3

- i CHAPTER 3. MARKET AND TECHNOLOG Y ASSESSMENT

TABLE OF CONTENTS

3.1 INTRODUCTION

................................ ................................ ................................ ........... 3

- 1 3.1.1 Definitions

................................ ................................ ................................ ............ 3

- 1 3.1.1.1 Metal Halide Lamp Fixture

................................ ................................ ...... 3

- 1 3.1.1.2 Metal Halide Lamp

................................ ................................ .................. 3

- 1 3.1.1.3 Metal Halide Lamp Ballast

................................ ................................ ...... 3

- 2 3.1.1.4 Ballast and Electronic Ballast

................................ ................................ .. 3

- 2 3.1.1.5 Probe

- Start Metal Halide Ballast

................................ ............................. 3

- 2 3.1.1.6 Pulse

- Start Metal Halide Ballast

................................ .............................. 3

- 2 3.1.1.7 Ballast Efficiency

................................ ................................ ..................... 3

- 2 3.2 MARKET ASSESSMENT

................................ ................................ .............................. 3

- 3 3.2.1 Trade Associations

................................ ................................ ............................... 3

- 3 3.2.2 Manufacturers and Market Share

................................ ................................ ......... 3

- 4 3.2.2.1 Small Businesses

................................ ................................ ...................... 3

- 6 3.2.3 Regulatory Programs

................................ ................................ ........................... 3

- 7 3.2.3.1 Federal Energy Conservation Standards

................................ .................. 3

- 7 3.2.3.2 California Energy Commission

................................ ................................ 3

- 9 3.2.3.3 Canadian Energy Efficiency Standards

................................ ................... 3

- 9 3.2.4 Non

- Regulatory Initiatives

................................ ................................ ................. 3

- 10 3.2.4.1 Federal Energy Management Program

................................ .................. 3

- 10 3.2.4.2 ENERGY STAR

................................ ................................ .................... 3

- 11 3.2.4.3 Northeast Energy Efficiency Partnerships

................................ ............. 3

- 11 3.2.5 Alternative Fixture Efficiency Metrics

................................ .............................. 3

- 11 3.2.5.1 Fitted Target Efficacy

................................ ................................ ............ 3

- 12 3.2.5.2 Target Efficacy Rating

................................ ................................ ........... 3

- 12 3.2.6 Historical Shipments

................................ ................................ .......................... 3

- 14 3.2.6.1 HID Lamp Fixtures Shipments

................................ .............................. 3

- 14 3.2.6.2 Estimated Historical Metal Halide Lamp Fixtures Shipments

.............. 3

- 17 3.3 TECHNOLOGY ASSESSMEN T

................................ ................................ .................. 3

- 18 3.3.1 Metal Halide Lamp Fixtures Overview

................................ ............................. 3

- 18 3.3.1.1 Basic Metal Halide Lamp Fixture Structure

................................ .......... 3

- 18 3.3.1.2 Indoor Fixtures

................................ ................................ ....................... 3

- 19 3.3.1.3 Outdoor Fixtures

................................ ................................ .................... 3

- 21 3.3.1.4 Energy Related Fixture Options

................................ ............................. 3

- 26 3.3.2 Basic Structure of Metal Halide Lamps

................................ ............................. 3

- 28 3.3.3 Metal Halide Lamp Ballast Overview

................................ ............................... 3

- 30 3.3.3.1 Ballast Efficiency

................................ ................................ ................... 3

- 30 3.3.3.2 Starting Method

................................ ................................ ..................... 3

- 30 3.3.3.3 Power Factor

................................ ................................ .......................... 3

- 31 3.3.3.4 Tota l Harmonic Distortion

................................ ................................ ..... 3

- 32 3.3.3.5 Ballast Factor

................................ ................................ ......................... 3

- 32 3.3.3.6 Electromagnetic Interference

................................ ................................ . 3

- 323

- ii 3.3.3.7 Transient Susceptibility

................................ ................................ ......... 3

- 33 3.3.3.8 Fitted Form

................................ ................................ ............................. 3

- 33 3.3.3.9 Dimming

................................ ................................ ................................ 3

- 33 3.3.3.10 Magnetic Ballasts

................................ ................................ .............. 3

- 34 3.3.3.11 Electronic Ballasts

................................ ................................ ............. 3

- 36 3.3. 4 Metal Halide Lamp Ballast Technology Options

................................ .............. 3

- 39 3.3.4.1 Magnetic Ballasts

................................ ................................ ................... 3

- 39 3.3.4.2 Electronic Ballasts

................................ ................................ ................. 3

- 40 3.4 EQUIPMENT CLASSES

................................ ................................ .............................. 3

- 42 3.4.1 Rate d Lamp Wattage

................................ ................................ .......................... 3

- 44 3.4.2 Input Voltage

................................ ................................ ................................ ..... 3

- 44 3.4.3 Maximum Number of Lamps Operated

................................ ............................. 3

- 45 3.4.4 Lamp Starting Method

................................ ................................ ....................... 3

- 45 3.4.5 Electronic Configuration and Circuit Type

................................ ........................ 3

- 46 3.4.6 Equipment Classes Summary

................................ ................................ ............ 3

- 47

LIST OF TABLES

Table 3.2.1 Proposed Canadian Standards for Metal Halide Lamp Ballasts

............................. 3

- 10 Table 3.2.2 Federal Energy Management Program Efficiency Recommendation

.................... 3

- 11 Table 3.2.3 U.S. Census Shipments of HID Lamp Fixtures from 1993 to 2001

....................... 3

- 16 Table 3.2.1 Estimated Hist orical Shipments of Metal Halide Lamp Fixtures from 1993 to 2001 3

- 17 Table 3.2.2 Estimated Historical Shipments of Metal Halide Lamp Fixtures from 2002 to 2009 3

- 17 Table 3.3.1 Basic Building Blocks of a Metal Halide Lamp Ballast and Associated Characteristic s

................................ ................................ ................................ ............................ 3

- 37 Table 3.4.1 EPCA Equipment Categories Established by EISA 2007 for Metal Halide Lamp Fixtures (by Ballast Type and Lamp Watt age)

................................ ................................ .......... 3

- 43 Table 3.4.2 Equipment Classes for Metal Halide Lamp Ballasts

................................ .............. 3

- 47

LIST OF FIGURES

Figure 3.2.1 2001 HID Fixtures Market Share by Segment

................................ ...................... 3

- 15 Figure 3.3.1 Metal Halide Lamp Fixture Structure

................................ ................................ .... 3

- 19 Figure 3.3.2 Example of Recessed Downlight Metal Halide Lamp Fixture

.............................. 3

- 20 Figure 3.3.3 Example of High Bay Metal Halid e Lamp Fixture

................................ ............... 3

- 20 Figure 3.3.4 Example of Low Bay Metal Halide Lamp Fixture

................................ ................ 3

- 21 Figure 3.3.5 Example of Area/Roadway Metal Halide Lamp Fixture

................................ ....... 3

- 22 Figure 3.3.6 Example of Bollard Metal Halide Lamp Fixture

................................ ................... 3

- 22 Figure 3.3.7 Example of Canopy Metal Halide Lamp Fixture

................................ .................. 3

- 233

- iii Figure 3.3.8 Example of Cobrahead Metal Halide L amp Fixture

................................ ............. 3

- 23 Figure 3.3.9 Example of Floodlight Metal Halide Lamp Fixture

................................ .............. 3

- 24 Figure 3.3.10 Example of Parking Garage Metal Halide Lamp Fixture

................................ .... 3

- 24 Figure 3.3.11 Example of Post

- Top Metal Halide Lamp Fixture

................................ .............. 3

- 25 Figure 3.3.12 Example of Sports Lighting Metal Halide Lamp Fixture

................................ .... 3

- 25 Figure 3.3.13 Example of Wallpack Metal Halide Lamp Fixture

................................ ............. 3

- 26 Figure 3.3.14 Core and Coil Assemb ly of a Magnetic Ballast

................................ .................. 3

- 35 Figure 3.3.15 Electronic Metal Halide Ballast Block Diagram

................................ ................. 3

- 373

- 1 CHAPTER 3.

3.1 INTRODUCTION MARKET AND TECHNOLOG Y ASSESSMENT

This chapter details the market and technology assessment that the U.S. Department of Energy (DOE) has conducted in support of the ongoing energy conservation standards rulemakings for metal halide lamp fixtures. This rulemakings is mandated by the Energy Policy and Conservation Act (EPCA), as amended by Energy Independence an d Security Act of 2007 (EISA 2007) , and are effective for metal halide lamp fixtures manufactured during and after 201 5.

This chapter consists of three sections: the market assessment, the technology assessment, and equipment classes. The market assessment provides an overall picture of the market for the equipment concerned, including the nature of the equipment, industry structure, and manufacturer market shares; regulatory and non

- regulatory efficiency improvement programs; and market trends and quantiti es of equipment sold. The technology assessment identifies a preliminary list of technologies to consider in the screening analysis. The equipment classes section discusses the equipment classes DOE considered using for this rulemaking and how they were de veloped.

The information DOE gathers from the market and technology assessment serves as resource material for use throughout the rulemaking. DOE considers both quantitative and qualitative information from publicly available sources and interested parties

.

3.1.1 Definitions

EISA 2007 added definitions to EPCA for metal halide lamp fixture and associated terms. DOE codified the statutory definitions and definitions of supplementary terms for metal halide lamp fixtures in the Code of Federal Regulations (CFR). 10 CFR 43 1

. 3 2 2 . The following sections describe

, in greater detail

, EPCA definitions for metal halide lamp fixture, metal halide lamp, metal halide lamp ballast, ballast, electronic ballast, probe

- start metal halide ballast, pulse

start metal halide ballast, and ballast efficiency. These terms help define the scope of energy conservation standards for metal halide lamp fixtures. Appendix 3A includes a complete list of terms and their definitions.

3.1.1.1 Metal Halide Lamp Fixture

Section 321(64) of EPCA broadly defi nes metal halide lamp fixtures as : “ light fixture for general lighting application designed to be operated with a metal halide lamp and a ballast for a metal halide lamp. ” (42 U.S.C. § 6291(64))

3.1.1.2 Metal Halide Lamp

Section 321(63) of EPCA defines metal halid e lamp as: “ a high intensity discharge lamp in which the major portion of the light is produced by radiation of metal halides and their products of dissociation, possibly in combination with metallic vapors. ” (42 U.S.C. § 6291(63))3

- 2 3.1.1.3 Metal Halide Lamp Ballast

Section 321(62) of EPCA defines metal halide lamp ballast as: “ a ballast used to start and operate metal halide lamps

. ” (42 U.S.C. § 6291(62))

3.1.1.4 Ballast and Electronic Ballast

Section 321 of EPCA defines ballast as: “ a device used with an electric di scharge lamp to obtain necessary circuit conditions (voltage, current, and waveform) for starting and operating. ” (42 U.S.C. § 6291(58)) Electronic ballast is defined as: “ a device that uses semiconductors as the primary means to control lamp starting and operation. ” (42 U.S.C. § 6291(60))

3.1.1.5 Probe

- Start Metal Halide Ballast

Section s 321(65)(A) and (B) of EPCA define probe

- start metal halide ballast as: “a ballast that

— (A) starts a probe

- start metal halide lamp that contains a third starting electrode (probe ) in the arc tube; and (B) does not generally contain an igniter but instead starts lamps with high ballast open circuit voltage.”

(42 U.S.C

. 6291(65))

3.1.1.6 Pulse

- Start Metal Halide Ballast

Sections 321(66)(A) and (B) of EPCA define pulse

- start metal halide ballast as:

“(A) In general.

— The term “pulse

- start metal halide ballast” means an electronic or electromagnetic ballast that starts a pulse

- start metal halide lamp with high voltage pulses. (B) Starting process.

— For the purpose of subparagraph (A)

— (i) lamps shall be started by first providing a high voltage pulse for ionization of the gas to produce a glow discharge; and (ii) to complete the starting process, power shall be provided by the ballast to sustain the discharge through the glow

- to

- arc trans ition.”

(42 U.S.C

. 6291(66))

3.1.1.7 Ballast Efficiency

Section 321(59)(A) of EPCA (42 U.S.C

. § 6291(59)(A)) defines ballast efficiency (BE)

as: “ in the case of a high intensity discharge fixture, the efficiency of a lamp and ballast combination, expressed as a pe rcentage, and calculated in accordance with the following formula: Efficiency = Pout/Pin. ”

Section 321(59)(B) of EPCA clarifies the definition of the calculations for ballast efficiency or Pout/Pin by defining the following:3

- 3 “(i) Pout shall equal the meas ured operating lamp wattage; (ii) Pin shall equal the measured operating input wattage;”

(42 U.S.C. § 6291(59)(B))

3.2 MARKET ASSESSMENT

The following market assessment identifies the manufacturer trade association and domestic manufacturers of metal halide lamp fixtures and ballast; discusses manufacturer market share, regulatory programs, and non

- regulatory initiatives; defines equipment classes; provides historical shipment data, shipment projections, and equipment lifetime estimates; and summarizes marke t performance data.

