2-i CHAPTER 2. MARKET ASSESSMENT

T ABLE OF CONTENTS

2.1 SHIPMENT ESTIMATES ........................................................................................... 2-1 2.1.1 Energy Use by Sector

................................ ..................................................... 2-1 2.1.2 High

- Intensity Discharge Lamp Shipment Estimates .................................... 2-3 2.1.3 Manufacturers of High

- Intensity Discharge Lamps, Luminaires, and Ballasts ........................................................................................................... 2-7 2.1.4 Distribution Channels .................................................................................... 2-7 2.1.5 Decision Makers ............................................................................................ 2-9 2.1.5.1 Residential Decision Makers ......................................................... 2-9 2.1.5.2 Commercial, Industrial, and Public Sector Lighting Decision Makers ........................................................................................... 2-10 2.2 APPLICATIONS FOR HIG H- INTENSITY DISCHARGE LAMPS .......................... 2-10 2.2.1 Residential Applications ................................................................................ 2-10 2.2.2 Commercial Applications .............................................................................. 2-11 2.2.3 Industrial Applications ................................................................................... 2-11 2.2.4 Other (Outdoor Public Sector) Applications.................................................. 2-11 2.3 CLASSIFICATION OF HIGH

- INTENSITY DISCHARGE LUMINAIRES ............. 2-12 2.3.1 Proposed High

- Intensity Discharge Luminaire Classification System .......... 2-12 2.3.1.1 Product Applications: Indoor ........................................................ 2-13 2.3.1.2 Product Applications: Outdoor ...................................................... 2-14 2.3.1.3 Product Applications: Specialty .................................................... 2-16 2.4 REGULATORY AND NON

- REGULATORY PROGRAMS ..................................... 2-16 2.4.1 Regulatory Programs and Legislation Impacting High

- Intensity Discharge Lamps ............................................................................................................. 2-16 2.4.1.1 Federal Regulatory Programs and Legislation .............................. 2-17 2.4.1.2 Draft Legislation ............................................................................ 2-18 2.4.1.3 DOE Background Studies ............................................................. 2-19 2.4.1.4 State Regula tory Programs ............................................................ 2-20 2.4.2 Non

- Regulatory Programs Affecting High

- Intensity Discharge Lamps ....... 2-232- ii LIST OF TABLES

Table 2.1.1. 2008 Total Lighting Technology (High- Intensity Discharge) Electricity Consumption ........................................................................................................ 2-1 Table 2.1.2. Installed Base of High- Intensity Discharge Luminaires in the United States ......... 2-3 Table 2.1.3. Distribution of Electricity Consumption by Sector of High- Intensity Discharge Lighting ................................................................................................................ 2-3 Table 2.1.4. Portion of Total NEMA High-Intensity Discharge Lamp Shipments ..................... 2-3 Table 2.1.5. Freedonia Group High-Intensity Discharge Lamp Shipments ................................ 2-5 Table 2.1.6. 2008 NEMA Shipments by Wattage Grouping ....................................................... 2-6 Table 2.3.1. Classification for Indoor Applications ................................................................... 2-13 Table 2.3.2. Classification for Outdoor Applications ................................................................ 2-14 Table 2.3.3. Classification for Specialty Applications .............................................................. 2-16 Table 2.4.1. California Metal Halide Fixture Requi rements ..................................................... 2-20

LIST OF FIGURES

Figure 2.1.1. Shares of Sectoral Energy Use by Lighting Technology ....................................... 2-2 Figure 2.1.2. Proportion of Total High-Intensity Discharge Market by Type, 1990–2002 ......... 2-5 Figure 2.1.3. High-Intensity Discharge Lamp Distribution Channels ......................................... 2-82-1 CHAPTER 2. MARKETING ASSESSMENT

For the market assessment of high-intensity discharge (HID) lighting, the U.S. Department of Energy (DOE) gathered information on the state of the industry and the market characteristics of HID lighting. DOE uses these data as some of the inputs to the life

- cycle cost analysis and the national energy savings estimate. This chapter provides the quantitative and qualitative findings of the market assessment, including shipment estimates, market structure, installations and applications, and non- regulatory initiatives to improve HID lamp efficiency.

2.1 SHIPMENT ESTIMATES

The HID lamp market in the United States is an approximate ly $390 million per year industry, with annual sales exceeding 30 million units. 1

, 2 In 2001, HID lamps consumed 125 gigawatt -hours nationally, which is approximately 17 percent of the electricity consumed by all light sources and approximately 3.6 percent of total U .S. electricity generated in 2000

. 3

Three light sources characterize the HID lighting market: mercury vapor (MV ), high -pressure sodium (HPS) , and metal halide (MH) . Chapter 3, Technology Assessment, provides t echnical data on these HID lamp technologies

, including details about their performance, light characteristics, operating life, and other information.

2.1.1 Energy Use by Sector

Table 2.1.1 presents the energy consumption for lighting in four general sectors: three building related (residential, commercial, and industrial) and “ other, ” which in cludes street and area lighting, parking garages, and traffic signals. T he other sector does not, however, re present all outdoor stationary HID luminaires. The three building- related sectors also include some outdoor stationary lighting, where the circuit for the outdoor luminaires is tied to the electric meter for a building ( e.g. , architectural fa c ade lighting, parking lot lighting, residential security lighting).

Table 2.1.1. 2001 Total Lighting Technology ( High

- Intensity Discharge) Electricity Consumption HID Lamp Consumption by Sector
terawatt -h ou rs ( TWh ) Residential Commercial Industrial Other Total * Mercury Vapor 1 7 3 12 22 High

- Pressure Sodium 0 6 5 30 41 Metal Halide N/A 34 25 4 62 Total for HID 1 47 33 46 125 Total 202 391 108 56 756 Source: DOE

, Buildings Energy Data Book 200 9

, t able 5.6.4. * Note: Due to rounding, the sum of the columns may not equal the total provided.

Table 2.1.1 provides the electricity consumed in terrawatt -hours per lamp type for each
sector. T he total lighting electricity consumption in the United States is estimated to be 756 TWh (2.6 quads) of pri mary energy. In a broader context, the total energy consumption in the United States was approximately 98.3 quads in 2001, of which more than one-third (about 37 quads)2-2 was used to generate electricity. 3 Thus, lighting accounted for about 7 percent of national primary energy consumption, or about 22 percent of the electricity generated in 2001.

In addition, Table 2.1.1 provides details on specific HID technology energy consumption by sector

. For the residential sector , where 90 percent of lighting energy use is consumed by incandescent technologies, HID sources account for less than 1 percent (0.66 terrawatt -hours per
yea r [TWh/ yr] or 0.002 quads) of the energy consumption. The commercial sector has a large share of HID sources, which constitute approximately 12 percent (47 TWh/yr or 0.16 quads) of the annual 391 TWh/yr of electricity use in this sector. The industrial sec tor also operates a large share of HID sources, which constitute 31 percent (33 TWh/yr or 0.11 quads) of this sector’s 108 TWh/yr lighting

- related energy usage . The primary consumer of lighting energy in the other sector is HID, which accounts for 82 percent (46 TWh/yr or 0.16 quads) of the other sector ’s 56 TWh/yr lighting electricity use. Across all four sectors, HID sources consumed 125 TWh/yr (0.42 quads) in 2001. This amounts to approximately 17 percent of the annual electricity consumption for lighting in the United States.

Figure 2.1.1 shows the total lighting energy consumption for the four sectors and illustrate s the amounts of energy used by the various lighting technologies. This figure further demonstrates the significance of HID technology and its dominance in the other sector.

Source: Navigant Consulting, Inc. (NCI), U.S. Lighting Market Characterization Volume I: National Lighting Inventory and Energy Consumption Estimate

, 2002. Figure 2.1.1. Shares of Sectoral Energy Use by Lighting Technology

Table 2.1.2 presents the estimated installed base of HID luminaires in the United States by technology and sector. HPS is the leading source in the o ther sector, while MH dominates in the commercial and industrial sectors. In the residential sector, MV is the most prevalent technology, with nearly three times more installations than HPS. The total estimated installed base of HID luminaires in the United States for 2001 was approximately 101 million units. 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% Residential Commercial

Industrial

Other

Fluorescent

HID
Incandescent2-3 Table 2.1.2. Installed Base of High- Intensity Discharge Luminaires in the United States
HID Lamp Sector number of units Residential Commercial Industrial Other Total Mercury Vapor 3,103,000 5,401,000 1,750,000 12,146,000 22,400,000 High

- Pressure Sodium 1,204,000 5,814,000 2,694,000 34,347,000 44,058,000 Metal Halide N/A 19,378,000 10,706,000 4,726,000 34,809,000 Total 4,307,000 30,593,000 15,150,000 51,219,000 101,267,000 Source: NCI, U.S. Lighting Market Characterization Volume I: National Lighting Inventory and Energy Consumption Estimate , 2002.

