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Shunpei Yamazaki Semiconductor Energy Laboratory Co. Ltd. (SEL) Atsugi, Kanagawa, Japan

Innovation in Japan ―Semiconductor Technology, Intellectual Property, and Exploitation of Business―. Shunpei Yamazaki Semiconductor Energy Laboratory Co. Ltd. (SEL) Atsugi, Kanagawa, Japan. October 22, 2008. 1. Today’s Presentation. I. R&D Innovation Wave and Pro/Anti-Patent Era

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Shunpei Yamazaki Semiconductor Energy Laboratory Co. Ltd. (SEL) Atsugi, Kanagawa, Japan

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  1. Innovation in Japan―Semiconductor Technology, Intellectual Property, and Exploitation of Business― Shunpei Yamazaki Semiconductor Energy Laboratory Co. Ltd. (SEL) Atsugi, Kanagawa, Japan October 22, 2008 1

  2. Today’s Presentation I. R&D Innovation Wave and Pro/Anti-Patent Era II. Middle/Short Term Innovation Wave in Semiconductor Industry and SEL’s R&D III. Two Examples of Achievements 1) CGS (CG Silicon) for Liquid Crystal Display at SEL 2) Nonvolatile Memory in College Days IV. Patents V. Acknowledgment 2

  3. I. R&D Innovation Wave and Pro/Anti-Patent Era 3

  4. R&D Innovation Overview Pro-Patent Era Age focusedon Research and Development Anti-Patent Era Age focusedon commercialization and industrialization 4

  5. Innovation Process for R&D Process Industrial- ization Commercial- ization Research Development -Develop applied products -Launch products -Mass production -Expand market -Cooperate with others -Supply OEM -Obtain patents -Establish manufacturing technology Create seeds Pro-patent Anti-patent Patent Devil River References: -Nikkei Business Daily dated February 14, 2006 -National Institute of Standards and Technology（NIST) Death Valley Darwin’s Sea 5

  6. Waves of Pro-Patent / Anti-Patent a) Long term wave Each pro-patent era and anti-patent era lasts for 40 to 60 years. b) Middle term wave Prosperity and declination of product Industry lasts for about 15 years each. (30-year cycle) c) Short term wave Active period and defending period of researchers and companies. (3 to 5-year cycle) 6

  7. 1901 1861～1865 1929 (1930) 1914 President A. Lincoln Civil war World War I Foundation of General Electric Company Technology Development Wave in the United States (Long Term Wave) Pro-patent(Focus on independent technology development) 45 years 89 years 64 years 55 years 1st Anti-patent era 1st Pro-patent era 2nd Pro-patent era 2nd Anti-patent era 1790 Constitution of the Patent Law 1945 1985 2008 2030 End of World War II Young report was submitted to President Ronald W. Reagan (proposed in the U.S. technology policy）. 1776 Independence of the U.S. Great Depression -President T. Jefferson was strongly interested in invention and incorporated a section regarding patents in the first article of the Constitution of the United States. - A. Lincoln was an inventor himself and the President of the United States. Anti-patent（ Focus on technology introduction） 7

  8. Main People who were active in the 1st Pro-patent Era in the United States 75 years 1st Pro-patent Era 1 8 4 0 1 8 5 0 1 8 6 0 1 8 7 0 1 8 8 0 1 8 9 0 1 9 0 0 1 9 1 0 1 9 2 0 1 9 3 0 Michael Faraday 9 1 6 7 Ernst Werner von Siemens 1 6 9 2 Hermann von Helmholtz 2 1 9 4 Lord Kelvin 2 4 0 7 John Pierpont Morgan 3 7 1 3 Alexander Graham Bell 4 7 2 2 Chichester Bell 4 8 2 4 John Ambrose Fleming 4 9 4 5 George Eastman 5 4 3 2 Nikola Tesla 5 7 4 7 Tomas Alva Edison 47 31 Yogoro Kato studiedabroad to MIT 1903 1905 8

