Hid Lamps Important

Max Tech and Beyond:
High-Intensity Discharge Lamps
Project Managers
Louis-Benoit Desroches & Karina Garbesi
Environmental Energy Technologies Division
Author
Michael Scholand
N14 Energy Limited, Navigant Consulting Inc.
Lawrence Berkeley National Laboratory

One Cyclotron Road
Berkeley, CA 94720
April 1, 2012
The work described in this report was funded by the U.S. Department of Energy’s Office of
Energy Efficiency and Renewable Energy, Building Technologies Program under Contract No.
DE-AC02-05CH11231.
Max Tech and Beyond – HID Lamps
Disclaimer
This document was prepared as an account of work sponsored by the United States Government.
While this document is believed to contain correct information, neither the United States
Government nor any agency thereof, nor the Regents of the University of California, nor any of
their employees, makes any warranty, express or implied, or assumes any legal responsibility for
the accuracy, completeness, or usefulness of any information, apparatus, product, or process
disclosed, or represents that its use would not infringe privately owned rights. Reference herein
to any specific commercial product, process, or service by its trade name, trademark,
manufacturer, or otherwise, does not necessarily constitute or imply its endorsement,
recommendation, or favoring by the United States Government or any agency thereof, or the
Regents of the University of California. The views and opinions of authors expressed herein do
not necessarily state or reflect those of the United States Government or any agency thereof or
the Regents of the University of California.
Lawrence Berkeley National Laboratory is an equal opportunity employer.
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Acknowledgements
The work described in this report was funded by the U.S. Department of Energy’s Office of
Energy Efficiency and Renewable Energy, Building Technologies Program under Contract No.
DE-AC02-05CH11231.
The author would like to thank the author of the Lamp Tech website in the UK
(http://www.lamptech.co.uk/index.html ) for granting permission to use their photos in this
report, which appear as Figures 2-5, 2-6 and 2-7.
2
Table of Contents
EXECUTIVE SUMMARY ........................................................................................................................................... 5

1 INTRODUCTION ............................................................................................................................................ 8
2 CONTEXT AND BACKGROUND....................................................................................................................... 9
2.1 TECHNICAL TERMINOLOGY ................................................................................................................................... 13
2.2 MATURITY OF TECHNOLOGY ................................................................................................................................. 15
2.3 EQUIPMENT DESCRIPTION AND OPERATION............................................................................................................. 17
2.3.1 Mercury Vapor Lamps ........................................................................................................... 17
2.3.2 High Pressure Sodium Lamps................................................................................................. 19
2.3.3 Metal Halide Lamps ............................................................................................................... 21
2.3.4 Low Pressure Sodium Lamps.................................................................................................. 26
2.4 NATIONAL EFFICACY REGULATION HID LAMPS......................................................................................................... 27
2.4.1 Energy Policy Act of 1992 – HID Lamp Determination........................................................... 27
2.4.2 Energy Independence and Security Act of 2007 – Metal Halide Fixtures .............................. 28
3 RESEARCH AND DEVELOPMENT OF HID LAMPS .......................................................................................... 29
3.1 MERCURY VAPOR LAMPS..................................................................................................................................... 29
3.2 HIGH PRESSURE SODIUM LAMPS ........................................................................................................................... 29
3.3 QUARTZ METAL HALIDE LAMPS ............................................................................................................................ 30
3.4 CERAMIC METAL HALIDE LAMPS ........................................................................................................................... 31
3.5 ELECTRODELESS HID LAMPS ................................................................................................................................. 34
3.6 LED TECHNOLOGY.............................................................................................................................................. 35
4 SCREENING ANALYSIS PREVIEW .................................................................................................................. 38
4.1 INTRODUCTION .................................................................................................................................................. 38
4.2 SCREENING OF EFFICIENCY MEASURES .................................................................................................................... 38
5 MANUFACTURERS AND MARKETS .............................................................................................................. 40
5.1 MANUFACTURERS OF HID LAMPS ......................................................................................................................... 40
5.2 MARKET SIZE AND SHIPMENTS .............................................................................................................................. 40
5.3 ESTIMATE OF THE INSTALLED STOCK ....................................................................................................................... 41
REFERENCES......................................................................................................................................................... 43
List of Tables
TABLE 2-1. SAMPLE OF TYPICAL PERFORMANCE ATTRIBUTES OF COMMERCIAL HID LAMPS ............................................................ 11
TABLE 2-2. PERFORMANCE PULSE-START METAL HALIDE LAMPS............................................................................................... 25
TABLE 2-3. PERFORMANCE SUMMARY OF CERAMIC PULSE-START METAL HALIDE LAMPS .............................................................. 26
TABLE 4-1. INITIAL SCREENING ANALYSIS OF TECHNOLOGY OPTIONS DISCUSSED .......................................................................... 39
TABLE 5-1. SHIPMENT ESTIMATE FOR HID LAMPS FOR THE U.S. MARKET ................................................................................... 41
TABLE 5-2. ESTIMATE OF THE INSTALLED STOCK OF HID LAMPS IN THE US MARKET (000 UNITS).................................................... 42
3
List of Figures
FIGURE ES-1. EFFICACY PROGRESSION OF HID AND LPS LAMPS, 1930-2010 ............................................................................... 5
FIGURE 2-1. DIAGRAM ILLUSTRATING LAMP TYPES AND HID LAMPS ............................................................................................ 9
FIGURE 2-2. INITIAL TO MEAN EFFICACY FOR THE LAMPS IN TABLE 2-1. ..................................................................................... 12
FIGURE 2-3. SHARES OF SECTORAL ENERGY USE BY LIGHTING TECHNOLOGY ................................................................................ 13
FIGURE 2-4. ILLUSTRATION OF THE TECHNOLOGY CONTINUUM ................................................................................................. 16
FIGURE 2-5. MERCURY VAPOR LAMP PHOTOGRAPH WITH KEY PARTS LABELED ........................................................................... 18
FIGURE 2-6. HIGH PRESSURE SODIUM LAMP PHOTOGRAPH WITH KEY PARTS LABELED ................................................................. 20
FIGURE 2-7. METAL HALIDE LAMP PHOTOGRAPH WITH KEY PARTS LABELED............................................................................... 23
FIGURE 3-1. PROJECTED OEM PRICE FOR WHITE LIGHT LED LAMP, INTEGRALLY BALLASTED ......................................................... 36
List of Acronyms
ANSI American National Standards Institute

CCT Correlated Color Temperature
CFL Compact Fluorescent Lamp
CRI Color Rendering Index
DOE Department of Energy
EU European Union
GE General Electric
HID High Intensity Discharge
HPS High Pressure Sodium
LED Light Emitting Diode
LLD Lamp Lumen Depreciation
LPS Low Pressure Sodium
LPW Lumens Per Watt
MH Metal Halide
MV Mercury Vapor
NEMA National Electrical Manufacturers Association
US United States
UV Ultra Violet
4
Executive Summary
High-intensity discharge (HID) lamps are most often found in industrial and commercial
applications, and are the light source of choice in street and area lighting, and sports stadium
illumination. HID lamps are produced in three types – mercury vapor (MV), high pressure
sodium (HPS) and metal halide (MH). Of these, MV and MH are considered white-light sources
(although the MV exhibits poor color rendering) and HPS produces a yellow-orange color light.
A fourth lamp, low-pressure sodium (LPS), is not a HID lamp by definition, but it is used in
similar applications and thus is often grouped with HID lamps. With the notable exception of
MV which is comparatively inefficient and in decline in the US from both a sales and installed
stock point of view; HPS, LPS and MH all have efficacies over 100 lumens per watt. The figure
below presents the efficacy trends over time for commercially available HID lamps and LPS,
starting with MV and LPS in 1930’s followed by the development of HPS and MH in the 1960’s.
Figure ES-1. Efficacy Progression of HID and LPS Lamps, 1930-2010

Sources: Flesch, 2006; Hooker, 2010; GE Lamp Catalogue, 2010.
In HID lamps, light is generated by creating an electric arc between two electrodes in an arc
tube. The particles in the arc are partially ionized, making them electrically conductive, and a
light-emitting “plasma” is created. This arc occurs within the arc tube, which for most HID
lamps is enclosed within an evacuated outer bulb that thermally isolates and protects the hot arc
tube from the surroundings. Unlike a fluorescent lamp that produces visible light through down-
converting UV light with phosphors, the arc itself is the light source in an HID lamp, emitting
visible radiation that is characteristic of the elements present in the plasma. Thus, the mixture of
elements included in the arc tube is one critical factor determining the quality of the light emitted
5
from the lamp, including its correlated color temperature 1 (CCT) and color rendering index 2
(CRI).
Similar to fluorescent lamps, HID lamps require a ballast to start and maintain stable operating
conditions, and this necessitates additional power beyond that used by the lamp itself. HID
lamps offer important advantages compared to other lighting technologies, making them well
suited for certain applications. HID lamps can be very efficient, have long operating lives, are
relatively temperature-insensitive and produce a large quantity of light from a small package. For
these reasons, HID lamps are often used when high levels of illumination are required over large
areas and where operating and maintenance costs must be kept to a minimum. Furthermore, if
the installation has a significant mounting height, high-power HID lamps can offer superior
optical performance luminaires, reducing the number of lamps required to illuminate a given
area. The indoor environments best suited to HID lamps are those with high ceilings, such as
those commonly found in industrial spaces, warehouses, large retail spaces, sports halls and large
public areas.
Research into efficacy improvements for HID lighting technologies has generally followed
market demand for these lamps, which is in decline for MV and LPS, has reached a plateau for
HPS and is growing for MH. Several manufacturers interviewed for this study indicated that
although solid-state lighting was now receiving the bulk of their company’s R&D investment,
there are still strong HID lamp research programs, which concentrate on MH technologies, with
some limited amount of investment in HPS for specific niche applications (e.g., agricultural
greenhouses). 3 LPS and MV lamps are no longer being researched or improved in terms of
efficacy or other performance attributes, although some consider MH HID lamps to be the next-
generation MV lamp.
Thus, the efficacy values of commercially available MV, LPS and HPS lamps are not expected
to increase in the next 5 to 10 years. MH lamps, and more specifically, ceramic MH lamps are
continuing to improve in efficacy as well as light quality, manufacturability and lamp life.
Within an HID lamp, the light-producing plasma must be heated to sufficiently high
temperatures to achieve high efficiencies, without melting the electrodes or altering the operating
conditions of the lamp. The research in ceramic MH has focused on the arc tube, the electrodes
and the plasma, resulting in an innovation announced by Philips Lighting in 2009 called the
“unsaturated lamp.”
The unsaturated lamp addresses a problem experienced by standard ceramic MH lamps where a
pool of liquid salt develops in the arc tube while the lamp is operating. This pool of liquid salt
1
Correlated color temperature - the temperature of a blackbody radiator whose chromaticity most nearly resembles
that of the light source. The metric for CCT is given in degrees Kelvin (K). Cooler temperatures (less than 3200K)
are referred to as being “warm” in color as they contain more red light, while higher temperatures (in excess of
4000K) are referred to as being “cool” in color as they contain more blue light.
2
Color rendering index – is a measurement of a light source’s ability to render colors accurately. A perfect
rendering of color compared with the incandescent reference source is given a maximum value of 100. A limitation
of this metric is that it is only applicable to light sources of the same correlated color temperature (CCT). In other
words, CRI values of two light sources with different CCT cannot be compared.
3
HPS lamp research focuses on agricultural applications because the lamp offers so many lumens per watt. The
research is not about improving efficacy, but about optimizing other lamp performance issues for this application.
6
limits the light characteristics of the lamp such as the efficacy and color quality, and reduces
lamp lifetime. By making modifications to the arc tube, the pressure and the operating
temperature, the unsaturated ceramic MH lamp resolves this issue by keeping all the halide salts
in the gaseous phase, even while the lamp is dimming (down to 50%). This innovation, coupled
with an improved solution for sealing of the electrodes into the arc tube during manufacture,
results in a much more robust seal for the electrodes in the arc tube.
By avoiding the liquid salt issue and improving the electrode seals, this new lamp design
significantly reduces the reaction and attack on the ceramic arc tube, so lamp lifetime will
improve. Plus, this technology has the potential to offer high performance characteristics such as
fast run-up to full brightness (<30 seconds), dimmability without color shift, longer operating
life, mercury free lamps, hot re-strike and miniaturization. Following on from these innovations,
researchers are now focusing on optimization and further improvement to the light quality and
lamp efficacy.
Manufacturers are currently offering commercially available ceramic MH lamps that are
operating at 120 lumens per watt (initial). Researchers interviewed agreed that they could
envision this product being optimized and incrementally improved over the next 2 to 4 years to
go from 120 lm/W to 150 lm/W. Thus, by 2013-2014, it is expected that manufacturers would
produce commercially available ceramic metal halide lamps that offer 150 lm/W, and which
offer high quality white-light in a package that would be more than 20,000 hours of operating
life.
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1 Introduction
Lawrence Berkeley National Laboratory (LBNL) recently conducted a study, entitled Max Tech
and Beyond: Maximizing Appliance and Equipment Efficiency by Design, to assess the maximum
and projected efficiency of a number of different energy using technologies and products
(Desroches & Garbesi 2011). The study takes ‘max tech’ (maximum technologically feasible)
appliance efficiency engineering analysis as a starting point and creates an expanded catalogue
of technology options for a wide range of appliances, equipment and systems. This report was
prepared as part of that effort, focusing on high-intensity discharge (HID) lamps. This report
takes into consideration the premium efficiency of products globally, the R&D pathway, and
information on prototype and design concepts under consideration that might further improve
product efficiency.
Through this global study of HID lamp performance, this research will address both the
maximum energy-efficiency levels achieved in the markets today and discuss technical
innovations under development by industry and academia. The findings from this study cover
both the maximum technologically feasible performance available today for HID lamps and the
anticipated performance improvements that will be realized in the coming years.
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2 Context and Background