Table 2.1.3 shows the electricity consumption of each lamp type as a percentage of total HID electricity consumption. HPS is prominent in the other sector , and MH is the largest electricity consumer in the commercial and industrial sectors. Overall, the residential sector accounts for only 0.5 percent of HID electricity consumption.

Table 2.1.3 . Distribution of Electricity Consumption by Sector of High

- Intensity Discharge Lighting HID Lamp Sector % Residential Commercial Industrial Other* Total Mercury Vapor 0 5 3 9 17 High

- Pressure Sodium 0 5 4 24 33 Metal Halide N/A 27 20 4 50 Total 0 37 27 36 100 Source: DOE, Buildings Energy Data Book 2008

, table 5.6.4. * Note: Due to rounding, the sum of the columns may not equal the total provided.

2.1.2 High- Intensity Discharge Lamp Shipment Estimates

Table 2.1.4 presents estimates of annual HID lamp shipments to the U.S. lighting market, broken down into the three primary HID lamp types. These data were provided by the National Electrical Manufacturers Association (NEMA), whose members are responsible for 100 percent of domestic HID lamp production and over 90 percent of national HID lamp sales. 2

Table 2.1.4. Portion of T otal NEMA High

- Intensity Discharge L amp S hipments
Year HID Lamp % Mercury Vapor High

- Pressure Sodium Metal Halide 1990 32.12 38.34 29.53 1991 24.73 45.05 30.22 1992 23.62 44.22 32.16 1993 21.30 44.91 33.80 1994 19.92 43.98 36.10 1995 17.44 41.86 40.70 1996 15.77 42.65 41.58 1997 12.24 41.61 46.15 1998 9.21 40.13 50.66 1999 8.08 37.72 54.19 2000 5.73 36.62 57.64 2001 8.02 35.49 56.48 2002 7.29 35.56 57.142-4 Table 2.1.4. (continued)
Year HID Lamp % Mercury Vapor High

- Pressure Sodium Metal Halide 2003 6.83 34.85 58.32 2004 7.35 33.59 59.06 2005 7.01 36.69 56.29 2006 7.37 32.50 60.13 2007 6.37 31.60 62.03 2008 5.49 32.85 61.66 Source: NEMA data provided to DOE , 2003 , 2008

. From 1990 to 2008, NEMA shipments of HID lamps nearly doubled, with the largest shipment in 2005.

In 1990, MV lamps represented 32 percent of the total HID lamp shipments. In 2008, MV represented a mere 5 percent of total lamp shipments. Although the proportion of lamp ship ments decreased significantly, the actual number of lamps shipped only decreased by 70 percent. This is because the overall volume of HID lamps shipped increased by almost a factor of two between 1990 and 2008. In 2003, DOE released the draft report, Draft Framework for Determination Analysis of Energy Conversation Standards for High

- Intensity Discharge Lamps , and received comments. The DOE draft report stated that, in 1990, the MV lamp shipments were 6.7 million units, and in 2002, 2.9 million units were shipped. This represents a 57 percent decline in MV lamp shipments. Also i n 2003, NEMA commented that “ [a]bsent any newly created markets, we do not agree with the presumption that the trend of declining mercury vapor lamp shipments has bottomed out.” 4

During the near ly 20-year period of data analyzed, HPS lamps accounted on average for 38 percent of the total HID lamp shipments. In 1991, HPS represented the plurality of HID lamps shipped. Since that year, HPS lamp shipments ha ve been on a decline rela tive to the total number of HID lamps shipped. In 2008, HPS only represented 33 percent of the total HID lamps shipped. In terms of absolute shipments, HPS peaked in 1999 at 12.6 million units shipped. In 2008, only 10.9 million lamps were shipped.

Of the three lamps in the HID family, MH lamps have grown in both percentage of total HID lamp shipments and absolute number of lamps shipped. In 1990, MH lamps only represented 30 percent of the HID lamps shipped, slightly less than the percentage that MV lamps represented. Eighteen years later, MH lamps represent 62 percent of all the HID lamps shipped. This growth is further demonstrated in the number of lamps shipped. In 1990, 5.7 milli on MH lamps were shipped, compared with 20.4 million lamps shipped in 2008. This significant growth over the last 18 years stems from the commercialization of both the pulse

- start quartz metal halide (PMH) and the ceramic metal halide (CMH) lamps.

DOE purc hased a research report from the Freedonia Group 5

Table 2.1.5 regarding lamps. Section V of the report focuses on e lectric d ischarge lamps. The Freedonia report provides both historical analysis as well as future analysis. summarizes the estimates and projections in the Freedonia Group report.2-5 Table 2.1.5. Freedonia Group H igh-I ntensity D ischarge Lamp Shipments HID Lamp 1998 2003 2008 2013 2018 Million

Units Portion of Total * % Mil lion Units Portion of Total

% Mil lion Units Portion of Total

% Mil lion Units Portion of Total * % Mil lion Units Portion of Total

% Mercury Vapor 17 30.36 16 19.28 19 16.67 10 6.67 5 2.44 High

- Pressure Sodium 24 42.86 39 46.99 50 43.86 70 46.67 100 48.78

Metal Halide 15 26.79 28 33.73 45 39.47 70 46.67 100 48.78 Total 56 100 83 100 114 100 150 100 205 100 * Note: Due to rounding, the sum of the columns may not equal the total provided.
Although the absolute values (and thus the portions) are different from the NEMA data, the Freedonia Group data reinforce the NEMA data. Both sets of data suggest that MV shipments

are declining significantly, shipment of MH has grown considerably since the mid -1990s, and HPS represents a sizable yet relatively flat portion of the market.

Figure 2.1.2 illustrate s the annual shipments and mark et share by HID lamp type (MV, HPS, and MH). a It shows the obvious decline in MV shipments, contrasting with sales of HPS and MH. It also presents annual shipment data as a percent age of total shipments in a given year. T he decline in the market share of M V lamps is even more evident, as the MV lamp proportion of total shipments contrasts sharply with shipments of MH.

Source: NEMA data provided to DOE

, 2009

. Figure 2.1.2. Proportion of Lamp Type in High

- Intensity Discharge Market, 1990–2008

National shipments of HPS lamps appear to have leveled off after a strong growth period in the early 1990s. HPS lamps are a mature technology, having been commercially available for more than 4 0 years

.

a DOE prepared Figure 2.1 .2 from the data in Table 2.1 .5

. 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%1990199119921993199419951996199719981999200020012002200320042005200620072008HID Lamp Market Share

Shipment Year MH

HPS

MV2-6 Similar to HPS lamps , MH lamp technology is mature, although this is the only type of HID lamp that has increased market share in the last 10 years. Industry continues to invest in improving MH technology, enabling this technology to continue to compete strongly in both the HID lamp markets and other lighting markets, such as those typically service d by fluorescent sources ( e.g. , retail stores). Examples of these performance improvements (discussed in chapter 3 of this document) include pulse-start technology and the development of a ceramic arc tube. These and other improvements have extended the operational life and performance characteristics of MH technology, making it an attractive light source in many sectors and applications.

Table 2.1.6 lists the domestic and import shipments of HID lamps, HPS represents 33 percent of the total shipments, MH represents 60 percent of the shipments, and MV represents 7 percent of the shipments. The data in Table 2.1.6 confirm the historic al data shown in Table 2.1.4 and Figure 2.1.2 . For the last year of historical national sales data (2002) ( Table 2.1.4 ), HPS represented 35 percent of national sales; MH represented 57 percent of national sales; and MV represented 8 percent of sales. Figure 2.1.2 depicts the historical shipment data for HID lamps. For the last year of available data (2008), MV represented about 5 percent (0 to 5 percent, Figure 2.1.2 ); HPS represented about 33 percent ( 5 to 38 percent, Figure 2.1.2 ); and MH represented 62 percent ( 38 to 100 pe rcent, Figure 2.1.2 ) of the market.

