National Academies Press: OpenBook
Suggested Citation:"Front Matter." National Research Council. 2002. Partnership for Solid-State Lighting: Report of a Workshop. Washington, DC: The National Academies Press. doi: 10.17226/10473.
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PARTNERSHIP FOR SOLID-STATE LIGHTING

Report of a Workshop

CHARLES W. WESSNER, EDITOR

Board on Science, Technology, and Economic Policy

Policy and Global Affairs

National Research Council

NATIONAL ACADEMY PRESS
Washington, D.C.

Suggested Citation:"Front Matter." National Research Council. 2002. Partnership for Solid-State Lighting: Report of a Workshop. Washington, DC: The National Academies Press. doi: 10.17226/10473.
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NATIONAL ACADEMY PRESS
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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.

Any opinions, findings, conclusions, or recommendations 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.

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Limited copies are available from Board on Science, Technology, and Economic Policy, National Research Council, 500 Fifth Street, N.W., 5th Floor, Washington, D.C. 20001; 202-334-2200.

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Copyright 2002 by the National Academy of Sciences. All rights reserved.

Suggested Citation:"Front Matter." National Research Council. 2002. Partnership for Solid-State Lighting: Report of a Workshop. Washington, DC: The National Academies Press. doi: 10.17226/10473.
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THE NATIONAL ACADEMIES

National Academy of Sciences

National Academy of Engineering

Institute of Medicine

National Research Council

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. Bruce M. Alberts 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. Wm. A. Wulf 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. Bruce M. Alberts and Dr. Wm. A. Wulf are chairman and vice chairman, respectively, of the National Research Council.

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Steering Committee for Government-Industry Partnerships for the Development of New Technologies*

Gordon Moore, Chair Chairman Emeritus, retired

Intel Corporation

M. Kathy Behrens Managing Director of Medical Technology

Robertson Stephens Investment Management and STEP Board

Michael Borrus Managing Director

The Petkevich Group, LLC

Iain M. Cockburn Professor of Finance and Economics

Boston University

Kenneth Flamm Dean Rusk Chair in International Affairs

LBJ School of Public Affairs University of Texas at Austin

James F. Gibbons Professor of Engineering

Stanford University

W. Clark McFadden Partner

Dewey Ballantine

Burton J. McMurtry General Partner

Technology Venture Investors

William J. Spencer, Vice-Chair Chairman Emeritus

International SEMATECH and STEP Board

Mark B. Myers Senior Vice-President, retired

Xerox Corporation and STEP Board

Richard Nelson George Blumenthal Professor of International and Public Affairs

Columbia University

Edward E. Penhoet Dean, School of Public Health

University of California at Berkeley and STEP Board

Charles Trimble Chairman

U.S. GPS Industry Council

John P. Walker Chairman and Chief Executive Officer

Axys Pharmaceuticals, Inc.

Patrick Windham President, Windham Consulting and Lecturer,

Stanford University

*  

As of March 2002.

Suggested Citation:"Front Matter." National Research Council. 2002. Partnership for Solid-State Lighting: Report of a Workshop. Washington, DC: The National Academies Press. doi: 10.17226/10473.
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Project Staff*

Charles W. Wessner Study Director

Sujai J. Shivakumar Program Officer

Adam Korobow Program Officer

Alan Anderson Consultant

Christopher S. Hayter Program Associate

Tabitha Benney Program Associate

McAlister T. Clabaugh Program Associate

David E. Dierksheide Program Associate

*  

As of March 2002.

Suggested Citation:"Front Matter." National Research Council. 2002. Partnership for Solid-State Lighting: Report of a Workshop. Washington, DC: The National Academies Press. doi: 10.17226/10473.
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For the National Research Council (NRC), this project was overseen by the Board on Science, Technology and Economic Policy (STEP), a standing board of the NRC established by the National Academies of Sciences and Engineering and the Institute of Medicine in 1991. The mandate of the STEP Board is to integrate understanding of scientific, technological, and economic elements in the formulation of national policies to promote the economic well-being of the United States. A distinctive characteristic of STEP’s approach is its frequent interactions with public and private-sector decision makers. STEP bridges the disciplines of business management, engineering, economics, and the social sciences to bring diverse expertise to bear on pressing public policy questions. The members of the STEP Board* and the NRC staff are listed below.