  9. Long Term Wave in Japan Pro-patent (Focus on independent technology development) Continue for 40 years? 31 years 46 years 48 years 1945 (End of World War II) 1904 (Outbreak of Russo-Japanese War) 1989 Fall of the Berlin Wall 1899 Japan recognized the Treaty of Paris IP–based Nationbecomes a national policy (D) Focus on independent technology development Block off foreign technology (B) 1968/1970 Wealth and military strength (A) 2030? High-growth era West-East cold war (C) 2008 2000 Cabinet’s declaration of “Intellectual Property-Based Nation” 1868 Meiji Restoration Anti-patent(Focus on technology introduction) 9

  10. Main Scientists who were active in the 1st Pro-patent Era in Japan 46 years 1st Pro-patent era Year of Discovery / Invention 1870 1880 1890 1940 1900 1910 1930 1950 1960 1860 1920 Monosodium glutamate (1908) 36 Kikunae Ikeda 64 Vitamin B1 (1912) Umetaro Suzuki 74 43 KS magnet steel (1916) Kotaro Honda 70 54 GS battery (1920) 51 Genzo Shimazu 69 Yagi anntena (1926) Hidetsugu Yagi 86 76 Ferrite (1930) 72 67 Yogoro Kato Bias research / Magnetic recording method (1938) Kenzo Nagai 01 89 10

  11. Novel Prize Winners in Japan and Anti-Patent Era 48 years 2nd Anti-patent era 1900 1910 1920 1940 1950 1960 1970 1980 1990 2000 Year of Invention / Discovery 2010 Year of Novel Prize 1930 Quark 1973 2008 Makoto Kobayashi 44 1973 2008 Quark Toshihide Masukawa 40 2008 Cosmic neutrinos (KAMIOKANDE) 1983 2002 Physics Masatoshi Koshiba 26 1957 1973 Electron tunneling Leo Esaki 25 Quantum electrodynamics 1965 1947 Sin-Itiro Tomonaga 6 79 Predict of the presence of pion 1934 1949 81 Hideki Yukawa 7 1962 2008 Green Fluorescent Protein 28 Osamu Shimomura 1985 2002 Mass spectrometric analyses of biological macromolecules Koichi Tanaka 59 Chemistry 1980 2001 Chirally catalyzed asymmetric reaction Ryoji Noyori 38 1967 2000 Conductive polymers 36 Hideki Shirakawa 1952 1981 Mechanisms of chemical reactions Kenichi Fukui 98 18 11

  12. Waves of Basic Research and Industrial Research Pro-patent Basic research Era 1945 2004.4 Industrial results are required after corporate status is given to universities. Anti-Patent Era Anti-patent Anti-patent era(Basic Research Era) Universities deny to co-develop with companies in order to investigate the truths. As a result, many novel prize winners are produced from universities. Pro-patent era Basic research is disvalued because universities were made independent national corporations. Good results from basic researches may not be made. 12

  13. Summary of Technology Movements in Japan 1) Meiji Restoration terminated the long period of isolation, which led to the introduction of technology. Same situation is seen after World War II. 2) R&D Activities in Japanese Universities become active in the 1st pro-patent era 3) Novel prize winning activities are made in the 2nd anti-patent era(Basic Research Era) 4) No significant activities are observed in the 2nd pro-patent era 5) Without any foreign technology introduction, Japan shifts to developing independent technology 13

  14. II. Middle/Short Term Innovation Wave in Semiconductor Industry and SEL’s R&D 14

  15. Semiconductor Industry Wave（Middle Term Wave） industrialization DRAM Passive LCD CPU Active LCD LCD TV 2015 1970 1985 2000 latent stage Large Computer + PC era Semiconductor era (Intel inside) Industry Electronic material era Japan lost the share competition + Trade conflict between Japan and US Japan made up 50% share of DRAM in the world Semi conductor Survival game due to huge investment (not everybody can win anymore） Prototype of active type LCD (1985) Book on LCD (1st edition) issued in 1970 LCD Notebook PC era (mounted active type LCD) Mass production era of passive type of LCD 15

  16. Wave of Yamazaki / SEL R&D(Short Term Wave) Establishment of JV Active Liquidation of JV company litigation period bubble period 1970 1975 1980 1985 1995 2000 2004 2007 1990 Defensive Yamazaki University/TDK SEL 8. Flexible CPU (2001) 9. Active OEL 1. High-purified a-Si:H (1982) 2. Thin film solar cell 3. Diamond by PCVD (1987) 4. a-Si TFT / micro crystal TFT 1. Catalytic CVD (1965) 2. Low pressure CVD (1970) 3. Si direct contact (1970) 4. Nonvolatile memory (1970-1973) 5. LTPS (1992) 6. Linear Laser Crystallization (1993) 7. Ni SPC (1993) 10. LTSS 16