3.2.1 Trade Associations

The National Electrical Manufacturers Association (NEMA) is the trade association for metal halide lamp fixtures and ballasts. NEMA’s Lighting Systems Division is one of eight product divisions. The division’s 47 member companies comprise 85 to 95 % of the U.S. commercial and industrial market, as well as large portions of the institutional and educational markets. 1 In addition to metal halide lamp fixtures and ballasts, NEMA’s Lighting Systems Division also oversee s products such as metal halide lamps, other high intensity discharge (HID) equipment, fluorescent lamps and ballasts, emergency lighting technologies, lighting controls, luminaires a

• advising DOE and executive agencies on lighting research and market transformation needs; in general, and solid state lighting. NEMA provides an organization throu gh which manufacturers of lighting equipment can work together on projects that affect their industry and business. NEMA’s activities relating to energy efficiency include :

• engaging in legislative work on energy and lighting issues;

• monitoring energy

- efficiency rulemakings and standards affecting lighting products by federal and state agencies;

• promoting the national voluntary luminaire rating and information program u nder the National Lighting Collaborative;

• supporting adoption of 1999 American Society of Heating, Refrigerating and Air

Conditioning Engineers ( ASHRAE ) and the Illuminating Engineering Society of North America ( IESNA ) 90.1 lighting provisions (hereafter ASHRAE/IESNA 90.1) ;

• working with market transformation and environmental groups to advance market use of
energy

- efficient lighting technologies;

a In this document DOE is using the terms “luminaire” and “fixture” interchangeably.3

- 4 • advising DOE and the U.S. Environmental Protection Agency (EPA) on ENERGY STAR ®

• advocating market

- based approaches to enhance the use and penetration of energy

efficient technologies. Buildings and ENERGY STAR volu ntary product labeling programs; and

2

3.2.2 Manufacturers and Market Share

The fixture market is composed of several domestic and international manufacturers. The following list contains the names of manufacturers that are part of the Luminaire Section of NEMA:

• Acuity Brands Lighting

• Arcalux Corporation

• Cooper Controls

• Cooper Lighting

• Emerso n/EGS Electrical Group

• GE Consumer and Industrial of General Electric, Inc. (hereafter, “GE”)

• Genlyte Group/Lightolier /Gardco

– Philips Lighting

• Holophane

• Hubbell Lighting

• Inter

- Global, Inc.

• Juno Lighting Group

• Light One Inc.

• Lithonia Lighting

• National Cathode Corp

• OSRAM SYLVANIA of Siemens AG (hereafter “Osram Sylvania”)

• Ruud Lighting Inc.

• Technical Consumer Products, Inc.

• Thomas & Betts Corporation

• Philips

• Venture Lighting International Several manufacturers are owned by parent companies that make up t he majority of the market. For covered equipment, the majority of the metal halide fixtures market is held by NEMA members and non

- members, which include:

• GE

• Osram Sylvania

• Philips Lighting

• Acuity Brands Lighting

• Cooper Lighting

• Hubbell Lighting

• Juno Ligh ting Group

• Venture Lighting International3

- 5 Additional metal halide lamp fixtures manufacturers include:

• ABS Lighting

• Access Fixtures

• Acting Chile

- Appleton Agency Southern Cone

• Arcalux

• Architectural Details, Inc

• Architectural Lighting Works

• Atlantic Lighting, Inc.

• Atlas Ligthing

• Rig

- A

- Lite

• Baero

• Bega

• Babican Architectural Products

• Barn Light Electric

• Better Designed Lighting

• C.W. Cole & Company

• CD Lighting

• CGF Design Inc

• Con

- Tech Lighting

• Custom Metalcraft

• Deco Lighting

• Deep Roof Lighting

• DMF Lighti ng Solutions

• Dynamic Lighting Solutions

• Amerlux Lighting Solutions

• Eclipse Lighting

• EECOL Electric

• Elite Lighting

• Energie Lighting

• Energy Focus, Inc

• Engineering Products Company

• Eureka Lighting

• EUTRAC Corp.

• Focal Point LLC

• Villa Lighting Supply

• Visa Lighting

• Vision3 Lighting

• Visionaire Lighting

• W2 Architectural Lighting

• WAC Lighting

• Welch Lighting

• Will

- Burt • G Lighting

• GSS Global Solutions

• Healthcare Lighting

• HessAmerica

• Hunza Lighting USA

• ICOF Inc

• ICOF International

• Insight Lighting

• Intense Lighting

• K.J. Lighting Sales

• Kenall Manufacturing

• Kirling Company

• LDPI Inc

• Legion Lighting Company

• LightGuard

• Lighting Nelson & Garrett

• Lighting Services

• Light Makers

• Litelab

• LITON

• LSI Industries

• Lumascape USA

• Lumca

• Lumenelle

• Lumenform Industries

• Lumenton Lighting

• Luminis

• Manning Lighting

• Martin Professional

• Metalumen

• Meyda Custom Lighting

• Mohandesi Mahshid Sepahan

• Moutain States Lighting

• MP Lighting • Neonlite Electronic & Lighting

• Paramount Industries

• Pauluhn

• Phoenix Products

• Pinnacle Architectural Lighting

• Prisma Architectural Lighting

• Qualite Sports Lighting

• Rambusch Lighting

• Reggiani Lighting

• Reyk Lighting

• Ruud Lighting Canada

• Satco Products

• Schreder Lighting USA

• Selux Corporation

• Sheed Lighting

• Sheedlight

• Sleeve Off Design

• Spectrum Lighting

• SPI Lighting

• Spot on Lighting

• Spring City Electrical Mfg Co

• Stanpro Lighting Systems

• Sternberg Lighting Systems

• StressCrete Group

• Swivelier

• Tech Lighting

• Teddico

• The Lighting Quotient

• The Pennsylvania Globe Gaslight Company

• TPR Enterprises

• US Architectural Lighting

The following list contains the names of manufacturers that produce metal halide lamp ballasts :

• Advance Transformer (Philips)3

- 6 • AMF Lighting

• Etlin

• Fulham

• GE

• Hatch Transformer

• Howard Industries

• Lightec

• Metrolight

• O sram Sylvania

• Power Select

• Robertson Worldwide

• SO LA

• Sunpark

• Ultrasave Lighting Ltd.

• Universal Lighting Technologies

• Venture Lighting International

• Vossloh

- Schwabe

Five manufacturers hold the majority of the domestic market share of metal halide lamp ballasts

• GE

• Osram Sylvania

• Advance Transformer of Philips Lighting (hereafter “Advance”)

• Universal Lighting Technologies

• Venture Lighting International

The lighting divisions of some of these companies also manufacture other products, such as fluorescent lamps and ballasts, light emitting diodes (LEDs), o ther HID lamp technologies, and compact fluorescent lamps (CFLs).

3.2.2.1 Small Businesses

Small businesses may be particularly affected by the promulgation of minimum energy conservation standards for metal halide lamp fixtures. The Small Business Administration (SBA) lists small business size standards that are matched to industries as they are described in the North American Industry Classification System (NAICS). A size standard is the largest that a for

- profit concern can be and still qualify as a small busin ess for Federal Government programs. These size standards are generally the average annual receipts or the average employment of a firm. For metal halide lamp fixtures the size standard is matched to NAICS code 335122, Commercial, Industrial, and Instituti onal Electric Lighting Fixture Manufacturing , which has a size standard of 500 employees or fewer. 3 For metal halide lamp ballasts, the size standard is matched to NAICS code 335311

, Power, Distribution, & Specialty Transformer Manufacturing

, which has a size standard of 750 employees or fewer. 43

- 7 DOE will study the potential impacts on these small businesses in detail during the manufacturer impact analysis, which it will conduct as part of the notice of proposed rulemaking (NOPR).

3.2.3 Regulatory Programs

Sever al Federal and international regulatory programs affect the markets for metal halide lamp fixtures and ballasts. The following section summarizes U.S. and Canadian regulatory initiatives relevant to the fixtures and ballasts covered by this rulemaking. Whi le the following discussion is not exhaustive in describing all regulatory action related to metal halide lamp fixtures and ballasts, it provides detail on some notable initiatives that characterize recent developments in the lighting market.

3.2.3.1 Federal Energ y Conservation Standards

Title III of EPCA of 1975, Pub. L. 94

- 163, (42 United States Code (U.S.C.) 6291 et seq .) established an energy conservation program for major household appliances and industrial and commercial equipment. More specifically, Part A o f Title III (42 U.S.C. 6291

- 6309) establishes the “Energy Conservation Program for Consumer Products Other Than Automobiles.” Subsequent amendments to EPCA have given DOE the authority to regulate the energy efficiency of several additional kinds of equipm ent, including certain metal halide lamp fixtures.

On December 19, 2007, the President signed the Energy Independence and Security Act of 2007 (EISA 2007) (Pub. L. 110

- 140), which made numerous amendments to EPCA and directed DOE to undertake several new rulemakings for appliance energy conservation standards including two cycles for metal halide lamp fixtures. DOE is initiating its first rulemaking cycle to review and consider amendments to the energy conservation standards in effect for metal halide lamp fixtures, as required under 42 U.S.C. 6295(hh)(2), which provides as follows:

(2) Final rule by January 1, 2012.

— (A) In general.

— Not later than January 1, 2012, the Secretary shall publish a final rule to determine whether the standards established under paragraph (1) should be amended. (B) Administration.

— The final rule shall

— (i) contain any amended standard; and (ii) apply to products manufactured on or after January 1, 2015.

As amended by EISA 2007, EPCA regulates metal halid e lamp fixtures designed to be operated with lamps rated greater than or equal to 150 watts (W) but less than or equal to 500 W by prescribing performance requirements for the metal halide lamp ballasts used in those metal halide lamp fixtures. Both metal halide lamps and ballasts are energy

- consuming components of metal halide fixtures. For this 150 to 500 W metal halide lamp wattage range, metal halide lamp fixtures must contain:

(i) a pulse

- start metal halide ballast with a minimum ballast efficiency of 88 % ;3

- 8 (ii) a magnetic probe

- start ballast with a minimum ballast efficiency of 94 % ; or (iii) a nonpulse

- start electronic ballast with

— (I) a minimum ballast efficiency of 92 % for wattages greater than 250 W ; and (II) a minimum ballast efficiency of 90 % for wattages less than or equal to 250 W

. (U.S.C . § 6292 (hh)(1)(A))

In addition to prescribing minimum efficiency requirements for the previously

- described metal halide lamp ballasts contained in metal halide lamp fixtures, EISA 2007 amended EPCA to exclu de the following types of metal halide lamp fixtures from the statutorily

- prescribed energy conservation standards:

(i) fixtures with regulated lag ballasts; (ii) fixtures that use electronic ballasts that operate at 480 volts; or (iii) fixtures that

— (I) are rated only for 150 watt lamps; (II) are rated for use in wet locations, as specified by the National Electrical Code 2002, section 410.4(A); and (III) contain a ballast that is rated to operate at ambient air temperatures above 50° C, as specified by U L [Underwriters Laboratories] 1029

– 2001 [“Standard for High

- Intensity

- Discharge Lamp Ballasts”].

(42 U.S.C . § 6292 (hh)(1)(B))

Pursuant to section 310 of EISA 2007, EPCA further directs DOE to incorporate standby mode and off mode energy use in any amend ed (or new) standard adopted after July 1, 2010. (42 U.S.C. § 6295(gg)(3)) Because this energy conservation standards rulemaking must be completed by January 1, 2012, the requirement to incorporate standby mode and off mode energy use into the energy conse rvation standards analysis is applicable.

DOE published a final rule test procedure to comply with provisions from EISA 2007 that apply to metal halide lamp ballasts included in metal halide lamp fixtures that are covered by this rulemaking. DOE found that while it is possible for metal halide ballasts to operate in active mode and standby mode, the off mode condition does not apply because it addresses a mode of energy use in which metal halide ballasts do not operate. 7 5 FR 10950
, 10954

- 5 ( March 9 , 20 10 ). One example of a metal halide ballast that operates in standby mode is a DALI b

Pursuant to EPCA section 325(gg)(2)(A), 42 U.S.C. § 6295(gg)(2)(A), DOE is evaluating whether to incorp orate standby mode into a single amended or new metric. DOE is also - enabled ballast. DALI

- enabled ballasts exhibit standby power because they have internal circuitry that is integral to the design of the ballast that remains on and active, even when the ballast is not driving any lamps.

b DALI stands for Digital Addressable Lighting Interface, which is a system that enables communication between a central lighting controls system and the individual components, including the ballasts.3

- 9 evaluating whether to include standby mode standards in this rulemaking. For more information, see chapter 2 of the preliminary TSD.

3.2.3.2 California Energy Commission

Prior to the enactment of EISA 2007
, the California Energy Commission (CEC) adopted regulations for m etal h alide fixtures that took effect on January 1, 2006. California’s metal halide fixture energy conservation standards were amended in August 2009 with the adoption of CEC 2009 A ppliance Efficiency Regulation

. According to section 1605.3(n) of California Title 20, effective January 1, 2010, metal halide lamp fixtures manufactured and sold in the state of California may not be sold with probe

- start ballasts, and in addition, must m eet at least one of following requirements:

1) a ) contain ballasts with minimum ballast efficiency of 90 % for fixtures designed to operate lamps rated 150

- 250 W, b ) contain ballasts with minimum ballast efficiency of 92 % for fixtures designed to operate la mps rated 251

- 500 W; or

2 ) contain ballasts with minimum ballast efficiency of 88 % and an occupant sensor which is an integral control, shipped with the factory default setting to automatically reduce lamp power through dimming by a minimum of 40 % within 3 0 minutes or less after the area has been vacated ; or

3 ) contain ballasts with minimum ballast efficiency of 88 % and have an automatic daylight control which is an integral control, shipped with the factory default setting to automatically reduce lamp powe r through dimming by a minimum of 40 % ; or

4 ) contain ballasts with minimum ballast efficiency of 88 % and a re

- lamping rated wattage within one of the four wattage bins specified in the following subsections (a) through (d). The metal halide lamp fixture sh all be able to operate lamps within only one of the four wattage bins and shall not be rated for any lamp wattage outside of that wattage bin. The metal halide lamp fixture shall have a permanent, pre

- printed factory

installed label that states the re

- lamp ing rated wattage.

a ) 150

- 160 W ; or b ) 200

- 215 W ; or

c ) 290

- 335 W ; or d ) 336

- 500 W , provided that when a metal halide lamp fixture is able to operate 336 to 500 W lamps, the fixture shall be prepackaged and sold together with at least one lamp per socket, having a minimum lamp mean efficacy of 80 lumens per watt (lm/W) based on published mean lumens and rated lamp power ( in watts).