Table 2.1.6. 2008 NEMA Shipments by High

- Intensity Lamp Type and Wattage Grouping HID Lamp Wattage Range % 1

– 149 W 150

– 500 W > 501 W % per lamp
t ype % HID total % per lamp type % HID total % per lamp type % HID total Mercury Vapor 37.68 2.07 58.75 3.23 3.58 0.20 High

- Pressure Sodium 49.45 16.25 44.49 14.61 6.06 1.99 Probe

- Start Quartz Metal Halide 0.48 0.30 52.11 32.13 11.41 7.03 Pulse

- Start Quartz Metal Halide 8.28 5.11 9.93 6.12 0.62 0.38 Pulse

- Start Ceramic Metal Halide 14.06 8.67 3.11 1.92 0.00 0.00

Table 2.1.6 shows the lamp shipments by wattage bin for HID lamps. The bins are the standard wattage groupings of low ( less than or equal to 149 watts [ W]), medium (150 to 500 W), and high ( greater than or equal to 501 W). A majority of the MV lamps shipped were of medium wattage , and many low- wattage MV lamps were shipped. The MV lamps ’ commercial available ( i.e., the wattage lamps sold by manufacturers) affect the MV distribution; there are many lamps a vailable at 175, 250, 400, and 450 W. In contrast, fewer options are available in the other wattages. An almost equal number of low and medium wattage HPS lamps were shipped in 2008. Virtually all of the HPS lamps shipped were 500 W or less. The typical ap plications HPS lamps are used dictate the distribution in the low and medium groups. Of the entire MH lamp family (probe, pulse, and ceramic)

, the majority of lamps shipped in 2008 were medium wattage probe-start lamps. Low and medium wattage pulse- start , both quartz and ceramic, comprise roughly 18 and 17 percent, respectively , of the entire MH market. The other significant amount of market share is the high- wattage probe -start market. These values are for 2008; in the future, the probe- start MH values wi ll probably not be as sizable because of current and pending legislation (section 2.4 ).2-7 2.1.3 Manufacturers of High

- Intensity Discharge Lamps, Luminaires, and Ballasts

NEMA’s website lists manufacturers that constitute the NEMA member ship for HID lamp manufacturing who are responsible for the entire domestic (U.S.) production of HID lamps. 6

NEMA companies also include members that manufacture HID ballasts. 6 Electronic ballasts for HID lamps are relatively new to the marketplace ; 7 consequently , the list of manufacturers is shorter than the list established for magnetic ballast technology. 8

The four largest lighting conglomerates in the United States are Acuity Lighting Brands, Cooper Lighting, Hubbell, and Philips . These manufacturers encompass numerous other companies and brands, and represent the majority of the domestic production of HID luminaires. All these manufacturers make luminaires for MH sources

. Thirty -nine companies manufacture luminaires solely for MH sources, 42 companies manufacture luminaires for both HPS and MH sources, and 27 companies manufacture luminaires for all HID sources (HPS, MV, and MH). Some of these luminaires are similar in shape, design, or construction but have specific features to accommodate the various light sources. Manufacturers that make products for different light sources may not manufacture the same luminaire type for each source.

2.1.4 Distribution Channels

Figure 2.1.3 shows the distribution channels for the HID lamp market. The structure of this figure is relevant for all end -use sectors (residential, commercial, industrial, and other) ; however, the volume of product going through the various channels varies. The dashed lines in the figure represent distribution channels that contractors infrequently use. DOE adapted this illustration of HID lamp distribution channels from Vorsatz
, 9 updating it using manufacturers’ and lighting specifiers’ literature to reflect the current HID lamp market.2-8 Figure 2.1.3. High-Intensity Discharge Lamp Distribution Channels

HID lamp manufacturers sell products through six categories of distributors. Specialty, local, and regional retailers primarily serve the residential sector. Mail

- order and electrical distributor networks are the principal outlets used by the commercial, industrial, and public sector lighting markets. The national accounts serve all sectors.

The specialty retailer is a broad distribution category typified by independently owned specialty lamp retailers. How ever, as an HID lamp distribution channel, it only represents roughly 10 percent of the total market for HID lamps.

Local retailers are relatively large retail outlets, such as local hardware stores. This limited outlet for HID products primarily serves th e residential sector. Although product availability is limited, some local and small contractors may purchase HID lamps through these channels.

Regional retailers are the larger chain stores that have multiple locations. Similar to the local retailers, they usually offer a limited selection of HID lamps tailored to the residential
sector. C ontractors have limited contact with this channel.

Mail -order distribution is another major distribution channel. Although these distributors stock products used in all s ectors, lamp availability through this channel is typically limited to high

- volume items. Smaller businesses and contractors are the primary end

- users for these distributors. However, the Internet is expanding the end-user base for these outlets and enabli ng them to adapt their offerings more quickly to end- user needs.

Large electrical -equipment distributors handle the majority of the HID lamp shipments

, effectively operating as a wholesale clearinghouse for the HID lamp industry

. Often, contractors 

### HID Lamp Manufacturer

Internet 

### Manufacturer Representative

(4) Mail Order Distributor



### Consumer (6) National Accounts

Contractor Contractor 

### (5) Electrical Distributor (3) Regional Retailer (2) Local Retailer

Contractor Contractor 

### (1) Specialty Retailer 

### HID Lamp Manufacturer

Internet 

### Manufacturer Representative

(4) Mail Order Distributor



### Consumer (6) National Accounts

Contractor Contractor 

### (5) Electrical Distributor (3) Regional Retailer (2) Local Retailer

Contractor Contractor 

### (1) Specialty Retailer2-9 operate as intermediaries between end -users and distributors. Building- management companies, maintenance contractors, developers, municipalities, utilities, and related entities purchase lamps either directly from electrical -equipment distributors or through a co ntractor.

The sixth major channel of distribution is through the national accounts. Lamp manufacturers sell some products through large national retailers, such as Wal

- Mart and Sears, and “big-box” retailers , such as Home Depot and Lowe ’s . Large maintenance companies and other national businesses may also purchase lamps directly from the manufacturers. However, product availability through these outlets is limited to high -volume (commodity) HID products.

The advent of the Internet created new opp ortunities that could significantly impact all distribution channels and sectors. In response to the growing base of Internet users, manufacturers created new online databases that list product offerings and links to various distribution channels for purchase. Although the references primarily link to mail- order distribution houses, other links to walk- in retailers are also available. For end

- users interested in accessing products, these new online sources and distributors offer an alternative to the tradit ional channels of large retailers and specialty stores. Many of these websites incorporate “design centers” that help end -users match lamps with their needs, much like a knowledgeable specifier or sales representative would do. The total impact on shipments for this industry is small at this time.

2.1.5 Decision Makers

After initial installation of a luminaire, the purchase of replacement lamps becomes a maintenance issue. Therefore, in most cases

, the luminaire purchasing decision dictates the subsequent replace ment lamps purchased because there is very little interoperability of different lamp wattages or lamp types for the various HID ballasts . Specifiers who determine which light source to install are the electrical contractors, architects, lighting designers, electrical engineers, building owners, homeowners, building maintenance personnel, municipal officials, S tate officials (highway departments), and corporate officials who select HID luminaire s for their properties. In addition, electrical distributors and manufacturers may also influence the choice of light sources.

2.1.5.1 Residential Decision Makers

For the residential sector, the interaction between the builder (or homeowner) and the other stakeholders ( i.e. , designer, contractor, engineer, retailer, and electr ical distributor) may change based on the budget and type of installation: new or retrofit.

For both new and retrofit installations, the builder or homeowner typically acts as the primary specifier. The budget of the project generally determines the level of involvement of the various stakeholders. The role and decision-making power of the designer and contractor typically grows with the escalating cost of the project. However, as project budgets become tighter, direct involvement with retailers, electrica l distributors, and the Internet gains prominence.2- 10 2.1.5.2 Commercial, Industrial, and Public Sector Lighting Decision Makers

For the commercial, industrial , and public sectors, the interaction among decision makers is more complex than in the residential sector. The key decision makers in the commercial and industrial sectors are (1) the owner (or developer); (2) the building manager; (3) the design team ( i.e. , architect, engineer, lighting designer) ; and (4) the electrical contractor

. Local utilities, municipalities, and state highway agencies install and maintain many of the luminai res used in the public sector. Thus, these “owners” of HID lighting systems represent the most influential figures in the public sector decision- making process

.

2.2 APPLICATIONS FOR HIGH

- INTENSITY DISCHARGE LAMPS

The following sections discuss where and how the residential, commercial, industrial, and public sectors use HID lamps.

