**FINANCIAL ASSISTANCE**

**ANNOUNCEMENT OF**

**FUNDING OPPORTUNITY**

![](media/image1.png){width="1.375in" height="1.375in"}

**Solid State Lighting Product Development**

**DE-PS26-04NT42118-00**

**CFDA Number:**

**CONTACT: Keith L. Carrington, Contract Specialist**

**TELEPHONE NO.: (304) 285-4456**

**FAX NO.:**

**E-MAIL: keith.carrington@netl.doe.gov**

**ISSUING OFFICE: U.S. DEPARTMENT OF ENERGY**

**ISSUE DATE: May 20, 2004**

**DUE DATE: July 8, 2004**

Information regarding this funding opportunity announcement is available
on the Department of Energy, Industry Interactive Procurement System
(IIPS) web site at: [http://e-center.doe.gov](http://e-center.doe.gov/)

**[TABLE OF CONTENTS]{.underline}**

**[SECTION I - FUNDING OPPORTUNITY DESCRIPTION]{.underline}**
[4](#__RefHeading___Toc72840660)

**1.1 [SUMMARY]{.underline}** [4](#__RefHeading___Toc72840661)

**1.2 [BACKGROUND INFORMATION]{.underline}**
[4](#__RefHeading___Toc72840662)

**1.3 [OBJECTIVES]{.underline}** [6](#__RefHeading___Toc72840663)

**1.4 [PROJECTED PERFORMANCE OF WHITE-LIGHT LED DEVICES]{.underline}**
[6](#__RefHeading___Toc72840664)

**1.5 [TECHNOLOGY MATURATION STAGES]{.underline}**
[7](#__RefHeading___Toc72840665)

**1.6 [PROGRAM AREAS OF INTEREST]{.underline}**
[8](#__RefHeading___Toc72840666)

**[SECTION II - AWARD INFORMATION]{.underline}**
[15](#__RefHeading___Toc72840667)

**2.1 [TYPE OF AWARD INSTRUMENT - COOPERATIVE AGREEMENTS (OCT
2003)]{.underline}** [15](#__RefHeading___Toc72840668)

**2.2 [ESTIMATED FUNDING (OCT 2003)]{.underline}**
[15](#__RefHeading___Toc72840669)

**2.3 [MAXIMUM AND MINIMUM AWARD SIZE (OCT 2003)]{.underline}**
[15](#__RefHeading___Toc72840670)

**2.4 [EXPECTED NUMBER OF AWARDS (OCT 2003)]{.underline}**
[15](#__RefHeading___Toc72840671)

**2.5 [ANTICIPATED AWARD SIZE (OCT 2003)]{.underline}**
[15](#__RefHeading___Toc72840672)

**2.6 [PERIOD OF PERFORMANCE (OCT 2003)]{.underline}**
[15](#__RefHeading___Toc72840673)

**[SECTION III - ELIGIBILITY INFORMATION]{.underline}**
[16](#__RefHeading___Toc72840674)

**3.1 [ELIGIBLE APPLICANTS (OCT 2003)]{.underline}**
[16](#__RefHeading___Toc72840675)

**3.2 [NOTICE REGARDING ELIGIBILITY OF ORGANIZATIONS DESCRIBED IN
SECTION 501(C)(4) OF THE INTERNAL REVENUE CODE (OCT 2003)]{.underline}**
[16](#__RefHeading___Toc72840676)

**3.3 [COST SHARING OR MATCHING - EPACT (OCT 2003)]{.underline}**
[16](#__RefHeading___Toc72840677)

**3.4 [ENERGY POLICY ACT ELIGIBILITY REQUIREMENTS (OCT
2003)]{.underline}** [16](#__RefHeading___Toc72840678)

**3.5 [FEDERALLY FUNDED RESEARCH AND DEVELOPMENT CENTERS (FFRDC) (JAN
2004)]{.underline}** [16](#__RefHeading___Toc72840679)

**3.6 [PARTICIPATION BY FEDERALLY FUNDED RESEARCH AND DEVELOPMENT CENTER
CONTRACTORS (OCT 2003)]{.underline}** [16](#__RefHeading___Toc72840680)

**[SECTION IV - APPLICATION AND SUBMISSION INFORMATION]{.underline}**
[18](#__RefHeading___Toc72840681)

**4.1 [ADDRESS TO REQUEST APPLICATION PACKAGE (OCT 2003)]{.underline}**
[18](#__RefHeading___Toc72840682)

**4.2 [DUNS NUMBER (NOV 2003)]{.underline}**
[18](#__RefHeading___Toc72840683)

**4.3 [PRE-APPLICATION - NOT REQUIRED (OCT 2003)]{.underline}**
[18](#__RefHeading___Toc72840684)

**4.4 [PROGRAM AREAS OF INTEREST (OCT 2003)]{.underline}**
[18](#__RefHeading___Toc72840685)

**4.5 [APPLICATION (MAR 2004)]{.underline}**
[18](#__RefHeading___Toc72840686)

**4.6 [APPLICATION FILE (DEC 2003)]{.underline}**
[19](#__RefHeading___Toc72840687)

**4.7 [BUDGET FILE (DEC 2003)]{.underline}**
[19](#__RefHeading___Toc72840688)

**4.8 [BUDGET JUSTIFICATION FILE (MAR 2004)]{.underline}**
[19](#__RefHeading___Toc72840689)

**4.9 [PROJECT SUMMARY/ABSTRACT (DEC 2003)]{.underline}**
[21](#__RefHeading___Toc72840690)

**4.10 [PROJECT NARRATIVE FILE (DEC 2003)]{.underline}**
[21](#__RefHeading___Toc72840691)

**4.11 [CERTIFICATIONS/ASSURANCES/REPRESENTATIONS FILE (DEC
2003)]{.underline}** [25](#__RefHeading___Toc72840692)

**4.12 [ATTACHMENT 1 FFRDC ATTACHMENT (DEC 2003)]{.underline}**
[25](#__RefHeading___Toc72840693)

**4.13 [ATTACHMENT 2 BIOGRAPHICAL SKETCH (DEC 2003)]{.underline}**
[25](#__RefHeading___Toc72840694)

**4.14 [ATTACHMENT 3 COMMITMENT LETTERS FROM THIRD PARTIES CONTRIBUTING
TO COST SHARING (OCT 2003)]{.underline}**
[26](#__RefHeading___Toc72840695)

**4.15 [MORE THAN ONE APPLICATION (JAN 2003)]{.underline}**
[26](#__RefHeading___Toc72840696)

**4.16 [APPLICATION DUE DATE (OCT 2003)]{.underline}**
[26](#__RefHeading___Toc72840697)

**4.17 [INTERGOVERNMENTAL REVIEW - NONE (OCT 2003)]{.underline}**
[26](#__RefHeading___Toc72840698)

**4.18 [FUNDING RESTRICTIONS (DEC 2003)]{.underline}**
[26](#__RefHeading___Toc72840699)

**4.19 [OTHER SUBMISSION REQUIREMENTS (OCT 2003)]{.underline}**
[27](#__RefHeading___Toc72840700)

**[SECTION V - APPLICATION REVIEW INFORMATION]{.underline}**
[28](#__RefHeading___Toc72840701)

**5.1 [INITIAL REVIEW CRITERIA (OCT 2003)]{.underline}**
[28](#__RefHeading___Toc72840702)

**5.2 [MERIT REVIEW CRITERIA (APR 2004)]{.underline}**
[28](#__RefHeading___Toc72840703)

**5.3 [OTHER SELECTION FACTORS (OCT 2003)]{.underline}**
[29](#__RefHeading___Toc72840704)

**5.4 [REVIEW AND SELECTION PROCESS (OCT 2003)]{.underline}**
[29](#__RefHeading___Toc72840705)

**5.5 [ANTICIPATED ANNOUNCEMENT AND AWARD DATES (OCT
2003)]{.underline}** [30](#__RefHeading___Toc72840706)

**[SECTION VI - AWARD ADMINISTRATION INFORMATION]{.underline}**
[31](#__RefHeading___Toc72840707)

**6.1 [AWARD NOTICES (OCT 2003)]{.underline}**
[31](#__RefHeading___Toc72840708)

**6.2 [ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS (OCT
2003)]{.underline}** [31](#__RefHeading___Toc72840709)

**6.3 [LOBBYING RESTRICTION (INTERIOR ACT FY 2004) (MAR
2004)]{.underline}** [31](#__RefHeading___Toc72840710)

**6.4 [NOTICE REGARDING THE PURCHASE OF AMERICAN-MADE EQUIPMENT AND
PRODUCTS \-- SENSE OF CONGRESS (MAR 2004)]{.underline}**
[31](#__RefHeading___Toc72840711)

**6.5 [COMPLIANCE WITH BUY AMERICAN ACT (MAR 2004)]{.underline}**
[31](#__RefHeading___Toc72840712)

**6.6 [REPORTING (NOV 1998)]{.underline}**
[32](#__RefHeading___Toc72840713)

**6.7 [ENVIRONMENTAL, SAFETY & HEALTH (OCT 2003)]{.underline}**
[32](#__RefHeading___Toc72840714)

**6.8 [NOTICE REGARDING UNALLOWABLE COSTS AND LOBBYING ACTIVITIES (NOV
1998)]{.underline}** [32](#__RefHeading___Toc72840715)

**6.9 [REPORTING REQUIREMENTS (DEC 2003)]{.underline}**
[32](#__RefHeading___Toc72840716)

**[SECTION VII - AGENCY CONTACTS]{.underline}**
[33](#__RefHeading___Toc72840717)

**7.1 [QUESTIONS (OCT 2003)]{.underline}**
[33](#__RefHeading___Toc72840718)

**[SECTION VIII - OTHER INFORMATION]{.underline}**
[34](#__RefHeading___Toc72840719)

**8.1 [MODIFICATIONS (OCT 2003)]{.underline}**
[34](#__RefHeading___Toc72840720)

**8.2 [GOVERNMENT RIGHT TO REJECT OR NEGOTIATE (OCT 2003)]{.underline}**
[34](#__RefHeading___Toc72840721)

**8.3 [COMMITMENT OF PUBLIC FUNDS (OCT 2003)]{.underline}**
[34](#__RefHeading___Toc72840722)

**8.4 [PROPRIETARY APPLICATION INFORMATION (OCT 2003)]{.underline}**
[34](#__RefHeading___Toc72840723)

**8.5 [EVALUATION BY NON-FEDERAL REVIEWERS (OCT 2003)]{.underline}**
[34](#__RefHeading___Toc72840724)

**8.6 [INTELLECTUAL PROPERTY DEVELOPED UNDER THIS PROGRAM (OCT
2003)]{.underline}** [34](#__RefHeading___Toc72840725)

**8.7 [NOTICE OF RIGHT TO REQUEST PATENT WAIVER (OCT
2003)]{.underline}** [35](#__RefHeading___Toc72840726)

**8.9 [NOTICE REGARDING ELIGIBLE/INELIGIBLE ACTIVITIES (AUG
1999)]{.underline}** [35](#__RefHeading___Toc72840727)

**[EXHIBIT A -- FEDERAL ASSISTANCE REPORTING CHECKLIST]{.underline}**
[36](#__RefHeading___Toc72840728)

**[EXHIBIT B -- LED TECHNOLOGY PERFORMANCE FORECASTS]{.underline}**
[39](#__RefHeading___Toc72840729)

**[EXHIBIT C -- GUIDE FOR EVALUATION OF ENERGY SAVINGS POTENTIAL --
SOLID STATE LIGHTING RESEARCH AND DEVELOPMENT]{.underline}**
[42](#__RefHeading___Toc72840730)

[**SECTION I - FUNDING OPPORTUNITY DESCRIPTION**]{.underline}
[]{#__RefHeading___Toc72840660 .anchor}

**1.1 [SUMMARY ]{.underline}** []{#__RefHeading___Toc72840661 .anchor}

The Department of Energy (DOE), National Energy Technology Laboratory
(NETL), on behalf of the Office of Energy Efficiency and Renewable
Energy's (EERE) Building Technologies Program (BT), is seeking
applications for product development of Solid State Lighting (SSL)
Technologies. DOE has set aggressive and ambitious goals for SSL
Research and Development: By 2015, to develop advanced solid state
lighting technologies that, compared to conventional lighting
technologies, are much more energy efficient, longer lasting, and
cost-competitive. The objective of this Funding Opportunity Announcement
is to solicit applications from industrial partners that begin to
examine certain high priority product development activities that will
advance the lighting research and development (LR&D) portfolio of SSL
beyond its present embryonic state. Like previous funding opportunity
announcements in the SSL Program, this one also seeks to advance the
collaborative atmosphere of the LR&D SSL program to identify potential
product concepts; and incorporate into products supportive technologies
that are novel, innovative and groundbreaking, that fill technology
voids or that otherwise represent a technological advancement of SSL
products.

While the current generation of SSL products are commercially viable and
in some instances, may serve the energy conservation goals of the DOE,
they are most often used in markets that do not produce the large energy
conservation objectives sought by DOE.

**1.2 [BACKGROUND INFORMATION ]{.underline}**
[]{#__RefHeading___Toc72840662 .anchor}

The lighting industry is nearly 100 years old and is often characterized
as a mature industry. As with any mature commodity-based business,
little innovation or research is expended towards product evolution or
innovation beyond what is needed to maintain manufacturing, marketing
and distribution costs within acceptable parameters. Thus, little
industrial funding is available to support a concentrated research
effort aimed at exploiting the promise of a revolutionary technology
like SSL. Throughout the past four years, with well over 10,000 person
hours invested by industry, academia and Government, the prevailing
theme that has surfaced repeatedly is that the promise of solid state
lighting will only be produced through a focused and concentrated effort
between the stake holders.

Today, the lighting industry in North America is worth approximately
\$45 Billion in sales annually. Of this, approximately \$12 Billion is
associated with lamps while the remaining sales are divided between
fixtures, components (including ballasts and controls) and services such
as design and maintenance. High brightness LED sales, a popular product
thought by many to be the nearest term solution to SSL, is a \$1 to \$2
Billion business with exponential growth prospects. Still, even though
each of the major lamp manufacturers is involved in some sort of an SSL
venture, most of the technology development is being advanced by
companies unfamiliar with the century-old experiences in the fiercely
competitive environment associated with lighting. For these reasons, it
is difficult to imagine that the lighting industry would undertake the
development of energy efficient and cost competitive SSL products alone.

To address these issues and to advance energy conservation in lighting
in US Buildings, the DOE's Building Technologies Program maintains a
Lighting Research and Development (LR&D) activity. Key to the objectives
of this activity is its mission statement.

To insure that its research portfolio meets critical and evolving needs
in a timely fashion, the LR&D activity has and continues to host
industry-led efforts to develop and maintain a series of technology road
maps for the various technologies that comprise the lighting business.
While not the only lighting technology of interest within the Building
Technologies Program portfolio, SSL is the ***singular*** focus of the
present Funding Opportunity Announcement. SSL has been the focus of five
discrete road-mapping exercises during the past three years. The most
recent event was held in November, 2003. It was successful in
prioritizing the product development research areas described in this
Funding Opportunity Announcement. These technical priorities and need
areas are outlined in Article 1.6, "Program Areas of Interest."
Information developed for and by this workshop may be viewed and
downloaded at <http://www.netl.doe.gov/ssl/>. Workshops like this one
are planned in the future and will help to align Government SSL R&D
directions with the high-priority needs identified by industry.

The SSL portfolio has developed a specific statement of objectives
tailored to the aggressive needs suitable for general illumination
applications. It targets aggressive performance goals that, if met and
successfully deployed into the marketplace, will achieve the energy
conservation goals of the LR&D program while meeting or exceeding the
performance attributes of electric light that allows for direct
comparison to natural sunlight spectra.

As the relevant SSL technology base matures, it is anticipated that the
level of technology maturation will advance from the present level,
applied research, eventually to market conditioning once the targets for
efficiency, cost, longevity, stability and control are demonstrated in a
product environment. This sequence of technology maturation is
illustrated graphically in the figure below.

![](media/image2.jpeg){width="4.888888888888889in"
height="3.6666666666666665in"}

Figure 1 -- Pyramid Schematic Representation of the DOE's Solid State
Lighting Portfolio.

Resulting in part from the November, 2003 meeting, EERE will conduct a
series of actions to complete the levels of the pyramid. One action,
running concurrently to this Funding Opportunity Announcement, will be
to competitively select an organization or association (referred to as
the SSL Partnership) that broadly represents the SSL manufacturing
industry. It is envisioned that, among other things, the Partnership
members will provide input and prioritization of future Core Technology
needs. The Government expects to enter into a Memorandum of Agreement
(MOA) with the selected Partner since no Federal funding will be
provided to the MOA Partner. Another set of actions, i.e. related to
core technologies, seeks to identify the Core Technology needs in an
attempt to address the crosscutting or technology gap needs, benefiting
multiple technology platforms and manufacturers.

