  **nalysis**

**Preliminary m**  **a nufacturer**  **impact**

**analysis**

***** **During th**  **e F**  **inal 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**  **held 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**

**.**

**D uring**  **the p**  **ublic 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**  **test p**  **rocedures; (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**  **impact o**  **f 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 part**  **o f**  **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 general**  **t opics**  **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 incorporated**  **t he**  **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 the**  **L CC,**  **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 OF THE DOCUMENT

**This ANOPR**  **TS D**  **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**  **I ntroduction:**  **pr ovides**  **an overview**  **of the**  **appliance standards** 

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

**outlines the**  **s tructure**  **of the**  **document**

**Chapter 2**  **A nalytical**  **Framework: describes**  **the rulemaking**  **process step**  **by step** 

**Chapter 3**  **M arket**  **and Technology**  **Assessment: characterizes**  **the fluorescent**  **and**

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

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

**Chapter 4**  **S creening**  **Analysis: determines**  **which technology**  **design options**  **are**

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

**Chapter 5**  **En gineering**  **Analysis: discusses**  **the sources**  **and methods**  **for**

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

**selecting candidate**  **standard levels** 

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

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

**lamps**

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

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

**analyzed**

**Chapter 8**  **L ife­Cycle**  **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 10**  **Na tional**  **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 11**  **L ife­Cycle**  **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 12**  **M anufacturer**  **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 13**  **U tility**  **Impact Analysis:**  **discusses the**  **methods to**  **be used**  **to study**  **the**

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

**Chapter 14**  **Em ployment**  **Impact Analysis:**  **discusses the**  **methods to**  **be used**  **to**

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

**Environmental As**  **sessment 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 Im**  **pact 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 AA**  **A cronyms**  **and Abbreviations:**  **provides a**  **set of**  **acronyms and** 

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

**Appendix 3A**  **L ighting**  **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 5A**  **En gineering**  **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 6A**  **En ergy**  **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**  **End ­User**  **Price Results:**  **provides end­user**  **price results**  **for**

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

**lamps)**

**Appendix 8A**  **U ser**  **Instructions for**  **L ife­Cycle**  **Cost and**  **Payback Period**  **Spreadsheet**

**Appendix 8B**  **S upplementary**  **Li fe­Cycle**  **Cost and**  **Payback Period**  **Results: provides** 

**results for**  **t he**  **Monte Carlo**  **and sensitivity**  **analyses**

**Appendix 8C**  **R esidential**  **Di scount**  **Rate Distributions** 

**Appendix 9A**  **S upplementary**  **Sc enarios**  **for the**  **Shipments Analysis:**  **provides**

**additional inputs**  **a nd**  **results for**  **the shipments**  **analysis**

**Appendix 10A**  **U ser**  **Instructions for**  **S hipments**  **and NIA**  **Spreadsheet**

**Appendix 10B**  **S upplementary**  **Sc enarios**  **for the**  **National Impacts**  **Analysis: provides** 

**results for**  **a dditional**  **NIA scenarios** 

**Appendix 12A**  **P reliminary**  **Ma nufacturer**  **Interview Guide** 

**1­9**