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ASSESSMENT OF
ADVANCED SOLID-STATE LIGHTING
Committee on Assessment of Solid-State Lighting
Board on Energy and Environmental Systems
Division on Engineering and Physical Sciences
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THE NATIONAL ACADEMIES PRESS • 500 Fifth Street, NW • Washington, DC 20001
NOTICE: The project that is the subject of this report was approved by the Governing Board of the
National Research Council, whose members are drawn from the councils of the National Academy
of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of
the committee responsible for the report were chosen for their special competences and with regard
for appropriate balance.
This study was supported by contract number DE-EE0001405 between the National Academy of
Sciences and the U.S. Department of Energy. Any opinions, findings, conclusions, or recommenda-
tions expressed in this publication are those of the author(s) and do not necessarily reflect the views
of the organizations or agencies that provided support for the project.
Cover: The Thomas Jefferson Memorial following a lighting system redesign in 2001 to include
installation of metal halide lamps, induction lamps, and light-emitting diodes. The cove lighting
application for the memorial utilizes io Lighting LLC’s Line .75 fixture, 3KHO, 45 degree beam
spread in 18-inch daisy chained segments. Photograph copyright Peter Aaron/OTTO. Reprinted with
permission.
International Standard Book Number 13: 978-0-309-27011-3
International Standard Book Number 10: 0-309-27011-1
Copies of this report are available from the National Academies Press, 500 Fifth Street, NW,
Keck 360, Washington, DC 20001; (800) 624-6242 or (202) 334-3313; http://www.nap.edu.
Copyright 2013 by the National Academy of Sciences. All rights reserved.
Printed in the United States of America
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The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished
scholars engaged in scientific and engineering research, dedicated to the furtherance of science and
technology and to their use for the general welfare. Upon the authority of the charter granted to it by
the Congress in 1863, the Academy has a mandate that requires it to advise the federal government
on scientific and technical matters. Dr. Ralph J. Cicerone is president of the National Academy of
Sciences.
The National Academy of Engineering was established in 1964, under the charter of the National
Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its
administration and in the selection of its members, sharing with the National Academy of Sciences
the responsibility for advising the federal government. The National Academy of Engineering also
sponsors engineering programs aimed at meeting national needs, encourages education and research,
and recognizes the superior achievements of engineers. Dr. Charles M. Vest is president of the
National Academy of Engineering.
The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure
the services of eminent members of appropriate professions in the examination of policy matters
pertaining to the health of the public. The Institute acts under the responsibility given to the National
Academy of Sciences by its congressional charter to be an adviser to the federal government and,
upon its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V.
Fineberg is president of the Institute of Medicine.
The National Research Council was organized by the National Academy of Sciences in 1916 to
associate the broad community of science and technology with the Academy’s purposes of furthering
knowledge and advising the federal government. Functioning in accordance with general policies
determined by the Academy, the Council has become the principal operating agency of both the
National Academy of Sciences and the National Academy of Engineering in providing services to the
government, the public, and the scientific and engineering communities. The Council is administered
jointly by both Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. Charles M.
Vest are chair and vice chair, respectively, of the National Research Council.
www.national-academies.org
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Members and staff at the February 2012 meeting of the Committee on Assessment of Solid-State Lighting. From left to right, back row:
David Cooke, Steven P. DenBaars, Michael G. Spencer, Stephen Forrest, Michael Ettenberg, Nadarajah Narendran, and Maxine Savitz; front
row: Inês Azevedo, James Zucchetto, Evelyn L. Hu, Nancy E. Clanton, Gary Marchant, John G. Kassakian, Pekka Hakkarainen, Paul A.
