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Technology Development of SSLin the Global Context
Susan Walsh SandersonKenneth L. Simons
NSF Smart Lighting Engineering Research Center
Lally School of Management and TechnologyRensselaer Polytechnic Institute
Supported by DOE through Efficiency and Renewable Energy (EERE) Programmatic Lighting Support program, award570.01.05.007, SSL Global Technology Analysis and National Science Foundation under Cooperative AgreementEEC-0812056, through its Smart Lighting Engineering Research Center
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2
Limited Controllability
onventional:ighting
Controllability
-o lid S tat e:ight ing
ma rt Lig ht ing:ystems
Adaptibility
HOME and OFFICE[ Adaptive
] Lighting
COMMUNICATIONS
[ - ] Dual Use
PPLICATIONS ND IMPACTS
SENSING and IMAGING[ ] Information
HEALTH[ Personal
] Lighting
ENERGY EFFICIENCY
[ ] Infrastructure
M ART LIGH TING N GINEERIN G RES EA RCH CEN TER
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US counting of green and clean technologyinvestments to create jobs and stem globalwarming
Technology Development
Global patenting Commercialization Products
Public Policy Energy prices, R&D and production
incentives and adoption incentives
Research Topics
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compu er, consumer e ec ron cs ancommunicationsole of Photonics in TransformingIndustries
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Study of Global LED R&D
Analyses of LED & SSL patenting have focusedprimarily on US data
To probe international R&D, need more globalmeasure
Counts based on one nations patents havehome-nation bias Multi-national patent & applications data
Opportunity to probe corporate & national R&Dactivity in novel ways
Unique comparison of inter-country, inter-firmtrends World patents, not just US
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Data Overview European Patent Offices Worldwide
Patent Statistical database 185,852 applications filed in 68 nations
Filed mid-1930s to Dec. 4, 2008
Granted up to March 5, 2009 (in that case,applied for April 12, 2002 in Germany) 59,633 granted patents 12,499 granted utility models and (in a few
cases) other receipts such ascommunist-style inventors certificates
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Search Methods
Recursive search to identify LED-relatedpatents & applications Based on classification codes (IPCs), title
keywords
Inventor & applicant nationalities often not inavailable data Random sample of missing data used to
determine frequencies of nationalities Multi-lingual research team looked up original
documents to determine countries Also to check whether China locations were inmainland China vs. Taiwan
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Title Keywords Considered
light emitting diode(s), light-emitting diode(s), LED(s),OLED(s), PLED(s), L.E.D.(s), LED based, LED-based,semiconductor light emitting, semiconductor light-emitting,semiconductor light emission, semiconductor lighting,semiconductor lumin*, solid state lighting, solid-state lightingsolid state light(s), solid-state light(s), solid state lamp(s),solid-state lamp(s), micro-LED(s), light emitting die(s), ligemitting die(s), luminescent diode(s), light emittingdiode(s),lightemitting diode(s), lightemittingdiode(s)
lichtemittierende Diode(n), Leuchtdiode(n), diode(s)
luminescente(s), "diodo(s) electroluminoso(s)", "diodo(s)luminoso(s)", "diodo luminescente", "diodi luminescenti","luminescente diodo", "luminescenti diodi", "diodos emissores deluz", diodo(s) emitindo-se claro(s)
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Data Search: Catch Rate
Group of Applications Number of Applications % Caught by SearchFiled by Color Kinetics 272 49.6%Filed by Cree 1885 41.3%Filed by Nichia 3373 58.1%
U.S. class 362/800 1775 44.8%
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Technology Sub-Domains
Category Definition (Subset of Dataset)
All All applications
All But Displays, Printers, andScanners
Any application not in any of the IPC categories: Display Projector PrintScan PhotoPrinter FundSemiPl, and not in any of the titlecategories: DispPrintScan BacklightLighting Any application in the overall category All But Displays, Printers,and Scanners, that is also in IPC category: Lighting or in any of thetitle categories: Lamp WhiteLight, but only if it is not in titlecategory Indicator and not in overall category Fundamental
Fundamental Any application in any of IPC categories: FundOptics FundElectr
FundSemic FundComm FundManuf FundChemDisplays Any application in any of the IPC categories: Display Projector FundSemiPl, or in title category: Display
Organic Any application in IPC category Organic or in title categoryOrganic, but not in title category MetalOrganic
Vehicle Any application in IPC category: Vehicle
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Cumulative Applications
L di C i
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Leading Companies:All Applications
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Leading Companies:Multi-Country Applications
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Multi-Country ApplicationsNations of Invention
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Cumulative GrantedPatents
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Leading Companies:ALL LED Granted Patents
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Leading Companies:Granted LED Patents
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Multination Patents Applied for in All Years ultination PatentsCumulative
M l i i P
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Multination PatentsApplied for in 1998-2003
M l i i P
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Multination PatentsApplied for in 2004-2009
All LED P
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All LED PatentsNations of Invention
P L d
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Patent Leaders:LEDs for Displays
P L d
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Patent Leaders:Lighting
G lli Ni id
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Gallium NitrideLEDs WafP
: / , ,Source Canaccord Adams The Second Cycle 2009
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Observations
Greater role of international companies than seen in US datan Samsung zooming to top of patent rankings, most prominent in
displays & OLEDsn SSL activity global, growing Asian role
n Taiwan and mainland China many individuals & smallcompanies
n Manufacturing locus in Chinan Traditional lighting firms transitioned into SSL through joint
ventures & acquisitionsn Major competition from strong consumer electronics firmsn For small firms--where are major opportunities?
