Applying Upper Room UVGI

Theory, Lamps, Fixtures,

Emission Characteristics and Applications

Richard L. Vincent, FIES, LEED® AP

Mount Sinai Hospital
Mt. Sinai School of Medicine
Building Design and Engineering 
Approaches to Airborne Infection Control
Harvard School of Public Health
Boston MA
August 3, 2010

E-mail: Richard.Vincent@mountsinai.org
Mount Sinai Medical Center
Community Medicine
36 7Th Avenue, NY NY 10011
(212) 604‐6515
 Session Objectives
• Introduce basic principles for applying
upper room UVGI Equipment
• Learn features of upper-room UVGI
fixtures
• Types of fixtures available
– Fixture components (lamps, ballasts, optics)
– Characteristic emission patterns,
– Where and how to place in large and small rooms.

• Learn from Case Studies

 Factors Influencing Effectiveness
• UV Irradiance and Dose
– UV Dose (irradiance x time) based on microorganism susceptibility expressed in µW•s/cm2
– Ave fluence for mycobacterium 30 to 50 µW•s/cm2
– Provide uniform UVGI distribution
• Upper-Room UVGI Systems and Ventilation
– Experimental studies show UV + ventilation (up to 6 ACH) are additive in microorganism
inactivation in well-mixed rooms
– Ventilation over 6 ACH reduces effectiveness due to less resident time of microorganisms in
the UV zone.
• Air Mixing
– Upper-room UVGI depends on air mixing to lift organisms into the UV field
– General ventilation (supply diffusers and return grilles) should be designed to promote
optimal airflow patterns in the room or if air is stagnate a fan provided to enhance mixing with
a mixing factor of K=1 being ideal. Usual range in offices is K between 1 to 3.
• Humidity
– Relative humidity (RH) should be controlled to be less than 60% for optimal upper-room
applications and comfort; yet it is applied in higher humidity settings with success
• Temperature
– UVC lamps operate optimally at 70° F (21 °C) colder temperatures can reduce lamp output

Source: DHHS (NIOSH) Publication 2009-105

Guidelines for Design and Installation
of Upper-Room UVGI System
• Determine target microorganism(s) and average UV dose to be delivered by UVGI system
– Ave fluence (dose) 30 to 50 µW•s/cm2 for mycobacterium and most viruses.
– Higher dose of UV required for spore and fungal organisms consult handbooks for specific doses
• UVC Lamps
– Select low or no ozone generating UVC, 254 nm low pressure mercury germicidal lamps which use 5 mg or
less of Hg.
• UVGI Fixtures
– Select fixed louvered units when installing in rooms with a minimum of 8 ft (2.7m) of floor to ceiling height
– Select open units with a cut-off to minimize UV in lower room for ceilings over 10 ft. (greater than 3m)
– Require safety switch to deactivate units when servicing to prevent exposure
– Require electronic ballasts with capability to adjust output by dimming.
– Test fixtures for performance (output and distribution) using a UVC radiometer
• UVGI System architectural placement for uniformity
– Use CAD UVGI program
• UVGI System Installation
– Commissioning
– Safety
– Maintenance
 Upper-room UVGI
• Fixtures emit germicidal UVC into upper-room
• Microorganisms are deactivated through DNA damage as room
air circulates vertically
• Louvered fixtures limit exposures in the lower room to safe levels
Source: K. Banahan
 UVC LAMPS
Typical Germicidal Lamps
Linear, Folded, Low Hg
• Upper air UVGI is
generated by a low
pressure mercury vapor
discharge lamp
– 35% electrical input
wattage is converted to
UVC energy for which
253.7 nm is the strongest
wavelength
• UVC irradiance is
measured in µW/cm2
• Electrical input to the
UVC lamp is regulated by
a ballast (magnetic and
electronic)

1st Low Hg Germicidal Lamps

 UV Lamp Spectra Vary
Spectral power distribution of
• Varies with emission source and UV-C lamp at 1 nm resolution. Source: R. Levin
with the lamp envelope
– Specialized glass envelope
allows ultraviolet to escape.
– Two lamps emitting the same
visible blue light tag can emit
much different UV
wavelengths
– 185 nm (ozone) wavelength
suppressed in upper room and
induct applications
– The spectral power distribution
(SPD) is critical in
photobiological research
– Need standardized test to
report SPD
 Upper-Room UVGI Fixtures
Research to provide safer products
• Open UVGI for High (>9 ft) (Riley and Nardell)
Ceilings (>2.7 m)
• Louvered UVGI for Low (8-9
Louvered fixture designs a
ft) Ceilings (2.4-2.7 m) response to low ceilings in
modern buildings
– To reduce direct downward UV
exposure of room occupants
– To reduce reflectance from
ceilings to room occupants
– Design shared with a number
of manufacturers who have
innovated on their approaches

