1

From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,

Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Solid State Lighting
Arturas Zukauskas
1,2
, Michael Shur
2
, Remis Gaska
3
1
Institute of Materials Science and Applied Research, Vilnius
University, Naugarduko g. 24, LT-2006 Vilnius, Lithuania
2
Rensselaer Polytechnic Institute, http://nina.ecse.rpi.edu/shur/
3
Sensor Electronic Technology, Inc., 21 Cavalier Way, Latham, NY
12110, USA


From a torch to Blue and White LEDs
To Solid State Lamps
Blue LED on Si, Courtesy of SET, Inc.
2
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
http://nina.ecse.rpi.edu/shur/
Outline
HISTORICAL INTRODUCTION
VISION, PHOTOMETRY AND COLORIMETRY
BULBS AND TUBES
INTRODUCTION TO LIGHT EMITTING DIODES
LIGHT EXTRACTION FROM LEDs
WHITE LED
APPLICATIONS OF SOLID STATE LIGHTING

3
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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HISTORICAL
INTRODUCTION
4
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Lighting prerequisite of human civilization
500,000 years ago- first
torch
70,000 years ago first
lamp (wick)
1,000 BC the first candle
1772 - gas lighting
1784 Agrand
the first lamp relied on
research (Lavoisier)
1826 -Limelight - the first
solid-state lighting device



Limelight
Agrand lamp
Edison bulb (1879)
Yablochkov candle (1876)
5
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Agrand Lamp
The design based on the research conducted by
A. L. Lavoisier who discovered that combustion is due to
oxygen in the air. The lamp was demonstrated to King George III,
and Agrand was granted an English patent (No 1425 of 1784).
A ten fold
gain in light
A tubular wick placed within
two concentric tubes and a
glass chimney around the burner
6
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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History of Lighting
(continued)
1772 - gas lighting introduced by Scottish
inventor William Murdoch
Limelight - the first solid-state lighting
device (introduced by Thomas Drummond
in 1826)

Cylinder of lime (calcium oxide)
brought to a state of dazzling brilliancy
by the flame of the oxy-hydrogen blowpipe
7
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Candoluminescence and Gas Mantle
The emission was due to a candoluminescence -
discovered by Goldsworthy Gurney in 1820.
Candoluminescence is caused by thermal excitation of
ions, which emit in excess of black body incandescence
Limelight was used in theaters in the 1860s and 1870s
until superseded by the electric arc.
In 1886, the candoluminescence-based the gas mantle a
fabric of cotton soaked in a solution of a metallic salt (a
mixture of cerium oxide and thorium oxide with a ratio
1:99 heated by high temperature non-luminous flame from
the Bunsen burner light source
Invented by by Auer von Welsbach and used widely in the
first third of the 20th century
It still can be found in kerosene and gas lamps.
8
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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The Dawn of Electric Lighting
17-th century, effect of the luminous discharge of static
electricity in mercury vapor was discovered
Beginning of the 19th century, Sir Humphry Davy
demonstrated a discharge between two rods of carbon (an
arc) and a glowing of a piece of wire heated by electric
current (incandescence).
He used a battery made of 2000 pairs of copper and zinc
elements invented by Alessandro Volta in 1800.
The change from flame to electric power in lighting
technology happened only in 1870s, when Z. T. Gramme
introduced an efficient continuous-current generator
(dynamo).

9
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Yablochkov
candle
(1876). The first
electric lighting
device.

Thomas Alpha
Edison bulb
(1879)
10
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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First LED (1907)
11
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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History of Electric Lighting in a nut shell
1876. Pavel Yablochkov fabricated the first practical electric
lighting device
1879. Thomas Alva Edison Edison demonstrated his lamp
1897. Nernst developed a filament made of cerium oxide-
based solid electrolyte.
1900. Peter Cooper Hewitt patented the mercury vapor lamp.
1903. A. Just and F. Hanaman developed tungsten filament
1904. C. O. Bastian and A. E. Salisbury combined the
mercury vapor lamp with a low-temperature incandescent
lamp
1904. Moor introduced discharge lamps using air
1907 Round reports on the first LED (SiC)
1910. P. Claude filled discharge lamps with inert gases
1938. GE and Westinghouse Electric Corporation put on the
market the new colored and white fluorescent lamps.
12
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Lighting in 2001
Residential lighting - tungsten incandescent lamps
(Or a compact fluorescence lamp (CFL) with
higher efficiency)
Work environments - fluorescence lamp
Street lighting ugly sodium lamp.
However, all this is about to change
because of explosive development of high
brightness visible Light Emitting Diodes
13
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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LIGHTING
ECONOMY
14
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Importance of Solid State Lighting
21% of electric energy use is in lighting
Half of this energy can be saved by switching to efficient
and cold solid-state lighting sources
Projected financial savings from solid-state lighting might
reach $115 billion by year 2020
Solid-state lighting will use visible and UV LEDs that are
expected to reach lifetimes exceeding 100,000 hours
At present, LEDs are the most efficient sources of colored
light in almost entire visible spectral range.
White phosphor-conversion LEDs already surpassed
incandescent lamps in performance
15
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Benefits of LED Lighting
Data from R. Haitz, F. Kish, J. Tsao, and J. Nelson
Innovation in Semiconductor Illumination: Opportunities for National Impact (2000)
0
2
4
6
8
10
12
2000 2005 2010 2015 2020 2025 2030
LED Penetration(%)
Energy Savings
100TWh/yr
Cost Savings $10B/yr
Low Investment Model
An improvement of luminous efficiency by 1% may save 2 billions dollars per year.
16
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Solid State Lighting

Efficiency (lm/W)
Flickers
Cannot be dimmed
Losses in ballast
Noisy
Good!
0
20
40
60
80
100
Incandescent Halogen Fluorescent White LED
(2000)
White LED
(2010)
17
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Solid State Lighting
Luminous efficiency lm/W
0
20
40
60
80
100
120
Red Yellow Green Blue White
Incandescent
LED (2001)
LED(Luxeon Lab)
18
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Solid State Lighting:
Lifetime (in thousands of hours)
0
20
40
60
80
100
120
Incandescent Halogen Fluorescent White LED
(2000)
White LED
(2010)
Measured
Claimed
19
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Challenges of Solid State Lighting
Improve efficiency of light
generation
Improve efficiency of light
extraction
Improve quality of light
Reduce COST
20
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Cost of light
Estimated from the
cost of the lamp and
the electric power
consumed divided by
the amount of lumens
produced over the
lifetime. For 1 Mlmh,
this yields a cost
L
kWh
L L L
L
Mlmh
C
P
C
C
q q t
'
+
'
'
~
1 3 6
1
10 10
is the cost of the bulb
is the price of 1 kW h power
is the luminous efficiency
is the wattage
the lifetime of the lamp
L
C'
L
C
'
kWh
C
1
L
q
'
P
L
t
L
21
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
http://nina.ecse.rpi.edu/shur/
VISION,
RADIOMETRY,
PHOTOMETRY AND
COLORIMETRY
22
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Eye sensitivity

