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					ALTERNATIVE ENERGY
POWERS UP
STAKING OUT THE PATENT LANDSCAPE FOR ENERGY
FROM WIND, SUN AND WAVES
BY SUSAN E. CULLEN, PH.D.




WORLD IP TODAY
WHO WILL THE LEADERS IN
ALTERNATIVE ENERGY BE,
WHAT TECHNOLOGIES WILL
THEY PIONEER AND WHERE
WILL THEY COME FROM?
TABLE OF CONTENTS
    Overview ............................................................................................................................................................3
    Conventional Wisdom on the Three Estates of R&D .......................................................................................3
    Findings and Observations                                    ..............................................................................................................4
    Patenting Interest in Power from Wind, Sun and Waves ...............................................................................4
        Exhibit 1 .............................................................................................................................................................4
        Exhibit 2 ............................................................................................................................................................4
        Exhibit 3 ............................................................................................................................................................4
        Exhibit 4 ............................................................................................................................................................5
        Exhibit 5 ............................................................................................................................................................5
        Exhibit 6 ............................................................................................................................................................5
    Production Worldwide...........................................................................................................................................6
        Exhibit 7 ............................................................................................................................................................6
    IP Protection is Sought in Market Countries......................................................................................................7
        Exhibit 8 ............................................................................................................................................................7
    Overview of Technology ........................................................................................................................................8
       Exhibit 9 ............................................................................................................................................................8
    Wind Power ....................................................................................................................................................9
       Exhibit 10 ...........................................................................................................................................................9
    Wind Power Inventions in the Three Estates ...................................................................................................10
       Exhibit 11 ..........................................................................................................................................................10
       Exhibit 12 .........................................................................................................................................................10
       Exhibit 13 .........................................................................................................................................................10
    Wind Power Invention Landscape.......................................................................................................................11
       Exhibit 14 ...........................................................................................................................................................11
    Solar Power ...................................................................................................................................................12
        Exhibit 15 ..........................................................................................................................................................12
    Solar Power Inventions in the Three Estates....................................................................................................13
        Exhibit 16 ..........................................................................................................................................................13
        Exhibit 17...........................................................................................................................................................13
        Exhibit 18 ..........................................................................................................................................................13
    Solar Power Invention Landscape .....................................................................................................................14
        Exhibit 19 ..........................................................................................................................................................14
    Marine Power...............................................................................................................................................15
       Exhibit 20 .........................................................................................................................................................15
    Marine Power Inventions in the Three Estates ................................................................................................16
       Exhibit 21 ..........................................................................................................................................................16
       Exhibit 22 .........................................................................................................................................................16
       Exhibit 23 .........................................................................................................................................................16
    Marine Power Invention Landscape...................................................................................................................17
       Exhibit 24..........................................................................................................................................................17
    Conclusion ......................................................................................................................................................18
OVERVIEW
              The race amongst the world‘s largest nations to         To find out, the Intellectual Property Solutions
              secure energy independence in the 21st century is       business of Thomson Reuters analyzed global R&D
              fueling a surge in alternative energy research and      activity in the fields of wind, solar and marine
              development. From North America to Europe to            power, tracking global patent activity by
              Asia, countries are devoting tens of billions of        technology type, region and organization type.
              dollars to fund research for wind, solar and marine     By assessing patent activity in this manner,
              energy technologies.                                    researchers were able to gain insights into areas of
                                                                      innovation that are receiving the most attention
              Inventors and entrepreneurs around the world are
                                                                      across each link in the R&D chain, from academic
              racing to get a piece of that pie and to lay claim to
                                                                      and government research to small commercial
              the technological breakthroughs that will
                                                                      developers to large industrial producers who will
              ultimately make alternative energy a viable large-
                                                                      ultimately bring new solutions to market. This
              scale solution. Who will the leaders in alternative
                                                                      approach of measuring patent activity across
              energy be, what technologies will they pioneer and
                                                                      these three links – the three estates of R&D –
              where will they come from?
                                                                      provides insight into not only the pace of
                                                                      innovation but also the maturity of new
                                                                      technologies under development.