2.2.1 Residential Applications

Compared to other lamp technologies, such as incandescent and fluorescent, HID light sources occupy a very small niche in the residential sector. Of the lighting electricity consumed in this sector in 2001, 90 percent was consumed by incandescent sources, over 9 percent was consumed by fluorescent sources, and less than 1 percent was consumed by HID sources. 3 Due to their electrical (long warm -up time, lack of quick re

- strike ) and photometric (produce too much light, poor color quality compared to incandescent lamps) characteristics, HID lamps are
not w ell -s uited for most residential lighting applications. In this sector, HID lighting is used primarily in landscape and security

- lighting applications.

For security applications, MV technology is popular because both the lamps and luminaires have low initial cost

. The extremely long life of the MV lamp is an added bonus. The se applications are typically areas in which lighting is needed for safety and visual assessment of the property to make the homeowner feel secure. The oldest of the three HID

source type s, MV was the first HID light source to enter the residential market. Many residential customers associate MV with residential security products, so the other HID sources have gained little penetration in the market. Initial price is also a major factor in t he residential market decision -making process; the high initial costs of HPS and MH are another reason the MV dominates this application

. In some rural areas, home and farm owners may lease a security light from an electric utility or a rural cooperative. This lease may carry a fixed tariff that does not measure actual electricity consumption. These luminaires have been primarily MV sources, but utilities now offer a wider array of sources , including HPS and MH.

For landscape lighting, the cap ability of M V lamps to enhance the color of the foliage has created a niche application. The spectral power distribution ( SPD ) of MV light results in greater saturation of the shorter wavelength colors (from green to blue). Since most foliage is green, the light from the MV lamp gives it a richer appearance than the lumen output of the lamp would suggest, while creating greater contrast with its surrounding objects by muting the longer- wavelength colors (from red to yellow). MH lamps offer comparable performance while2- 11 maintaining a much higher efficacy level; however, they have a higher initial cost and shorter operating life than MV lamps. MH landscape lighting use has increased in recent years with the commercialization of numerous reflector (parabolic aluminized reflector [ PAR ], multi

- faceted reflector [ MR ] ) lamp types , offered in a variety of wattage and light output ratings.

2.2.2 Commercial Applications

Of the lighting electricity consumed in the commercial sector in 2001, 32 percent was consumed by incandescent sources, 56 percent by fluorescent sources, and less than 12 percent by HID sources. 3 Despite their potential for significant energy savings, HID lamps are not widely used in interior applications in the commercial sector for several reasons. The primary reason for HPS, MV, and non-c eramic MH is low color- rendering index ( CRI ) . Other limiting factors include long warm-up and re- strike times, ballast noise

, lamp size, and limited compatibility with lightin g controls.

Recent improvements in MH technology incorporating pulse- start systems and ceramic arc tube variants made the MH lamp more attractive than incandescent and fluorescent sources in certain applications ( e.g. , retail and hospitality spaces)

. Despite these improvements , end-of- life color shift is a problem associated with MH technology. Reflectorized MH (PAR, T -shaped, “AR

- type ” ) lamps are used in accent lighting applications ( e.g. , track lighting), often to meet energy codes. Most MH lamps are large, so these lamps are typically used in downlights or lowbay style luminaires lighting commercial spaces.

2.2.3 Industrial Applications

Of the lighting electricity consumed in the industrial sector in 2008, 2 percent was consumed by incandescent sources, 67 percent by fluo rescent sources, and less than 31 percent by HID sources. 3 HID lamps are popular in the industrial sector because the lamps offer a large “lumen package” ( i.e. , very high light output) with a relatively compact form factor . The maximum wattage for high -output fluorescent lamps is 200 W, where as HID lamps in this application can be 1000 W or greater, with light ouput exceeding 100,000 lumens. Therefore

, multiple fluorescent lamps are needed in a luminaire to equal the flux of the high- wattage HID

sources. Unlike linear fluorescent lamps , HID lamps are “point sources” ( i.e.
, the actual light source is a comparatively small plasma arc within the lamp envelope). Point sources like HID lamps allow for luminaires with good optical control, which can more efficiently deliver light to the work area from greater mounting heights. HID sources are best operated on long operating cycles ( e.g. , over 12 hours per start), which are typical for industrial applications. MH sources are typically specified in industrial applications where “ white light ” with adequate color rendering (CRI greater than 50) is required

.

2.2.4 Other (Outdoor Public Sector ) Applications

HID lamps dominate public

- sector lighting installations . Public- sector installations account for roughly 8 percent of the total electricity consumed by all lighting in the United States, and HID sources represent 87 percent , incandescent 12 percent , and fluorescent only 1 percent

. 32- 12 For street and roadway l ighting, HPS represents the vast majority of the public- sector market

, having replaced most MV installations

. A small percentage of installations use MH, MV,

or low-pressure sodium ( LPS ) (though LPS is not an HID source). Often, luminaires used in public- sector applications are equipped with photosensors that turn the luminaires on at dusk and off at dawn

. MH lamps are now replacing some HPS lamps that previously replaced MV lamps. Although MH sources are less efficacious than HPS, MH sources offer superior color rendition and appear as a “ white

- light ” source compared to HPS. In some area and street lighting applications, utilities turned down requests by municipalities for MH sources because maintenance costs were too high compared to those of HPS sources. The PMH lamp addresses this problem, increasing lamp life compared to the standard probe- start MH . However, the life for pulse- start MH is still shorter than typical HPS and MV lamps. Meanwhile, lamp manufacturers are addressing HPS color issues by trying to broaden the lamp SPD. The whitelight HPS products available today offer better CRI and correlated color temperature , but these improvements come at the cost of shorter lamp life and lower efficacy. MH and white- light HPS may be considered comp etitors in some applications, but lighting specifiers will typically specify MH for any application where color rendering or appearance are important.

2.3 CLASSIFICATION OF HIGH

- INTENSITY DISCHARGE LUMINAIRES

Lamps are intended to be used inside fixtures, also referred to as luminaires. To describe how the lamps are to be used, the luminaires need to be classified. Luminaire classifications help describe, organize, and catalog the HID lamp market for easy identification by specifiers, manufacturers, and consume rs. Virtually all lighting industry luminaire classifications focus on the distribution of the luminaire , which varies with lamp type and fixture design. For instance, a classification system developed by the Commission Internationale de l’Eclairage classifies luminaires by the proportion of upward and downward light emission. T his system most aptly applies to suspended luminaires, where fluorescent dominates the market . A system developed by NEMA classifies luminaires by circular or oval distribution defin ed in terms of field angle

. T his system most aptly applies to floodlight luminaires , where HID sources dominate the market. A third system developed by the Illuminating Engineering Society of North America ( IESNA ) classifies luminaires by distribution for desired patterns of illumination . T his system is for area/ roadway luminaires

, where HID sources dominate.
Since the existing classifications systems focus on luminaire distribution

, DOE developed a system that takes into account the application, construction, and photometrics of luminaires that most typically use HID sources (non- HID sources typical of this luminaire type will be addressed as needed)

.

2.3.1 Proposed High- Intensity Discharge Luminaire Classification System

In the following sections, DOE categorizes luminaires by selecting their most appropriate and distinguishing feature, whether in terms of their source, mounting, construction, or application. The three primary groups are indoor (includes both industrial and commercial), outdoor, and sp ecialty (can be indoor or outdoor) applications. For applications, DOE adapted the classifications and their descriptions from luminaire manufacturers’ literature , industry standard practice, and the IESNA Lighting Handbook

. 10 Although specialty- application2- 13 luminaires do not account for a large portion of the general- service HID market, DOE presents these to complete the classification of HID light

- source applications. This classification system constitutes the product applications that DOE used in this anal ysis.

2.3.1.1 Product Applications: Indoor

Table 2.3.1 summarizes the indoor application classifications . Detailed descriptions on each of these product applications follow t he table

.

Table 2.3.1. Classification for Indoor Applications
Classification Summary Description
Accent Luminaires providing directional lighting to emphasize a particular object or surface feature or to draw attention to a part of the field of view. Down

- L ight ing Small direct

- lighting units that direct the light downward. They may be recessed or surface

- mounted. Suspended Luminaires that are pendant

- mounted via chain or cables or suspended from a post (stem). They may be direct, indirect, or direct/indirect combination luminaires. High

- Bay Luminaires providing general illumination, primarily in industrial applications, where the mounting height is greater than 25 feet. Low

- Bay Luminaires providing gen eral illumination, primarily in industrial applications, where the mounting height is equal to or less than 25 feet. Source: IESNA, The IESNA Lighting Handbook: Reference and Application, 2000

.
Accent Lighting – L uminaires that provide light from a preferred direction (directional lighting ) to emphasize a particular object or feature, or to draw attention to a part of the field of view. A point-source technology ( e.g. , incandescent) is needed to create the directional lighting

, and large -source techn ologie s ( e.g. , fluorescent) that create diffuse lighting are the least effective for this application

. The luminaires can be either recessed or surface -mounted. Track lighting— a

non- fixed system with track heads (housing for the lamp and typically the ballast)—is often used for accent lighting. Other non- track luminaires use some means of articulation for proper aiming. Although the small point source and high CRI of the new ceramic MH make it a competitive addition to this class, the light sources in this class are typically incandescent ( e.g. , halogen MR and PAR lamps). C eramic MH sources are often used in applications where high CRI, significant illumination, small luminaire s are needed , and are more often bein g installed to comply with stricter energy codes

.