3.2.3.3 Canadian Energy Efficiency Standa rds

The Natural Resources Canada (NRCan) Office of Energy Efficiency regulates energy efficiency of several consumer and industrial products in Canada. In May 10, 2010, NRCan published a bulletin on developing standards stating NRCan’s proposal to amend Ca nada’s3

- 10 Energy Efficiency Regulations to include metal halide lamp ballasts. Table 3.2.1 shows the proposed Canadian standards for metal halide lamp bal lasts.

Table 3.2

. 1 Proposed Canadian Standards for Metal Halide Lamp Ballasts

Ballast Type Lamp Rated Wattage Minimum Rated Ballast Efficiency (%) Magnetic Probe Start 150

- 500 94 Pulse Start 150

- 500 88 Non Pulse Start Electronic 150

- 250 90 251

- 500 92
NRCan proposed that listed standards apply to equipment manufactured on or af t er July 14, 2012.

3.2.4 Non

- Regulatory Initiatives

DOE reviewed several national, regional, and local voluntary programs that promote the use of energy efficient lighting in the United States. These include the Federal Energy Management Program’s (FEMP’s) program for energy efficient lighting, the ENERGY S TAR Program, and the Northeast Energy Efficiency Partnership (NEEP). The following section summarizes some of these programs for metal halide fixtures and the ballasts contained in the fixtures covered by this rulemaking. While it is not an exhaustive list , the discussion provides detail on some notable initiatives that characterize recent developments in the lighting market.

3.2.4.1 Federal Energy Management Program

FEMP helps Federal buyers identify and purchase energy efficient equipment including certain metal halide lamp fixtures. Section 161 of EPACT 1992 encourages energy efficient Federal procurement. Section 104 of EPACT 2005 requires that each agency incorpor ate energy efficiency criteria consistent with ENERGY STAR and FEMP

- designated products for “...all procurements involving energy consuming products and systems, including guides specifications, project specifications, and construction, renovation, and ser vice contracts that include provision of energy consuming products and systems, and into the factors for the evaluation of offers received for the procurement.” Executive Order 13123 and Federal Acquisition Regulation (FAR) section 23.704 direct agencies t o purchase products in the upper 25 % of energy efficiency, including all models that qualify for the ENERGY STAR product labeling program. 64 FR 30851, 30854 (June 8, 1999). FEMP provides recommendations for how to buy energy efficient industrial luminaire s, including the metal halide lamp fixtures shown in Table 3.2

. 2

. 5 FEMP offers buyers support tools such as efficiency guidelines, cost

effectiveness examples, and a cost calculator. FEMP also offers training, on

- site audits, demonstrations, and design assistance.3

- 11 Table 3.2

. 2 Federal Energy Management Program Efficiency Recommendation

Upward Efficiency* Lamp Wattage Requir ed Luminaire Efficacy Rating (LER)

Lensed Fixture Open Fixture

0% 150

- 399 50 or higher 49 or higher 400

- 999 62 or higher 69 or higher

≥1000 84 or higher 76 or higher

1%

- 10% 150

- 399 68 or higher 49 or higher 400

- 999 73 or higher 75 or higher

≥1000 71 or higher 96 or higher

11%

- 20% 150

- 399 70 or higher 55 or higher 400

- 999 76 or higher 81 or higher

≥1000 82 or higher 87 or higher *Upward Efficiency is the portion of light directed up by the fixture. Both high bay and low bay HID luminaires are available with opaque reflectors, which direct all or most of the light downward, and with transparent refractors, which direct some light up.

3.2.4.2 ENERGY STAR

ENERGY STAR is a joint program of DOE and the EPA designed to protect the

env ironment by promoting energy efficient products and practices. 6

3.2.4.3 Northeast Energy Efficiency Partnerships Although ENERGY STAR does not have specifie d criteria for HID fixtures, there are criteria for solid state lighting (SSL) (e.g., LED) outdoor fixtures. These fixtures are direct competitors of HID outdoor fixtures and include outdoor pole

- mounted area and roadway luminaires, outdoor wall

- mounted area luminaires ( “ wall packs ” ), and parking garage/canopy luminaires

. SSL outdoor luminaires that qualify for the ENERGY STAR label m ust meet performan ce requirements related to light output, minimum fitted target efficacy (FTE), maximum luminous flux in glare and uplight zones, among other requirements.

NEEP is a regional nonprofit organization that promotes ener gy efficiency in the Northeast. NEEP runs a Commercial Buildings and Technologies Initiative that “ focus [es] on improved efficiency and energy performance that address the integration of technologies and best practices in building systems such as lighting system design .” 7 NEEP coordinates with multiple local and state governments, utilities, and other initiatives, such as Efficiency Vermont and the Long Island Power Authority, to promote efficient lighting products. 8
, 9

3.2.5 Alternative Fixture Efficiency Metri cs
Although metal halide lamp fixtures minimum performance requirements are measured by the ballast efficiency of the ballast included in the fixture, DOE and the fixture industry has researched alternative metrics for fixture efficiency. For the SSL ENERG Y STAR Program, DOE has developed the FTE metric. NEMA, along with its luminaire division

, has developed the Target Efficacy Rating (TER)

. DOE found that in general, overall fixture energy use depends on four areas of importance including: lamp efficacy

, ballast efficiency

, light absorption by the fixture

, and usefulness of light emitted by the fixture (direction or light distribution pattern). FTE and TER metrics treat each area of importance more effectively in some ways than others. The3

- 12 following secti ons describe each metric and explain how they account for the four area s of importance.

3.2.5.1 Fitted Target Efficacy

DOE previously developed FTE c

FTE = (flux in uniform pool ) x (percentage of rectangular target covered by uniform pool) metric to quantify outdoor pole

- mounted luminaire performance for ENERGY STAR qualification purposes. In the FTE ap proach, luminaire performance is measured by fitting a rectangle to the uniform “pool” of light specific to each luminaire, multiplying the luminous flux ( in lumens) landing in this pool by the percent coverage of the rectangular target, and then dividing by input power ( in watts) to the luminaire. The equation can be summarized as:

(luminaire input power)

The resulting calculation is measured against Illuminating E ngineering Society (IES) recommended uniformity ratios. FTE addresses the four areas of importance as follows:

**•** Lamp Efficacy: FTE takes into consideration lamp efficacy by evaluating light delivered to the target. A source has to have a reasonably high ef ficacy to score a high FTE value.

**•** Ballast Efficiency: FTE incorporates ballast efficiency by incorporating total wattage of the luminaire that is dependent on the ballast input watts. The more efficient the ballast, the closer to the lamp wattage the total wattage of the luminaire will be.

**•** Light Absorption: FTE takes into account absorption of light by the fixture by evaluating light delivered to the target. A less efficient optical system yields a lower FTE value.

**•** Light Distribution: FTE only accounts for light hitting a specific target (rectangle) and does not take into account other surfaces where light is desired and the luminaire is design to light.

T hrough using uniformity and rectangularity of distribution as the criteria for useful luminous flux, the same method of calculation can be applied to luminaires of all IES types (Types I through V), and no project

- specific geometries or criteria are required. However, FTE only accounts for light hitting the specified target area and does not take into accoun t other surfaces where the luminaire is design ed to light. ENERGY STAR has not yet adopted FTE for outdoor lighting and NEMA is working with EPA to develop a possible alternative to FTE.

3.2.5.2 Target Efficacy Rating

TER d

c The DOE introduction to FTE is available here: http://www.illinoislighting.org/resources/FTEoverview01Jul09.pdf metric was developed by NEMA’s luminaire division to succeed the previous metric of Luminaire E ffic acy Rating (LER). TER calculates fixture efficacy by multiplying the

d NEMA issued a revised version of the Target Efficacy Rating metric in 2009 , LE 6

- 2009, available here: http://www. nema.org3

- 13 light leaving the luminaire by a value (Coefficient of Utilization) that factors in the distribution of light. Coefficient of Ut ilization (CU) calculates the percentage of rated lamp lumens reaching a fixture specific target. TER is calculated as follows:

TER = EEF x TLL x BF / Input Watts Where:

TER = Target Efficacy Rating, exp ressed in rated lumens per watt, EEF = Energy Effectiveness Factor, the percent age of lumens that fall upon a specified typical target area for a luminaire. The method for calculating EEF is a function of luminaire type, TLL = Total initial lamp lumens, total number of lamps in the test lumina ire multiplied by the published rated initial lamp lumen s, BF = Ballast factor of test ballast or the average ballast factor of test ballasts used in the photometric test, and INPUT WATTS = Total wattage of the luminaire as measured during the photometric test, or calculated based on the ballast manufacturers’ published data for that lamp/ballast combination if photometric test data is not available.

TER addresses the four areas of importance as follows:

**•** Lamp Efficacy: TER indirectly considers lamp effica cy by accounting for lumen output from the lamp. Lumen output for the lamp component is based on manufacturer published data only.

**•** Ballast Efficiency: TER incorporates ballast efficiency by using the total wattage of the luminaire that is dependent on the ballast input watts. The more efficient the ballast, the closer to the lamp wattage the total wattage of the luminaire will be.

**•** Light Absorption: TER accounts for thermal and optical losses by evaluating the portion of rated lamp lumens delivered to the w orkplane.

**•** Light Distribution: TER builds upon LER . LER previously only looked how much light left the luminaire versus in the input power. TER factors in the light distribution via CU. The light reaching the target is most important for a fixture. TER has different targets defined for different fixture types.

TER takes luminaire general applications into consideration, allowing for different classifications ( e.g. , indoor and exterior, subdivided into specific applications with both groups). However, TER has many different values for the different luminaires. Each luminaire type has a different TER calculation method and value. Even though fixtures will generally fall within one of the different classifications for TER purposes, there are certain fixtu res that can fall within multiple categor ies of luminaire due to their designs

. TER has been incorporated into some pending outdoor lighting legislation currently in congressional review.3

- 14 3.2.6 Historical Shipments

Awareness of annual equipment shipment trends i s an important aspect of the market assessment and the development of the standards rulemaking. For this rulemaking, DOE used publicly available HID lamp fixture shipments from the U.S. Census from 1993 to 2001 10 , lamp shipment data from the HID determinati on e

DOE used this data for three main purposes. First, the shipment data and market trend information contributed to the shipments analysis and base

- case forecast for metal halide fixtures ( chapter 9 of the preliminary TSD). By using historical shipment data and expert opinion on market trends and calibrating forecast assumptions with recent data, DOE believes it has based the shipments model and base

- case forecasts on a sound dataset

. Second, DOE used the data to select the representative product classes and representative units for anal ysis (chapter 5 of the preliminary TSD)

. Third , DOE used the data to develop the installed stock of fixtures for the national impact analysis (chapter 10 of the preliminary TSD). Based on its understanding of trends in the market, DOE estimated how the mar ket would respond to various candidate standard levels. , confidential lamp shipments from 2002 to 2008 from NEMA, and market trend information from manufacturers to develop historical shipment for metal halide lamp fixtures from 1993 to 2009.

3.2.6.1 HID Lamp Fixtures Shipments

The U.S. Census historical shipment data for HID lamp fixtures is broken down into market sectors including commercial and institutional

, industrial

, and outdoor lighting. Within each market sector, the shipments are categorized by a variety of applications. Different applications under the commercial and institutional sector include surface or pendant, indirect lighting, recessed insulation contact (IC), and recessed non

- I C. Under industrial, shipments are broken into applications including general lighting and hazardous lighting. For outdoor lighting, shipments are broken into street and highway lighting, general purpose floodlighting, HID sports lighting, and HID area and site lighting. Although the Census data includes metal halide lamp fixtures in the figures, it does not separate metal halide lamp fixtures from other sources such as high pressure sodium (HPS) or mercury vapor (MV) lamps.

