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Recombination and Technological Complexity in

Lead-Acid Batteries for Alternative Energy Vehicles


Jaimes Gutiérrez Guadalupe Lara Rivero Arturo Chávez Meza Artemio
Universidad Autónoma Metropolitana - Universidad Autónoma Metropolitana - Universidad Autónoma Metropolitana -
Iztapalapa Xochimilco Xochimilco
Mexico City, Mexico Mexico City, Mexico Mexico City, Mexico
lupoxa@gmail.com alararivero35@gmail.com artemio79@hotmail.com

Abstract—From Complex Adaptive Systems theory, this II. RECOMBINATION AND TECHNOLOGICAL COMPLEXITY
paper examines the evolution of Lead-Acid Batteries for
Alternative Energy Vehicles. By taking advantage of the The emergence of new technologies has been analyzed
methodology developed by Strumsky et al, we represent from different perspectives. It is possible to distinguish, in
quantitative: i) different degrees of novelty of the inventive principle, the following three approaches:
activity, and ii) evolution on their complexity. Results show that,
i) Gradualism. Technologies emerge and evolve through
Lead-Acid Batteries have become a complementary technology,
the variation of previous technologies and the selection of the
for the design of all Alternative Energy Vehicles, rather than a
rival technology. most suitable ones. The accumulation of gradual variations
and continuous improvements, resulting from deliberate
Keywords—Recombination, Complexity, Technological modifications or unplanned discoveries, varies the set of
classes, Lead Acid Batteries, Alternative Electric Vehicles elements and/or physical structures that make up a particular
technology [14-18]. Technological complexity comes from
I. INTRODUCTION the growing differentiation, specialization, and integration of
Throughout XX century, lead-acid batteries (LAB) its physical parts [19]. In this perspective, the analysis of
became the dominant design in automotive industry due to patents is only presented as examples [20-22].
their low cost, safety, and level of performance [1-3]. ii) Combination/Accumulation. Technologies emerge and
However, with the emergence of AEVs, LAB faces new evolve as new combinations of existing ones. These represent
requirements in terms of functionality, life cycle, design, a cumulative synthesis [23] that is available, as building
development and production cost [2,4,5]. blocks, for the development of others [24-31]. Technologies
From economics of innovation [6,7] and theory of are combinations of “mechanical” elements that accumulate
Complex Adaptive Systems [8-11] the present research has as as part of the social heritage [32]. This approach does not
its central objective study the technological evolution of LAB, explain the emergence of unprecedented technologies;
based on their inventive activity, for the period 1980-2013. likewise, it lacks a unit to quantify the inventive activity and,
We address the following research questions: 1) What is the in terms of the measurement of complexity, it is not possible
participation of LAB in the inventive activity of the total to precisely identify the original block from which the
number of batteries designed for AEVs?; 2) Within the cumulative synthesis begins to be generated.
technological progress of AEV, has the technological iii) Recombination of natural phenomena. Origination of
complexity of LAB increased?; 3) What are the main types of new technologies is a process that, to fulfill a purpose, links a
novelty that characterize the technological evolution of the phenomenon with a need [8]. Thus, a new principle is
LAB? and 4) In terms of exploration/exploitation activities, is generated. However, the principles can rarely be used crudely;
there a foreseeable concentration of exploitation in a mature to use them it is necessary to program a family of phenomena
technology such as the LAB? and encapsulate them in physical devices to create a physical
The discussion is organized as follows. The next section architecture. This architecture has a modular, hierarchical, and
explains the relationship between complexity, recombination, nested structure; that is, it is made up of components or
and technology exploration and exploitation activities from modules linked to central and complementary functions;
the perspective of Complex Adaptive Systems (CAS). Section where, a group of components exploit a family of phenomena
3 describes the use of patent classes to quantify technological associated with the central function; while others use
complexity and identify the various types of inventive novelty phenomena and principles to perform complementary
- based on the taxonomy of Strumsky et al [12,13]. Section 4, functions (protect and regulate devices, supply power, or
using the USPTO patents, for the period 1981-2013, presents perform other tasks). Any component or module is a
the proportion of LAB with respect to advanced batteries for technological subsystem composed, in turn, of other
AEVs. In same section, presents the main findings about the subsystems [8,9].
