Ultraviolet Germicidal Irradiation Handbook

Wladyslaw Kowalski

Ultraviolet Germicidal
Irradiation Handbook

UVGI for Air and Surface Disinfection

123
Wladyslaw Kowalski
Immune Building Systems, Inc.
575 Madison Ave.
New York, NY 10022
[email protected]

ISBN 978-3-642-01998-2 e-ISBN 978-3-642-01999-9

DOI 10.1007/978-3-642-01999-9
Springer Heidelberg Dordrecht London New York

Library of Congress Control Number: 2009932132

© Springer-Verlag Berlin Heidelberg 2009

This work is subject to copyright. All rights are reserved, whether the whole or part of the material is
concerned, specifically the rights of translation, reprinting, reuse of illustrations, recitation, broadcasting,
reproduction on microfilm or in any other way, and storage in data banks. Duplication of this publication
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I dedicate this book to Dr. Thomas Whittam and to his
family. Tom passed away all too suddenly during the writing
of this book. He was my mentor and tutor in the field of
microbiology and genetics, and taught me laboratory
techniques as well as inspiring me with the desire to achieve
excellence. It had always seemed to me that scientists,
unlike so many musicians, artists, writers, and actors, were
always allowed to complete their greatest works, and so it
is especially sad to see anyone leave this world when they
are in the midst of doing great research and useful science,
and when they had so much more to give.
Preface

This book is a comprehensive source for technical information regarding ultravi-

olet germicidal irradiation (UVGI) and its application to air and surface disinfec-
tion for the control of pathogens and allergens. The primary focus is on airborne
microbes and surface contamination applications. Water-based applications are not
addressed here except incidentally as they relate to air and surface microbes, since
many adequate texts on water-based UV disinfection are available. All aspects of
UVGI systems, including design methods, modeling, safety, installation, guidelines,
and disinfection theory are addressed in sufficient detail that no additional sources
need be consulted. It is hoped by the author that providing this information in one
single volume will simplify the design and installation of UVGI systems, help guar-
antee effective performance of new systems, and facilitate their use on a wide scale
for the purpose of improving human health and controlling epidemic disease. This
book is organized to provide systematic coverage of all essential issues and will
serve equally well as both a textbook and a handbook for general reference.
Any readers who find technical errors or omissions in this book may to send
them to me at [email protected]. Errata will be posted at
http://www.aerobiologicalengineering.com/UVGI/errata.htm. All other correspon-
dence should be sent to [email protected].

vii
Acknowledgements

I gratefully acknowledge all those who assisted me in the research, preparation,

and review of the chapters in this book, including William Bahnfleth, Steve Martin,
Chuck Dunn, Jim Freihaut, Dave Witham, Ed Nardell, Richard Vincent, Mark
Hernandez, Ana Nedeljkovic-Davidovic, Clive Beggs, Renzhou Chen, Normand
Brais, Katja Auer, Warren Lynn, Mike Sasges, Bill Carey, Tatiana Koutchma,
Forrest Fencl, Russ Briggs, Josephine Lau, Carlos Gomes, Fahmi Yigit, Herbert
Silderhuis, Joe Ritorto, Merrill Ritter, Brad Hollander, Scott Prahl, Karl Linden,
William Balch, Atanu Sengupta, M.D. Lechner, Ketan Sharma, Donald Milton, and
especially Mary Clancy all the members of the IUVA Air Treatment Group who
supported the UV Guidelines project, and also Linda Gowman, Jim Bolton and
everyone in the International Ultraviolet Association who sponsored the UV Air
Treatment Group. A special thanks goes to Ali Demirci and Raymond Schaefer for
their contributions to the chapter on Pulsed UV Systems. I especially thank my par-
ents, Stanley J. Kowalski and Maryla Kowalski, and my sister Victoria Chorpenning
for their unwavering support and encouragement during these past few years as I
recovered my health and returned to research.

ix
Contents

1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.1 Ultraviolet Germicidal Irradiation (UVGI) . . . . . . . . . . . . . . . . . . . . 1
1.2 Brief History of Ultraviolet Disinfection . . . . . . . . . . . . . . . . . . . . . . 2
1.3 Units and Terminology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
1.4 Air vs. Water Disinfection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
1.5 Surface Disinfection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
1.6 Air Disinfection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
1.7 Air Disinfection Field Studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
1.8 Pathogens and Allergens . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
1.9 Current Research . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
1.10 UVGI and the Future of Disease Control . . . . . . . . . . . . . . . . . . . . . . 13
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

2 UVGI Disinfection Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

2.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
2.2 UV Inactivation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
2.3 UV Absorption Spectra . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
2.4 UV Photoprotection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
2.5 Covalent Bonding and Photon Interaction . . . . . . . . . . . . . . . . . . . . . 31
2.6 UV Photoproducts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
2.7 DNA Conformation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
2.8 Photon Density and Single-Hit Concepts . . . . . . . . . . . . . . . . . . . . . . 35
2.9 Photochemistry of RNA Viruses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
2.10 Photochemistry of DNA Viruses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
2.11 Photochemistry of Bacteria . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
2.12 Photoreactivation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
2.13 UV Scattering . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47

3 Mathematical Modeling of UV Disinfection . . . . . . . . . . . . . . . . . . . . . . . 51

3.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
3.2 UV Disinfection Modeling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
3.3 UV Exposure Dose (Fluence) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52

xi
xii Contents

3.4 Single Stage Decay . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53

3.5 Two Stage Decay . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
3.6 Shoulder Curves . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57
3.7 Two Stage Shoulder Curves . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58
3.8 Relative Humidity Effects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59
3.8.1 RH Effects on Viruses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60
3.8.2 RH Effects on Bacteria . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62
3.8.3 RH Effects on Bacterial and Fungal Spores . . . . . . . . . . . . 67
3.9 Modeling Photoreactivation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68
3.10 Air Temperature Effects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70

4 UV Rate Constants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73
4.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73
4.2 Rate Constants and Survival Curves . . . . . . . . . . . . . . . . . . . . . . . . . . 74
4.3 UV Rate Constant Database . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74
4.3.1 Bacteria Rate Constants . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75
4.3.2 Virus Rate Constants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76
4.3.3 Fungi Rate Constants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81
4.4 Surface UV Rate Constants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82
4.5 Water Rate Constants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84
4.6 Airborne Rate Constants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86
4.7 Narrow Band UVC vs. Broadband UVB/UVC . . . . . . . . . . . . . . . . . 87
4.8 Relative Humidity Effects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88
4.9 Rate Constant Determinants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90
4.10 UV Scattering in Water . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94
4.11 Prediction of UV Susceptibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105