Figure 3. 2

. 1 depicts the HID lamp fixture market based on shipments reported to the U.S. Census in 2001.

e A f inal d etermination c oncerning the p otential f or e nergy c onservation s tandards for H ID Lamps was published in the Federal r egister on July 1, 2010. 75 FR 37975, The document in its entirety can be found at: http://www1.eere.energy.gov/buildings/appliance_standards/commercial/high_intensity_discharge_l amps.html3

- 15 Figure 3.2

. 1 2001 HID Fixtures Market Share by Segment

Table 3.2.3 shows all of the HID lamp fixture shipments from the U.S. Census from 199 3 to 200 1

. Commercial and Institutional Type 10%

Industrial Type 34% Outdoor Lighting

56%3

- 16 Table 3.2

. 3 U.S. Census Shipments of HID Lamp Fixtures from 1993 to 2001

HID Fixtures Market Segments Shipments by Year (value in thousands)
1993 1994 1995 1996 1997 1998 1999 2000 2001

Electric Lighting fixtures, commercial and institutional type (except portable

and spotlight) HID surface or pendant 191 167 128 163

- - - - - indirect lighting 81 88 53 43 281 214 246 274 289
recessed non

- IC (3

- inch

minimum clearance from ceiling insulation) open reflector 464 370 586 576 342 337 725 758 509

enclosed 337 335 201 188 141 110 201 226 203

re cessed IC (direct contact with ceiling insulation ) open reflector

- - - - - - - - -
enclosed 20 15 13 8 7 3 16 27 33

Electric lighting fixtures, industrial type General lighting (except portable) HID including integrally mounted and remote ballasts open reflector 928 1495 1691 1755 2319 2095 1878 2277 1879
enclosed 900 902 1095 1240 1724 1587 1403 1531 1374 parking garage lighting (fixtures designed specifically for this application) 104 136 120 111 151 123 149 360 247

Outdoor lighting equipment, excluding lamps Street and highway lighting luminaries, including bridge and tunnel lighting HID types, including low pressure sodium and integrally mounted

and remote ballasts open 503 528 476 546 605 613 2721 561 565

enclosed 1266 1286 1361 1229 1382 805 1308 1376 1229

Floodlighting, area, and site lighting luminaires General

- purpose floodlighting HID types, gen er al, including low pres s ure sodium and integrally mounted and remote ballasts 1028 1103 1184 1363 1596 1371 1475 1390 1326

HID sportslighting (fixtures designed specifically for this application) 148 160 174 181 231 251 267 252 252

HID area and site lighting site lighting (under 20

- foot mounting) 1786 1935 1285 2668 2103 2131 1350 1452 1477

bollards 33 39 50 58 81 80 94 97 97 post

- top 99 100 135 128 145 143 144 137 142 large area lighting (20

- to 60

- foot mounting) 470 482 453 761 829 755 829 828 794

Totals 8,358 9,141 9,005 11,018 11,937 10,618 12,806 11,546 10,4163

- 17 3.2.6.2 Estimated Historical Metal Halide Lamp Fixtures Shipments

To develop metal halide lamp fixture historical shipments from 1993 to 2001, DOE used the U.S. Census HID lamp fixture shipments and lamp shipments by type used in the HID determination. For each year, DOE received information on total metal halide lamps shipped and compared with total HID lamp shipments. DOE then applied the same percentage of metal halide lamps to the U.S. Census HID lamp fixture data to estimate total metal halide lamp fixtures shipments from 1993 to 2001. The percentages and methodology is discussed in more detail in Chapter 9 of the preliminary TSD. Table 3.2

. 2 shows the estimated historical shipments for metal halide lamp fixtures from 1993 to 2001.

Table 3.2

. 1 E stimated Historical Shipments of Metal Ha lide Lamp Fixtures from 1993 to 2001
Year Estimated Total Metal Halide Lamp Fixture Shipments* 1993 2,701,000 1994 3,219,000 1995 3,885,000 1996 4,292,000 1997 4,884,000 1998 5,698,000 1999 6,697,000 2000 6,697,000 2001 6,771,000 * Shipments rounded to the nearest thousand
DOE’s estimates show that from 1993 to 2001 metal halide lamp fixtures shipments have approximately doubled. In terms of growth, the market showed an average of 10 % per year between 1993 and 2001. In comparison HPS fixtures, a possible alternative to metal halide in certain applications, had an average market loss of 7 % per year for the same time frame.

For 2002 to 2009, because U.S. Census data is not available for HID lamp fixtures, DOE used confidential lamp shipment infor mat ion and estimated market shares of metal halide fixtures to estimate total metal halide lamp fixtures shipments per year. The estimated market shares of metal halide lamp fixtures is based on the historical U.S. Census data from previous
years

. Table 3.2

. 2 shows the estimated historical shipments for metal halide lamp fixtures from 2002 to 2009.

Table 3.2

. 2 Estimated Historical Shipments of Meta l H alide Lamp Fixtures from 2002 to 2009
Year Estimated Total Metal Halide Lamp Fixture Shipments* 2002 6,956,000 2003 7,102,000 2004 7,362,000 2005 7,866,000 2006 8,108,000 2007 8,157,000 2008 7,552,000 2009 7,741,0003

- 18 * Shipments rounded to the nearest thousand
In terms of growth, the market showed an average of 1.54 percent growth per year between 2002 and 2009. Due to overall market downturn, which was also expressed by manufacturers during interviews, DOE estimates shipments significantly decreased in 2008

. Also, manufacturers in general estimate that alternative technologies such as fluorescent lamps and LEDs have captured significant market share. Fluorescent technology has improved and its lower cost has attracted consumers. Additionally , LED fixture costs have significantly decreased due to competition in the market along with increase in consumers’ request for low maintenance and more efficacious technologies. In general, manufacturers predict that HID applications will eventually be

ov ertaken by LEDs but will have to go through a transitional period. For a complete explanation on how DOE estimated historical shipments and additional information on shipments, see chapter 9 of the preliminary TSD.

3.3 TECHNOLOGY ASSESSMEN T

The purpose of the technology assessment is to develop a preliminary list of technologies that could be used to improve the efficiency of metal halide lamp ballasts that are incorporated in metal halide lamp fixtures. The following assessment provides a description of the b asic construction and operation of metal halide fixtures, lamps, and ballasts, followed by technology options to improve efficiency of metal halide ballasts

.

3.3.1 Metal Halide Lamp Fixtures Overview

Since the inception of metal halide lamps in the lighting mark et in the late 1960’s, metal halide lamp fixtures have evolved from a few industrial applications to a vast array of uses such as residential applications, commercial retail, sports lighting, warehouses, hangars, airports, libraries, natatoriums, and sever al other industrial applications. Technology advances in both lamps and ballast s have significantly increased the energy efficiency of metal halide lamp fixtures. Also, manufacturers have made optional fixture components available, such as daylight

sensors or occupancy sensors, which add both functionality and overall energy savings for the end user.

3.3.1.1 Basic Metal Halide Lamp Fixture Structure

The basic metal halide lamp fixture is comprised of a lamp, ballast, ballast housing or structure, optics, and wiring . Ballast housings are typically made of plastic, aluminum, or different types of steel. There is a variety of optics used, which are typically made of glass, acrylic, aluminum, or sheet metal. The shape and reflectivity of the optics are key factors in de termining how effective the fixture distributes light to the desired target. Fixtures are commonly sold with lamp s and ballast s . Manufacturers also offer additional components as options depending on the application. Table 3.3

. 1 shows the basic structure of a typical metal halide lamp fixture.3

- 19 Enterprise 22
, Source: Cooper Lighting

- Lumark Figure 3.3

. 1 Metal Halide Lamp Fixture Structure

Fixtures generally fall within two basic categories: indoor and outdoor. The following section discusses types of luminaires within each category. While it is not an exhaustive list, the discussion provides detail on different fixtu res that are common within each category. Also discussed are additional options manufacturers offer in fixtures that reduce overall energy consumptions.

3.3.1.2 Indoor Fixtures

Down l ight

Downlights are fixtures with light distribution directed downward onto a hori zontal plane. Downlights usually incorporate a tight optical cut

- off of 45° to 50°. 11 These fixtures may be recessed or surface

- mounted. Construction includes aluminum or similar metal structure with optics, wiring, and either ballast housing or remote ball ast. Typical applications include shopping mall or clothing stores, museums, or residential where lighting fixture is recessed into a lower ceiling. Typical power ratings are 70 or 100 W. Similar to high

- and low bay fixtures, the ballast housing is more m odular and an increase in ballast size would not likely require an entirely new fixture.3

- 20 Lithonia LP6HN Open PAR, Source: Lithonia Lighting Figure 3.3

. 2 Example of Recessed Downlight Metal Halide Lamp Fixture

High Bay

High bays provide general illumination to an area where the floor

- to

- ceiling height is greater than 25 feet. Most common construction includes aluminum or plastic ballast housing with wiring near the mounting location a nd optics attached below the ballast housing. An increase in ballast size might require a larger ballast housing (shown as the white box near the top of Figure 3.3.3), but would be unlikely to affect the optical portion of the fixture. The luminaire is gen erally hung via chain or hook rather than mounted. Typical applications include hangars, retail stores or warehouses, or industrial applications with high ceilings. Manufacturers offer different ballast options including both magnetic and electronic type. Wattage range varies from typical 250 W up to 1000 W.

Lithonia TPG High Bay, Source: Lithonia Lighting Figure 3.3

. 3 Example of High Bay Metal Halide Lamp Fixture

Low Bay

In contrast to high bay, low bay luminaires provide general illumination to an area where the fl oor

- to

- ceiling height is less than 25 feet. Most common construction includes aluminum or plastic ballast housing with wiring near the mounting location and optics attached below the ballast housing. Because the wattage range is less than high bay, there is less thermal protection3

- 21 from the lamps to other components of the fixture. The luminaire is generally hung via chain or hook rather than mounted. Typical applications include retail stores or warehouses, some parking garages, or industrial applications with low ceilings. Manufacturers offer diffe rent ballast options including both magnetic and electronic type. Wattage range varies from 70 W up to 400 W.

Lithonia SX PA25D Low Bay; Source: Lithonia Lighting Figure 3.3

. 4 Example of Low Bay Metal Halid e Lamp Fixture

Upl ight

In opposition to downlight , an uplight fixture has a light distribution directed upward onto a horizontal plane or vertical surface. Uplight s usually incorporate a tight optical cut

- off of 45° to 50°. 12

3.3.1.3 Outdoor Fixtures These fixtures may be recessed or surface

- mounted. Construction includes aluminum or similar metal structure with optics, wiring, and either ballast housing or remote ballast. Typical applications include airports, double height spaces, museums, and natatoriums. Wattage range varies fro m as low as 70 W up to 1000 W

.

Area/Roadway (Streetlight)

Area/roadway fixtures designed to produce reasonably uni form illuminance on streets, roadways , and or parking areas. Most common construction includes wiring, optics and ballasts enclosed by an aluminum or steel housing. These fixtures are generally mounted on poles or vertical surfaces such as building walls. With improvements of weatherization a nd electrical design, manufacturers are beginning to offer ballast options, including electronic ballasts, beyond the common coil and core magnetic ballasts. Common wattage range varies from 70 W up to 400 W.3

- 22 Lithonia KSE, Source: Lithonia Lighting Figur e 3.3

. 5 Example of Area/Roadway Metal Halide Lamp Fixture

Bollard

Bollard fixtures designed to be installed along pathways and in front of buildings

. Bollards can be simple pathway post lights as well as robu st post s used to provide a barrier and to keep vehicles from leaving roadways. Construction can be aluminum, steel or even concrete for stronger applications. Optics are usually mounted near the top of the post structure and ballasts can be either remote o r included in the fixture. Wattage range is commonly limited to 250 W.

Lithonia KBE, Source: Lithonia Lighting Figure 3.3

. 6 Example of Bollard Metal Halide Lamp Fixture

Canopy

Canopy fixtures are designed to be installed under canopy structures. These fixtures may be recessed or surface

- mounted. Construction includes aluminum or similar metal structure with acrylic optics, wiring, and ballast housing. Canopy fixtures are most commonly installed in gas stati ons and garages. Typical power ratings are 150 W or 250 W.3

- 23 Lithonia KACM

, Source: Lithonia Lighting Figure 3.3

. 7 Example of Canopy Metal Halide Lamp Fixture

Cobrahead

Similar to area/roadway fixtures, cobraheads are designed to produce reasonably uni form illuminance on streets and roadways . These fixtures have been available in the market for more than 50 years but have gone through several changes, including the addition of metal halide technology and, most recently, LED. Mounting is usually done on a curbside pole, with a n arm extending out over the roadway and the fixture at its end. Robust c onstruction includes aluminum or similar metal structure with acrylic drop

- bowl optics, wiring, and easily accessible ballast housing. Cobraheads are only used in roadways and street lighting applications. Wattage is commonly found in the 250 W range, but can be as high as 400 W.

Lithonia CHL, Source: Lithonia Lighting Figure 3.3

. 8 Example of Cobrahead Metal Halide Lamp Fixture

Floodlight

Floodlights are multi

- purpose fixtures designed to supplement other lighting or to provide illuminance to a wide area. Construction includes aluminum or similar metal st ructure with acrylic or glass optics, wiring, and either ballast housing or remote ballast. Yoke

- mounted fixtures used to supplement area/parking lot luminaires. These fixtures are generally yoke

mounted on building surfaces or on the ground. Typical appli cations include parking lots,3

- 24 recreation areas, building facades, monuments, airports and docks. Wattage range varies from as low as 70 W up to 1000 W

.

Lithonia TFL, Source: Lithonia Lighting Figure 3.3

. 9 Example of Floodlight Metal Halide Lamp Fixture

Parking Garage

Parking Garage fixtures are designed to light ramps and parking areas of parking
structures. Construction includes aluminum or similar metal structure with acrylic or glass optics, wiring, and ballast housing . These fixtures can be s urface

- mounted or slightly suspended . Due to parking structures’ typical ceilings heights of less than 12 feet, these luminaires are l imited to lamps rated at or less than 500 W.

Lithonia PGR, Source: Lithonia Lig hting Figure 3.3

. 10 Example of Parking Garage Metal Halide Lamp Fixture

Post

- Top

Post

- top fixtures are designed to be mounted directly on top of light post s and to provide general lighting

. Unlike other fixtu res that typically hang from ceilings or are installed on arms protruding from poles, post

- top fixtures are installed directly on top of poles. Construction includes aluminum , sheet metal, or similar metal structure with acrylic or glass optics, wiring,3

- 25 an d ballast housing . These fixtures have been associated with Dark Skies initiatives f noncompliant fixtures because of their inherently poor fixture efficiency. Typical applications include street sidewalks, and parks

.