changes in the complexity of LAB and some explanations of The technological components are interconnected,
them, also the proportions of the different types of inventive interact, and communicate with each other (the output of one
novelty and of exploration/exploitation activities, that together is the input of the others) and work in a coordinated manner to
account for the persistence of the technological activity in achieve a common purpose, each of them performing a
LAB, and some reasons that explain the identified patterns are necessary task. This chain of interactions and interconnections
described. Section 5 concludes. ends up affecting the entire architecture [10], in the sense that
changes at one level imply changes at the others, to
reconfigure and thus adapt the central and complementary
purposes.

XXX-X-XXXX-XXXX-X/XX/$XX.00 ©20XX IEEE


From this perspective, the recombination of natural same magnitude, it can be seen that from 1981 to 1991, an
phenomena is a process that links a purpose with a principle average of 18 patents per year are registered, in total 203, of
and encapsulates them in an architecture that, through multiple which 98.5% (200) are from LAB. From 1992 to 2002, the
components, performs functions. In this way, a technology is average is 100 patents, with a total of 1108, the percentage of
complex to the extent that it combines a greater diversity of LAB is reduced to 39.5%, meanwhile, LI, NMH and NC
components, which orchestrate different phenomena, to fulfill patents represent 29.6%, 25 % and 5.8% respectively. And
one or more functions. The complexity of technological from 2003 to 2013, the annual average of patents is 211,
systems thus depends on both the number of components and reaching a total of 2327 where 66.8% are LI, 14.4% NHM,
the resulting interactions. 11.3% LAB and 7.3% NC. (Table I).
CAS theory has contributed to represent in a new way the
underlying complexity in the nature and evolution of
technology. Also, it has taken advantage of patent information
to quantitatively describe inventive activity and technological
complexity [12,13,33,34]. Novelty methodology Strumsky et
al [12] makes it possible to distinguish different types of
technological recombination and identify exploitation and
exploration activities.
III. CLASSES, COMPLEXITY AND TYPES OF NOVELTY Fig. 1. Number of patents for advanced batteries for AEVs, by type of active
material
In the United States, patented technologies are identified
through a class number system, the United States Patent TABLE I. QUANTITY AND PERCENTAGE OF BATTERIES PATENTS FOR AEVS,
Classification (USPC) system is based on a scheme created in BY TYPE OF ACTIVE MATERIAL AND PERIODS
the early 20th century and is legally mandated to provide a Periods
Comprehensive reference to all patentable subjects. This Active
1981-2013
Material 1981-1991 1992-2002 2003-2013
classification is reviewed periodically. USPC technology (Total)
classes are made up of a pair of codes known as main class LA 200 (98.5%) 438 (39.5%) 264 (11.3%) 902 (24.7%)
NC - 65 (5.8%) 171 (7.3%) 236 (6.4%)
and subclass. Classes indicate specific features of knowledge NMH 2 (0.9%) 277 (25.0%) 336 (14.4%) 615 (16.9%)
and are combined by patent examiners to generate a complete LI 1 (0.6%) 328 (29.6%) 1556 (66.8%) 1885 (51.8%)
description. Classes indicate capabilities, boundaries, and Batteries
203 (5.6%) 1108 (30.5%) 2327 (63.9%) 3638 (100%)
(Total)
complexities of a technology and empirically establish the
degree of novelty of a technology [33].
Classes can be used to measure the complexity of A. Evolution of technological complexity of LAB for AEVs
inventions. The degree of complexity can be understood as the A first way to identify the complexity of patents is by
minimum necessary length of a sequence of symbols or words looking at the percentage frequency distribution of their
that describe a process or result [10,35,36,]. Thus, an number of classes. Fig. 2 shows this distribution for LAB. It
invention will be simple if the number of classes that describe stands out that of the 902 patents that make up the total, 16
its operation or process is small. And it will be complex intervals (classes) are formed. This number is in itself
insofar as it requires a large number of classes to describe its significant since, following Page [37], in the combinatorial
process or properties. process, diversity and complexity are concomitant
phenomena: “without diversity it is not possible to observe
On the other hand, Strumsky et al [12,13] have developed much complexity; but without complexity, diversity becomes
a taxonomy, based on the technological classes and their mere variation on the mean”. Likewise, it is observed that only
resulting binary combinations to characterize the a small fraction (5.6%) of the patents (50) have 1
technological novelty of a patent in four categories: 1) technological class, while 64.7% have 2 - 4 classes.