High intensity discharge (HID) lamps are a family of lamps that offer high lumen output from a
relatively small source. These lamps are commonly used in applications as diverse as parking lot
and street lighting through to warehouse and sports stadium lighting. There are three types of
HID lamps – mercury vapor (MV), high pressure sodium (HPS) and metal halide (MH). In
addition, there is another lamp-type called low pressure sodium (LPS) which technically is not a
HID lamp, 4 but from an application perspective is used in similar installations and therefore will
be included in the scope of this study.
The diagram below illustrates the various classes of electric lamps, and those lamps that are
circled in red are part of this study. These include the high-pressure mercury and high-pressure
sodium gas-discharge lamps. The low-pressure sodium lamp is also circled in a dotted line
because although it is not an HID lamp, it is discussed in this report.
Standard
Incandescent
Halogen
Low-Pressure: Fluorescent, Induction
Lamps
Mercury
High-Pressure: MV, MH, Ceramic MH
Gas-Discharge
Low-Pressure: LPS
Sodium
High-Pressure: HPS, White HPS
Figure 2-1. Diagram Illustrating Lamp Types and HID Lamps
In general terms, the mercury-based lamps which include mercury vapor, metal halide and
ceramic metal halide produce a white-light. The sodium-based lamps produce a yellow-orange
light, although there is a product called ‘white HPS’ that has other materials included in the high-
pressure arc tube which diversify the spectral emission producing a more ‘white’ light emission
(but having a lower efficacy than standard HPS).
4
HID lamps are defined as electric discharge lamps in which the arc tube wall temperature stabilizes a light-
producing arc, and the arc tube wall loading is in excess of 3.0 watts per square centimeter. LPS lamps have a lower
level of arc tube wall loading, and therefore technically do not meet the definition of HID lamps. However, the
lighting industry generally treats LPS lamps as HID lamps due to commonality in construction, operational
characteristics, and application.
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HID lamps produce light from an intense electrical arc (called an electrical “discharge”) created
between two electrodes. This process is similar to that of a fluorescent lamp, except that the
visible light is emitted by the arc itself while the fluorescent lamp arc produces visible light
through the phosphor coating on the tube wall. Some HID lamps incorporate a phosphor coating
on the inside of the bulbs, but these coatings are generally only used either to provide improved
color rendition or to increase the apparent size of the light source to reduce glare.
The following table depicts some of the commercially available HID lamps and typical
performance levels for those lamps. The most efficient lamp in the table is the LPS lamp, which
has an efficacy of 178 lumens per watt. While that value is numerically very high, the quality of
the light is such that this lamp could not be used in many applications. LPS lamps have a color
rendering index (CRI) of 5 and a correlated color temperature (CCT) of 1800 – both ratings are
very low compared to quality white-light sources. The light emission from an LPS lamp is a
deep orange light that is not aesthetically pleasing, and is not widely used anymore. The next
most efficacious lamp is the HPS lamp, which has an initial efficacy of 127 lumens per watt for a
400 watt lamp and an slightly better CRI of 22. The metal halide lamp is the next most
efficacious lamp, and it is the most efficient of the HID lamp ‘white-light’ sources. Metal halide
lamps offer initial efficacies of 110 lumens per watt for a 400 watt pulse start, but with a 65 CRI
– a significantly improved color rendering ability compared to HPS and LPS. The white HPS
lamp offers a warmer white-light option, at 70 CRI and 2200K CCT, however its initial efficacy
is 93 lumens per watt, nearly 20 lumens per watt lower than metal halide. The best HID lamps
from a color rendering point of view are the ceramic metal halide (CMH) lamps, which have a
CRI of 90, exceeding all other HID lamps, including the standard metal halide and white HPS.
10
Table 2-1. Sample of Typical Performance Attributes of Commercial HID Lamps

Power Life CCT Lumens Efficacy
Type Base Coating (1000 CRI (lm/Wnom,
(watts) (°K) (initial/mean)
hrs) initial/mean)
CMH EX39 250 Clear 20 4100 90 23000/18400 92/74

CMH EX39 350 Clear 20 4100 90 33000/26400 94/75
Pulse MH E39 250 Clear 15 4200 65 23000/17000 92/68
Pulse MH E39 400 Clear 20 4000 65 44000/35200 110/88
MH* E26 175 Clear 10 4000 65 13600/8800 78/50
MH E39 360 Clear 20 4300 65 36000/23500 100/65
HPS E39 150 Clear 24+ 2000 22 16000/14400 107/96
HPS E39 400 Clear 24+ 2100 22 51000/45000 127/112
White HPS E39 400 Clear 15 2200 70 37400/34400 93/86
LPS BY22d 180 Clear 18 1800 ~5 32000 178
MV E39 175 Clear 20 5700 15 7850/6670 45/38
MV E39 400 Phos. 20 3900 50 22600/15800 56/40
SB MV E39 250 Phos. 12 3900 50 5000/3750 20/15
*Lamp specifications are shown here for a vertical installation of this metal halide lamp.
Source: General Electric Lamp and Ballast Catalogue, Fluorescent Section updated May 2010; Philips Low Pressure
Sodium Lamps Brochure, April 2003.
The MV lamps appear at the bottom of the table, where there are two standard MV lamps and
one “self-ballasted” (SB) MV lamp. The efficacies of these three lamps are considerably lower
than all the other HID lamps in the list, particularly the self-ballasted, which offers an efficacy
value equivalent to an incandescent filament lamp.
Taking just the initial and mean efficacy values from the table above and plotting them for each
of the lamp types, the following graph is prepared showing a comparison of lumen maintenance
for each lamp type. The width of the red line represents a larger change in initial and mean
efficacy, and thus a larger change in lumen maintenance. In this graph, the high efficacy value
of LPS is immediately evident, as is its lumen maintenance – the initial and mean efficacy values
are virtually the same. Standard MH lamps (called simply “Metal Halide” in this figure) have
the worst lumen maintenance of the lamps shown below, with the greatest numerical difference
between initial and mean lumens. Ceramic MH lamps exhibit the best lumen maintenance of the
MH lamps, with the smallest differences between initial and mean lumens. The least efficient
sources are the mercury vapor lamps, which operate at efficacies markedly lower than HPS and
MH.
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Figure 2-2. Initial to Mean Efficacy for the Lamps in Table 2-1.
From a research point of view, industry is continuing to invest in the improvement of MH

technology, but investment in MV has stopped, and we did not identify any initiatives to improve
the performance of HPS. In chapter 3 of this report, the methods developed and applied by
manufacturers to improve the efficacy (i.e., lumens of visible light per watt of power consumed)
of HID lamps are discussed.
From an application point of view, HID lamps offer important advantages compared to other
conventional lamps. For instance, HID lamps can be very efficient, offer long operating lives, be
reasonably temperature in-sensitive, and produce a large quantity of light from a small source.
For these reasons, they have been used when high levels of light are required over large areas
and where low operating and maintenance costs are important. In these installations, a
sufficiently high ceiling is necessary to enable the light to be distributed by the luminaire across
a large area, including spaces such as manufacturing facilities, retail superstores, warehouses,
and sports halls. Their ability to produce a large amount of light in a small package and
comparative temperature insensitivity make them the dominant light source for street and
roadway lighting, as well as area and pathway lighting and other security and safety lighting
applications. Furthermore, recent innovations that started with HID lamps used in automobile
head-lamps are able to provide lighting in small retail establishments, such as directional ceramic
metal halide HID lamps being used in place of halogen lamps.
The following figure presents the national energy consumption profile for HID lamps. These
lamps consume less electricity than the installed stock of incandescent or fluorescent lamps, and
they are commonly found in the outdoor stationary, commercial and industrial sectors.
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Incandescent
Outdoor
Stationary
Fluorescent
Industrial
High Intensity
Discharge
Residential
Commercial
0 100 200 300 400 500

Annual Energy Consumption (TWh/yr)
Figure 2-3. Shares of Sectoral Energy Use by Lighting Technology

Source: NCI, U.S. Lighting Market Characterization Volume I: National Lighting Inventory and Energy
Consumption Estimate, 2002.
HID lamps constitute the primary light source for the outdoor stationary sector, where they
supply illumination of roads, pathways, and large and small area lighting. In the industrial and
commercial sectors, HID lamps can be found in high and low-bay fixtures illuminating large
areas as well as in down-lights, building accent lights and parking lots.
2.1 Technical Terminology