Down -L ight ing – L uminaires that provide general lighting in residential and commercial
spaces. These luminaires either have a reflector designed around a point source or house a directional light source ( i .e. , a PAR or MR lamp). HID down- light s have not penetrated the residential market

. HID down

- light s are commonly used in a pplications in which the luminaire will operate for long periods of time and color appearance/rendering is not a high priority. Spaces with a mounting height greater than 9 feet are another potential application for downlight s with HID sources. Canopy lights—luminaires typically found under gas station canopies or used in parking garages— almost always are one of the three HID sources. Ceramic MH and pulse- start ballasts enabled the use of low - to mid

- wattage MH lamps in interior applications; however, incandescent and fluorescent sources still dominate interior down- light applications.2- 14 Suspended Lighting – L uminaires range from decorat ive pendants/ chandeliers to pendants used in office lighting

. These luminaires emit light directly, indirectly, or a combination. O rnamental or decorative chandeliers typically operate incandescent sources

. A small exception exists for large ornamental lum inaires , which typically have the option for incandescent, fluorescent, or MH sources. Less decorative and more functional luminaires typically use fluorescent or compact fluorescent lamp ( CFL ) sources.

High -Bay Lighting – L uminaires in spaces with high ceilings (greater than 25 feet ) that tend to be industrial applications. Typically, the luminaire spacing

- to -mounting- height (S/MH) is less than or equal to 1.0 for these applications. Depending on the ceiling type and construction, these luminaires are ei ther surface - or pendant-mounted. HID sources previously dominated this market ; in recent years , fluorescent and CFL h igh -b ay luminaires (known as h igh -intensity f luorescent [ HIF ] ) represent a sizable share

. Unlike HID, fluorescent technology allows for mo re control flexibility via easier dimming or switching groups of lamps.

Low-Bay Lighting – L uminaires used for lighting spaces with ceiling heights less than 25 feet . Applications include industrial , commercial, and retail spaces

. The luminaire S/MH is typically greater than 1.0

. These luminaires often appear similar to h igh -bay luminaires, but usually have different refractors and reflectors

. HID sources represent a majority of the luminaires in this category , with HIF filling in the rest of the market

.

2.3.1.2 Product Applications: Outdoor

Table 2.3.2 summarizes the classifications for outdoor applications. The IESNA defines seven types of classifications for outdoor lum inaires: floodlight, sports light, area/roadway lighting, pathway, parking garage, security, and landscape. Detailed descriptions and further information on each of these product applications follow Table 2.3.2

.

Table 2.3.2. Classification for Outdoor Applications
Classification Summary Description

Floodlight Luminaires for building lighting and other special applications. Sports Lighting Luminaires designed to light playing fields. Area/Roadway Lighting Luminaires designed to produce reasonably uniform illuminance on streets and road w ays. Pathway Luminaires designed for lighting pedestrian pathways. Parking Garage Luminaires designed to light parking garages and lots. Security Outdoor luminaires typically used visually to assess an area. Landscape Luminaires designed to light buildings, planting, water features, and walkways. Source: IESNA, The IESNA Lighting Handbook: Reference and Application, 2000

.
Floodlight – Enclosed lensed luminaire with permanent reflector. T hese luminaires often light the exterior facades of buildings or large parking lots from a pole. It is common for the light distribution pattern to be square or rectangular for floodlights. HID luminaires completely dominate this market.

Sports Lighting – L uminaires with very narrow light distributions for lighting playing fields/surfaces from a great distance (often 100+ feet), either from the side or from above. This category is entirely comp o sed of HID sources

. Incandescent sources cannot provide the amount2- 15 of light needed from the distance at which these luminaires are often located

. Fluorescent (linear

or compact) sources cannot be used because reflector design makes it impractical

. These luminaires have devices to prevent glare and stray light

. This is a specialty category of outdoor luminaires with a small number of applicable light sources and only a handful of luminaire manufacturers making products.

Area/ Roadway Lighting – Luminaires designed for illuminating major driving surfaces ( e.g. , streets, roadways, parking lots). HPS and MH are the main sources for this application. A very small percentage of the luminair es installed across the country use LPS (not an HID source) lamps . These luminaires are classified by photometric distribution and by appearance/mounting method. The two classifications are neither exclusive nor concurrent

. A luminaire might ha ve a specific appearance and mounting and yet be capable of numerous photometric distributions. Luminaires in this category are typically mounted above 15 feet and up to about 50 feet

. Luminaires mounted above 50 feet are known as h igh -mast and produce the same photometric distributions as luminaires mounted at a lower height

. The most typical luminaire in this category is known as the cobra head

. The cobra head luminaire resembles the head of a snake , and more often than not, the arm tha t supports the head curves over the roadway. This allows the pole to be located in a right of way or off the road, while positioning the luminaire directly over the surface being lighted. A majority of the cobra head installations across the country contain HPS sources. “Architectura l ” roadway l uminaires incorporate aesthetic design features , materials , and finishesnot typically used in more common cobra head fixtures. Recently, luminaires using lightemitting diodes (LEDs), induction, or fluoresecent sour ces are penetrating these applications

.
Pathway – L uminaires designed to illuminate surfaces used by pedestrians

. These luminaires are typically of two types : overhead or ground level. The overhead luminaires are often similar to street and roadway lumina ires , but on a pedestrian- level scale with shorter pole heights. T ypically, the overall height of the luminaire and pole does not exceed 15 feet

. Luminaires mounted closer to ground level use low

- wattage ( less than 150 W) sources

. The stereotypical pathway source is the bollard . This is a round or square luminaire between 30 and 60 inches tall , made of concrete, aluminum, or steel. HID sources represent a large portion of the pathway luminaire market, but luminaires for CFL and incandescent sources are also used

. Recently, luminaires with LEDs have entered this market as well. Pathway luminaires are most prone to vandalism or accidental breakage from snowplows or other vehicles because the luminaire is located near the ground.

Parking Garage – L uminaires are typically either surface -mounted or suspended near the ceiling

. Gas station canopy luminaires often fall in this category

. Parking garage luminaires produce light over a very wide area compared to the distance they are mounted above the surface

. HID sour ces comprise a majority of the installations , followed by fluorescent sources. Recently, luminaires with LEDs have entered this market as well.

Security – L uminaires specifically installed to provide a sense of safety or to illuminate a field of view for safety/security reasons

. Luminaires in this category include recessed step lights for lighting steps , wall -mounted luminaires at building entrances, and wall packs

. Step lights are typically recessed luminaires mounted approximately 2 feet above a stair or walkway. Typical sources include CFL or incandescent sources; LEDs have entered this market as well. HID2- 16 sources are sometimes used, but security luminaire s typically need both a low- wattage source and a small

- size source. Wall packs are the mo st common security light

. Wall pack luminaires are mounted on the exterior facades of buildings with the purpose of lighting the area for safety. H ID sources are prevalent for wall packs . For most other security luminaires, one source does not dominate the market.

Landscape – Luminaires light foliage, parts of building facades, water features, exterior statues, etc

. Unlike floodlights

, landscape luminaires are used to illuminate discrete landscape and architectural features

. Low -voltage halogen represents the bulk of this market. HID sources excluding HPS are also used

. Of the HID sources, MH is most often used because its compact lamp types (T6, PAR, MR) allow good optical control. For specific types of foliage, MV is the ideal source because of the spectr um of light produced by the source. The largest drawback for HID sources in landscape lighting is lack of interchangeability

. HID sources use wattage

- specific ballasts , which precludes using lamps with different wattage s and light output. If lighting requirements change over time ( e.g. , the lighted object grows larger), the original fixture and lamp type may no longer meet the application needs.

