Patents and Clean Energy Overview and Main Findings

XX.XX.2009

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

Seite 1

Patents and Clean EnergyOverview and Main Findings

Benjamin Simmons UNEP

Climate Change, Technology Transfer and IPRsGeneva, 13 July 2010

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

UNEP-EPO-ICTSD Project structure

Broad dissemination of results

Licensing survey for selected companies and institutions per sector

Synthesis report about overall research; to be used in the context ofUNFCCC negotiations on transfer of technology and financing

Identification and specification of technologies for mitigation

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

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

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

Energy Buildings TransportIndustry/Agriculture

Phase 1

Phase 2

Phase 3

Phase 4

Phase 5

Current project Further possible projects

Source of Energy Comments

Geothermal

Hydro conventional

Ocean Kinetic, Salinity, Thermal

Solar Photovoltaic, Thermal, Hybrid

Wind Incl. On- and Offshore

Bio Fuels Incl. Biomass Heat/Power

Fossil (Coal) IGCC, CO2 Capture and Storage

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

Growth rate of CCMT patenting

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

0,0

0,5

1,0

1,5

2,0

2,5

3,0

3,5

1978

1980

1982

1984

1986

1988

1990

1992

1994

1996

1998

2000

2002

2004

2006

Selected CCMTs

Fossil & NuclearEnergyAll tech fields(TOTAL)

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

Relative growth rate: Partial disaggregation

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

0%

10%

20%

30%

40%

50%

60%

70%

80%

90%

100%

Solar P

V

CO2 Cap

ture

IGCC

CO2 Sto

rage

Wind

Biofuels

Hydro

/Marin

e

Solar T

hermal

Geoth

ermal

Selec

ted CCMTs

5

4

3

2

1

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.

International transfer? Solar PV

International transfer? Biofuels


International transfer?CO2 capture


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)

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









Phase 1

Phase 2

Phase 3

Phase 4

Phase 5


UNEP-EPO-ICTSD Project structure

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

Stage I Consultation (April-June 2009)

Stage II Creation of the Survey (July 2009)

Stage IIII Identification of potential respondents (July 2009)

Stage IV Outreach (help of WBCSD, LESI, ICC and

Fraunhofer) plus Online Survey (August - Oct. 2009)

Stage V Analysis (Nov. - March 2010)

Stage IV Publication of results (September 2010)

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

Some 150 questionnaires received (50% via on-line survey) Wide range of responding organizations (multinationals, universities,

government agencies)

SizeCharacter

Headquarter location Technological field

Sample structure

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

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

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


Engagement in cooperative research

or joint ventures to develop or improve

CCMT?

Importance of CCMT

Out-Licensing activities


'Please rank your organization’s intellectual property activities related to EST-patents and

technology (including know-how) in the following areas.'

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


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?'

Never; 58%

Rarely; 25% Occasionally; 12%

Frequently; 5%

Developing countries important for IP related activities

China; 25%

India; 17%

Brazil; 12%

Russia; 10%

Malaysia; 4%

Thailand; 4%

South Africa; 3%

Other; 25%

Conditions for licensing or cooperation with DCs

18%

13%16% 15%

28%

37%

26% 27%29%

37%

44%42%

13% 14%16%

25%

0%

5%

10%

15%

20%

25%

30%

35%

40%

45%

50%

Protection of intellectualproperty rights

Scientific capabilities,infrastructure and human

capital

Favourable market conditions Favourable investmentclimate

Not a factor

A basic precondition

Significantly attractive condition

Compelling reason

'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

Licensing terms are more flexible, 50%

No difference in licensing terms, 30%

Licensing terms are substantially more

accommodating, 5%

Licensing terms are much more

accommodating, 15%

'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

1. 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.

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

3. 70% of patent owners indicated that they are willing to provide more flexible licensing for entities that are based in developing countries.









Phase 1

Phase 2

Phase 3

Phase 4

Phase 5


The UNEP- EPO- ICTSD Project: Where we stand

Inputs to Climate Change Negotiations

1. 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)

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

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

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

Thank you!

Benjamin SimmonsUNEP Economics and Trade Branch

[email protected]

Patents and Clean Energy Overview and Main Findings

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