              CONVENTIONAL WISDOM ON THE THREE ESTATES OF R&D
               Contribution to technology development is a            or entrepreneurial startup companies. Typically the
               shared activity of the three R&D estates. Typically    companies are either newly founded, or their
               R&D activity divides as follows:                       interest in the field is not long-standing. This R&D
                                                                      may be insufficiently capitalized, and these
               First Estate: Participants in the first estate are
                                                                      enterprises grow by being acquired, sometimes
               commercial entities with a large presence in the
                                                                      beginning their acquisition cycle with
               field who not only do their share of innovation
                                                                      a joint venture.
               but also do the heavy lifting that scales up
               technology and effectively brings it to the public.    Third Estate: Participants in the third estate are
               Their inventions are frequently incremental            government or privately funded R&D groups
               because they have a developmental orientation.         who select technical focus areas based either
               These companies tend to be mature and well-            on government policy direction or on potential
               capitalized. They can grow organically or by           to contribute to basic or applied knowledge in
               acquisition.                                           the field. They have a measure of freedom from
                                                                      commercial pressures, and they can test the
               Second Estate: Participants in the second estate
                                                                      newest ideas and suggest the pathways for
               are commercial entities with a smaller presence in
                                                                      the future. This research is typically not full-scale
               the field, and they are effectively research engines
                                                                      and tends to be early-stage or prototype level.
               and proving grounds. They may be large companies
                                                                      The technology grows by being acquired.
               with minor activity in the technical field, spinoffs
               that are meant to improve focus and foster agility,




3   WORLD IP TODAY
FINDINGS AND OBSERVATIONS
    PATENTING INTEREST IN POWER FROM WIND, SUN AND WAVES
    Since patent filing is a marker for R&D activity,                                                                   the inventions in alternative energy, and that over
    we prepared a worldwide collection of 12,000+                                                                      time their fractional contribution has become
    inventions1 in the area of wind, solar and marine                                                                  greater. There are a large number of entities
    power generation, and used the collection to                                                                       contributing to R&D, meaning it is a lively and
    examine the three R&D estates and characterize                                                                     competitive area. The contribution of the academic
    the extent of their contributions.                                                                                 and government sector to total patenting activity
                                                                                                                       has also increased rather sharply in the latter part
    Though all the estates surely have their role in
                                                                                                                       of this decade.
    changing how we provide sustainable electric
    power to the world, a review of their actual                                                                       The charts below show that solar and wind energy
    invention performance may help to show whether                                                                     generation are being developed much more
    our assumptions about them are true, and also                                                                      actively than marine, but that globally in the last
    whether there are differences in their relative                                                                    decade, inventive activity in each of the three
    contribution in different parts of the world.                                                                      technical areas has generally increased, with solar
                                                                                                                       power showing a recent dip. Normalized time
    The first chart (Exhibit 1) shows that smaller
                                                                                                                       trends (percentage of total) are shown in the
    commercial entities provide the lion’s share of
                                                                                                                       timeline chart (Exhibit 2).

    1 The collection was made using the Thomson Reuters Derwent World Patents Index® (DWPISM) for the period January 1998-March 2009.




                            4000                                                                 60%

                                                                                                 50%                                                          Wind
                            3000                                                                                                                             (5998)
     Number of Inventions




                                                                         Percent of Inventions




                                                                                                 40%

                            2000                                                                 30%

                                                                                                 20%
                             1000
                                                                                                 10%                                              Solar
                                                                                                                                                 (6877)
                               0                                                                  0%
                                    97-99   00-02   03-05   06-09                                      97-99   00-02    03-05   06-09                                 Marine
                                                            (partial)                                                           (partial)
                                                                                                                                                                       (643)


                            ALTERNATIVE ENERGY                                                   TRENDS IN PATENTING                             INVENTION COUNT
                            INVENTIONS BY THE                                                     Solar
                            THREE ESTATES                                                         Wind
                             Academic/Government                                                  Marine
                             Small Commercial
                             Large Commercial