5 UVGI Lamps and Fixtures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119

5.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119
5.2 Types and Characteristics of UV Lamps . . . . . . . . . . . . . . . . . . . . . . 120
5.3 Lamp Power, Size, and Nomenclature . . . . . . . . . . . . . . . . . . . . . . . . 123
5.4 Lamp Ballasts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125
5.4.1 Magnetic Ballasts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125
5.4.2 Electronic Ballasts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126
5.5 Microwave UV Lamps . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126
5.6 UV LEDs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 127
5.7 Pulsed UV Lamps . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 129
5.8 Lamp Ratings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 129
5.9 Lamp Shapes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 129
5.10 Lamp Fixtures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 130
5.11 Upper Room Lamp Fixtures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 131
5.12 Lamp Cooling Effects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132
Contents xiii

5.13 Ozone Generation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135

5.14 Lamp Maintenance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 136

6 Systems and Equipment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 139

6.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 139
6.2 Air Disinfection Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 139
6.2.1 In-Duct Air Disinfection . . . . . . . . . . . . . . . . . . . . . . . . . . . 140
6.2.2 Recirculation Units . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 142
6.2.3 Upper Room Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 143
6.2.4 UV Barrier Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 144
6.2.5 Overhead Tank Disinfection . . . . . . . . . . . . . . . . . . . . . . . . 145
6.3 Surface Disinfection Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 145
6.3.1 Equipment and Packaging Disinfection . . . . . . . . . . . . . . . 146
6.3.2 Cooling Coil Disinfection . . . . . . . . . . . . . . . . . . . . . . . . . . 147
6.3.3 Lower Room Disinfection . . . . . . . . . . . . . . . . . . . . . . . . . . 148
6.3.4 Overhead Surgical Site Disinfection . . . . . . . . . . . . . . . . . . 149
6.3.5 Area/Room Disinfection . . . . . . . . . . . . . . . . . . . . . . . . . . . 150
6.3.6 Food Surface Disinfection . . . . . . . . . . . . . . . . . . . . . . . . . . 151
6.3.7 Mold Remediation Systems . . . . . . . . . . . . . . . . . . . . . . . . . 152
6.3.8 UV Hand Wands . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 152
6.4 UV Reflective Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153
6.5 UV Light Baffles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153
6.6 UV-Transmittant Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 155
6.7 UV Absorbers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 155
6.8 Flow Straighteners . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 156
6.9 PCO Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 156
6.10 Controls and Integral Sensors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 157
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 157

7 UVGI System Modeling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 159

7.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 159
7.2 UV Lamp Modeling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 160
7.3 UV Reflectivity Modeling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 163
7.3.1 Modeling Specular Enclosures . . . . . . . . . . . . . . . . . . . . . . 163
7.3.2 Modeling Diffuse Enclosures . . . . . . . . . . . . . . . . . . . . . . . 166
7.3.3 Combined Specular and Diffusive Reflectivity . . . . . . . . . 170
7.4 Air Mixing Effects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 171
7.5 UV System Optimization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 173
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175

8 Airstream Disinfection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 177

8.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 177
8.2 UV Air Disinfection Performance . . . . . . . . . . . . . . . . . . . . . . . . . . . 177
8.3 Filtration Performance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 185
xiv Contents

8.4 Combined Performance of Filtration and UVGI . . . . . . . . . . . . . . . . 186

8.5 In-duct Air Disinfection Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . 190
8.6 EPA Test Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 191
8.7 Unitary UV Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 195
8.8 Barrier Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 197
8.9 Zonal Modeling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 198
8.9.1 Steady State Single Zone Model . . . . . . . . . . . . . . . . . . . . . 198
8.9.2 Transient Modeling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 200
8.9.3 Multizone Modeling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 203
8.10 Zonal Protection Factors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 203
8.11 UV Air Disinfection Field Trials . . . . . . . . . . . . . . . . . . . . . . . . . . . . 206
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 207

9 Upper Room UV Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 211

9.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 211
9.2 Types and Design of Fixtures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 212
9.3 Upper Room System Sizing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 216
9.4 Air Mixing Effects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 220
9.5 Room Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 223
9.6 Performance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 224
9.7 Testing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 227
9.8 Upper Room UV Safety . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 229
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 230

10 UV Surface Disinfection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 233

10.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 233
10.2 Microbial Growth Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 233
10.3 Modeling Surface Disinfection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 234
10.4 UV Cabinets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 236
10.5 Area Disinfection Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 238
10.6 Cooling Coil Irradiation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 239
10.7 Overhead Surgical Site Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 246
10.8 Lower Room Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 249
10.9 Food and Packaging Irradiation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 250
10.10 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 252
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 252

11 UVGI Guidelines and Standards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 255

11.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 255
11.2 UVGI Electrical Guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 256
11.3 Testing Guidelines and Standards . . . . . . . . . . . . . . . . . . . . . . . . . . . . 258
11.4 UVGI Application Guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 262
11.5 UVGI Safety Guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 277
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 283
Contents xv

12 UVGI Safety . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 287

12.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 287
12.2 The Germicidal UV Spectrum . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 287
12.3 Biological Effects of UV Exposure . . . . . . . . . . . . . . . . . . . . . . . . . . 288
12.3.1 UV Effects on Eyes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 289
12.3.2 UV Effects on Skin . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 291
12.4 UV Exposure Limits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 293
12.5 UV Measurement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 299
12.6 UV Protection and Control Measures . . . . . . . . . . . . . . . . . . . . . . . . . 300
12.6.1 In-duct UVGI System Safety . . . . . . . . . . . . . . . . . . . . . . . 300
12.6.2 Unitary UVGI System Safety . . . . . . . . . . . . . . . . . . . . . . . 301
12.6.3 Upper Room UVGI Safety . . . . . . . . . . . . . . . . . . . . . . . . . 301
12.6.4 Lower Room UVGI Safety . . . . . . . . . . . . . . . . . . . . . . . . . 302
12.6.5 Cooling Coil UVGI Safety . . . . . . . . . . . . . . . . . . . . . . . . . 303
12.6.6 Equipment Disinfection UVGI Safety . . . . . . . . . . . . . . . . 303
12.6.7 Overhead Surgical Site System Safety . . . . . . . . . . . . . . . . 304
12.6.8 Area Decontamination UVGI Safety . . . . . . . . . . . . . . . . . 304
12.7 Personal Protective Equipment (PPE) . . . . . . . . . . . . . . . . . . . . . . . . 305
12.8 Labeling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 306
12.9 Ozone Generation Hazards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 307
12.10 Lamp Breakage and Mercury Risks . . . . . . . . . . . . . . . . . . . . . . . . . . 308
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 309

