Technology Development of SSL

in the Global Context
Susan Walsh Sanderson
Kenneth L. Simons
NSF Smart Lighting Engineering Research Center
Lally School of Management and Technology
Rensselaer Polytechnic Ìnstitute
Supported by DOE through Efficiency and Renewable Energy (EERE) Programmatic Lighting Support program, award
570.01.05.007, “SSL Global Technology Analysis” and National Science Foundation under Cooperative Agreement
EEC-0812056, through its Smart Lighting Engineering Research Center
2
Limited
Controllability
Conventional
: Lighting
Controllabili
ty
- Solid State
: Lighting
Smart Lighting
: Systems
Adaptibility
HOME and
OFFICE
[ Adaptive
] Lighting
COMMUNICATIONS

[ - ] Dual Use
APPLICATIONS
AND IMPACTS
SENSING and
IMAGING
[ ] Information
HEALTH
[ Personal
] Lighting
ENERGY EFFICIENCY

[ ] Infrastructure
SMART LIGHTING
ENGINEERING RESEARCH CENTER

US counting of green and clean technology
investments to create jobs and stem global
warming
§
Technology Development
§
Global patenting
§
Commercialization
§
Products
§
Public Policy
§
Energy prices, R&D and production
incentives and adoption incentives
Research Topics
Photonics at center of transformation of
computer, consumer electronics and
communications
ole of Photonics in Transforming
Industries
Study of Global LED R&D

§
Analyses of LED & SSL patenting have focused
primarily on US data
§
To probe international R&D, need more global
measure
§
Counts based on one nation’s patents have
home-nation bias
§
Multi-national patent & applications data
§
Opportunity to probe corporate & national R&D
activity in novel ways
§
Unique comparison of inter-country, inter-firm
trends
§
World patents, not just US
Data Overview
§
European Patent Office’s 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 as
communist-style inventor’s certificates
Search Methods

§
Recursive search to identify LED-related
patents & applications
§
Based on classification codes (ÌPCs), title
keywords
§
Ìnventor & applicant nationalities often not in
available 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 in
mainland China vs. Taiwan
IPC Codes Considered
Category Number of Applications Brief Informal Description
H01L33/00 79,672 Semiconductor devices for light
emission, including manufacture
and details thereof
H05B33 63,003 Lighting – Electroluminescent
light sources
G09G3/30 14,977 Circuits for readable displays
using electroluminescent panels
G09G3/32 9,861 As G09G3/30, using
semiconductors
G09F9/33 8,718 Pixel-based displays using
semiconductors
H01L27/15 6,233 Solid-state circuitry
incorporating semiconductor
light-emitting devices
G09G3/14 2,738 As G09G3/32, but for
displaying a single character
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 lighting”,
“solid state light(s)”, “solid-state light(s)”, “solid state lamp(s)”,
“solid-state lamp(s)”, “micro-LED(s)”, “light emitting die(s)”, “light-
emitting 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 de
luz", “diodo(s) emitindo-se claro(s)”
Data Search: Catch Rate
Group of Applications Number of Applications % Caught by Search
Filed 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%
Technology Sub-Domains
Category Definition (Subset of Dataset)
All All applications
All But Displays, Printers, and
Scanners
Any application not in any of the IPC categories: Display Projector
PrintScan PhotoPrinter FundSemiPl, and not in any of the title
categories: DispPrintScan Backlight
Lighting Any application in the overall category All But Displays, Printers,
and Scanners, that is also in IPC category: Lighting or in any of the
title categories: Lamp WhiteLight, but only if it is not in title
category Indicator and not in overall category Fundamental
Fundamental Any application in any of IPC categories: FundOptics FundElectr
FundSemic FundComm FundManuf FundChem
Displays 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 category
Organic, but not in title category MetalOrganic
Vehicle Any application in IPC category: Vehicle
Cumulative Applications
Leading Companies:
All Applications
Leading Companies:
Multi-Country Applications
Multi-Country Applications
Nations of Invention
Cumulative Granted
Patents
Leading Companies:
ALL LED Granted Patents
Leading Companies:
Granted LED Patents
Multination Patents Applied for in All Years Multination Patents
Cumulative
Multination Patents
Applied for in 1998-2003
Multination Patents
Applied for in 2004-2009
All LED Patents’
Nations of Ìnvention
Patent Leaders:
LEDs for Displays
Patent Leaders:
Lighting
Location of Production
Gallium Nitride
LEDs f¸¸ff ¸f¸f¸¸ff ¸ ff¸¸ff ¸f¸f¸¸ff ¸     
f¸¸ff ¸f¸f¸¸ff ¸ ¸¸ff ¸f¸f¸¸ff ¸ WafP       
: / , , Source Canaccord Adams The Second Cycle 2009
Observations