This section identifies and defines some terms and concepts that are related to the HID lamp
review and measures that will improve their efficacy.
• Ballast - a device used to obtain the necessary electrical conditions to start and
operate an electric-discharge lamp, including an HID lamp.
• Color rendering index – is a measurement of a light source’s ability to render colors

accurately. A perfect rendering of color compared with the incandescent reference
source is given a maximum value of 100. A limitation of this metric is that it is only
applicable to light sources of the same correlated color temperature (CCT). In other
words, CRI values of two light sources with different CCT cannot be compared.
• Correlated color temperature - the temperature of a blackbody 5 radiator whose

chromaticity most nearly resembles that of the light source. The metric for CCT is
given in degrees Kelvin (K). Cooler temperatures (less than 3200K) are referred to as
being “warm” in color as they contain more red light, while higher temperatures (in
5
Blackbody is defined as a temperature radiator of uniform temperature whose radiant excitance in all parts of the
spectrum is the maximum obtainable from any temperature radiator at the same temperature. Such a radiator is
called a blackbody because it absorbs all the radiant energy that falls upon it.
13
excess of 4000K) are referred to as being “cool” in color as they contain more blue
light.
• Efficacy - the measured visible light output of a lamp in lumens divided by the
measured electrical power input in watts, expressed in lumens per watt (LPW).
Efficacy provides a metric to compare the efficiency of white-light sources, although
it does not account for ballast losses in the fluorescent system.
• Fixture - the housing into which a lamp and ballast are installed to create a finished
luminaire. The fixture protects the lamp, and generally contains a socket(s) into
which the lamp is inserted and usually manages or directs light distribution from the
lamp.
• Foot-candle - a measure of illuminance equal to one lumen per foot square or 10.76
lux. One foot-candle is equivalent to the amount of light emitted by a single candle
onto a plane orthogonal to the angle of incidence at a distance of one foot from the
candle.
• HID lamp - an electric discharge lamp in which the arc tube wall temperature
stabilizes a light-producing arc, and the arc tube wall loading is in excess of 3.0 watts
per square centimeter. The following are examples of lamps that, when they meet
these criteria, are considered HID lamps:
o A self-ballasted lamp, i.e., a lamp that contains the ballast within the lamp.
o A lamp in which radiation from mercury produces the major portion of the light.
This type of lamp is commonly referred to as a mercury vapor lamp, and it
typically operates at a partial vapor pressure in excess of 1.013 X 105 pascals (760
torr).
o A lamp in which radiation of metal halides and their products of dissociation, in
combination with metallic vapors such as mercury, produces the major portion of
the light. This type of lamp is commonly referred to as a metal halide (MH) lamp.
o A lamp in which radiation from sodium vapor produces the major portion of the
light. This type of lamp is commonly referred to as a high-pressure sodium (HPS)
lamp, and it typically operates at a partial pressure equal to or greater than 6.67 X
103 pascals (50 torr).
• Illuminance - is the density of luminous flux incident on an area. In other words,

illuminance is the density of light determined by taking the total amount of light that
falls on a plane divided by the total area of the plane.
• Lamp lumen depreciation - the intrinsic reduction in light output over the operating
lifetime of a lamp, caused in part by non-recoverable factors such as the loss of
emissive material on the electrodes, deposits of sputtered material on the inside of the
glass bulb and the leakage of fill gas.
• Light - radiant energy that is capable of exciting the retina and producing a visual
stimulation. Since the energy at each wavelength (i.e., visible light color) does not
14
stimulate the human eye equally, to convert radiant energy to useful light for the
human eye, each wavelength is weighted by the eye’s sensitivity function, V(λ).
• Lumen - the metric unit of luminous flux, defined photometrically as the luminous
flux emitted within a unit solid angle (one steradian) by a point source having a
uniform luminous intensity of one candela. A lumen measures the radiometric energy
emitted from a light source weighted by the human eye’s sensitivity function, V(λ).
• Luminaire - a complete lighting unit consisting of a lamp or lamps and ballast(s)

(when applicable) together with a fixture (optics, housing and parts) designed to
distribute the light, to position and protect the lamps, and to connect the lamps to the
power supply.
• Rated life – under standard testing conditions, the time at which 50 percent of a large
sample of HID lamps no longer operate (i.e., cease producing light).
• Spectral power distribution – a pictorial representation of the radiant power emitted

by a light source at each wavelength or band of wavelengths in the visible region of
the electromagnetic spectrum (380 to 780 nanometers). The SPD determines the
CCT and CRI of the light source, and indicates the perceived color and quality of the
light generated by the lamp.
• System efficacy - measurement of the overall energy performance of lamp-ballast

combinations, calculated by multiplying the rated lamp lumens by the ballast factor
and dividing the product by total input watts. The application of system efficacy is
the same as for lamp efficacy, except that it takes into account the contribution of the
ballast as it delivers power to the lamp from the main electricity supply.
2.2 Maturity of Technology

One critical facet of energy-efficiency measures being considered in this study is how close these
new measures are to commercialization. The graphic below represents a technology continuum,
used to classify a product and thus enable planning, including technical and business actions and
decisions that are necessary to move a concept from a scientific phenomenon to a marketable
product. In order for a technology to advance to the next stage along the continuum, it must
meet criteria at each stage.
The technology continuum is divided into seven technology maturity stages described below.
Figure 2-4 presents the seven technology maturity stages that comprise the technology maturity
continuum. This graphic is developed for each of the technology options discussed in this
chapter, with the gray diamond representing the stage for each technology option. In the example
shown below, a given technology is classified as being at the Engineering Development stage.
15
Figure 2-4. Illustration of the Technology Continuum

Technology Maturity Stage
Basic Science Applied Exploratory Advanced Engineering Product Commercialization
Research Research Development Development Development Demonstration and Sales
The following text provides a brief description of each technology maturity stage:
• Basic Science Research - Fundamental science exploration is performed to expand

the knowledge-base in a given field. Scientific principles (with data-empirical and/or
theoretical derivation) are formulated and proven. The output from these projects
would generally be peer-reviewed papers published in recognized scientific journals.
Specific applications are not necessarily identified at this stage.
• Applied Research - Scientific principles are demonstrated, an application is

identified, and the technology shows potential advantages in performance over
commercially available technologies. Laboratory testing and/or math modeling is
performed to identify the application(s), or provide the options (technical pathways)
to an application. Testing and modeling add to the knowledge base that supports an
application and point to performance improvements.
• Exploratory Development - A product concept addresses an energy efficiency

priority. From laboratory performance testing, down select from alternative
technology approaches for best potential performance, via selection of materials,
components, processes, cycles, and so on. With laboratory performance testing data,
down select from a number of market applications to the initial market entry ideas.
This product concept must exhibit cost and/or performance advantages over
commercially available technologies. Technical feasibility should be demonstrated
through component bench-scale testing with at least a laboratory model of the
concept.
• Advanced Development - Product concept testing is performed on a fully functional

laboratory prototype – “proof of design concept” testing. Testing is performed on
prototypes for a number of performance parameters to address issues of market, legal,
health, safety, etc. Through iterative improvements of concept, specific applications
and technology approaches are refocused and “down selected.” Product specification
(for manufacturing or marketing) is defined. Technology should identify clear
advantages over commercially available technologies, and alternative technologies,
from detailed assessment.
• Engineering Development - “Field ready prototype” system is developed to refine

product design features and performance limits. Performance mapping is evaluated
and testing of a field-ready prototype/system is carried out in a representative or
actual application with a small sample in the field. The number of units is a function
16
of unit cost, market influences, monitoring costs, owner/operator criteria, etc.

Feedback from the user and technical data gathered from field trials are used to
improve prototype design. Further design modifications and re-testing are performed
as necessary.
• Product Demonstration - Operational evaluation of the demonstration units in the

field is conducted to validate performance as installed. Third party monitoring of the
performance data is required, although less data is recorded relative to the “field
ready prototype” test in the previous stage. Pre-production units may be used. Size
of demo is a function of unit cost, monitoring cost, etc., and involves relatively more
visibility.
• Commercialization and Sales – The product is commercialized and is actively being

marketed to customers.
2.3 Equipment Description and Operation

High Intensity Discharge or HID lamps are designed to produce light from an intense electrical
arc (called an electrical “discharge”) created between two electrodes. This assembly is housed
inside a transparent tube made out of quartz or ceramic and filled with various gas and metals
that define the type of HID in question. The gas facilitates the formation of the electric discharge
arc and the metals emit light once they are heated to the point of vaporization. The three main
families of HID lamps are MV, HPS and MH. The light production mechanism in an HID lamp
is similar to that of a fluorescent lamp, except that in an HID lamp, the visible light is emitted by
the arc itself while the fluorescent lamp the visible light is emitted by the phosphor coating on
the tube wall rather than the electrical arc. Similar to fluorescent lamps, HID lamps require
control gear to start and maintain the arc, which necessitates additional power consumption
beyond that used directly by the lamp itself.
2.3.1 Mercury Vapor Lamps

Mercury vapor lamps were the first HID lamps, appearing on the market in the 1930’s. MV
lamps are classified as a white-light HID source (albeit with a low CRI), producing a bluish-
green light. These lamps are often used in outdoor security, street, and landscape lighting. MV
lamp shipments are in decline in the US, however they are expected to maintain some market
share in certain niche applications where long life and low first cost are critical factors. MV
lamps are available in wattages from 50 to 1000 watts, with CRI values ranging from 15 to 62
and CCTs of 2900 to 5700K. The higher CRI values are achieved using a phosphor coating
which also reduces the efficacy of the lamp. The efficacy values typically range from 40 to 60
lumens per watt, and the operating lives range from 6000 to 28,000 hours.
The highest-efficacy and CRI MV lamps have a high vapor pressure and use separate (non-
integrated) ballasts, but in some parts of the world, self-ballasted lower-pressure “blended”
17
mercury lamps 6 are still common despite their very poor efficacy (14 to 29 lm/W) and poor light
quality (50-60 CRI). These lamps are used primarily because of their low first-cost, no need for
a ballast and longer lifespan than a standard incandescent lamp (i.e., 6000-12,000 hours).
The light output from MV lamps declines over the life of the lamp. The lumen output typically
depreciates about 25 percent from its initial output at 50 percent of rated life. And it is not
uncommon for MV lamps to continue operating long after their ‘rated’ life. The light output
from the lamp continues to decline while the power consumption remains constant - meaning
that efficacy decreases with use.
The figure depicts a photograph of a typical MV lamp. The outer bulb is made out of heat
resistant glass with a small amount of nitrogen fill gas at a low pressure. The quartz arc tube is
filled with argon and mercury, and there are two main electrodes that connect to the supporting
structure. Finally, there is a lamp screw cap that is used to mechanically hold the lamp in place
and electrically connect the lamp to the power circuit.
Argon Fill Gas
Photo: Lamptech see: http://www.lamptech.co.uk/index.html