400 500 600 700 800
10
-5
10
-4
10
-3
10
-2
10
-1
10
0
V'()
V()


R
e
l
a
t
i
v
e

S
e
n
s
i
t
i
v
i
t
y
Wavelength (nm)
Photopic vision (cones)
@ High Illumination
Scotopic vision (rods)
@ Low illumination
Cones are red, green, and blue
23
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Radiometry and Photometry
( )
u
d V
e
}
u = u W lm 683
Watt

W/nm
Luminous intensity
(Candela = lm/sr SI unit)

Luminous efficiency: power into
actuation of vision (lm/W)
Photopic vision eye sensitivity
W/nm
Wavelength (nm)
Luminous flux
( ) e
u u
d V I d d I
e
}
= u = W lm 683
1/60 of the luminous intensity per
square centimeter of a blackbody
radiating at the temperature
of 2,046 degrees Kelvin
24
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Luminance
The concept of luminous intensity is not directly applicable
to an extended source of light
Such sources are described by luminance, which is the
quotient of the luminous flux propagating from an element
of the surface and observed at an angle per unit solid
angle
The luminance is measured in candelas per square meter
(cd/m2).
Scotopic vision dominates at luminance below 10
-2
cd/m
2

Above 10 cd/m
2
the vision is completely photopic.
The sun viewed from the sea level exhibits the average
luminance of 1.610
9
cd/m
2
, and the luminance of the
moon is approximately 2500 cd/m
2
.
25
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Illuminance
The measurement unit for illuminance is lumen
per square meter, also called lux (lx).
Sun generates the illuminance on the earths
surface from 104 lx to 105 lx depending on
cloudiness; the illuminance by the moon does not
exceed 0.1 lx.
The higher is the illuminance, the higher is the
ability of the eye to distinguish details, small
contrasts and color hues. Therefore, different
activities require different levels of illuminance.
26
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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How much light do you need?
Type of Activity

Illuminance
(lx =lm/m
2
)

Orientation and simple visual tasks
(public spaces)

30-100

Common visual tasks (commercial,
industrial and residential applications)

300-1000

Special visual tasks, including those
with very small or very low contrast
critical elements

3,000-10,000

27
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Colorimetry

350 400 450 500 550 600 650 700 750
0.0
0.5
1.0
1.5
2.0
_
z
_
y
_
x


Wavelength (nm)
Chromaticity coordinates
Color temperature
Color rendering
( ) ( ) d S x X
}
=
( ) ( ) d S y Y
}
=
( ) ( ) d S z Z
}
=
1931 CIE color matching functions: purple , green , and blue
28
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Color Coordinates

0.0 0.2 0.4 0.6 0.8 1.0
0.0
0.2
0.4
0.6
0.8
1.0
E
D
65
C
B
A
[R]
[G]
[B]
1
0
,
0
0
0
6
,
0
0
0
4
,
0
0
0
3
,
0
0
0
2
,
0
0
0
[Z]
[X]
[Y]
460
640
700
620
600
580
560
540
530
520
510
500
490
480
400


y

C
h
r
o
m
a
t
i
c
i
t
y

C
o
o
r
d
i
n
a
t
e
x Chromaticity Coordinate
Z Y X
X
x
+ +
=
Z Y X
Y
y
+ +
=
Is it really that bad?
Just remember:
White is black!
Planckian locus
(black body radiation)
Green
Blue
Red
29
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Standard CIE Sources
A (tungsten at 2856 K)
B (direct sunlight,
approximately 4870 K)
C (overcast sunlight
6770 K
D65 (daylight, 6504 K)
Point E marks equal
energy (,).

0.0 0.2 0.4 0.6 0.8 1.0
0.0
0.2
0.4
0.6
0.8
1.0
E
D
65
C
B
A
[R]
[G]
[B]
1
0
,
0
0
0
6
,
0
0
0
4
,
0
0
0
3
,
0
0
0
2
,
0
0
0
[Z]
[X]
[Y]
460
640
700
620
600
580
560
540
530
520
510
500
490
480
400


y

C
h
r
o
m
a
t
i
c
i
t
y

C
o
o
r
d
i
n
a
t
e
x Chromaticity Coordinate
30
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Color Mixing
Red, green, blue appear as white
Red and blue appear as magenta
Green and blue give cyan
Red and green give yellow
31
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Color Mixing in CIE 1931 Diagram
0.0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8
0.0
0.2
0.4
0.6
0.8
YG
G
P
O
Y
B
C(W)
460
640
700
620
600
580
560
540
530
520
510
500
490
480
400


y

C
h
r
o
m
a
t
i
c
i
t
y

C
o
o
r
d
i
n
a
t
e
x Chromaticity Coordinate
32
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Color Rendering
0.0
0.2
0.4
0.6
0.8
1.0
Light grayish red

Light bluish green

0.0
0.2
0.4
0.6
0.8
1.0
Dark grayish yellow


Light blue



0.0
0.2
0.4
0.6
0.8
1.0
Strong yellow green



Light violet



400 500 600 700
0.0
0.2
0.4
0.6
0.8
1.0
Moderate yellowish green



R
e
f
l
e
c
t
i
v
i
t
y
400 500 600 700
Light reddish purple


Wavelength (nm)
General Color Rendering Index
R
a
(CRI)
integrates the reflectivity data for 8
specified samples
Special color rendering indices,
refer to six additional test samples

R
a
varies from up to 100
100 is the best. It might be negative
33
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Math of Color Rendering (for reference only)
Reference source
( ) ( ) ( ) 8 , , 1 , = i S S
i r r


Test source
( ) ( ) ( ) 8 , , 1 , = i S S
i k k


USC chromaticity coordinates
( ) 3 12 2 4 + + = y x x u
,
( ) 3 12 2 6 + + = y x y v


General color rendering index (CRI)