13 Ultraviolet Radiometry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 313

13.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 313
13.2 Lamp Electrical Characteristics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 313
13.3 UV Irradiance and UV Dose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 314
13.4 Measurement Equipment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 315
13.5 UV Lamp Ratings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 318
13.6 Lamp Irradiance Measurements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 319
13.7 Lamp Cooling and Heating Effects . . . . . . . . . . . . . . . . . . . . . . . . . . . 323
13.8 UV Reflectivity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 323
13.9 UV Transmittance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 325
13.10 UV Absorptance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 325
13.11 Reflective Lamp Fixtures and Enclosures . . . . . . . . . . . . . . . . . . . . . 326
13.12 UV Dose Measurement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 327
13.13 Spherical Actinometry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 328
13.14 Testing Applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 328
13.14.1 Laboratory Testing of Equipment . . . . . . . . . . . . . . . . . . . . 329
13.14.2 In-duct UVGI System Testing . . . . . . . . . . . . . . . . . . . . . . . 329
13.14.3 Cooling Coil Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 330
13.14.4 Overhead Surgical Site Systems . . . . . . . . . . . . . . . . . . . . . 331
13.14.5 Upper Room Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 332
13.14.6 Lower Room Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 333
xvi Contents

13.14.7 Area Disinfection Systems . . . . . . . . . . . . . . . . . . . . . . . . . 333

References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 334

14 Microbiological Testing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 337

14.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 337
14.2 Microbiological Testing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 337
14.3 Biodosimetry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 338
14.4 Test Microbes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 338
14.5 Test Materials and Equipment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 340
14.6 Surface Sampling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 341
14.7 Air Sampling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 346
14.8 Sampling Applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 348
14.8.1 UV Rate Constants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 348
14.8.2 Cooling Coil Disinfection Systems . . . . . . . . . . . . . . . . . . 351
14.8.3 In-duct Air Disinfection Systems . . . . . . . . . . . . . . . . . . . . 352
14.8.4 Upper Room Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 353
14.8.5 Lower Room Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 353
14.8.6 Overhead Surgical Site Systems . . . . . . . . . . . . . . . . . . . . . 354
14.8.7 Area Disinfection Systems . . . . . . . . . . . . . . . . . . . . . . . . . 355
14.9 Evaluating Sampling Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 355
14.10 Virus Sampling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 357
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 357

15 UV Effects on Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 361

15.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 361
15.2 UV Effects on Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 361
15.3 Activation Spectra . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 365
15.4 Solarization of Glass . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 366
15.5 Photodiscoloration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 367
15.6 Photodegradation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 368
15.7 Damage to Houseplants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 372
15.8 Ozone Production . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 372
15.9 Protective Coatings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 373
15.10 UV Absorbers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 375
15.11 Photodegradation Testing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 377
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 378

16 Pulsed UV Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 383

16.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 383
16.2 Pulsed UV Disinfection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 384
16.3 The PUV Spectrum and Germicidal Effectiveness . . . . . . . . . . . . . . 385
16.4 Modeling PUV Dose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 387
16.5 Modeling PUV Decay Curves . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 389
16.6 A General Model for PUV Disinfection . . . . . . . . . . . . . . . . . . . . . . . 394
16.7 Pulsed Light Disintegration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 395
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 397
Contents xvii

17 Health Care Facilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 399

17.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 399
17.2 Nosocomial Infections . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 400
17.3 Operating Rooms and ICUs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 401
17.4 Isolation Rooms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 406
17.5 General Areas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 408
17.6 Hallways and Storage Areas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 410
17.7 Dental Offices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 412
17.8 AIDS Clinics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 413
17.9 Hospital Laboratories . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 414
17.10 Animal Laboratories and Veterinary Facilities . . . . . . . . . . . . . . . . . 414
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 418

18 Commercial Buildings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 423

18.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 423
18.2 Office Buildings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 423
18.3 Industrial Facilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 425
18.4 Food Industries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 427
18.5 Educational Facilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 431
18.6 Museums and Libraries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 432
18.7 Agricultural and Animal Facilities . . . . . . . . . . . . . . . . . . . . . . . . . . . 437
18.8 Malls, Airports, and Places of Assembly . . . . . . . . . . . . . . . . . . . . . . 441
18.9 Aircraft and Transportation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 442
18.10 Sewage and Waste Facilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 443
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 444

19 Residential Applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 449

19.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 449
19.2 Residential Homes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 449
19.3 Apartments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 452
19.4 Hotels and Dormitories . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 453
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 454

20 Bioterrorism Defense . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 457

20.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 457
20.2 Bioweapons . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 457
20.3 Biodefense of Buildings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 461
20.4 UV Systems for Biodefense . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 464
20.5 UV Bioremediation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 467
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 468

Appendices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 471

Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 493
 Chapter 1

Introduction

1.1 Ultraviolet Germicidal Irradiation (UVGI)

Ultraviolet germicidal irradiation (UVGI) is defined as the use of ultraviolet (UV)

wavelengths of light in the germicidal range (200–320 nm) for the disinfection
of air and surfaces. The term ‘UVGI’ was originally coined by the International
Commission on Illumination (CIE) and adopted later by the Centers for Disease
Control (CDC), and this term distinguishes disinfection applications from the non-
germicidal UVA wavelengths of black lights and suntan lamps (320–400 nm). UVGI
is also used to distinguish air and surface disinfection applications from those in
water (CIE 2003). Throughout this book the terms ‘UVGI’ and ‘UV’ will be used
interchangeably, with the understanding that in every context, unless otherwise
noted, both terms refer to the germicidal wavelengths of UVC (200–280 nm) and
UVB (280–320 nm). UV radiation below 320 nm is actinic, which means it causes
photochemical reactions. UVA radiation (320–400 nm) is not considered germici-
dal and is not specifically addressed in this book (except in relation to pulsed light).
Table 1.1 summarizes the definitions of the primary bands of UV radiation. Previ-
ously, UVA was considered to extend down to 315 nm, but the range 315–320 nm
was found to have some minor germicidal effects. The UVA band, and therefore the
UVB band also, have been redefined by various organizations such that all actinic
UV radiation is now contained strictly within the UVB and UVC range. This divi-
sion allows UVA to be completely non-germicidal and conveniently places all the
germicidal UV into the UVB and UVC bands.
The definitions of the UV bands UVA, UVB, and UVC given in Table 1.1 have
not yet been fully incorporated into every relevant guideline or adopted by every
agency, but are likely to be adopted eventually and universally. VUV (Vacuum Ultra-
violet) does not transmit through air since it is rapidly absorbed and therefore the
VUV band is of no interest in air and surface disinfection, and is not addressed
further in this book.
This introductory chapter presents some other basic definitions and subjects
which provide a background for the subsequent chapters, where these concepts

W. Kowalski, Ultraviolet Germicidal Irradiation Handbook, 1

DOI 10.1007/978-3-642-01999-9_1,  C Springer-Verlag Berlin Heidelberg 2009
2 1 Introduction

Table 1.1 Primary bands of ultraviolet radiation

Band Wavelength, nm Type and classification
UVA 320–400 Non-germicidal (Near-UV, Bl acklight)
UVB 280–320 Erythemal
Germicidal
UVC 200–280 Ozone-producing Actinic
VUV 100–200 Vacuum ultraviolet

will be addressed in greater detail. The chapters in this book are arranged to first
address the background information, including theory and mathematical modeling,
then equipment and design methods, and finally testing and applications. In the
Appendices are provided tabulations of data and information that are useful and
that will be referenced throughout this book.

