How IP could be part of the
solution to address climate
change
Xiaohua Zhang
UN Climate Change Secretariat
United Nations Framework Convention on Climate Change
Contents
 Role of technologies to address climate change
 Where are we now: Technology transfer framework
 What’s next: Recommendation by the EGTT
 Ongoing discussion: Negotiation on technology under the
AWG-LCA
 IP protection or not?
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United Nations Framework Convention on Climate Change
Role of technologies: mitigation

There is high agreement and much evidence that all stabilisation levels assessed can be achieved
by deployment of a portfolio of technologies that are either currently available or expected to be
commercialised in coming decades, ... {IPCC WGIII SPM}
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United Nations Framework Convention on Climate Change
Role of technologies: adaptation
 A range of technologies are also crucial for adaptation:
 Traditional technologies consist of the many approaches that have been
developed and applied to adapt to weather hazards in traditional societies.
 Modern technologies are those that have been newly created since the
industrial revolution including many new, synthetic materials, new
chemicals, new varieties of crops (e.g. hybrid corn) and new water use
technology (e.g. drip irrigation).
 High technologies are some of the more recently developed
technologies that derive from scientific advances in recent decades
including information and communication technology, earth observation
systems and geographic information systems (GIS), genetically modified
organisms, and the like.
 Future technologies are those that are yet to be invented or developed.
They might include a malaria vaccine, or various forms of geo-engineering
to reduce climate impacts, or crops that need little or no water.
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United Nations Framework Convention on Climate Change
Where are we: relevant provisions of the
UNFCCC
Article 4.5
 “The developed countries and other developed countries in Annex II
shall take all practicable steps to promote, facilitate and finance, as
appropriate, the transfer of or access to environmentally sound
technologies and know how to other Parties, particularly developing
country Parties, to enable them to implement the provisions of the
Convention.”…
Article 4.7
 “The extent to which developing country Parties will effectively
implement their commitments under the Convention will depend on
the effective implementation by developed country Parties of their
commitments related to financial resources and transfer of
technology…”
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United Nations Framework Convention on Climate Change
Where are we: the Technology Transfer
Framework
 COP4 broke the deadlock on how to operationalize Article
4.5 of the convention, a “consultative process on the
transfer of technology” was set up by decision 4/CP.4
 The framework for meaningful and effective actions to
enhance the implementation of Art. 4.5 of the Convention
was adopted by COP 7.
 Five key themes and areas are:
 Technology needs and needs assessments
 Technology information
 Enabling environments
 Capacity Building
 Mechanisms for technology transfer
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United Nations Framework Convention on Climate Change
Where are we: Technology Needs
Assessments
 Over 90 countries conducted technology
needs assessments
 70 Technology Needs Assessments (TNA)
reports were completed as well as in 39
national communications submitted by nonAnnex I Parties.
 The second synthesis report on technology
needs made available at SB 30 in June 2009.
 Report focuses on technology needs
identified in The report highlights prioritized
technology needs identified by sector and
region to mitigate and adapt to climate
change.
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United Nations Framework Convention on Climate Change
Where are we: technologies identified in TNAs
For mitigation:
Energy sector 42%
Agriculture and forestry
Sector 25.5%
Transport sector 12.7%
Industry sector 11.5%
Waste management sector 7.9%
For adaptation:
Agriculture and forestry
Sector 43.3%
Coastal zone sector 15.8%
Water sector 14.8%
Systematic observation and monitoring sector-11.3% of technologies
Health sector 9.1%
Natural disasters sector 4.3%
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United Nations Framework Convention on Climate Change
Where are we: typical barriers
identified
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United Nations Framework Convention on Climate Change
What’s next: technology under BAP
 Enhanced action on technology development and transfer
to support action on mitigation and adaptation, including,
inter alia, consideration of:
 Effective mechanisms and enhanced means for the removal of
obstacles to, and provision of financial and other incentives for,
scaling up of the development and transfer of technology to
developing country Parties in order to promote access to
affordable environmentally sound technologies;
 Ways to accelerate deployment, diffusion and transfer of
affordable environmentally sound technologies;
 Cooperation on research and development of current, new and
innovative technology, including win-win solutions;
 The effectiveness of mechanisms and tools for technology
cooperation in specific sectors;
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United Nations Framework Convention on Climate Change
What’s next: recommendations by the EGTT
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United Nations Framework Convention on Climate Change
What’s next: recommendations by the EGTT
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United Nations Framework Convention on Climate Change
Ongoing discussion: issues under the AWG-LCA
 RD&D:
 Joint RD, full cost
 Deployment and diffusion:
 Incremental cost, Incentive mechanism, enabling environment
 Transfer
 Capacity building, IPR, technology information
 Means of implementation:
 Institutional arrangement
 Centralized body and decentralized network of centres
 Financial mechanism
 Fund and incentive mechanisms
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United Nations Framework Convention on Climate Change
IPR or not: Options proposed
 Buy down the cost of license
 Create global patents pool of ESTs
 Reduce/limit during of patents
 Share IP for joint RD
 Establish a process to review and consider the IP
issue in the context of climate change
 Compulsory licensing
 Exclude patent protection of certain technologies
for certain countries
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United Nations Framework Convention on Climate Change
IPR or not: relation between TT and IP
 The term "technology transfer" refers to a broad set of
processes covering the flows of know-how, experience
and equipment for mitigating and adapting to climate
change … It comprises the process of learning to
understand, utilise and replicate the technology, …
(IPCC)
 The term intellectual property refers broadly to the
creations of the human mind. Intellectual property rights
protect the interests of creators by giving them property
rights over their creations. (WIPO)
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United Nations Framework Convention on Climate Change
IPR or not: underlying concerns
 Innovation v.s. imitation
 Transfer v.s. diffusion
 Enabling environment and market incentives lead to
technology transfer
 Transfer of technologies to local producer could
decrease the cost
 Technological capacity v.s. technological outcome
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United Nations Framework Convention on Climate Change
IPR or not: where is the way out
 Tactically, it would be helpful to focus on identify
good practices on this matter from relevant area.
 Strategically, this issue should and could only be
solved in a broader context
 Process based solution: Establish a regular
process on this matter under the UNFCCC might
be the point of departure
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Thank you