  17. Typical Activities I Was Absorbed in College Days 17

  18. Activities in SEL 18

  19. Summary of the relation between SEL’s R&D and Innovation Wave • Typical remarkable inventions of SEL were made in Active ages. • Many successful results of SEL were achieved when we got ahead of the Semiconductor Industry wave. 19

  20. III. Two Examples of Achievements1) CGS (CG Silicon) for Liquid Crystal Display at SEL 20

  21. Development of Continuous Grain Silicon at SEL • Background SHARP (SEL’s client) requested to realize crystallization under the conditions of 550ºC or less and 4 hours or fewer. • Phenomenon Brown amorphous silicon became transparent after performance of plasma treatment and annealing at 550ºC for 4 hours. • Why The reason of the crystallization was unknown. About 3 months later, it revealed that the catalytic reaction of nickel in silicon film at 550ºC caused the crystallization.  After various improvements, CGS was completed, which is now employed in SHARP’s mobile as a part of the display. 21

  22. Example of CGS Film Deposited at 500ºC (1993) Amorphous (brown) Crystal (transparent shade) Printed Drawing: The Great Wave off Kanagawa, woodblock print by Katsushika Hokusai 22

  23. Actual Use of System Liquid Crystal Panel Driving Frequencies: 4MHz (5V) Clock Generator Circuit, Reset Synchronous Circuit, etc. Driving Frequencies: 3MHz (5V) Number of TFTs: 13 thousand Area of Chip: 13 mm x 13 mm Set of Instructions: Z80 compatible Functional Circuit CPU Liquid Crystal Panel Display Area: 2.2 inches diagonal Number of Pixel: 240 x 160 x RGB Pixel Size: 65m Image Data: RGB, 3 bit digital each 23

  24. CGS Application to Mobile Phones SHARP’s “URBANO”, a cell phone (carrier: au mobile corporation by KDDI), which uses a LTPS TFT LCD panel made by SHARP Corporation SHARP’s SH906i”, a cell phone (carrier: NTT docomo, Inc. ) which uses a LTPS TFT LCD panel made by SHARP Corporation 24

  25. Actual Achievements In CGS 25

  26. SEL’s R&D Style-CGS etc.- (i) Offer from Mass Production Companies (ii) Discoveries in Material and Device Science (iii) Co-Develop with Mass Production Companies 26

  27. 2) Nonvolatile Memory in College Days 27

  28. Background and Needs for IGFET (1965～1970) Removal of instability in a gate insulating film of IGFET for industrialization 28

  29. R&D of Nonvolatile Memory (“NVM”) Schematic illustration of a metal-nitride-oxide-silicon memory transistor. Hysteresis characteristic in C-V Observation by trap center 29

  30. Discovery of Silicon Cluster-Cause of the Charge Type Cluster- Silicon Nitride Si Substrate Si Cluster Silicon Nitride TEM Observation R.T. 90℃ 230℃ Black dots are Silicon Nano Particles 1.0mm 1.0mm 0.5mm Si Cluster Type Memory (Yamazaki at IEDM 1973) 30

  31. My Development History of NVM Observation of Hysteresis in C-V Evaluation of Si3N4 1965 Science Proved the Cause 1969-1970.3 Discover Silicon Cluster for Change Capture Center Inventing Silicon Cluster (Quantum Dot) Memory Engineering Experiment of Si Film Enveloped in Insulator 1970.10 Inventing Floating Gate Enveloped in Insulating Film Metal Floating Gate SGMOS (Pt, Al, Au etc.) Semiconductor Floating Gate SGMOS (Si, Ge) 31

  32. Typical Invention of FG-NVM Japan Examined Patent Application Publication No. 50-36955 (Yamazaki Oct. 27,1970) (Patent No. 886343) 1.Control Gate 4. Substrate 5. Insulator 6.Tunnel Insulator 8. Floating Gate What is claimed is A Semiconductor memory device comprisingat least one semiconductor layer wrapped with an insulator over a semiconductor substrate, wherein acontrol electrode formed of a semiconductor or a conductor is provided over the insulator. 32

