1. A N EVALUATION OF HOW B RAZILIAN SCIENTIFIC RESEARCH CONTRIBUTES TO THE PATENTING OF SUGARCANE ETHANOL “19TH ICABR CONFERENCE - IMPACTS OF THE BIOECONOMY ON AGRICULTURAL SUSTAINABILITY, THE ENVIRONMENT AND HUMAN HEALTH” Ravello (Amalfi Coast – Italy): June 16 - 19, 2015 Institute of Economics (IE), University of Campinas (UNICAMP), Brazil CAROLINA S. BUENO, JOSÉ M. F. J. SILVEIRA, ANTONIO MARCIO BUAINAIN, LUIZ G. A. SOUZA & FÁBIO K. MASAGO

2. Objectives Underlying hypotheses Assess contribution of Brazilian researchers to generation of scientific knowledge in 2 nd generation bioethanol and to innovation – Brazil has accumulated 40 years of experience and knowledge on ethanol production and should have some advantages to innovate in 2 nd generation biofuels from sugar cane straw and bagasse – 2 nd generation biofuels are knowledge intensive based innovation and there is a relation between knowledge generation and innovation – Being a leader in ethanol production and having accumulated solid knowledge in the area, Brazil is expected to be also leading in innovation in 2 nd generation bioenergy

3. Methodology Step 1: Mapping up papers published – Search in ISI Web of Science – Subareas included in the search procedure: delignification, molecular makers, gene transcription, genotypes, enzymatic hydrolysis, photosynthesis, genotypes, nitrogen and control of pests and diseases – Use of queries (key-words) to identify scientific papers related to meaningful knowledge on sugarcane bioethanol – Queries used: : “hydrolysis* sugarcane and enzymes*”; “molecular marker* and sugarcane and ethanol” and “Biomass or bagasse and sugarcane”; “genotypes* and sugarcane and ethanol”; “sugarcane and conversion enzymes”; “gene expression and sugarcane and ethanol”; “ethanol and nitrogen and sugarcane”; photosynthesis* AND sugarcane”; pest control and sugarcane”.

4. Methodology Step 2: Identification of international collaboration network for generation of scientific knowledge through co-authorship with researchers from other countries (use of VantagePoint Software) Step 3: Identification of patents on 2 nd generation bioethanol in the USPTO data base between 1976-2014 Step 4: Identification of patent holders, by country and company/institution Step 5: Identification of scientific contribution to patents through the analysis of the literature cited in patents requests Step 6: Analysis of network of knowledge generation from quotes in patents letters

5. MAIN RESULTS

6. Global Scenario of Scientific Publication on Biomass 2977 articles Brazil 726 USA 417 India 253 World Scientific Production 2009-2013 Brazil: General: 2,74%, 13 th place Agricultural Science: 10,96%, 1 st place

7. Scientific collaboration network on sugarcane ethanol Brazil: green USA: blue India: red

8. Sub-area Country with the most publication Institution with the most publications Most frequently cited Enzymatic Hydrolysis BrazilUniversity of São Paulo143 Molecular Markers BrazilUniversity of São Paulo204 DelignificationBrazilUniversity of São Paulo510 GenotypesUSA United States Department of Agriculture 204 Enzymatic Conversion BrazilUniversity of São Paulo510 Genetic expression ChinaChinese Academy of Sciences270 NitrogenBrazilUniversity of São Paulo274 PhotosynthesisUSAUnited States department of agriculture257 Pest ControlBrazilUniversity of São Paulo125 Publication in Key Scientific Subareas for Sugarcane Ethanol: country and institution

9. 2 nd Generation Ethanol: Articles and Patent, 1976 - 2014 pantentsand articulespantentsand articules USA: 127 India: 10 Brazil: 3 China:1 South Korea:1 Japan: 1

10. Patents related to sugarcane ethanol in USPO – 1976 - 2014

11. Patent holders in USPTO database in the sub- areas of sugarcane ethanol

12. Patents that are most frequently cited in articles: A comparison between the citation of articles and the citation of patents Sub-AreaNo. of citations of articlesNo. of patents cited No. of citations of the patents by other patents Enzymatic Hydrolysis(26) 450495165 Molecular Markers(8) 385184122 Delignification(43) 737812213 Genotypes(17) 516418180 Enzymatic Conversion(5) 26714492 Gene Expression(11) 602511258 Nitrogen(14) 24233149 Photosynthesis(6) 504373107 Pest Control(14) 552325105

13. DISCUSSION As described above, a network analysis of the international collaboration involved in the scientific articles, and an analysis of the patent citations, both in the proposed domain of the sugarcane bioethanol investigation were carried out. Our basic idea was that scientific knowledge is the path to innovation, which is shown in this study in steps (3 and 5). Brazil has constructed an ethanol model for which it is known worldwide, and for this reason, it will be the object of the investigation of the trajectory between scientific publications and patents. Despite being the principle agent in the knowledge network, it is clear, as pointed out in steps 1 and 2, that Brazil produces a very low number of patents. Our objective however was more audacious. The initial hypothesis gave that the international collaboration networks provide a bridge for the generation of patents, as observed in terms of two points. Firstly, regarding the adoption of the accumulated scientific knowledge to generate patents and secondly, that the knowledge contained in the patents would be heavily linked to Brazilian scientific knowledge, since this knowledge does not support the protection of Brazilian innovations (as shown in stage 3).

14. DISCUSSION In spite of its major role as ethanol producer and also in the sugarcane ethanol knowledge network, it is clear that Brazil produces a very low number of patents. WHY IS THAT? WHAT IS WRONG (OR RIGHT) WITH BRAZILIAN KNOWLEDGE PRODUCTION MODEL? Does international collaboration provide a bridge for the generation of patents, or for transferring knowledge to support patent claims from third parties? What is missing? Incentives to researchers? Connections with private companies? Better focus on research priorities?

15. DISCUSSION A number of questions were considered throughout this study. Is Brazilian knowledge relevant to the generation of patents? Whether it is or not, the subareas analysed here are considered radical innovation, and Brazilian studies are published in the best journals indexed on the Web of Science, which is something that must be taken into consideration. If Brazil does in fact produce innovation, why is it not protected by patents? If the answer to this question is yes, there will be many risks in relation to the already consolidated Brazilian ethanol market. With ethanol becoming a commodity, where is the autonomy for what the country has constructed over decades? This analysis is currently underway and the results will be released in due course.