1.2 Brief History of Ultraviolet Disinfection

The story of ultraviolet light begins with Isaac Newton and his contemporaries. In
1672, Isaac Newton published a series of experiments with prisms that resolved sun-
light into its constituents colors, red through violet. The effects of sunlight on man,
microorganisms, and chemicals became a matter of great interest and experimenta-
tion in the 1800s. In 1814, Fraunhofer mapped over 500 bands of sunlight, some of
which were in the ultraviolet region. In 1842, Becquerel and Draper each indepen-
dently showed that wavelengths between 340 and 400 nm induced photochemical
changes on daguerreotype plates (Hockberger 2002).
UV Lamp development predates sunlight studies on bacteria. In 1835, Wheat-
stone invented the first mercury (Hg) vapor arc lamp, but it was unstable and
short-lived. Fizeau and Foucault (1843) reported problems with their eyes after
experimenting with a carbon arc lamp, and speculated that it was due to ‘chemi-
cal rays.’ In 1850, Stokes used aluminum electrodes to produce a ‘closed’ arc lamp
in a quartz tube that emitted UV rays to 185 nm (Hockberger 2002).
The earliest scientific observations of the germicidal effects of ultraviolet radia-
tion began with Downes and Blunt (1877) who reported that bacteria were inacti-
vated by sunlight, and found that the violet-blue spectrum was the most effective. In
1885, Arloing and Duclaux demonstrated that sunlight had a killing effect on Bacil-
lus anthacis and Tyrothrix scaber, respectively. Widmark (1889, 1889a) published
studies confirming that UV rays from arc lamps were responsible for skin burns,
using a prism to separate the UV spectrum and water to block the infrared rays.
It was demonstrated in 1892 that ultraviolet light was responsible for this action
with tests on Bacillus anthracis (Ward 1892). Also in 1892, Geisler used a prism
and a heliostat to show that sunlight and electric arc lamps were lethal to Bacil-
lus typhosus. Finsen (1900) performed the first rigorous analysis of the effects of
UV light. The UV spectrum around 250 was identified as biocidal by Barnard and
Morgan (1903), and the range was narrowed by Newcomer (1917), and isolated to
1.2 Brief History of Ultraviolet Disinfection 3

253.7 nm by Ehrismann and Noethling (1932). Table 1.2 summarizes most of the
critical developments in the history of UV research and applications.
The first use of UV to disinfect drinking water is said to have been in 1906
according to von Recklinghausen (1914). In 1909/1910 the first water disinfection

Table 1.2 Chronology of critical events in UV history

Year Event Reference

1814 Fraunhofer maps spectral bands of sunlight Hockberger (2002)

1835 Wheatstone invents first mercury vapor arc Hockberger (2002)
lamp
1850 Stokes invents quartz arc lamp that produces to Hockberger (2002)
185 nm
1842 Becquerel and Draper find 340–400 nm light Hockberger (2002)
photoreactive
1877 Bactericidal effects of sunlight first Downes and Blunt (1877)
demonstrated
1889 UV light demonstrated to be erythemal Widmark (1889)
1892 UV component of sunlight identified as Ward (1892)
biocidal
1892 Geissler demostrates lethality of arc lamps to Hockberger (2002)
B. typhosus
1903 UV spectrum from 226 to 328 nm found to be Barnard and Morgan (1903)
germicidal
1904 First quartz lamp for UV developed Lorch (1987)
1906 UV first used to disinfect drinking water von Recklinghausen (1914)
1909 First European applications for UV water AWWA (1971)
disinfection
1912 Henri found shorter UV wavelengths don’t Henri (1912)
penetrate
1916 First USA applications of UV for water AWWA (1971)
disinfection
1921 UV photoreactivity with TiO2 first Renz (1921)
demonstrated
1925 UV photodegradation of materials first Luckiesh and Taylor (1925)
demonstrated
1927 First erythemal action spectrum published Hausser and Vahle (1927)
1927 Bactericidal action of UV first quantified Bedford 1927, Gates (1929)
scientifically
1928 Virucidal action of UV first quantified Rivers and Gates (1928)
scientifically
1929 Fungicidal action of UV first quantified Fulton and Coblentz (1929)
scientifically
1932 UV germicidal peak at 253.7 nm isolated Ehrismann and Noethling
(1932)
1932 Erythemal spectrum of UV first quantified Coblentz et al. (1932)
1936 First overhead UV system in hospitals Wells and Wells (1936), Hart
(1936)
1936 UV photoreactivation phenomena first Prat (1936)
identified
4 1 Introduction

Table 1.2 (continued)

Year Event Reference

1937 First upper air application in schools Wells (1938)

1938 First fluorescent gas discharge UV lamp Whitby and Scheible (2004)
1940 UV first applied to air conditioning systems Rentschler and Nagy (1940)
1942 First UV air disinfection sizing guidelines Luckiesh and Holladay
(1942)
1942 Upper and lower UV applied to Army/Navy Wells et al. (1942)
barracks
1950 First catalog sizing methods Buttolph and Haynes (1950)
1954 First air conditioner application Harstad et al. (1954)
1954 Faulty British study concludes UV is MRC (1954)
ineffective
1957 Riley proves effectiveness of UV for TB Riley et al. (1957)
control
1974 First microbial growth control systems Grun and Pitz (1974)
1985 Cooling coil UV systems in use in European Philips (1985)
breweries
1994 CDC acknowledges UV effectiveness for TB CDC (2005)
control
1996 First cooling coil irradiation system in US Scheir (2000)
1997 First UV light emitting diodes (LEDs) at Guha and Bojarczuk (1998)
265 nm
1999 WHO recommends UVGI for TB control WHO (1999)
2000 US army recommends UVGI for disease USACE (2000)
isolation
2003 CDC formally sanctions UVGI use in hospitals CDC (2003)
2003 FEMA sanctions UVGI as a biodefense option FEMA (2003)
for buildings
2003 First in-duct UVGI system demonstrated to Menzies et al. (2003)
reduce illness symptoms and airborne
contamination
2003 ASHRAE forms UV air and surface treatment Martin et al. (2008)
committee
2005 Federal government specifies UV for cooling GSA (2003)
coil disinfection
2007 Overhead UV system proven to reduce SSIs in Ritter et al. (2007)
ORs