DeCotis, Wendy Davis, and Martin Offutt. Photo courtesy of LaNita Jones.
iv
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COMMITTEE ON ASSESSMENT OF SOLID-STATE LIGHTING
JOHN G. KASSAKIAN, NAE,1 Chair, Massachusetts Institute of Technology
INÊS AZEVEDO, Carnegie Mellon University
NANCY E. CLANTON, Clanton & Associates
WENDY DAVIS, University of Sydney
PAUL A. DeCOTIS, Long Island Power Authority
STEVEN P. DenBAARS, NAE, University of California, Santa Barbara
MICHAEL ETTENBERG, NAE, Dolce Technologies
STEPHEN FORREST, NAE, University of Michigan
PEKKA HAKKARAINEN, Lutron Electronics
EVELYN L. HU, NAS2/NAE, Harvard University
GARY MARCHANT, Arizona State University
NADARAJAH NARENDRAN, Rensselaer Polytechnic Institute
MAXINE SAVITZ, NAE, Honeywell, Inc. (retired)
MICHAEL G. SPENCER, Cornell University
Staff
JONNA HAMILTON, Study Director (through December 2011)
MARTIN OFFUTT, Study Director (from December 2011)
JAMES ZUCCHETTO, Director, Board on Energy and Environmental Systems
DAVID COOKE, Research Associate, Board on Energy and Environmental Systems
LaNITA JONES, Administrative Coordinator, Board on Energy and Environmental ystems
S
ALICE WILLIAMS, Senior Project Assistant, Board on Energy and Environmental ystems
S
E. JONATHAN YANGER, Senior Program Assistant, Board on Energy and Environmental
Systems
1 NAE, National Academy of Engineering.
2 NAS, National Academy of Sciences.
v
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BOARD ON ENERGY AND ENVIRONMENTAL SYSTEMS
ANDREW BROWN, JR., NAE,1 Chair, Delphi Corporation, Troy, Michigan
WILLIAM F. BANHOLZER, NAE, The Dow Chemical Company, Midland, Michigan
MARILYN BROWN, Georgia Institute of Technology, Atlanta
WILLIAM CAVANAUGH III, Progress Energy, Raleigh, North Carolina
PAUL A. DeCOTIS, Long Island Power Authority, Albany, New York
CHRISTINE EHLIG-ECONOMIDES, NAE, Texas A&M University, College Station,
Texas
SHERRI GOODMAN, CNA, Alexandria, Virginia
NARAIN HINGORANI, NAE, Consultant, Los Altos Hills, California
ROBERT J. HUGGETT, Consultant, Seaford, Virginia
DEBBIE NIEMEIER, University of California, Davis
DANIEL NOCERA, NAS,2 Massachusetts Institute of Technology, Cambridge
MICHAEL OPPENHEIMER, Princeton University, Princeton, New Jersey
DAN REICHER, Stanford University, Palo Alto, California
BERNARD ROBERTSON, NAE, Daimler-Chrysler Corporation (retired),
Bloomfield Hills, Michigan
GARY ROGERS, FEV, Inc., Auburn Hills, Michigan
ALISON SILVERSTEIN, Consultant, Pflugerville, Texas
MARK H. THIEMENS, NAS, University of California, San Diego
RICHARD WHITE, Oppenheimer & Company, New York, New York
Staff
JAMES J. ZUCCHETTO, Director
DANA CAINES, Financial Associate
DAVID COOKE, Research Associate
ALAN CRANE, Senior Program Officer
JOHN HOLMES, Senior Program Officer
LaNITA JONES, Program Associate
ALICE WILLIAMS, Senior Project Assistant
E. JONATHAN YANGER, Senior Project Assistant
1 NAE, National Academy of Engineering.
2 NAS, National Academy of Sciences.
vi
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Preface
Solid-state lighting (SSL) is a new technology that has evolved from a few key inven-
tions involving light-emitting diodes (LEDs) in the 1960s and spurred more recently by
fundamental breakthroughs in LEDs made in the 1990s. As such, SSL lighting is not a
refinement of an incumbent lighting technology but has evolved in parallel with, if more
rapidly than, the incandescent and fluorescent lamps familiar to consumers. As discussed
in this report, SSL lighting not only can offer improvements in efficacy (i.e., the ability
to deliver the same amount of light using less electricity) and improved durability and the
convenience of less frequent maintenance (e.g., in roadway lighting or in aviation), but also
opens up the possibility of new applications owing to the technology’s high performance
in cold environments, long life, and new form factors.
Whether SSL products are to achieve widespread deployment will depend on factors
such as cost and consumer acceptance. Cost will depend on the needs of the basic SSL
technology, including the material set of the LED device and the raw materials this implies,
and the ease of manufacturing, including the effect of scale economies and learning that
can be achieved during ramp-up of production—to name only a few such considerations.