Source: Martin S et al. ASHRAE Journal Aug 2008 p 34

UVGI Fixture Configurations
 Cross Sectional and Open UVGI
Wall Mount Unit
Dimmable
Electronic
ballast
Safety
Switch
Parabolic UV
reflective
element

Louvers

Adjustable Single pin

Output
Linear UVC lamp
Floor Area Coverage
Upper Room UV-C
24.2 m2 (not less
than 10µw/cm2)

2.1 m
 What are the basics of an
Upper room UVGI System?
 Summary requirements driving
Designs for TB irradiation.

• UVC source primarily at 254 nm

• UV level measured 1.8 m (6 ft) from floor not to exceed 6000 μJ/cm2 over
8 hours*.
• UV Dose = UV irradiance (μW/cm2) * exposure time (seconds)
– For TB, 10 μW/cm2 for 120 seconds = 99% kill (ASHRAE CH-99-12-1)
– Customary installation: 30 W UV lamp input power per 18. 6 m2 (200ft2)
• Model Room Studies are suggesting an average UV fluence be used
• Key question is how to measure in the field
– Lamp output power ≅ 25% to 33% input power
– Lamp efficiency versus lamp temperature and age
• Room vertical airflow rate - TBD (well mixed air is most effective with
UVGI)
• Environment temperature (expected system performance in nominal) –
21°C (70° F)
• Environment humidity (expected system performance in nominal) – not
greater than 75%
• Lamp life/hours of use ≅ 8,736+ hours (1 year = 24x7x52, + safety factor)
• 100 hours lamp∗ burn-in
Application of this value should be based on room occupancy usage.
Plan to Disrupt TB Transmission
• Most upper room
installations are designed
to interrupt TB
transmission From--Most
Important to Least
Important
– Convection--sharing a
room or adjacent space
– Recirculation--anywhere in
ventilation circuit
– Close Proximity--being
“coughed on”
• Consider a whole building
approach where
appropriate
 Upper-air Irradiation With UV-C
(Section View in Hospital Room)

Source: South Africa Medical

Research Council
Air-Mixing Critical to Effective UVGI Systems
Measurement of Mechanical Ventilation
Congregate Waiting Area with
Operable Windows and UVGI
Note: UVGI off when working the upper-room
UVGI Ceiling Mount Fixtures
Air-Mixing with Paddle Fans
Open UVGI Fixtures in High Bay Covering Possible Transmission into Patient
Rooms from Corridor or from Patient Rooms into Corridor
Hospital Room - UV Lamp

Old style fixtures

- intensity 10 x 0.2 µW/cm2

Unventilated bldg.

MDR TB patients

No TST conversions
 Senior Drop-in Center
Before 360° Closely
Space Louvered Pendant

After more efficient pendant wider

spaced louvers.
Placement of UVGI Fixtures
TUSS Case Study

Grand Central Drop-In Center

St. Agnes Church Basement
143 E 43rd Street NYC
 Applying Upper Air UVGI
in Congregate Settings—New York City
 TB/UV Shelter Study (TUSS)
St. Vincent’s Hospital and Harvard School of Public Health

• TUSS (1997-2004) was a double-blind, placebo

controlled field trial in 6 USA cities, with 14
shelters
• Nearly 1200 UVGI fixtures were installed
covering 200,000 sq. ft in a diverse set of
buildings
• Upper air systems were monitored at set
intervals, and measured before and after
cleaning
• UVC lamps were replaced when output fell
below a set criteria
Requirements for Compliance
• Design and installation by qualified
professional
• Verification of occupant safety during
commissioning
• Operations and Maintenance plan
 Planning an Installation
• Planning an installation – Walk through the facility verifying room