Dale Jorgenson, Chair Frederic Eaton Abbe Professor of Economics

Harvard University

M. Kathy Behrens Managing Director of Medical Technology

Robertson Stephens Investment Management

Vinton G. Cerf Senior Vice-President

WorldCom

Bronwyn Hall Professor of Economics

University of California at Berkeley

James Heckman Henry Schultz Distinguished Service Professor of Economics

University of Chicago

Ralph Landau Consulting Professor of Economics

Stanford University

Richard Levin President

Yale University

William J. Spencer, Vice-Chair Chairman Emeritus

International SEMATECH

David T. Morgenthaler Founding Partner

Morgenthaler

Mark B. Myers Senior Vice-President, retired

Xerox Corporation

Roger Noll Morris M. Doyle Centennial Professor of Economics

Stanford University

Edward E. Penhoet Dean, School of Public Health

University of California at Berkeley

William Raduchel Chief Technology Officer

AOL Time Warner

Alan Wm. Wolff Managing Partner

Dewey Ballantine

*  

As of March 2002.

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STEP Staff*

Stephen A. Merrill Executive Director

Craig M. Schultz Research Associate

Camille M. Collett Program Associate

Christopher S. Hayter Program Associate

David E. Dierksheide Program Associate

Charles W. Wessner Program Director

Sujai J. Shivakumar Program Officer

Adam Korobow Program Officer

Tabitha Benney Program Associate

McAlister T. Clabaugh Program Associate

*  

As of March 2002.

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National Research Council

Board on Science, Technology, and Economic Policy

Sponsors

The National Research Council gratefully acknowledges the support of the following sponsors:

National Aeronautics and Space Administration

Office of the Director, Defense Research & Engineering

National Science Foundation

U.S. Department of Energy

Office of Energy Efficiency and Renewable Energy, Building Technology, State and Community Programs

National Energy Technology Laboratory

Optoelectronics Industry Development Association

Office of Naval Research

National Institutes of Health

National Institute of Standards and Technology

Sandia National Laboratories

Electric Power Research Institute

International Business Machines

Kulicke and Soffa Industries

Merck and Company

Milliken Industries

Motorola

Nortel

Procter and Gamble

Silicon Valley Group, Incorporated

Advanced Micro Devices

Any opinions, findings, conclusions, or recommendations expressed in this publication are those of the authors and do not necessarily reflect the views of the project sponsors.

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Reports in the Series

Government-Industry Partnerships for the Development of New Technologies

New Vistas in Transatlantic Science and Technology Cooperation

Washington, D.C.: National Academy Press, 1999.

Industry-Laboratory Partnerships: A Review of the Sandia Science and Technology Park Initiative

Washington, D.C.: National Academy Press, 1999.

The Advanced Technology Program: Challenges and Opportunities

Washington, D.C.: National Academy Press, 1999.

The Small Business Innovation Research Program: Challenges and Opportunities

Washington, D.C.: National Academy Press, 1999.

The Small Business Innovation Research Program: An Assessment of the Department of Defense Fast Track Initiative,

Washington, D.C.: National Academy Press, 2000.

A Review of the New Initiatives at the NASA Ames Research Center

Washington, D.C.: National Academy Press, 2001.

The Advanced Technology Program: Assessing Outcomes

Washington, D.C.: National Academy Press, 2001.

Capitalizing on New Needs and New Opportunities: Government-Industry Partnerships in Biotechnology and Information Technology

Washington, D.C.: National Academy Press, 2002.

Partnerships for Solid-State Lighting

Washington, D.C.: National Academy Press, 2002.

Securing the Future; Meeting Tomorrow’s Challenges Today Regional and National Programs to Support the Semiconductor Industry:

Washington, D.C.: National Academy Press, Forthcoming

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Contents

PREFACE

 

xvii

I.
INTRODUCTION

 

3

II.
PROCEEDINGS

 

 

 

 

Welcome
Charles Wessner, National Research Council

 

21

 

 

Introduction
Bill Spencer, SEMATECH

 

23

 

 

A New Illumination Paradigm
Chips Chipalkatti, OSRAM Sylvania

 

25

 

 

Sheila Kennedy, Harvard University

 

31

 

 

Panel I: National Goals and Laboratory Contributions
Moderator: David Goldston, House Science Committee