Origination: All the classes in the patent are new and,
therefore, their resulting binary combinations are also new. 2)
Novel combination: The patent contains at least one new
technological class and, consequently, there are new binary
combinations with that class. 3) Recombination: The patent
contains new binary combinations generated with classes
previously used in other patents. 4) Reuse: All classes of the
patent and their binary combinations have been previously
used in other patents.
IV. INVENTIVE ACTIVITY IN ADVANCED BATTERIES FOR Fig.2. LAB patent distribution for AEVs, by number of classes (1981-2013)
AEVS
It is now convenient to observe the evolution of the
Automotive companies have explored various materials – number of classes per period. Figure 3 depics annual average
nickel-cadmium (NC), nickel-metal hydride (NMH), and of classes has a slightly increasing tendency. During 1981-
lithium-ion (LI) – as alternatives to LAB. One way to capture 2013, the average is 3.86 classes. However, the average hides
the inventive efforts and the transition to new and more significant differences. The proportion of patents according to
sophisticated energy storage systems demanded by AEVs is the number of classes changes during the period. From the
to observe the evolution in the number of patents for each type point of view of their relative weight, the patents with the
of battery. Fig. 1 shows a general increase in inventive activity greatest growth are those with 5 or more classes. During 1981-
in batteries for AEVs. If it is analyzed in three periods of the
1991 these represent 22.5% (45 patents), while between 2003- Second trajectory, explains the increase in the complexity
2013 they reached 33% (87 patents). of LAB is their application as traction batteries in single and
two-seater microvehicles weighing less than 1,000k (electric
bicycles, scooters, electric wheelchairs, light forklifts, golf,
passenger and/or cargo transport at airports, etc. systems [41].
Various technologies have been developed for these: VRLA;
GB; EFB; AGM; and advanced lead carbon (ALC).
Third trajectory, associated with the increasingly complex
interactions between batteries and the new systems of vehicles
with internal combustion engine-alternators with Start-Stop
(ICE+), microhybrid (MHVs) and mild hybrids (MHEVs)
Fig.3. Annual Average LAB Patent Classes for VEAs (1981-2013) systems [43]. These vehicles have a high energy variation and,
in these conditions, the advanced LAB are more complex and
Table II reveals that as the inventive activity progresses, provide an optimal technological solution for the Start-Stop or
patents combine an increasingly greater number of classes, energy absorption functions for the regenerative brakes typical
mostly 4 or more classes in the last period. Patents with 4 of these vehicles. The batteries used in these AEVs are ALC
classes or more, in the last period, contribute 53% of the technology because they are less expensive, safer, less
inventive activity, while the first and second periods represent heavy/bulky and more sustainable [40,41].
46% and 43.7%, respectively.
Design and development of LAB shows an increase in
TABLE II. NUMBER AND PERCENTAGE OF LAB PATENTS FOR AEVS, BY their complexity, in the sense that, in order to fulfill their new
NUMBER OF CLASSES AND PERIODS central or complementary functions: 1) inside the batteries,
Periods there are more components (in theoretical terms N increases )
Classes
1981-1991 1992-2002 2003-2013
1981-2013 that interact with each other in novel ways (again, in
(Total) theoretical terms, interdependence increases, k) [45,46]; and
1 10 (5.0%) 19 (4.3%) 21 (8.0%) 50 (5.5 %)
2 38 (19.0%) 96 (21.9%) 47 (17.8%) 181 (20.1%)
2) these components interact with more and new external
3 60 (30.0%) 131 (29.9%) 56 (21.2%) 247 (27.4%) elements that make up the new architectures of the AEVs.