    Exhibit 1                                                           Exhibit 2                                                           Exhibit 3
              If we divide the collection by country of origin,                                  research is proportionally greater than anywhere
              some important observations emerge. The percent-                                   else. Solar is the leading emphasis in China,
              age involvement of each estate in the R&D activity                                 Germany and Korea.
              is shown by country in Exhibit 4. The countries are
                                                                                                 To visualize the changes in emphasis over time in
              ranked in the chart by the percentage of involvement
                                                                                                 each country, two time periods were compared
              of the first estate (i.e., larger companies).
                                                                                                 (Exhibit 6), “THEN” (between 1998-2005) and
              Large Japanese, European (EP and DE) and U.S.
                                                                                                 “NOW” (2006-2009 YTD). The ratios shown in
              companies are relatively highly involved in alternative
                                                                                                 the chart reflect original filings, i.e., the country
              energy innovation, but in China the innovation role
                                                                                                 or regional office where the filing for a patent
              of large companies is smaller, and it is next to
                                                                                                 first appeared.
              nonexistent in the United Kingdom and Korea.
              In contrast, Korea, the United Kingdom, and                                        Strikingly, the Japanese emphasis has switched
              especially China have an extremely strong                                          from solar to wind, and the Chinese emphasis has
              involvement of their academic and government labs                                  switched from wind to solar. The German emphasis
              in energy innovation. Looking only at recent activity                              on solar has also increased (true as well for the
              (2006-2009 YTD) the emphasis in the different                                      smaller number of EP filings). The United Kingdom is
              types of alternative energy generation varies by                                   the country with the greatest emphasis on marine
              country (Exhibit 5). It is striking that patent filings                             power generation, with Korea following. In the time
              in China are on a par with those in Japan, and that                                period before 1998, there was significant research on
              each is significantly greater than any of the other                                 marine power in Japan that was based in the ship-
              countries or regions.                                                              building industry, but this effort appears to have
                                                                                                 been almost totally abandoned. The United States
              Japan is the only country where current wind power
                                                                                                 R&D seems balanced between solar and wind, with
              research exceeds solar. China and the United States
                                                                                                 a small but steady interest in marine.
              have the lead in marine power, though the United
              Kingdom (GB) is the country where marine power


                100%                                                                               1800


                 75%
                                                                                                   1200

                 50%

                                                                                                   600
                 25%


                 0%                                                                                  0
                           JP -5110 EP -238 US -1185 DE -1036 CN -460 GB -163    KR -273                        JP           CN     US     DE       KR     GB       EP




                SHARE OF PATENTING BY THE THREE ESTATES                                            RECENT INVENTION ACTIVITY
                     Large Commercial           Small Commercial         Academic / Government       Wind            Solar        Marine


              Exhibit 4                                                                          Exhibit 5



                                        THEN
                                                                                                                                                CHANGE IN
                                  CN    NOW
                                                                                                                                                RESEARCH
                                  DE    THEN
                                        NOW                                                                                                     EMPHASIS
                                  EP    THEN                                                                                                    BY COUNTRY
                                        NOW
                                                                                                                                                THEN: 1998-2005
                                        THEN                                                                                                    NOW: 2006-2009YTD
                                  GB    NOW

                                   JP   THEN                                                                                                      Wind
                                        NOW
                                                                                                                                                  Solar
                                        THEN
                                  KR    NOW                                                                                                       Marine
                                        THEN
                                  US    NOW


                                               0%                  25%                     50%            75%                       100%

                                                                                                                                                Exhibit 6


5   WORLD IP TODAY
PRODUCTION WORLDWIDE

As the map from the U.S. DOE Renewable Energy                               originates and is protected in those parts of the
Data Book2 indicates, activity in wind and solar                            world where the installations would be practical.
technology has progressed to a significant number                            Many countries around the world, particularly
of installations that successfully generate                                 those with natural resources in the form of
electricity and transfer it to the power grid. Among                        prevailing wind corridors, unimpeded sunlight
other things, the feasibility of each technology                            and aptly structured coastlines, see themselves
depends on the challenges and opportunities                                 as hosts for alternative energy solutions.
presented by the installation sites. R&D often

2 http://www1.eere.energy.gov/maps_data/pdfs/eere_databook.pdf July 2009. This data book includes statistics gathered
  from multiple sources as indicated therein.




