The contribution of (eco-) patents
and patent information
to the dissemination
of sustainable technologies
Ged Owens
Coordinator, Public Policy Issues
Int. Organisations, Trilateral and IP5 | Dir. 5.2.4
28 May 2013
Content
• The Global Patent System
and Climate Change Mitigation Technologies
• EPO's Patent Information services
– "Espacenet" (www.espacenent.com)
– EPO's specially developed Y02 classification scheme for
climate change mitigation technology
• Key results of studies on patenting
of clean energy technology
• Patents and Standards
Objectives of the global patent system
To support innovation by :
• enabling technology developers to protect their investments;
• promote the dissemination of technical information by legally
obliging inventors to publicise their inventions;
• allowing research and development activities to build upon existing
inventions;
• establishing a framework for technology transfer, both locally and
globally through licensing.
European Patent Organisation
- Quality patents for Europe — and beyond ?
 38 member states
 Extension agreements for 2 states
 4000 patent examiners
 40 years of EPO - originally only 7 member
states
 EPO - largest PCT search authority (40%)
for up to 146 contracting states in PCT
system
 Quality patents - only granting temporary
exclusive rights via patents for genuine
technical inventions
 Approx. half of all patent applications at
EPO are refused or withdrawn
 The scope of protection of those granted
mostly reduced during examination
process
Patents and Climate Change Mitigation Technologies
•
Climate Change Mitigation Technologies (CCMTs):
– Human intervention to reduce the sources or enhance the sinks of
greenhouse gases (UN definition).
•
Enormous political and social interest for these technologies
– from international agencies, NGOs, private enterprises...
Enormous investments.
– from private sector, venture capitalists, governments.
•
•
CCMTs not the same as "clean technologies":
– Focuses on greenhouse gases.
– Not necessarily "clean" in other aspects (for example nuclear
energy).
UNEP - EPO - ICTSD: Patents and CCMTs
Patent rights subject of much discussion in climate change debate
• Rio conference 1992; Rio "plus 20" conference in 2012
United Nations Environment Programme (UNEP)
Division of Environmental Law and Conventions (DELC)
– international environmental law, governance and policy.
– supports governments for environmental challenges
European Patent Office (EPO)
– one process for patent protection in up to 40 European countries.
– "patent information" - publication of patent documentation
International Centre for Trade and Sustainable Development (ICTSD)
• advances trade policy that supports sustainable development
• a leading broker of knowledge and information for above
Patents and Climate Change Mitigation Technologies (CCMT)
Global patent system
• Legal protection for inventions in exchange for disclosure
EPO Patent Information system
• 88 mio. patent documents available worldwide
via the internet, free of charge
• EPO's Y02 classification "tagging" of climate change relevant technologies
CCMT Patent applications 1980 - 2011
• 1,5 mio. patent applications relating to CC Mitigation Technology
Searching for patent documents: classification
Patent Information system
• EPO database "Espacenet"
• 88.000.000 patent documents
• free of charge on internet
Search on keywords and classification
• International Patent Classification (IPC)
– @ 70.000 entries
• Cooperative Patent Classification (CPC)
– EPO / USPTO
– @ 240.000 entries
•
Y02 classification scheme:
– dedicated to Climate Change
Mitigation Technologies
How it works
•"Y02" tagging scheme is complementary to the existing
classifications.
•Includes around 1000 classification entries and nearly 1 500 000
documents.
•It provides easy access to the general public on patenting in climate
change mitigation technologies
 Y02C: Greenhouse gases – capture or
storage/sequestration or disposal
 Y02E: Greenhouse gases – emissions reduction
technologies related to energy generation, transmission or
distribution
 Y02B: Buildings - Climate change mitigation technologies
in buildings, including the residential sector
 Y02T: Transport - Climate change mitigation technologies
in the transportation of goods and persons
 Y04S: Smart Grids technologies - Remote network
operation, smart metering, electric and hybrid vehicles
interoperability, trading and marketing
Example CO2 capture and storage (classical)
cumbersome, difficult
Example: CO2 capture and storage
Y02C Tag gives overview of all relevant technologies
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Y02C10
Patent landscaping studies
•
Carried out in conjunction with United Nations Environment Programme (UNEP)
and International Centre for Sustainable Trade and Development (ICTSD)
•
Rio conference 1992 and Rio +20 (2012)
– "Patent rights barrier to technology transfer of CCMT to developing
countries..."
•
Providing evidence on which to form policy
– using Y02 classification scheme, and PATSTAT - EPO's patent statistics tool
•
Key results (Global landscape 2010; Africa 2013):
– CCMT developed primarily by USA, Germany, France, UK, Japan, Korea (PV
solar)
– Continually increasing activity throughout period
– Sharp increase in activity after Kyoto protocol - policy works !