2.3.1.3 Product Applications: Specialty

HID luminaires in specialty applications often use lamp shapes and bases that are not ty

pically associated with general -service HID lamps discussed in the indoor and outdoor application groupings. Therefore, some lamps used in specialty applications could be exempt from standards. Although the impact from this product application would be very small, DOE included them in this report for completeness. Table 2.3.3 presents the classification of specialty

product applications.

Table 2.3.3. Classification for Specialty Applications
Classification Summary Description

Theatrical Luminaires Luminaires designed with precise optical control and maximum flexibility

. These are niche products use d in the stage, studio, and other related fields. Reprographics Lamps used in reprography , such as photography and photocopying

.

2.4 REGULATORY AND NON

- REGULATORY PROGRAMS

As part of this analysis, DOE reviews all voluntary and compulsory programs that relate to HID technology. This review gives DOE a greater understanding of the marketplace in which HID lamp, ballast

, and luminaire manufacturers operate as well as what programs and trends may influence the future of the market.

2.4.1 Regulatory Programs and Legislation Impacting High- Intensity Discharge Lamps

DOE reviewed Federal and S tate regulatory programs and legislation that impact HID technology, and applications where HID has a large market share. DOE acknowledges that the following does not discuss all program s and legislation affecting HID technology, but th at its review addresses the major F ederal examples and

, wher e possible, representative S tate programs are listed as well.2- 17 2.4.1.1 Federal Regulatory Programs and Legislation

In 2005, the President signed into law the Energy Policy Act of 2005 (EPAct 2005), which amended and expanded parts of the Energy Policy Act of 1992 (EPAct 1992). This regulation included the requirement that b allasts for MV lamps b cannot be imported or manufactured effective January 1, 2008. 11

EPAct 1992 require d states to adopt an energy code for buildings, which includes energy consumption guidelines for lighting. On July 15, 2002, DOE issued a d etermination that ANSI/ASHRAE/IESNA (American National Standards Institute/American Society of Heating, Refrigeration and Air Conditioning Engineers/ Illuminating Engineering Society of North America ) Standard 90.1-1999 (Std. 90.1) was more stringent than 90.1-1989. 12

Both the cu rrent Std. 90.1-2010 Standard as well as California’s Energy Efficiency Standards for Residential and Nonresidential Buildings, Title 24, Part 6 (Title 24), ha ve stated minimum efficacy values for lighting exterior building grounds. As a result, each state must certify that it reviewed and updated the provisions of its commercial building code regarding energy efficiency to meet or exceed Standard 90.1 -1999 by July 15, 2004, for any “building” under the means of Section 303(2) of EPAct

, as amended. EPAct 2005 provides substantial property tax credits for commercial properties that exceed t he allowed lighting power density in St d 90.1-2001 by at least 25 percent . Further, EPAct 2005 requires new federal buildings constructed to be designed 30 percent less than the current version of Std 90.1 (Std. 90.1-2004 at time of enactment).

13

In addition to the minimum efficacy values, energy codes regulate energy use via the power density ( watts per square or linear foot, depending on the application) of luminaire installation s. Prescriptive design requirements allow a variety of energy efficient sources to be used without banning or restricting technologies outright. As the power density values decrease

, the demand for more efficien t lighting increases. All luminaires for exterior building grounds that operate at greater than 100 W must contain lamps having a minimum efficacy of 60 l umens per w att ( lm/ W), unless the luminaire is controlled by a motion sensor or qualifies for one of the exceptions. This minimum efficacy valu e affects HID sources and , in

some cases , prevents HID sources from being used in non-residential applications.

A number of states and the Federal government set requirements for MH ballasts of specific wattages. The Energy Independence Security Act of 2007 (EISA 2007 ) requires ballast efficiency (P in /P out ) values for MH fixtures between 150 and 500 W of 88 percent for pulse- start, 94 percent for probe-start, 90 percent for nonpulse- start electronic ballasts operating lamps between 150 and 250 W; and 92 percent for nonpulse- start electronic ballasts operating lamps between 250 and 500 W . EISA 2007 allows a one- time exception to California

. In 1999, the U.S. Environmental Protection Agency required recycling (based on volume of use) and proper disposal of lamps containing mercury. All HID lamps contain mercury.

b Some ballasts for special applications are exempted from the ban o f importation or manufacture.2- 18 2.4.1.2 Draft Legislation

During 2009, different members of Congress drafted legislation focusing on energy efficiency, with aspects of this draft legislation affecting HID lamps and luminaires primarily using HID lamps. Rep. Jane Harman (D-CA36) introducted H.R. 1732: Outdoor Lighting Efficien cy Act , which was referred to Committee. The requirements in H.R. 1732 were later adopted in H.R. 2454: American Clean Energy and Security Act of 2009, sponsored by by Rep. Henry Waxman (D

- CA30)

, and passed by the House on June 26, 2009. H.R. 2454 had
requ irements for outdoor lighting:

1. Each outdoor luminaire manufactured on or after January 1, 2016, shall:

a. have an initial luminaire efficacy of at least 50 lm/W ; and b. be designed to use a light source with a lumen maintenance, calculated as mean rated lumens divided by initial lumens, of at least 0.6.

2. Each outdoor luminaire manufactured on or after January 1, 2018, shall:

a. have an initial luminaire efficacy of at least 70 lm/W ; and b. be designed to use a light source with a lumen maintenance, calculated as mean rated lumens divided by initial lumens, of at least 0.6.

3. In addition to the requirements of paragraphs (1) through (3), each outdoor luminaire manufactured on or after January 1, 2016, shall have the capability of producing at least two different light leve ls, including 100 percent and 60 percent of full lamp output as tested with the maximum rated lamp power UL1598 or the manufacturers’ maximum specified for the luminaire under test. Outdoor luminaires used for roadway lighting applications shall be exempt the two light level requirement.

Other requirements in the bill focus on outdoor high light output lamps: c

On March 2, 2010, Senator Jeff Bingaman (D-NM) introduced the National Energy Efficiency Enhancement Act of 2010. This bill was cosponsored by Evan Bayh (D-IN), Thad Cochran (R- MS), Byron Dorgan (D -ND), Mary Landrieu (D-LA), Robert Menendez (D- NJ), Lisa Murko wski (R

- AK), and Debbie Ann Stabenow (D- MI). The draft legislation includes requirements for outdoor pole- mounted lighting and MV lamps: “A general purpose mercury vapor lamp shall not be manufactured on or after January 1, 2016. “Each outdoor high light output lamp manufactured on or after January 1, 2017 shall have a lighting efficiency of at least 45 lumens per watt.”

14

DOE’s review of legislat ion affecting HID technology indicated three major approaches:

r egulating lamp efficacy , r egulating lumen maintenance, and requiring multi- state operation of a light source. ”

c This is not an industry term. The bill defines the term as “a lamp that (a) has a rated lumen output not less than 2601 lumens; (b) is capable of being operated at a voltage of not less than 110 volts and not greater than 30 0 volts, or driven at a constant current of 6.6 amperes; (c) is not a Parabolic Aluminized Reflector Lamp; and (d) is not a J

type double

- ended (T

- 3) halogen quartz lamp, utilizing R

- 7S bases that is manufactured before January 1, 2015.”2- 19 The proposed outdoor lighting bill bans MV lamps outright because MV lamps are the most inefficient HID source . H.R. 2454 sets the bar for a class of lamps at 45 lm/W

, effectively eliminat ing most MV sources. The outdoor lighting bill set minimum luminaire efficacy values

, calculated as the amount of light leaving the luminaire (measure d in lumens) divided by the input power (watts) supplied to the luminaire. For HID lighting, fixture efficacy can be calculated by multiplying the fixture efficiency by the lamp/ballast efficacy. d Chapter 3 includes more information about lamp/ballast effi cacy. However, typical parking lot and area luminaires (polemounted luminaires that comprise much of exterior lighting) typically have downward fixture efficiencies e between 54.8 and 88.7 percent , with an average of 75.3 percent. 15

2.4.1.3 DOE Background Studies The minimum lamp/ballast efficiacy can be calculated by dividing the required 50 lm/W fixture efficacy by the typical luminaire efficiency of 75 percent. If the outdoor lighting bill is enacted and the fixture efficiency stays the average, then the lamp/b allast efficacy would have to be 66.6 lm/W to meet the required 50 lm/W fixture effi c acy. Again

, under that legislation

, when the minimum fixture efficacy increased to 70 lm/W, the minimum lamp/ballast efficacy would 93.3 lm/W , assuming that the fixture ef ficiency stayed constant.

