Patents and Clean Energy: Bridging the gap between evidence and policy
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Patents and Clean Energy Overview and Main Findings. Climate Change, Technology Transfer and IPRs Geneva, 13 July 2010. Benjamin Simmons UNEP. Closing slide of Yvo de Boer (European Patent Forum, Ljubljana 2008). UNEP-EPO-ICTSD Project structure. Current project.

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Patents and clean energy overview and main findings

Patents and Clean Energy: Bridging the gap between evidence and policy

Patents and Clean Energy

Overview and Main Findings

Climate Change, Technology Transfer and IPRs

Geneva, 13 July 2010

Benjamin Simmons UNEP


Closing slide of yvo de boer european patent forum ljubljana 2008

Closing slide of Yvo de Boer (European Patent Forum, Ljubljana 2008)


Unep epo ictsd project structure

UNEP-EPO-ICTSD Project structure

Current project

Further possible projects

Phase 1

Technology mapping studies in 4 key mitigation sectors identified by the IPCC

Industry/

Energy

Buildings

Transport

Agriculture

Identification and specification of technologies for mitigation

a) Patent landscaping: What patents exist on these technologies?

Phase 2

b) Statistical analysis: trends, ownership, regional and sectoral clusters, etc.

Licensing survey for selected companies and institutions per sector

Phase3

Synthesis report about overall research; to be used in the context of

Phase4

UNFCCC negotiations on transfer of technology and financing

Phase5

Broad dissemination of results


Unep epo ictsd project structure1

UNEP-EPO-ICTSD Project structure

Current project

Further possible projects

Phase 1

Technology mapping studies in 4 key mitigation sectors identified by the IPCC

Industry/

Energy

Buildings

Transport

Agriculture

Identification and specification of technologies for mitigation

a) Patent landscaping: What patents exist on these technologies?

Phase 2

b) Statistical analysis: trends, ownership, regional and sectoral clusters, etc.

Licensing survey for selected companies and institutions per sector

Phase3

Synthesis report about overall research; to be used in the context of

Phase4

UNFCCC negotiations on transfer of technology and financing

Phase5

Broad dissemination of results


Patents and clean energy overview and main findings

Statistical analysis was carried out by OECD for following sub-sectors


Growth rate of ccmt patenting

Growth rate of CCMT patenting

Counts are measured in terms of claimed priorities, normalised to 1978=1.0.


Patents and clean energy overview and main findings

Relative growth rate: Partial disaggregation

Counts are measured in terms of claimed priorities, normalised to 1978=1.0.


Patents and clean energy overview and main findings

Country specialisation by field (Top 5 inventor countries: JP, US, DR, KR, FR)


Patents and clean energy overview and main findings

International transfer? Solar PV

Transfer is measured as the relationship between source country of inventions (“inventor country”) and countries in which protection of the intellectual property has been sought.


Patents and clean energy overview and main findings

International transfer? Biofuels

Transfer is measured as the relationship between source country of inventions (“inventor country”) and countries in which protection of the intellectual property has been sought.


Patents and clean energy overview and main findings

International transfer?CO2 capture

Transfer is measured as the relationship between source country of inventions (“inventor country”) and countries in which protection of the intellectual property has been sought.


Summary findings statistical analysis 1

Summary findings statistical analysis (1)

The indications from the landscaping study and analysis show that there has been a marked increase in patenting activity in the examined technologies as against fossil fuel energy

In particular, with wind power, solar photovoltaic (but not thermal) and CO capture

Notably, there is a marked increase around wind, solar PV and hydro/marine technologies after the Kyoto Agreement was signed.


Summary findings statistical analysis 2

Summary findings statistical analysis (2)

The patenting activity across all examined technologies appears to be dominated by Japan, US, Germany, Korea, Great Britain and France

87% of solar photovoltaic patents are registered by Japan, US, Germany, Korea and France

Geothermal appears to be the least concentrated field


Unep epo ictsd project structure2

UNEP-EPO-ICTSD Project structure

Current project

Further possible projects

Phase 1

Technology mapping studies in 4 key mitigation sectors identified by the IPCC

Industry/

Energy

Buildings

Transport

Agriculture

Identification and specification of technologies for mitigation

a) Patent landscaping: What patents exist on these technologies?

Phase 2

b) Statistical analysis: trends, ownership, regional and sectoral clusters, etc.