=
=
8
1
8
1
i
i a
R R

34
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Where Ri is

| | ( ) ( ) | | {
( ) ( ) | | } . 13
13 60 . 4 100
2 1
2 2
2 2 2
r ri ri r ki ki
r ri ri r ki ki ri ki i
v v W v v W
u u W u u W W W R

'
+
'
+ =

17 25
3 1
= Y W

( ) v v u c 10 4 =

( ) v u v d 481 . 1 404 . 0 708 . 1 + =

k ki r k ki r
k ki r k ki r
ki
d d d c c c
d d d c c c
u
+
+
=
'
481 . 1 518 . 16
4 404 . 0 872 . 10

k ki r k ki r
ki
d d d c c c
v
+
=
'
481 . 1 518 . 16
520 . 5

35
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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BULBS AND TUBES
36
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Normalized emission intensity of the
black body (dotted line) and tungsten
radiator (solid line) at 3000 K
300 500 1000 3000

Wavelength (nm)
R
e
l
a
t
i
v
e

I
n
t
e
n
s
i
t
y
At present, tungsten incandescent lamps serve most of the needs of
residence lighting.
37
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Incandescent Bulb - A True Challenge
filament is wound into a helix to reduce the heat conducted into surrounding
gas
further reduction of gas loss is achieved by secondary coiling of the primary
coil
filament is supported by molybdenum wires and electrically connected to the
leads made from nickel or nickel-plated wires.
The design usually comprises a copper-nickel fuse
The bulb is made of soda-lime silicate glass and the cap is made of
aluminum or brass.
Matching of the thermal expansion and stability of the glass-metal seal is
provided by Dumet wires (
bulb is filled with high-atomic-weight inert gas (argon and, rarely, krypton).
nitrogen is used to prevent formation of an arc during the filament failure.
To reduce blackening of the bulb, some getter is added for absorption of any
remainder of oxygen and moisture.
To diffuse and to direct the light, inside frosting and integral reflectors are
used
Plus marketing for a total cost of 50 cents
38
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Tungsten Halogen Lamps
If the tungsten evaporation rate is reduced, the filament of
the incandescent lamp might operate at higher temperature,
and the lifetime of the lamp may increase.
The addition of a halogen to the gas filling is known to
establish a chemical transport cycle, in which tungsten
forms halides when diffusing from the hot filament
towards the cooler wall.
Tungsten halides diffuse in the opposite direction and
dissociate at the filament. The transport cycle results in
nearly zero concentration of the tungsten at the bulb wall
and in an increased concentration at the filament.
As a result, filament temperatures as high as 3450 K can be
achieved, with a consequent improvement in efficiency.
39
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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FLUORESCENT LAMPS
When a large enough electric field is applied to a gas, the
gas breaks down and partially ionizes. The resulting
conductive plasma comprises electrons as well as a
mixture of ionized and neutral particles, some of which are
excited

By limiting the electric current limitation (by introducing a
ballast in the circuit), the discharge is prevented from
avalanche ionization and stabilized. The fluorescent lamps
utilize low-pressure discharge, in which electrons are
accelerated to effective temperatures typically of 11,000-
13,000 K, while ions remain almost in thermal equilibrium
with the environment (~310 K).
40
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Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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FLUORESCENT LAMPS (cont)
Fast electrons inelastically relax by exciting atoms, molecules
and ions, which might emit light.
At present, two efficient low-pressure discharge emitters
are utilized vapors of mercury and sodium.
Sodium emits yellow light, which is directly used, mostly for
street lighting
At low pressures, the major part of the emission from mercury
atoms is in UV owing to the radiative transition from the excited
3P1 state to the ground state (4.886 eV/253.7 nm).
In a fluorescent lamp, visible radiation is produced by
photoluminescence in phosphors, which are deposited on the
wall of a tubular bulb. UV photons reach the wall via radiative
transport, i. e. by multiple reabsorption and reemission by other
mercury atoms.
41
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Configuration-coordinate diagrams of
activator phosphor ion for radiative (a) and
nonradiative (b) conversion processes
(b)
Nonexcited state
Excited state


Configuration Coordinate
P
o
t
e
n
t
i
a
l

E
n
e
r
g
y
(a)
Nonexcited state
Excited state


42
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Spectral power distributions of typical
fluorescent lamps. (a) halophosphate, (b)
triphosphor blend, (c) multiband phosphor.
400 500 600 700
(a)


Wavelength (nm)
(b)



(c)


43
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
http://nina.ecse.rpi.edu/shur/
Light output of a typical fluorescent
lamp as a function of ambient
temperature
-20 -10 0 10 20 30 40 50 60
0
20
40
60
80
100
o


L
u
m
i
n
o
u
s

F
l
u
x

(
%
)
Temperature ( C)
Optimized for room temperature
44
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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LOW-PRESSURE SODIUM
LAMPS
Since the luminous efficacy of the D-line is about
530 lm/W, the theoretical efficiency of the LPS lamp is
extremely high. Despite that 60-80% of the power is
wasted for infrared radiation and heat losses, the luminous
efficiencies (100-200 lm/W) are the highest among present
practical lamps.
The wattage of the marketed LPS lamps is from 18 to
180 W with the light outputs ranging from 1,800 to
33,000 lm.
The failure is due to deterioration of cathodes and typical
lifetimes are 14,000-18,000 hours.
The main disadvantage of the LPS lams is a very poor
color rendering.
45
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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HIGH-PRESSURE DISCHARGE
LAMPS
Heavy particles (atoms and ions) are heated almost to the
same temperatures as the electrons, owing to the high rate
of elastic collisions. At pressures of around 1 atmosphere,
the temperature of the plasma is typically in the range of
4,000-6,000 K.
Most of the light is generated in the hot center of the arc.
However, because of the temperature gradient, heat flows
out of the center decreasing the radiative efficiency to
approximately 60%.
High pressure leads to collision broadening of the line
spectra. The resulting wide emission bands considerably
improve the color rendering of the light.
46
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Typical power-distribution spectra of high-pressure
discharge lamps.
(a) Clear mercury lamp, (b) improved-color (phosphor-coated)
mercury lamp, (c) sodium lamp, (d) metal halide lamp with rear earth
(Dy/Ho/Tm)-Na-Tl dose
(a)


(c)

(b)



400 500 600 700

Wavelength (nm)


400 500 600 700
(d)