In 2004, DOE published High -Intensity Discharge Lamps Analysis of Potential Energy Savings (Docket EE

- DET -03-001). The scope of the document was HID lamps but focused on an in -depth analysis of MV lamps. Whi le developing and after publishing the document, DOE received comments on the draft document as follows:

**•** In 2003, a representative of California Department of Transportation (Caltrans) stated, “The affect on Caltrans if mercury vapor ceased to be an option would be minimal. At this time, we are installing no new MV street lighting fixtures, and have replaced most of those that were installed 30 to 40 years ago with HPS.” 16

**•** In 2003, the American Council for an Energy-Efficient Economy (ACEEE) stated, “ACEEE a grees that it makes sense to establish a minimum efficacy standard that eliminates mercury vapor lamps for many, if not all, applications...It should be noted thatsome states are adopting even more stringent codes resulting in rapid adoption of pulsestart metal halide in new installations ....ACEEE believes that the Department should explore the potential for setting minimum efficacy requirements for HID that would effectively eliminate probe

- start metal halide lamps greater than 150 W-the best high wattage pr obe- start lamps ( i.e. , 1000 W lamps) can match pulse- start efficac ie s and would not be affected. Pulse- start metal halide lamps offer immediate energy savings relative to probe- start lamps and offer the potential for even greater savings as electronic ballasts become more widely available. The technical, life cycle cost, and energy savings analyses should include the substitution of pulse- start metal halide for both mercury vapor and probe- start metal halide lamps to determine the cost and savings assoc iated with a higher efficacy requirement.” 17

d Fixture efficiency is the percentage of light emitted by the luminaire (fixture) divided by the amount of light generated by the lamp.

e Downward efficiency is the percentage of light emitted by the luminaire between 0 and 90 degrees Fahrenheit (°F). It is typically repor ted for area, parking, and roadway luminaires. Although additional light may be emitted above 90 °F, it provides no value to lighting the intended surfaces.2- 20 **•** In 2004, independent lighting d esigner Jim Benya of Benya Lighting Design stated : “In my opinion, banning mercury vapor technology is warranted.” 18

**•** In 2005, NEMA stated that it would “oppose any DOE rulemaking that imposed a lumens- per

- watt standard on HID lamps such that a formal, regular reporting of measurements of metal halide and high pressure sodium lamp efficacies would be required to prove that no lamps with MV- type efficacies are being placed on the market

. Such reporting would represent a gross administrative overkill to achieve the objective.” 19

**•** In 2005, ACEEE stated that it is “disappointed that DOE is not addressing other savingsopportunities from HID lamps, specifically the savings available from replacing probestart metal halide lamps with pulse

- start metal halide technology. However, at this time several states are developing standards on these metal halide products, so we recommend that DOE let states take the lead on these products rather than doin g further work in ths area at the present time.” 20

In summary, DOE received no comments advocating for MV lamps, but did receive comments to set pulse

- start MH as the efficacy standard.

2.4.1.4 State Regulatory Programs

Effective January 1, 2008, MH luminaires wit h lamps in all operating positions ranging from 150 to 500 W cannot contain a probe-start ballast in Arizona, Oregon, or Washington. New York and Rhode Island have similar laws effective January 1, 2008. In N ew Y ork and Rhode I sland , only luminaires with lamps operating in a vertical position (± 15 degrees of vertical) shall not contain probe- start ballasts

. 21

Under Title 20, California has an appliance efficiency program and requirements in place regarding MH luminaires (fixtures) s ince 2006 ( Table 2.4.1 ) 22

Table 2.4.1. California Metal Halide Fixture Requirements .

General Title 20 Enactments
Milestone Date Description
1/1/06 Luminaires with lamps oriented vertically with the base up at rated wattages 150

– 500 W shall not contain a probe

- start MH ballast

. 1/1/08 Luminaires with lamps oriented vertically with the base down at rated wattages 150

– 500 W shall not contain a probe

- start MH ballast

. Luminaires rated wattages 150

– 500 W shall not contain a probe

- start MH ballast

. Luminaires rated wattages 150

– 500 W shall not contain a metal halide ballast with a minimum ballast efficiency of 88 percent. Exceptions include:

**•** Luminaires with electronic ballasts that operate at 480 V.

**•** Luminaires rated at 150 W

, rated for use in wet locations per NEC and contain a ballast

rated to operate at ambient air temperature above 50 ° F

. 1/1/10 Metal halide luminaires rated partially within the range of 150 to 5000 W shall not have probe

- start ballasts and comply with Section 1605.3(n)(2)(A) as applicable.2- 21 Table 2.4.1. (cont inued .)

Specific Title 20 Enactments
Section Description 1605.3(n)(2)(A) **•** Indoor metal halide luminaires manufactured on or after January 1, 2010 shall comply with at least one option of Section 1605.3(n)(2)(B)

.

**•** Indoor metal halide luminaires manufactured on or after January 1, 2015 shall comply

with Section 1605 .3(n)(2)(B)4 and shall also comply with at least one other op tion of Section 1605.3(n)(2)(B).

**•** Outdoor metal halide luminaire manufactured on or after January 1, 2010 may comply

with Section 1605.3(n)(2)(B)3 and shall comply with at least on other option of Section 1605.3(n)(2)(B)

. 1605.3(n)(2)(B) **•** A minimum ballast efficiency of 90 percent for 150

– 250 W lamps or 92 percent for 251

– 500 W lamps.

**•** A minimum ballast efficiency of 88 percent and occupant sensors that are integral control

as defined in Section 1602(n) of this Article, shipped with the factory default setting to reduce lamp power automatically through dimming by a minimum of 40 percent within 30 minutes or less after an area has been vacated.

**•** A minimum ballast efficiency of 88 percent and automat ic daylight integral control as

defined in Section 1602(n) of this Article, shipped with the factory default setting to reduce lamp power automatically through dimming by a minimum of 40 percent.

**•** A minimum ballast efficiency of 88 percent and a relamping r ated wattage within only one

of the four wattage bins specified . The luminaire shall 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 luminaire shall have a perma nent, pre

- printed factory

- installed label that states the relamping rated wattage: 150

– 160

, 200

– 215

, 290

– 335

, or 336

– 500 . W hen operat ing 336

– 500 W lamps, the luminaire shall be prepackaged and sold together with at least one lamp per socket having a minimum lamp efficacy of 80 lumens per watt

, based on published mean lumens and rated lamp power (watts). Exceptions to 1605.3(n)(2) The f ollowing metal halide lighting systems shall not have probe

- start ballasts and are not required to meet the minimum ballast efficiency requirements:

**•** Luminaires that use regulated lag ballasts;

**•** Luminaires that use electronic ballasts which operate 480 V ; or

**•** Luminair es that meet all three of the following requirements:

**−** Rated for use only with 150 W lamps, and

**−** Rated for use in wet locations per NEC, and

**−** Contain a ballast rated to operate at ambient air temperature above 50 ° F.

California’s Title 20 aligns the S tate appliance requirements with the Federal requirements. The rules effective in 2010 push consumers toward electronic ballasts. The efficiencies in 1605.3(n)(2)(B) are the ballast efficiencies in EISA 2007 for nonpulse- start electronic ballasts

. Dimming requi rements (reduce power to 40 percent) per 1605.3(n)(2)(B) can only be achieved via electronic ballasts . It is possible with magnetic ballasts, but inefficient, more expensive, and harder to compete with electronic ballasts. Finally, California’s requirement s of 80 mean lm/W push consumers to better lamps. Better lamp lumen maintenance can be achieved with electronic ballasts than with magnetic ballasts, but also needs a better lamp to actually achieve the required system efficacy.

Another example of an effi cacy requirement indirectly affecting HID sources is the Minnesota Statute 216C.19, which states, “ [n] o new highway, street or parking lot lighting may be installed in violation of these rules. Existing lighting equipment, excluding roadway sign lighting, with lamps with initial efficiencies less than 70 lumens per watt must be replaced when2- 22 worn out with light sources using lamps with initial efficiencies of at least 70 lumens per watt .” 23

Several states and a number of municipalities passed “dark

- sky” ordinances aimed at reducing light pollution. While most of these ordinances focus on eliminating light pollution by addressing luminaire type and shielding, some ( e.g. , Arizona) specifically address the light

source. Often

, these municipalities are trying to ban a certain portion of the visible light spectrum . Astronomical observatories and co a stal areas can be negatively impacted by certain spectral content that affect s nighttime sky observation and animal habitats. Although the statute is technology neutral, it effectively excludes incandescent halogen lamps and virtually all CFL sources. This statute focuses on roadway lighting and affects applicable HID sources. MV lamps could not be installed in any application under this statute.