Ch ll g f C ti g i
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Challenge of Competing inEmerging Markets
US firms lost initial leadership in flat panel displayindustry including liquid crystal display (LCD),light emitting diode (LED) display and plasmadisplay panel (PDP)
Failed to invest in scaling-up during crucialtechnology development phase beginning withthe LCDs
Is there a similar pattern in other emergingindustries?
What can be done to ensure the mistakes in LCDsdo not recur in other emerging industries? Do stayers develop a competitive advantage?
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Samsungs Strengths
Manufacturing prowess Grown technological capabilities &Industrial
design Worlds largest flat screen TV maker
LED backlit LDC TV3D TV
OLED TV Top in memory chips & LCDs2nd largest handset vendor
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Lessons from Apples Success Outstanding product & media delivery
systems $50 billion company Third-largest mobile phone revenues
(quarter) Nokia ($12.7 billion) Samsung ($5.9 billion) iPhone ($4.6 billion
Wealth of Content Found path for legal music downloads withiPod/iTunes 140,00 applications for iPhone Will iPad move e readers to mass market?
Where are the opportunities in emerging
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Where are the opportunities in emerginglighting industry?Inroads
, ( - )Figure from Kevin Dowling Color Kinetics now Philips Solid State Lighting Solutions
Solid State Lighting Firms and
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Solid State Lighting Firms and Market Projections
radit ional ighting Firms
Osram Philips GE Matsushita
ew Lighting Firms Nichia Seoul
Semiconductor Citizen Toyoda Gosei Everlight Kingbright Cree
Lighting industry is
undergoing a major
transformation
OIDA projection 2008
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02/05/10 36
mart Rooms
:Graphics Artemide Group London Health Sciences Centre
Comfort
Health
Productivity
Information
Efficiency
R
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02/05/10 NSF Smart Lighting ERC 37
Health
Comfort
Information
Productivity
- Therapeutic
- Circadian Adapted- Biomonitor
- Light Field Control- Color Tunable
- Energy Efficient- Cost Effective
- Smart Grid and- Smart Building Interface
- Visible Light Information Channels
- Adaptive Control- Efficient Display- Interactive and Dynamic
Efficiency
mart Rooms
:Graphics Artemide Group London Health Sciences Centre
Tip of iceberg: role of government in
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Tip of iceberg: role of government increating conditions for success?
Country Programs Goals Timing AnnualFunding*
USA
Next Generation LightingInitiative Quantum efficiency; longevity;stability; packaging;infrastructure; cost reduction
2003-2013
$42.1 mil
Japan Light for the 21 st Century;Ministry of Education,Culture, Science &Technology
Develop GaN LED; 13% marketpenetration; 120 lm/w and 80%efficiency; medical equipment;white HB-LED
1998-2008 $7.5 mil
South
Korea
Semiconductor Lighting
National Program; LEDValley Project
Reduce use of glass, phosphors,
heavy metals; meetenvironmental regulations; save$20 bn on energy; 80 lm/wefficiency; develop HB-LED
2001-2008 $59.4 mil
Taiwan Next Generation LightingProject; National ScienceCouncil
Improve white LED performance;100 lm/w; patents and newmanufacturing companies
2002-2005 $4.0 mil
China Semiconductor LightingProject; National SolidState Lighting Project
Established five industrial parks;
collaboration with Taiwan andUS; $19 bn LED industry by2010; large scale conversion toLED by 2015; reduceenvironmental pollution
2005-2010 $248.8 mil
E.U. Sixth Framework Program Strengthen science & technologybase for internationalcompetitiveness;
2002-2006 $16.3-32.5mil
* i d