Current information about the DOE's SSL portfolio can be found at:
[**http://www.netl.doe.gov/ssl/**](http://www.netl.doe.gov/ssl/)

Information about advanced building technologies, systems and
partnership opportunities that promote energy efficiency, renewable
energy and pollution prevention is at:
[**http://www.eren.doe.gov/buildings/**](http://www.eren.doe.gov/buildings/)

A summary report, titled "Illuminating the Challenges: Solid State
Lighting Portfolio Planning Workshop Report", detailing the SSL workshop
can be found at: **<http://www.netl.doe.gov/ssl/>**

**1.3 [OBJECTIVES ]{.underline}** []{#__RefHeading___Toc72840663
.anchor}

The focus of this Funding Opportunity Announcement is to solicit
applications from industrial organizations that begin to examine certain
high priority product development activities that will advance the LR&D
portfolio of SSL beyond its present embryonic state. Like previous
funding opportunity announcements in the SSL series, this one also seeks
to advance and promote the collaborative atmosphere of the LR&D SSL
program to identify potential product concepts; and incorporate into
products supportive technologies that are novel, innovative and
groundbreaking or that fill technology voids or that otherwise represent
a technological advancement of SSL products.

The overall objectives of the SSL portfolio span four broad categories
as are illustrated in the Pyramid Schematic in Figure 1. The present
Funding Opportunity Announcement (FOA) is focused on solid state
lighting product development but includes application and, in some
cases, a product-focused application of applied research supported by
academia, national laboratories or the private sector under other
announcement(s) or development programs.

The Program Areas of Interest described in Article 1.6 are generally
representative of the priority R&D topics that were recommended by the
SSL community at the SSL Workshop in November 2003. Quality applications
should target a specific SSL product and make notable progress toward
achieving performance and price goals, as noted in Table 1 (below) for
commercially available products or for lab devices in Table 2. Given the
maturity of OLED technology relative to white light products, similar
detailed forecast data is not available. These goals for the proposed
product (especially the efficacy) will be used in the estimation of
energy savings, as noted in Article 5.2, Criterion #2. The capability of
the applicant's product to save energy in the near-term is required, not
the potential of SSL in 20 years (or other broader, more future
performance).

**1.4 [PROJECTED PERFORMANCE OF WHITE-LIGHT LED DEVICES ]{.underline}**
[]{#__RefHeading___Toc72840664 .anchor}

In an effort to provide a better basis for assessing the energy savings
potential of Solid State Lighting (SSL), the Department of Energy (DOE)
studied the price and performance of white light emitting diode (LED)
devices operating at a correlated color temperature (CCT) of
approximately 3000K and a color rendering index (CRI) of 80 or higher.
Two projection estimates were prepared, one for commercially available
LEDs, and one for certain future laboratory prototype LEDs. Exhibit B
provides some of the background and rationale behind these projections.

Table 1 presents the projected performance of commercially available
white-light LEDs. These data represent the "high CRI" SSL sources
projected under the accelerated investment scenario of a recent DOE
study.[^1] The cost and performance estimates were developed in
consultation with industry, and represent the average performance of
white-light LED systems sold to consumers.

Table 1. Commercially Available White-Light LED System Efficacy
Estimates\*

  --------------- ---------- ---------- ---------- ---------- ---------- ---------- ---------- ---------- ----------
                  **2005**   **2006**   **2007**   **2008**   **2009**   **2010**   **2015**   **2020**   **2025**

  Efficacy\       47         56         66         76         88         99         142        158        162
  (lumens/watt)                                                                                           

  Lamp Life (1000 16         19         23         28         36         45         87         98         100
  hours)                                                                                                  

  Lamp Cost       146        127        107        86         67         51         11         4.3        3.3
  (\$/klm)                                                                                                
  --------------- ---------- ---------- ---------- ---------- ---------- ---------- ---------- ---------- ----------

\* Note: This projection is for white-light LEDs operating at a CCT of
3000K and a CRI of 80 or higher, and includes system losses. This
projection is based on the accelerated investment scenario for High CRI
SSL sources.

Table 2 provides a projection of the performance levels the Department
anticipates for laboratory LEDs. These data represent the anticipated
performance estimates of future prototype LEDs to be developed in
leading research laboratories in the United States.

Table 2. Laboratory Efficacy Estimates for White-Light LED Technology\*

  --------------- ---------- ---------- ---------- ---------- ---------- ---------- ---------- ---------- ---------- ----------
                  **2005**   **2006**   **2007**   **2008**   **2009**   **2010**   **2015**   **2020**   **2025**   **2030**

  Efficacy\       90         103        115        125        132        154        183        196        199        200
  (lumens/watt)                                                                                                      

  Life\           28         36         45         55         65         74         96         100        100+       100+
  (1000 hours)                                                                                                       
  --------------- ---------- ---------- ---------- ---------- ---------- ---------- ---------- ---------- ---------- ----------

\* Note: This projection is for white-light LED chips operating at a CCT
of 3000K and a CRI of 80 or higher. These performance characteristics
have not been demonstrated yet.

Over the next five years, commercialized white-light LEDs will be driven
primarily by phosphor-converting LED (pcLED) devices. In this time
frame, it is expected that research laboratories will focus on both
improving white-light production techniques for pcLEDs while expanding
their research into color-mixing approaches to white-light production
that incorporate three or more discrete LED elements \[or die\].
Breakthroughs in phosphor technology aside, color-mixing is thought by
many to represent the most promising approach for developing
high-efficacy, white-light LEDs in the long-term. For example, a three
color element device that operates at a CCT of 3000K and 80 CRI, has a
theoretical maximum efficacy of more than 400 lumens per watt. For this
system, assuming a 50% device efficiency, overall device efficiency
could exceed 200 LPW. The principal advantage of the color-mixing method
is that it does not involve phosphors, thereby minimizing losses in the
white-light production mechanism. However, discrete color-mixing
incorporates challenges such as multi-chip mounting, sophisticated
optics for blending discrete colors, and color control feedback
circuitry that may impact its value proposition.

**1.5 [TECHNOLOGY MATURATION STAGES ]{.underline}**
[]{#__RefHeading___Toc72840665 .anchor}

Successful applications submitted to this FOA shall address specific
products either by providing certain enabling applied research specific
to a product design and/or by producing engineering development leading
to a specific product design. Thus, applications may include applied
research, but its relevance to a specific product must be clearly
identified. The ultimate product must be fully described and its
anticipated price and performance should be clearly elucidated. The
contribution that the proposed project will make towards the realization
of the product must also be clearly described. Any variation from the
price and performance projections of Table 1 must be clearly identified
and explained.

**The technology maturation stages eligible for this Funding Opportunity
Announcement are limited to Stage 2 through and including Stage 5.**
Each stage is defined below in order to provide the overall picture of
which stage a particular R&D activity on a technology may fit.
Applicants must identify the stage(s) in which their effort will reside.

### Technology Maturation Stage 1 -- Basic Science Research (excluded from this FOA)

> Fundamental science exploration is performed to expand the
> knowledge-base in a given field. Scientific principles (with
> data-empirical and/or theoretical derivation) are formulated and
> proven. The output from these projects would generally be
> peer-reviewed papers published in recognized scientific journals.
> Specific applications are not necessarily identified in Stage 1.

**Technology Maturation Stage 2 - Applied Research**

> Scientific principles are demonstrated, an application is identified,
> and the technology shows potential advantages in performance over
> commercially available technologies. Lab testing and/or math modeling
> is performed to identify the application(s), or provide the options
> (technical pathways) to an application. Testing and modeling add to
> the knowledge base that supports an application and point to
> performance improvements.
>
> **Technology Maturation Stage 3 -- Exploratory Development**
>
> A product concept addresses an energy efficiency priority. From lab
> performance testing, down select from alternative technology
> approaches for best potential performance, via selection of materials,
> components, processes, cycles, and so on. With lab performance testing
> data, down select from a number of market applications to the initial
> market entry ideas. This product concept must exhibit cost and/or
> performance advantages over commercially available technologies.
> Technical feasibility should be demonstrated through component
> bench-scale testing with at least a laboratory breadboard of the
> concept.
>
> **Technology Maturation Stage 4 -- Advanced Development**

### Product concept testing is performed on a fully functional lab prototype -- "proof of design concept" testing. Testing is performed on prototypes for a number of performance parameters to address issues of market, legal, health, safety, etc. Through iterative improvements of concept, specific applications and technology approaches are refocused and "down selected." Product specification (for manufacturing or marketing) is defined. Technology should identify clear advantages over commercially available technologies, and alternative technologies, from detailed assessment.

### Technology Maturation Stage 5 -- Engineering Development 

> "Field ready prototype" system is developed to refine product design
> features and performance limits. Performance mapping is evaluated.
> Performer conducts testing of a field-ready prototype/system in a
> representative or actual application with a small number of units in
> the field. The number of units is a function of unit cost, market
> influences (such as climate), monitoring costs, owner/operator
> criteria, etc. Feedback from the owner/operator and technical data
> gathered from field trials are used to improve prototype design.
> Further design modifications and re-testing are performed as needed.

### Technology Maturation Stage 6 -- Product Demonstration (excluded from this FOA)

> Operational evaluation of the demonstration units in the field is
> conducted to validate performance as installed. Third party monitoring
> of the performance data is required, although less data is recorded
> relative to the "field ready prototype" test in Stage 5.
> Pre-production units may be used. Size of demo is a function of unit
> cost, monitoring cost, etc., and involves relatively more visibility.
> Energy savings are measured, with careful analysis of economic
> viability and field durability for specific applications.

**1.6 [PROGRAM AREAS OF INTEREST]{.underline}**
[]{#__RefHeading___Toc72840666 .anchor}

There are four broad Areas of Interest for this Funding Opportunity
Announcement and six applied research sub-topics that contribute to the
areas. Each represents a high priority applied research or product
development area that was identified in the SSL Workshop of November
2003. Applicants must select and target only one (1) Area of Interest
per application. Although there may be some technical overlap, a single
application must be submitted for each technology or technical approach
that best fits into a single Area of Interest.

For example, a future product concept might involve LEDs used in a
luminaire design (Area of Interest 1). One technical approach might be
to use pc-LEDs and another might use many different color LEDs combined
in a matrix. Each of these would represent a different approach to a
single Area of Interest and must be proposed separately. Furthermore, in
order to meet the price and performance goals of Table 1, an advanced
LED architecture might be required (sub-topic 1.2.1). In this simple
example, applied research aimed at developing this new LED architecture
might be necessary before devices can be made at the efficacy levels
proposed. Thus, an application might include such applied research from
subtopic 1.2.1 but would be targeted to a single, specific technical
approach ultimately to be embodied in a product as described in Area of
Interest 1. More than one sub-topic may be included for each response to
one Area of Interest.

The Areas of Interest target product development opportunities in both
Light Emitting Diodes (LED) and Organic Light Emitting Diodes (OLED).
Applicable to the Areas of Interest, six sub-topics comprised of high
priority, applied research are also described. **Applications may or may
not include the performance of the described sub-topics but, if
included, such performance must be proposed under one of the Areas of
Interest.** Descriptive information on the Areas of Interest is provided
in the following paragraphs:

> **[Area of Interest 1: LED Luminaire Design and
> Materials]{.underline}** **-- Area of Interest Number:
> (DE-PS26-04NT42118-01)**
>
> Current SSL devices are limited in optical output and overall efficacy
> by many factors including out-coupling efficiency sometimes termed
> external quantum efficiency and thermal management, a product of
> internal and external quantum efficiency being less than unity. While
> significant improvements in these areas have been made over the past
> few years, there must be considerable improvement in price and
> performance if SSL is to realize the predicted energy conservation
> promised. Numerous limitations in materials and packaging constrain
> the products available today to conspicuity applications such as
> traffic signals, display applications such as cell phones and
> specialty illumination applications such as flashlights where their
> performance attributes are extremely well matched to the requirements.
> While the complete understanding of how today's materials systems
> limit performance remains largely unknown, this is the subject of a
> companion announcement (see "Core" research FOA located at
> www.netl.doe.gov/ssl). Instead, applied research and engineering that
> incorporates this new found knowledge and applies it to products and
> packages that exceed present performance limitations of 50 to 80 LPW
> for LEDs is sought. Applications may be submitted that seek to develop
> the necessary engineering expertise to use novel materials and systems
> in practical devices; make practical materials systems using
> alternative, potentially low cost processes; incorporate novel
> packaging designs and geometries; explore innovative light extraction
> mechanisms; or manage heat transfer in novel yet effective ways.
>
> Building upon established and demonstrated scientific principles,
> successful applications shall clearly illustrate the potential
> advantage(s) of the proposed innovation of design or materials or both
> in price and performance over commercially available technologies.
> This may be demonstrated either by laboratory testing and/or
> mathematical modeling. In any case, the proposed work must clearly
> demonstrate the commercial viability and increased value relationship
> to the DOE in terms of reduced cost, increased optical output and
> increased efficacy. The target values of these metrics are fully
> described for LEDs in Article 1.4
>
> Thus, device improvements of several orders of magnitude to the price
> and performance of these devices are vital to achieve these goals. It
> is possible that the increases sought by the research and development
> under this announcement may not achieve these sizable but possible
> improvements alone. Additional, future core research may be needed or
> product advancements in areas not identified under this announcement
> may be necessary. These may be included in future funding opportunity
> announcements but are specifically excluded from the present one.
>
> \[For more information, refer to SSL research topic 2.1.1 of
> *Illuminating the Challenges: Solid State Lighting Portfolio Planning
> Workshop Report* at <http://www.netl.doe.gov/ssl/>\]
>
> **[Area of Interest 2: High Efficiency, Reliable, Intelligent
> Electronics for LEDs]{.underline}** **-- Area of Interest Number:
> (DE-PS26-04NT42118-02)**
>
> High efficiency, reliable, intelligent power supplies and specialized
> electronics for LED products are already under development for
> applications that presently demand them. As a result, products for
> non-general illumination applications tend to drive the development of
> these electronics potentially limiting their efficiency and
> performance for general illumination needs. Moreover, the present day,
> commercially available power supplies are limited in capability and do
> not include the flexibility and functionality required to fully
> satisfy the unique performance requirements anticipated for successful
> near-term SSL products. While the final, longer- term product vision
> for SSL remains unknown, it is clear that near-term SSL products,
> built upon existing technology or research supported under the DOE
> LR&D program or elsewhere, may become commercial successes by serving
> the immediate needs of the general illumination industry. Thus, highly
> efficient, reliable, flexible, intelligent and advanced electronics
> will be required to power or be a part of these nearer term SSL
> devices and systems.
>
> Even though the final SSL products may not possess the same power
> requirements as the near-term products, development of specialized
> power supplies and intelligent electronics tailored to these near-term
> products may allow them to be as efficient as possible. Thus,
> high-reliability, programmable power supplies and drive electronics
> that are either designed for compatibility with existing products or
> are flexible or adaptive enough to accommodate future SSL innovations
> are sought. Applications that include special features such as
> dimming, networking, controls and maintenance of luminous output over
> their lifetime will be a special interest. Only applications that
> specifically address this opportunity will be accepted under this area
> of interest. Each application shall fully describe the innovation and
> compare performance of it to existing electronics. Price and
> performance comparisons between existing electronics and the
> anticipated innovation must be included in each application.
>
> \[For more information, refer to SSL research topic 2.1.4 of
> *Illuminating the Challenges: Solid State Lighting Portfolio Planning
> Workshop Report* at <http://www.netl.doe.gov/ssl/>\]
>
> ***[Sub-Topics Descriptions (from the November 2003 SSL Planning
> Meeting):]{.underline}***
>
> The following sub-topics (1.1.2, 1.2.1 and 1.2.2) may be addressed in
> applications in response to Areas of Interest 1 or 2. The reference
> numbers provided refer to the *Illuminating the Challenges: Solid
> State Lighting Portfolio Planning Workshop Report*.

2.  ***High Efficiency Visible and Near UV (\>380 nm) Semiconductor
    Materials for LED Based General Illumination Technology***

Current nitride compound semiconductors are incapable of achieving the
price and performance targets described in the SSL program objectives
for a variety of reasons. While significant improvements have been made,
today's products are not able to meet these requirements primarily due
to limitations in materials and packaging. Also, a complete basic
understanding of how material quality ultimately effects device
performance is still lacking. Significant advancements in the basic
materials technology associated with visible and near UV LEDs is
required to advance performance characteristic of current devices beyond
their present limitations of 50 to 80 LPW. These advancements must not
only produce the substantial gains in the light production efficiency
required but must also address the significant costs normally associated
with the complex and labor intensive epitaxial growth required to
produce these devices. Applied research in both conventional nitride
systems as well as exploration of novel material systems is necessary to
ultimately produce the efficient materials system(s) required to improve
the price and performance of these devices the several orders of
magnitude required to make them practical solutions to general
illumination challenges. Also, advancements in P-doping efficiency and
novel charge introduction structures may produce significant fundamental
advancements in existing materials systems. Advancements in high purity
process materials and growth structures may also significantly improve
device performance by limiting photon inhibiting processes thought to be
associated with defects, dislocations, and other crystalline artifacts.

1.  ***Advanced Architectures and High Power Conversion Efficiency
    Emitters***

Advanced device architectures that optimize both electrical transport
and optical properties will be needed to achieve longer-term efficiency
goals in excess of 160 lumens/Watt and consequently, meaningful energy
savings. Traditional LED designs will rely on novel fabrication methods,
including chip-shaping, texturing, laser liftoff, etching, and novel
metallization for improved efficiency. More advanced light emitting
designs that might include micro cavities, photonic lattices, quantum
dots, edge-emitting and vertical-cavity laser structures are sought
under this sub-topic. Fundamental advancements and novel innovations
associated with chip-level architectures and high power conversion
efficiency are believed by many to be the key to production of
significant increases in power handling capability. Applied research
directed at novel chip scaling, producing practical and cost efficient
multi-color chips, or resonant cavity devices such as lasers or
directional emitters may each produce the desired increases in power
capability. Also, for conventional chip designs, the dimensions and
locations of contacts are limiting and as chips become larger and of
greater power handling capacity, development of novel contact materials
and geometries will become increasingly important.