system was operated at Marseilles, France. The first evidence that UV light pro-
duced photochemical effects on microorganisms was presented by Henri (1914).
In 1916 the first US system for water disinfection was tested at Henderson, KY
(AWWA 1971). In 1921, Renz demonstrated that UV could cause photoreac-
tions with titanium oxide (TiO2). Hausser and Vahle (1927) produced the first
detailed action spectrum for erythema. Bedford (1927) and Gates (1929) were
among the first to establish UV dosages necessary for bacterial disinfection. Fungal
disinfection dosages were first published by Fulton and Coblentz (1929). The
first studies on UV irradiation of viruses appear to have been those published by
1.2 Brief History of Ultraviolet Disinfection 5

Rivers and Gates (1928) and Sturm et al. (1932). Coblentz et al. (1932) refined the
erythemal action spectrum.
The 1930s saw the first applications of UV systems in hospitals to control infec-
tions (Wells and Wells 1936, Hart and Sanger 1939, Robertson et al. 1939, Kraissl
et al. 1940, Overholt and Betts 1940). The first Upper Room UV systems appear to
be those installed by Wells (1938). In the 1940s the first detailed design and analy-
sis of UV air disinfection were published along with basic guidelines for applying
UV in ventilation systems (Rentschler and Nagy 1940, Sharp 1940, Wells 1940,
Buchbinder and Phelps 1941, DelMundo and McKhann 1941, Luckiesh and Holla-
day 1942, Sommer and Stokes 1942, Henle et al. 1942, Hollaender 1943). The first
attempts to use UV systems to control respiratory infections in schools and barracks
occurred shortly thereafter (Wells et al. 1942, Wells 1943, Schneiter et al. 1944,
Wheeler et al. 1945, Perkins et al. 1947, Higgons and Hyde 1947). Several early
attempts were made to develop rigorous sizing methods and engineering guidelines
for UV applications (Luckiesh and Holladay 1942a, Luckiesh 1945, 1946).
By the 1950 s it had been well-established that UV irradiation was effective at
disinfecting both air and surfaces, and new engineering applications were being
developed. General Electric catalogs detailed a wide variety of UV applications
including various methods of installing UV lamps inside ducts and air condition-
ers (Buttolph and Haynes 1950, GE 1950). Harstad et al. (1954) demonstrated
that installation of UV lamps in air conditioners would reduce airborne contam-
ination, and that microorganisms were impinging upon and collecting on inter-
nal AHU surfaces. Bacterial growth on cooling coils had been recognized as a
potential health problem as early as 1958 (Walter 1969). The first evidence that
air cooling equipment could actually cause respiratory infections was presented
by Anderson (1959) when an air cooling apparatus was found to be contaminated
with microbial growth. This very same concern had been raised in hospital environ-
ments since about 1944 but the possibility of growth of bacteria on air-conditioning
cooling coils wasn’t conclusively demonstrated until 1964 (Cole et al. 1964). The
growth of microbes on other equipment like filters and dust inside air-conditioning
ducts was first demonstrated by Whyte (1968). The dissemination of microbes
by ventilation systems and their potential to cause respiratory infections became
widely recognized in the late 1960 s in both the medical and engineering profes-
sions (Banaszak et al. 1970, Schicht 1972, Zeterberg 1973). It was understood at
this time that microbial growth could occur anywhere that air came into contact
with moisture (Gunderman 1980, Ager and Tickner 1983, Spendlove and Fannin
1983). The first UVGI system designed specifically for disinfecting the surfaces
of air handling equipment, including humidifier water and filters, was detailed by
Grun and Pitz (1974). Luciano (1977) detailed many applications of UVGI, includ-
ing hospital applications in which the UV lamps are specifically placed upstream
of the cooling coils and downstream of the filters. In 1985 Phillips published a
design guide in which the first definitive description of applications of UV lamps
for the control of microbial growth were presented (Philips 1985). The Philips
design guide mentions European installations that were already in operation prior to
1985. In January of 1996 the first UVGI system in the US designed for controlling
6 1 Introduction

microbial growth on cooling coils was installed by Public Service of Omaha (PSO)
in Tulsa (Scheir 2000). In the same year, the Central and Southwest Corporation
followed the PSO example and began realizing considerable energy savings (ELP
2000).
Although UVGI systems had been in use in hospitals since 1936 but it wasn’t
until 2003, some sixty years later, that the CDC formally acknowledged that UV
systems were effective and could be used in hospitals with one caveat – UV Upper
Room and in-duct systems could only be used to supplement other air cleaning sys-
tems (CDC 2003). In 1957, Riley and associates successfully completed a demon-
stration of how UV air disinfection could control the spread of tuberculosis (TB) in
hospital wards (Riley et al. 1957). It wasn’t until 1994, over forty years later, that
the Centers for Disease Control (CDC) acknowledged that UV could be effective
for controlling TB, in response to the growing worldwide TB epidemic which had
resisted control by traditional methods (CDC 2005). In 2003, The influential Amer-
ican Society of Heating Refrigerating and Air Conditioning Engineers (ASHRAE)
formed a task group to focus on UV air and surface treatment (TG2.UVAS) which
became the standing Technical Committee TC 2.9 in 2007 (Martin et al. 2008).

1.3 Units and Terminology

A variety of units have been used in UV disinfection for the irradiance and the UV
dose. The irradiance, sometimes called intensity, has the preferred units of W/m2 in
air and surface disinfection. The UV dose (aka fluence rate) has the preferred units
of J/m2 in air and surface disinfection. Conversion factors for the various units that
have been used in the literature are provided in Table 1.3. The use of Table 1.3 is
straightforward as shown in the following examples. Note that a joule (J) is equiva-
lent to a watt-second (W-s), and that a W/m2 is equal to a μW/mm2 .
Example 1: Convert the irradiance 144 mW/cm2 (milliwatts per square centimeter)
to units of W/m2 (watts per square meter)
Answer: Read downwards from the first column, mw/cm2 to the gray box and then
over to the second column, W/m2 , where the conversion factor is seen to be 10.
Multiply 144 × 10 = 1440 W/m2 .
Example 2: Convert the UV dose 33 μJ/cm2 (microJoules per square centimeter)
to units of J/m2 (Joules per square meter).
Answer: Read up from the fourth column, μJ/cm2 , to the gray box, and then over
to the second column, J/m2 , where the conversion factor is seen to be 0.01. Multiply
33 × 0.01 = 0.33 J/m2 .
The term ‘UVC’ is often used today to encompass all applications of germici-
dal UV but the correct definition of this term is, of course, the band of UV wave-
lengths between 200 and 280 nm, and this strict definition is the one used throughout
this book. For example, a UV lamp could refer to any lamp that produces any UV
wavelengths, including black light and suntan lamps (although in this book only
1.3 Units and Terminology 7