& Mercury
Starting
Electrode
Quartz Arc
Tube
Nitrogen Fill Gas
End Cap Outer Bulb
Figure 2-5. Mercury Vapor Lamp Photograph with Key Parts Labeled
MV lamps may operate with any of the commonly available MV and metal halide (MH) ballasts,
without an igniter. MV lamps may use a reactor (RX) ballast, a high-reactance autotransformer
(HX) ballast, a constant wattage autotransformer (CWA) ballast, or a constant wattage isolated
transformer (CW) ballast. The ballast supplies sufficient starting current and voltage to allow the
arc to strike and to stabilize after warm-up. In stable operation, the ballast limits the lamp current
6
Blended light lamps do not require ballasts. They can convert 120V incandescent lamp sockets to mercury vapor
lamps by simply replacing the lamp. The longer life of the mercury lamp saves replacement labor costs and is a
replacement for higher-wattage incandescent lamps. The range is from 160W to 500W and all bulbs have the
phosphor coating. The lamps contain a tungsten filament which acts as the ballast for the mercury arc tube.
18
to control the arc discharge and to prevent the lamp from self-destructing. The ballast is specific
to each lamp type and power rating, and is designed to operate on a single voltage unless
provided with input connections (taps) to select alternative input voltages.
When the circuit is energized, a small arc forms between the starting electrode and adjacent main
electrode. The arc ionizes the fill gas and mercury vapor. When enough ions are present in the
arc tube, the resistance drops and the main arc strikes between the two main electrodes. The
current to the starting electrode stops as the resistance is higher than that between the main
electrodes, and the main arc radiates light. To reach the necessary high vapor pressures within
the arc tube, MV lamps require a warm-up time of approximately five to seven minutes. Re-
strike times are about as long, requiring five to seven minutes for the vapor pressure to come
down to a level where the arc can restart.
MV lamps contain anywhere from 15 milligrams (mg) of mercury in 50-watt lamps up to 250 mg
in the 1000-watt units. Although other toxic materials are used in these lamps, these are present
in trace amounts and are not considered hazards.
2.3.2 High Pressure Sodium Lamps

High pressure sodium lamps were introduced to the market in the 1960s, just before MH lamps.
HPS lamps are the most efficacious HID light source, with initial efficacies from around 65
lumens per watt for 35-watt sources to 140 lumens per watt for 1000-watt sources. One hundred
watt HPS lamps typically have initial efficacies above 100 LPW. LPS lamps have a higher
efficacy, however technically they are not HID lamps because of their operational performance
characteristics. By pressurizing 7 the sodium vapor in the arc tube, the emission spectrum
broadens, producing a golden light with low to mid-range CRI (i.e., approximately a CRI of 25).
Due to the unappealing deep orange color of LPS and the slightly better CRI of HPS, there has
been a shift toward HPS lamps particularly in installations where color differentiation is not
critical – such as outdoor street lighting and area lighting, and some indoor industrial
applications. HPS lamps also provide visibility and a sense of security when illuminating
pedestrian areas such as public access areas, subways, and parks. There is no significant UV
emission, and thus these lamps can be safely used in open luminaires without the need for
supplemental UV emission adsorption.
HPS lamps are available in wattages from 35 up to 1000 watts; however the most commonly
used wattages range from 50 to 400 watts. Similar to MV lamps, HPS lamps have an inner arc
tube and an outer bulb construction. The outer bulb contains a vacuum. The electrical arc tube is
ceramic, 8 containing electrodes, sodium and mercury amalgam, and a small amount of xenon
gas. An amalgam reservoir inside the arc tube helps to stabilize the pressure in the arc tube.
This design feature allows HPS lamps to operate in any physical orientation (i.e., vertical or
7
High pressure sodium lamps are so called to distinguish them from LPS lamps, but the actual arc tube pressure is
not much above atmospheric pressure. This means there is no violent failure should an arc tube rupture.
8
The ceramic arc-tube is designed to withstand temperatures up to 1300°C, to transmit more than 90% of the visible
spectrum, and to be free of any pores that might leak or weaken the tube. The reason for using ceramic is due to its
natural ability not to deteriorate in the presence of hot sodium.
19
horizontal), simplifying stocking and installation. The electrodes are double layer tungsten coils
with rare earth oxides similar to other HID lamps. HPS lamps do not have a starting electrode,
instead the external control gear includes an ignitor that provides a high voltage pulse to initiate
the arc.
Main Electrodes

Arc Tube
Mounting
Structure
Sodium
Arc Tube
Vacuum
Outer Bulb
End Cap
Figure 2-6. High Pressure Sodium Lamp Photograph with Key Parts Labeled
The starting high voltage pulse for a 400W lamp is approximately 2500-4500 volts and lasts for
one microsecond. This short duration means little energy is used, but it is adequate to ionize the
xenon gas and start the arc. Once the current is flowing through the ionized gas, the heat from the
arc evaporates the amalgam mixture in the arc tube. The warm-up period of HPS lamps is
approximately five minutes, which is longer than MH lamps; however the hot re-strike period is
shorter than MH lamps, typically less than one minute.
Unlike other HID lamps, whose lamp voltage remains relatively constant throughout its lifetime,
the HPS arc tube voltage increases over its operational life. This is due to the loss of sodium
over the operating lifetime of the lamp, which causes the voltage to increase as the ratio of
sodium to mercury in the arc tube changes. Thus, HPS ballasts must compensate for the change
in operating voltage to maintain the desired light output over the lamp lifetime. At the end of the
lamp’s life, the operating voltage will rise to a level beyond the ballast’s ability to sustain the arc.
At this point, the lamp will start, warm up to full brightness, and extinguish. The repeating of
this restart and extinguish sequence is known as cycling, and represents the end-of life of a HPS
lamp. If the cycling is allowed to continue for too long (i.e., the HPS lamp is not replaced within
a reasonable amount of time), the continuous high voltage pulses generated by the ballast for
each restart of the lamp could cause premature failure of the ballast. Manufacturers have
produced non-cycling HPS lamps and HPS ballasts to address this issue.
20
HPS lamps have CRIs ranging from 21 for standard lamps up to 83 for white-light HPS lamps.
The CCT values range from 1900 to 2500 K, all very warm CCT values – hence the golden
white light. The lamps have typical operating lifetimes of between 5,000 and 28,500 hours,
although some long life HPS lamps offer 40,000 hours of life. These long-life lamps have two
arc chambers operating in parallel (both physically and electrically). The lamps will alternate
firing and thus extend the operating life of the lamp by having each arc tube only used only half
the time.
Color-corrected HPS lamps produce a whiter light are also available with CRIs as high as 83, but
as with other HID lamps, improving the CRI reduces efficacy. Despite this, white-light HPS
offers an efficacy that is much higher than that of MV lamps. This type of HPS lamp is suitable
for certain indoor applications, particularly retail display where the products on display are better
illuminated with light containing a high proportion of red.
Manufacturers also offer an HPS lamp which can be installed directly into a fixture that contains
a mercury vapor ballast. This product offers end-users a simple way of upgrading MV lamps to
a more efficient HID lamp without having to change the control gear. The HPS lamps are able to
do this because they incorporate an internal ignitor. Two retrofittable lamps that are offered that
are a 110W can replace 125W MV lamps, producing 40% more light at 15W less power
consumption, and a 215W HPS lamp replacing a 250W MV lamp which also produces about
40% more light while consuming 35 fewer watts.
2.3.3 Metal Halide Lamps

MH lamps are widely considered to be the HID lamp type that will eventually replace all HID
lighting applications. MH lamps offer a compelling combination of quality, performance,
efficiency and flexibility for white-light applications. In addition, they are capable of producing
light in a variety of color temperatures with good color rendering. MH lamps are available in a
broad range a wattages, from as low as 20 watts to more than 1000 watts.
A MH lamp operates in a similar way to a MV lamp; the major difference being that the metal
halide arc tube contains various metal halides in addition to mercury and argon. When the lamp
attains full operating temperature, metal halides in the arc tube partially vaporize. As halide
vapors approach the high-temperature central core of the discharge, they dissociate into halogen
and metals, with the metals radiating their light spectrum. As halogen and metal atoms move
near the cooler arc tube wall by diffusion and convection, they recombine and the cycle repeats.
The halides are selected to fill in the gaps in the mercury spectrum to provide a light source
having much better quality white-light emission.
The use of metal halides inside the arc tube presents two advantages. First, metal halides are
more volatile at arc tube operating temperatures than pure metals. 9 This allows for the
introduction of metals with desirable emission properties into the arc at reasonable arc tube
temperatures. Second, those metals that react chemically with the arc tube are in the form of a
halide, which is much less reactive with quartz or ceramic, minimizing corrosion of the arc tube.
9
The metals must be added as halides because the metals themselves usually have too low a vapor pressure to
enable them to be part of the discharge, while halides are vaporized much more easily.
21
Industry continues to invest in MH lamp technology research, and improvements are being made
in almost every aspect of its performance. The operating life of a pulse-start metal halide (PMH)
lamp is now approaching the operating life of HPS and MV lamps, particularly if the PMH lamp
operates with an electronic ballast. And, with MH lamp efficacy levels approaching those of
HPS lamps, MH lamps are competing with HPS lamps in outdoor applications such as roadway,
parking, security, and pedestrian walkway lighting. Furthermore, the spectral light emission is
far superior to HPS, with CRI values typically 85 or better through advancements in arc tube
chemistry, design and materials.
The variety of spectral distribution patterns available from MH lamps offers an advantage over
HPS lamps in outdoor lighting applications. As the level of light decreases, the spectral response
of the human eye shifts to the scotopic visibility function. The result is that peripheral visibility
under MH sources may be greater than HPS sources which provide equivalent visibility under
higher light level (photopic) conditions. Outdoor lighting installations can take advantage of this
phenomenon where specified light levels are low.
The small physical dimensions and high intensity of the MH lamp arc make it more of a point
source than HPS, enabling better application-specific light distributions through precise optical
reflector designs. High-wattage (above 1000 watts) MH lamps appear in stadiums, in
searchlights, and in any other application that requires powerful white light. MH lamps in low-
wattage (below 175 watts) configurations illuminate a variety of applications such as billboard
displays, recessed lighting, and retail display / track lighting.
MH lamp construction is similar to that of MV lamps, although they are usually smaller for equal
wattages. The arc tube is typically made of either fused quartz or ceramic, and contains a
starting gas (usually argon), mercury, and a mixture of metal halide salts to create the desired
spectral emissions. MH arc tubes operate at a higher temperature and pressure than their MV
counterparts. The use of ceramic materials in arc tube construction enables higher operating
temperatures and pressures, resulting in improved efficacy, CRI, and color stability.
The arc tube is housed within an elliptical-shaped outer bulb, usually made of borosilicate glass.
The outer bulb protects and buffers the arc tube and internal electrical connections from the
environment. The outer envelope contains low-pressure inert gas (i.e., nitrogen) or a vacuum,
which not only helps minimize oxidation of internal components, but also provides a margin of
safety against the threat of implosion. The outer envelope also provides additional thermal
buffering for a more stable arc temperature. Finally, the glass itself absorbs the majority of UV
emissions from the MH arc tube.
Like other HID lamps, MH lamps typically have screw bases (medium or mogul) made from
brass, nickel, or special alloys to minimize corrosion. A characteristic of MH arc tubes is that
they can take different forms and can be made from different materials. The most commonly
available configuration is the probe-start MH lamp. In typical probe-start MH lamps, the arc
tube is shaped into what is called the classic pinched-body arc tube. The lamp body must also
contain a system that provides for either shorting the starter electrode to the main electrode or
opening the starter electrode circuit after ignition. This prevents electrolysis in the fused silica
22
between starting and operating electrodes. Lamps of this configuration are referred to as probe-
start MH lamps, in reference to the presence of the starter probe in the arc tube, and these are
typically the least efficient MH lamps.
Support Frame