Technological breakthroughs—such as innovations in the design of the LED emitter devices
or improved materials or manufacturing techniques—will also have a bearing on cost. The
report summarizes the current state of technological readiness of the candidate technolo-
gies, including organic LEDs (OLEDs), for use in SSL products and evaluates the barriers
to their improved cost and performance.
Acceptance by the consumer is more difficult to quantify. As discussed in the report,
this will depend on factors related to the technology and also the workings of the market-
place. The former include the quality of light emitted by these devices and the subjective
attributes of how this is perceived by the human eye. Also of importance will be the ease of
use and the useful lifetime of these devices. The latter set of factors includes the problem
of high initial cost, which can be mitigated by economic incentives such as tax credits,
utility-sponsored rebates, or breakthroughs in manufacturing technology.
Were widespread deployment of SSL products to be achieved, one benefit would be
reduced energy consumption. The Energy Independence and Security Act of 2007 (EISA
2007) mandates higher efficacy in general lighting according to a set of targets and time-
tables, of which the first has already begun. This report evaluates the likely impacts on
energy use of this phase-out and, in addition, considers the benefits that might accrue in
scenarios considering market penetration of the SSL products greater than the targets.
vii
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viii PREFACE
This report on advanced solid-state lighting was undertaken at the request of Congress
in the EISA 2007. Funding has been provided by the U.S. Department of Energy’s Office
of Energy Efficiency and Renewable Energy via the lighting program directed by James
Brodrick, PhD.
John G. Kassakian, Chair
Committee on Assessment of Solid-State Lighting
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Acknowledgments
This report was made possible through the hard work and dedication of the 13 indi
viduals who served on the Committee on Assessment of Solid-State Lighting, whose
biographies are presented in Appendix A.
The data and conclusions presented in the report have benefited from a substantial
amount of information provided by federal officials, academic researchers, and industry
analysts and technologists who met with the committee during the open sessions of the
meetings in Washington, D.C., and Woods Hole, Massachusetts. These individuals are
listed in Appendix B.
Special recognition is due the sponsor point-of-contact, James Brodrick, lighting pro-
gram manager with the U.S. Department of Energy, who on two occasions gave substantive
and informative presentations to the committee and made himself available for follow-up
discussions—all of which proved invaluable to the committee’s understanding of the nature
of the problem and the questions being asked.
This report has been reviewed in draft form by individuals chosen for their diverse
perspectives and technical expertise, in accordance with procedures approved by the
National Research Council’s (NRC’s) Report Review Committee. The purpose of this
independent review is to provide candid and critical comments that will assist the insti-
tution in making its published report as sound as possible and to ensure that the report
meets institutional standards for objectivity, evidence, and responsiveness to the study
charge. The review comments and draft manuscript remain confidential to protect the
integrity of the deliberative process. We wish to thank the following individuals for their
review of this report:
William F. Banholzer, NAE,1 Dow Chemical,
Randy Burkett, Randy Burkett Lighting Design, Inc.,
Makarand Chipalkatti, Osram Sylvania,
Linda Cohen, University of California, Irvine,
P. Daniel Dapkus, NAE, University of Southern California,
Curtis Fincher, DuPont Displays,
Noah Horowitz, Natural Resources Defense Council,
Julia Phillips, NAE, Sandia National Laboratories, and
Sue Tierney, Analysis Group.
Although the reviewers listed above have provided many constructive comments and
suggestions, they were not asked to endorse the conclusions or recommendations nor did
they see the final draft of the report before its release. The review of this report was overseen
1National Academy of Engineering.
ix
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x ACKNOWLEDGMENTS
by Elsa M. Garmire, Dartmouth College. Appointed by the NRC, she was responsible for
making certain that an independent examination of this report was carried out in accordance
with institutional procedures and that all review comments were carefully considered.
Responsibility for the final content of this report rests entirely with the authoring commit-
tee and the institution.