2.  ***High Temperature, Efficient, Long-life Phosphors, Luminescent
    Materials for Wavelength Conversion and Encapsulants***

Near term SSL general illumination products are expected to be designed
around near UV or blue emitting LEDs that capture a portion of their
monochromatic emissions with a yellow phosphor that in turn converts
some of the pump light into a broader spectrum whose combined emissivity
approximates white light of good color and spectral power. Although many
materials that are currently used for these purposes are reasonably
efficient, even more efficient phosphors and/or luminescent materials
may bring an immediate increase in device efficiency. For example,
multi-photon processes can produce quantum yields in excess of unity
even for relatively low energy excitations such as 380 nm. Suitable
hosts and materials systems need to be developed to advance these to
practical, energy efficient devices for general illumination products.
Applied research is sought in this area that investigates novel
phosphors and/or luminescent material synthesis and blends. Also
included in this sub-topic are advancements in epoxy or other
encapsulants and die mounting materials.

Within down-conversion approaches to white light generation, more
efficient (\>95%), stable (100,000 hrs), high-temperature (\>150 degrees
C), environmentally friendly phosphors with no dissipative optical
absorption or scattering will need to be developed. Novel approaches are
also needed and sought for the synthesis and processing of novel
conversion materials, including, but not limited to nanocrystalline
semiconductors, photonic lattices, quantum dots, organic
coordination-compound phosphors, phosphor blends or slurries, and coated
phosphors.

High-drive, high-lumen output LED devices place demanding performance
requirements on encapsulation materials. Future encapsulation materials
for high-power general illumination products will need to have an index
\> 1.6, high transmission (\>80%) through thick layers throughout the
visible spectrum (440-650 nm), UV filtering and resistance, low H~2~O
permeability for up to 100,000 hours, and withstand high processing and
operation temperatures (100-150 C).

> **[Area of Interest 3: OLED Luminaire Design and
> Materials]{.underline}** **-- Area of Interest Number:
> (DE-PS26-04NT42118-03)**
>
> Current SSL devices are limited in optical output and overall efficacy
> by many factors including out-coupling efficiency sometimes termed
> external quantum efficiency and thermal management, a product of
> internal and external quantum efficiency being less than unity. While
> significant improvements in these areas have been made over the past
> few years, there must be considerable improvement in price and
> performance if SSL is to realize the predicted energy conservation
> promised. Numerous limitations in materials and packaging constrain
> the products available today to conspicuity applications such as
> traffic signals, display applications such as cell phones and
> specialty illumination applications such as flashlights where their
> performance attributes are extremely well matched to the requirements.
> While the complete understanding of how today's materials systems
> limit performance remains largely unknown, this is the subject of a
> companion announcement (see "Core" research FOA). Instead, applied
> research and engineering that incorporates this new found knowledge
> and applies it to products and packages that exceed present
> performance limitations of approximately 15 LPW for OLEDs is sought.
> Applications may be submitted that seek to develop the necessary
> engineering expertise to use novel materials and systems in practical
> devices; make practical materials systems using alternative,
> potentially low cost processes; incorporate novel packaging designs
> and geometries; explore innovative light extraction mechanisms; or
> manage heat transfer in novel yet effective ways.
>
> Building upon established and demonstrated scientific principles,
> successful applications shall clearly illustrate the potential
> advantage(s) of the proposed innovation of design or materials or both
> in price and performance over commercially available technologies.
> This may be demonstrated either by laboratory testing and/or
> mathematical modeling. In any case, the proposed work must clearly
> demonstrate the commercial viability and increased value relationship
> to the DOE in terms of reduced cost, increased optical output and
> increased efficacy. The target values of these metrics for OLEDs are
> not as defined as for LEDs. However the limited work done by the DOE
> in this area projects that the information in Table 3 are, for
> laboratory devices, reasonable performance estimates for today and
> targets for 2008.
>
> Table 3. Laboratory Device Performance for OLEDs

  -------------------- --------------------------- -----------------------
                       **Today**                   **2008**

  **Efficacy**         15 lpw                      100 lpw

  **Brightness**       850 cd/m^2^                 850 cd/m^2^

  **Lifetime**         \> 400 hrs                  \> 10,000 hrs

  **CRI**              88                          \> 90
  -------------------- --------------------------- -----------------------

> Thus, device improvements of several orders of magnitude to the price
> and performance of these devices are vital to achieve these goals. It
> is possible that the increases sought by the research and development
> under this announcement may not achieve these sizable but possible
> improvements alone. Additional, future core research may be needed or
> product advancements in areas not identified under this announcement
> may be necessary. These may be included in future funding opportunity
> announcements but are specifically excluded from the present one.
>
> **[Area of Interest 4: High Efficiency, Reliable, Intelligent
> Electronics for OLEDs]{.underline}** **-- Area of Interest Number:
> (DE-PS26-04NT42118-04)**
>
> High efficiency, reliable, intelligent power supplies and specialized
> electronics for OLED products are already under development for
> applications that presently demand them. As a result, products for
> non-general illumination applications tend to drive the development of
> these electronics potentially limiting their efficiency and
> performance for general illumination needs. Moreover, the present day,
> commercially available power supplies are limited in capability and do
> not include the flexibility and functionality required to fully
> satisfy the unique performance requirements anticipated for successful
> near term SSL products. While the final, longer term product vision
> for SSL remains unknown, it is clear that near term SSL products,
> built upon existing technology or research supported under the DOE
> LR&D program or elsewhere, may become commercial successes by serving
> the immediate needs of the general illumination industry. Thus, highly
> efficient, reliable, flexible, intelligent and advanced electronics
> will be required to power or be a part of these nearer term SSL
> devices and systems.
>
> Even though the final SSL products may not possess the same power
> requirements as the near term products, development of specialized
> power supplies and intelligent electronics tailored to these near term
> products may allow them to be as efficient as possible. Thus,
> high-reliability, programmable power supplies and drive electronics
> that are either designed for compatibility with existing products or
> are flexible or adaptive enough to accommodate future SSL innovations
> are sought. Applications that include special features such as
> dimming, networking, controls and maintenance of luminous output over
> their lifetime will be a special interest. Only applications that
> specifically address this opportunity will be accepted under this area
> of interest. Each application shall fully describe the innovation and
> compare performance of it to existing electronics. Price and
> performance comparisons between existing electronics and the
> anticipated innovation must be included in each application.
>
> ***[Sub-Topics Descriptions (from the November 2003 SSL Planning
> Meeting):]{.underline}***
>
> The following sub-topics (1.5.1, 1.6.1 and 1.6.2) may be included in
> applications in response to Areas of Interest 3 or 4. The reference
> numbers provided refer to the *Illuminating the Challenges: Solid
> State Lighting Portfolio Planning Workshop Report*.

1.  ***High Efficiency, Low-Voltage, Stable Materials for OLED-Based
    General Illumination Technology (hosts, dopants, and transport
    layers)***

Today, OLEDs designed for general illumination purposes may be derived
from those normally associated with display applications. This is not
ideal as general illumination OLEDs have unique price and performance
requirements that will allow them to perform as viable alternatives to
conventional luminous sources. To evolve into this new performance
domain, applied research in novel materials hosts, alternative dopants
and advancing a more comprehensive understanding of the role and design
rules for charge transport in layers is sought.

Current OLED materials simply do not have the efficiency or lifetime
performance necessary to qualify them as viable candidates for the
demanding general illumination market. Estimates of lifetime and
efficiencies necessary for OLED based general illumination are roughly
50,000 hours and 100 lumens/Watt, respectively. Lifetimes and efficiency
of state-of-the-art white OLEDs (at 850 cd/m^2^) are about 400 hours and
15 LPW respectively. To realize the full potential of OLED technology,
new materials and systems are needed that offer the promise of vastly
improved efficiency and stability in the active regions of the OLED
device- cathode and anode layers, electron and hole transport and
injection layers, emission layers, and carrier blocking layers. New
phosphorescent OLED systems with nearly 100% internal quantum efficiency
at high current densities are required in the red, green, and blue
spectral regions. Single molecules that produce a broadband emission and
that harvest triplet energies otherwise lost as heat are also needed.
Innovative device structures and materials are needed to reduce
high-luminance (\~1000 cd/m^2^) drive voltages from 10-20V to 4-5V.
Compatibility with practical methods of current distribution and
controls must be assured.

1.  ***Strategies for Improved Light Extraction and Manipulation***

Significant advancements in OLED device performance will require applied
research leading to alternative strategies for light extraction and
optical management. Conventional limits on OLED out-coupling efficiency
are exceptionally low, producing damaging heat instead of useful
photonic emissions. Research in this area could include advanced
modeling or exploration of novel geometries that promise to achieve 50%
or more light extraction efficiency.

Current light out-coupling efficiencies are on the order of 20%.
Innovative approaches utilizing surface texturing, gratings, periodic
nanostructures, integrated lens or device shaping are necessary to
increase the out-coupling efficiency to the desired level of \>50%. Even
the basic configurations and accepted practice of layering OLED
structures may need to be reexamined to ascertain if the ideal geometry
is possible. Other novel methods to increase device extraction
efficiency, like designing for some level of cavity resonance or mode
structure, may hold promise. With the internal quantum efficiency of
basic OLED materials systems already approaching 90%, significant
advancements in light extraction efficiency or external quantum
efficiency (EQE) holds considerable promise. Applications to this
sub-topic may be theoretical, modeling oriented or experimental but all
should represent novel approaches that offer the potential for large
increases in performance, not just incremental increases in EQE, and be
directly related to the proposed product.

2.  ***Novel Device Structures for Improved Performance and Low Cost***

Practical OLED devices for general illumination applications must
perform in extreme environments very different than those normally
associated with today's OLEDs such as display applications like cell
phones and PDAs. For the realization of the SSL market penetration
sought, OLEDs must be developed that will perform at remarkable
brightness levels for periods measured in tens of thousands of hours at
extreme temperatures, with no degradation in luminous performance. Thus,
applied research directed at meeting these challenges is sought, with
the goal that they will ultimately give rise to OLED packages that are
as reliable and long lived as required for general illumination
applications. Applied research in this area may include novel materials
and hosts that help to achieve these goals but may also include
innovations associated with existing materials systems and structures.

As the internal efficiency and stability of new OLED materials improves,
OLED researchers will need to focus their attention on novel device
architectures. This is especially important for maximizing light
extraction (as above) but may be just as important for manufacturing
cost reductions or for adding additional functionality such as
pixilation or variable light attenuation. Equally important and perhaps
nearer term are new ideas in the area of white OLEDs to improve the
color stability over time and operating conditions. Concepts including
RGB blends, monomer-excimer complexes, separate RGB emissive layers, and
pixilation need to be explored to determine the optimal approach to
OLED-based white light generation.

[**SECTION II - AWARD INFORMATION**]{.underline}
[]{#__RefHeading___Toc72840667 .anchor}

**2.1 [TYPE OF AWARD INSTRUMENT - COOPERATIVE AGREEMENTS (OCT
2003)]{.underline}** []{#__RefHeading___Toc72840668 .anchor}

DOE anticipates awarding cooperative agreements under this Program
Announcement. DOE will negotiate a Statement of Substantial Involvement
prior to the award of any cooperative agreement. This statement will
describe the Government's substantial involvement in the project.
Examples of possible activities to be performed by DOE which would
constitute substantial involvement are:

Reviewing in a timely manner project plans, including technology
transfer plans, and redirecting the work effort if the plans do not
address critical programmatic issues;

Conducting annual program review meetings to ensure adequate progress
and that the work accomplishes the program and project objectives.
Redirecting work or shifting work emphasis, if needed;

Promoting and facilitating technology transfer activities, including
disseminating program results through presentations and publications;

Serving as scientific/technical liaison between awardees and other
program or industry staff; and

Additional monitoring to permit specified kinds of direction or
redirection of the work because of interrelationships with other
projects.

**2.2 [ESTIMATED FUNDING (OCT 2003)]{.underline}**
[]{#__RefHeading___Toc72840669 .anchor}

Approximately \$8 million is expected to be available for new awards
under this announcement.

**2.3 [MAXIMUM AND MINIMUM AWARD SIZE (OCT 2003)]{.underline}**
[]{#__RefHeading___Toc72840670 .anchor}

Ceiling (i.e., the maximum amount for an individual award made under
this announcement): None

Floor (i.e., the minimum amount for an individual award made under this
announcement): None

**2.4 [EXPECTED NUMBER OF AWARDS (OCT 2003)]{.underline}**
[]{#__RefHeading___Toc72840671 .anchor}

DOE anticipates making approximately 2-4 awards under this announcement.
However, the Government reserves the right to fund, in whole or in part,
any, all, or none of the applications submitted in response to this
announcement and will award that number of financial assistance
instruments which serves the public purpose and is in the best interest
of the Government.

**2.5 [ANTICIPATED AWARD SIZE (OCT 2003)]{.underline}**
[]{#__RefHeading___Toc72840672 .anchor}

DOE anticipates that awards will be in the \$1 million to \$3 million
range for the total project period.

**2.6 [PERIOD OF PERFORMANCE (OCT 2003)]{.underline}**
[]{#__RefHeading___Toc72840673 .anchor}

DOE anticipates making awards that will range from twelve (12) months to
thirty-six (36) months in duration. Awards will have project and budget
periods that are specific to the project and funding.

**[SECTION III - ELIGIBILITY INFORMATION]{.underline}**
[]{#__RefHeading___Toc72840674 .anchor}

**3.1 [ELIGIBLE APPLICANTS (OCT 2003)]{.underline}**
[]{#__RefHeading___Toc72840675 .anchor}

All types of applicants are eligible to apply, except other Federal
agencies, Federally Funded Research and Development Centers (FFRDCs),
and nonprofit organizations described in section 501(c)(4) of the
Internal Revenue Code of 1986 that engage in lobbying activities.

**3.2 [NOTICE REGARDING ELIGIBILITY OF ORGANIZATIONS DESCRIBED IN
SECTION 501(C)(4) OF THE INTERNAL REVENUE CODE (OCT 2003)]{.underline}**
[]{#__RefHeading___Toc72840676 .anchor}

Applicant organizations that are described in section 501(c)(4) of the
Internal Revenue Code of 1986 and that have engaged in any lobbying
activities after December 31, 1995 are not eligible for an award. As set
forth in section 3 of the Lobbying Disclosure Act of 1995, as amended,
(2 U.S.C. 1602), lobbying activities are defined broadly to include,
among other things, contacts on behalf of an organization with specified
employees of the Executive Branch and Congress with regard to Federal
legislative, regulatory, and program administrative matters.

**3.3 [COST SHARING OR MATCHING - EPACT (OCT 2003)]{.underline}**
[]{#__RefHeading___Toc72840677 .anchor}

The cost share must be at least 20% of the total allowable costs for
research and development projects (i.e., the sum of the recipient\'s
allowable costs and the Federal share equals the total allowable cost of
the project) and must come from non-Federal sources. (See 10 CFR Part
600 for the applicable cost sharing requirements.) The Department
follows cost share goals, as part of the President's Management Agenda.
Exceeding the minimum required cost share and/or providing in-kind
contributions to enhance commercialization potential are part of the
evaluation criteria for proposals. (See Article 5.2, Merit Review
Criteria, criterion #4)

**3.4 [ENERGY POLICY ACT ELIGIBILITY REQUIREMENTS (OCT
2003)]{.underline}** []{#__RefHeading___Toc72840678 .anchor}

Section 2306 of the Energy Policy Act of 1992 (EPACT) \[42 U.S.C.
13525\] imposes certain eligibility requirements on awards made under
this program. In order to make an award to an applicant that is a
business entity, other than a non-profit organization of the type
described in section 501(c)(3) of the Internal Revenue Code of 1954, DOE
must determine that the applicant\'s participation will be in the
economic interest of the United States and that the applicant is either
a U.S. owned company or is incorporated or organized under the laws of
any State and that its parent company is incorporated or organized under
the laws of a country that affords: (1) to U.S. owned companies
opportunities comparable to those afforded to any other company to
participate in government-supported joint ventures in energy research
and development and in local investment opportunities; and (2) adequate
and effective protection for intellectual property rights of the U. S.
owned companies. Eligible applicants must be able to meet these two
tests.

**3.5 [FEDERALLY FUNDED RESEARCH AND DEVELOPMENT CENTERS (FFRDC) (JAN
2004)]{.underline}** []{#__RefHeading___Toc72840679 .anchor}

FFRDC applicants are not eligible for an award. A list of the FFRDC\'s
is available at <http://www.nsf.gov/sbe/srs/ffrdc/start.htm>. However,
an application that includes performance of a portion of the work by a
FFRDC will be evaluated and may be considered for award.

**3.6 [PARTICIPATION BY FEDERALLY FUNDED RESEARCH AND DEVELOPMENT CENTER
CONTRACTORS (OCT 2003)]{.underline}** []{#__RefHeading___Toc72840680
.anchor}

Federally Funded Research and Development Center (FFRDC) contractors are
not eligible for an award under this announcement, but they may be
proposed as a team member subject to the following guidelines:

AUTHORIZATION FOR NON-DOE FFRDCS

The Federal agency sponsoring the FFRDC must authorize in writing the
use of the FFRDC contractor on the proposed project and this
authorization must be submitted with the application. The use of a FFRDC
contractor must be consistent with the contractor\'s authority under its
award and must not place the FFRDC in direct competition with the
private sector.