4 47 (23.5%) 81 (18.4%) 53 (20.1%) 181 (20.1%)
5 or more 45 (22.5%) 111 (25.3%) 87 (32.9%) 243 (26.9%) B. Persistence of innovation, types of novelty and E/E
LAB
200 (22.1%) 438 (48.6%) 264 (29.3%) 902 (100%) activities
(Total)
1) Types of inventive novelty in LAB
Why LAB are increasingly complex systems? From the Having analyzed the increasing complexity of LAB, it is
point of view of the nature of technology [8] the following pertinent to determine if this is the result of a simple process
factors are identified: 1) the discovery of an increasingly of recombining existing knowledge and skills or if it is an
diverse and profound set of scientific phenomena and original and novel development. In this way, it is possible to
principles applied to LAB (nanotechnology) [38]; 2) the understand why technological innovation has been
convergence and interaction of previously separate maintained in an apparently mature and replaceable good
technological domains (mechatronics, electrochemistry, such as the LA battery.
physical-biology, and nanotechnology [39]; 3) more complex
Based on the novelty taxonomy [12,13], the evolution of
designs of the internal components and/or modules (the
electrical/electronic (E/E) modules to manage and monitor the types of inventive novelty of LAB is described (Fig. 5).
battery health and energy [40]; and 4) the requirements of Two opposing and significant trends are identified. The
different market niches that demand increasingly proportion of origination patents is decreasing, going from
differentiated performance and functions (greater capacity and 60.5% in the first period (1981-1991) to 32.2% in the last
charging speed, high cycle longevity, etc. [5]. period (2003-2013). This seems to be normal in a mature
Three relevant trajectories emerge. For one thing, all technology since at the beginning a greater number of
AEVs require an advanced auxiliary battery to power the low- origination patents is expected (the technology is new) and
voltage E/E systems. In the case of hybrid vehicles for the over time a greater frequency of reuse patents is expected
ignition, lighting and ignition of the combustion engine; for (new developments take advantage of the knowledge and
electric vehicles, to power the infotainment system in skills acquired previously). However, it stands out that
particular. Advanced LAB are safe, stable, cheap, and origination remains the main source of novelty in the three
sufficient to power these systems [41]. In accordance with the periods (Table III) despite the expected displacement of the
requirements of AEVs, these advanced auxiliary batteries are LA battery from VEAs by other types of batteries. For their
more complex than the relatively simple conventional LA part, recombination and reuse patents gain importance, going
technology: the power, lighting and ignition (SLI) battery. In from 24% in the first period to 52.6% in the last period. Based
addition to powering the E/E systems, they are used as reserve
power for traction, provide power to certain critical functions on these patterns, it can be affirmed that inventive activity is
in the vehicle, and power new cooling systems. These batteries being reconfigured, promoting less innovative forms of
have developed new and more complex technologies: Valve invention and greater use of pre-existing building blocks.
Regulated Lead Acid (VRLA); Enhanced Flooded Batteries Together, these results can be considered as an expression of
(EFB) or the Gel Battery (GB) and Absorption Glass Mat
(AGM), these last two derivatives of the VRLA itself [42].
Thus, a dual battery system is implemented, where the LAB
are a complementary system to the traction batteries [43,44].
the evolution process from conventional LAB (SLI) to is associated with the effort to solve the functional deficiencies
advanced LAB. of these batteries (weight, load capacity, life cycles, voltage,
power and volume). The physical limits of SLI batteries are
being sought, with little success [5,48].
With the change in vehicle design (from ICEs to EVs),
battery goes from being a simple, mature and standardized
component, to a complex component, increasingly integrated.
Thus, between 1992-2002, the industry branches out its
strategies in the following areas. On the battery side: a) the
development of new traction batteries with different materials
(LI, NHM or NC) is being explored, and b) the aim is to
Fig.4. Percentage of LAB patents, by type of inventive novelty (1981-2013) improve LAB through the development of VRLA technology.