 

35

   

Energy Saving Opportunities in Solid-State Lighting
Mark Ginsberg, Department of Energy

 

35

Suggested Citation:"Front Matter." National Research Council. 2002. Partnership for Solid-State Lighting: Report of a Workshop. Washington, DC: The National Academies Press. doi: 10.17226/10473.
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Committee on Optical Science and Engineering Study Recommendations
David Attwood, Lawrence Berkeley National Laboratory

 

39

   

National Security Implications
Al Romig, Sandia National Laboratories

 

41

   

Manufacturing Infrastructure and Metrology for Lighting
Karen Brown, National Institute of Standards and Technology

 

44

 

 

Panel II: LED Lights: Emerging Opportunities
Moderator: Charlie Trimble, Trimble Navigation

 

48

   

The Evolution of LED Lights
George Craford, LumiLeds Lighting

 

48

   

Nitride Light Source: Blue LEDs
Steven DenBaars, CREE and University of California at Santa Barbara

 

52

   

Avenues to White Light
Katharine Gebbie, National Institute of Standards and Technology

 

55

   

Critical R&D Challenges
Bob Karlicek, GELcore

 

58

 

 

Panel III: Organic Light Emitting Diodes
Moderator: Pat Windham, Windham Consulting

 

66

   

An Introduction to OLEDs
Mark Thompson, University of Southern California

 

66

   

OLEDs for General Illumination
Steve Duclos, General Electric Corporate R&D

 

71

   

Critical R&D Challenges
Steve Van Slyke, Eastman Kodak
Discussant: Robert Leheny, DARPA

 

73

 

 

Panel IV: Solid-State Lighting Roundtable
Moderator: Clark McFadden, Dewey Ballantine

 

79

Suggested Citation:"Front Matter." National Research Council. 2002. Partnership for Solid-State Lighting: Report of a Workshop. Washington, DC: The National Academies Press. doi: 10.17226/10473.
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Capitalizing on Investments: The Industry Potential
Steve Domenik, Sevin Rosen Funds

 

79

   

A Partnership Opportunity?
Arpad Bergh, Optoelectronics Industry Development Association

 

82

   

Lessons from EUV and SEMATECH
David Attwood, Lawrence Berkeley National Laboratory
Bill Spencer, SEMATECH

 

85

   

Closing Remarks
Bill Spencer, SEMATECH

 

89

   

Discussants:
Mark Ginsberg, Department of Energy

 

91

   

Charles Becker, General Electric Corporate R&D

 

92

IV.
APPENDIXES

 

 

A.

 

Biographies of Speakers

 

101

B.

 

Participants List

 

114

C.

 

Bibliography

 

118

Suggested Citation:"Front Matter." National Research Council. 2002. Partnership for Solid-State Lighting: Report of a Workshop. Washington, DC: The National Academies Press. doi: 10.17226/10473.
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Preface

The Board on Science, Technology, and Economic Policy (STEP) of the National Academy of Sciences has under way a major review of the policy issues associated with public-private partnerships. Led by Gordon Moore, Chairman Emeritus of Intel Corporation, and a distinguished multidisciplinary Steering Committee,1 analysis has taken a pragmatic, policy-oriented approach to Government-Industry Partnerships for the Development of New Technologies. Topics taken up include the drivers of cooperation among industry, government, and universities, operational assessments of current programs, emerging needs at the intersection of biotechnology and information technology, the current experience of foreign government partnerships, and the changing roles of government laboratories, universities, and other nonprofit research organizations.

On March 26, 2001, with the encouragement of the Department of Energy, the Committee organized a one-day symposium to explore the opportunities offered by and challenges faced by government-industry partnerships in solid-state lighting. The Department of Energy had earlier worked together with the Optoelectronics Industry Development Association (OIDA) to set out a technology roadmap of government-industry collaboration to advance technologies in Light Emitting Diodes, Organic Light Emitting Diodes, and other solid-state lighting sources. Participants at the workshop included experts from the lighting industry, national laboratories, universities, Congress, the National Institute of Standards and Technology, and other federal agencies.

1  

The members of the Steering Committee are listed in the front matter of this volume.