White Reflective
Coating
Starting
Electrode
Quartz Arc
Tube
Mercury and
Metallic Halides
Outer Bulb
End Cap
Figure 2-7. Metal Halide Lamp Photograph with Key Parts Labeled
Manufacturers designate an orientation for MH lamps: vertical, horizontal or universal (able to

operate in any position). This is important because in horizontal MH lamps for example, the arc
discharge bows away from the axis of the arc tube due to convection currents. The metal halide
pool (which is liquid) moves to the center of the arc tube. The bowed arc moves farther from the
metal halides than when the lamp is vertical, causing them to cool. This lowers vapor pressure
of the halides and decreases the concentration of metals in the arc, resulting in a loss of light.
And, as the bowed arc moves closer to the top of the arc tube wall, this causes the tube wall
temperature to increase. The higher wall loading on the arc tube material can result in a decrease
in life of approximately 25 percent. Therefore, manufacturers change the shape of the arc tube
(e.g., bowed shape) or placement of the electrodes (e.g., off-set) to compensate for operating
position.
Because physical operating orientation of the lamp affects performance, MH lamps are typically
life-rated and lumen-rated in the appropriate operating position. MH lamps classified as
universal orientation (able to operate in any orientation) achieve their rated performance in the
vertical position. Commercially available MH lamps have efficacies of 75 to 125 LPW, or
approximately twice as efficient as MV lamps. Almost all varieties of white-light MH lamps
have color-rendering properties (approximate CRI of 70) superior to phosphor-coated MV lamps
and HPS lamps. This unique capability results from the manufacturer’s ability to tailor the
spectral outputs of the MH lamps by changing the types and doses of the halides.
23
Metal halides in these lamps have characteristic emissions that are spectrally selective. Some
metals produce visible radiation in narrow spectral bands, generating specific colors - lithium
(Li) for red, sodium (Na) for yellow-orange, thallium (Tl) for green, and indium (In) for blue.
Other metals, such as tin (Sn), holmium (Ho), thulium (Tm) and dysprosium (Dy) when
introduced as halides, radiate predominantly as molecules, providing continuous band spectra
across the visible spectrum. Two common combinations of halide mixes in MH lamps are 1)
scandium and sodium iodides, and 2) dysprosium, holmium, and thulium rare-earth iodides.
Various combinations of these halides can create a wide range of CCT and CRI for these lamps.
For example, the scandium-sodium system can produce CCT values from 2500K to 5000K by
varying blend ratio and arc tube operating temperature.
Probe-start MH lamps, which are not as efficient as PMH lamps, typically employ pinch-seal
designs that have a starter electrode (or probe) to help initiate the arc. When operated to
specifications, probe-start lamps have a rated life from 10,000 to 20,000 hours with an efficacy
of approximately 90 LPW. LLD is about 35 percent at 40 percent rated life.
PMH lamps have higher starting gas fill pressure to decrease starting time and minimize
transport of electrode material to the wall. This keeps the arc tube cleaner, and improves lumen
maintenance and life as compared to probe-start lamps. Some manufacturers shape the arc tube
for additional benefits. These improvements result in longer life (up to 50 percent longer) and
improved LLD (up to 33 percent better) compared to traditional probe-start MH lamps.
PMH lamps lack the secondary electrode found in probe-start MH lamps, resulting in different
electrical requirements and performance. Consequently, a high-voltage pulse (typically in excess
of 3 kilovolts) applied directly across the main electrodes initiates the arc. Igniters generate
these starting pulses, and these lamps start faster than their probe-start counterparts. The higher
voltages generated by the igniter allow the lamps to re-strike at much higher vapor pressures.
This reduces the required cooling time for re-ignition to take place. The warm-up and re-strike
time are in the range of one to four minutes and two to eight minutes respectively. That is an
improvement over the typical probe-start MH warm-up time of 2 to 15 minutes and re-strike time
of 5 to 20 minutes. The warm-up and re-strike times of PMH lamps are also better than those of
typical MV and HPS lamps.
24
Table 2-2. Performance Pulse-Start Metal Halide Lamps

Lamp Power CRI CCT Initial Efficacy Mean Efficacy
(watts) (Ra) (°Kelvin) (lumens per watt) (lumens per Watt)
50 60-70 2900-3700 60-69 36-42
70 70-82 2900-4200 64-79 40-57
100 70-82 2900-4200 76-90 49-62
150 60-88 2900-4300 77-93 50-73
175 65-75 3200-4000 91-100 69-74
200 65-70 3800-4200 90-95 64-68
250 60-70 3600-4400 80-92 55-68
320 65-70 3600-4300 87-106 52-78
350 65-70 3400-4000 91-104 66-77
360 65-70 3600-4000 94-97 63-65
400 65-70 3600-4100 90-110 39-88
750 65-70 3700-4000 96-109 72-89
1000 65 3800-3900 105-110 82-96
Source: GE and Osram-Sylvania Catalogues, 2010.
Arc tube research led to the development of the ceramic arc tube. The use of ceramic arc tubes
further enhanced some of the metal halide lamp’s properties. Due to the fact that ceramic can
withstand higher temperatures than quartz glass, manufacturers are able to make arc tubes that
have higher wall temperatures thereby evaporating more of the metal halide salts into the gas arc
and allowing for more efficient operation and better quality light. Furthermore, ceramic arc tubes
can be produced with smaller dimensional tolerances, reducing the variation in the optical and
electrical parameters. As a material, ceramic is less susceptible to attacks from the corrosive
metal halide filling, enabling a longer service life compared to MH lamps that use quartz arc
tubes. Finally, manufacturers have also innovated on the shape of the ceramic tube, to further
improve the overall performance of these lamps.
This technology is currently available only in wattages up to 400 watts. Improvements in

ceramic arc tube design will soon make higher-power versions available. When operated to
specifications, the PMH lamps with ceramic arc tubes have a rated life from 9,000 to 15,000
hours, with an efficacy ranging from 80 to 100 lumens per watt. Most notably, in contrast to
pulse metal halide, the ceramic metal halide have excellent CRI ranging from 80 to 95, enabling
it to be used widely in retail display and other commercial lighting applications.
25
Table 2-3. Performance Summary of Ceramic Pulse-Start Metal Halide Lamps

Lamp Power CRI CCT Initial Efficacy Mean Efficacy
(watts) (Ra) (°Kelvin) (lumens per watt) (lumens per Watt)
20 81 - 83 3000 - 3000 80 - 85 53 - 64
39 82 - 90 3000 - 4200 82 - 87 59 - 70
50 88 - 88 2900 - 3000 76 - 82 53 - 57
70 80 - 95 3000 - 4200 74 - 117 56 - 88
100 83 - 88 3000 - 3000 87 - 92 63 - 67
150 80 - 95 3000 - 4200 73 - 103 55 - 83
250 85 - 94 3000 - 4200 88 - 100 70 - 80
320 88 - 90 3900 - 4100 94 - 117 75 - 88
350 90 - 90 4000 - 4000 91 - 94 73 - 75
400 82 - 92 3000 - 4200 90 - 103 72 - 78
Source: GE and Osram-Sylvania Catalogues, 2010.
2.3.4 Low Pressure Sodium Lamps

The light produced in a LPS lamp comes from vaporized sodium contained in the arc tube. At
low pressure, all the light produced by the arc appears as yellow light. Due to the fact that the
human eye has its maximum sensitivity near this range of the color spectrum, yellow lamps tend
to have high efficacies (i.e., lumen per watt ratios). The low pressure arc tube is similar to that
of a fluorescent tube lamp, only without the phosphor coating and using sodium in place of
mercury. Due to the presence of sodium, the glass tube has a special sodium-resistant internal
coating. The U-shaped T-17 and T-21 bulb shapes are contained inside a glass outer lamp which
maintains a vacuum, and which has an infrared reflective coating to reflect infrared light and
help maintain correct operating temperature.
Low pressure sodium lamps are commonly found in wattages ranging from 18 to 180 watts. At
the highest wattage ratings, LPS lamps achieve efficacies approaching 200 lumens per watt, and
is therefore the most efficient light source available. However, it achieves this efficacy by
emitting virtually monochromatic light, consisting of a double line at 589.0 nm and 589.6 nm. In
order to obtain the maximum efficacy of the conversion of the electrical input to the arc
discharge into light, the vapor pressure of the sodium must be approximately of 0.7 Pa, which
corresponds to an arc tube bulb wall temperature of approximately 260°C (500°F). Any
deviation from the vapor pressure (0.7 Pa) degrades lamp efficacy.
CRI values are not defined for this light source, as the source doesn’t render color. However,
while the yellow light output makes LPS lamps unsuitable for many general interior lighting
applications, this light source is used commonly in tunnels, bridge underpasses, area
floodlighting, railway crossing, airport and security lighting where color-rendering is not critical.
26
These lamps require a dedicated ballast and ignitor, and they cannot be used in or above
hazardous zones due to the fact that a fire could result from accidental breakage.
Lumen depreciation is very small, with the lamp experiencing virtually no degradation in light
output over its lifetime. Rated lamp life ranges from 16,000 to 18,000 hours. Low pressure
sodium lamps do not have a starting electrode or an igniter, instead these lamps require an open
circuit voltage of approximately three to seven times the lamp operating voltage to start and
sustain the arc discharge. The warm-up time to full light output is 7 to 15 minutes. The hot re-
ignition is just a few seconds (as opposed to minutes for HID sources). The low-pressure sodium
lamp contains no mercury.
Although LPS lamps have carved out a niche in certain applications, it is represents a small share
of the market and with the advent of new long-life fluorescent lamps (e.g., Philips’ 90,000 hour
T8 lamp) and long-life solid-state light sources, remaining LPS installations may be under threat.
According to the installed stock estimates contained the US Lighting Market Characterization
Report, Volume I (DOE, 2002), LPS lamps represented approximately 4% of all HID lamps
installed in 2001. So although LPS lamps offer the highest efficacy of any light source, in
practical terms it is a marginal lamp due to its poor quality light, and it is likely to be gradually
replaced with new and better technologies.
2.4 National Efficacy Regulation HID Lamps

There are two national regulatory activities that relate to, and/or impact HID lamps being
installed in the United States. The first is a requirement from the Energy Policy Act of 1992
which requires DOE to conduct a determination analysis on whether to develop minimum
efficiency performance requirements for HID lamps. The second is a requirement from the
Energy Independence and Security Act of 2007 which requires metal halide fixtures to
incorporate ballasts of certain efficiencies.
2.4.1 Energy Policy Act of 1992 – HID Lamp Determination