  33. Electronic Key System Using Nonvolatile Memory with SiFG SGMOS (1973) An electronic key that instantly erases all data stored in the memory Original model of “flash” EEPROM! (Demonstration of Electronic Key system by Y. Yamashita at TDK Corporation) 33

  34. Inventions relating to the ERASE Function which grows into big industry ERASE function is essential to EEROM (Electronically Erasable Read Only Memory) in system applications. 34

  35. Comparison of Actual Marked Products with My Invention 1. INTEL 128MB NOR 2. SAMSUNG 256MB NAND 3. SPANSION 256MB NAND 4. Hynix 1GB NAND 5. TOSHIBA 1GB NAND 35

  36. 1. INTEL 128 MBNOR Flash Memory Chip in NEC Cell-Phone (1) Package containing flash memory 36

  37. 1. INTEL 128 MBNOR Flash Memory Chip in NEC Cell-Phone (2) Insulator Control Gate Floating Gate Si Substrate Control Gate Floating Gate Insulator Si Floating Gate Structure Si Substrate Schematic Drawing 37

  38. 2. SAMSUNG 256 MB NAND Flash Memory Chip in SONY Game Machine Insulator Control Gate Floating Gate Si Substrate Cross Sectional View Control Gate Insulator Floating Gate Si Floating Gate Structure Si Substrate Schematic Drawing 38

  39. 3. SPANSION 256 MB NAND Flash Memory Chip in Motorola Cell-Phone Insulator Control Gate Floating Gate Si Substrate Cross Sectional View Control Gate Insulator Floating Gate Si Floating Gate Structure Si Substrate Schematic Drawing 39

  40. 4. Hynix 1GB NAND Flash Memory Chip in Sony MP3 Player Insulator Control Gate Floating Gate Si Substrate Insulator Control Gate Floating Gate Si Floating Gate Structure Si Substrate Schematic Drawing 40

  41. 5. TOSHIBA 1GB NAND Flash Memory Chip in Toshiba SD Card Insulator Control Gate Floating Gate Si Substrate Cross Sectional View Control Gate Insulator Floating Gate Si Floating Gate Structure Si Substrate Schematic Drawing 41

  42. NVM Industrial Scale Estimated Market Trend of EEPROM / Other Memory from 2007 to 2010 (US$ Billion) Estimation of Electronic Journal, Inc. Estimated Market Growth Rate of EEPROM / Other Memory from 2007 to 2010 (%) Estimation of Electronic Journal, Inc. 42

  43. SEL’s R&D Style-NVM etc.- (i) Basic Research in Material Science and Technology (ii) Discovery of new phenomena (iii) Device Development Based on Newly Discovered Phenomena (iv) Co-Develop with Mass Production Companies 43

  44. Summary • Genuine seeds of invention should come from basic researches. • Themes discovered in the field of basic science grow into a tree with a large trunk (=industrialization after crossing the Darwin’s sea）, which leads to the industrial research and development in the pro-patent era. • Interestingly, repeat of anti-patent and pro-patent eras in turn is historically observed. 44

  45. IV. Patents 45

  46. SEL’s Patent Portfolio 46

  47. Number of Patents of T. Edison and Yamazaki ｝ T. Edison U.S. patents 1,093 other countries 1,293 Total 2,386 patents ｝ S. Yamazaki U.S. patents 1,200 Japan patents 1,295 other countries 750 Total 3,245 patents (as of May 2004) （Guinness World Records) ｝ (as of Sept. 2008) U.S. patents 2,007 Japan patents 1,731 other countries 1,386 Total 5,124patents (Including joint inventions) 47

  48. Guinness World Records I was officially recognized in the Guinness Book of World Records as a largest number of patents holder in May 31 2004. 48

  49. V. Acknowledgement 49

  50. Acknowledgement I would like to express my deepest gratitude to all the companies and people who appreciated our researches, especially in my college days. Owing to them, I was able to establish SEL and make a valuable investment in the next research and development. 50

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