– Less than 1% of CCMT patent applications filed in Africa
•
Available on EPO website :
– www.epo.org/clean-energy
Results of survey on licensing of CCMT
Important factors for licensing / technology transfer stated as:
• Access to real know-how from source companies (often "Trade
secrets")
• Suitably skilled staff
• Scientific infrastructure
• Favourable market conditions
• Finance
• Patent rights as framework for technology transfer
– only one amongst many factors
• Patent right holders are generally willing to license, and mostly
would give preferential terms to enterprises in developing countries
Y04S: Smart Grids - Patents and standards
• analysis of standards: IEEE-SA 2030 and IEC
•external experts: cooperation with IEEE-SA P2030 WG
•90 codes, divided over...
Worldwide trends in Smart Grid patenting
Yearly filings (relative to the year 2000)
600%
500%
400%
Smart grid patents
total patents
300%
200%
100%
0%
1998
2002
2006
2010
Approximately 6500 patent families related to Smart Grids
Patents and standards
•
•
•
•
Standards:
Mostly set by industry
Perceived by public to be for the
public good.
In a technically interlinked world,
their nature is potentially global.
Accessibility and ownership issues
increasingly debated
•
•
•
•
Patents :
Temporary exclusive rights
Can be used to exclude others from
use of the technology, or license
Embedded in standards, they offer
their owners a 'double competitive
advantage'.
Territorial nature
Exclusively owned technologies embodied in standards - rules of
inclusion and use must be clear:
Solution:
Licensing on FRAND terms - Fair, Reasonable And NonDiscriminatory - reasonable terms, and to all
How to optimise the interaction of patents and
standards !
•
Important if latest technology is to be included in standards !
– Latest and best technology increasingly patented
•
Patent applications must be filed before inventions are disclosed in
standards development process
•
EPO includes standards-related documentation in "prior art" searches
– prevents granting of patents for already disclosed inventions
•
Patent applicants must declare Standards Essential Patents (SEPs) and SDOs should list these on public databases
•
Patent rights licensed to all parties on FRAND terms
– Fair, Reasonable And Non-Discriminatory
EPO measures:
•
Increased awareness (at highest level)
•
Technology watch in this particular field (resource planning)
•
Ensure :
1. Documentation (1 million standards related documents:
used as prior art )
2. Legal clarity - when Standards are valid prior art
3. Examination measures:
◦ additional training
◦ early warning systems for “suspicious cases”
◦ systematic links with technical committees of SDOs etc.
Patents and standards work !
•
Telecommunications and smart phones
– enormously successful industry !
– billions of Euros
– 10.000+ Standard Essential Patents
– some court cases - but not unusual considering market value
•
Key element - licensing Standard Essential Patents on FRAND terms
– Fair, Reasonable And Non-Discriminatory
•
ETSI - European Telecommunications Standards Institute
– EPO's leading partner since 2006
– Memorandum of Understanding since 2009
– Also ITU, IEEE-SA, IEC and smaller standards organisations
– Cooperation starting with CEN-CENELEC
•
Increasingly important in wider areas - Smart Grids, smart cities, smart
transport, smart buildings ....
– Many areas important for sustainable development !
Further Information
•
The UNEP/EPO/ICTSD studies available at:
– http://www.epo.org/clean-energy
•
E-Learning module on Y02 (Climate Change):
– http://www.epo.org/topics/issues/clean-energy/classification.html
•
Use Y02 in esp@cenet: www.espacenet.com
•
PATSTAT - Patent Statistics and landscaping tool
– http://www.epo.org/searching/subscription/raw/product-14-24.html
Conclusions
•
Global patent system supports innovation and dissemination of
technology
•
For licensing / technology transfer, patent rights one of many factors
•
EPO's Patent Information services make technical information
available worldwide, free-of charge from 88 million patent documents
1,5 million related to Climate Change Mitigation Technology
•
•
Patents and Standards can provide synergy
– Cooperation between IPOs and SDOs ongoing
– increasingly important for sustainable technologies
•
Emails:
– Ged Owens:
– Victor Veefkind:
gowens@epo.org
vveefkind@epo.org
THE END
Supplementary slides - for information only
Example: Solar Updraft Tower (Solar Chimney)
Example: Solar Updraft Tower
Problems:
• Different facets of the
same technology
• Too much Noise in
classes
• Possible conflict with
solar tower
concentrators..
EPO Patent Information Services
Espacenet, 88 million patent documents, free-of-charge:
www.espacenet.com
Combine with Y02 Classification Scheme for CCMT
Example (country level) using EPO's Espacenet :
We want to figure out which "Clean energy" applications are filed in Egypt
"Clean energy" applications filed in Egypt - I
"Clean energy" applications filed in Egypt - II
"Clean energy" applications filed in Egypt - III
"Clean energy" applications filed in Egypt - IV
20 results in 2012
"Clean energy" applications filed in Egypt - V
"Clean energy" applications filed in Egypt - VI
Example (country level): Y02E
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