                                 TOP COUNTRIES WITH INSTALLED RENEWABLE ELECTRICITY




            1. China**
            2. U.S.
            3. Germany
            4. Spain
            5. India




                                                                    *Including small hydro, geothermal, solar, wind, and biomass. Does not include large hydropower capacity.
Exhibit 7                                                                                                    **Majority of China’s renewable energy is from small hydropower.
                                                                                                                              Source: REN21, WEC, U.S. Department of Energy
               IP PROTECTION IS SOUGHT IN MARKET COUNTRIES

               Regardless of where inventions occur, they are           Following Australia are India, Canada, Brazil,
               protected by patents in many additional countries        Spain, Mexico, Norway, New Zealand, South Africa
               where patent owners hope to obtain some                  and Taiwan. The number of PCT (WO) applications
               exclusivity in their target markets.                     is also relatively high, signaling intent to protect
                                                                        globally and potential willingness to invest in
               The number of filings in Australia (AU) by outsiders
                                                                        building infrastructure in these countries.
               is very large, signaling the external view that
               Australia will be an important market.




                                               DE
                                 CN                      WO

                                                                                      INVENTIONS PROTECTED
                                                                EP
                                                                                        JP         KR
                                                                                        US         AU
                        US
                                                                   KR                   CN         GB
                                                                                        DE         IN
                                                                   AU                   WO         CA, BR, ES, MX, NO, NZ, ZA,
                                                                                        EP         TW, AND ALL OTHERS


                                                                            GB
                                                                           IN
                                        JP
                                                                        OTHERS




                                         Exhibit 8




7   WORLD IP TODAY
OVERVIEW OF TECHNOLOGY

The 12,000+ inventions in the collection can be       The map outlines the three areas and points out
organized by text mining to provide a visual          the strong overlap between wind and marine
map3 of the emphasis areas for R&D. The map           technology, occurring because both use turbines
(Exhibit 9) was probed to find inventions related to   with rotors, stators and controller elements.
wind, solar and marine power generation. Each dot     Solutions found in one area may have application
represents one invention, but not all documents       in another.
are visible in the view shown.

3 Produced by Thomson Reuters ThemeScape™




   – Inventions related to wind power
   – Inventions related to solar power
   – Inventions related to marine power

Exhibit 9
WIND POWER
               According to the U.S. DOE Renewable Energy                                            turbines that resist wear, use of variable speed or
               Data Book for 2008, wind energy is the fastest                                        other mechanisms to extract maximum power and
               growing alternative energy source globally, and                                       limit stress on the turbines, noise reduction, dealing
               output increased by a factor of seven between                                         with intermittency, and maximizing efficiency of
               2000 and 2008. Production in 2008 was about                                           transfer to the grid. Off-shore wind farms are
               120 GW. The scaling of wind power generation                                          potentially important in certain geographic areas
               takes advantage of the knowledge accumulated in                                       and have additional technical requirements. Costs
               development of large air turbines, particularly from                                  are concentrated in equipment and installation,
               the aircraft industry. Small air turbines can be used                                 and maintenance is relatively negligible.
               to generate power locally for off-grid applications,
                                                                                                     Geographic limitations relate to having sufficient
               but the generation of large amounts of power
                                                                                                     space in prevailing wind corridors. Some countries
               requires large turbines deployed on “wind farms.”
                                                                                                     (e.g., Denmark) solve this problem with at-sea
               Key issues in development include alloys or
                                                                                                     installations.
               composites usable to create lightweight but strong




                                                       WIND ENERGY CAPACITY (2008) – SELECT COUNTRIES




                                                                                     Germany (23,903 MW)



                                                                         U.K. (3,240 MW)        Denmark (3,180 MW)

                                                                       France (3,400 MW)
                                                                    Portugal (2,860 MW)              Italy (3,740 MW)
                         U.S. (25,369 MW)                                                                                                                 Japan (1,880 MW)
                                                                         Spain (16,754 MW)
                                                                                                                                              China (12,210 MW)


                                                                                                                  India (9,645 MW)




                       MW

                  30,000
                  24,000
                     18,000
                     12,000
                     6,000
                         0
                                Japan   Portugal   Denmark   U.K.       France     Italy     India     China      Spain   Germany      U.S.



