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The Technology Mechanism and the role of intellectual property rights in technology transfer
Ahmed Abdel LatifSenior Programme Manager Innovation, Technology and Intellectual PropertyICTSD
UNDP Workshop for Delegates to UNFCCC COP‐17 and Rio+20Algiers, 11‐13 October 2011
International Centre for Trade and Sustainable Development www.ictsd.org
The Bali Action Plan called for enhanced action on technology developmentand transfer to support action on mitigation and adaptation, including, interalia, consideration of: (i) Effective mechanisms and enhanced meansfor the removal of obstacles to, and provision of financial and otherincentives for, scaling up of the development and technology to developingcountry Parties in order to promote access to affordable environmentallysound technologies (EST)
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Bali Action Plan ‐ Technology Transfer (2007)
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UNFCCC Technology Mechanism (2010)
Technology Mechanism
Technology Executive Committee
(TEC)
Climate Technology Centre and Network
(CTCN)
• A more dynamic approach to technology transfer– Increased R&D cooperation– International and National Technology Action Plans– Facilitation of a network of technology centers– Strengthening of national innovation systems– Partnerships
• Pending issues– Finance and institutional set up– Fleshing out some of its functions
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The Technology Mechanism
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Functions of the TEC and CTCN
Technology
TEC
Overview of technological needs/
Analysis of policy and technical
issues
Recommend
Actions to promote
technology development and transfer
Guidance on policies and
program priorities with
special consideration
to LDCs
Actions to address
barriers to technology
development and transfer
cooperation with relevant international stakeholders/
Promote coherence
across activities
Catalyze the use of technology
action plans
Promote collaboration
on the development and transfer
of technology
CTCN
1. Provide advice on technology needs2. Facilitate the
provision of information and
training3. Facilitate the deployment of
existing technology
Stimulate collaboration,
technology development and transfer
as well as opportunities
for North/South, South/South
and triangular technology cooperation
Facilitate a Network of national, regional,
sectoral and international technology
centres, networks,
organizationand
initiatives
a) The relationship between the TEC and the CTCN and theirreporting lines;
(b) The governance structure and terms of reference for the CTCNand how the CTC will relate to the Network;
(c) The procedure for calls for proposals and the criteria to be usedto evaluate and select the host of the CTCN;
(d) The potential links between the Technology Mechanism and thefinancial mechanism;
(e) Consideration of additional functions for the TEC and the CTCN;
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TM related issues to be settled by Durban
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IP and transfer of ESTs
• The most divisive issue in the technology discussions. Disagreementshave focused on whether IPRs are a barrier to the transfer of cleantechnologies (developing countries) or an essential pre‐requisite topromote innovation, technology development and transfer(industrialized countries).
• No reference to IPRs in Cancun final decisions
• Bangladesh, Bolivia, China and Ecuador indicate that TMshould address IPRs, April 2011
• IPRs issues raised at first meeting of TEC, September 2011
• India suggests to add IPRs to the agenda of the Durban COP,October, 2011
• Durban COP ?
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Proposal by India for Durban
OPTION 1
• Launching a process under the COP or crafting a facilitative IPRs regime relating to critical mitigation and adaptation technologiesAWG‐LCA clearly tasking it with, and identifying desired inputs, eventual outcome and timeframe to reach it
OPTION 2
• Reintroducing the IPRs issue under the relevant AWG‐LCA agendaitem/process on technology
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What are IPRs?
Intellectual Property Rights (IPRs) are exclusive legal rights which give toinventors and creators, for a limited time period, ownership over theirinventions and creations and the ability to define the terms of their use duringthat period.
IPRs fall in the following categories:Industrial Property
PatentsTrademarks Geographical Indications Industrial DesignsIntegrated Circuits
Artistic and Literary PropertyCopyright
Undisclosed Information
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sample ‘Environmental’ patent application
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Complexity of international IP rules
International Intellectual Property Rules
National IP Laws: IP is territorial !
WTO TRIPS AGREEMENT
WIPO
Regional IP Agreements (OAPI/ARIPO)
Bilateral and Regional Trade Agreements
• TT is a complex and multidimensional process contingent on many factors (finance,local absorptive capacity, enabling environment).
• TT involves knowledge which is embodied not only in IPRs such as patents but alsoin blueprints, designs, know‐how and trade secrets.
• IPRs are important to promote innovation. By offering protection against a loss ofcontrol of information in technology‐related transactions, IPRs facilitate thetransfer of technology.