– Arrange meeting with facilities dimensions, usage, floor to ceiling

heights, note potential locations of units
operator to determine where
on plan
possible transmission of airborne
– Look at sight lines for maximum
pathogens might by discussing
uninterrupted flow of UV energy
building usage (large congregate
– Determine wall and ceiling surfacing
settings, corridors, lobbies)
materials to plan for potential
– Obtain as built plans or design reflectivity into the lower room

plans prior to onsite walk – Determine space usage, how

through/if available upload CAD frequently occupied, number of

occupants and potential contact with
drawings
infectious persons.
UVGI Fixture Mounting Guidance
Source: Guidelines for Utilization of UVGI SACES
 Measurement of
UVGI and Relative Humidity
 Commissioning
Upper Room UVGI System
• Commission process
inspected placement and eye
level irradiance measurements
with IL 254 nm selective meter
• Fixtures were adjusted if eye
level exposure exceeded the 8
hr TLV for UVC 254 nm
wavelength.
• UV measurements at eye level
(between 5.5-6.0 ft) at
compass points from each
figure. Check reflective
surfaces, e.g. TV’s or monitors.
• Readings incorporated into
final commissioned drawings.
 In Service Training
Provide administrative and maintenance staff with overview of UVGI, its
purpose, the need for maintenance and how to avoid over-exposure when
working in the upper room.
What Lessons Can Be Learned from TUSS?
• Planned installations with proper commissioning and maintenance are safe.
• Upper air UVGI can be applied in wide variety of buildings both existing and newly
designed
• Regular maintenance and monitoring can assure critical levels of UVGI overtime.
• Current UVGI louvered fixtures limit effective UVC emissions due to absorption.
• Air circulation, humidity level and temperature can enhance or limit UVGI
effectiveness
• precautions, signage In service training, instruction on safe operation, safety
switched and multilingual signage all are necessary

Multi-lingual Warning Signs and Symbols

 Green Benefits of UVGI
High Levels of Air Disinfection
• UVGI performance can be rated by the equivalent air exchanges of ventilation that would provide the same level of
microorganism removal.
• Experimental chamber studies demonstrate high levels of air disinfection potential
Source: K. Banahan

Figure 2. Equivalent air exchanges of virus removal in a room size exposure chamber due to UVC
Source: McDevitt JJ, Milton DK, Rudnick SN, First MW (2008) Inactivation of Poxviruses by Upper-Room UVC Light in a Simulated
Hospital Room Environment. PLoS ONE 3(9): e3186.
GREEN: Cost Effective Compared to Alternative
Airborne Infection Control Strategies
• Important Factors:
• Organism susceptibility
• Risk of transmission
• Site characteristics: air mixing, relative humidity, occupancy
Source: K. Banahan

Present value ($)

Control Strategy
per TST conversion
Increased Ventilation $1,708
Stand-alone HEPA $420
UVGI $133
Data: Hypothetical scenario with TB in waiting room (Ko, 2001)
Guidance Documents
Groups working on UVGI Guidelines and
Standards

• US EPA (Induct, Water

treatment)
• CDC/NIOSH (upper
room, induct)
• International UV
Association (IUVA) (all
areas)
• ASHRAE (Induct and
Upper room)
• IESNA (Testing , Extend
RP27)
• CIE (Report 6-35 UVR Air
Disinfection)
 Conclusions
• Multiple laboratory studies past and present show
upper room UVGI as an effective air disinfection
intervention (CDC Healthcare Guidelines 2005)
• UV-C Lamp and Lamp Systems can be applied
safely as environmental controls for a variety of
applications
• Standard testing procedures for UV-C equipment
are being developed by ANSI qualified agencies
• Tools are needed to measure UV-C fluence in
practical settings (in progress)
• UV-C reflectance data for modern building
surfaces and paints are being measured
 Acknowledgements
• Research Collaborators:
– Philip W. Brickner, MD, P.I. Mt. Sinai Hospital-New York
– Melvin W. First, ScD, Harvard School of Public Health
– Edward A. Nardell, MD, Harvard School of Public Health
– Steven N. Rudnick, ScD, Harvard School of Public Health
– Megan Murray, ScD, MD, Harvard School of Public Health
– Kevin Banahan, MSc. Barclay Financial Services
– Thomas Dumyahn, M.Sc., Harvard School of Public Health
– William Chaisson, P.E., Chaisson Consulting, Newton, MA
– Paul Minor, AIA, Chaisson Consultants, Newton, MA
– Richard Riley, MD, Johns Hopkins deceased
– Jonathan Freeman, MD, Harvard School of Public Health,
deceased
• Sponsors
– New York State Energy Research Development Authority
(NYSERDA)
– Consolidated Edison Company of New York
Questions?
THANK YOU

For further information

please contact:
Richard L. Vincent, FIES,
LEED® AP

Richard.Vincent@mountsinai.org

212.604.6515