1. XX.XX.2009 Patents and Clean Energy: Bridging the gap between evidence and policy Seite 1 Patents and Clean Energy Overview and Main Findings Benjamin Simmons UNEP Climate Change, Technology Transfer and IPRs Geneva, 13 July 2010

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

3. 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 of UNFCCC 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. EnergyBuildingsTransport Industry/ Agriculture Phase 1 Phase 2 Phase 3 Phase 4 Phase 5 Current projectFurther possible projects

4. 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 of UNFCCC 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. EnergyBuildingsTransport Industry/ Agriculture Phase 1 Phase 2 Phase 3 Phase 4 Phase 5 Current projectFurther possible projects

5. Source of EnergyComments Geothermal Hydro conventional OceanKinetic, Salinity, Thermal SolarPhotovoltaic, Thermal, Hybrid WindIncl. On- and Offshore Bio FuelsIncl. Biomass Heat/Power Fossil (Coal)IGCC, CO 2 Capture and Storage Statistical analysis was carried out by OECD for following sub-sectors

6. Statistical analysis: Examples of questions  What is the stock of patents, what is their geographical distribution?  Who are the main players and the leading owners in each sector?  Which areas do you find many patents? With few patents? Where are opportunities?  What are the leading technologies? Where are the centres of excellence?  Identify main drivers of innovation, including policy frameworks  Examine the extent of transfer of selected mitigation technologies from Annex 1 to non-Annex 1 countries of the Kyoto-Protocol  etc.

7. Growth rate of CCMT patenting Counts are measured in terms of claimed priorities, normalised to 1978=1.0.

8. Relative growth rate: Partial disaggregation

9. A Kyoto effect? Counts are measured in terms of claimed priorities, normalised to 1978=1.0.

10. A Kyoto effect? Counts are measured in terms of claimed priorities, normalised to 1978=1.0.

11. Oil price and biofuel patenting

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

13. 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

14. 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.

15. International transfer? CO 2 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.

16. 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.

17. 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

18. Broad dissemination of results Licensing survey for selected companies and institutions per sector Synthesis report about overall research; to be used in the context of UNFCCC 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. EnergyBuildingsTransport Industry/ Agriculture Phase 1 Phase 2 Phase 3 Phase 4 Phase 5 Current projectFurther possible projects UNEP-EPO-ICTSD Project structure

19. 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 II Creation of the Survey (July 2009) Stage IIII Identification of potential respondents (July 2009) Stage IVOutreach (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)

20. 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

21. Sample structure  Some 150 questionnaires received (50% via on-line survey)  Wide range of responding organizations (multinationals, universities, government agencies) Size Character

22. Headquarter location Technological field Sample structure

23. 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

24. '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 General CCMT patenting and licensing activities

25. Engagement in cooperative research or joint ventures to develop or improve CCMT ? Importance of CCMT Out-Licensing activities General CCMT patenting and licensing activities

26. '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 General CCMT patenting and licensing activities

27. 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?'

28. Developing countries important for IP related activities

29. 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?'

30. 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?'

31. 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.

32. Broad dissemination of results Licensing survey for selected companies and institutions per sector Synthesis report about overall research; to be used in the context of UNFCCC 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. EnergyBuildingsTransport Industry/ Agriculture Phase 1 Phase 2 Phase 3 Phase 4 Phase 5 Current projectFurther possible projects The UNEP- EPO- ICTSD Project: Where we stand

33. 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.

34. Thank you! Benjamin Simmons UNEP Economics and Trade Branch benjamin.simmons@unep.org