HID lamps are a federally covered product under the authority of Section 346 of the Energy
Policy and Conservation Act (EPCA) (42 U.S.C. 6317), which states:
Sec. 346. Energy conservation standards for high-intensity discharge lamps, distribution
transformers, and small electric motors
(a) High-intensity discharge lamps and distribution transformers
(1) The Secretary shall, within 30 months after October 24, 1992, prescribe
testing requirements for those high-intensity discharge lamps and distribution
transformers for which the Secretary makes a determination that energy
conservation standards would be technologically feasible and economically
justified, and would result in significant energy savings.
(2) The Secretary shall, within 18 months after the date on which testing
requirements are prescribed by the Secretary pursuant to paragraph (1),
prescribe, by rule, energy conservation standards for those high-intensity
27
discharge lamps and distribution transformers for which the Secretary

prescribed testing requirements under paragraph (1).
(3) Any standard prescribed under paragraph (2) with respect to high-intensity
discharge lamps shall apply to such lamps manufactured 36 months after the
date such rule is published.
The Secretary of Energy therefore conducted a determination analysis on whether energy

conservation standards for HID lamps are technologically feasible and economically justified,
and would result in significant energy savings. On June 16, 2010, the Assistant Secretary Cathy
Zoi issued a Determination that energy conservation standards are warranted, and therefore DOE
is initiating work on a test procedure and energy conservation standards. 75 FR 37975 (July 1,
2010). In the Federal Register notice, it states: “Based on its analysis of the available
information, DOE has determined that energy conservation standards for certain HID lamps
appear to be technologically feasible and economically justified, and would likely result in
significant energy savings.”
Thus, although there are no Federal regulatory minimum standards in place for HID lamps, it
appears likely that DOE will develop and issue minimum standards for HID lamps in the next
few years. These regulations, if adopted, would apply to lamps manufactured starting in
approximately 2017.
2.4.2 Energy Independence and Security Act of 2007 – Metal Halide Fixtures
Section 324(e) of the Energy Independence and Security Act of 2007 (Pub. L. 110-140),
amended the Energy Policy and Conservation Act (EPCA) (42 U.S.C. 6291 et seq.) to prescribe
mandatory minimum efficiency levels for pulse-start metal halide ballasts, magnetic probe-start
ballasts, and nonpulse-start electronic ballasts that operate lamps rated greater than or equal to
150 watts (W) but less than or equal to 500W. (42 U.S.C. 6295(hh)) These standards apply to
metal halide lamp fixtures manufactured on or after January 1, 2009, requiring that these new
fixtures must contain:
• Pulse Start Metal Halide ballast with a minimum efficiency of 88% ;

• Magnetic Probe Start metal halide ballast with a minimum efficiency of 94%; or
• Non-Pulse Start electronic ballast with a minimum efficiency of 92% for wattages greater
than 250 watts and 90% for wattages less than or equal to 250 watts.
Exceptions to these requirements are:
• Fixtures with regulated lag ballasts

• Fixtures that use electronic ballasts that operate at 480 volts
• Fixtures that are rated for 150 watt lamps
• Fixtures that are rated for use in wet locations
• Fixtures that contain a ballast that is rated to operate at ambient air temperatures of 50° C.
This will essentially make most Probe Start fixtures a thing of the past, and one can expect that
all new Metal Halide fixtures will be of the Pulse Start technology.
28
3 Research and Development of HID Lamps

In this section, each of the HID lamp technologies is reviewed, and the status of the research and
development efforts associated with the lamp types is discussed. The emphasis of this section is
on metal halide lamps, and specifically, ceramic metal halide lamps, which are the focus of
industry’s research into HID lamps.
3.1 Mercury Vapor Lamps

Mercury vapor lamps are considered a lamp technology that is being gradually phased out. This
technology was first commercialized in the 1930’s and is not receiving any R&D investment at
this stage. The lamps are still produced by the major lamp manufacturers as global demand is
strong, particularly in developing countries, however shipments are in a slow decline and the
expectation is that regulatory mechanisms and market forces will ultimately phase out the MV
lamp over the next decade or two. For instance, in Europe, a regulation has been passed which
will eliminate MV lamps from the European market starting in 2013.
In North America, MV has been a popular light source for street lighting because the lamps
gradually get dimmer over their service life, but they seldom simply extinguish. The research
into MV lamps as a family of HID lamps has stopped because this technology is considered
mature and the next-generation white-light HID lamp is considered to be MH technology. MH
lamps offer higher efficacy, better quality white-light, and recently, long operating lives, thus
their value proposition as a white-light HID source is sufficiently strong that the market will
move to MH eventually. In the long term, through both MEPS and end-user life-cycle cost
awareness, MV lamps will be eliminated from the market. Thus, research into improving the
efficacy (lumens per watt) of MV lamps has ceased, and no improvement in efficacy is
anticipated for MV lamps. In fact, according to research published by OSRAM, the efficacy of
MV lamps has not improved since 1980 (see Figure ES-1).
3.2 High Pressure Sodium Lamps

High pressure sodium lamps are an HID technology that continues to receive some level of R&D
investment, although the focus is no longer on efficacy improvement. HPS technology is
considered to be “mature” and generally optimized for the applications where it is used.
Research in recent years has been to develop solutions to stop the “cycling” of the lamp at the
end of its life where the ballast continually attempts to restrike the lamp and in the process
contributes to premature ballast failure. This technology to prevent end-of life cycling is now
commercialized by all the major lamp manufacturers.
A HPS lamp is a relatively simple lamp. It has a ceramic arc tube, no halide salts, just metallic
sodium that provides a narrow wavelength of light in the yellow/orange range which gives these
lamps their characteristic color. HPS is positioned as a reliable, efficient, low operating and
maintenance cost light source. It is still the lamp of choice for major roads and intersections,
although due to its color characteristics, it is not as popular in residential streets.
The efficacy of the lamp is already more than 150 lumens per watt, and given the limited amount
of research investment, the experts interviewed did not anticipate any further breakthroughs in
29
efficacy for HPS. The efficacy trade-off relates to the pressure of the xenon gas inside the arc
tube and how easily the lamp starts. If a lamp designer increases the pressure, they can achieve a
longer operating life and higher efficacy, however it becomes more and more difficult to start the
lamp. The HPS lamps manufactured are designed to operate on the ballasts in the field, which
have a set ignition level. In addition, manufacturers have incorporated ignition aids into the arc
tube, such as active and passive antennas which are built directly into the ceramic that facilitate
starting the lamp. These features have enabled longer life, better performance and the
elimination of mercury from HPS lamps.
A new area where HPS technology is advancing that does not have to do with efficacy, but does
relate to energy savings is through dimming ballasts. With the development of new and better
electronic control gear, new products have been introduced to market that offer a 30-50%
dimming for HPS which reduces their power consumption. Typically, these dimming systems
might be installed on roadway lighting systems with timers, lowering the light level during the
middle of the night when traffic volumes are reduced (e.g., 12am to 5am), or in warehouses tied
to motion sensors that lower light levels when areas of the facility are not being utilized.
Finally, a notable emerging niche application for HPS lamps is in the agricultural sector,
specifically in greenhouses where produce and vegetables are cultivated year-round. The lamps
are good in this application because they offer very high lumens per watt of energy, providing
sufficient light for growing crops year-round.
The research and development work on HPS is marked on the technology maturity continuum as
being at the Commercialization and Sales part of the spectrum. This incremental research on a
mature technology provides features or attributes that differentiate the HPS lamps for specific
niche applications in the market.
Technology Maturity Stage – HPS Lamp

3.3 Quartz Metal Halide Lamps

Quartz metal halide lamps are one type of MH lamp which have their arc tube capsules made out
of quartz. These are common lamps, however they are no longer a focus area of R&D for
manufacturers because of the material limitations of quartz. These lamps have been surpassed in
performance by ceramic arc tube technology, which offers higher efficacies and better color
rendering thanks to their higher operating temperatures. Quartz MH lamps tend to be limited in
color temperature, they have a CRI around 65, and they do not dim well (i.e., the light output
shifts on the color spectrum, so the dimmed light no longer matches the light output observed at
full brightness).
30
The quartz arc tube is a constraint which limits the metal halides that can be added to the arc tube
(because they react with quartz), and the operating temperature isn’t as high as ceramic. There
are some manufacturers offering very high efficacies in quartz MH lamps, perhaps 110 or 115
lumens per watt initial efficacy, but the capsules are really be operated beyond what is
reasonable for them, thus the lumen depreciation will be high and the lifetime of the lamp will be
considerably shorter. Quartz capsule MH lamps are perceived as a mature technology that has
really achieved its technological limits.
There have been some companies that have looked to develop a MH lamp as a replacement to a
HPS system, but the results have not been very good. MH lamps typically operate on a 130 volt
system and HPS typically operate on a 100V system, which is a less favorable voltage for MH.
In addition, quartz metal halide requires the use of thoriated tungsten filaments, which are
radioactive, thus they are a concern for manufacturers, particularly relating safe handling and
containment of this material. In general, when compared to the ceramic MH lamps, quartz MH
is perceived as having a higher probability of rupture and a lower level of reliability.
Ceramic MH lamps are replacing quartz (and indeed, halogen reflector lamps) at wattages less
than 200W. In the 250 and 400W market, quartz MH lamps have been stable because the price
differential between quartz and ceramic can be quite high, however the researchers interviewed
indicate that this is about to change. There are new, very efficient ceramic MH lamps entering
the market now, which offer a compelling value proposition and are likely to further shift the
metal halide lamp market from quartz to ceramic. Overall, research for general lighting
applications of quartz MH lamps is perceived to have stopped, and researchers were not aware of
any potential further efficacy gains for quartz capsule MH lamps.
3.4 Ceramic Metal Halide Lamps

