Download Slide 1

Patents and Clean Energy
Bridging the gap between evidence and policy through
ground breaking empirical evidence
Ahmed
Abdel Latif, ICTSD
Patents and Clean Energy: Bridging the gap between evidence and policy
Dialogue on Trade and Climate Change, Emerging Economies
XX.XX.2009
Seite 1
th March
30
2010- Delhi
Discussions on IPRs and climate change are controversial
• Disagreements on whether IPRs are a barrier to the
transfer of clean technologies or an essential prerequisite to promote innovation, technology development
and transfer.
• Much of the discussions have been confined to
generalisations and lacked an informed policy
perspective and a solid empirical basis.
• Discussions on this issue are likely continue until
Mexico.
What is needed?
Deconstructing the Role of IPRs in Technology Transfer
• Technology Transfer (TT) is a complex and multidimensional
process. Its success is contingent on many factors (finance, local
absorptive capacity, enabling environment).
• TT involves knowledge which is embodied not only in IPRs such as
patents but also in blueprints, designs, know-how and trade secrets.
• IPRs are important to promote innovation. By offering protection
against a loss of control of information in technology-related
transactions, IPRs can be an instrument facilitating the transfer of
technology.
• IPRs have also an impact on cost of technology acquisition and rate
of technology diffusion. Licensing conditions play a key role.
• Role of IPRs varies according to technology and sector. IP issues
raised in the context of mitigation technologies are different from
those in the context of adaptation.
Groundbreaking Empirical Evidence :
the UNEP-EPO-ICTSD Project on Patents and Clean Energy
• The scale of the challenge is such that only a broadly based
partnership can succeed.
• UNEP-EPO-ICTSD Project on Patents and Clean Energy
announced in April 2009 on the occasion of world IP day.
→
Unique Partnership
→
→
Robust Methodology
Some Preliminary Findings
The UNEP-EPO-ICTSD Project on Patents and Clean Energy:
a unique and innovative partnership
• Each organization brings its perspective, skills and
expertise to the project:
→ UNEP (UN Agency/Green Economy Initiative)
→ European Patent Office (Specialized Expertise in Patents)
→ ICTSD (NGO/Work on IPRs and Sust. Development)
• The project components:
→ Technology Mapping
→ Patent Landscape of energy generation technologies
→ Survey of Licensing practices in clean energies
Research and Analytical Steps
Current project
Further possible projects
Technology Mapping studies in 4 key mitigation sectors identified by the IPCC
PHASE 1
Energy
Buildings
Transport
Industry
Identification and specification of technologies for mitigation
PHASE 2
PHASE 3
Patent landscaping: What patents exist on these
technologies?
Licensing survey for 300-500 selected companies and
institutions per sector
PHASE 4
Synthesis report to better inform UNFCCC negotiations on
transfer of technology and financing
PHASE 5
Broad dissemination of results
The UNEP-EPO-ICTSD Project on Patents and Clean Energy:
A Robust Methodology
• Simultaneous combination in the same study of
technology mapping, patent landscape and survey of
licensing practices.
• Technology Mapping validated by IPCC experts.
• Patent landscape carried out by EPO patent examiners.
• Survey of Licensing Practices carried out in cooperation
with business associations.
• EPO has developed new and more specific classification
codes for tracking clean energy technologies.
• Data include worldwide patent documents.
→
Continuous flow of patent information on clean
energy technologies accessible to researchers and
the general public.
Patent landscaping and statistical analysis for
Clean Energy Technologies
• Problem: No classes in international patent
classification (IPC) to group and analyse patent data
for CCMT
• Phase 2.1: Identification ('tagging') of worldwide
patents in the field of clean energy by EPO experts
• Phase 2.2: Statistical analysis of the retrieved data
by the OECD's Environment Directorate
Energy generation through renewable
sources
Geothermal energy
Hydro energy
Energy from sea
Solar thermal energy
Photovoltaic (PV) energy
Thermal-PV hybrids
Wind energy
Solar energy- Solar Thermal (1/2)
Solar thermal energy
Tower concentrators
Dish collectors
Fresnel lenses
Heat exchange systems
Trough concentrators
For electricity generation, e.g. Stirling solarthermal generators
Mountings or tracking
Mechanical power
Example: Solar energy - Photovoltaic (PV) &
hybrids (2/2)
PV systems with
concentrators
Material technologies
Polycrystalline silicon PV
cells
Amorphous silicon PV cells
CuInSe2 material PV cells
Electrical aspects
Power interface
Dye sensitized solar cells
Solar cells from Group IIVI materials
Solar cells from Group IIIV materials
Microcrystalline silicon PV
cells
Power management
M.P.P.T. systems
Thermal-PV hybrids
The UNEP-EPO-ICTSD Project on Patents and Clean Energy:
The Patent Landscape: Some Findings
• The areas of technology targeted in the searches were: wind
energy; hydro/marine energy; solar energy; geothermal
energy; biofuels; carbon capture and storage, and energy
storage.
• Landscape shows increase in patenting in clean energy
technologies as against fossil fuel energy. In particular, windpower, solar photovoltaic and CO capture have been
exhibiting a rapid growth in recent years.
• The patenting activity across all clean energy technology
appears to be dominated by Japan, US, Germany, Korea,
Great Britain and France.
• Significantly, 87% of solar photovoltaic patents are invented
by Japan, US, Germany, Korea and France.
Growth rate of clean energy patenting
(1978-2006)
The UNEP-EPO-ICTSD Project on Patents and Clean Energy:
The Survey of Licensing Practices
• 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 head quarter, size,
CCMT fields, R&D
Survey Sample structure
• Some 150 questionnaires received (50% via on-line survey)
• Wide range of responding organizations (multinationals, universities,
government agencies)
Character
Size
The UNEP-EPO-ICTSD Project on Patents and Clean Energy:
Survey of Licensing Practices: Some Findings
• 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.
Relationship with developing countries
'To what extent has your organization entered licensing
agreements that involve licensees (which are not majoritycontrolled subsidiaries) based in developing countries in the last
three years?'
Rarely; 25%
Occasionally;
12%
Frequently;
5%
Never; 58%
Providing inputs to climate change negotiations
• Preliminary findings of UNEP-EPO-ICTSD project were
presented at side event at COP-15, in Copenhagen, on 18th
December 2009.
• Consultations in Geneva on February 15th with the private
sector, IGOs and NGOs to seek substantive feedback and
comments on preliminary findings.
• Final Report is expected to be released in June 2010.
• Next phase of the project is looking into technology demand
side country case studies.
• During 2010, active engagement with negotiators and different
stakeholders to use emerging evidence and policy oriented
research and take it into consideration in the final negotiations
Thank you
ICTSD initiative on
Climate Technology
and Trade
www.ictsd.org
[email protected]