Table 1.3 Units of Irradiance and UV Dose

Conversion factors for irradiance
( Read down from units to gray block and then horizontally for unit equivalence. )
W/m 2
mW/cm 2
µ W/mm 2 erg/mm 2–s µ W/cm 2 erg/cm 2–s W/ft 2
J/m 2–s
1 10 100 1000 10000 1.07639
0.1 1 10 100 1000 0.107639
0.01 0.1 1 10 100 0.010764
0.001 0.01 0.1 1 10 0.001076
0.0001 0.001 0.01 0.1 1 0.000108
0.929 9.29 92.90 929.0 9290 1
µ W–s/mm2
mJ/cm 2 µ J/cm2 2
W–s/m2 erg/mm 2 erg/cm 2 W–s/ft
2 2
mW–s/cm2
J/m µW–s/cm
Conversion factors for UV Dose (Exposure time = 1 second)
( Read up from units to gray block and then horizontally for unit equivalence. )

germicidal UV lamps are addressed). The term ‘UVGI lamp’ specifically refers to
lamps that produce UV wavelengths in the actinic ‘broad-band’ range between 200
and 320 nm (excluding black lights and sunlamps). The term ‘UVC lamp’ specif-
ically refers to lamps that produce UVC wavelengths in the ‘narrow-band’ range
200–280 nm. In current and common usage, the term ‘UVC’ often implies that the
UVC band is the only contributor to the germicidal effect, but this implication is
often incorrect and such usage is avoided in this text – wherever the term ‘UVC’ is
used herein it refers specifically to the UVC band of radiation. Other terms such as
UVR (ultraviolet radiation) and GUV (germicidal ultraviolet) have also been used
in a germicidal context in the past.
The term ‘germicidal’ implies that these UV systems destroy, kill, or inacti-
vate microorganisms such as viruses, bacteria, and fungi. Technically, viruses are
molecules, and so it customary to refer to viruses as being inactivated rather than
killed. In all cases, germicidal action means disinfection, and disinfection implies a
reduction in the microbial population, whether in air, water, or on surfaces. Micro-
bial populations are measured in terms of cfu, or colony-forming units (i.e. grown
on petri dishes). In the case of viruses, the appropriate measure of viral populations
is pfu, or plaque-forming units. However, wherever the term ‘cfu’ is used in this
book, it will be considered to apply to both viruses and bacteria (as a matter of con-
venience), with the reader’s understanding that the correct terminology for viruses
is pfu, whether it is used or not. The density of microbes in air is always given in
units of cfu/m3 (although some older texts use cfu/ft3 ). The density of microbes on
surfaces is given in cfu/cm2 (in older texts it is cfu/in2 ). The disinfection of air will
therefore be measured in terms of a reduction in the airborne density in cfu/m3, and
the disinfection of surfaces is measured in terms of the reduction of cfu/cm2 .
Sterilization is a related term that implies the complete elimination of a microbial
population. It is difficult, however, to actually demonstrate the complete elimination
of a microbial population since any microbiological test will have some limit of
8 1 Introduction

accuracy. As a practical convenience in air disinfection applications, and for ana-

lytical purposes, ‘mathematical sterilization’ can be assumed to represent a disin-
fection rate of six logs or better, when there are no survivors. This definition may
not apply to water UV disinfection, but in air disinfection applications it would be
most unusual to have airborne densities on the order of a million cfu/m3, and typical
airborne densities are in the range of a few thousand cfu/m3 . Obviously, with den-
sities of a few thousand cfu/m3, a three or four log reduction (1000–10,000 cfu/m3 )
would result in sterilization, and a six log reduction is an adequate definition of
sterilization for air disinfection applications. Surface disinfection is another matter
altogether and the densities of surface contamination are neither well understood
nor well defined, and so the ‘mathematical definition’ of sterilization for surface
disinfection is left undefined in this text.

1.4 Air vs. Water Disinfection

The design of UV systems for water disinfection differs from that of air and surface
disinfection applications and therefore the cumulative knowledge accrued in the
water industry is of limited direct use for air and surface disinfection applications.
UV rays are attenuated in water and this process has no parallel in air disinfection,
even with saturated air. The attenuation of UV irradiance in water occurs within
about 15 cm and this necessitates both higher UV power levels and closely packed
arrays of UV lamps. The estimates of UV doses required for water disinfection are
on the order of ten times higher than those needed in air disinfection applications,
and this difference distorts any attempt to use water UV system sizing methods to
design air disinfection systems. Furthermore, the array of particular microorganisms
of concern in the water industry differs considerably from those found in air and
therefore water-based UV rate constants are of use only where the microbial agent
is both airborne and waterborne (i.e. Legionella), or is also surface-borne, and for
theoretical analysis. Some overlap in waterside and airside UV applications also
exists in the area of foodborne pathogens, where certain foodborne pathogens may
become airborne, and where they may exist as surface contamination amenable to
UV disinfection.
Although the UV exposure dose in air is a simple function of airflow and expo-
sure time, and the UV irradiance field in air is not too difficult to define, the sus-
ceptibility of airborne microbes is a complex function of relative humidity and
species-dependent response. It has often been thought that the UV susceptibil-
ity of microbes in air at 100% relative humidity (RH) should correspond to their
susceptibility in water, but this proves to be overly simplistic and it can only be
said that UV susceptibility at high RH approaches that in water. As a result of these
various differences between water-based UV disinfection and UVGI air and sur-
face disinfection, research into the former provides limited benefits to research into
air-based disinfection, and the subject of water disinfection is not addressed in this
book except insofar as it has some specific impact on air and surface disinfec-
tion and in the matter of their common theoretical aspects. The UV rate constant
1.5 Surface Disinfection 9

database in the Appendices, addresses all known UV studies on microbial disinfec-

tion, including those for waterborne and foodborne pathogens and allergens. There
are a wide variety of detailed texts on the subject of water disinfection with UV
(many times more than for airside UV disinfection) and readers who wish to famil-
iarize themselves with waterside UV technology and methods should consult these
texts directly (see for example, Bolton and Cotton 2008). However, the information
provided herein on UVGI theory and UV inactivation rate constants may be of no
little interest to those involved in water disinfection.