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A distinguishing feature of the Committee’s analysis is its desire to bring to bear the Committee’s extensive assessment of U.S. partnerships on current policy questions, including emerging opportunities for public-private partnerships. Accordingly, the project has more recently focused on two areas of current policy interest.

The first area of inquiry, and a major concern of the Committee, addressed the steady declines in support for information technologies and the absence of the collaborative activities necessary to capitalize on the nation’s investment in biotechnology. The Committee recommended a series of measures, in particular, enhanced support for information technologies and greater university-based collaboration across disciplinary boundaries.2

A second area of focus, and the topic of this report, is designed to address several interrelated questions. The first concerns the benefits offered by solid-state lighting. The second related question concerns the identification of the technical and other challenges impeding widespread market acceptance of solid-state lighting. Lastly, the report focused on what role, if any, a consortium might play in addressing these common challenges in order to bring genuine benefits of this promising technology to future generations.

PROJECT PARAMETERS

It is important to underscore that this review of the opportunities and challenges affecting the development of solid-state lighting is part of a broader review of government-industry partnerships. The Committee’s analysis of partnerships has included a significant but necessarily limited portion of the variety of cooperative activity that takes place between the government and the private sector.3 The Committee’s desire to carry out an analysis of current partnerships that is directly relevant to contemporary policy making has conditioned the selection of the specific programs reviewed. The Committee also recognizes the importance of placing each of the studies in the broader context of U.S. technology policy, which continues to employ a wide variety of ad hoc mechanisms developed through the government’s decentralized decision-making and management process. To meet its objective of policy-relevant analysis, the Committee has focused on the assessment of current and proposed programs, drawing on

2  

See National Research Council, Capitalizing on New Needs and New Opportunities, Government-Industry Partnerships in Biotechnology and Information Technology, C. Wessner, editor, Washington, D.C.: National Academy Press, 2002.

3  

For example, DARPA’s programs and contributions have not been reviewed. For an indication of the scope of cooperative activity, see C. Coburn and D. Berglund, Partnerships: A Compendium of State and Federal Cooperative Technology Programs, Columbus, OH: Battelle Press, 1995; and the RaDiUS database, <www.rand.org/services/radius/>.

Suggested Citation:"Front Matter." National Research Council. 2002. Partnership for Solid-State Lighting: Report of a Workshop. Washington, DC: The National Academies Press. doi: 10.17226/10473.
×

the experience of previous U.S. initiatives, foreign practice, and emerging areas resulting from federal investments in advanced technologies.4

The Committee’s analysis is divided among four primary areas. These are current U.S. partnership programs, potential U.S. partnership programs, industry-national laboratory partnerships, and international collaboration and benchmarking. The analysis of current U.S. partnerships has focused on the Small Business Innovation Research Program, the Advanced Technology Program, and partnerships in Biotechnology and Computing. The industry-laboratory analysis has reviewed the potential and assessed policy challenges of science and technology parks at Sandia National Laboratories and the NASA Ames Research Center.

Based on the project’s extensive generic partnership analysis, the Committee has also reviewed potential partnerships for specific technologies. The Committee has devoted substantial attention to the need for greater collaboration in biotechnology and computing5and, in this volume, opportunities for solid-state lighting. The Committee has also focused on international collaboration and benchmarking. This has included a wide review of new opportunities resulting from the U.S.-EU Science and Technology Agreement and the documentation and review of regional and national programs to support the semiconductor industry, focusing on programs in Japan, Europe, Taiwan, and the United States. The need to collaborate in addressing common challenges, even as national technology programs support competing firms, is an overarching theme of the Committee’s analysis.

In general, the Committee’s analysis of partnerships has focused its attention on the operation of partnerships and on how to make them more effective. Given this pragmatic orientation, the study did not (and was not intended to) take up the issue of whether partnerships should exist (they do), nor was the study designed to make comparisons between different partnership programs. Although interrelated, the studies were self-contained and did not address the question of optimal allocation of funding among programs. Practical policy relevance has been a guiding principle.

There is broad support for this type of objective analysis among federal agencies and the private sector. Among the federal agencies that provided support for this analysis are the U.S. Department of Defense, the U.S. Department of Energy, the National Science Foundation, the National Institutes of Health (espe-

4  

The Committee has focused its attention on the “best practices” rather than the practices of less successful partnerships—although it is certainly true that much can be learned from failures as well as successes. For an analysis of lessons that might be learned from comparing the experience of a less successful and a successful partnership, see John B. Horrigan, “Cooperating Competitors: A Comparison of MCC and SEMATECH.” Monograph, Washington, D.C.: National Research Council.