AUTHORIZATION FOR DOE FFRDCS

The cognizant contracting officer must authorize in writing the use of a
DOE FFRDC contractor on the proposed project and this authorization must
be submitted with the application. The following wording is acceptable
for this authorization.

"Authorization is granted for the \[ \] Laboratory to participate in the
proposed project.

The work proposed for the laboratory is consistent with or complimentary
to the

missions of the laboratory, will not adversely impact execution of the
DOE assigned

programs at the laboratory, and will not place the laboratory in direct
competition

with the domestic private sector."

VALUE/FUNDING

The value of and funding for the FFRDC portion of the work will not
normally be included in the award to a successful applicant. Usually,
DOE will fund a DOE FFRDC contractor through the DOE field work
application system and other FFRDC entities through an interagency
agreement with the sponsoring agency.

COST SHARE

The applicant\'s cost share requirement will be based on the total cost
of the project, including the applicant\'s and the FFRDC contractor\'s
portions of the effort.

FFRDC CONTRACTOR EFFORT

The FFRDC effort, in aggregate, shall not exceed 10% of the total
estimated cost of the project, including the applicant\'s and the FFRDC
contractor\'s portions of the effort.

RESPONSIBILITY

The applicant, if successful, will be the responsible authority
regarding the settlement and satisfaction of all contractual and
administrative issues, including but not limited to disputes and claims,
arising out of any agreement between the applicant and the FFRDC
contractor.

[**SECTION IV - APPLICATION AND SUBMISSION INFORMATION**]{.underline}
[]{#__RefHeading___Toc72840681 .anchor}

**4.1 [ADDRESS TO REQUEST APPLICATION PACKAGE (OCT 2003)]{.underline}**
[]{#__RefHeading___Toc72840682 .anchor}

This announcement includes all the information needed to complete an
application.

**4.2 [DUNS NUMBER (NOV 2003)]{.underline}**
[]{#__RefHeading___Toc72840683 .anchor}

All applicants, except individuals who would personally receive an award
under this announcement apart from any business or non-profit
organization they may operate, must include a Dun and Bradstreet (D&B)
Data Universal Numbering System (DUNS) number in their application. For
the purpose of this requirement, the applicant is the entity that meets
the eligibility criteria and has the legal authority to apply for an
award. For example, a consortium formed to apply for an award must
obtain a DUNS number for that consortium. For assistance in obtaining a
DUNS number at no cost to you, call the DUNS Number request line at 1
866-705-5711. Be prepared to provide the following information: (1)
Organization name; (2) Address; (3) Telephone number; (4) Line of
business; (5) Chief executive officer/key manager; (6) Date the
organization was started; (7) Number of people employed; (8)
Organization affiliation. If you do not already have a DUNS number, you
should obtain one as soon as you decide to submit an application.

**4.3 [PRE-APPLICATION - NOT REQUIRED (OCT 2003)]{.underline}**
[]{#__RefHeading___Toc72840684 .anchor}

Pre-applications are not required.

**4.4 [PROGRAM AREAS OF INTEREST (OCT 2003)]{.underline}**
[]{#__RefHeading___Toc72840685 .anchor}

This funding opportunity notice contains multiple program areas of
interest identified in the funding opportunity description. Applicants
are cautioned that this funding opportunity announcement is a master
announcement and that each program area of interest has its own
program-specific number for submission of applications. For example,
Program Area of Interest 1, "SSL Luminaire Design and Materials," has a
funding opportunity number of DE-PS26-04NT42118-01. Applications can not
be submitted under the master announcement.

  -------------------------------------------------- ----------------------
  **AREA OF INTEREST**                               **APPLY UNDER**

  **LED & OLED**                                     

  LED Luminaire Design and Materials                 DE-PS26-04NT42118-01

  High Efficiency, Reliable Intelligent Electronics  DE-PS26-04NT42118-02
  for LEDs                                           

  OLED Luminaire Design and Materials                DE-PS26-04NT42118-03

  High Efficiency, Reliable Intelligent Electronics  DE-PS26-04NT42118-04
  for OLEDs                                          
  -------------------------------------------------- ----------------------

Applicants should submit their application under the program area which
best fits the majority of the effort to be performed. If an application
is submitted under a program area of interest in which the DOE believes
fits more appropriately in another program area of interest, the
applicant will be directed to resubmit under the appropriate area of
interest. Do not submit an identical application under more than one
area of interest.

**4.5 [APPLICATION (MAR 2004)]{.underline}**
[]{#__RefHeading___Toc72840686 .anchor}

Applicants must include the following files in their E-Application (See
Section IV, Article 4.19, "Other Submission Requirements" for
instructions on how to submit your E-Application)

For consistency, the applicant is instructed to use the file names
specified below. Filename extensions shall clearly indicate the software
application used for preparation of the documents (i.e., "xxx.doc" for
Word files or "xxx.pdf" for Adobe Acrobat files).

MANDATORY FILES FILENAME

Application APPLICATION.doc

Budget BUDGET.doc

Budget Justification BUDGET JUSTIFICATION.doc

Project Summary/Abstract PROJECT SUMMARY.doc

Project Narrative PROJECT NARRATIVE.doc

Certifications/Assurances/Representations CERTIFICATIONS-ASSURANCES.doc

ADDITIONAL FILES

Attachment 1 FFRDC Attachment (if applicable) FFRDC ATTACHMENT.doc

Attachment 2 BIOGRAPHICAL SKETCH BIO ATTACHMENT.doc

Attachment 3 COMMITMENT LETTERS CLTP ATTACHMENT.pdf

**4.6 [APPLICATION FILE (DEC 2003)]{.underline}**
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Applicants must complete a SF 424 application form. **Save this form as
a Word file, named \"APPLICATION.doc.\"**

[The SF 424 is titled "APPLICATION.doc" and is posted with this
Announcement on the IIPS site.]{.underline}

**4.7 [BUDGET FILE (DEC 2003)]{.underline}**
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Applicants must complete a separate DOE F 4600.4 for each year of
support requested and a cumulative budget for the total project period.

You may request funds under any of the categories listed as long as the
item and amount are necessary to perform the proposed work and are not
precluded by the cost principles or program funding restrictions (See
Section IV). **Save these budget forms in a single Word file, named
\"BUDGET.doc.\"**

[The DOE F 4600.4 is titled "BUDGET.doc" and is posted with this
Announcement on the IIPS site.]{.underline}

BUDGET FILE FOR FFRDC PARTICIPANT, IF ANY

If a non-DOE FFRDC contractor is to perform a portion of the work,
provide a separate budget for the FFRDC contractor\'s work effort.

If a DOE FFRDC contractor is to perform a portion of the work, provide a
DOE Field Work Proposal in accordance with the requirements in DOE Order
412.1 Work Authorization System. DOE O 412.1 is available at:

<http://www.directives.doe.gov/pdfs/doe/doetext/neword/412/o4121.pdf>

**All FFRDC budgets must be saved as a Word file named \"FFRDC
ATTACHMENT.doc\".**

**4.8 [BUDGET JUSTIFICATION FILE (MAR 2004)]{.underline}**
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Justify proposed direct labor, travel, consultants, large subawards,
large or unique "other direct costs", equipment, etc. Provide an
explanation of the source, nature, amount and availability of any
proposed cost sharing. **Save this information in a Word file, named
"BUDGET JUSTIFICATION.doc".**

The following budget detail is required. Failure to provide the detailed
cost information as described in the instructions will result in an
incomplete application. If a minimum cost share is required by this
funding opportunity announcement, the applicant shall stipulate in the
application the source and amount of cost sharing and the value of third
party in-kind contributions proposed to meet the requirement.
Additionally teaming members and subcontractors are also required to
submit the below information with their budgets.

PERSONNEL \-- In support of the proposed personnel costs, provide a
supplemental

schedule that identifies the labor hours, labor rates, and cost by labor
classification for

each budget year. Also indicate the basis of the labor classification,
number of hours,

and labor rates. An example of the basis for the labor classification
and number of hours

could be past experience, engineering estimate, etc. An example of the
basis for the

labor rates could be actual rates for the individuals who will perform
the work or an

average labor rate for the labor classification or a departmental
average rate.

FRINGE BENEFITS \-- Provide the method used to calculate the proposed
rate amount.

If a fringe benefit rate has been negotiated with, or approved by, a
Federal Government

agency, provide a copy of the agreement. If no rate agreement exists,
provide a detailed

list of the fringe benefit expenses (e.g., payroll taxes, insurances,
holiday and

vacation pay, bonuses) and their associated costs. Identify the base for
allocating

these fringe benefit expenses.

Travel \-- For each proposed trip, provide the purpose, number of
travelers, travel

origin and destination, number of days, and a breakdown of costs for
airfare, lodging,

meals, car rental, and incidentals. The basis for the airfare, lodging,
meals, car

rental, and incidentals must be provided, such as past trips, current
quotations, Federal

Travel Regulations, etc.

EQUIPMENT \-- Provide an itemized list of each piece of equipment, its
unit costs, and

the basis for estimating the cost, for example, vendor quotes, catalog
prices, prior invoices,

etc.

SUPPLIES \-- Provide an itemized list of supplies; identify the quantity
of each item,

its unit cost, and the basis for estimating the cost, for example,
vendor quotes, catalog

prices, prior invoices, etc.

CONTRACTUAL

> Consultants \-- Provide the hourly or daily rate along with the basis
> for the rate. Furnish resumes or similar information regarding
> qualifications or experience. Provide at least two invoices reflecting
> hourly or daily rates charged to customers other than the Government.
> A statement signed by the consultant certifying his or her
> availability and salary must be provided. If travel or incidental
> expenses are to be charged, give the basis for these costs.
>
> Subcontractors \-- Identify each planned subcontractor and its total
> proposed budget. Each subcontractor\'s budget and supporting detail
> should be included as part of the Applicant\'s budget narrative. In
> addition, the Applicant shall provide the following information for
> each planned subcontract: a brief description of the work to be
> subcontracted; the number of quotes solicited and received; the cost
> or price analysis performed by the Applicant; names and addresses of
> the subcontractors tentatively selected and the basis for their
> selection; i.e. low bidder, delivery schedule, technical competence;
> type of contract and estimated cost and fee or profit; and,
> affiliation with the Applicant, if any.

CONSTRUCTION \-- Provide detail of construction costs, if applicable.

> OTHER DIRECT COSTS \-- Provide an itemized list with costs for any
> other item proposed as a direct cost and state the basis for each
> proposed item.
>
> INDIRECT COSTS \-- If indirect rates have been negotiated with or
> approved by a Federal Government agency, please provide a copy of the
> latest rate agreement. If you do not have a current rate agreement,
> submit an indirect cost rate proposal which includes the major base
> and pool expense groupings by line item and dollar amount. In either
> case, provide a breakdown of the proposed indirect costs for each of
> your accounting periods included in the application. Identify the rate
> and allocation base for each indirect cost, such as Overhead, General
> and Administrative, Facilities Capital Cost of Money, etc.
>
> COST SHARING \-- Identify the percentage level and source of cost
> sharing for the proposed project. Firm funding commitments are
> expected and documentation of those commitments must be included in
> the application. Additionally, the impact of DOE\'s cost share to the
> viability of the project must be addressed, to include justification
> for the need for Federal Funds.

NOTE: The total project cost (i.e. sum of Applicant and other
participants plus DOE cost shares) must be reflected in each budget
form.

A detailed estimate of the cash value (basis of and the nature, e.g.,
equipment, labor, facilities, cash, etc.) of all contributions to the
project by each participant must be provided. Note that \"cost-sharing\"
is not limited to cash investment. In-kind contributions (e.g.,
contribution of services or property; donated equipment, buildings, or
land; donated supplies; or unrecovered indirect costs) incurred as part
of the project may be considered as all or part of the cost share. The
\"cost-sharing\" definition is contained in 10 CFR 600.30, 600.101,
600.123, 600.224, 600.302, 600. 313 and OMB Circular A-110.

Fee or profit will not be paid to the recipients of financial assistance
awards. Additionally, foregone fee or profit by the Applicant shall not
be considered cost sharing under any resulting award. Reimbursement of
actual costs will only include those costs that are allowable and
allocable to the project as determined in accordance with the applicable
cost principles prescribed in 10 CFR 600.127, 10 CFR 600.312 or 10 CFR
600.318.

**4.9 [PROJECT SUMMARY/ABSTRACT (DEC 2003)]{.underline}**
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The project summary/abstract must contain a summary of the proposed
activity suitable for publication. It should be a self-contained
document that identifies the name of the applicant, the principal
investigator/project director, the project title, the objectives of the
project, methods to be employed, the potential impact of the project
(i.e., benefits, out comes), and participants (for collaborative
projects). It should be informative to other persons working in the same
or related fields and, insofar as possible, understandable to a
scientifically or technically literate lay reader. This document must
not include any proprietary or sensitive business information as the
Department may make it available to the public. The project summary
abstract must not exceed 1 page when printed using standard 8.5\" by 11
paper with 1\" margins (top, bottom, left and right). The form for the
Project Summary is the DOE F 540.1-2. **Save this information in a Word
file, named \"PROJECT SUMMARY.doc\"**

[The DOE F 540.1-2 is titled "PROJECT SUMMARY.doc" and is posted with
this Announcement on the IIPS site.]{.underline}

**4.10 [PROJECT NARRATIVE FILE (DEC 2003)]{.underline}**
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This file shall include a cover page indicating the funding opportunity
notice number, name and address of the Applicant, point of contact,
telephone/FAX number/E-Mail address, title of project, and date of
application.

The project narrative file must be formatted to separately address each
of the sections listed below. It is requested that the project narrative
not exceed thirty (30) pages, single spaced, 1\" margins (top, bottom,
left, right), and when printed will fit on size 8 1/2\" by 11\" paper.
The type must be legible and not smaller than 11 point. Evaluators will
review only the number of pages specified. Any applications exceeding
these limitations may result in a weakness to their overall score based
on technical evaluation Criterion 3 -- Applicant and Team Member Roles &
Capabilities.

**Save this information in a Word file named \"PROJECT NARRATIVE.doc\"**

Unnecessarily elaborate applications are not desired. Elaborate art
work, graphics and pictures will increase the document file size. If the
project narrative file size is over 5MB, we request that you use a
\"Zip\" file compression software, such as WinZip software, to reduce
the time needed to download the file.

This file should provide a clear description of the work to be
undertaken and how you plan to accomplish it. It must be formatted to
address each of the merit review criterion and sub-criterion listed in
Section V. Provide sufficient information so that the reviewers will be
able to evaluate the application in accordance with these merit review
criteria.

DOE WILL EVALUATE AND CONSIDER ONLY THOSE APPLICATIONS THAT ADDRESS
SEPARATELY EACH MERIT REVIEW CRITERION AND SUB-CRITERION. The applicant
should organize the Technical Discussion as follows:

1\) Technical Merit (35%)

-   Provide a detailed discussion of the need or problem the technology
    or product will address and the major issues and key risks in the
    development of the proposed technology. Provide a detailed
    discussion to validate that the proposed technology or product is
    technically superior to currently available products.

-   Provide a detailed discussion of the proposed approach to technology
    or product development given the current development status of the
    technology, and overall impact of successful project completion to
    future success in the marketplace. Provide a detailed discussion to
    prove the feasibility of the proposed technology or product, the
    scientific merit (based on sound scientific and engineering
    principles), and the degree to which the technology or product is
    innovative and unique.

-   Provide a proposed work plan and schedule and include milestones and
    performance metrics in the work plan to gauge technical progress.
    Provide a PERT (Program Evaluation and Review Technique) chart or
    equivalent depicting the project schedule, milestones, and
    interrelationship of the project tasks. Identify the critical path
    which identifies the sequential tasks which, if not completed on
    time, will result in a delay in the overall project schedule. Define
    all significant milestones in a milestone log and depict them on the
    schedule.

-   Provide a table listing the estimated labor hours and labor
    categories (e.g., project manager, principal investigator,
    engineering, technician, scientific, clerical) required for each
    task and provide totals for each maturation stage. Include a table
    showing labor hours and labor categories for any proposed
    subcontracting or consulting effort for each task. Discuss the
    rationale used to develop estimates for labor hours, labor
    categories, subcontracting effort, and consulting effort. Cost
    information is not to be included in the technical application
    volume. Explain the purpose of the subcontract or consulting effort.

2)  Energy, Environmental, and Economic Benefits (25%)

> Note: As determined by the applicant, the proposed product performance
> (efficacy) should be used in the estimation of energy benefits in
> Criterion #2. The capability of the applicant's proposed product to
> save energy is required.

-   Provide evidence of significant energy benefits and technical
    performance expected from the proposed technology or product. Use
    the "Guide for Evaluation of Energy Savings Potential -- Solid State
    Lighting Research and Development" contained in Exhibit C to
    determine the energy savings benefits.

-   Provide evidence of significant environmental benefits from the
    proposed technology or product. Environmental benefits include, but
    are not limited to: reduced global warming potential, increased
    protection of the stratospheric ozone layer, lower direct releases
    of water, air and ground pollutants, improved indoor air quality,
    improved recyclability and beneficial human health impacts.
    Determine potential reductions in emissions of carbon dioxide from
    the proposed technology according to the guidelines contained in
    Exhibit C.