Lithonia TCL, Source: Lithonia Lighting Figure 3.3

. 11 Example of Post

- Top Metal Halide Lamp Fixture

Sports Lighting

Sports lighting fixtures are designed to provide necessary lighting for sporting venues. For light

- weight c onstruction , the se fixtures are made of either aluminum or light

- weight sheet metal with acrylic o ptics . They include wiring and are typically remote ballast ed. Because of the application, these fixtures are typically mounted in groups of 20 or more fixtures for maximum

a rea coverage and light intensity. Additionally, because of the significant mounting heights and necessary light intensity, wattage is typically in the 1000 W range or higher.

Lithonia TSP, Source: Lithonia Lighting Figure 3.3

. 12 Example of Sports Lighting Metal Halide Lamp Fixture

Wallpack

f Initiatives following the The International Dark

- Sky Association ’s (IDA) movement to limit light pollution.3

- 26 Wallpack fixtures are designed to be a self

- contained fixture mounted to vertical wall surfaces. Construction includes aluminum , sheet metal, or similar metal structure with acrylic or glass optics, wiring, and ballast housing . With inherently poor fixture efficiency, wallpacks direct light downwards but most of the time end up spraying light out as glare. Typical applications include building wall s lining parking lots, parking structures, or any other outdoor building walls were directional lighting is not necessary

. Typical power rating is 150 W.

Lithonia TWP Wall Pack, Source Lithonia Lighting Figure 3.3

. 13 Example of Wallpack Metal Halide Lamp Fixture

3.3.1.4 Energy Related Fixture Options

Lighting Controls

Generally, light sources are equipped with lighting controls for aesthetic or energy management control in addition to ASHRAE/IESNA 90.1 and other ene rgy code compliance. Metal halide fixture lighting control technologies to conserve energy include: switching devices, timing and sensing devices, and dimming controllers.

Switching Devices: Switching decreases energy consumption by limiting the number of operating hours to only the times when light is needed. Although increasing switching frequency increases re

- lamping costs, the energy savings associated with decreasing operation hours outweighs the new fixture costs. Electric Power Research Institute ( E

PRI) Controls Pattern Book analyzed the trade

- offs between increased costs and amount of energy saved, and concluded that energy cost reductions surpasses the costs of re

- lamping by 6 to more than 20 times. g

Because metal halide lamps have extended warm

- up periods and can take up to several minutes to restrike after having been extinguished, two

- level systems (also called bi

- level, stepped, or hi

- lo systems) are used so that the lamp remains warm, ensuring quick transition from low to full light. Bi

- level switching can lead up to 10% energy savings in retail
ap plications. Specific luminaires with two

- lamp tandem wired ballasts and circuit switch legs, or multistep ballasts are capable of multilevel lighting controls. Additionally, time delays, discussed later, can be incorporated into the system to optimizing the switching schedule.

13

g EPRI Controls Pattern Book , Rundquist, McDougal, et al, 1996. Multistep ballasts are used to step3

- 27 down the lamps in a luminaire, eliminating uneven appearanc e by reducing lumen output of all of the lamps without the need to switch any off. Multilevel ballasts which provide ability to be switched between two or more illuminances and provide a low

- cost, but limited control approach for dimming. Multilevel ballas ts that change illuminance in steps, and switching systems in general, are most practical in warehouses, parking garages, tunnels, and daylighting applications.

Timing and Sensing Devices: Timing and sensing devices are meant to control lighting in
respon se to known or, as previously mentioned, scheduled sequences of events ( i.e

. , to turn off lights when they are not needed.) Time delays often work in conjunction with sensing devices to determine the interval between the last detected motion and the switch ing off of the fixtures. Some products have fixed settings, while most have adjustable time delay settings. Timing devices are also coupled with override functions to accommodate deviations from schedules, and may be coupled with microprocessors which can control multiple events and lighting effects. 14

Photosensors, a type of sensing device, use electronic components that transform visible radiation, or light, into an electrical signal which is then used to control another system or lamp. Photosensors are ty pically used to detect when an outdoor lamp should be turned on and off. 15 These sensors are either immune to or filtered from ultraviolet (UV) or infrared (IR) radiation. Photosensors are either in an open

- or closed

- loop system. An open

- loop system is one in which the photocell responds only to daylight levels, but is still calibrated to the desired light level received elsewhere, such as on the floor of the warehouse. Most frequently, open

- loop photosensors are used in warehouse high rack areas, where the lighting levels must be calibrated separately from photosensors in open areas. 16

The alternative to photosensors is occupancy, or motion sensors. Occupancy sensors are meant to automatically switch off fixtures when spaces are unoccupied, and to switch fi xtures on when they are occupied or light is needed. Electrical consumption is reduced by cutting the number of operating hours. These sensors take advantage of incomplete occupancy loads during periods of peak electric use. Occupancy can be sensed by audi o, ultrasonic, passive infrared, or optical means. Most occupancy sensors used in commercial applications use passive infrared (IR) or ultrasonic motion

- sensing technologies. Passive IR occupancy sensors respond to the movement of IR sources using a pyroel ectric detector located behind an IR

- transmitting lens. Ultrasonic occupancy sensors transmit pressure waves at an inaudible frequency to detect motion within the space. Energy savings are earned when the sensitivity of the occupancy sensor and time delay are specifically calibrated to operate effectively for an area.

Dimming Controllers: Dimmers are resistors that rapidly shut the electrical circuit in a fixture on and off, ultimately reducing the wattage and lumen output of the lamps

. Special magnetic or electronic dimming ballasts are required for metal halide fixtures. These ballasts can be dimmed down to 10 or 20% of the maximum light output. However, unlike fluorescent dimming ballasts, metal halide dimming ballasts typically lose significant luminous efficacy after the lumen output drops to around 30% of maximum output. h Although the efficacy levels may depreciate after significant dimming, commercial dimming still offers significant lifetime savings over systems without dimming options. Average energ y savings from dimming in typical 1200 W commercial loads can be up to 20%. 17

h Heschong Mahone Group Additionally, certain dimming ballasts can be3

- 28 located away from the control panel by transmitting their individually coded identification number for special IR remotes or wall box controllers, leading to potential energy savings.

Emergency and Standby Circuitry

There are many regulations covering and defining emergency lighting; these specifications include UL standards, national safety requirements (such as The National Fire Pro tection Agency’s Life Safety Code (NFPA 101) Articles 7.8 and 7.9, NFPA 70 (National Electrical Code; NEC), and Occupational Safety and Health Administration (OSHA) regulations), and building codes (such as UBC, IBC, state, and local codes). While these

re gulations do not contain rules specifically for metal halide lamp fixtures, sometimes a fixture’s added emergency lighting utility will be necessary to have its location meet standards. Metal halide lamp fixtures have options for emergency lighting, requir ed standby systems, and optional standby systems that provide the needed illumination while limiting the use of backup energy.

Emergency Circ uit Module: Some metal halide fixtures incorporate an optional emergency circuit module (hereafter ECM). The ECM o perates and controls an additional lamp that is part of the fixture, but not wired to the ballast. This backup lamp, typically incandescent or halogen, is wired by a separate circuit to the emergency power source of the application (e.g., a building’s back up generator). In the case of a power outage, the ECM turns on the extra lamp to provide illumination while using only a minimal amount of power (e.g., backup lamps commonly use between 100

- 250 W).

Auxiliary Lamp Module: Some metal halide lamp fixtures in corporate an optional auxiliary lamp module (hereafter ALM) to comply with optional standby lighting system regulation. The ALM operates and controls an additional lamp wired through a dedicated (usually 120 V) tap from the ballast. This backup lamp, typic ally incandescent or halogen, provides temporary low

- level illumination in the event of a momentary power interruption until the metal halide lamp restrikes. Additionally, the ALM is activated in case of lamp failure.Metal Halide Lamp Ballast Technology Op tions

3.3.2 Basic Structure of Metal Halide Lamps

A standard metal halide lamp comprises an arc tube, a bulb (or outer jacket), electrical connections, and a base. The arc tube, commonly made of quartz or sintered alumina, is the light

producing portion of the lamp. As in the older MV lamps, the metal hal ide arc tube is filled with a pressurized mixture of mercury vapor and noble gases (commonly argon). Unlike the MV lamps, metal halide lamps contain metal halide salts that radiate at different frequencies when ionized. The specific elements involved vary by application and type of light desired, and help produce a fuller spectrum and better coloring rendering relative to MV lamps.

The arc tube is surrounded by an outer bulb that protects the inner components, provides a structure for mount ing them, and ret ains heat and ultraviolet radiation. In lamps rated for use in “open fixtures,” the arc tube is surrounded by an additional glass shroud that protects the outer jacket in the event of an arc tube explosion. Lamps may be single

- ended ( e.g., screw

- type or ba yonet

- type lamps) or double

- ended (i.e., requir ing electrical connection at both ends of the outer bulb )

.3

- 29 Like other gas discharge lamps, metal halide lamps exhibit negative differential resistance. Because their resistance declines with increasing current, they are unable to regulate their own current and require ballasts to operate. When cold, however, the gas resistance is relatively high and the ballast’s operating voltage is not usually enough to establish an arc. To overcome this problem, two p rimary starting methods are used: probe and pulse.

In a probe

- start lamp, there is a third, starting electrode present in the arc tube. The starting electrode is closer to the opposite side of the lamp than the operating electrode, and requires less voltag e to overcome the cold gas’ resistance. Once an arc is struck , a bimetal switch heats and re moves the starting electrode from the circuit, allowing the operating electrode to take over. The addition of a third electrode and moving parts can make probe

- star t lamps less consistent over their lifetimes in color and lumen output than their pulse

- start cousins, and the industry has begun to move away from probe

- start lamps.

In a pulse

- start lamp, there are only two electrodes. T he pulse

- start ballast strikes an arc by generating a high

- voltage pulse (typically several k ilo

- Volts (kV) ) using a special circuit called an “igniter.” This simpler, more reliable lamp comes at the cost of a more complex ballast. Some manufacturers advertise a third starting method calle d resonant start, which uses electronic controls to more gradually build up to ignition voltage. DOE’s understanding is that this method is closely related to pulse

- start, in that both use two electrodes and accomplish their function through higher voltage instead of a shortened arc length. In principle, igniters allow pulse

- start and resonant

- start lamps to operate at higher fill pressures, which can reduce electrode sputtering and extend lamp life.

Arc tube s for both probe

- start and pulse

- start lamps are typically made of either fused quartz or sintered alumina . Quartz tubes typically use a white coating at their ends to reduce thermal losses

. Alumina arc tubes, often called “ceramic,” are less permeable to certain metal halide ions and, consequently, are thought to offer better color stability, color rendering, and luminous efficacy. Studies done by manufacturers have shown that it is difficult to operat e ceramic metal halide (CMH) lamps at high frequencies because higher fill pressures tend to move destru ctive resonant modes upwards in the spectrum. Particularly at smaller bulb sizes, the frequencies required to avoid those resonant modes are often on the order of a megahertz (MHz)

, frequencies which can produce electromagnetic interference ( EMI )

. A ll comm ercially available CMH lamps operate at low (sub

- resonant) frequencies

, between 0 and 400 Hz

. An elliptical ly shaped outer bulb or envelope , usually made of borosilicate glass, contains the arc tube. The bulb protects and buffers the arc tube and internal electrical connections from the environment. The outer envelope contains low

- pressure inert gas ( e.g. , nitrogen) or a vacuum, which not only helps minimize the oxidation of internal components, but also provides a margin of safety against threat of arc tub e rupture (also known as non

- passive failure). The outer envelope also provides additional thermal buffering for a more stable arc temperature. The glass itself absorbs the majority of ultraviolet radiation. 20

Inside the outer bulb are conductors

, to supply the arc tube with electricity, and structural metal components

, to support it. There might be other, minor components also within the outer bulb , including resistors, diodes, and small tabs called “getters” that hel p absorb impurities. Like other HID lamps, metal halide lamps often have bases resistant to corrosion.3

- 30 3.3.3 Metal Halide Lamp Ballast Overview

Metal halide lamp ballasts are “devices that, by means of resistance, inductance, capacitance, or electronic elements , singly or in combination, control the current, voltage, and waveform for proper lamp starting and operation.” ( American National Standards Institute ( ANSI ) C82.9

- 1996). The following sections discuss basic ballast operation of both ballast types: electro magnetic (“magnetic”) and electronic.

A ballast has three primary functions:

1. To establish an electric arc through the lamp 2. To limit current through the lamp after ignition 3. To compensate for variations in line voltage and ensure consistent lumen output

Magn etic ballasts were the first technology used to operate lamps; e lectronic ballasts were developed later because of their higher efficiency. Section 3.3.4 provides additional discussion on these and other technology options that can be used to increase the efficiency of metal halide lamp ballasts.

There are many performance parameters used to describe the operation of a metal halide lamp ballast. These include ballas t efficiency, starting method, power factor (PF) , total harmonic distortion (THD), and EMI. These performance parameters are briefly discussed in the following sections

.

3.3.3.1 Ballast Efficiency

Although the metal halide lamp test procedure requires a reference lamp for the test setup , metal halide ballast efficiency is a purely electrical metric and requires no photometric measurements. Ballast efficiency is measured in accordance with section 6.0 of ANSI C82.6, and equal to the ratio of lamp input power to ball ast input power.