This analysis shows that the novelty has been maintained On the vehicle side, changes are proposed in its structure: a)
throughout the period. Origination is important because it in EVs, an external battery recharging system is added and the
makes it possible to open new opportunity niches that regenerative braking system is improved, to extend the
transcend into better and new combinations and, in turn, into autonomy and speed ranges of the vehicle and, b) hybrid
more complex combinations. vehicles are developed, which allow reducing the wasted
energy associated with the internal combustion engine and
TABLE III. NUMBER AND PERCENTAGE OF LAB PATENTS FOR AEVS, BY mechanical processes compared to electronic systems [49]. In
TYPE OF INVENTIVE NOVELTY AND PERIOD this way, a tree structure of the architectures in hybrid vehicles
Periods
(in series, in parallel, in series-parallel) was generated.
Type of
1981-2013
novelty 1981-1991 1992-2002 2003-2013
(Total)
These processes affect LAB, promoting greater inventive
Origination 121 (60.5%) 156 (35.6%) 85 (32.2%) 362 (40.1%) activity, an increase in their complexity and a balance between
Novel
31 (15.5%) 67 (15.3%) 40 (15.1%) 138 (15.3%)
exploration and exploitation, all compared to what was
combination recorded in the previous period. Despite the arduous efforts to
Recombination 31 (15.5%) 131 (29.9%) 64 (24.2%) 226 (25.1%)
Reuse 17 (8.5%) 84 (19.2%) 75 (28.4%) 176 (19.5%) improve the performance of LAB, it is identified that VRLA
LAB (Total) 200 (22.1%) 438 (48.6%) 264 (29.3%) 902 (100%) technology (both GB and AGM) is not suitable for use in any
of the vehicles that are explored in this period (EVs and
The types of novelty can also be used as indicators of HEVs). It is stated that compared to SLI technology, the AGM
exploration/exploitation activities, this is analysed in the concept provides a much longer service life and more constant
following section. dynamic load acceptance; Meanwhile, the GB concept has a
longer service life, but its power capacity is too low even to
2) Exploration / Exploitation in LAB perform the cold start function of the vehicle [40]. Likewise,
This taxonomy makes it possible to identify the it is identified that the weight of LAB increases, reducing their
exploration or exploitation activities [47] underlying the viability as a traction technology.
technological evolution of LAB. Exploration activities can be
During 2003-2013, vehicle designers seek to build cars
identified with origination and recombination patents, while that meet the emissions and fuel consumption challenges
exploitation activities can correspond to recombination and promoted by the regulatory institutions of the United States
reuse patents. and the European Union, and that are attractive to consumers
It is observed that during the analysis period there is a [42]. Automotive industry responds defining various
balance between exploration/exploitation activities –Fig. 4 complementary routes. Transition from analog mechanical
Textured areas (scan) versus solid color areas (scan). Contrary systems to digital electromechanical systems was
to what would be expected, the technological evolution consolidated and expanded, not only in VEAs, also in internal
characterized by the predominance of exploitation over combustion vehicles (ICE). Acceleration systems, electronic
exploration over time, LAB have adapted to the technological driving control, driver assistance (ADAS), infotainment,
progress of AEVs through a balance of both activities. Such comfort and the incorporation of autonomous driving systems,
levels of exploration draw attention to an apparently mature have increased the number and complexity of computers,
technology [41] and considered, in principle, incapable of harnesses, programming codes, cameras, systems of
meeting the various requirements of AEVs [44]. communication and actuators of the vehicles [50,51]. These
3) Persistence in innovation of LAB systems are delicate and traction batteries, subject to large
Once the permanence of the exploration activities in the voltage changes, pose a risk to vehicle performance and user
LAB in the last 3 decades has been determined, it is necessary safety. A viable and economical solution, due to the low
to describe the qualitative characteristics of their technological specific cost of raw materials, the mature and cost-optimized
evolution and for this, the main facts for each period will be manufacturing technology, the robustness of the battery, its
analyzed. low-temperature discharge power, heat tolerance, and low
self-discharge [40], for the provision of energy to these
During the period 1981-1991, little inventive activity, high systems is the development of a dual battery system, which
levels of exploration and relatively low complexity are consists of a passive parallel connection between an auxiliary
observed. It is explained because in the face of the emergence battery, low power (12V), and a main battery, high power
of new generation electric vehicles, the strategy of the (12V or more). The dual battery system guarantees the ability
automotive industry was to incorporate electric motors in the to start the combustion engine and maintain vehicle mobility
vehicles and provide them with energy through LAB with SLI even in the event of failure or loss of the main battery, which
technology. The inventive activity of LAB during this period is especially important when you have a high degree of
electronic vehicle automation (the electromechanical power inventive activity slows down (from 438 to 264 patents).
steering system (EPS) or the electrohydraulic breakaway However, these prevail as auxiliary batteries suitable for
system (EHB)) [52-54]. supplying and managing energy for electrical/electronic and
V. CONCLUSIONS digital applications in vehicles. Also as a central energy
device for light electric vehicles.