47
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Metal Halide Lamps
Luminous efficiency and color rendering of the high-
pressure mercury discharge lamp may by considerably
improved by introducing metal halides
As soon as the tube wall reaches sufficient temperature, a
metal halide evaporates and starts a transport cycle
At the hot core of the discharge, the halide dissociates and
produces metal atoms that contribute to the emission.
When the metal atoms diffuse towards the cooler region at
the wall, they recombine with the halogen to form the
halide, which does not react with the wall material.
The operation pressure of the additive metals is in the
range of 10-100 torr (1300-13,000 Pa). Although this
pressure is small in comparison with the pressure of
mercury (typically 1-20 Atm), the additive metals produce
a considerable part of light because their excitation energy
(around 4 eV) is lower than that of mercury (7.8 eV).
48
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Applications
Diverse wattage, dimensions, and other specification
High brightness and good color rendering characteristics
make them applicable for general lighting services in
offices, supermarkets, large stores, and in a lot of industrial
and social environments
High-luminosity units are indispensable for floodlights
Low-power short-arc MH lamps gave birth to new kind of
economic, precise, small-dimension, and long lifetime
vehicle headlights.
49
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Parameters of practical lamps and tubes
Type Wattage
(W)
Luminous
flux init
(avrg)
(lm)
Eff-cy
(lm/W)
a
R
CCT
(CT)
(K)
Life-
time
(hours)
1 Mlmh
price ($)
Incandescent
(120 V)
60 865 14.4 100 (2790) 1,000 7.4
Tungsten
halogen
(120 V)
50 590 11.8 100 (2750) 2,000 12
Fluorescent
triphosphor
32 2,850
(2,710)
84 78 4100 24,000 1.6
Compact
fluorescent
15 900
(765)
51 82 2700 10,000 3.9
Low-
pressure
sodium
90 12,750
(11,095)
123 - 44 1800 16,000 1.6

50
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
http://nina.ecse.rpi.edu/shur/
Parameters of practical lamps and tubes
(cont.)
Type Wattage
(W)
Luminous
flux init
(avrg)
(lm)
Eff-cy
(lm/W)
a
R
CCT
(CT)
(K)
Lifetim
e
(hours)
1 Mlmh
price ($)
High-
pressure
mercury
250 11,200
(8,400)
34 50 3,900 24,000 3.8
High-
pressure
Sodium
250 28,000
(27,000)
108 22 2100 24,000 1.3
Metal halide 400 36,000
(24,000)
60 65 4,000 20,000 2
Induction 55 3,500
(2,800)
64 80 3,000 100,000 2
Microwave
sulfur
1,425 135,000 95 79 5,700 20,000 ?

51
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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BASICS OF
ALL-SOLID-STATE
LAMPS

52
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Efficiency and Efficacy
Radiant efficiency: measure of light source ability to convert the consumed power P into radiant
flux power
P
e e
u = q . (W/W)
Luminous efficiency: is measure of light source ability to convert the consumed power P into
actuation of the vision
K P
e
u = q q
u u
(lm/W)
where K is luminous efficacy: measure of radiation ability of the to produce visual sensation is
which is measured in lm/W

e
K u u =
u
(lm/W)
53
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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LED Performance
Wall Plug Efficiency
f ext e
q q q =
opt rad inj ext
q q q q =
is internal quantum efficiency (radiative efficiency),
is injection efficiency,
rad
q
is optical efficiency (light extraction efficiency),
opt
q

qV
h
f
v
q =
(might be larger than unity!)
P
e e
u = q
inj
q
Radiant efficiency
External efficiency
54
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Recombination of Electrons and Holes
Intrinsic radiative transitions in semiconductors. (a) Band-to-band
transitions; (b) free-exciton annihilation; (c) recombination
of exciton localized at band-potential fluctuations

Valence
band
Conduction
band

Eg

E
g

(a)

E
g


Valence
band
Conduction
band

(b)

E
g


EC
(c)

E
g


EV
55
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Radiative recombination involving impurity levels.
(a) Donor-statevalence-band transition; (b) conduction-
bandacceptor-state transition; (c) donor-acceptor
recombination; (d) bound-exciton recombination

(b)

E
g


E
D
(c)

E
g


E
A
E
D
(d)

E
g


E
D
(a)

E
g


E
A
E
C
E
V
56
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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(a) Vertical band-to-band radiative transition in direct gap
semiconductor; (b) impurity assisted radiative transition in
indirect gap semiconductor.

E
k
(a)
k
(b)
E
k
57
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Configuration co-ordinate diagram of a deep centre of
nonradiative recombination. Potential curves C, T, and V
correspond to the electron in the conduction band, at the trap,
and in the valence band, respectively.
W
h
Q
E
W
e
V
T
C
58
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Injection in a p-n junction LED
(a) Zero bias
(b) Forward bias
qV
p
p
n
n
(b)
(a)



59
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Heterostructures and Quantum
Wells
p
n
E
g2
E
g1
AE
C
AE
V
60
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Double Heterostructure LED
p
AE
V
AE
C
E
g1


p
n
E
g2
E
g1
AE
C
AE
V
61
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Band Alignment and Quantum Well
Transitions
a
U
0
n=3
n=2
n=1
n=2
n=3
n=1
E
g2
E
g1
62
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Effect of the Built-in Field

+
h
+
e
63
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Electron Blocking Layer

U
1
U
2
p p n

E
g1
E
g3
E
g2
E
g1
64
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Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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SEMICONDUCTOR MATERIALS SYSTEMS FOR
HIGH BRIGHTNESS LEDs

InSb
InAs
Ge
GaSb
Si
InP
GaAs
CdTe
AlSb
CdSe
InN
AlAs
ZnTe
GaP
SiC(3C)
CdO
AlP
CdS
ZnSe
SiC(6H)
SiC(4H)
ZnO
GaN
ZnS
C
AlN


0 1 2 3 4 5 6 7
Wavelength (nm)
2000 800 600 500 400 300 200
Band Gap Energy (eV)

1E-5
1E-4
1E-3
0.01
0.1
1

R
e
l
a
t
i
v
e

E
y
e

S
e
n
s
i
t
i
v
i
t
y
65
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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AlGaAs Materials System
5.2 5.6 6 6.4
0
0.5
1
1.5
2
2.5
AlAs
GaAs
InP
InAs
Si
Ge
GaP
InSb
GaSb
AlP

E
n
e
r
g
y

G
a
p

(
e
V
)
Lattice Constant ()
66
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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AlGaInP Materials System

5.4 5.5 5.6 5.7 5.8 5.9
1.2
1.4
1.6
1.8
2.0
2.2
2.4
2.6
(Al
x
Ga
1-x
)
0.5
In
0.5
P
Ga
x
In
1-x
P
Al
x
In
1-x
P
o
700
800
500
600
W
a
v
e
l
e
n
g
t
h