Licensing survey for selected companies and institutions per sector

Phase3

Synthesis report about overall research; to be used in the context of

Phase4

UNFCCC negotiations on transfer of technology and financing

Phase5

Broad dissemination of results


Patents and clean energy overview and main findings

Phase 3:Licensing survey(Coordinated by Dr. Meir Pugatch, University of Haifa and Director of Research, the Stockholm Network)

Stage IConsultation (April-June 2009)

Stage IICreation of the Survey (July 2009)

Stage IIIIIdentification of potential respondents (July 2009)

Stage IVOutreach (help of WBCSD, LESI, ICC and Fraunhofer) plus Online Survey (August - Oct. 2009)

Stage VAnalysis (Nov. - March 2010)

Stage IVPublication of results(September 2010)


Structure of the survey

Structure of the survey

Part A:General questions

Proportion of CCMT-related patents

Importance and tendency of CCMT In-Out-Licensing activities

Collaborative IP mechanisms, importance for overall business strategy

Part B: Developing countries (DC)

Licensing activities in developing countries, which?

Factors affecting licensing agreements in DC?

Flexibility of licensing terms in DC?

Part C: General statistics

Type of organization, country of headquarters, size,

CCMT fields, R&D


Sample structure

Sample structure

Some 150 questionnaires received (50% via on-line survey)

Wide range of responding organizations (multinationals, universities, government agencies)

Character

Size


Patents and clean energy overview and main findings

Sample structure

Technological field

Headquarter location


General ccmt patenting and licensing activities

General CCMT patenting and licensing activities

About 50% of the participants have a significant or substantial number of CCMT related patents in their portfolio

Some 39% did become more supportive in their business strategy towards licensing of CCMT in the past three years

  • Out-licensing activities

In-licensing activities


Patents and clean energy overview and main findings

'Please rank your organization’s intellectual property activities related to EST patents and technology (including know-how) in the following areas.'

General CCMT patenting and licensing activities

* Analysis is based on the frequency of respondents that gave high rank (answers 3 and 4) to each activity


Patents and clean energy overview and main findings

General CCMT patenting and licensing activities

Importance of CCMT

Out-Licensing activities

Engagement in cooperative research or joint ventures to develop or improve CCMT?


Patents and clean energy overview and main findings

'Please rank your organization’s intellectual property activities related to EST-patents and technology (including know-how) in the following areas.'

General CCMT patenting and licensing activities

* Here we show the frequency of respondents that gave high rank (answers 3 and 4) to each activity


Relationship with developing countries dc

Relationship with developing countries (DC)

'To what extent has your organization entered licensing agreements that involve licensees (which are not majority-controlled subsidiaries) based in developing countries in the last three years?'


Developing countries important for ip related activities

Developing countries important for IP related activities


Conditions for licensing or cooperation with dcs

Conditions for licensing or cooperation with DCs

'When your organization is making a decision whether or not to enter into a licensing

or cooperative development agreement with a party in a developing country, to what

extent would the following factors positively affect your assessment?'


Willingness to greater lenience versus dcs

Willingness to greater lenience versus DCs

'When entering into an out-license agreement with parties that are based

in developing countries, to what extent do the monetary terms of your

license reflect your willingness to introduce greater lenience due to

differences in the purchasing power of the parties?'


Summary findings survey

Summary findings survey

  • IP laws and protection in the developing country where the technology is to be licensed was an important factor for technology holders. However, of equal importance to licensors was the scientific capabilities, infrastructure, human-capital of the licensee.

  • The main recipients of licensing or other commercialization activities of IPRs were the BRICS countries, with China topping the list.

  • 70% of patent owners indicated that they are willing to provide more flexible licensing for entities that are based in developing countries.


The unep epo ictsd project where we stand

The UNEP- EPO- ICTSD Project: Where we stand

Current project

Further possible projects

Phase 1

Technology mapping studies in 4 key mitigation sectors identified by the IPCC

Industry/

Energy

Buildings

Transport

Agriculture

Identification and specification of technologies for mitigation

a) Patent landscaping: What patents exist on these technologies?

Phase 2

b) Statistical analysis: trends, ownership, regional and sectoral clusters, etc.

Licensing survey for selected companies and institutions per sector

Phase3

Synthesis report about overall research; to be used in the context of

Phase4

UNFCCC negotiations on transfer of technology and financing

Phase5

Broad dissemination of results

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Inputs to climate change negotiations

Inputs to Climate Change Negotiations

  • Preliminary findings of UNEP-EPO-ICTSD project were presented at side events at COP-15 (Copenhagen, 18 December 2009) and the UNFCCC Subsidiary Bodies Sessions (Bonn, 9 June 2010)

  • Consultations in Geneva on 15 February 2010 with the private sector, IGOs and NGOs to seek substantive feedback and comments on preliminary findings.

  • Final Report is expected to be released on 30 September 2010 (Brussels).

  • Potential next phase of the project to look into technology demand side country case studies.


Thank you

Thank you!

Benjamin SimmonsUNEP Economics and Trade [email protected]


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