1.5 Surface Disinfection

Surface disinfection refers to either the disinfection of building and ventilation

system internal surfaces, or the disinfection of equipment and material surfaces,
such as dental and medical equipment. Like water systems, surface UV disinfection
systems have a long history of success. The design and operation of surface UV
systems, however, have much more in common with air disinfection than do water
systems. Contaminated surfaces are often a source of airborne microbes, and air-
borne microbes often produce surface contamination. The interaction of air and
surface contamination processes makes the issue of air vs. surface disinfection
almost inseparable for some applications, such as in the health care industry and
the food industry. The disinfection of cooling coil surfaces, for example, removes
mold spores from the coils and prevents subsequent aerosolization, thereby helping
keep the air clean. UV systems for coil disinfection applications also disinfect the air
directly and so such systems often perform simultaneous air and surface disinfection
functions.
One of the main differences between air and surface disinfection with UV is that
the relevant UV rate constants differ under these two types of exposure – airborne
rate constants tend to be higher in air, under normal humidity. That is, microbes
are more vulnerable in air, whereas microbes on surfaces appear to have a certain
degree of inherent protection. Although the matter remains to be resolved by future
research, the available database for UV rate constants for microbes on surfaces is
useful as a conservative estimate of airborne rate constants, as are water-based rate
constants, whenever airborne rate constant studies do not exist.
Since airborne microbes are often surface-borne, and vice-versa, and for the var-
ious reasons mentioned above, the overlap between these topics, air and surface UV
disinfection, is extensive. In fact, the subject of surface disinfection has consider-
ably more in common with air disinfection than water disinfection and often the
two technologies are inter-related. It is appropriate, therefore to treat air and surface
UV disinfection together, as in this text, and it should be understood that most air
disinfection systems will simultaneously perform some surface disinfection func-
tion, intentionally or otherwise. Similarly, many UV surface disinfection systems
(i.e. Lower Room systems, Overhead Surgical systems) will also perform some air
disinfection functions, by design or otherwise.
10 1 Introduction

1.6 Air Disinfection

Airborne pathogens and allergens present a much greater threat to human health
than water-based microbes, in terms of total incidence and net costs of health care,
but there are far fewer air disinfection systems in place than water disinfection sys-
tems, and much less information is available for airborne UV disinfection than for
water applications. The success of UVGI for air disinfection application has also
been subject to much interpretation and even outright dismissal, in spite of repeated
demonstrations of its effectiveness. After decades of research, the field of airborne
UV disinfection remains fraught with unknowns and misconceptions, and applica-
tions are far less numerous than they perhaps should be. The subsequent chapters
attempt to consolidate the entire knowledge base relevant to UVGI and to demon-
strate how the careful application of proper design principles and new approaches
can produce results as predictable and reliable as those of water disinfection sys-
tems. New computational methods, combined with a wealth of recent design and
installation experience and ongoing research, now allows systems to be installed
with fairly high levels of confidence in terms of their performance.
Methods for demonstrating in-place performance, along with various guidelines
and standards for such installations, have brought the field of UVGI from an uncer-
tain art to a nearly complete science. The key missing component at this time is
conclusive evidence that UVGI air disinfection reduces the incidence of airborne
disease, a matter that will require years of data collection, once there are sufficient
and adequate installations available for monitoring. Some current studies are explor-
ing this avenue of research and preliminary results suggest that UVGI is, as theory
and analysis predicts, effective in reducing both the symptoms and incidence of
various airborne diseases. As applications increase, this database should eventu-
ally provide reliable evidence that may lead to full economic justification of UVGI
installations in health care facilities, schools, and other types of buildings. The
widespread use of UV for air disinfection in buildings is likely an eventuality that
will pay economic and health dividends to future generations.

1.7 Air Disinfection Field Studies

The use of UV to disinfect air goes back some eighty years, and yet applications
are still far from being common in modern buildings. Although nine out of ten
UVGI field studies had positive results, the few that did not meet grand expectations
were cited most often as proof of failure. In 1936 Hart used an array of UV lamps
to sterilize supply air in a surgical operating room (Hart 1937). In 1937 the first
installation of UV lamps in a school ventilation system dramatically reduced the
incidence of measles, and subsequent applications enjoyed similar successes (Riley
1972). In the late 1940s, Wells and his associates installed UV systems across entire
communities and demonstrated reductions in community disease transmission rates
(Wells and Holla 1950). In the late 1950 s experiments using guinea pigs demon-
strated the elimination of tuberculosis (TB) bacilli from hospital ward exhaust air
1.8 Pathogens and Allergens 11

(Riley and O’Grady 1961). A plethora of designs that were more imitative then
engineered followed these early applications. The result was a mixture of suc-
cesses and failures. In one poorly planned study by the MRC, investigators failed
to achieve statistically significant reductions of disease and concluded erroneously
that UV failed to reduce disease incidence (MRC 1954). The MRC study put a
severe damper on further development of UV technology in the 1950 s and 1960 s,
and as a result of this study being widely quoted (and in spite of it being widely
criticized by experts), brought a near halt to further implementations and slowed
research (Riley 1980, 1980a). This setback of the UV industry cannot be measured
in terms of lost development, lost field data, lost health care costs, or lost lives, but
there are those who today continue to insist that UVGI is an unproven ‘snake oil’
technology. We must convince them otherwise.
As a result of an apparently imperfect record of success, UVGI was widely
ignored in various guidelines and standards, particularly in health care settings,
where it should have been directly addressed. Without the sanction of the highest
health authorities, UVGI languished and was largely ignored in health care settings
where it would have done the most good. This checkered history is reflected in var-
ious guidelines that decline to mention the use of UVGI. Only a select few of the
most well-informed hospitals and researchers took the time to investigate and adopt
UV technologies, often with great success (Goldner and Allen 1973, Goldner et al.
1980, Nardell 1988). Recently, new research has reaffirmed what the original stud-
ies had always said, that UV technology can have a major impact on the reduction
of various types of nosocomial and community-acquired infections (Menzies et al.
2003, Ritter et al. 2007, Escombe et al. 2009).