(
n
m
)
AlP
GaP
InP
GaAs
B
a
n
d

G
a
p

E
n
e
r
g
y

(
e
V
)
Lattice Constant (A)
67
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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AlInGaN Materials System
2.6 2.8 3.0 3.2 3.4 3.6 3.8 4.0
1
2
3
4
5
6
7
o
InN
GaN
AlN
6
H
-
S
i
C
Z
n
O
s
a
p
p
h
i
r
e

(
O

s
u
b
l
a
t
t
i
c
e
)


B
a
n
d

G
a
p

E
n
e
r
g
y

(
e
V
)
Lattice Constant a (A)
68
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Basic parameters of InN, GaN, and AlN at 300 K
Parameter Units GaN AlN InN
Lattice constant, c 5.186 4.982 5.693
Lattice constant, a 3.189 3.112 3.533
Band gap energy,
g
E
eV 3.339
a
6.2 1.97

Effective electron mass,
e
m
0
m
0.19
b
(||)
0.17
b
( )
0.33
c
(||)
0.25
c
( )
0.11
b
(||)
0.10
b
( )
Effective heavy hole mass,
hh
m
0
m
1.76
c
(||)
1.61
c
( )

3.53
c
(||)
10.42
c
( )
1.56
b
(||)
1.68
b
( )
Effective light hole mass,
lh
m
0
m
1.76
c
(||)
0.14
c
( )

3.53
c
(||)
0.24
c
( )
1.56
b
(||)
0.11
b
( )
Piezoelectric constant, e
31
C/m
2
-0.33 -0.48 -0.57
Piezoelectric constant, e
33
C/m
2
0.65 1.55 0.97
Spontaneous polarization,
||
P
d
C/m
2
-0.029 -0.081 -0.032
Radiative recombination
coefficient
e
cm
3
/s
4.710
-11
1.810
-11
5.210
-11

Refraction index at 555 nm 2.4 2.1 2.8
Absorption coefficient at the
photon energy
g
E h ~ v

10
5
cm
-1
1 3 0.4

M. E. Levinshtein, S. L. Rumyantsev, and M. S. Shur, Editors, Properties of Advanced Semiconductor Materials:
GaN, AlN, InN, BN, and SiGe, John Wiley and Sons, ISBN 0-471-35827-4, New York (2001)
69
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Materials Growth Techniques. LPE

H
2

Furnace
Base plate
GaAs
Su b strate
1st solution:
Ga, Al, GaAs,
Te
2nd solution:
Ga, Al, GaAs,
Zn
Slider

Quartz Tube
70
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Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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MOCVD
MOCVD reactor
Process exhaust
N
2
H
2
TMGa TMAl TMIn Cp
2
Mg
PH
3
DETe/H
2
3-way valve
Mass flow controller
Pressure controller
Bubbler bypass valve
Run/Vent valve
71
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Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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MOCVD (continued)
After S.Nakamura, Jpn. J. Appl. Phys. 30, L1705, 1991.
IR Radiation
Thermometer
Conical
Quartz Tube
N
2
+ H
2

Quartz Nozzle
N
2
+ NH
3
+ TMG
Vacuum Exhaust
Heater
Substrate
Stainless Steel Chamber
Chamber
Rotating
Susceptor
72
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Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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ELECTROLUMINESCENCE IN
HIGH BRIGHTNESS LEDs

(Al
0.2
Ga
0.8
)
0.5
In
0.5
P
n-(Al
0.7
Ga
0.3
)
0.5
In
0.5
P
2
.
0
1

e
V
2
.
3
1

e
V
0.5 m
p-(Al
0.7
Ga
0.3
)
0.5
In
0.5
P




73
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Schematic of the band gap alignment in advanced AlGaInP
LEDs. (a) Structure with tensile strain barrier cladding
(electron blocking) layer (after S.J.Chang et al.,
IEEE Photonic Tech. L. 9, 1199, 1997); (b) structure with a
multiquantum barrier (MQB) (after C.S.Chang et al.,
IEEE J. Quantum Elect. 34, 77, 1998).

active layer MQB p-cladding n-cladding

MQW
TSBC
p-cladding n-cladding
(a)
(b)
74
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Schematic of band gap alignment in AlInGaN LEDs.

In
0.23
Ga
0.77
N
n
-
A
l
0
.
1
5
G
a
0
.
8
5
N
p-GaN
p
-
A
l
0
.
1
5
G
a
0
.
8
5
N
0.05 m
n-GaN



p-GaN
o
In
0.45
Ga
0.55
N
p
-
A
l
0
.
2
G
a
0
.
8
N
30 A
n-GaN



(a) (b)
(a) DH-based structure with two wide-band-gap cladding layers;
radiative transitions occur between donor-acceptor pairs
(after S.Nakamura et al., J. Appl. Phys. 76, 8189, 1994);
(b) SQW structure with asymmetric confining layers;
radiative transitions occur between quantum-confined levels of
electrons and holes (after S.Nakamura et al., Jpn. J. Appl. Phys. 34, L1332, 1995)
75
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Contacts and Current Spreading

x
t
Top Contact

CSL

Active Layer

Bottom Contact

(a) (b)
a) Thin/low-conductivity current spreading layer. The current crowds
under the top contact. (b) Thick/high-conductivity CSL. The current
uniformly spreads over the entire cross-section.
76
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Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Contact Geometries

100 m
250 m 350 m
(a) (b) (c) (d)
77
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Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Current paths in AlInGaN chips grown on sapphire.