                                                                                                                               Source: GWEC, EIA, AWEA, REN21, U.S. Department of Energy

              Exhibit 10




9   WORLD IP TODAY
WIND POWER INVENTIONS IN THE THREE ESTATES

The first estate in wind energy includes 17 assignees                           Vestas and Enercon have relatively small IP
that hold 27% of the IP in the area (Exhibit 12). In the                       portfolios, but are leading providers. Enercon4 was
second estate there are 915 commercial entities with                           a technology founder, but it has relatively few new
smaller IP portfolios, but together they account for                           inventions. Vestas Wind Systems is in litigation
66% of the IP in this technical area. Academic and                             regarding its activity in this field. It is useful to look
government entities hold the remaining 7% of the IP.                           among other small IP holders to find caches of
                                                                               technology that ordinarily might be overlooked.
Information on sellers of wind turbines obtained
                                                                               Smaller companies grow by partnering.
from the Renewable Energy Data Book names six
companies as the top global providers of turbines                              The University of Shanghai is the academic/
(Exhibit 13). The first estate companies GE and                                 government entity with the most IP in the wind
Siemens are among these providers. Interestingly,                              energy collection. This reflects the long-standing
Mitsubishi is in the IP first estate but is not named                           government encouragement of university research
as a top turbine provider as of 2006. Mitsubishi                               and patenting. Characteristically for China at this
currently claims to have at least 2,000 MW of                                  point in time, there are fewer patents by Chinese
installation, and to be increasing rapidly.                                    companies than there are by the universities.
Its U.S.-based energy company provides turbines                                As noted earlier, there is a shift in China
for major installation in the Americas and in Japan.                           inventive activity from wind to solar, and it
The shift in patent emphasis to wind indicates                                 is unknown whether this R&D will transfer to
intent of Japanese heavy industry to enter this                                the marketplace via Chinese companies or
market more actively, exporting equipment to                                   external investment.
locations where it can be used.

4 The assignee for Enercon is often Aloys Wobben, the key inventor. Enercon sells via the business unit United Solar (Ovonix).




                                                                                                                            10.3%

                                                               2224 (66%)                                           7.3%
       915 (91%)                                                                                                                              28.2%

                                                                                                                 7.7%
                                                                                        258 (7%)
                                   77 (7%)
                                                                                                                    15.4%
                                                                                                                                               15.6%
                                             17 (2%)
                                                                               903 (27%)
                                                                                                                                 15.5%




       COUNT OF ASSIGNEES                                    COUNT OF INVENTIONS                                    GLOBAL WIND TURBINE
           Large Commercial                                     Large Commercial                                    MARKET SHARE 2006
                                                                                                                    Total Turbine Installations: 2,454 MW
           Small Commercial                                     Small Commercial
           Academic / Government                                Academic / Government                                  Vestas (DK)        Suzion (Ind.)
                                                                                                                       Gamesa (ES)        Siemens (DK)
                                                                                                                       GE Wind (US)       Others
                                                                                                                       Enercon (GE)

                                                                                                                    Source: AWEA, EERE, BTM Consult


        Exhibit 11                                           Exhibit 12                                            Exhibit 13
               WIND POWER INVENTION LANDSCAPE

               A text-mining map (Exhibit 14) containing the wind         are highlighted. The preponderance of the grid
               energy inventions provides more detail on the              inventions are from U.S. sources, among them
               activity in this field. The inventions dealing with         GE, Vestas and Clipper Windpower.
               connecting wind power installations to the grid