• IPRs have also an impact on cost of technology acquisition and rate of technologydiffusion. Licensing conditions play a key role.
• Role of IPRs can vary according to technology and sector.
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IPRs and technology transfer
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IP, Innovation and Transfer of ESTs
IP
Innovation
Practical Measures
Fast tracking “green” patent applications
New clean energy patent classification
(EPO)
Technology Diffusion and
Transfer
LDCs
Incentives (TRIPS.66.2)
High‐Middle Income Developing Countries
Licensing
Open Innovation Open
Innovation
Green Exchange
Eco‐Patent
Commons
IPC Green Inventory(WIPO)
While some participants did not see a place for IPR in the CTCN discussions, someothers suggested that the CTCN and TEC could undertake the following functions :
(a) Identify the concrete IPR obstacles and propose alternatives;
(b) Support the use of flexibilities available within TRIPS.
(c) Support the development of proposals for national legislation that would giveeffect to flexibilities in intellectual property rights;
(d) Undertake initiatives to promote and benefit fully from innovations that are inthe public domain;
(e) Ensure that environmental climate‐related technologies are in the public domainand free of patents;
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IP in Bangkok Workshop Report (April, 2011)
• Formulation of policies and programmes for the effective transfer of ESTs thatare publicly owned or in the public domain;
• Purchase of patents and licenses on commercial terms for their transfer todeveloping countries on non‐commercial terms, taking into account the needto protect intellectual property rights;
• In compliance with and under the specific circumstances recognized by therelevant international conventions adhered to by States, the undertaking ofmeasures to prevent the abuse of intellectual property rights, including ruleswith respect to their acquisition through compulsory licensing, with theprovision of equitable and adequate compensation;
• Provision of financial resources to acquire ESTS in order to enable in particulardeveloping countries to implement measures to promote sustainabledevelopment that would entail a special or abnormal burden to them;
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IP was already there in Chapter 34 of Agenda 21 (1992)
Peer reviewed by IPCC experts
TERI (India)
ERI (China)
ECN(Netherlands)
ICC WBCSD LESI
UNEP‐EPO‐ICTSD Report on Patents and Clean Energy
Mapping of renewable energy technologies
Patent landscape of clean energy generation technologies
New patent classification for clean energy technologies
(Y02C, Y02E)
Survey of licensing practices in clean
energy technologies
OECD Environment Division: statistical analysis of patent data
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Countries leading patenting activity in clean energy technologies
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Relative growth rate for selected clean energy technologies
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Patenting trends between countries: wind energy
• Part A: General questions– Proportion of CET‐related patents– Importance and trends in in‐ and out‐licensing activities – Collaborative IP mechanisms, importance for overall business
strategy
• Part B: Developing countries (DCs)– Licensing activities in DCs? Which ones?– Factors affecting licensing agreements in DCs?– Flexibility of licensing terms in DCs?
• Part C: General statistics– Type of organization, country of headquarter, size, CET fields, R&D
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Licensing Survey in Clean Energy Technologies
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Limited Licensing towards developing
'To what extent has your organisation entered licensing agreements that involve licensees (which are not majority-controlled subsidiaries) based in developing countries in the last three years?'
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BRIC countries important for licensing
With which countries has your organisation been most involved in licensing or other commercialization activities of intellectual property in the field of CETs
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More lenient licensing terms towards developing countgries
'When entering into an out-license agreement wth 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?‘
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Factors affecting Licensing with developing countriesWhen your organisation is making a decision whether or not to enter into a licensing or co-operative development agreement with a party in a developing country, to what extent would the following factors positively affect your assessment?
• IPRs have an important effect on the transfer of climate friendlytechnologies. However, such effect is often complex and difficult toidentify and assess. It varies according to technology, sector and country.
• Importance of IPRs either over‐estimated or underestimated. In any case,the issue and options to address it should be discussed !
• More empirical evidence is needed to understand the role of IPRs in thetransfer of climate friendly technologies particularly at the country level,and from the perspective of technology demandeurs in developingcountries.
• More expert level dialogue is needed to examine the issue.
• Risks of forum shifting at Durban ? (WTO? WIPO?)
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Some conclusions
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Debate on IP and climate change has wider significance
Global IP Discussions
WTO WIPO WHO
GSPOA onPublic Health,
Innovation and IP(2008)
WIPO Development
Agenda (2007)
TRIPS/Public HealthTRIPS/Biodiversity
UNFCCC
?
Thank you
Ahmed Abdel Latif
ICTSD
aabdellatif@ictsd.ch
www.ictsd.org
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