(a) asymmetric design with current crowding towards the
n-pad; (b) symmetric design with a ring n-pad (after
M. R. Krames et al., Proc. SPIE 3938, 2, 2000).

p-GaN
n-GaN
Sapphire
p-Pad
n-
Pad
Active
Layer
n-Ring
Pad
(a) (b)
Transparent
Electrode
78
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Emissive and Electrical
Characteristics

350 400 450 500 550 600 650 700
AlInGaN SQW
green (517nm)
AlGaAs DH
red (649nm)
AlGaInP DH
yellow (594nm)
AlInGaN SQW
blue (465nm)
AlInGaN DH
blue (427nm)


N
o
r
m
a
l
i
z
e
d

I
n
t
e
n
s
i
t
y

(
a
r
b
.

u
n
i
t
s
)
Wavelength (nm)
79
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Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Emission line peak position vs. forward
current in high brightness LEDs

1 10 100
450
500
550
600
650
AlInGaN blue
AlInGaN green
AlGaInP yellow
AlGaAs red


P
e
a
k

W
a
v
e
l
e
n
g
t
h

(
n
m
)
Forward Current (mA)
80
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Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Output characteristics in AlGaAs, AlGaInP and AlInGaN-based
LEDs. Dependences are arbitrarily shifted along vertical axis

1 10 100
10
-2
10
-1
10
0
10
1


O
u
t
p
u
t

I
n
t
e
n
s
i
t
y

(
a
r
b
.

u
n
i
t
s
)
Forward Current (mA)
AlGaAs red
AlGaInP yellow
AlInGaN green
AlInGaN blue
81
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Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Current-voltage characteristics of AlGaAs, AlGaInP, and
AlInGaN-based high brightness LEDs

1.0 1.5 2.0 2.5 3.0 3.5 4.0 4.5
1E-9
1E-8
1E-7
1E-6
1E-5
1E-4
1E-3
0.01
0.1
=2
AlGaAs DH
AlInGaP DH
AlInGaN DH
AlInGaN SQW


F
o
r
w
a
r
d

C
u
r
r
e
n
t

(
A
)
Forward Voltage (V)
82
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Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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LIGHT
EXTRACTION
FROM LEDs
83
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Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Challenges in
light
extraction
Conventional LED chip grown
on an absorbing substrate. the apex .


High-brightness LED chip design
with thick transparent window layers.
Light escapes through 6 cones
From A.ukauskas et al., MRS Bull. 26, 764, 2001.
84
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Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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LED Designs with Different
Numbers of Escape Cones
85
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Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Distributed Bragg Reflectors

n-Absorbing Substrate
n-DBR Structure
n-Electrode
n-Cladding Layer
p-Cladding Layer
p-Current Spreading Layer
p-Electrode
Active Layer
86
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Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Absorption Losses and Photon Recycling
Most of the losses are due to the absorption in the active layer and
in the surrounding transparent cladding and window layers

The losses in the active layer depend on the probability of the light
reemission: absorbed photons can experience reincarnation and get
a new chance to find the escape cone.

If the internal quantum efficiency is high, the photon would be
recycled many times until it escapes

(Theory of the photon recycling in LEDs is discussed by
T.Baba et al., Jpn. J. Appl. Phys. 35, 97, 1997 and references
therein).
87
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External Quantum Efficiency and
Active Layer
72% external quantum efficiency was demonstrated in an optically
pumped AlGaAs/GaAs double heterostructure mounted on a high-
reflectivity surface (I. Schnitzer et al., Appl. Phys. Lett. 63, 2174,
1993).
Multiple recycling of the photons was due to the internal quantum
efficiency as high as 99.7%.
In practical LEDs, the internal quantum efficiency is lower than 100%
and the absorption in the active layer is often considered as parasitic.
Therefore, thin active layers (homogenous or comprised of multiple
wells) are often preferred.

There is an optimum active layer thickness because of a trade-off
between the active-layer reabsorption and electron confinement, and
this thickness depends on the emission wavelength
(Gardner et al., Appl. Phys. Lett. 74 (15), 2230, 1999).

88
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Light extraction: high-brightness AlGaAs
double heterostructure LED with transparent
substrate (after F. M. Steranka, Semiconductors and
Semimetals Vol. 48, Academic Press, New York, 1997).

89
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Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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AlGaInP LEDs
(after F.A.Kish and
R.M.Fletcher,
Semiconductors and
Semimetals Vol. 48,
Academic Press, New
York, 1997).

Wafer Bond
Back Electrode
Top Electrode
p-GaP Window Layer
n-GaP Wafer-Bonded
Transparent Substrate
200 m
2 m
50 m
n-GaAs Substrate
AuGe/Au Back Electrode
AlGaInP DH
AuZn/Au Top Electrode
n-AlGaInP Current Blocking Layer
Distributed Bragg Refractor
200 m
10 m
7 m p-AlGaAs WL/CSL
p-GaAs Contact Layer a)
b)
AlGaInP DH
2 m
90
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Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Progress in AlInGaP LEDs
After http://www.lumileds.com/technology/tutorial/slide2.htm
91
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Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Sapphire Transparent Substrate
Ti/Al n - Electrode
n - GaN Contact Layer
Ni/Au p - Electrode
p - GaN Contact Layer
~100

m
4

m
0.15

m
0.5

m
InGaN/AlGaN DH, SQW or MQW Structure
Transparent Metal (Au/Ni)
Buffer Layer

(after S.Nakamura and G.Fasol, The Blue Laser Diode: GaN
Based Light Emitters and Lasers, Springer, Berlin, 1997).
Chip structure of AlInGaN/Al
2
O
3
LED
92
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Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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AlInGaN/SiC LED (after J.A.Edmond et al.,
Proc. SPIE 3002, 2, 1997).

n - GaN Contact Layer
Ni Back Electrode
InGaN/AlGaN DH
Au Top Electrode
p - GaN Contact Layer
n - SiC Transparent Substrate

Shorting Ring
Insulatin g Buffer Layer
93
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Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Escape cones in AlInGaN-based LED chip on sapphire substrate. Apex
of upward cone is 74 and apex of inner downward cone is 90.
94
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Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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High power AlInGaN Flip-Chip LED
After J. J. Wieret et al., Appl. Phys. Lett. 78, 3379, 2001.
95
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Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Shaped Chips: semi-spherical

Electroluminescent Structure
Au Coating
Antireflection Coating
Hemispherical Chip
Electroluminescent Structure
Electrodes
a)
b)
96
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Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Truncated-inverted-pyramid AlGaInP/GaP LED

p - GaP (55 m)
AlGaInP Active Layer
(~2 m)
Wafer Bond


n - GaP (200 m)
After M. R. Krames et al., Appl. Phys. Lett. 75, 2365, 1999.
97
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Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Light Extraction : TIP-LEDs from LumiLeDs
Top cont act
After M.O. HOLCOMB et al. (2001), Compound Semiconductor
7, 59, 2001).
hi gh pressure sodi um
1 kW
TI P-LED
St andard
Al GaI nP/ GaP
1
100
10
1000
Peak wavel engt h (nm)
L
u
m
e
n
/
w
a
t
t
550
600 650 700 750
mercury vapor 1 kW
f l uorescent 1 W
t ungst en 60 W
hal ogen 30 W
red f i l t ered
t ungst en 60 W
98
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Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Non Resonant Cavity LEDs

Polyimide/Au Mirror
n-AlGaAs
Si Substrate
n-Electrode
GaAs
p-AlGaAs
p-Electrode
Oxidized AlGaAs
This device employs a randomly nanotextured surface for chaotization
of the photon trajectories (it is mounted on a mirror)
(after I. Schnitzer et al., Appl. Phys. Lett. 63, 2174, 1993).
99
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PHOTON DENSITY OF STATES ENGINEERING
(a) Metal-mirror/DBR
bottom-emitting
resonant-cavity LED
(after E.F.Schubert et al.,
Science 265, 943, 1994).