1.8 Pathogens and Allergens

Pathogens are any microbes that cause infections in humans and animals, and these
include viruses, bacteria, and fungi. Some larger microbes, like protozoa, may also
cause infections but these parasites are generally too large to be airborne. There-
fore, this book primarily addresses only viruses, bacteria, and fungi, including bac-
terial spores and fungal spores, as air and surface contaminants. Insects, like dust
mites, are not eradicable by UV and are not addressed in this text. All of the viruses
listed in Appendix B are pathogens or bacteriophages, as are most of the bacteria in
Appendix A and some of the fungi in Appendix C.
Allergens are microbes, biological products, and compounds that induce aller-
gic reactions in atopic, or susceptible, individuals. Compounds and biological
products (i.e. VOCs and pet dander) are generally not very susceptible to UV
destruction (although they are easily removed by filters) and so they are not
specifically addressed in this book. The allergens addressed in this book are strictly
fungi and bacteria – there are no viral allergens. Some pathogens may also be aller-
gens. Almost all of the fungi listed in Appendix C are allergens, and many of these
are also pathogens. Almost all of the bacteria listed in Appendix A are pathogens,
and some of these are also allergens.
12 1 Introduction

Some bacteria, and virtually all fungi, can form spores. In the normal or growth
state (called ‘vegetative’) bacteria exist as cells, and fungi exist as cells or yeast.
Spore-forming (sporulating) bacteria and fungi will form spores under the right con-
ditions (usually adverse conditions). Spores are dormant forms, usually more com-
pact than the cell forms, round or ovoid shaped, and can resist heat, dehydration,
and cold much better than the cell (or vegetative) form. They also tend to be resis-
tant to UV exposure. Since they are typically smaller than the original cells, spores
tend to become airborne easily and can be transported outdoors. Spores require only
warmth, moisture, and shade to germinate, or return to a vegetative state, and require
only nutrients to grow and multiply.
Some bacteria and fungi produce toxins, including endotoxins and exotoxins.
UV has a limited effect on toxins but prolonged exposure can reduce toxin concen-
trations (Anderson et al. 2003, Asthana and Tuveson 1992, Shantha and Sreenivasa
1977). High levels of growth are required, usually under adverse conditions, for
microbes to produce toxins, and since UV destroys toxin-producing bacteria and
fungi, it is unlikely that sufficient levels of toxins will remain after UV disinfection
to pose toxic hazards.

1.9 Current Research

In spite of the extensive research results available on UVGI air and surface dis-
infection, much work remains to be done. Recent studies have demonstrated the
effectiveness of UVGI and have hinted at the possible reduction of airborne disease
in commercial office buildings. The ability of UVGI to save costs in cooling coil
maintenance has been fairly well established. There is also a need for more research
to determine UV rate constants for a wider array of pathogens. Towards this end has
been provided a guideline for laboratory testing (included in this book) that should
facilitate the production of reproducible test results, something that has not always
been the case in the past.
In addition to providing the most up-to-date information from current literature
of UVGI, this text also provides the fruits of the author’s research into UV sus-
ceptibility, including a model for relative humidity effects in air, and a genomic
model for predicting the UV susceptibility for viruses (addressed in Chaps. 2 and
4). Also presented here for the first time is the author’s research on pulsed UV light
modeling.
Perhaps the most important applications of UVGI today is in the health care
industry, which is in dire need of solutions to the problem of hospital-acquired
(nosocomial) infections. Such infections have now spread outwards to become
community-acquired infections and it is likely this pattern will keep repeating
with new and emerging pathogens and drug-resistant strains until a more effective
solution is implemented on a wide scale. UVGI can play a major role in limiting
the spread of nosocomial infections but what is needed most is not new technology
(adequate technology exists in the present) but encouragement and support in terms
of guidelines and recommendations on UV technology from those authorities who
have until recently been somewhat reticent and noncommittal on the matter.
References 13

1.10 UVGI and the Future of Disease Control

UVGI has a definite future in the control of contagious diseases and if applied on
a widespread basis, it may be the key to controlling epidemics and pandemics. No
other current technology has the capability, the adaptability, and the favorable eco-
nomics to make it viable for an extremely wide variety of disease control appli-
cations. It is already used extensively and effectively in water applications and in
surface disinfection applications. In combination with air filtration, it is the most
effective and economic technology for disinfecting air. From health care applica-
tions to schools and residential environments, UVGI holds the promise of one day
contributing in a major fashion to the eradication of many contagious diseases.
The advent of multidrug-resistant microbes like MRSA and XTB, and emerging
pathogens like SARS and Avian Influenza is likely to stimulate the increased use of
UVGI systems in an ever wider number of applications. The contribution UV tech-
nology can make to the control of epidemics is amenable to analysis by the statisti-
cal models of epidemiology, which have demonstrated the potential for widespread
use of UVGI systems to theoretically halt contagious airborne disease epidemics
(Kowalski 2006). Perhaps continued research and development will ultimately lead
to UVGI becoming a standard component of ventilation systems in all indoor envi-
ronments and this age of airborne epidemics will come to an end.

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Anderson WB, Huck PM, Dixon DG, Mayfield CI. 2003. Endotoxin inactivation in water by using
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Asthana A, Tuveson RW. 1992. Effects of UV and phototoxins on selected fungal pathogens of
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 Chapter 2

UVGI Disinfection
Theory

2.1 Introduction

Ultraviolet Germicidal Irradiation (UVGI) is electromagnetic radiation that can

destroy the ability of microorganisms to reproduce by causing photochemical
changes in nucleic acids. Wavelengths in the UVC range are especially damaging
to cells because they are absorbed by nucleic acids. The germicidal effectiveness of
UVC peaks at about 260–265 nm. This peak corresponds to the peak of UV absorp-
tion by bacterial DNA. The germicidal effectiveness of UVC radiation can vary
between species and the broader range wavelengths that include UVB also make a
small contribution to inactivation (Webb and Tuveson 1982). Although the meth-
ods and details of disinfection with ultraviolet light are fairly well understood, to
the point that effective disinfection systems can be designed and installed with pre-
dictable effects, the exact nature of the effect of ultraviolet light on microorganisms
at the molecular level is still a matter of intensive research. This chapter examines
the fundamentals of the complex interaction between UV irradiation and cell DNA
at the molecular level and provides detailed background information to aid in the
understanding of the various biophysical processes that are involved in microbial
inactivation.

2.2 UV Inactivation
The spectrum of ultraviolet light extends from wavelengths of about 100–400 nm.
The subdivisions of most interest include UVC (200–280 nm), and UVB
(280–320 nm). Although all UV wavelengths cause some photochemical effects,
wavelengths in the UVC range are particularly damaging to cells because they are
absorbed by proteins, RNA, and DNA (Bolton and Cotton 2008, Rauth 1965). The
germicidal effectiveness of UVC is illustrated in Fig. 2.1, where it can be observed
that germicidal efficiency reaches a peak at about 260–265 nm. This corresponds to
the peak of UV absorption by bacterial DNA (Harm 1980). The germicidal effec-
tiveness of UVC and UVB wavelengths can vary between species. Low pressure

W. Kowalski, Ultraviolet Germicidal Irradiation Handbook, 17

DOI 10.1007/978-3-642-01999-9_2,  C Springer-Verlag Berlin Heidelberg 2009