Theoretical works of technological change agree that: 2) Technological complexity of LAB is slightly and
combination of new and existing technological capabilities is
gradually increasing. During 1981-2013, annual average of
the main source of inventive novelty. Under this
combinatorial view, 3 perspectives dominate the discussion: classes goes from 3 to 4 and, in the period 2003-2013, 53%
Gradualism, Combination/Accumulation, and Recombination of the inventions have 4 or more classes. This increase is the
of natural phenomena. For their part, empirical studies provide result of the discovery and convergence of phenomena
general aspects of innovation using the number of patents and (nanotechnological applications; discoveries in new
the number of claims as indicators of inventive activity, materials) and technological domains (advances in
however, there is no methodological consensus for the electrochemistry or computation) represented by the increase
empirical analysis of the recombinatorial process. In in the number of classes (building blocks, N) and their
summary, there are controversies both in the theoretical and combinations (interdependence, k).
empirical fields about the treatment of technological 3) Novelty types configuration have changed between
recombination. Methodology of Strumsky et al [12,13,33]
periods. Origination is the main type of novelty. However, its
uses patent classes to identify the degree of technological
complexity and four types of inventive novelty (origination, participation has been decreasing: in the first period it
new combination, recombination and reuse) for innovations represents 61%, in the second, 36% and in the last 32%.
registered in the USPTO. However, his theoretical approach Whereas recombination and reuse patents contribute in the
is typical of gradualism. Their findings conclude that new second period with 30% and 19% and in the third with 24%
technologies are more likely to emerge from existing and 28%, respectively. This indicates that, despite LAB being
technologies, and this implies that innovations emerge a mature technology, a high rate of original invention
through the reuse and recombination of previously generated remains, followed by increasing refinement activity.
skills and knowledge, consequently, they are typical of 4) From the above, seen from the perspective of
exploitation activities. It does not have an explanation of the exploration and exploitation activities. It can be affirmed that
emergence of absolutely new knowledge, nor of the reasons
the search for solutions has tended from exploration towards
that explain the emergence and increase in complexity.
Methodology of Strumsky et al [12,13,33] contributes to a relative balance between exploration and exploitation
systematically measure technological complexity and to activities. Specifically, origination and new combination
classify novelty, but when assuming a theoretical perspective, patents, associated with exploration, go from 76% in the first
to understand the complexity and the recombination process, period to 50.9% and 47.3% in subsequent periods, and
care must be taken, as this can lead to misleading recombination and reuse patents, associated with
interpretations, confused or incomplete. exploitation, represent for each period 24%, 49.1% and
This work aims to contribute to the study of technological 52.7%, respectively.
evolution by establishing a bridge between the "recombination For more than 150 years, automotive industry has used
of natural phenomena" approach [8] and the "taxonomy of LAB and, despite the drastic change it has undergone, it
novelty" [12,13,33] for the case specific to LAB. The results continues to innovate in this battery, with newer, more
of this analysis allow us to identify, for the study period (1981- complex and advanced technologies (VRLA, ALC, EFL)
2013), the following: 1) changes in the amount and proportion that, as sources reliable, low-cost, long-lasting power have
of inventive activity (patents) in advanced batteries for AEVs been tailored to meet the requirements of AEVs (as an
by type of material active (LA, NC, NMH, LI) (Fig. 1); 2) an auxiliary battery); of the ICE+, MHVs and MHEVs (as main
increase in the complexity of LAB (Figs. 2 and 3); 3) battery) and; of micro-vehicles and single-seaters (as a
origination is the main type of novelty in LAB, although an
traction battery).
increase in recombination and reuse is observed (Fig. 4) and;
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