3.3.3.2 Starting Method

Metal halide lamp ballasts can be categorized by the manner in which they operate the lamp, or more specifically, how the lamp is started. Metal halide lamps require a lower voltage t o start than to operate . Before starting , the non

- ionized lamp compounds present a relatively high impedance tha t the ballast must overcome. As the arc is struck, the lamp gases ionize to form a plasma whose impedance decreases with increasing current. As previously stated, b allasts commonly use two different starting methods: probe

- start and pulse

- start. Starting method can affect efficacy, color rendition, restrike time, and lumen depreciation.

Pulse

- start lamps, as mentioned in section 3.3.2 , have two electrodes that are used to both start and operate the lamp. The ballast alone is unable to supply a breakdown voltage, and requires a separate component called an “igniter” to prov ide the arc

- establishing voltage pulse. In magnetic ballast s , there is an obvious physical distinction between the igniter and the “run” section of the ballast; in electronic ballasts the separation is less evident. Furthermore, an igniter allows an exting uished lamp to be re

- ignit ed well before the gas has cooled to temperatures at which a probe

- start ballast could restrike the arc.3

- 31 Probe

- start ballasts overcome the cold gas’ breakdown voltage through use of a third, starting electrode. The starting electr ode is longer and allows an arc to be struck with a lower voltage. As the lamp runs and heats, a bimetal switch disconnects the starting electrode

, and the primary, running electrode takes over. Even with the starting electrode, however, probe

- start lamps cannot be pressurized to the more efficient levels that pulse

- start lamps are. The extra electrode introduces one more possible source of contamination, affecting lamp life and color rendition. EISA 2007 required probe

- start ballasts to be 94% efficient, e ffectively relegating them to uncovered wattage ranges.

Resonant starting is exclusive to electronic ballasts. Although some resonant

- start ballasts are design ed to work in conjunction with specific lamps, most operate with ordinary pulse

- start lamps. While pulse

- starting strikes an arc using a high voltage pulse (or pulse train), resonant starting delivers alternating current at one of the lamp’s resonant modes, rapidly building voltage until gas breakdown occurs. In additi on to potentially being gentler on the lamp, resonant starting might not require specialized, pulse

- creating hardware. Resonant starting has its hazards however, especially in hot restrike situations where the gas impedance is higher than usual. The arc is more difficult to strike, allowing voltage to build to the point where components of the system sustain damage. Resonant starting is less standardized than pulse

- start, and can be reliably employed only in certain lamp/ballast combinations.

Manufacturers have marketed pulse

- starting as an energy

- saving technology in metal halide lighting. DOE’s current understanding is that the primary advantage to pulse

- starting comes in increased lamp efficacy, rather than better electrical efficiency in the ballast itse lf. Nonetheless, the ability to operate a more

- efficacious pulse

- start lamp is a feature that DOE believes could result in significant energy savings. As a result, DOE is considering a design standard that encourages pulse

- starting, discussed in Chapter 5 of the preliminary TSD.

3.3.3.3 Power Factor

P ower F actor (PF) is equal to the ratio of the active power to the apparent power. PF depends on the current’s wave shape as well as the phase angle between the current and the voltage. The power input is measured with a wattmeter capable of indicating the average power in watts. The ballast input voltage multiplied by the ballast input current is the ballast’s apparent power (ANSI C82.13

- 2002).



### Current Input Ballast Voltage Input Ballast Input Power Factor Power
**∗ =** 

Equation 3

. 1

Where:

**=** r PowerFacto power factor,



### = PowerInput input power in watts to ballast,



### = utVoltage BallastInp input voltage in volts to ballast, and



### = utCurrent BallastInp input current in amps to ballast.3

- 32 Power factors range between 0 and 1. A power factor of 1 indicates that the voltage and current waveforms are in phase; a power factor of 0 indicates that voltage and current are ninety degrees out of phase and that no real power is being transferred. Metal halide ballasts can be characterized by two classes of power factor: high power factor (HPF) of 0.9 or greater and normal power factor (NPF) of 0.6 or greater. HPF ballasts use about one

- half the current of NPF ballasts. For magnetic ballasts

, the primary cause of low power factor is the inductance of the ballast transformers. It can be corrected with the addition of a suitable capacitance. In electronic ballasts, low power factor is due primarily to total harmonic distortion (defined in the following section 3.3.3.4 ) caused by a nonlinear load. According to ANSI C82.77

- 2002, commercial metal halide lamp ballasts must have a HPF while residential ballasts (with an input power less than 120 W) must have a power factor of 0.5 or greater.

3.3.3.4 Total Harmonic Distortion

Another important performance parameter is harmonic distortion. Line current harmonics are the components of the line current that oscillate at integer multiples of the fundamental frequency of the power supply ( e.g. , 60 Hz, 120 Hz, 180 Hz ) . Harmonics of a fundamental frequency are an undesirable byproduct of any nonlinear system operation, generating noise and wasted power. Total harmonic distortion refers to the ratio of the root mean square (rms) values of the harmonic content and of the fundamental current, expressed as a percentage. It may also be called harmonic factor:

2 1 2 4 2 3 2 2 ... ) ( I I I I fund THD **+ +**  **+**

**=**

Eq

. 3. 2

Where:

**=** THD total harmonic distortion

, and



### = n 

### I the rms current of harmonic n , where n=1 is the fundamental harmonic.

High THD values are not acceptable and are detrimental to many kinds of electronic devices connected to the power line. They are also considered a “pollutant” to the environment because of radio frequency noise. In related electronic fluorescent lamp ballast products, ANS I C82.11

- 2002 requires that the THD not exceed 32 %

. Metal halide ballast manufacturers also try to limit the THD of their products to reduce compatibility concerns with nearby devices

.

3.3.3.5 Ballast Factor

In contrast with other forms of lighting, metal halide l ighting is not usually understood in terms of ballast factor , a measure of relative light output

.

3.3.3.6 Electromagnetic Interference3

- 33 Many devices found in office environments, such as computers, photocopiers, facsimile machines, and HID lighting systems, can gen erate electromagnetic waves. The effects of these waves vary based on their strength and the susceptibility of nearby equipment. Alternating
current (AC) in electronic devices produces a magnetic field, which in turn induces an AC voltage in a nearby elect ronic device. This process is considered EMI if it interferes with the operation of a device

. EMI takes two forms: conducted or radiated. Conducted EMI occurs when electronic devices induce currents in the local power network that in turn negatively affect other devices on that network. Radiated EMI is associated with the electric and magnetic field inherent in electronic devices. EMI can be minimized with proper grounding and wiring techniques. 18

3.3.3.7 Transient Susceptibility EMI limits for both consumer and non

- consumer lighting produc ts sold in the United States are listed in 47 CFR 18 subpart C. These regulations require that consumer/residential (Class B) ballasts have lower maximum EMI requirements than non

- consumer (Class A) products. The International Committee on Radio Interferen ce has more stringent regulations concerning EMI.

Metal halide lamp fixtures are frequently used in applications that have the potential for voltage spikes and surges caused by lightning strikes, switching contacts , and inductive loads

. These transients pose a serious threat to ballast operation

. While magnetic ballast are somewhat rugged and can withstand 15 to 20 kV, electronic ballasts are more susceptible to drastic changes in voltage and generally cannot withstand a transient greater than 6 kV

. In both cases, the ballasts can be protected by arrestors that either run the interference into the ground, or absorb the excess flow of current

. Such measures are incredibly important for electronic ballasts ; t he preferred arrestor tech nology to protect the ballast against transient s is silicon oxide varistors (SOVs) i

3.3.3.8 Fitted Form . SOVs consist of a pair of metal electrodes separated by a silicon oxide compound. Under normal conditions, the silicon oxide is a good insulator so that no line current fl ows between the electrodes to ground. When an excessively high voltage occurs on the electrodes, the high energy electrical field ionizes the silicon oxide. Since the silicon ion is a good conductor, the high energy current is conducted to ground. When the voltage falls toward normal, the silicon and
oxygen ions recombine, forming silicon oxide and shutting off the conduction. Electronic metal halide lamp ballasts require approximately 10 kV surge suppressors in order to be installed safely in most outdoor applications

.

Magnetic and electronic ballasts come in a variety of form factors to accommodate different applications. Although electronic ballasts have been well miniaturized for low

- wattage, indoor applications ( e.g. , track lighting), therm al requirements make volume reduction difficult at higher wattages. While electronic ballasts tend to be monolithic, magnetic ballasts often have two or more pieces that can be arranged within a given fixture. Furthermore, electronic ballasts might require special mounting within a fixture for heat sinking. Nonetheless, some manufacturers have begun to market electronic ballasts that are “drop

- in” replacements for magnetic units.

3.3.3.9 Dimming

i A similar function can be performed by metal o xide varistors (MOVs).3

- 34 Dimming, or the practice of intentionally operating a lamp at less tha n its rated output, holds enormous energy saving potential. In many lighting applications, it is important to have the ability to quickly summon full output, but less important to have it all the time. Examples of this might be roadways with infrequent tra ffic, daylight

- harvesting buildings, untraveled warehouse aisles, and vacant parks. In certain applications, dimming may be a cost

- effective path toward energy savings. A ballast dimmed to 50 percent input power half of the time would, mathematically, cons ume 25 percent less energy than that same ballast operated always at full output. Depending on the marginal cost of adding dimming capability, it might be far less expensive than purchasing a ballast that were natively 25 percent more efficient (if such a ballast were even available).

Dimming metal halide lamps, however, is not without its challenges. Lamps are designed to stabilize at a certain temperature, of which l ight color and lamp life are a function. As color temperature and color rendering index ( CRI ) are often reasons for choosing metal halide lighting over competing technologies, some applications will find color shift unacceptable. Furthermore, many lamp manufacturers recommend that their lamps be dimmed to not lower than 50 % of rated power. While this may be a good step toward saving energy, it may be inadequate for aesthetic or “mood” lighting. Although electronic ballasts can usually dim continuously from full to minimum output

, and back, magnetic ballasts are usually constrained to stepped dimmi ng, oftentimes only to full and half power. Finally, while the cost of a dimming ballast might not far exceed that of a non

- dimming ballast, costs of hardware needed to regulate the dimming ( e.g. , photosensors, radio receivers, relays, wiring) could be con siderable. Dimming has been successfully used to save energy in a variety of lighting technologies.

Electronic and magnetic ballasts accomplished dimming in different , but analogous , ways. Because ma n y electrical components have properties that vary with frequency, operating power transistors at higher or lower frequencies is a convenient way to limit power transfer to the lamp. Although magnetic ballasts have no ability to modulate frequency, they will change the electrical properties of their circuits in different ways. Constant

- wattage autotransformer ballasts (discussed further in section 3.3.4.1 ) might use a bi

- level capacitor, for example, switched by a relay between the two capacitances.

3.3.3.10 Magnetic Ballasts

Metal halide m agnetic ballast technology is older than electronic ballast technology , and used today for its low cost and tolerance of harsh environments. The primary feature of a magnetic ballast is one or more coils of magnet wire around an iron core; because of this they are often called “core

- a nd coil” ballasts. Apart from the igniter of pulse

- start ballasts, magnetic ballasts contain no power electronics and are, therefore, better equipped to survive voltage transients and high temperatures.

The main components of a magnetic ballast are a magne tic choke to limit the current, a step

- up transformer to obtain a high starting voltage, and a capacitor that corrects for the ballast’s low power factor. Magnetic ballasts operate at an input frequency of 60 Hz and operate the lamp(s) at the same frequenc y.3

- 35 The main core

- and

- coil assembly consists of a capacitor and laminated transformer steel wound with copper or aluminum magnet wire. The assembly is infused with a potting material ( e.g. , hot asphalt , epoxy ) containing fiber such as silica and housed in a steel case. Figure 3.3

. 14 presents a view of a typical core and coil assembly

.

Source: GE Lighting Figure 3.3

. 14 Core and Coil Assembly of a Magnetic Ballast

The core and coil assembly functions as a voltage transformer and current limiter (choke). A capacitor enables the ballast to use energy from the alternating current power line more efficiently, which is then referred to as a HPF or PF corrected ballast. T he purpose of the insulating material is to conduct heat away from the transformer coils and ensure tightness of the transformer coils to eliminate vibration noise.

Particularly at lower wattages , magnetic ballasts are less energy efficient than electronic ballasts

. Magnetic ballasts fail to optimize lumen output for a given wattage. These ballasts also release energy not used to operate the lamp as heat in the transformer windings . In order of increasing cost and complexity, metal halide lamp magnetic ball asts have the following types of circuits: linear reactor (reactor), high

- reactance autotransformer (HX

- HPF), constant wattage autotransformer (CWA), constant wattage isolated (CWI), and magnetically regulated lag (mag

reg or reg

- lag). In general, extra ci rcuitry helps the ballast maintain a constant power output through variations in input voltage.

Linear Reactor

Reactor ballasts are the simplest, smallest, cheapest, and most efficient type of magnetic ballast. Though a capacitor is often employed for pow er factor correction, a reactor ballast can be as simple as a mere inductor in series with the load. It drops more voltage as current increases, stabilizing lamp current at the appropriate point. The major drawback of a reactor ballast is its susceptibilit y to line voltage variation; the commonly used ratio is a 5% voltage dip produces a greater than 10% power dip. Furthermore, the ballast has no ability to modify voltage, meaning the line voltage must be sufficient to run the lamp, often limiting reactor b allasts to 277 V applications.

