Workshop. Licensing of Climate Change related Technologies to Developing Countries: Options and Challenges

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1 GREEN The Sustainable Technology Marketplace Workshop Licensing of Climate Change related Technologies to Developing Countries: Options and Challenges Geneva, 29

2 Outline Brazilian Trends in R&D - Incentives & Support Brazilian Innovation Law - Key Issues The Innovation Law Gaps for the NIT Eficiency Innovation Trends & Pitfalls: Cultural and Capacity building Financial & Technical Challenges: Prof of Concept & Prototypes

3 Brazilian Trends in R&D - Incentives and Support 1970/1980 Considerable Investment in Science & Technology without articulation with Technological Development & Innovation 1990 Specific programs and Institutions created: PADCT (TIB), FINEP-TEC, PDTI/PDTA to increase Technological Capability in Industry New IP Legal Framework (Industrial Property, Authors Right, Software, etc.) 1998/1999 Government Programs to SURPASS the TECHNOLOGICAL GAP Special Funds for R&D Created

4 Brazilian GAP Scientific Knowledge X Innovation R&D & Innovation Brazil X World PIB 2% More then researchers Scientific Publications 2,1% But Patents 0,2%

5 ROBUST BASE FOR INCREASING KNOWLEDGE GENERATION Master s PhD s ~ Masters in PhD s in fonte: Capes/MEC

6 Relative Value EXPONENTIAL GROWTH OF KNOWLEDGE GENERATION % average increase / year 4.8 x world average and 2.6% of world production on 2011, 13 th position Brazil World Year

7 123 INCTs NATIONAL INSTITUTES OF SCIENCE & TECHNOLOGY Nuclear Sciences; 2 Others; 7 Oceanography; 3 Amazon; 7 Biodiversity & Environment; 7 Energy; 7 Agriculture; 9 Health Sciences; 39 Exact Sciences; 14 Social Sciences; 10 Bio / Nanotech; 11 IT & Communication; 7

8 IP in the Brazilian Universities and R&D Centres 50 s decade: CNPq and CAPES creation Until the 60 s: Teaching was the University Mission 1968: Research added to the University Mission 1975: Expansion of the University Mission Creation of the National Graduation System Governmental Support for Graduation and Research Lack of Articulation with Technological Development and Innovation 80 s decade: High Inflation / Reduction of R&D Investment 1 st. Attempts to install TTO in the Universities 90 s end: Stimulus to the University / Enterprise Partnership - Marginal Activity - Informal and sporadic - Absence of statistics - Lack of support for Technology Transfer Recognition of the University third Mission December/2004: Innovation Law issued Source: M. Elizabeth Ritter dos Santos National Coordinator of FORTEC /2010

9 BRAZILIAN STRATEGIC NATIONAL NETWORK OF IP, TT & INNOVATION MANAGERS : 26 IP & TT Offices in Brazilian Universities and Research Centres (Survey of INPI & FINEP); 2004: Innovation Law Law / Incentive for Innovation in the Productive Sector; 2006: FORTEC established on May 1 st, with 43 affiliates; FORTEC: Representative body of TTO from Public & Private Universities and Research Centres that are responsible for Innovation Policies and all activities related to IP &TT management; FORTEC Goals: Commitment with the dissemination, promotion, and enforcement of the culture and best practices, as well as in training activities concerning to IP & KT in the Brazilian Universities and Research Centres.

10 FORTEC - Created in 2006 with 43 affiliates 204 in 2012 North: 23 Northeast: N 0 NE Midwest: CO Federal Universities State Universities 40 South: SE Southeast: 64 Private Universities 20 R&D Centres 0 S

11 THE PERFORMANCE OF FORTEC TTO MEMBERS 35.4% annual growth in the number of affiliated TTO (from 43 in 2006 to 204 in 2012); Significant increase in the number of patent applications and issued abroad: from 47 patents application in 2006 to 134 in 2011; Royalty revenues received by FORTEC TTO members reached USD 101 million from ; Signed MOU with National INPI, ANPROTEC, ANPEI, and International Organizations, such as AUTM (USA), Praxis-Unico (UK), Réseau C.U.R.I.E (France) and Red OTRI (Spain).

12 Brazilian Innovation Law Key Issues Public-Private Cooperation by making it easier for Enterprises, Public & Private Universities & Research Centres to share resources, raise capital & settle IP rights 8 Key Provisions: 1. Public Research Centres are permitted to share their Laboratory facilities with Private-Sector Enterprises; 2. Public Research Centres & Private Enterprises are permitted to enter into Capital Relationship, for the purpose of R&D; 3. Public and Private Partners may specify the ownership of any future IP Rights by Contract; 4. Public Research Centres and their Employees must protect Trade Secrets associated with their cooperative research; 5. Public Research Centres & Universities may license their technologies to private Enterprises; 6. Individual Public Researchers may share IP economic returns associated with the successful commercialization of their research results; 7. Public Researchers may take leave from their public position in order to create a new venture or to work for a private enterprise; 8. Government Development Agencies provide financial and human resources assistance in support of Private Sector R&D. November 2013

13 Brazilian Innovation Law - NIT=TTO Creation&Mission NIT Mission according the Innovation Law: 1. Institutional IP & TT & Innovation Policy guardian; 2. R&D Activities & Projects Results Evaluation/Classification; 3. Evaluation of Independent Inventor demands for Sponsorship; 4. Institutional IP Protection Evaluation & Protection Activities; 5. Evaluation of R&D Results Publication if Protection is feasible; 6. Adoption of Procedures for Protection & Maintenance of all kinds of IP at the Institution. Additional Tasks / The FORMICT - Governmental Metrics 7. Innovation & Entrepreneurship at the Institution and Region; 8. Support & Promotion of Innovation Activities at the Institution & Region; 9. Promotion and support of the University-Enterprise Partnership.

14 The Innovation Law Gaps for the NIT Eficiency PL & National Sistem for Innovation According to the Innovation Law and other procedures The NIT is expected to be a Promoter of the Development based on Knowledge & Innovation without Law enforcement for: Adequate Infrastructure; Managerial Position & Staff stable and with adequate Capacity; Independent Budget; Simple and Efficient Decision Making Process. FORTEC is working to guarantee, in the PL 2.177, for the NIT: Managerial and Staff positions stable & with adequate Capacity; Empowerment for the NIT Manager & Adequate Procedures; Harmonization of the Legal Framework; Independent Budget.

15 Innovation Trends & Pitfalls Innovation Law & Fiscal Incentives Law enacted but: Lack of Law Enforcement; Difficult Management of IP co-ownership; Lack of Professional Capacity at the Legal and Governmental entities; Very high expectation on royalties income; Lack of IP Cultural Knowledge in ICT & most Enterprises; Lack of Proof of Concept Funds pre-tech transfer; Lack of Lab-infrastructure outside ICT & High Potential Conflict of Interest.

16 Thank you! Shirley V. Coutinho Executive Manager of PUC - Rio Innovation Agency Rua Marquês de São Vicente, 225 Edifício Cardeal Leme 12 º andar Gávea, Rio de Janeiro, RJ, Brasil shirley@puc-rio.br