Ceramic metal halide lamps have their arc tube capsule constructed out of a ceramic material,
and they are perceived as the next generation of white-light HID lamps (i.e., the evolution from
MV to quartz MH, and now from quartz MH to ceramic MH). There is considerable on-going
research in this group of HID lamps, and manufacturers believe there is still a lot of room for
performance improvement.
Improvements in the metal halide lamp family are not discrete, separable measures – such as, an
improvement in phosphors or a better electrode in a fluorescent lamp. For MH lamps, and
indeed HID lamps in general, the improvements are all linked to the performance of the arc tube,
and within that tube, the chemistry, the pressure and the temperature of the reaction. So the
interaction of many variables come together to enable more favorable arc tube operating
characteristics and a subsequent improvement in lamp efficacy. For ceramic MH lamps, the
innovation of changing the arc-tube containment material from quartz to ceramic enabled a new,
broader range of metal halides to be used and higher operating temperatures and pressures.
Taken together, these improvements created a new family of MH lamps – ceramic MH – which
offer better color quality, longer operating life and higher efficacy than quartz MH.
As a replacement for halogen reflector lamps, industry had invested in the development of very
low wattage ceramic metal halide reflector lamps. The value proposition for ceramic MH lamps
31
in this application was the combination of excellent color rendering, longer operating life
(typically 3-5x halogen) and higher efficiency (typically 4-6x halogen). For example, 75W and
100W halogen lamps were replaced with 15W and 20W ceramic metal halide lamps that had
equivalent lumen output and excellent color rendering. These lower wattage applications were
viable because as the wattages went down, the efficacy of the lamps only decreased slightly.
However, researchers were clear that further research into lower wattage ceramic MH is unlikely
for two reasons – first, the ceramic MH system had a high first cost compared to the incumbent
halogen and secondly, it is expected that light emitting diode (LED) lamps will eventually come
to dominate retail display lighting.
Ceramic systems are currently manufactured up to 400 watts, and although that’s the highest
wattage available today, there are no technical limitations or reasons why ceramic lamps cannot
be made at 1000 watts or higher. Part of the reason industry started by developing ceramic MH
lamps in the sub-400 watt market first is because these wattages represent the highest volume.
For example, as a replacement to the 400 watt quartz MH high-bay luminaire that might be
found in a big box retail establishment, Philips offers a 315 watt ceramic MH lamp, which
achieves approximately 115 lumens per watt and provides the same light output as the original
lamp. This represents a 20% improvement in efficacy over standard quartz MH lamps.
Manufacturers have developed ceramic MH lamps that are able to be retrofitted into any quartz
MH lamp socket – whether it’s an open or closed fixture, a probe or pulse start. These lamps
operate on the existing ballast, produce the same amount of light, of a better quality and yet
consume less power. The wattage of the lamps is reduced by changing the lamp power factor,
and the operating lifetime is extended from 15,000 to 20,000 hours by shifting to the ceramic arc
tube.
Recently, Philips made a public announcement about a new innovation in ceramic MH – the
“unsaturated lamp”. 10 This lamp addresses the problem of the small pool of liquid salt that
remains in a standard ceramic MH lamp arc tube during operation. That pool of liquid limits the
light characteristics such as efficacy and color quality, and reduces lamp lifetime. Through
changes to the arc tube, pressure and operating temperature, the unsaturated lamp resolves these
issues by keeping all the halide salts in the gaseous phase, even when dimming. Another critical
innovation was the sealing of the electrodes into the arc tube iridium feedthroughs and no frit
seals. This patented step of the manufacturing process uses materials that match the expansion
coefficient of ceramic arc tube itself, thereby creating a new reliable seal for the electrodes. To
avoid the problem of pooled liquid salt, the lamp is dosed with micrograms of halides rather than
the standard milligrams, which reduces the reaction and attack on the ceramic arc tube,
improving lamp lifetime. Plus, this technology has the potential to offer high performance
characteristics such as fast run-up to full brightness (<30 seconds) due to a lower arc tube mass,
dimmability without color shift, longer operating life, mercury free lamps, hot re-strike and
miniaturization. With this new development in ceramic MH lamps, the work is now focusing on
developing a new family of unsaturated ceramic metal halide lamps.
10
“Unsaturated ceramic metal halide lamps: A new generation of HID lamps” by J. Hendricx, J. Vrugt, C. Denissen,
and J. Suijker, published in the Proceedings of the 12th International Symposium on the Science and Technology of
Light Sources and the 3rd White LED Conference, July 11-16, 2010, Eindhoven, The Netherlands.
32
Manufacturers are offering commercially available ceramic MH lamps that are operating at 120
lumens per watt (initial). Researchers interviewed agreed that they could envision this product
being optimized and incrementally improved over the next 2 to 4 years to go from 120 lm/W to
150 lm/W. Thus, by 2013-2014, they would expect to see commercially available ceramic metal
halide lamps that offer 150 lm/W, and which offer high quality white-light in a package that
would be more than 20,000 hours of operating life.
These new lamps will study new metal halides that offer higher efficiency values and better color
emission spectra. Due to the fact that the unsaturated arc tube will avoid the liquid-phase of the
halides, other materials previously not used could now be tried in the arc tube. The new lamps
will also take advantage of much higher vapor pressures in the arc tube. These higher vapor
pressures open up the possibilities for dimming the lamp, for higher efficacy and for removing
other restricted materials such as mercury and thoriated tungsten which is used in the quartz MH
lamp.
Moving beyond this technology, manufacturers also discussed the ‘next generation’ of
performance, which would be to eliminate the electrode in the lamps. Electrode-less operation
would enable the lamp to achieve potentially 200 lm/W, through the elimination of the losses
from the electrodes and the optimization of the lamp system itself around this new style of
operation. There are three companies who own intellectual capital in this space – Ceravision
(UK), LG Electronics (South Korea) and Luxim (California, US). Each of these companies
offers an electrode-less lamp, however the efficacies are currently around 85 to 90 lm/W. These
products are operational, but according to the industry sources interviewed, they are not yet
optimized.
There are some practical considerations to take into account for electrode-less operation,
including driver efficiency and managing electro-magnetic interference (EMI). There is also
concern that if industry is able to achieve 150 lm/W with traditional technologies, the payback
and value proposition of going to 200 lm/W may not be as compelling because it would involve
a completely new driver, luminaire and optics, and would be based around an unfamiliar, new
technology.
Given this input from industry with respect to research into next generation MH lamps, there are
two stages of technology maturity to be marked on the continuum. The first would relate to
incremental improvements in the existing commercialized stock around new arc tube shapes,
halide salt combinations and electrode design. The second stage relates to the new unsaturated
arc tube, which continues to undergo further engineering development. This product is the focus
of experiments with alternative halides and other changes to the system that will add incremental
improvements in performance which should eventually be commercialized.
Technology Maturity Stage – Ceramic MH Lamps

33
3.5 Electrodeless HID Lamps

In traditional HID lamps, an electric field is generated between two electrodes that initiate and
maintain the arc discharge. However, this method of initiating the arc and maintaining current
flow causes degradation and sputtering of the electrodes, eventually resulting in lamp failure.
When an HID lamp starts and during warm-up, the coating on the electrode and some of the
electrode material sputters off, which darkens the arc tube and reduces lumen maintenance. Due
to the fact that an electrodeless lamp does not have any electrodes, it does not suffer from these
degradation and failure mechanisms.
As discussed in section 3.4, electrodeless HID lamps eliminate the need for electrodes and offer
the potential for achieving ‘next generation’ of performance. Electrode-less operation could
enable the lamp to achieve up to 200 lm/W through the elimination of the losses from the
electrodes and optimization of the optical system around this new light source. There are three
companies who own intellectual capital in this space – Ceravision (Milton Keynes, UK), LG
Electronics (Seoul, South Korea) and Luxim (California, US).
Ceravision’s technology is termed “high efficiency plasma”, and is an electrodeless lighting

system that uses radio frequency in the microwave range to create a high intensity plasma
discharge. Ceravision’s system consists of four integrated components – a quartz radio
frequency resonator and integral plasma burner (note: this is the light source); a transition unit
that couples the radio frequency microwaves from the generator to the source; a radio frequency
microwave generator which creates the waves and an AC power supply to operate the generator.
The integrated plasma burner and quartz resonator contain an inert gas and metal halide salts. As
the radio frequency microwave energy resonating within the lamp ionizes the gas, it forms a
plasma that combines with the metal halide to vaporize the metal halide salts, emitting an
intense, bright, broad-spectrum light. Ceravision has developed an indoor high-bay luminaire,
and is looking at other applications, including street lighting and area lighting fixtures. For more
information, visit Ceravision’s website: http://www.ceravision.com/Page/Home
LG Electronics purchased the patents from a

company that was previously based in Maryland
called Fusion Lighting. Fusion went bankrupt in
2003, and LG Electronics purchased the technology
and has been developing sulphur-based light
sources. Their product range includes floor
lighting, street lighting and high-bay luminaires.
They also offer a light tube technology which can
be used to distribute this light over a broad area.
The four parts of the LG Electronics system are
similar to that of Ceravision, in that they have a
power supply, a microwave generator, a waveguide,
a cavity resonator and a lamp that contains the salts
that are heated to emit light. The diagram below
depicts the steps of this process. For more
information, visit LG Electronic’s website:
http://www.lge.co.kr/cokr/product/lighting/light_01
34
_list.jsp (note: much of the information is presented in Korean).
The Luxim system is similar to Ceravision’s in that they use a microwave generator and wave
guide to excite a capsule of metal halide salts that emits light. Luxim brands their product as
solid-state high-intensity discharge lighting, since they use a solid state microwave generator
rather than a magnetron. Luxim also recognizes and markets the value proposition of being
electrodeless. Their latest high-bay luminaire, the Tesla 400 has a rated system efficacy of 73
lumens per watt. Part of the problem with Luxim’s technology is the opaque, ceramic wave
guide which adsorbs part of the light emission. Ceravision has now innovated on that earlier
generation technology and is now using clear quartz waveguides in their system. For more
information about Luxim, visit their website at: http://www.luxim.com/
Looking across the three companies and their technologies, each offers an electrode-less lamp,
however the efficacies are currently from 73 to 90 lm/W. These products are operational, but
according to the industry researchers interviewed, they are not yet optimized. The technology
maturity for electrodeless technology, which – although there are some commercialized products
available – has been marked as between Advanced Development and Product Demonstration on
this graph as it has work that remains to be done on the burners, drivers, luminaires / optics and
other critical system aspects.
Technology Maturity Stage – Electrodeless Lamp

3.6 LED Technology

Light emitting diodes (LEDs) are an emerging technology that has recently started to be
considered as a substitute in certain HID lighting applications, such as street lighting. LED
devices recently achieved a milestone, in that one of the major manufacturers achieved
208 lm/W in a single power white LED in the laboratory. Experts involved in research have
projected that LEDs can offer, at a device level, a maximum efficacy of 250 lm/W (University of
California Santa Barbara) to 280 lm/W (Philips Lighting). The efficacy improvement of LEDs
has occurred at a much more rapid pace than conventional light sources such as fluorescent and
incandescent lamps, and it promises to exceed the performance of all other conventional
technologies within five years. Furthermore, in addition to being highly energy-efficient, good
quality LEDs offer the market long life (in excess of 50,000 hours), have no filament or glass
envelope to break, offer a small form factor and are mercury-free in their construction. Due to
the fact that these are solid-state devices and do not emit any heat in their light emission, good
thermal management of LED products will be critical to ensuring these performance attributes
are met.
The US Department of Energy's publishes an annual Solid-State Lighting multiyear program

plan that projects a rapid reduction in the price of LED lighting (DOE, 2011). This forecast
35
anticipates that manufacturing costs will continue to decrease at the same time that the light
output per device and the lumens per watt are increasing, particularly at high drive currents
required for general lighting applications. Experts are also looking to make LED lamps
compatible with standard dimming circuits, designed for use with incandescent lamps. Through
proper driver electronics design, an LED lamp can be made dimmable over a wide range of light
output – either through lower current or by modulating the power supplied to the LED.
Figure 3-1. Projected OEM Price for White Light LED Lamp, Integrally Ballasted
Researchers have an ambition to manufacture 250 lm/W white-light RGB LED systems that run
on AC-current, have 100,000 hour lifetimes, offer a rugged form-factor, contain no mercury, are
versatile and are cool in operation. Such devices would have the potential to dramatically
transform the lighting market. These technologies will increase the competition between the
lighting technologies, and the replacement of HID street lamps by LED sources may move from
a novel pilot project to the mainstream technology option.
The technology maturity continuum for LEDs could be shown to span the entire range from
basic science right through to commercialization and sales. This is the case because there is
primary, basic science research now into new materials and processing technologies that will
impact how LEDs are manufactured and used in the future. There is also engineering
development, product demonstration (like street lights) and commercialization and sales. LED
luminaires are available for purchase and installation today. For this reason, and to reflect the
36
fact that there is an enormous amount of investment into solid-state lighting and LED lighting in
particular, the bar has been shown to cover the continuum.
Technology Maturity Stage – LED Technology