High

- Reactance Autotransformer3

- 36 With high

- reactance a utotransformer s , the addition of a capacitor to the primary circuit makes it possible for the ballast to provide a high power factor. The high power factor autotransformer is usually designed with an extra capacitor winding within its copper windings in order to provide a more economical and efficient system. The HID ballast ’ s power fact or can be increased to about 90% by combining the extended windings with the capacitor. The input current is reduced, as in the high power factor reactor. Lamp performance and regula tion are also the same at plus or minus 5%

. Currently, HX ballasts account for the majority of sales of magnetic ballasts rated at or less than 150 W.

Constant

- Wa ttage Autotransformer

The CWA HID ballast type should be used where a stabilized light output is required. CWA is an HID ballast type that comes in a fairly small economical size, yet still provides a reasonable degree of regulation. The CWA ballast also o ffers the advantage of a high power factor, low line extinguishing voltage, and line starting currents that are lower than operating currents. The CWA type of ballast is the most commonly used ballast in North America today.

Unlike the HX

- HPFs, which use a capacitor as a parallel component, the capacitor on a CWA ballast type is used in series with the lamp. This alignment provides the lamp with a more stable wattage when voltage on the branch circuit fluctuates. As the capacitor is performing an important ballasting function, it is referred to as a lead circuit. CWA is the most common ballast topology, for its ability to resist line voltage changes and for its lower starting current demands. Although some CWA units rated for lower than 150 W are sold, watt ages higher than 150 W are firmly CWA territory.

Constant

- Wattage Isolated Transformer

CWI ballasts are nearly identical to CWA ballasts in both structure and function, the primary difference being a conventional two

- coil transformer in place of the sing le

- coil autotransformer. At a very slight efficiency cost, CWI ballasts provide better protection against voltage transients, as the low and high sides of the ballast are coupled only magnetically. Though common in Canada, few CWI ballasts are sold in the United States.

Magnetically Regulated Lag

Reg

- lag ballasts are the largest, heaviest, and most expensive topology. Three distinct circuits collaborate to provide the greatest degree of resistance to voltage variation, and reg

- lag ballasts may even sustain lamps through voltage drops of 30%. Reg

- lag ballasts were exempted from standards in EISA 2007, and account for a very small (less than one percent) fraction of the North American ballast market. Due to their large size and high cost, reg

- lag ballasts are unlikely to be substitutes for CWAs or other ballast types.

3.3.3.11 Electronic Ballasts

Depending on wattage, electronic ballasts might be between 2 and 20% more efficient than their magnetic counterparts. Electronic ballasts can be roughly divided into low

- and h igh

frequency types which, respectively, operate lamps far below or above frequency ranges prone to acoustic resonance. Most low

- frequency (LF) ballasts drive their lamps with a “square” wave,3

- 37 while high

- frequency (HF) units usually produce sinusoids. Alth ough HF units are thought by some to be more efficient because of smaller circuitry components and the elimination of a power processing stage from the ballast, metal halide efficiencies do not scale with frequency the same way fluorescent efficiencies do; high efficiency electronic ballasts can be found operating at both high

- and low

- frequencies.

Figure 3.3

. 15 presents a functional block diagram example of a fixed

- li ght output electronic ballast. Auxiliary functions performed by a typical electronic ballast include EMI filtering to block ballast

- generated noise, input rectification, PF correction for sinusoidal input current, a direct

- current (DC) filter, a direct

- cur rent to alternating

- current (DC

- AC) inverter, a feedback/controller for high

- frequency operation, and a final output stage to power the lamp.

Figure 3.3

. 15 Electronic Metal Halide Ballast Block Diagram Sour ce: T. Ribarich, A Systems Approach to Ballast IC Design, El Segundo, CA, 1999, and Philips Semiconductor, Power Semiconductor Applications , 1994.
Figure 3.3

. 1 provides a descriptio n of each component in a typical electronic metal halide lamp ballast, the efficiency impact of these components, and the waveform at each stage of the ballast circuit.

T able 3.3

. 1 Basic Building Blocks of a Metal Halide Lamp Ballast and Associated Characteristics

Circuit Stage Function Efficiency Impact Waveform (not to scale)

EMI Filter Impedes EMI by providing a high impe dance path to EMI and a low impedance path to the desired input. The circuit also protects against high voltage pikes. Very Low

t V3

- 38 Input Rectifier Begins to convert incoming AC to DC using diodes. A full

- bridge rectifier, one type of input rectifier, is composed of four diodes, which “rectify” the full AC waveform as shown in the waveform on the right. The current is not in phase with the voltage. Low

Power Factor

Correction Corrects the current so it is in phase with the voltage. Power factor correction can be achieved through a buck or boost

- converter circuit topology. Low

- Medium

DC Filter Reduces “ripple” of the DC current waveform using capacitors. The most common type of capacitor used is the electrolytic capacitor. Low

DC

- AC Inverter Converts incoming DC to high

- frequency AC. The resonant half

- bridge self

- oscillating circuit is one type of circuit topology that can be used to accomplish this task. Medium

High

Output Stage When the lamp is not started, the circuit operates in resonance to increase output voltage to start the lamp. Once the lamp is started, the circuit operates at a frequency off of resonance to continue operating the lamp. A resonant filter topology is one type of circuit topology used in the output stage. High Starting:

Operation: t V, I

t V, I

t V

t

V

t V3

- 39 Feedback/Controller An integrated circuit (IC) that controls the frequency output of the DC

- AC inverter. It can also protect against under voltage lockout and lamp faults. Low N/A

3.3.4 Metal Halide Lamp Ballast Technology Options

When analyzing equipment efficiency potential, DOE first identifies all of the different ways efficiency could be improved. These technology options are later evaluated on the basis of four statutorily

- prescribed criteria, after which th e remaining selections are called design options. The following sections describe technology options for incrementally improving the efficiency of magnetic and electronic ballasts included in metal halide lamp fixtures.

3.3.4.1 Magnetic Ballasts

There are four mai n ways of reducing losses in magnetic ballasts: improving the core steel, using copper conductor, increasing the stack height, and increasing conductor cross

section.

Improved Core Steel

Electrical steel, placed in a time

- variant magnetic field, loses ener gy in two ways. Eddy currents are small, unproductive currents that dissipate energy resistively, whereas hysteresis is a nonlinearity in the magnetization of a material in response to the magnetic field applied. Electrical steels are made in different gra des that correspond to different losses. Inexpensive magnetic ballasts typically use non

- oriented steel whose magnetic properties are isotropic. Higher grades of steel can be grain

- oriented, where the microscopic structure of the material is optimized for a particular field direction, or amorphous, which has no grain structure at all and the most desirable magnetic properties.

Copper Conductor

Most inexpensive magnetic ballasts use aluminum conductor, which is more resistive than copper conductor of the sam e gauge. Because conductor losses vary in proportion to the resistance of the conductor, lowered resistance yields lower losses and higher ballast efficiency. t V3

- 40 Increased Stack Height

Losses in electrical steel vary with magnetic flux density, with higher fl ux density yielding higher losses. For a given magnetic field, increasing core cross

- section will lower flux density and, therefore, lower losses. Because steel laminations are said to be “stacked” to form a core, increasing core cross

- section is ordinaril y done by adding steel laminations, or increasing the stack height. However, adding steel also adds core losses in the form of eddy currents and hysteresis, and also requires a greater length of conductor, eventually offsetting decreased core losses from i ncreased core cross

- section.

Increased Conductor Cross

- Section

The efficiency of a magnetic ballast could be increased with the use of increased conductor cross

- sections in the windings of the magnetic choke and step

- up transformer. This can be accomplished by both using larger wire gauges (i.e., lower numeric values), multiple strands of wire operating in parallel. Using greater cross

- sectional area in the magnetic component windings decreases the winding resistance and associated losses. Increa sed cross

sectional area in the windings could necessitate a longer core or additional layers of wire if the core length cannot be changed to maintain the same electromagnetic properties. This design option typically corresponds to an increase in manufactu ring cost.

3.3.4.2 Electronic Ballasts

Electronic ballasts contain a wide variety of components and circuit types, leading to many paths to increased ballast efficiency. DOE organized these options into two categories, improved components and improved circuit desi gns. In addition, the use of electronic ballasts instead of magnetic ballasts is also a path to increased efficiency for many wattage ranges. Electronic ballasts use modern, solid

- state components and circuits to perform the same function as magnetic balla sts with lower electrical losses.
Improved Components

A common way to increase the efficiency of electronic ballasts is to improve the quality of their components. Magnetics (transformers and inductors) , diodes, capacitors, and transistors are the main components that affect efficiency.

Magnetics : In electronic ballasts, magnetics influence the efficiency of the EMI filtering

, PFC, and output stage of the ballast. In magnetic ballasts, magnetic componen ts influence the efficiency of the output stage and current

- limiting portion of the ballast.

There are two loss mechanisms associated with magnetics : core losses and winding losses. Core losses involve the magnetic properties of the core material, which e xhibits power losses in the form of hysteresis and eddy currents within the core itself. Winding losses come from the resistance in the winding, typically aluminum or copper. There are several technology options that can decrease magnetic component’s core losses. These options include improved materials such as silicon steel and amorphous steel and increased core size . Litz wire can be used as a technology option to improve a magnetic component’s winding losses.3

- 41 Core losses in magnetic components can be dec reased through four main methods. The material of the core can be varied. DOE has identified two types of core materials that ballasts can use: silicon steel (thinly laminated steel alloyed with silicon) and amorphous steel. Core performance of silicon ste el can be enhanced by magnetically aligning the grain structure in the metal. To further increase the efficiency of the ballast using amorphous materials, one can create the core of the magnetic component from laminated sheets of amorphous steel, insulated from each other. However, this method can increase the size and weight of the ballast. Additionally, the magnetic component’s core can be designed with a larger cross

- section (increased stack height) to reduce core losses , though this method also increase s the size and weight of the ballast.

Winding losses in magnetic components can be decreased via three main methods

. Different materials have different resistive properties and can result in different winding losses. A luminum is the most basic (least efficient) material currently used. Copper is more conductive, and with its ga u ge size optimized for wattage, voltage, and current specifications, and the number of windings increased, winding losses can decrease relative to aluminum

. Winding losses can also be decreased within any material type by increasing the cross section of the wire used for the windings. Finally, f or high

- frequency electronic ballasts

, winding losses become more prominent through two additional loss mechanisms : skin effect and proximity effect

. Skin effect refers to the tendency of AC current to flow through a conductor’s surface or “skin” rather than a conductor’s core. Proximity effect occurs w he n conductors are close together and the magnetic field of one conductor reduce s t he area that the current flows through in another conductor. Litz wire has even lower losses as it consists of a number of individually insulated magnet wires twisted or braided into a uniform pattern

. Because litz wire increases the amount of surface area current can flow through, its use can reduce overall winding losses by decreasing the effective wire resistance.

Diodes: In electronic ballasts, the input rectifier inverts the negative half of the AC sine wave and makes it positive. Several technology options can be used to improve the efficiency of this portion of the circuit. The power consumed by a diode is the product o f the current flowing through the diode multiplied by the voltage drop across it. Conventional diodes have a voltage drop of about 0.6 V. Using Schottky diodes j

Capacitors: In both m agnetic and electronic ballasts, capacitors are used in the PFC and output stage of the circuit design. In electronic ballasts, capacitors are also used in the DC Filter stage of the electronic circuit. One way to improve the efficiency of each portion of the circuit is to use capacitors with low effective series resistance (ESR). Capacitors with a low ESR are also more reliable because they are cooler than capacitors with a higher ESR. could reduce the voltage drop across the diodes by about 0.3 V to 0.4 V.

Transistors: In electronic ballasts, transistors are used in both the power factor correction and the DC

- AC inverter portion of the circuit. The transistor dissipates energy due to its drain

- to

source resistance (R DS_ON ) when the current flows through the transistor to the transformer. Using transistors with low R DS_ON can r educe this loss. For example, the efficiency of electronic ballast’s bipolar transistors can be improved by using metal

- oxide

- semiconductor field

- effect

j A Schottky diode is a metal semiconductor diode with a smaller voltage drop than a conventional diode. Schottky diodes therefore consume less power.3

- 42 transistors (MOSFETs), a transistor with a lower drain

- to

- source resistance. In addition, transistors w ith lower capacitance can reduce switching losses.

Improved Circuit Design

Another method of increasing the efficiency of electronic ballasts is to improve the ballast’s circuit design. Examples of improved circuit design include integrated circuits and im proved starting method

. Integrated Circuits : In certain cases a ballast’s efficiency can be improved by s ubstituting integrated circuits for discrete components . For example, some ballasts use bipolar transistors in a resonant half

- bridge self

- oscillating circuit to convert incoming DC to AC. The efficiency of this circuit can be improved by substituting the components in that circuit with an integrated circuit. Though the inclusion of ICs alone does not automatically increase efficiency, ICs allow for mor e advanced control of other components, which can lead to increased ballast efficiency.

3.4 EQUIPMENT CLASSES

When evaluating and establishing energy conservation standards, DOE divides covered equipment into classes by the type of energy used, capacity, or ot her performance

- related features that affect efficiency, and factors such as the utility of the equipment to users. (See 42 U.S.C. § 6295(q)) DOE then conducts its analysis and considers establishing or amending standards to provide separate standard levels for each equipment class. DOE applied the criteria of 42 U.S.C. § 6295(q) to metal halide lamp fixtures to develop equipment classe s for this preliminary TSD. This section describes the equipment classes DOE considers for this rulemaking.