(b) DBR-DBR top emitting
RC-LED (after J.F.Carlin
et al., Semicond. Sci. Tech. 15,
145, 2000).
100
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Surface plasmon enhanced LED
(after J.Vukovi et al., IEEE J. Quantum Elect. 36, 1131,
2000).

Light emitting structure
Thin patterned silver layer
Si Substrate
Thick silver layer
101
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Photonic Crystals
(after J.D.Joannopoulos, Photonic Crystals: Molding
the Flow of Light, Princeton University Press,
Princeton, N.J., 1995).

a) b)
c)
102
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2D Photonic Crystals
103
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Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Semiconductor light-emitting device with 2D
photonic crystal and DBR structure (after T.Baba,
IEEE J. Sel. Top. Quant. 3, 808, 1997 and S.Fan et al.,
Proc. SPIE 3002, 67, 1997).
104
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Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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WHITE
SOLID-STATE
LAMP
105
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Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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CRI for White Light
Spectral Range Temperature (K) Efficacy (lm/W) General
CRI
2856 17 100
4870 79 100

Full (Planckian)
6504 95 100
2856 154 100
4870 196 100
380 nm-780 nm
(trimmed-
Planckian)
6504 193 100
2856 334 95
4870 320 95
430 nm-660 nm
(trimmed-
Planckian)
6504 305 95

( ) ( ) ( ) , d S d S V K
} }

=
0
780
380
W lm 683
106
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Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Optimization of White
Polychromatic Semiconductor Lamp
Approach: Find the global maxima of the
objective function for different values of o.
( ) ( )
a n n
R K I I F o o
o
+ = 1 ,..., , ,...,
1 1
107
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Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Phase distribution for a dichromatic white lamp with the
30-nm line width of the primary sources and 4870 K color
temperature (after ukauskas et al., Appl. Phys. Lett. 80, 2002).

0 100 200 300 400
-60
-40
-20
0
20
380/569 nm
489/591 nm
496/635 nm
481/580 nm
450/571 nm
R
a
K (lm/W)
108
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Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Optimal boundaries of the phase distribution for 4870-K
white-light sources containing 2, 3, 4, and 5 primary sources
with the 30-nm line widths (after ukauskas et al., Appl. Phys.
Lett. 80, 2002). Crosses mark the points that are suggested for
highest reasonable CRI for each number of the primary sources.

320 340 360 380 400 420 440
5
10
20
30
40
50
60
70
80
90
95
98
99
99.5
R
a
5
4
3
2
Systems:
quintichromatic
quadrichromatic
trichromatic
dichromatic


K (lm/W)
109
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Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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InGaN based luminescence conversion white LED
(after S.Nakamura and G.Fasol, The Blue Laser Diode: GaN
Based Light Emitters and Lasers, Springer, Berlin, 1997)

InGaN chip
Phosphor layer
110
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Energy levels of Ce3+ (4f1) in yttrium aluminum garnet Y3Al5O12
(after M.Batenschuk et al., MRS Symp. Proc. 560, 215, 1999).

2
F
7/2
4f
1
(5s
2
5p
6
)
5d
1
(5s
2
5p
6
)
Y
3
Al
5
O
12
:Ce
3+
(4f
1
)
(0/+)
5
2
0
4
6
0
5
8
0
2
F
5/2
2
D 5.1 eV
6.0 eV
7.0 eV
8.0 eV
8.6 eV
VB
CB
2.4 eV
0 eV
6.2 eV

111
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Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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White light from blue emission of AlInGaN LED (465 nm)
and yellow emission of cerium-doped garnet with
different peak wavelength positions

0.0 0.2 0.4 0.6 0.8 1.0
0.0
0.2
0.4
0.6
0.8
1.0
YAG:Ce
3+
InGaN
1
0
,
0
0
0
6
,
0
0
0
4
,
0
0
0
3
,
0
0
0
2
,
0
0
0
460
640
700
620
600
580
560
540
530
520
510
500
490
480
400


y

C
h
r
o
m
a
t
i
c
i
t
y

C
o
o
r
d
i
n
a
t
e
x Chromaticity Coordinate

112
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Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Model emission spectra of AlInGaN/(Y1-aGda)3(Al1-bGab)5O12:Ce3+
white LEDs for two compositions of garnet. Solid line, peak wavelength
of phosphor emission is at 570 nm; dashed line, for 580 nm

400 500 600 700
0.0
0.2
0.4
0.6
0.8
1.0
1.2
InGaN/YAG:Ce
3+
T=3970 K
R
a
=77
K=320 lm/W


Wavelength (nm)
I
n
t
e
n
s
i
t
y

(
a
r
b
.

u
n
i
t
s
)
T=5750 K
R
a
=79
K=310 lm/W

113
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Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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Model white emission spectrum from
AlInGaN/(SrGa2S4:Eu2++SrS:Eu2+) system (after
R.Mueller-Mach and G.O.Meuller, Proc. SPIE 3938, 30, 2000).

400 500 600 700
0.0
0.5
1.0
1.5 InGaN/(SrGa
2
S
4
:Eu
2+
+SrS:Eu
2+
)
T=3700 K
R
a
=89
K=340 lm/W


Wavelength (nm)
I
n
t
e
n
s
i
t
y

(
a
r
b
.

u
n
i
t
s
)

114
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Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
http://nina.ecse.rpi.edu/shur/
Model white emission spectrum from trichromatic PC-LED with
UV pump and three phosphors (after D.Eisert et al.,
Inst. Pure Appl. Phys. Conf. Ser. 1, 841, 2000).