37
4 Screening Analysis Preview

The purpose of the screening analysis is to review the technology options discussed in Chapter 3
which improve the efficacy of HID lamps and determine which of these options would be able to
be evaluated in an energy conservation standards rulemaking. The screening analysis in the
context of this report is a preliminary assessment based on non-detailed information provided by
the interviews with manufacturers. The findings of this review are indicative only, and should
not be taken as a comprehensive screening analysis, such as DOE conducts in a regulatory
rulemaking.
4.1 Introduction
The screening analysis is conducted by applying a set of screening criteria to the design options
identified as means of making a fluorescent lamp more efficient. The criteria that shall be
applied when conducting a screening analysis are contained in the US Code of the Federal
Register, (10 CFR Part 430, Subpart C, Appendix A at 4(a)(4) and 5(b)):
(1) Technological feasibility. Technologies incorporated in commercial products or in

working prototypes will be considered technologically feasible;
(2) Practicability to manufacture, install, and service. If mass production of a technology in

commercial products and reliable installation and servicing of the technology could be
achieved on the scale necessary to serve the relevant market at the time of the effective
date of the standard, then that technology will be considered practicable to manufacture,
install, and service.
(3) Adverse impacts on product utility or product availability. If a technology is determined

to have significant adverse impact on the utility of the product to significant subgroups or
consumers, or result in the unavailability of any covered product type with performance
characteristics (including reliability), features, sizes, capacities, and volumes that are
substantially the same as products generally available in the U.S. at the time, it will not
be considered further.
(4) Adverse impacts on health or safety. If it is determined that a technology will have
significant adverse impacts on health or safety, it will not be considered further.
This section discusses the energy-efficiency measures identified in Chapter 3 of this report, and
describes how the criteria may or may not apply to each of the technology options. These
measures are discussed in a general way, without focusing on specifics.
4.2 Screening of Efficiency Measures

There are three technology options discussed in this report which contemplate improving the
efficacy of HID lamps. These measures are discussed at a higher-level, aggregating several
technology interventions. The following table presents these options, and then has a column for
each of the options that is indicative of whether this technology is likely to comply with the
38
requirements of a screening analysis. Following the table, a discussion ensues on the technology
options which appear to have issues pertaining to the screening analysis criteria.
Table 4-1. Initial Screening Analysis of Technology Options Discussed

Practicability to Adverse Impacts Adverse Impacts
Technology Technical
Manuf., Install on Utility or on Health or
Option Feasibility
and Service Availability Safety
HPS Lamp No issue No issue No issue No issue
Measures
Unsaturated No issue No issue No issue No issue
MH Lamp
Electrode-less No issue No issue No issue No issue
Of the three technology options considered, none of them appear to have any issues that would
warrant screening them out of an engineering analysis. All three are technologies used in the
market today and the research being done is focused on incremental improvements to these
commercially available technologies.
While the unsaturated ceramic metal halide lamp is an emerging new technology, it is
engineering development and there are no known potential impacts that might force this
premium technology to be screened out of the analysis.
Similarly, electrode-less technology has certain parts of its system that are classified as
“Advanced Development”, there are manufacturers such as LG Electronics who are producing
and manufacturing this technology. For this reason, the technology is feasible, practical to
manufacture and install, and does not appear to have any adverse impacts on utility, availability
or health and safety.
39
5 Manufacturers and Markets

HID lighting has been commercially available since the 1930’s in the form of mercury vapor
lamps and since the 1960’s in the form of metal halide and high pressure sodium lamps. Over
this time period, the technology has improved its efficacy, to the point where these technologies
now offer very high lumen per watt efficacy values and, for certain metal halide lamps, excellent
quality white light.
5.1 Manufacturers of HID Lamps

The HID lamp market in the U.S. is dominated by three large global corporations who are also
industry leaders in other lighting technologies, such as incandescent and fluorescent lamps:
• General Electric Consumer and Industrial North America / Venture Lighting

• OSRAM Sylvania
• Philips Lighting North America
While there are other smaller companies that have niche HID products and/or who compete with
these three large companies, more than 80% of the HID lamps sold are produced (or branded) by
these companies:
5.2 Market Size and Shipments

The following table provides shipment estimates for the main families of HID lamps. These are
projections based on data provided to the US Department of Energy by the National Electrical
Manufacturers Association (NEMA). The table provides shipments of NEMA members, which
are assumed to represent the totality of shipments of HID lamps into the US market. Any other
manufacturers or private-labeled fluorescent lamps sold would constitute less than 5% of the
shipments presented. The shipment data from NEMA ends in 2006, and the subsequent years are
projections forward based on historical trends.
40
Table 5-1. Shipment Estimate for HID lamps for the U.S. Market
MV HPS MH Total Market
Years
(millions) (millions) (millions) (millions)
2000 4.0 11.7 17.5 33.2
2001 3.7 12.0 18.7 34.4
2002 3.5 12.2 19.9 35.7
2003 3.3 12.5 21.1 36.9
2004 3.1 12.8 22.3 38.2
2005 2.9 13.1 23.5 39.5
2006 2.7 13.3 24.7 40.7
2007 2.5 13.6 25.9 42.0
2008 2.2 13.9 27.1 43.3
2009 2.0 14.2 28.3 44.5
2010 1.8 14.5 29.5 45.8
2011 1.6 14.7 30.7 47.0
2012 1.4 15.0 31.9 48.3
2013 1.2 15.3 33.1 49.6
2014 1.0 15.6 34.3 50.8
2015 0.7 15.8 35.5 52.1
Source: NEMA data; NCI forecasts based on historical projections.
5.3 Estimate of the Installed Stock
Taking the shipment data shown in

section 5.2, an estimate of the
installed stock of covered HID
lamps can be prepared. The flow-
diagram to the right describes the
five step process followed to arrive
at the estimate prepared for this
study. In essence, the inventory
stock model takes into account
shipments of lamps over a number
of years, the catalogue lifetimes for
those lamps, the typical operating
hours, and an S-curve failure
function that is representative of
HID lamps. The stock are then
tracked year on year and summed
together to create the total national
inventory.
41
Concerning the failure function, the published lamp manufacturer catalogue lifetimes represent
an average rating, indicative of when 50% of the lamps have failed. This means there will be
some lamps that fail before the rated lifetime and some that fail afterwards. The shape of the
lifetime failure curve represents an “S-curve” which rises slowly initially (indicating few lamp
failures in the first half of the life), then rises rapidly through the 50% point (which is the
published average lifetime) before it gradually slows down approaching 100% of failures. This
curve means that very few lamps (a low percentage) will fail before the rated catalogue lifetime
and similarly, a small percentage of lamps will extend beyond the rated life.
This S-Curve lamp failure function is defined by the equation
y(t) = 1 / (1 + b-b(t-a))
where:
y(t) is the fraction of the market remaining
“a” represents the time to 50% of failure
“b” represents the steepness of the slope
The “a” term used is defined as the catalogue life divided by the weighted operating hours and
varies according to the lamp type and installation. For this study, an average of 12 hours per
day, 365 days per year was used as the operating hours for all installations and a range of
average lifetimes: 24,000 hours for MV; 21,000 hours for HPS; and 18,000 hours for MH. The
“b” term is set at 2.0 to be indicative of typical lamp-life failure curves, having a small number
of failures in the beginning, rising steeply through the 50% mark and then slowing down as it
approaches 100% failures.
The table below presents the findings of this inventory stock model for the three types of HID
lamps. The trends in stock follow the same trends observed in Table 5-1 above, which tend to
show increasing installed stock of MH lamps and declining stock of MV lamps. By 2015, the
estimated installed stock of MV lamps will be just 3.2% of total HID lamps installed in the US.
Table 5-2. Estimate of the Installed Stock of HID Lamps in the US Market (000 units)
Lamp 2010 2011 2012 2013 2014 2015

MV 14,137 12,843 11,555 10,289 9,066 7,765
HPS 73,204 74,651 76,128 77,614 79,105 80,512
MH 125,277 130,805 136,333 141,862 147,390 152,919
42
References
Chapters 2 and 3, Market and Technology Assessment, High Intensity Discharge Lamp
Determination Analysis, Final Determination; US Department of Energy, July 1, 2010.
Desroches, Louis-Benoit, and Karina Garbesi, 2011. Max Tech and Beyond: Maximizing
Appliance and Equipment Efficiency by Design. Lawrence Berkeley National Laboratory,
LBNL-4998E.
DOE, 2005. U.S. Lighting Market Characterization Volume II: Energy Efficient Lighting
Technology Options; Prepared by Navigant Consulting for the US Department of Energy.
September 2005.
DOE, 2011. Solid-State Lighting Research and Development; Multi Year Program Plan, March
2011 (Updated May 2011)
http://apps1.eere.energy.gov/buildings/publications/pdfs/ssl/ssl_mypp2011_web.pdf
Flesch, 2006. Light and light sources: high-intensity discharge lamps. Dr.-Ing. Peter Flesch,
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Max Tech and Beyond:

High-Intensity Discharge Lamps

Lawrence Berkeley National Laboratory

Lawrence Berkeley National Laboratory is an equal opportunity employer.

EXECUTIVE SUMMARY ........................................................................................................................................... 5

ANSI American National Standards Institute

Figure ES-1. Efficacy Progression of HID and LPS Lamps, 1930-2010

2 Context and Background

Figure 2-1. Diagram Illustrating Lamp Types and HID Lamps

Table 2-1. Sample of Typical Performance Attributes of Commercial HID Lamps

CMH EX39 250 Clear 20 4100 90 23000/18400 92/74

From a research point of view, industry is continuing to invest in the improvement of MH

0 100 200 300 400 500

Figure 2-3. Shares of Sectoral Energy Use by Lighting Technology

2.1 Technical Terminology

• Color rendering index – is a measurement of a light source’s ability to render colors

• Correlated color temperature - the temperature of a blackbody 5 radiator whose

• Illuminance - is the density of luminous flux incident on an area. In other words,

• Luminaire - a complete lighting unit consisting of a lamp or lamps and ballast(s)

• Spectral power distribution – a pictorial representation of the radiant power emitted

• System efficacy - measurement of the overall energy performance of lamp-ballast

2.2 Maturity of Technology

Figure 2-4. Illustration of the Technology Continuum

• Basic Science Research - Fundamental science exploration is performed to expand

• Applied Research - Scientific principles are demonstrated, an application is

• Exploratory Development - A product concept addresses an energy efficiency

• Advanced Development - Product concept testing is performed on a fully functional

• Engineering Development - “Field ready prototype” system is developed to refine

of unit cost, market influences, monitoring costs, owner/operator criteria, etc.

• Product Demonstration - Operational evaluation of the demonstration units in the

• Commercialization and Sales – The product is commercialized and is actively being

2.3 Equipment Description and Operation

2.3.1 Mercury Vapor Lamps

Argon Fill Gas

Photo: Lamptech see: http://www.lamptech.co.uk/index.html

Nitrogen Fill Gas

End Cap Outer Bulb

2.3.2 High Pressure Sodium Lamps

Photo: Lamptech see: http://www.lamptech.co.uk/index.html

2.3.3 Metal Halide Lamps

Photo: Lamptech see: http://www.lamptech.co.uk/index.html

Manufacturers designate an orientation for MH lamps: vertical, horizontal or universal (able to

Table 2-2. Performance Pulse-Start Metal Halide Lamps

This technology is currently available only in wattages up to 400 watts. Improvements in

Table 2-3. Performance Summary of Ceramic Pulse-Start Metal Halide Lamps

2.3.4 Low Pressure Sodium Lamps

2.4 National Efficacy Regulation HID Lamps

2.4.1 Energy Policy Act of 1992 – HID Lamp Determination

discharge lamps and distribution transformers for which the Secretary

The Secretary of Energy therefore conducted a determination analysis on whether energy

• Pulse Start Metal Halide ballast with a minimum efficiency of 88% ;

Exceptions to these requirements are:

• Fixtures with regulated lag ballasts

3 Research and Development of HID Lamps

3.1 Mercury Vapor Lamps

3.2 High Pressure Sodium Lamps

Technology Maturity Stage – HPS Lamp

3.3 Quartz Metal Halide Lamps