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Contents
SUMMARY 1
1 INTRODUCTION 6
Context, 6
Study Origin, 7
Introduction to Lighting, 8
Lighting Equipment, 9
Metrics for Measuring Light Output, 9
Visible Spectrum and Quality of Light, 10
Current Lighting Consumption in the United States, 14
Content of the Report, 14
Annex, 15
References, 16
2 HISTORY OF PUBLIC POLICY ON LIGHTING 18
Introduction, 18
History of Federal Government Lighting Policy, 18
Federal Legislation, 19
DOE Lighting Program, 20
Current Federal and State Programs, 23
Federal Regulations, 23
Federal Voluntary Programs, 23
State Laws and Regulations, 24
Building Codes, 25
Model Building Codes, 25
State Building Codes, 25
Specifications for High-Performance Buildings, 26
Incentive Programs, 27
International Regulation, 28
Compact Fluroescent Lamp Case Study, 28
References, 32
3 ASSESSMENT OF LED AND OLED TECHNOLOGIES 34
An LED Primer, 35
Introduction, 35
The LED Device Structure, 36
The LED Module, 37
Metrics of Device Performance, 38
xi
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xii CONTENTS
Controlling the Color Output of the LED, 40
Quantum Well Thickness and Composition, 40
Use of Phosphors, 40
Materials Issues for White LEDs, 41
Materials Growth: Mechanisms, Reactors, and Monitoring, 42
The Search for an Improved Substrate, 43
Challenges and Promises for LEDs, 44
An OLED Primer, 45
Introduction, 45
The OLED Device Structure and Operation, 45
Metrics of Device Performance, 46
Controlling the Color Output of the OLED, 47
Striped WOLEDs, 48
F/P WOLEDs, 48
Stacked WOLEDs, 48
Materials for OLEDs, 49
Key Issues for Improved Device Performance, 50
Light Outcoupling, 50
OLED Efficiency Droop, 51
Issues for OLED Device Reliability and Manufacturing, 52
OLED Reliability, 52
Manufacturing Issues, 53
Summary of OLED Challenges, 54
Cost Reduction, 54
Extended Operational Lifetime, 54
Low-Cost Light Outcoupling, 54
Summary and Comparison of LED and OLED SSL, 54
References, 55
4 ASSESSMENT OF SOLID-STATE LIGHTING PRODUCTS 57
Introduction, 57
Types of SSL Products, 57
LED Replacement Lamps, 57
Retrofit Luminaires, 59
Subcomponents of an SSL Product, 61
Lighting Controls, 65
Standards and Regulations, 67
LED Product Measurement and Performance, 67
Electric Power Quality, 68
SSL Product Costs, 69
Future Opportunities, 70
References, 70
5 SOLID-STATE LIGHTING APPLICATIONS 72
Introduction, 72
Overview of Application Types, 72
Residential, 72
Commercial, 73
Industrial, 74
Outdoor Lighting, 74
SSL Application Advantages, 75
Small Size, 75
Inherent Controllability, 75
Directional Distribution, 76
Cool Beam, 76
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CONTENTS xiii
Color Characteristics, 76
Long Life, 77
Luminaires with Entirely New Form Factors, 77
SSL Application Challenges, 77
Cost, 78
System and Controls Compatibility, 78
Heat Management, 78
Power Quality, 79
Failure Process, 79
Lighting Quality Issues, 79
Evaluating SSL Lighting Applications, 80
Post-Occupancy Assessment, 82
Testing and Measurement Standards, 82
References, 83
6 SSL LARGE-SCALE DEPLOYMENT 85
Introduction, 85
SSL Industry and Markets, 85
Barriers and the SSL Value Chain, 87
Upstream Opportunities and Challenges, 87
Research and Development, 88
Midstream Opportunities and Challenges, 88
SSL Manufacturing, 89
Materials, 90
Testing and Standards, 90
Downstream Opportunities and Challenges, 92
Utility-Administered Programs and Partnerships, 93
LED End-of-Life Issues, 94
SSL Cost and Energy Savings Potential, 95
SSL Energy Savings Potential, 95
Residential and Commercial Energy Consumption Surveys, 97
Relative Cost Savings, 98
Role of Government in Aiding Widespread Adoption, 100
Outreach and Communication on Implementing Standards, 101
Federal Facilities, 103
Public Funding of Applied Energy R&D, 103
Unintended Consequences, 104
Conclusion, 104
References, 105
7 FINDINGS AND RECOMMENDATIONS 106
GLOSSARY 113
APPENDIXES
A Committee Biographical Information 119
B Committee Activities 123
C Acronyms and Abbreviations 125
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