400 500 600 700
0.0
0.5
1.0
1.5
T=4500 K
R
a
=90
K=330 lm/W


Wavelength (nm)
I
n
t
e
n
s
i
t
y

(
a
r
b
.

u
n
i
t
s
)

115
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
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MULTICHIP LED: 2 chip LEDs
Wavelength (nm)/Intensity Color
Temperature
(K)
1
/I
1
2
/I
2
K (lm/W) R
a
2856 450/0.157 580/0.843 492 -13
4870 450/0.325 572/0.675 430 3.0
6504 450/0.399 569/0.601 393 9.5

116
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
http://nina.ecse.rpi.edu/shur/
Optimized spectral power distributions
400 450 500 550 600 650
K=430 lm/W
R
a
=3


P
o
w
e
r

(
a
r
b
.

u
n
i
t
s
)
Wavelength (nm)
K=366 lm/W
R
a
=85




K=332 lm/W
R
a
=98



K=324 lm/W
R
a
=99



2 LEDs
3 LEDs
4 LEDs
5 LEDs
After
A.ukauskas et al.,
Appl. Phys. Lett.
80, 2002.
117
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
http://nina.ecse.rpi.edu/shur/
Variation of the peak wavelength with general CRI for solid-state
lamps composed of 2, 3, 4, and 5 primary LEDs with the 30-nm
line widths (after A.ukauskas et al., Proc. SPIE 4425, 2001)

2 5 10 20 30 40 50 60 70 80 90 95 98 99 99.5
450
500
550
600
650
2 LEDs
3 LEDs
4 LEDs
5 LEDs


P
e
a
k

w
a
v
e
l
e
n
g
t
h

(
n
m
)
R
a
118
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
http://nina.ecse.rpi.edu/shur/
Nichia LED Characteristics
Colo
r
Color DC VoltageV
F
[V] I
R
[A] P
O
[mW] Chromaticity Coordinates
*

x y
Typ. Max. Max. Typ. Typ. Typ.
BLUE 3.6 4.0 50.0 6 0.130 0.075
GREEN 3.5 4.0 50.0 4 0.170 0.700
RED 1.9 2.4 50.0 2 0.700 0.300
WHITE 3.6 4.0 50.0 (4)

0.310 0.320
Condition I
F
=20mA V
R
= 5V
*
The CIE standard colorimetric system
After http://www.nichia.co.jp/lamp-e.htm (updated June 2000)
Newer data: Dr. Zulauskas measurements: 17 mW for blue and 7 mW for green
119
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
http://nina.ecse.rpi.edu/shur/
Lumileds Laboratory Luxeon
Results (2001)
Color Luminous efficiency (lm/W)
Red 50
Red-orange 65
Amber 44
Green 50
Blue 15
White 30
After http://www.lumileds.com/technology/tutorial/slide14.htm
120
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
http://nina.ecse.rpi.edu/shur/
Lumileds Laboratory Luxeon
Results (1999/2001)
Color Lumen per LED Date
Red 105 February 2001
Amber 110 December 1999
Green 108 March 2001
White 100.2 July 2001
White >110 September 2001

After http://www.lumileds.com/technology/tutorial/slide15.htm
121
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
http://nina.ecse.rpi.edu/shur/
LED Applications
122
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
http://nina.ecse.rpi.edu/shur/
LED Applications
Signals and Displays
POWER SIGNALS
Traffic Lights
Automotive Signage
Miscellaneous Signage

DISPLAYS
Alphanumeric Displays
Full Color Video Displays
123
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
http://nina.ecse.rpi.edu/shur/
LED Power Signal (after D.L.Evans,
Proc. SPIE 3002, 142, 1997).
Moisture seal
Housing
Housing gasket
Cover lens
LED assembly
Standard connectors
Secondary optics
Drive electronics
124
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
http://nina.ecse.rpi.edu/shur/
Vehicle Light
Signal
After D.Decker, Automot. Eng. Int. 108, 62, 2000.
125
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
http://nina.ecse.rpi.edu/shur/
Pixels for Displays

B B
G
R R
R G
G
B
R G
R G
B
R G
126
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
http://nina.ecse.rpi.edu/shur/
LED Applications (Biomedical)
MEDICAL APPLICATIONS
Phototherapy of Neonatal Jaundice
Photodynamic Therapy
Photopolymerization of Dental Composites
Phototherapy of Seasonal Affective Disorder

PHOTOSYNTHESIS
Plant Growing
Photobioreactors

OPTICAL MEASUREMENTS
Fluorescent Sensors
Time-Domain and Frequency-Domain Spectroscopy
Other Optical Applications
127
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
http://nina.ecse.rpi.edu/shur/
Schematic spectrum
of photosynthetic quantum action of plants
(after K.J.McCree, Agr. Meteorol. 10, 443, 1972).

300 400 500 600 700 800
0.0
0.2
0.4
0.6
0.8
1.0
1.2


Wavelength (nm)
Q
u
a
n
t
u
m

a
c
t
i
o
n

(
a
r
b
.

u
n
i
t
s
)
Normalized emission spectra of red AlGaAs (660 nm)
and blue InGaN (450 nm) LEDs are also shown.
128
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
http://nina.ecse.rpi.edu/shur/
LED-based photobioreactor
(after C.-G.Lee and B..Palsson, Biotechnol. Bioeng. 44, 1161, 1994)

LED
Illumination

Chamber
Gas
Control

Unit

New
Medium

Waste
Ultra -
Filtration
Unit
Liquid/Gas

Separator
Ci rculation
Pump
129
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
http://nina.ecse.rpi.edu/shur/
LED Applications - Lighting
ILLUMINATION
Local Illumination
General Lighting

Cone
Reflector
Parabolic
Reflector
Fresnel
Lens

LED array
LED Floodlight (after A.Garca-Botella et al., J. IES
29, 135, 2000)
130
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
http://nina.ecse.rpi.edu/shur/
Cross-section of a LED fiber light engine (after
M. R. Krames et al., Proc. SPIE 3938, 2, 2000).

Electronics

Driver
Optics
Housing

LED Array
Fiber
Interface
131
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
http://nina.ecse.rpi.edu/shur/
SOME of LED WEB SITES
http://www.misty.com/people/don/led.html
http://www.luxeon.com/index.html
http://ledmuseum.home.att.net/
http://www.nichia.com/
http://www.cree.com/
http://www.s-et.com
http://www.oida.org/
http://safeco2.home.att.net/laser.htm
132
From Introduction to Solid State Lighting A. Zukauskas, M. S. Shur, and R. Gaska,
Copyright Wiley (2002). Used by permission of John Wiley and Sons, Inc.
http://nina.ecse.rpi.edu/shur/
Conclusion
... it is vital to know that the LED is an ultimate
form of lamp, in principle and in practice, and
that its development indeed can and will continue
until all power levels and colors are realized.

HOLONYAK, N., JR. (2000), Is the light emitting diode (LED)
an ultimate lamp? Am. J. Phys. 68 (9), pp. 864-866.