-   Provide evidence of significant economic market potential for the
    proposed technology or product.

3\) Applicant and Participant Roles and Capabilities (15%)

-   Provide a detailed discussion of current corporate experience and
    success in similar projects resulting in successful technology
    development and commercialization or technology transfer to
    commercial product(s).

-   Provide a detailed discussion of experience and availability of key
    personnel to complete the proposed project. Relative to the nature
    and time scale of the proposed project, evaluate team capabilities
    for both technical expertise and, if needed for the success of the
    project, product commercialization and/or technology transfer
    expertise. For key personnel which are not staff members of the
    applicant's organization, provide evidence of the availability of
    such personnel, consistent with their role in the proposed tasks, to
    validate the overall team experience being proposed.

-   Provide a detailed discussion of adequacy (quality, availability and
    appropriateness) of facilities and equipment to accommodate the
    proposed project. Identify any major equipment needed for the
    proposed project which will need to be acquired during the course of
    the project.

4\) Industrial Involvement and Commercialization Potential (15%)

-   Provide a discussion of the commercialization strategy for the
    proposed technology or product and of the intellectual property
    rights and/or institutional alliances to execute the
    commercialization strategy.

-   Provide a detailed discussion of the viability and practicality of
    the proposed technology, product or information to meet the needs of
    the target market in a cost effective manner without major market
    restructuring considering potential technical, regulatory, economic,
    environmental, production or other issues impacting market success.

-   Provide a detailed discussion of the corporate commitment to the
    proposed project by exceeding the minimum required cost share and/or
    providing in-kind contributions to enhance commercialization
    potential.

5\) SSL Partnership Membership (10%)

-   Provide documentation that either verifies that the prime performer
    is already a member of the SSL Partnership or commits to become a
    member before award of a selected application.

**STATEMENT OF PROJECT OBJECTIVES (SOPO)**

The Department of Energy's National Energy Technology Laboratory uses a
specific format for Statement of Project Objectives in its awards. In
Announcements such as this one, where the Government does not provide a
Statement of Project Objectives, the Applicant is to provide one, which
the DOE will then use to generate the Statement of Project Objectives to
be included in the award. Several specific tasks have also been provided
in the following format for the Applicant to insert into the Statement
of Project Objectives at the appropriate location.

The project narrative must contain a single, detailed Statement of
Project Objectives that addresses how the project objectives will be
met. The Statement of Project Objectives must contain a clear, concise
description of all activities to be completed during project performance
and follow the structure discussed below. The Statement of Project
Objectives may be released to the public by DOE in whole or in part at
any time. It is therefore required that it shall not contain proprietary
or confidential business information.

The Statement of Project Objectives is generally 3 to 4 pages in total
for the proposed work. [The Statement of Project Objectives is
considered to be part of the Project Narrative and is therefore included
in the 30 page limit.]{.underline} Applicants shall prepare the
Statement of Project Objectives in the following format:

**FORMAT FOR STATEMENT OF PROJECT OBJECTIVES**

TITLE OF WORK TO BE PERFORMED

(Insert the title of work to be performed. Be concise and descriptive.)

A. OBJECTIVES

> Include one paragraph on the overall objective(s) of the work. Also,
> include objective(s) for each phase/maturation stage of the work.

B. SCOPE OF WORK

> This section should not exceed one-half page and should summarize the
> effort and approach to achieve the objective(s) of the work for each
> Phase.

C. TASKS TO BE PERFORMED

> Tasks, concisely written, should be provided in a logical sequence and
> should be divided into the phases/maturation stages of the project.
> This section provides a brief summary of the planned approach to this
> project.

PHASE I

Task 1.0 - (Title)

(Description)

Subtask 1.1 (Optional)

(Description)

Task 2.0 - (Title)

PHASE II (Optional)

Task 3.0 - (Title)

D. DELIVERABLES

> The periodic, topical, and final reports shall be submitted in
> accordance with the attached \"Federal Assistance Reporting
> Checklist\" and the instructions accompanying the checklist.
>
> \[Note: The Recipient shall provide a list of deliverables other than
> those identified on the \"Federal Assistance Reporting Checklist\"
> that will be delivered. These reports shall also be identified within
> the text of the Statement of Project Objectives. See the following
> examples:

1\. Task 1.1 - (Report Description)

2\. Task 2.2 - (Report Description)\]

> In addition to reports listed in the Federal Assistance Reporting
> Checklist in Exhibit A hereof, the Recipient shall submit the
> following to the DOE Project Officer. Note that the following is
> [not]{.underline} to be submitted through the official NETL AAD
> document control system:
>
> **Monthly Highlight Communications:** This update shall be submitted
> via e-mail no later than the 15th day of each month and shall cover
> the activities of the previous month. Recipients shall use this
> highlight opportunity to communicate developments, achievements,
> changes and problems. The information shall be submitted in accordance
> with the following format:
>
> **Award Number**
>
> **Title**
>
> **Communication Period** -- Identify month and year of the
> communication period.
>
> **Task Update** -- Provide an update on work performed for each task
> during the period. Identify tasks by both the descriptive name and
> number.
>
> **Quarterly Expanded Summary** - Monthly Highlight Communications for
> December, March, June, and September shall include an expanded summary
> of project results and the current status of all project tasks. This
> summary shall be in sufficient detail to place the information
> communicated in the Monthly Highlight Communications for the current
> month and preceding two months in the context of the full project.
>
> **Discussion Topics** -- Identify issues that require DOE Project
> Manager attention or action.
>
> **Key Milestones and Significant Accomplishments** -- In a short
> paragraph per milestone or accomplishment, identify achievement of key
> project milestones, noteworthy advancements in research, design,
> manufacture or commercialization activities of the project,
> patent-related developments, and important breakthroughs that resolve
> critical science and technology risks or development barriers.
>
> **Presentations & Publications** -- Identify and include briefing
> packages, press releases, articles, and papers planned, developed
> and/or given that discuss the project. \[Note: Copies of these
> presentations and publications provided with the Monthly Highlight
> Communication shall not include proprietary information.\]
>
> **Site Visits** -- Identify site visits planned and given with high
> level corporate or government officials.
>
> **Travel** -- Identify travel planned or completed to
> accomplish/manage project tasks.

E. BRIEFINGS/TECHNICAL PRESENTATIONS (If applicable)

> The Recipient shall prepare detailed briefings for presentation to the
> DOE Project Officer at the NETL facility located in Pittsburgh, PA or
> Morgantown, WV or other location specified by the DOE Project Officer.
> Briefings shall be given by the Recipient to explain the plans,
> progress, and results of the technical effort.
>
> The Recipient shall provide and present a technical paper(s) at the
> DOE/NETL Annual Contractor\'s Review Meeting to be held at the NETL
> facility located in Pittsburgh, PA; Morgantown, WV; or other location
> specified by the DOE Project Officer.

**4.11 [CERTIFICATIONS/ASSURANCES/REPRESENTATIONS FILE (DEC
2003)]{.underline}** []{#__RefHeading___Toc72840692 .anchor}

Applicants must complete the DOE
certifications/assurances/representations information. **Save this
information in a single Word file named
"CERTIFICATIONS-ASSURANCES.doc."**

[The DOE Certifications, Assurances and Representations are located in
one file titled "CERTIFICATIONS-ASSURANCES.doc" and are posted with this
Announcement on the IIPS site.]{.underline}

This program is covered under Title XX through XXIII of the Energy
Policy Act (EPACT) of 1992. If an applicant is a business entity other
than an organization of they type described in 501(c)(3) of the Internal
Revenue Code of 1954, the applicant must complete the form set with the
EPACT Representation and provide the appropriate EPACT Representation,
(i.e., EPACT Representation for Awards Under \$100,000 or EPACT
Representation for Awards of \$100,000 or more).

**4.12 [ATTACHMENT 1 FFRDC ATTACHMENT (DEC 2003)]{.underline}**
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FFRDC Budgets and a DOE Field Work Proposal in accordance with the
requirements in DOE Order 412.1 Work Authorization System,
(<http://www.directives.doe.gov/pdfs/doe/doetext/neword/412/o4121.pdf>)
must be provided, if applicable. **Save these as a Word file named
"FFRDC ATTACHMENT.doc"**

**4.13 [ATTACHMENT 2 BIOGRAPHICAL SKETCH (DEC 2003)]{.underline}**
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Provide a biographical sketch for the project director/principal
investigator, co-project directors/principal investigators, and other
roles critical to project success. **Save this information in a single
Word file, named \"BIO ATTACHMENT.doc\"**. The biographical information
must not exceed 2 pages for each person when printed on 8.5\" by 11\"
paper with 1 inch margins (top, bottom, left, and right) with font not
smaller than 11 point and must include:

Education. Undergraduate, graduate and postdoctoral training, provide
institution, major/area,

degree and year.

Positions: Beginning with the current position list, in chronological
order, professional/academic

positions with a brief description.

Publications. A list of up to 10 publications most closely related to
the proposed project. For each

publication, identify the names of all authors (in the same sequence in
which they appear in the

publication), the article title, book or journal title, volume number,
page numbers, year of publication,

and website address if available electronically.

Patents, copyrights and software systems developed may be provided in
addition to or

substituted for publications.

Synergistic Activities. List no more than 5 professional and scholarly
activities related to

the effort proposed.

**4.14 [ATTACHMENT 3 COMMITMENT LETTERS FROM THIRD PARTIES CONTRIBUTING
TO COST SHARING (OCT 2003)]{.underline}** []{#__RefHeading___Toc72840695
.anchor}

If a third party, (i.e., a party other than the organization submitting
the application) proposes to provide all or part of the required cost
sharing, the applicant must include a letter from the third party
stating that it is committed to providing a specific minimum dollar
amount of cost sharing. The letter should also identify the proposed
cost sharing (e.g., cash, services, and/or property) to be contributed.
Letters must be signed by the person authorized to commit the
expenditure of funds by the entity and be provided in a PDF format.
**Save this information is a file named "CLTP ATTACHMENT.pdf".**

**4.15 [MORE THAN ONE APPLICATION (JAN 2003)]{.underline}**
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You may submit more than one application. Each application must have its
own unique title on the subject line (i.e., project title and principal
investigator/project director, if any). For each application, you must
first click on "Create Application" and then complete the information
requested.

**4.16 [APPLICATION DUE DATE (OCT 2003)]{.underline}**
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Applications and amendments of applications must be received by July 8,
2004, not later than 8:00 PM Eastern Time. You are encouraged to
transmit your application well before the deadline.

**APPLICATIONS, INCLUDING APPLICATION FILES, RECEIVED AFTER THE
DEADLINE, AS DEMONSTRATED BY THE IIPS DATE/TIME STAMP WILL NOT BE
REVIEWED OR CONSIDERED FOR AWARD.**

**4.17 [INTERGOVERNMENTAL REVIEW - NONE (OCT 2003)]{.underline}**
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This program is not subject to Executive Order 12372, "Intergovernmental
Review of Federal Programs\".

**4.18 [FUNDING RESTRICTIONS (DEC 2003)]{.underline}**
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COST PRINCIPLES

Cost must be allowable in accordance with the applicable cost principles
referenced in 10 CFR Part 600.

PRE-AWARD COSTS

Recipients may charge to an award resulting from this announcement
pre-award costs that were incurred within the ninety (90) calendar day
period immediately preceding the effective date of the award, if the
costs are necessary for the conduct of the project activities and are
otherwise allowable in accordance with the applicable cost principles
and the terms and conditions of the award. Recipients must obtain the
prior approval of the contracting officer for any pre-award costs that
are for periods greater than this 90 day calendar period.

Pre-award costs are incurred at the applicant\'s risk. DOE is under no
obligation to reimburse such costs if for any reason the applicant does
not receive an award or if the award is made for a lesser amount than
the applicant expected.

FOREIGN TRAVEL

Cost of foreign travel is not allowable under an award made as a result
of this announcement.

**4.19 [OTHER SUBMISSION REQUIREMENTS (OCT 2003)]{.underline}**
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ELECTRONIC SUBMISSION

Applications must be submitted through the DOE Industry Interactive
Procurement System (IIPS) at http://e-center.doe.gov. Instructions on
how to submit an application or an application amendment and how to
register, submit questions, and view questions and answers are located
on the web site at http://e-center.doe.gov, click on the "Help" button
and click on "Frequently Asked Questions".

Prepare all the required files in accordance with the instructions in
this announcement prior to starting the transmission process. Submit the
entire application package in one IIPS session (i.e., do not logoff
before all the files are submitted).

When you are ready to submit your application, go to
http://e-center.doe.gov and complete the IIPS cover page. Enter the
project title and the principal investigator/project director, if any,
in the "Subject" block. Then attach each file in the corresponding block
in accordance with the IIPS guidance. Follow the instructions for
submitting the application.

If you have any problems accessing information or submitting your
application, contact the Help Desk at 1 800-683-0751 and select option
1, or send an email to HelpDesk@pr.doe.gov. ONLY APPLICATIONS SUBMITTED
THROUGH IIPS WILL BE CONSIDERED FOR AWARD.

ELECTRONIC SIGNATURE

Applications submitted through IIPS constitute submission of
electronically signed applications. The name of the authorized
organizational representative (i.e., the administrative official, who,
on behalf of the proposing organization, is authorized to make
certifications and assurances or to commit the applicant to the conduct
of a project) must be typed in the signature block on the form to be
accepted as an electronic signature. Do not submit a scanned copy of the
signed document.

IIPS REGISTRATION

In order to submit an application, you must be authorized by the
applicant (i.e., institution or business entity) to submit an
application on its behalf and you must register in IIPS. You are
encouraged to register as soon as possible. You only have to register
once to apply for any DOE award. To register go to
http://e-center.doe.gov and follow the registration instructions.

**[SECTION V - APPLICATION REVIEW INFORMATION]{.underline}**
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**5.1 [INITIAL REVIEW CRITERIA (OCT 2003)]{.underline}**
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Prior to a comprehensive merit evaluation, DOE will perform an initial
review to determine that (1) the applicant is eligible for an award; (2)
the information required by the announcement has been submitted; (3) all
mandatory requirements are satisfied; and (4) the proposed project is
responsive to the objectives of the funding opportunity announcement.

**5.2 [MERIT REVIEW CRITERIA (APR 2004)]{.underline}**
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Applications submitted in response to this funding opportunity will be
evaluated and scored in accordance with the criteria and weights listed
below:

1\) Technical Merit (35%)

-   Discussion of how the proposed technology or product will address
    the need or problem and the potential superiority of the proposed
    technology or product over currently available products.

-   Validity of the proposed approach and likelihood of success based on
    current status and the scientific merit of the proposed approach.

-   Development of a comprehensive and complete work plan and schedule
    with milestones and interrelated tasks that leads to the successful
    completion of the project.

-   Legitimacy of the proposed labor hours and categories proposed for
    the work plan. The need for and description of any subcontracting
    effort.

2\) Energy, Environmental, and Economic Benefits (25%)

-   The legitimacy and impact of the energy benefits calculated using
    the "Guide for Evaluation of Energy Savings Potential -- Solid State
    Lighting Research and Development" contained in Exhibit C.

-   The legitimacy and impact of the environmental benefits which
    include, but are not limited to: reduced global warming potential,
    increased protection of the stratospheric ozone layer, lower direct
    releases of water, air and ground pollutants, improved indoor air
    quality, improved recyclability, beneficial human health impacts and
    potential reductions in emissions of carbon dioxide from the
    proposed technology according to the guidelines contained in Exhibit
    C.

-   The legitimacy and impact of the economic benefits as it pertains to
    the market potential for the proposed technology

3\) Applicant and Participant Roles and Capabilities (15%)

-   Evidence of current corporate experience and success in similar
    projects which lead to successful technology development and
    commercialization or technology transfer to commercial product(s)

-   Discussion of experience and availability of key personnel to
    complete the proposed project, including personnel involved in
    technical, commercialization and/or technology transfer.

-   Discussion of adequacy (quality, availability and appropriateness)
    of facilities and equipment to accommodate the proposed project.

4\) Industrial Involvement and Commercialization Potential (15%)

-   Discussion of the commercialization strategy for the proposed
    technology or product and of the intellectual property rights and/or
    institutional alliances to execute the commercialization strategy.

-   Discussion of the viability and practicality of the proposed
    technology, product or information to meet the needs of the target
    market in a cost effective manner without major market restructuring
    considering potential technical, regulatory, economic,
    environmental, production or other issues impacting market success.

-   Discussion of the corporate commitment to the proposed project by
    exceeding the minimum required cost share and/or providing in-kind
    contributions to enhance commercialization potential.

5\) SSL Partnership Membership (10%)

-   Documentation that either verifies that the prime performer is
    already a member of the SSL Partnership or commits to become a
    member before award of a selected application

**5.3 [OTHER SELECTION FACTORS (OCT 2003)]{.underline}**
[]{#__RefHeading___Toc72840704 .anchor}

These factors, while not indicators of the Application\'s merit, e.g.,
technical excellence, cost, Applicant\'s ability, etc., may be essential
to the process of selecting the application(s) that, individually or
collectively, will best achieve the program objectives. Such factors are
often beyond the control of the Applicant. Applicants should recognize
that some very good applications may not receive an award because they
do not fit within a mix of projects which maximizes the probability of
achieving the DOE\'s overall research and development objectives.
Therefore, the following Program Policy Factors may be used by the
Selection Official to assist in determining which of the ranked
application(s) shall receive DOE funding support.