5  

See National Research Council, Capitalizing on New Needs and New Opportunities: Government-Industry Partnerships in Biotechnology and Information Technologies, op. cit.

Suggested Citation:"Front Matter." National Research Council. 2002. Partnership for Solid-State Lighting: Report of a Workshop. Washington, DC: The National Academies Press. doi: 10.17226/10473.
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cially the National Cancer Institute and the National Institute of General Medical Sciences), the National Aeronautics and Space Administration, the Office of Naval Research, and the National Institute of Standards and Technology. Sandia National Laboratories and the Electric Power Research Institute (EPRI) have also provided important contributions. Support has also come from a diverse group of ten private corporations.6

ACKNOWLEDGMENTS

The STEP Partnerships project’s symposium on solid-state lighting included remarks by Karen Brown, Acting Director of the National Institute of Standards and Technology, Al Romig, Vice President of Sandia National Laboratories, William Spencer, Chairman Emeritus SEMATECH, and by Arpad Bergh, President of the Optoelectronics Industry Development Association. A complete list of participants is included in Appendix A. The “Proceedings” section contains summaries of their presentations and discussions.

Given the quality and the number of presentations, summarizing the symposium proceedings has been a challenge. We have made every effort to capture the main points of the presentations and the ensuing discussions. We apologize for any inadvertent errors or omissions.

Several members of the STEP staff deserve recognition for their contributions to the preparation of this report. Without their collective effort, the production of the report would not have been possible. Alan Anderson and Sujai Shivakumar prepared initial draft manuscripts, contributed to the research required to place in context the topics raised in the meeting, and in the case of Sujai Shivakumar and Christopher Hayter, assisted in the Academies’ review process. David E. Dierksheide and McAlister Clabaugh played an instrumental role in organizing the symposium under a tight deadline amidst other competing priorities and, with Christopher Hayter, prepared the manuscript for publication.

NATIONAL RESEARCH COUNCIL REVIEW

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 NRC’s Report Review Committee. The purpose of this independent review is to provide candid and critical comments that will assist the institution in making its published report as sound as possible and to ensure that the report meets institutional standards for objectivity and evidence. The review comments and draft manuscript remain confidential to protect the integrity of the deliberative process.

6  

The complete list of sponsors is listed in the front matter of this report.

Suggested Citation:"Front Matter." National Research Council. 2002. Partnership for Solid-State Lighting: Report of a Workshop. Washington, DC: The National Academies Press. doi: 10.17226/10473.
×

We wish to thank the following individuals for their review of this report:

Peter J. Delfyett, University of Central Florida

Daniel Doxee, GELcore LLC

Dennis K. Killinger, University of South Florida

Nadarajah Narendran, Rensselaer Polytechnic Institute

William D. Nordhaus, Yale University

E. Fred Schubert, Boston University

Charles V. Shank, E. O. Lawrence Berkeley National Laboratories

Although the reviewers listed above have provided many constructive comments and suggestions, they were not asked to endorse the content of the report, nor did they see the final draft before its release. The review of this report was overseen by Gerald Dinneen, who 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 committee and the institution.

STRUCTURE

The “Introduction” in Part I of this report presents an overview of the needs and opportunities in solid-state lighting as presented at the symposium. Part II summarizes the conference proceedings, setting out in some detail the views of the symposium participants.

The goal of the workshop was to advance our understanding of the new needs and opportunities arising in solid-state lighting technology and to ensure timely consideration of policies that might encourage the development this promising technology.

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As part of its analysis of public-private partnerships, the Academies convened leading academic researchers, government officials and policy makers, and representatives from large and small firms to explore the potential contributions, technical challenges, and opportunities for government-industry-university collaboration in the area of solid-state lighting. The workshop report devotes special attention to the potential for substantial social benefits—relating to the environment, energy consumption, and national security—that could arise with the widespread use of solid-state lighting technology. The workshop also focused on the technical and competitive hurdles currently faced in bringing solid-state lighting to market and the potential contributions of a well-conceived national consortium for solid-state lighting research.

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