Greater role of international companies than seen in US data
n Samsung zooming to top of patent rankings, most prominent in
displays & OLEDs
n SSL activity global, growing Asian role
n Taiwan and mainland China – many individuals & small
companies
n Manufacturing locus in China
n Traditional lighting firms transitioned into SSL through joint
ventures & acquisitions
n Major competition from strong consumer electronics firms
n For small firms--where are major opportunities?
Challenge of Competing in
Emerging Markets
§
US firms lost initial leadership in flat panel display
industry including liquid crystal display (LCD),
light emitting diode (LED) display and plasma
display panel (PDP)
§
Failed to invest in scaling-up during crucial
technology development phase beginning with
the LCDs
§
Ìs there a similar pattern in other emerging
industries?
§
What can be done to ensure the mistakes in LCDs
do not recur in other emerging industries?
§
Do stayers develop a competitive advantage?
Hughes
Rikker -Maxson
RCA
Rockwell
American Microsystems
Sperry Ìnformation
Ìntel
Westinghouse
HP
Motorola
T Ì
3M
Fairchild
GE
AT&T-Lucent
Standish
Xerox
Refac
Fujitsu
Ricoh
Cannon
Alps
LCD applications by year (approx.)
US government &
military funding
US government &
military funding
End of US large
scale production
End of US large
scale production
Entry of
Korean firms
Entry of
Korean firms
3-5 Systems
Japanese
US
Fraction surviving
US startups exit
US startups exit
Large US
producer exits
Large US
producer exits
Honeywell
Tektronix
Samsung’s Strengths
§
Manufacturing prowess
§
Grown
§
technological capabilities & Ìndustrial
design
§
World’s largest flat screen TV maker
§
LED backlit LDC TV
§
3D TV
§
OLED TV
§
Top in memory chips & LCDs
§
2
nd
largest handset vendor
§



Lessons from Apple’s 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 with
iPod/iTunes
§
140,00 applications for iPhone
§
Will iPad move e readers to mass market?
§
§
§

Where are the opportunities in emerging
lighting industry? Ìnroads
, ( - ) Figure from Kevin Dowling Color Kinetics now Philips Solid State Lighting Solutions
Solid State Lighting Firms and
Market Projections

Traditional
Lighting Firms
– Osram
– Philips
– GE
– Matsushita

New Lighting Firms
– Nichia
– Seoul
Semiconductor
– Citizen
– Toyoda Gosei
– Everlight
– Kingbright
– Cree
§
§
§

Lighting industry is
undergoing a major
transformation
OIDA projection 2008
02/05/10 36
: Graphics Artemide Group
London Health Sciences Centre
Comfort
Health
Productivity
Information
Efficiency
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
: Graphics Artemide Group
London Health Sciences Centre
Tip of iceberg: role of government in
creating conditions for success?
Country Programs Goals Timing Annual
Funding*
USA Next Generation Lighting
Ìnitiative
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% market
penetration; 120 lm/w and 80%
efficiency; medical equipment;
white HB-LED
1998-2008 $7.5 mil
South
Korea
Semiconductor Lighting
National Program; LED
Valley Project
Reduce use of glass, phosphors,
heavy metals; meet
environmental regulations; save
$20 bn on energy; 80 lm/w
efficiency; develop HB-LED
2001-2008 $59.4 mil
Taiwan Next Generation Lighting
Project; National Science
Council
Ìmprove white LED performance;
100 lm/w; patents and new
manufacturing companies
2002-2005 $4.0 mil
China Semiconductor Lighting
Project; National Solid
State Lighting Project
Established five industrial parks;
collaboration with Taiwan and
US; $19 bn LED industry by
2010; large scale conversion to
LED by 2015; reduce
environmental pollution
2005-2010 $248.8 mil
E.U. Sixth Framework Program Strengthen science & technology
base for international
competitiveness;
2002-2006 $16.3-32.5
mil
*estimated

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