1\. It may be desirable to select for award a group of projects which
represents a diversity of technical

approaches and methods;

2\. It may be desirable to support complementary and/or duplicative
efforts or projects, which, when

taken together, will best achieve the research goals and objectives;

3\. It may be desirable to select different kinds and sizes of
organizations in order to provide a

balanced programmatic effort and a variety of different technical
perspectives;

4\. It may be desirable, because of the nature of the energy source, the
type of projects envisioned, or

limitations of past efforts, to select a group of projects with a broad
or specific geographic distribution.

5\. It may be desirable to select project(s) of less technical merit
than other project(s) if such a selection will optimize use of available
funds by allowing more projects to be supported and not be detrimental
to the overall objectives of the program.

The above factors will be independently considered by the Selection
Official in determining the optimum mix of applications that will be
selected for support. These policy factors will provide the Selection
Official with the capability of developing, from the competitive funding
opportunity, a broad involvement of organizations and organizational
ideas, which both enhance the overall technology research effort and
upgrade the program content to meet the goals of the DOE.

**5.4 [REVIEW AND SELECTION PROCESS (OCT 2003)]{.underline}**
[]{#__RefHeading___Toc72840705 .anchor}

MERIT REVIEW

Applications that pass the initial review will be subjected to a merit
review in accordance with the Office of Energy Efficiency and Renewable
Energy merit review procedures which were published in the Federal
Register on December 20, 2001 (Vol. 66, No. 245).

SELECTION

The Selection Official will consider the merit review recommendation,
program policy factors, and the amount of funds available.

DISCUSSIONS AND AWARD

The Government may enter into discussions with a selected applicant for
any reason deemed necessary, including but not limited to,: (1) the
budget is not appropriate or reasonable for the requirement; (2) only a
portion of the application is selected for award; (3) the Government
needs additional information to determine that the recipient is capable
of complying with the requirements in 10 CFR 600; and/or (4) special
terms and conditions are required. Failure to resolve satisfactorily the
issues identified by the Government will preclude award to the
applicant.

**5.5 [ANTICIPATED ANNOUNCEMENT AND AWARD DATES (OCT
2003)]{.underline}** []{#__RefHeading___Toc72840706 .anchor}

DOE anticipates notifying applicants selected for award by September 23,
2004 and making awards by December 23, 2004.

[**SECTION VI - AWARD ADMINISTRATION INFORMATION**]{.underline}
[]{#__RefHeading___Toc72840707 .anchor}

**6.1 [AWARD NOTICES (OCT 2003)]{.underline}**
[]{#__RefHeading___Toc72840708 .anchor}

NOTICE OF SELECTION

DOE will notify applicants selected for negotiations leading to award.
This notice of selection is not an authorization to begin performance.
(See Section IV, Article 4.18 with respect to the allowability of
pre-award costs.)

Organizations whose applications have not been selected will be advised
as promptly as possible. This notice will explain why the application
was not selected.

NOTICE OF AWARD

A Notice of Financial Assistance Award issued by the contracting officer
is the authorizing award document. It includes, either as an attachment
or by reference: (1) a budget that indicates the amounts, by categories
of expenses, on which the agency has based its support; (2) the
application; (3) applicable program regulations, if any; (4) special
terms and conditions; (5) DOE assistance regulations at 10 CFR part 600,
or, for Federal Demonstration Partnership (FDP) institutions, the FDP
terms and conditions; and (6) a reporting checklist, which identifies
the reporting requirements.

**6.2 [ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS (OCT
2003)]{.underline}** []{#__RefHeading___Toc72840709 .anchor}

The administrative requirements and national policy requirements (e.g.,
"generally applicable requirements") for DOE grants and cooperative
agreements are contained in 10 CFR Part 600, except for grants made to
Federal Demonstration Partnership (FDP) institutions. The FDP terms and
conditions and DOE FDP agency specific terms and conditions are located
on the National Science Foundation web site at www.nsf.gov. "Generally
applicable requirements" are defined in 10 CFR 600.12.

**6.3 [LOBBYING RESTRICTION (INTERIOR ACT FY 2004) (MAR
2004)]{.underline}** []{#__RefHeading___Toc72840710 .anchor}

The awardee agrees that none of the funds obligated on this award shall
be made available for any activity or the publication or distribution of
literature that in any way tends to promote public support or opposition
to any legislative proposal on which Congressional action is not
complete. This restriction is in addition to those prescribed elsewhere
in statute and regulation.

A copy of the DOE "Lobbying Brochure" which provides a summary of the
statutory and regulatory restrictions regarding lobbying activities for
Federal contractors can be found at

<http://professionals.pr.doe.gov/ma5/MA-5Web.nsf/Procurement/Lobbying+Brochure?OpenDocument>

**6.4 [NOTICE REGARDING THE PURCHASE OF AMERICAN-MADE EQUIPMENT AND
PRODUCTS \-- SENSE OF CONGRESS (MAR 2004)]{.underline}**
[]{#__RefHeading___Toc72840711 .anchor}

It is the sense of the Congress that, to the greatest extent
practicable, all equipment and products purchased with funds made
available under this award should be American-made.

**6.5 [COMPLIANCE WITH BUY AMERICAN ACT (MAR 2004)]{.underline}**
[]{#__RefHeading___Toc72840712 .anchor}

In accepting this award, the Recipient agrees to comply with sections 2
through 4 of the Act of March 3, 1933 (41 U.S.C. 10a-10c, popularly
known as the "Buy American Act"). The Recipient should review the
provisions of the Act to ensure that expenditures made under this award
are in accordance with it.

**6.6 [REPORTING (NOV 1998)]{.underline}**
[]{#__RefHeading___Toc72840713 .anchor}

Failure to comply with the reporting requirements contained in this
award will be considered a material noncompliance with the terms of the
award. Noncompliance may result in a withholding of future payments,
suspension or termination of the current award, and withholding of
future awards. A willful failure to perform, a history of failure to
perform, or of unsatisfactory performance of this and/or other financial
assistance awards, may also result in a debarment action to preclude
future awards by Federal agencies.

**6.7 [ENVIRONMENTAL, SAFETY & HEALTH (OCT 2003)]{.underline}**
[]{#__RefHeading___Toc72840714 .anchor}

The recipient must comply with applicable Federal, State, and local
environmental, safety and health laws and regulations for work performed
under this award.

**6.8 [NOTICE REGARDING UNALLOWABLE COSTS AND LOBBYING ACTIVITIES (NOV
1998)]{.underline}** []{#__RefHeading___Toc72840715 .anchor}

Recipients of financial assistance are cautioned to carefully review the
allowable cost and other provisions applicable to expenditures under
their particular award instruments. If financial assistance funds are
spent for purposes or in amounts inconsistent with the allowable cost or
any other provisions governing expenditures in an award instrument, the
government may pursue a number of remedies against the Recipient,
including in appropriate circumstances, recovery of such funds,
termination of the award, suspension or debarment of the Recipient from
future awards, and criminal prosecution for false statements.

Particular care should be taken by the Recipient to comply with the
provisions prohibiting the expenditure of funds for lobbying and related
activities. Financial assistance awards may be used to describe and
promote the understanding of scientific and technical aspects of
specific energy technologies, but not to encourage or support political
activities such as the collection and dissemination of information
related to potential, planned or pending legislation.

**6.9 [REPORTING REQUIREMENTS (DEC 2003)]{.underline}**
[]{#__RefHeading___Toc72840716 .anchor}

The Reporting Requirements are identified on the Federal Assistance
Reporting Checklist attached to the award agreement. See Exhibit A for
the proposed Checklist for this program.

[**SECTION VII - AGENCY CONTACTS**]{.underline}
[]{#__RefHeading___Toc72840717 .anchor}

**7.1 [QUESTIONS (OCT 2003)]{.underline}**
[]{#__RefHeading___Toc72840718 .anchor}

Questions regarding the content of the announcement should be submitted
through the "Submit Question" feature of the DOE Industry Interactive
Procurement System (IIPS) at http:/e-center.doe.gov. Locate the
announcement on IIPS and then click on the "Submit Question" button.
Enter required information. You will receive an electronic notification
that your question has been answered. DOE will try to respond to a
question within 3 days, unless a similar question and answer have
already been posted on the website.

Responses to questions may be viewed through the "View Questions"
feature, button. If no questions have been answered, a statement to that
effect will appear. You should periodically check "View Questions" for
new questions and answers.

Questions regarding how to submit questions or view responses can be
e-mailed to the IIPS HELP Desk at helpdesk@pr.doe.gov or by calling 1
(800) 683-0751.

[**SECTION VIII - OTHER INFORMATION**]{.underline}
[]{#__RefHeading___Toc72840719 .anchor}

**8.1 [MODIFICATIONS (OCT 2003)]{.underline}**
[]{#__RefHeading___Toc72840720 .anchor}

Notices of any modifications to this announcement will be posted on the
DOE Industry Interactive Procurement System (IIPS).

If you register in IIPS, you may "Join the Mailing List" to receive an
email when a modification or an announcement message is posted. To view
modifications and announcement messages, locate the announcement on IIPS
and click on the yellow folder next to the announcement number.

**8.2 [GOVERNMENT RIGHT TO REJECT OR NEGOTIATE (OCT 2003)]{.underline}**
[]{#__RefHeading___Toc72840721 .anchor}

DOE reserves the right, without qualification, to reject any or all
applications received in response to this announcement and to select any
application, in whole or in part, as a basis for negotiation and/or
award.

**8.3 [COMMITMENT OF PUBLIC FUNDS (OCT 2003)]{.underline}**
[]{#__RefHeading___Toc72840722 .anchor}

The Contracting Officer is the only individual who can make awards or
commit the Government to the expenditure of public funds. A commitment
by other than the Contracting Officer, either explicit or implied, is
invalid.

**8.4 [PROPRIETARY APPLICATION INFORMATION (OCT 2003)]{.underline}**
[]{#__RefHeading___Toc72840723 .anchor}

An application may include data, including trade secrets and/or
privileged or confidential commercial or financial information which the
applicant does not want disclosed to the public or used for any purpose
other than evaluation of the application (See 10 CFR 600.15). The use
and disclosure of such data may be restricted, provided the applicant
marks the cover sheet of the application with the following legend and
specifies the pages of the application which are to be restricted:

"The data contained in pages \[ \] of this application have been
submitted in

confidence and contain trade secrets or proprietary information, and
such data

shall be used or disclosed only for evaluation purposes, provided that
if this

applicant receives an award as a result of or in connection with the
submission

of this application, DOE shall have the right to use or disclose the
data

herein to the extent provided in the award. This restriction does not
limit the

government\'s right to use or disclose data obtained without restriction
from

any source, including the applicant."

To protect such data, each line or paragraph on the pages containing
such data must be specifically identified and marked with a legend
similar to the following:

"Use or disclosure of the data set forth above is subject to the
restriction on the cover page of this application."

**8.5 [EVALUATION BY NON-FEDERAL REVIEWERS (OCT 2003)]{.underline}**
[]{#__RefHeading___Toc72840724 .anchor}

In conducting the merit review evaluation, the Government plans to use
qualified non Federal personnel (e.g., DOE management and operating
contractors, universities personnel, or other scientific/technical
experts) as reviewers or advisors. The applicant, by submitting its
application, consents to the use of non-Federal reviewers. Non-Federal
reviewers will be required to sign a Conflict-of-Interest/Non-Disclosure
Certificate prior to reviewing any application.

**8.6 [INTELLECTUAL PROPERTY DEVELOPED UNDER THIS PROGRAM (OCT
2003)]{.underline}** []{#__RefHeading___Toc72840725 .anchor}

PATENT RIGHTS

The government will have certain statutory rights in an invention that
is conceived or first actually reduced to practice under a DOE award. 42
U.S.C. 5908 provides that title to such inventions vests in the United
States, except where 35 U.S.C. 202 provides otherwise for nonprofit
organizations or small business firms. However, the Secretary of Energy
may waive all or any part of the rights of the United States subject to
certain conditions. (See the clause entitled "Notice of Right to Request
Patent Waiver" below.)

RIGHTS IN TECHNICAL DATA

Normally, the government has unlimited rights in technical data created
under a DOE agreement. Delivery or third party licensing of proprietary
software or data developed solely at private expense will not normally
be required except as specifically negotiated in a particular agreement
to satisfy DOE\'s own needs or to insure the commercialization of
technology developed under a DOE agreement.

SPECIAL PROTECTED DATA STATUTES

This program is covered by a special protected data statute. The
provisions of the statute provide for the protection from public
disclosure, for a period of up to 5 years from the development of the
information, data that would be trade secret, or commercial or financial
information that is privileged or confidential, if the information had
been obtained from a non-Federal party. Generally, the provision
entitled, Rights in Data Programs Covered under Special Protected Data
Statutes, (10 CFR 600 Appendix A to Subpart D), would apply to an award
made under this announcement. This provision will identify data or
categories of data first produced in the performance of the award that
will be made available to the public, notwithstanding the statutory
authority to withhold data from public dissemination, and will also
identify data that will be recognized by the parties as protected data.

INTELLECTUAL PROPERTY PROVISIONS

The standard DOE financial assistance intellectual property provisions
applicable to the various types of recipients are located at
<http://www.gc.doe.gov/gcmain.html>.

**8.7 [NOTICE OF RIGHT TO REQUEST PATENT WAIVER (OCT
2003)]{.underline}** []{#__RefHeading___Toc72840726 .anchor}

Applicants may request a waiver of all or any part of the rights of the
United States in inventions conceived or first actually reduced to
practice in performance of an agreement as a result of this
announcement, in advance of or within 30 days after the effective date
of the award. Even if such advance waiver is not requested or the
request is denied, the recipient will have a continuing right under the
award to request a waiver of the rights of the United States in
identified inventions, i.e., individual inventions conceived or first
actually reduced to practice in performance of the award. Any patent
waiver that may be granted is subject to certain terms and conditions in
10 CFR 784.

Domestic small businesses and domestic nonprofit organizations will
receive the patent rights clause at 37 CFR 401.14, i.e., the
implementation of the Bayh-Dole Act. This clause permits domestic small
business and domestic nonprofit organizations to retain title to subject
inventions. Therefore, small businesses and nonprofit organizations do
not need to request a waiver.

**8.8 [NOTICE REGARDING ELIGIBLE/INELIGIBLE ACTIVITIES (AUG
1999)]{.underline}** []{#__RefHeading___Toc72840727 .anchor}

Eligible activities under this program include those which describe and
promote the understanding of scientific and technical aspects of
specific energy technologies, but not those which encourage or support
political activities such as the collection and dissemination of
information related to potential, planned or pending legislation.