In amending EPCA, EISA 2007 effectively set four equipment categories for metal halide lamp fixtures based upon the ballasts used and the wattage of the lamps in those fixtures

. I n prescribing initial energy conservation standards for metal halide lamp fixtures, the statute established minimum efficiency requirements for the metal halide lamp ballasts contained in those fixtures. (42 U.S.C. § 6295(hh) (1)(A)) The current equipment categories for metal halide lamp fixtures are presented in Table 3.4

. 1

.3

- 43 Table 3.4

. 1 EPCA Equipment Categories Established by EISA 2007 for Metal Halide Lamp Fixtures (by Ballast Type and Lamp Wattage)

Ballast Type and Starting Method Total Rated Lamp Watts

Pulse

- Start ≥ 150 W and ≤ 500 W

Magnetic Probe

- Start ≥ 150 W and ≤ 500 W

Non

- Pulse

- Start Electronic ≥ 150 W and ≤ 250 W

> 250 W and ≤ 500 W

T he equipment categories for metal halide lamp fixtures set forth in Table 3.4

. 1 are a composite of ballast type and lamp wattage. For pulse

- start metal halide ballasts, EPCA does not distinguish by electronic configuration (magnetic or electronic), so fixtures with eithe r type of pulse

- start ballast would be subject to the statutory standards. Pulse

- start, m agnetic probe

- start, and non

- pulse

- start electronic ballasts are considered separately, with two rated lamp wattage ranges identified for the latter , resulting in a to tal of four equipment categories. In addition, EISA 2007 exempts fixtures that contain certain ballasts such as regulated lag ballasts and electronic ballasts that operate at 480 volts.

In addition to the metal halide lamp fixtures identified in Table 3.4

. 1 , the metal halide lamp fixture market includes fixtures that contain ballasts that operate low

- wattage ( i. e. , less than 150 W) and high

- wattage ( i. e. , greater than 5 00 W) lamps. DOE has also examined recent market trends. For example

, pulse

- start ballasts are gaining market share, whereas probe

- start ballasts are becoming less popular and consequently, losing market share. This market shift has accelerated in 2009. Ba sed on review of catalog information of commercially

- available equipment, the standard levels ( i.e. , the ballast efficiencies) established by EISA 2007 for metal halide lamp fixtures have essentially eliminate d magnetic probe

- start ballasts from the marketplace by requiring a ballast efficiency that is not currently attainable with electromagnetic ballast technology

. Therefore

, this trend is expected to continue. Due to market changes

, and because DOE is anticip ating expanding its scope of energy conservation standards for metal halide lamp fixtures, DOE is considering amending the equipment classes for these fixtures and their associated ballasts. When determining equipment classes, DOE examines characteristics or features commonly found in commercially

- available equipment. For metal halide lamp fixtures, DOE examined several possible characteristics or features that could warrant separation into different equipment classes, including: (1) rated lamp wattage; (2) input voltage; (3) number of lamps per ballasts; (4) lamp starting method; (5) electronic configuration and circuit type ; and (6) fixture application . Each of the listed characteristics or features is discussed in the following sections

.3

- 44 3.4.1 Rated Lamp Wattag e
Metal halide lamp ballasts are available for lamps with rated wattages as low as 20 W and as high as 2

, 000 W. Depending on the application, a specific or minimum light output is necessary. Lamp wattage affects light output with increasing wattage lamp a nd ballast systems generally producing increasing amounts of light. Consumers require varying amounts of light depending on application. For example, low

- wattage (less than 150 W) lamps are mainly used in commercial and some residential applications for ge neral lighting purposes. Medium

- wattage (150

- 500 W) lamps are the most widely used and include warehouse, street, and general commercial lighting. High

- wattage (greater than 500 W) lamps are mainly used in searchlights, stadiums, stage applications, and ot her applications that require powerful white light. The wattage of the lamp and ballast system provides a consumer utility based on its impact on light output. DOE also determined that the wattage of the lamp and ballast system also impacts the efficiency of the ballast. Generally, ballast efficiency increases with increasing power. For electronic ballasts, this efficiency gain can be attributed to the proportion of fixed losses to total losses. For low wattage electronic ballasts, fixed losses contribute t o a larger proportion of total losses than in a high wattage ballast . Magnetic ballasts are essentially transformers (sometimes with capacitors for power correction and ignitors for pulse

- starting), which are understood to have proportionally lower losses with increased wattage. Because wattage can affect both consumer utility (light output) and efficiency, DOE has preliminarily decided to establish separate equipment classes on the basis of wattage.

EISA 2007 defines equipment classes with a single rated l amp wattage range (150

– 500 W) for both pulse

- start and probe

- start metal halide lamp ballasts. For non

- pulse

- start metal halide lamp ballasts, EISA 2007 separates equipment classes into two rated lamp wattage ranges ( ≤250 W and >250 W ). For the framework d ocument, DOE considered defining metal halide lamp fixture equipment classes by including additional lamp wattage ranges. DOE considered including (1) <150 W , (2) ≥150 W and ≤250 W , (3) >250 W and ≤500 W , and (4) >500 W as separate wattage bins to establis h a separation of equipment classes.

DOE carried out additional analysis on the shipment volume and range of efficiencies available in a <150 W class. DOE’s efficiency test results for a ballast wattage representative of the low

- wattage class (70 W) confir med that lower wattage ballasts have significant differences in efficiency depending on the technology ( i.e

., electronic or magnetic ballast). In terms of shipment volume, manufacturers indicated during interviews that lower wattage shipments predominantly fall between 50 W and 150 W, not the <50 W category. Based on the shipment volume and comments received, DOE proposes ≥50 W and <150 W as the lowest wattage bin range. DOE chooses a representative unit in the engineering analysis to ensure technological f easibility of all product in the ≥50 W and <150 W class

. For today’s rule, DOE is considering defining the metal halide lamp fixture equipment classes by the rated lamp wattage ranges ≥ 50 W and <150 W
, ≥150 W and ≤250 W

, >250 W and ≤500 W , and >500 W

.

3.4.2 Input Voltage3

- 45 During interviews and further research of the market, DOE learned that the majority of available metal halide ballasts have the capability to operate at different voltages or have multiple voltage “taps” with different voltages for each tap. M ulti

- taps and multiple voltages benefit consumers and manufacturers by decreasi ng SKU count, allowing the operation of auxiliary equipment, and lowering costs by decreasing part counts and variations of ballasts. DOE’s test results for ballast efficiency showed that although voltage can correlate weakly to efficiency, there is no prevailing relationship ( e.g., higher voltages are not always more efficient) across ballast designs. However, DOE did examine the > 300V category (using 480 V ballasts as
a proxy ) to more fully understand this subgroup.

To study the impact of the ability to operate at 480V, DOE first compared quad

- input

voltage ballasts (ballasts able to operate at 120, 208, 240, and 277 V) and dedicated 480 V units. DOE found that the quad

- input

- voltage ballasts were, on average, 1.2% more efficient. DOE also compared quad

- and quint

- input

- voltage ballasts (ballasts that are able to operate at 120, 208, 240, 277, and 480 V). DOE found that the quad

- input

- voltage ballasts were, on average, 0.4%

mo re efficient.

DOE preliminarily plans to not separate equipment classes by voltages. However, does plan to further consider a separate product class for ballasts capable of operating at 480 V in later stages of this rulemaking.

3.4.3 Maximum Number of Lamps Oper ated

A review of manufacturer catalogs shows that while the vast majority of available ballasts only operate one lamp, a much smaller number are designed for two lamps. The limited catalog information available shows little to no change in efficiency betw een a one

- lamp or two

lamp metal halide ballast. Thus, DOE tentatively decided not to establish separate equipment classes based on maximum number of lamps operated.

3.4.4 Lamp Starting Method

Metal halide lamp ballasts currently available in the market are spe cifically designed to operate with either a probe

- start or pulse

- start lamp, but not both types of lamps at the same time. The main differences between these types of starting methods is the inclusion of a third probe in probe

- start lamps, the need for an igniter circuit for pulse

- start lamps, and the different wiring specification for ballasts of each starting method. Most new applications in the market are pulse

start due to its inherently better efficacy. However, with minor changes to the wiring specifi cation and configuration within a fixture as well as the swap of lamp type, probe

- start ballasts can be replaced by pulse

- start ballasts. Manufacturers also have developed pulse

- start retrofit kits for existing probe

- start applications.

For today’s rule D OE does not further divide equipment classes by the ballast starting method ( e.g

. , pulse

- start or probe

- start). DOE’s initial view is that equipment classes should not be further divided by starting method due to their interchangeability and lack of unique or separate utility that would affect efficiency. To prevent violation of anti

- backsliding provisions under EISA, DOE will maintain EISA minimum ballast efficiency requirements for fixtures with probe

- start ballasts if the analysis in this rulemaking does not support amending standards to a3

- 46 more stringent level relative to EISA. DOE is considering whether a design standard that would eliminate probe start would result in significant energy savings.

3.4.5 Electronic Configuration and Circuit Type

Metal halide la mp ballasts have two distinct types of electronic configuration: electronic and electromagnetic (magnetic). The more commonly used magnetic ballasts are typically composed of transformer

- like copper windings on a steel or iron core. The newer and more effi cient electronic ballasts rely on electronic filters, switches, and capacitors/inductors to control current and voltage to the lamp.

In metal halide lamp fixtures, electronic ballasts can be used to achieve higher efficiency than magnetic ballasts. In the current metal halide lamp fixtures market, electronic ballasts are direct replacements for magnetic ballasts for most lower to medium wattage applications (up to 500 W). DOE’s review of manufacturer catalogs shows that at higher wattages, few electronic b allasts are available due to the significantly higher cost of components. For electronic ballasts, the only difference in circuit type is either “high” or “low” frequency circuit type. Due to acoustic resonance issues and electromagnetic interference (EMI) effects, ballast frequencies above 300 Hz become difficult to manufacture and have difficulty complying with Federal Communications Commission (FCC) standards. k

EISA 2007 distinguishes non

- pulse

- start electronic equipment classes by separating them into two rated lamp wattage ranges ( ≥150 W and ≤250 W , and >250 W and ≤500 W ). According to DOE’s review of manufacturer catalogs and informa tion provided by manufacturers during interviews, non

- pulse

- start electronic metal halide lamp ballasts are not available in the market. While EISA 2007 provisions may have been intended to capture alternative technologies that could be available in the ne ar term, DOE has no information that indicates differences in efficiency or consumer utility based on pulse versus non

- pulse

- start ballasts. Therefore, DOE does not believe equipment classes should be divided by electronic configuration. For low

- frequency electronic ballasts, a square current waveform is used to diminish acoustic resonance and maintain lamp life. Though electronic ballasts are commonly more efficient than magnetic ballasts, neither configuration provides a distinct consumer utility over the other. Both types are capable of producing the same amount of light and can be used interchangeably.

Magnetic metal ha lide lamp ballasts are available in the market in several circuit types including high

- reactance autotransformer, constant

- wattage isolated transformer, constant

wattage autotransformer (CWA), linear reactor (reactor), and magnetically regulated lag (reg

- l ag or mag

- reg) ballasts. Each magnetic circuit type listed has different characteristics that could have separate applications. These characteristics include size, efficiency, and power regulation. Each of these characteristics is discussed in section 3.3.4.1 . For example, magnetically regulated lag ballasts are typically the largest and heaviest circuit type, but provide the greatest degree of resistance to input voltage variation (which sustains light output).

k FCC regulations at 47 CFR part 18, subpart C set forth technical standards for industrial, scientific, and medical equipment that specify frequency bands and ranges tolerances as well as electromagnetic fields strength limits. Some metal halide lamp ballasts may be covered under the se “industrial, scientific, and medical (ISM) equipm ent” standards, which list the general operating conditions for ISM equipment. Ballasts designed to exceed 9 kHz ballast frequency have to be designed so that interference with transmitted radio frequencies is eliminated. 47 CFR 18.111.3

- 47 Because electronic ballasts can provide the utility included in any magnetic circuit type, can be used as substitutes in all applications, and are generally more efficient than magnetic ballasts, DOE is not setting separate equipment classes based on electronic configuration (magnetic vs. electronic) or on circuit type. However, if appropriate, DOE could further divide equipment classes by either of these parameters based on any new data indicating that separ ation is warranted.

Fixture Application

DOE has preliminarily determined to set energy conservation standards based on a ballast efficiency metric. DOE’s research has tentatively determined that the same efficiencies can be achieved in all applications (i ncluding outdoor and indoor) by the same or similar products. DOE also found that electronic ballasts have been successfully applied to a variety of both indoor and outdoor applications where temperature and other limiting conditions could hinder their imp lementation. In the context of a ballast efficiency metric, DOE also believes defining product types and applications for equipment classes is difficult and subjective. DOE does not plan to further divide equipment classes by application.

3.4.6 Equipment Classes Summary

For all the reasons discussed, DOE is considering the metal halide lamp fixture equipment classes listed in Table 3.4

. 2 . Of the six discussed possible characteristics and features that differentiate metal halide lamp fixtures, DOE is considering rated lamp wattage. This is because rated lamp wattage a ffects lamp utility and efficiency. Due to limited information and lack of clear effect on utility or per formance, DOE does not divide the equipment classes based on the other types of characteristics and features. Chapter 5 of this preliminary TSD provides detail on the selection of candidate standard levels.

Table 3.4

. 2 Equipment Classes for Metal Halide Lamp Ballasts

Rated Lamp Wattage Equipment Class
≥ 50 W and < 150 W 1
≥ 150 W and ≤ 250 W 2

> 250 W and ≤ 500 W 3

> 500 W 4

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.

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