24

**•** Arizona’s statute states, “No new mercury vapor outdoor light fixtures shall be installed after the effective date of this section. No replacement equipment other than bulbs for mercury vapor lighting fixtures shall be sold in the state after January 1, 1991 and the use of mercury vapor light fixtures is prohibited after January 1, 2011.” However, regulatory authority is not consistent; some ordinances cover only the lighting owned by the regulatory entity ( e.g. , S tate or municipal), while others cover privately owned lighting as well. Examples of source- specific State requirements are as follows:

25

**•** The City of San José, California

, restricts source type because of the local observatory. “The use of low -pressure (LPS) sodium lighting for outdoor, unroofed areas shall be required for all private development in the City of San José as a condition of approval on all Land Use Development Permits.” 26

In addition to dark-sky ordinances, numerous S tate departments of transportation have specifications that focus on HID technology. In addition to their specifications, these departments and other municipalities have prequalified lighting -procurement programs that specifically govern HID sources

. For example, the Kansas Department of Transportation has a list of prequalified lighting systems that specifically list MH and HPS technology. 27

The Model-Lighting Ordinance (MLO) is a joint effort by IESNA and the Intern ational Dark -Sky Association ( IDA ) to provide a sample code that municipalities can adopt. The MLO pertains to outdoor lighting only. In contrast to the major energy codes, the MLO recommends restricting light output in terms of initial lumens for environmental zones

. Where ANSI/ASHRAE /IESNA St an d ard 90.1 and California Title 24 Standard regulate installed power density for the different environmental zones, the MLO gives a total lumen value for the zones. At the time of this publication, the MLO had not been completed by the IESNA/IDA Joint Task Force . Therefore, no actual values were provided. Although this is not an outright regulatory program, it is an example of municipal action that directly affects HID technology.

California Title 24 requires spaces with two or more luminaires lighting building facades, parking lots, garages, non- sales c anopies, and all outdoor sales areas to reduce the lighting power by 50 percent when the lighting is not needed. Compliance with this code can be achieved via continuous dimming and “hi- lo ” ballasts (stepped dimming ballasts) as well as switching every oth er luminaire

.2- 23 After an incident in a school in Oregon where teachers were injured by burns to their eyes (via excessive ultraviolet radiation exposure ) by a damaged MH lamp, the State of Oregon mandated that all schools replace MH and MV lamps with self-extinguishing versions. 28

2.4.2 Non

- Regulatory Programs Affecting High- Intensity Discharge Lamps

DOE ’s review of non-regulatory programs promoting higher- efficien cy HID sources found that there are four general types of programs that are either prescriptive or pe rformance

based. A prescriptive program would provide an incentive for using an efficient technology (with the assumption that with the equipment installed, energy will be saved). A performance

- based program would provide an incentive for saving energy wit h little restrictions on how those savings were achieved

. The first type of program promotes energy efficiency through sponsor ed retrofits, either on a prescriptive (technology) basis or on a minimum efficacy ( lm/W threshold) basis. The second type of pro gram encourages using the most efficient technology in new installations. The third type of program encourages higher- efficien cy technology, with the objective of reducing peak -load demand. This type of program applies more to indoor HID luminaires than outdoor lighting , which typically operates during off

- peak hours . Incentives in this category are based on kilowatt s saved during peak periods without dictating the technology used to reduce the load. The fourth and final type of program focuses on reducing energy (kilowatt hours) through more efficient technology

. Again , this does not prescribe specific technolog ies , but instead rewards
energy savings

. In Appendix A, DOE provides a summary of non-regulatory programs in the United States that focus on lighting and HID technology. Each program is described briefly, identifying the target technology, the incentives offered, and a website for more information. Although the list is not exhaustive, some type of program exists in 23 states that specifically focuses on HID technology. Incentives exist for either installing new HID sources or replacing HID sources with non-HID sources. In general, the incentives treat MV and MH as the “old inefficient” sources to be replaced. The three most common incentives are:

1. PMH – T hese incentives are for PMH fixtures or lamp s /ballast s replac ing incandescent, MV, MH, and HPS technology. The incentives can include either quartz or ceramic PMH lamps. The incentives range from $18 to $100. The most common PMH inc entive is the 320 W replacement for a 360 W or 400 W MH system. PMH being more efficacious and having better lumen maintenance than MH lamps means that , over the operating life, the lower wattage PMH system is equal or better than the standard higher wattage MH systems.

2. HIF – T hese incentives are for multi -lamp T5 or T8 fluorescent low/high bay luminaires. Incentives range from $50 to $125 for replacing HID fixtures. The rational e for these incentives is that fluorescent lamps can be dimmed more easily than HID lamps. Multi

lamp fixtures can also be switched off in different pairings. These control features save energy. The high lumen maintenance (above 0.90) for fluorescent lamps, the high efficacy ( above 90 lm/W ), and the long rated life when operated for long periods (over 30,000 hours) makes HIF a good option compared to traditional HID fixtures.2- 24 3. Integrally- ballasted CMH lamp – T his is a PAR lamp with an integral electronic ballast. Other incentives exist for CMH lamps but those are similar to other PMH incentives. Incentives range from $12 to $25 for this type of lamp, which directly replace s halogen PAR 38 lamps. This type of CMH lamp yields at least a 50 percent energy saving s compared to the halogen lamps. The CMH lamps typically have a rated life of 12,000 hours, which is double the best rated life for halogen lamps.

Programs or incentives for demand or energy reduction were not listed in Appendix A unless the program speci fically mentioned HID technology. Other programs that addressed HID technology, but did not provide data (required user to contact agency), were also not listed in Appendix A.2- 25 REFERENCES

1. Updyke, C. Personal communication . National Electrical Manufacturers Association Lamp Section. E- mail to the U.S. Department of Energy. May 2, 2003.

2. National Electrical Manufacturers Association. Personal communication . M eeting with the U.S. Department of Energy. January 21, 2003.

3. U.S. Department of Energy

– Office of Energy Effi ciency and Renewable Energy. 2009 Buildings Energy Data Book . October 2009.

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DET -03-001, Comment 06.

5. The Freedonia Group, Inc. Industry Study 2549 LAMPS. September 2009, Cleveland, OH.

6. National Electrical Manufacturers Association. General Lighting High Intensi ty Discharge Lamps: Manufacturers . 2010. (Last accessed January 15, 2010.)

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10. Illuminating Engineering Society of North America

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16. U.S. Department of Energy– Office of Energy Efficiency and Renewable Energy. Comments from the Public Meeting for Technical Support Document: Energy Efficiency Program for Commercial and Industrial Equipment: High

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DET -03-001, Comment 08.

17. Ibid, Comment 11.

18. Ibid, Comment 13.

19. Ibid, Comment 14.

20. Ibid, Comment 15.

21. New York State –Department of State: Division of Code Enforcement and Administration: Laws & Regulations. Title 19 –Appliance and Equipment Energy Efficiency Standards

. Official Compilation of the Rules and Regulations of the State of New York.

22. Californi a Energy Commission. 2009 Appliance Efficiency Regulations . (Last accessed June 2010.) CAL. CODE REGS title 20, § 1605.3(n)(2) (2010)
< http://www.energy.ca.gov/2009publications/CEC-400-2009-013/CEC-400-2009- 013.PDF >
23. Minnesota Department of Transportation. Roadway Lighting Design Manual May 2006

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< http://www.darksky.org/mc/page.do?sitePageId=90679 >

25. Arizona State Legislature Revised Statu[t]es. Title 49 –The Environment, Chapter 7, Article 1–Light Pollution. 49-1104: Use of mercury vapor light fixtures . (Last accessed January 15, 2010). < http://www.phoenixdarkskies.org/arizonalightingordinances.html >2- 27 26. City of San José, California. City Council Policy 4-3. Outdoor Lighting on Private Developments . Effective 3/1 /83, revised 6/20/00. (Last accessed January 15, 2010).

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– Bureau of Materials and Research. List of Prequalified Roadway Lighting Systems & Equipment . PQL–24.2–Revised 05/01/2009. (Last accessed January 15, 2010.) < www.ksdot.org/burmatrres/pql/pql-24-02.pdf >
28. (State of) Oregon Revised Statutes. Relating to school lighting . Amending ORS 332.207 and section 2, chapter 312, Oregon Laws 2007. 74th Oregon Legislative Assembly

-- 2008 Special Session. (Last accessed January 15, 2010.)

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