Number range CHAPTER

**[EXHIBIT A]{.underline}**[]{#__RefHeading___Toc72840728 .anchor}

DOE F 4600.2 **U.S. Department of Energy**

(10-02) **FEDERAL ASSISTANCE REPORTING CHECKLIST**

All Other Editions Are Obsolete

For additional instructions see FAL Management of Report Deliverables

+-----------------------------+---+-----+------+---------------------+
| 1.  **Identification        | 2 |     |      |                     |
|     Number:**               | . |     |      |                     |
|                             |   |     |      |                     |
| > DE-FXXX-XXNTXXXXX         |   |     |      |                     |
|                             | * |     |      |                     |
|                             | * |     |      |                     |
|                             | P |     |      |                     |
|                             | r |     |      |                     |
|                             | o |     |      |                     |
|                             | g |     |      |                     |
|                             | r |     |      |                     |
|                             | a |     |      |                     |
|                             | m |     |      |                     |
|                             | / |     |      |                     |
|                             | P |     |      |                     |
|                             | r |     |      |                     |
|                             | o |     |      |                     |
|                             | j |     |      |                     |
|                             | e |     |      |                     |
|                             | c |     |      |                     |
|                             | t |     |      |                     |
|                             |   |     |      |                     |
|                             |   |     |      |                     |
|                             |   |     |      |                     |
|                             |   |     |      |                     |
|                             | T |     |      |                     |
|                             | i |     |      |                     |
|                             | t |     |      |                     |
|                             | l |     |      |                     |
|                             | e |     |      |                     |
|                             | : |     |      |                     |
|                             | * |     |      |                     |
|                             | * |     |      |                     |
+-----------------------------+---+-----+------+---------------------+
| 3.  **Recipient:**          |   |     |      |                     |
+-----------------------------+---+-----+------+---------------------+
| > **4. Reporting            |   | *   | *    | **Addresses**       |
| > Requirements:**           |   | *Fr | *No. |                     |
|                             |   | equ | of   |                     |
|                             |   | enc | Copi |                     |
|                             |   | y** | es** |                     |
+-----------------------------+---+-----+------+---------------------+
| > **MANAGEMENT REPORTING**  |   |     | **Up | **All reports must  |
|                             |   |     | load | be submitted via**  |
|                             |   |     | only | [[https://gowba.go  |
|                             |   |     | 1    | .doe.gov/uploadrepo |
|                             |   |     | copy | rts]{.underline}](h |
|                             |   |     | to   | ttps://gowba.go.doe |
|                             |   |     | the  | .gov/uploadreports) |
|                             |   |     | add  |                     |
|                             |   |     | ress |                     |
|                             |   |     | in   |                     |
|                             |   |     | the  |                     |
|                             |   |     | next |                     |
|                             |   |     | co   |                     |
|                             |   |     | lumn |                     |
|                             |   |     | at   |                     |
|                             |   |     | the  |                     |
|                             |   |     | inte |                     |
|                             |   |     | rval |                     |
|                             |   |     | s    |                     |
|                             |   |     | peci |                     |
|                             |   |     | fied |                     |
|                             |   |     | in   |                     |
|                             |   |     | the  |                     |
|                             |   |     | prev |                     |
|                             |   |     | ious |                     |
|                             |   |     | colu |                     |
|                             |   |     | mn** |                     |
+-----------------------------+---+-----+------+---------------------+
| > Progress Report           |   | Q\  |      |                     |
|                             |   | *\* |      |                     |
+-----------------------------+---+-----+------+---------------------+
| > Special Status Report     |   | A\  |      |                     |
| > (see Special              |   | *\* |      |                     |
| > Instructions)             |   |     |      |                     |
+-----------------------------+---+-----+------+---------------------+
| > **SCIENTIFIC/TECHNICAL    |   |     |      |                     |
| > REPORTING**               |   |     |      |                     |
+-----------------------------+---+-----+------+---------------------+
| > (Reports/Products must be |   |     |      |                     |
| > submitted with            |   |     |      |                     |
| > appropriate DOE F 241.    |   |     |      |                     |
| >                           |   |     |      |                     |
| > Forms are available at    |   |     |      |                     |
| > [[https://ww              |   |     |      |                     |
| w.osti.gov/elink/index.html |   |     |      |                     |
| ]{.underline}](https://www. |   |     |      |                     |
| osti.gov/elink/index.html)) |   |     |      |                     |
+-----------------------------+---+-----+------+---------------------+
| > Report/Product Form       |   |     |      |                     |
+-----------------------------+---+-----+------+---------------------+
| > Final                     |   | F   |      |                     |
| > Scientific/Technical      |   | \*\ |      |                     |
| > Report DOE F 241.3        |   | *\* |      |                     |
+-----------------------------+---+-----+------+---------------------+
| > Conference                |   | A   |      |                     |
| > papers/proceedings\* DOE  |   |     |      |                     |
| > F 241.3                   |   |     |      |                     |
+-----------------------------+---+-----+------+---------------------+
| > Software/Manual DOE F     |   | A   |      |                     |
| > 241.4                     |   |     |      |                     |
+-----------------------------+---+-----+------+---------------------+
| > Other (see special        |   |     |      |                     |
| > instructions) DOE F 241.3 |   |     |      |                     |
+-----------------------------+---+-----+------+---------------------+
| > *\* Scientific and        |   |     |      |                     |
| > technical conferences     |   |     |      |                     |
| > only*                     |   |     |      |                     |
+-----------------------------+---+-----+------+---------------------+
| **FINANCIAL REPORTING**     |   |     |      |                     |
+-----------------------------+---+-----+------+---------------------+
| > SF-269, Financial Status  |   | Q,  |      |                     |
| > Report (*Long Form*)      |   | F   |      |                     |
+-----------------------------+---+-----+------+---------------------+
| > SF-269A, Financial Status |   |     |      |                     |
| > Report (*Short Form*)     |   |     |      |                     |
+-----------------------------+---+-----+------+---------------------+
| > SF-272, Federal Cash      |   | Q,  |      |                     |
| > Transactions Report       |   | F   |      |                     |
+-----------------------------+---+-----+------+---------------------+
| **CLOSEOUT REPORTING**      |   |     |      |                     |
+-----------------------------+---+-----+------+---------------------+
| > Final Invention and       |   | F   |      |                     |
| > Patent Report             |   |     |      |                     |
+-----------------------------+---+-----+------+---------------------+
| > Property Certification    |   | F   |      |                     |
+-----------------------------+---+-----+------+---------------------+
| > Other (Final Narrative    |   |     |      |                     |
| > Report)                   |   |     |      |                     |
+-----------------------------+---+-----+------+---------------------+
| **OTHER REPORTING**         |   |     |      |                     |
+-----------------------------+---+-----+------+---------------------+
| > Other (see special        |   |     |      |                     |
| > instructions)             |   |     |      |                     |
+-----------------------------+---+-----+------+---------------------+
| > FREQUENCY CODES AND DUE   |   |     |      |                     |
| > DATES:                    |   |     |      |                     |
| >                           |   |     |      |                     |
| > A - Within 5 calendar     |   |     |      |                     |
| > days after events or as   |   |     |      |                     |
| > specified. S -            |   |     |      |                     |
| > Semiannually; within 30   |   |     |      |                     |
| > days after end of the     |   |     |      |                     |
| > reporting period.         |   |     |      |                     |
| >                           |   |     |      |                     |
| > F - Final; 90 calendar    |   |     |      |                     |
| > days after expiration or  |   |     |      |                     |
| > termination of the award. |   |     |      |                     |
| > Q - Quarterly; within 30  |   |     |      |                     |
| > days after end of         |   |     |      |                     |
| > calendar quarter or       |   |     |      |                     |
| > portion thereof.          |   |     |      |                     |
| >                           |   |     |      |                     |
| > Y - Yearly; 90 days after |   |     |      |                     |
| > the end of the reporting  |   |     |      |                     |
| > period.                   |   |     |      |                     |
+-----------------------------+---+-----+------+---------------------+
| > **5. Special              |   |     |      |                     |
| > Instructions:** Forms are |   |     |      |                     |
| > available at:             |   |     |      |                     |
| >                           |   |     |      |                     |
| [[http://www.go.doe.gov/fun |   |     |      |                     |
| ding_post_award.html]{.unde |   |     |      |                     |
| rline}](http://www.go.doe.g |   |     |      |                     |
| ov/funding_post_award.html) |   |     |      |                     |
| >                           |   |     |      |                     |
| > [Special Status           |   |     |      |                     |
| > Report]{.underline}:      |   |     |      |                     |
| > Provide notice of         |   |     |      |                     |
| > problems, delays, or      |   |     |      |                     |
| > adverse conditions, which |   |     |      |                     |
| > materially impair the     |   |     |      |                     |
| > Recipient's ability to    |   |     |      |                     |
| > meet the objectives of    |   |     |      |                     |
| > the award or developments |   |     |      |                     |
| > that have a significant   |   |     |      |                     |
| > favorable impact on the   |   |     |      |                     |
| > project. The report must  |   |     |      |                     |
| > include the remedial      |   |     |      |                     |
| > action to be taken to     |   |     |      |                     |
| > correct or resolve any    |   |     |      |                     |
| > problem or adverse        |   |     |      |                     |
| > condition.                |   |     |      |                     |
| >                           |   |     |      |                     |
| > \*\* **Reports are to be  |   |     |      |                     |
| > written for public        |   |     |      |                     |
| > disclosure**. Reports     |   |     |      |                     |
| > should not contain any    |   |     |      |                     |
| > proprietary or classified |   |     |      |                     |
| > information, other        |   |     |      |                     |
| > information not subject   |   |     |      |                     |
| > to release, or any        |   |     |      |                     |
| > information subject to    |   |     |      |                     |
| > export control            |   |     |      |                     |
| > classification.           |   |     |      |                     |
| >                           |   |     |      |                     |
| > \*\*\* **Final            |   |     |      |                     |
| > Scientific/Technical      |   |     |      |                     |
| > Report --** In addition   |   |     |      |                     |
| > to electronic submission, |   |     |      |                     |
| > provide 2 hard copies to  |   |     |      |                     |
| > the DOE Project Officer   |   |     |      |                     |
| > specified in Block 11 of  |   |     |      |                     |
| > the Notice of Financial   |   |     |      |                     |
| > Assistance Award.         |   |     |      |                     |
+-----------------------------+---+-----+------+---------------------+

**4600-2 ATT (Page 2)**

(7/28/03)

**ATTACHMENT TO FEDERAL ASSISTANCE REPORTING CHECKLIST**

**[INSTRUCTIONS FOR SUBMISSION OF TECHNICAL REPORTS]{.underline}**

**All reports required by this award shall be completed in accordance
with the requirements of DOE Order 1332.2, \"Uniform Reporting System
for Federal Assistance".**

**1) Technical Report Due Dates**

-   [Q (Quarterly):]{.underline} Due April 30, July 31, October 31, and
    January 31 (one month after the end of the reporting period). If an
    award occurs during the first 45 days of a Calendar Year (CY)
    quarter, the first quarterly report is due after that quarter, and
    if it occurs during the latter 45 days of the CY quarter, the first
    quarterly is due after the following CY quarter.

-   [S (Semi-Annual)]{.underline}: Due April 30 and October 31 (one
    month after the end of the reporting period).

-   [F (Final):]{.underline} Due 90 days after the end of the effort.

    2.  **Technical Report Content**

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-   [Technical Progress Report]{.underline}: Summarizes the work
    performed during a specific reporting period. It will include the
    technical and scientific results achieved.

-   [Topical Report]{.underline}: This report provides a comprehensive
    statement of the technical results of the work performed for a
    specific task or phase of the award, or reports details of
    significant new scientific or technological advances.

    2.  **Final Technical Report**

> This report provides a technical accounting of the total work
> performed, and is a comprehensive description of the results achieved.
> The report format should contain an executive summary of the contents
> followed by a project summary. The main body should include, where
> applicable, facts, figures, analyses, and assumptions used during the
> life of the project to support the conclusions and recommendations.
> Appendices containing detailed computations and other reference
> materials may be included.

3.  **Final Report Submission**

-   Include a completed form DOE F 241.3, \"Announcement of Department
    of Energy (DOE) Scientific and Technical Information (STI)\" as the
    face page of the FINAL REPORT. If there is any patentable material
    or protected data in the report, this must be clearly indicated on
    the title page of the report and mark the appropriate block in
    Section K of the DOE F 241.3. Other than patentable material or
    protected data, reports should not contain any proprietary or
    classified information, other information not subject to release, or
    any information subject to export control classification.

-   The preferred format is one file that includes all of the text,
    figures, illustrations, and photographs (photographs should be
    scanned and incorporated into the text). If the file contains
    graphics or photographs, the preferred application is Adobe Acrobat.

> Acceptable word processing file formats include:

-   Microsoft Word (v.6.0 or newer for PC)

-   Adobe Acrobat for PC

> If it is not possible to include all of the graphics (figures,
> illustrations, and photographs) in the same file as the text, GO shall
> accept the text in one of the above formats and the graphics as
> separate electronic image files. The preferred resolution for graphics
> is 150 to 300 dpi. The acceptable graphics file formats are: .tif,
> .gif, .jpg, .wpg, .bmp. Also include all fonts that were used in
> creating the document.
>
> Only Attachments in the following electronic formats can be accepted:

-   Microsoft PowerPoint (.ppt)

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```
-   Microsoft Excel (.xls)

-   Adobe Acrobat (.pdf)

> Only WinZip compressed files can be accepted.

**5) Final Report Format**

> The Final Report should contain the following information:

-   Face Page, DOE F 241.3

-   Title Page

```{=html}
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```
-   Project Title

-   DOE award number

-   Document title (type of report)

-   Period covered by report

-   Name and address of recipient organization

-   Contact information for technical point of contact including name,
    title, phone number, facsimile number, and electronic mail address

**[EXHIBIT B - LED TECHNOLOGY PERFORMANCE
FORECASTS]{.underline}**[]{#__RefHeading___Toc72840729 .anchor}

In an effort to provide a better basis for assessing the energy savings
potential of Solid State Lighting (SSL), the Department of Energy (DOE)
studied the price and performance of white light emitting diode (LED)
devices operating at a correlated color temperature (CCT) of
approximately 3000K and a color rendering index (CRI) of 80 or higher.
Two projection estimates were prepared, one for commercially available
LEDs, and one for certain laboratory prototype LEDs. This appendix
provides some of the background and rationale behind these projections.

LEDs are discrete semiconductor devices with a narrow-band emission that
can be manufactured to emit in the ultraviolet (UV), visible or infrared
regions of the spectrum. Alone, these LED chips or "die" are not well
suited for general illumination applications as they do not produce the
white-light required in these applications. To generate white-light for
general illumination applications, the narrow spectral band of an LED's
emission must be converted into white-light, or two (or more) discrete
emissions must be mixed. White-light LED systems are typically based on
one of two common approaches: (1) phosphor-conversion LEDs (pc-LEDs) and
(2) discrete color-mixing. Figure A.1 shows these two approaches to
white-light production.

  --------------------------------------------------- -------------------------------------
  ![](media/image3.wmf){width="3.501388888888889in"   ![](media/image4.wmf){width="3.5in"
  height="1.2638888888888888in"}                      height="1.3965277777777778in"}

  \(a\) Phosphor-Conversion LED                       \(b\) Color-Mixing
  --------------------------------------------------- -------------------------------------

**Figure A.1. General Types of White-Light LED Devices**

From a research perspective, pc-LEDs are often subdivided into two
groups -- one based on blue LEDs and one on UV LEDs. The blue LED
approach creates white-light by blending a portion of the blue light
emitted directly from the chip with light emission down-converted by a
phosphor. The UV LED approach starts with a UV-emitting LED chip, that
energizes phosphors designed to emit light in the visible spectrum. All
the UV energy is adsorbed and converted into the visible spectrum by the
phosphors. The color-mixing approach starts with discrete colored
sources and uses color mixing optics to blend together the light output
from these sources and create white-light emission.

Table A.1 provides performance information on these two approaches for
producing white-light from LEDs. This table provides estimates of the
maximum achievable efficacy for each light production mechanism.

Table A.1. Methods of LED White-light Production

  -------------- --------------- -------------- ----------------------------------------
  **Method**     **Mechanism**   **Maximum\     **Notes**
                                 Efficacy\***   

  pc-LED         Blue LED and    150 LPW @      Blue LEDs devices provide a lower
                 phosphor        3000K, 80+ CRI Stoke's shift than UV LED devices

  pc-LED         UV LED and      125 LPW @      Similar to blue LED & phosphor approach.
                 phosphor        3000K, 80+ CRI Instead of visible blue, the visible
                                                light emission consists exclusively of
                                                phosphor emissions from UV excitation.
                                                Stoke's loss limits the maximum efficacy
                                                through this method.

  Color-mixing   Two or more LED 200 LPW @      Requires multi-chip mounting, and
                 chips           3000K, 80+ CRI sophisticated optics for blending
                                                discrete colors.
  -------------- --------------- -------------- ----------------------------------------

For the phosphor converting blue LED approach, an LED chip emits blue
light, generally around 460nm. Some of this light is emitted directly
and some of it is down-converted by a phosphor from the 460nm wavelength
(blue) to longer wavelengths (e.g., green, yellow, red) with wide-band
emissions that blend with the blue to produce white-light. Nichia was
the first manufacturer to use this method to produce white-light LED
devices on a commercial scale. It has since been adopted by numerous
other manufacturers as the method for white-light LEDs used in display
and conspicuity applications. Recently, some manufacturers successfully
lowered CCT and increased CRI by adding a second phosphor to the device,
but at a cost to device efficacy. Such devices are currently available
in high power packages with an efficacy of 20 LPW and a CRI of 90.

A pc-LED using a UV LED chip is similar to the blue LED system, but has
some important differences. In this type of pc-LED, the LED radiates
energy in the UV (340-380nm) or near-UV (\<430nm) that excites
phosphors, which down-convert the UV radiation into the visible
wavelengths.[^2] The discrete emissions from the phosphors combine to
produce white light. However, like the hybrid approach, non-recoverable
losses that occur during wavelength conversion (also known as Stoke's
loss) currently limit the maximum efficacy achievable through this
method. Manufacturers intend to make these products commercially
available in 2004 and 2005. Initial product offerings are anticipated to
be available in a wide range of color temperatures (2800K to 6000K) with
an efficacy of 20 LPW and a CRI of 80 or higher.

One of the problems confronting manufacturers of pc-LED devices is their
ability to maintain consistent quality white-light across a production
line due to natural variations in LED (blue or UV) wavelength. The
white-light produced by pc-LEDs is susceptible to variations in LED
optical power, peak emission wavelength, temperature and optical
characteristics. Thus, variations in color appearance can occur from one
pc-LED to another. And, as LED devices migrate toward general
illumination applications, this variation could become more problematic
than it is for simple conspicuity applications like indicator lamps.

Breakthroughs in phosphor technology aside, discrete color-mixing is
thought by many to promise the highest efficacy device. In this
approach, manufacturers carefully mix discrete emissions from two or
more LED chips to generate white light. This approach is accompanied by
its own manufacturing challenges for blending the discrete colors.
Analysis has shown, however, that with the color-mixing approach,
high-quality, highly efficacious white-light can be produced. For
example, three discrete color elements can produce white-light at a CCT
of 3000K with 80 CRI at a cumulative efficacy in excess of 200 LPW,
assuming 50% system efficiency. The principal advantage of the
color-mixing method is that it does not involve phosphors, thereby
minimizing phosphor conversion losses in the production of white-light.
The principal drawback is increased complexity. It would require
multi-chip mounting and may need sophisticated optics for blending the
discrete colors. It may also require color control feedback circuitry
that could deal with different degradation and thermal characteristics
of the discrete die.

To project the anticipated efficacy improvement (lumens per watt) for
laboratory white-light LED devices over time, S-curves were created with
performance attributes based on data and projections available today.
These projections are based on an accelerated investment scenario in SSL
R&D, totaling \$1 billion over ten years.[^3] Figure A.2 presents these
projections graphically.

![](media/image5.wmf){width="5.565277777777778in"
height="3.1173611111111112in"}

**Figure A.2. Efficacy Plot for Laboratory White-Light LED Systems**

Table A.2 presents the point values for the curves shown in Figure A.2.
These values represent the projected laboratory device efficiencies
anticipated under the pc-LED and color-mixing approaches for white-light
production. Even though color mixing is anticipated to achieve the
highest efficacy, manufacturers believe there will still be market
demand for pc-LED devices.

Table A.2 Efficacies for Laboratory White-Light LED Systems

  --------------------- ---------- ---------- ---------- ---------- ---------- ---------- ---------- ---------- ---------- ---------- ---------- ----------
  *Efficacy\            **2003**   **2004**   **2005**   **2006**   **2007**   **2008**   **2009**   **2010**   **2015**   **2020**   **2025**   **2030**
  (lumens/watt)*                                                                                                                                 

  Phosphor-converting   66         79         91         102        112        121        128        133        146        149        150        150
  (pc-LED)                                                                                                                                       

  Color Mixing LED      \-         58         71         85         100        115        129        154        183        196        199        200

  Cumulative Projection 66         79         91         102        112        121        129        154        183        196        199        200
  --------------------- ---------- ---------- ---------- ---------- ---------- ---------- ---------- ---------- ---------- ---------- ---------- ----------

The cumulative projection is the Department's estimate of future
performance improvements in white-light LED device efficacy. If
technical barriers can be overcome through carefully targeted and
focused R&D initiatives, the Department believes that 200 lumens per
watt performance is achievable in the long-term.

**[EXHIBIT C -- GUIDE FOR EVALUATION OF ENERGY SAVINGS
POTENTIAL]{.underline}**

**[-- SOLID STATE LIGHTING RESEARCH AND
DEVELOPMENT]{.underline}**[]{#__RefHeading___Toc72840730 .anchor}

**GUIDE FOR EVALUATION OF ENERGY SAVINGS POTENTIAL**

**SOLID STATE LIGHTING RESEARCH AND DEVELOPMENT**

**Office of Energy Efficiency and Renewable Energy**

**Building Technologies Program**

**April 2, 2004**

### Introduction

This guide provides a method for estimating the savings in primary
energy consumption and carbon emissions that could result from projects
in solid state lighting research and development (SSLR&D). The objective
of creating this standardized estimation method is to facilitate
comparison of a wide variety of SSLR&D applications on an equitable
basis. This guide provides a simple calculation framework and some of
the constants and baseline energy estimates to use for that calculation.

The method is applicable to lighting technologies for both residential
and commercial buildings. The method can accommodate lighting
technologies that are at the very early stages of development as well as
well-characterized technologies in the midst of a development cycle. It
may not provide an accurate forecast of the likely impact of any one
specific technology, however, by creating a consistent framework for
analysis, the method will enable comparability amongst applications.

The savings estimates are expressed in terms of an annual national
energy savings rate, based on the maximum likely market penetration of
the proposed technology. A straightforward calculation method
accommodating most technologies and markets is illustrated below:

![](media/image6.wmf)

The method requires four basic data items to generate an estimate of
both primary energy savings and carbon emission savings. Those items and
their sources are:

  -------- --------------------------------- ------------------------------
  **Item   **Description**                   **Source**
  \#**                                       

  1        Primary energy consumption of the Attached tables A and B
           end use(s) targeted               

  2        Performance level of typical new  Attached tables A and B
           lighting technology               

  3        Performance level of proposed     Proposer provides and
           technology                        substantiates

  4        Expected market penetration of    Proposer provides and
           proposed technology               substantiates
  -------- --------------------------------- ------------------------------

Items 1 and 2 are provided by the Department in Tables A and B, covering
residential and commercial installations, respectively. Table C provides
data to convert energy savings into carbon emissions savings, along with
selected conversion constants, to ensure consistency among the
estimates. Items 3 and 4 are provided by the proposer and must have
adequate supporting justification for the performance and expected
market penetration.

The [performance level]{.underline} (item 3) must be based on the
attributes of the proposed technology and must be substantiated by
appropriately detailed engineering or scientific analysis, simulation
modeling, and/or literature references. Substantiating data are
necessary to justify the performance level used. In some cases, the
lighting technology proposed will be a sub-component of one of the
elements listed in Tables A and B. Sub-component technologies will
require some additional calculations to adjust baseline energy before
applying the methodology. Example #2 deals with this situation. The
methodology should be based on comparing the performance level of the
proposed technology with the performance of the typical new technology
currently used. In a replacement situation, it is implicitly assumed
that replacement would occur regardless of the new technology.
Therefore, the comparison is not based on the performance of the
technology actually being replaced, but on the technology most likely to
be used today.

The [expected market penetration]{.underline} (item 4) is an estimate of
the long-term penetration of the target market, on a percentage basis.
The expected market penetration must be supported by a brief market
analysis and/or supporting literature references. The brief market
analysis must consider sector-specific economic factors (including
expected first cost and payback period, relative to other technologies)
and non-economic factors, which may limit the penetration of all of the
target markets. (Non-economic factors include product physical size,
building characteristics and institutional barriers.) A discussion of
these factors may be necessary to justify the market penetration level
used. It is possible to save energy with a technology that does not
exceed the maximum efficiency available in the market, if the proposed
technology has a lower first cost. The low-cost technology could create
an incremental or additional market penetration above the present sales
level for highly efficient products. This incremental market penetration
would be used in calculating savings.

The savings calculation method outlined herein, if applied directly, may
not accurately estimate the savings for certain technologies (such as
crosscutting, integrated technologies) or niche applications. For these
special cases, the proposer may modify this methodology or create a
comparable methodology, as long as the methodology provides an
equivalent level of calculation transparency, contains adequate
justification through supporting data, and is fully consistent with the
data in Tables A through C. The savings should be presented in terms of
an annual national rate at maximum market penetration, not cumulative
savings over several years nor a savings rate at some future point in
time.

**Lighting Technologies**

The approach for estimating the relative energy savings of lighting
technologies is based on the on-going replacement of lighting equipment
in the existing building stock. The current energy consumption
characteristics of existing buildings (Tables A and B) are used as the
baseline for market penetration and savings estimates. This method
implicitly uses the following approximations:

-   all lighting equipment in all current buildings will eventually be
    replaced with new equipment, either due to equipment failure,
    functional, or economic factors.

-   over the next 20 years, replacement of lighting equipment in
    existing buildings will produce a much larger market for energy
    savings than installations in newly-constructed buildings.

Therefore, there is no need to attempt to forecast the energy
consumption characteristics of building lighting equipment in the
future. Nor is there a need to calculate energy savings potential in new
construction. Sufficient differentiation with respect to energy savings
potential can be determined using the energy use characteristics of
existing buildings.

[Example #1]{.underline}: This example deals with the development of a
white-light LED designed to replace incandescent reflector lamps. The
target market is both residential and commercial buildings. For the
expected market penetration, the proposer estimates that 60% of the
installed base of reflector lamps have the potential of being replaced
by this new technology. This penetration level reflects the influence of
several factors, including: the cost of electricity, the higher cost
associated with this new technology, the sector-specific paybacks
associated with this cost, and the number of applications into which it
may be installed.

[Example #2]{.underline}: This example considers the development of a
white-light OLED device that is capable of replacing fluorescent
lighting systems in commercial buildings. This is a system-to-system
comparison, where a fluorescent system is replaced with an OLED fixture.
The expected market penetration is 50% of the installed base, reflective
of factors such as the operating and maintenance cost savings, and the
sector-specific payback periods associated with the retail price of this
product.

**Example 1. White-Light LED Replacement for Incandescent**

A newly developed, high-brightness, energy efficient, white-light LED is
proposed to replace incandescent reflector lamps. From detailed
engineering models based on laboratory results, the performance of these
LEDs has been determined to be 75 lumens per watt. From market analyses,
the maximum expected market penetration is 60% of the installed
reflector lamp stock, limited primarily by the higher cost associated
with this new technology, the sector-specific paybacks resulting from
the energy savings, and the number of applications into which it may be
installed. The efficacy and market penetration estimates were prepared
by the proposer and have supporting documentation and data.

**Step 1:** Enter the efficacy of the proposed new white-light LED into
two of the boxes. Look up the typical efficiency of a typical new
reflector lamp in Table A[^4] -- 11 lumens per watt; this value is
entered into the second box. Simple arithmetic provides the percent
energy savings over a typical new reflector lamp as 85%.

**Step 2:** This technology is applicable to reflector lamp applications
in both the residential and commercial sectors. Look up the energy
consumption of reflector lamps in tables A and B: the residential sector
consumes 0.2540 quads and the commercial sector consumes 0.3225 quads.
In total then, the installed base of incandescent reflector lamps is
estimated to consume approximately 0.5765 quads each year.

**Step 3:** Provide the value of the potential market penetration,
estimated by the proposer. The estimate provided is 60%.

**Step 4:** Place the three values (85%, 0.5765 quads, and 60%) into the
energy savings estimate equation boxes and multiply. The result is a
national total annual energy savings of 0.294 quads due to this new,
more energy efficient lighting technology.

**Step 5:** To obtain the related carbon savings for the 0.294 quads,
look up in Table C, the fuel-specific carbon emissions factor. The
conversion value is 16.33 MMTC/quad (million metric tonnes carbon per
quadrillion Btu). Insert the two values into the boxes, and multiply the
energy savings by the conversion factor. The result is 4.80 million
metric tonnes of carbon (MMTC) saved annually due to this new, energy
efficient lighting technology.

[]{.mark}

[]{.mark}

**Example 2. OLED Replacement for Fluorescent Lighting Fixture**

This example considers the development of a white-light OLED device that
is capable of replacing fluorescent lighting systems in commercial
buildings. This is an example of a system-to-system comparison, whereby
a fluorescent fixture is replaced by a new fixture incorporating an OLED
device. A fluorescent system efficacy is estimated in Table B to be
approximately 54 lumens per watt, adjusting the fluorescent lamp
efficacy for an assumed 80% fixture efficiency and an 85% ballast
efficiency. The expected market penetration of this device is 20% of the
installed base, reflective of factors such as the first cost, operating
and maintenance cost savings, and the sector-specific payback periods.
Proposer must provide supporting documentation and/or data on the
estimate of penetration.

**Step 1:** From modeling and/or measurements of a white-light OLED
device, the proposer establishes that the product has a system efficacy
of 60 lumens per watt. Convert that performance into a % energy savings
over typical new fluorescent systems. Compared to a typical new
fluorescent system of 54 lumens per watt, the proposed OLED is 10% more
efficient.

**Step 2:** Look up the energy consumption attributable to fluorescent
lighting in Table B. The value is 2.23 quads, which accounts for all
linear fluorescent lighting systems in commercial buildings.

**Step 3:** The proposer estimates the level of anticipated market
penetration for the OLED system, estimated and substantiated by the
proposer. The estimate provided is 20%.

**Step 4:** Place the above three values (10%, 2.23 quads, and 20%) into
the provided boxes and multiply. The result is a national total energy
savings of 0.045 quads.

**Step 5:** To obtain the related carbon emission savings for the 0.045
quads, look up the appropriate generic carbon emissions factor in Table
C. The conversion value is 16.33 MMTC/quad (million metric tonnes of
carbon per quad of primary energy). Insert the two values into the
boxes, and multiply the energy savings by the conversion factor. The
result is a 0.73 million metric tonne reduction of carbon emissions.

**INPUT TABLES**

Table A: Residential End-Use Primary Energy Consumption and Typical
Efficiencies

  --------------------------- --------------- -------------- --------------
  **Type of Lighting**        **Total Energy  **Typical New  **Typical New
                              Use             Source         System
                              (quads)**[^5]   Efficacy\      Efficacy\
                                              (lumens per    (lumens per
                                              watt)**[^6]    watt)**[^7]

  Incandescent General        1.7054          15             12
  Service                                                    

  Incandescent Reflector      0.2540          11             9

  Halogen Lamps               0.0609          20             16

  Fluorescent Lamps           0.2026          65             44
  (excluding CFL)                                            

  Compact Fluorescent Lamp    0.0115          55             37

  Mercury Vapor               0.0061          40             22

  High Pressure Sodium        0.0010          80             45
  --------------------------- --------------- -------------- --------------

Table B: Commercial End-Use Primary Energy Consumption and Typical
Efficiencies

  --------------------------- -------------- -------------- --------------
  **Type of Lighting**        **Total Energy **Typical New  **Typical New
                              Use            Source         System
                              (quads)^2^**   Efficacy\      Efficacy\
                                             (lumens per    (lumens per
                                             watt) ^3^**    watt) ^4^**

  Incandescent General        0.7497         15             12
  Service                                                   

  Incandescent Reflector      0.3225         11             9

  Halogen Lamps               0.1504         20             16

  Halogen Reflector, Low      0.0779         13             9
  Voltage                                                   

  Misc. Incandescent Low      0.0405         10             8
  Wattage                                                   

  Fluorescent Linear Tube     2.2297         80             54

  Compact Fluorescent Lamp    0.1054         60             41

  Circline and Misc.          0.0347         60             41
  Fluorescent                                               

  Mercury Vapor               0.0703         50             28

  Metal Halide                0.3648         70             39

  High Pressure Sodium        0.0608         100            56

  Low Pressure Sodium         0.0014         140            78
  --------------------------- -------------- -------------- --------------

**Table C: Electricity Prices and Conversion Factors**

  -----------------------------------------------------------------------
  **Item**                    **Value**      **Units**
  --------------------------- -------------- ----------------------------
  Residential Electricity     0.084          \$/kWh
  Price (2002)                               

  Commercial Electricity      0.079          \$/kWh
  Price (2002)                               

  **Fuel Specific Carbon                     
  Emission Factors**                         

  Electricity (2001)          16.33          Million metric tonnes carbon
                                             per quad

  Average delivered Utility   11,030         BTU/kWh
  Power (2001)                               
  -----------------------------------------------------------------------

**References:**

Advance, 2003d. Advance Transformer Company. 2002-2003 Product Catalog.
Form CO-7041-R01. Rosemont, IL: Advance Transformer. Accessed on January
15, 2004 at http://www.advancetransformer.com/literature/

DOE, 2003. 2003 Buildings Energy Databook, published August 2003. Office
of Energy Efficiency and Renewable Energy. U.S. Department of Energy.
Available on line at: http://buildingsdatabook.eren.doe.gov/

EIA, 2003. Annual Energy Review, 2002. Energy Information
Administration, U.S. Department of Energy. Available on line at:
http://www.eia.doe.gov/emeu/aer/

GE, 2003b. GE Lighting, Lamp Products Catalog; accessed on January 27,
2004 at http://www.gelighting.com/na/litlib/pr_consumer.html

IESNA, 2000. Rea, M. S., ed. 2000, *The IESNA Lighting Handbook:
Reference and Application*, 9th Edition. New York: Illuminating
Engineering Society of North America.

Navigant Consulting, Inc. *U.S. Lighting Market Characterization Volume
I: National Lighting Inventory and Energy Consumption Estimate.*
Prepared for Building Technologies Program, Office of Energy Efficiency
and Renewable Energy, U.S. Department of Energy. September 2002.

NLPIP, 2002. National Lighting Product Information Program (NLPIP),
*Specifier Reports: MR16* 6(1). Troy, NY: Lighting Research Center.

Philips, 2003a. Philips Lighting Company, *Lamp Products Catalog*.
Online catalog; accessed on January 19, 2004 at
http://www.lighting.philips.com/nam/products/catalog.php

Sylvania, 2002. OSRAM/Sylvania, *Lamp and Ballast Product Catalog 2002*,
February 2002.

[^1]: *Energy Savings Potential of Solid State Lighting in General
    Illumination Applications*, Building Technologies Program, Office of
    Energy Efficiency and Renewable Energy, US DOE, prepared by Navigant
    Consulting, Washington DC, November 2003. Available on-line at:
    www.netl.doe.gov/ssl

[^2]: High-energy UV radiation can harm the human visual system.

[^3]: Accelerated investment scenario, matching 50/50 for industry and
    government contributions. This scenario is described in *Energy
    Savings Potential of Solid State Lighting in General Illumination
    Applications*, Building Technologies Program, Office of Energy
    Efficiency and Renewable Energy, US DOE, prepared by Navigant
    Consulting, Washington DC, November 2003. Available on-line at:
    www.netl.doe.gov/ssl

[^4]: Tables A through C are located at the end of Section V.

[^5]: Quads of energy, accounting for the primary energy consumed at the
    generating power plant, incorporating all the generation,
    transmission and distribution losses associated with the delivery of
    electricity to the light fixture on site.

[^6]: Efficacy (lumen per watt) values will vary by wattage within a
    given lamp type. Constant values are proposed for the energy savings
    calculation for comparability of proposals.

[^7]: System efficacy represents the performance of the lamp, fixture
    and ballast/transformer (if necessary). Low voltage halogen
    transformers are assumed to be 90% efficient, fluorescent ballasts
    are assumed to be 85%, and HID ballasts are assumed to be 70%. For
    comparability of proposals, fixture efficiency for all sources is
    assumed to be 80%, however the Department recognizes that fixture
    efficiencies vary with fixture size, shape, treatment, and
    application. For example, compact fluorescent lamps have typical
    luminaire efficiencies in the range of 30% to 70%, while luminaires
    using incandescent reflector lamps have efficiencies from 65% to
    more than 90%.