                 – Inventions dealing with connecting wind power installations to the grid

               Exhibit 14




11   WORLD IP TODAY
SOLAR POWER
   According to the U.S. DOE Renewable Energy                                                     Research is focused on changing the compositions
   Data Book for 2009, solar energy capacity tripled                                              of thin films, and third-generation inventions
   between 2000 and 2008. Solar power generation                                                  include dye-sensitization and use of nanomaterials
   takes advantage of the knowledge accumulated in                                                and organic materials. Solar concentrator
   development of cells from the semiconductor and                                                technology is also an approach that may enhance
   consumer electronics industries. Small photovoltaic                                            photovoltaics or directly provide thermal energy.
   installations on rooftops can be used to generate                                              Key issues in development of photovoltaics include
   power locally for off-grid applications, but the                                               flexible films with higher efficiencies, general
   generation of large amounts of power requires                                                  increases in efficiency to reduce installation size
   deployment on “solar farms.” Solar cell development                                            and cost, light-tracking control, dealing with
   is focused on using efficient, cheaper and more                                                 intermittency, storage, and maximizing efficiency
   reliable materials, with scale-up issues related to                                            of transfer to the grid. Costs are concentrated in
   global availability of materials, especially silicon                                           equipment and installation, and maintenance
   whose availability is volatile. Traditional                                                    substantial, but low relative to installation
   monocrystalline solar cells have 93% of the market
                                                                                                  Of all the alternative energy sources, solar facilities
   but are more expensive to make than flexible thin-
                                                                                                  are the least restricted by geography, with power
   film solar cells, which have 7% market share, but
                                                                                                  plants in use even in Antarctica, but the countries
   flexible cells made of silicon require only 1% of the
                                                                                                  with the most solar production facilities are
   material used in traditional rigid cells.
                                                                                                  Germany and Japan and certain states in the
                                                                                                  United States, where use is driven with strong
                                                                                                  government incentives.



                                           SOLAR ENERGY GENERATION (2007) – SELECT COUNTRIES




                                                             Netherlands (56 M kWh)
                                                                                                  Germany (4,060 M kWh)
                                                               France (92 M kWh)
                                                                                                  Switzerland (44 M kWh)
                                                                                                                                    Korea (82 M kWh)               Japan (2,017 M kWh)
         U.S. (2,133 M kWh)                                  Spain (803 M kWh)                     Italy (147 M kWh)




                                                                                                                            Australia (116 M kWh)
       Millions of kWh

       4000
        3500
        3000
        2500
       2000
        1500
        1000
        500
           0
                 Switzerland Netherlands   Korea   France      Australia      Italy       Spain        Japan         U.S.      Germany



                                                   Note: Number calculated using capacity factors of 18% for PV in U.S., Australia, and Mexico; 14% for PV in Spain, Italy, France, and Switzerland;
                                                                                        12% for PV in for Germany, Japan, Korea, and the Netherlands; and 25% for CSP (in U.S. and Spain only).
   Exhibit 15                                                                                                                 Source: IEA PVPS; La Generacion del Sol, U.S. Department of Energy
           SOLAR POWER INVENTIONS IN THE THREE ESTATES

           The first estate in solar energy includes 20 large                 The U.S. firm Energy Conversion Devices is a
           assignees that hold 39% of the IP in the area                     prominent holder of solar energy patents,
           (Exhibits 16 and 17). In the second estate there are              particularly in the area of thin-film solar devices.
           1,025 commercial entities with smaller IP portfolios,             It is absent from the DOE pie chart because most of
           but together they account for 53% of the IP in this               its sales are for rooftop rather than grid-connected
           technical area. Academic and government entities                  installations, but its thin-film expertise is also aimed
           hold the remaining 8% of the IP.                                  at large installations.

           Information on sellers of solar installations that                Academic and government interest in this area is
           was obtained from the Renewable Energy Data                       more active overall and less China-dominated
           Book names 10 companies as the top worldwide                      than is the case for wind power. Institutions from
           providers of photovoltaic installations.                          Germany, Japan, the United States, and Korea are
                                                                             engaged in research covering thin films, nanotubes
           None of the larger players in this field have been
                                                                             and dye-enhanced solar cells, among other
           as active at filing for patents recently. Research in
                                                                             subjects. One of the most prolific academic
           solar power was very intense in the periods 2000-
                                                                             contributors to patenting of solar inventions is the
           2005, and has diminished, particularly in Japan.
                                                                             Institute for Solar Energy Research, Leibniz
                                                                             University of Hannover, Germany. It has many
                                                                             affiliations with companies active in the field.




                                                               3091 (53%)                                                  50.6%
                                                                                              3%
           1025 (87%)                                                                         3%
                                        126 (11%)                                 494 (8%)   3.4%

                                                                                               4%
                                                                2253 (39%)                                                            8.2%
                                               20 (2%)                                          4.1%
                                                                                                    5.5%      4.2% 6.8% 7.2%


              COUNT OF ASSIGNEES                         COUNT OF INVENTIONS                           GLOBAL SOLAR PV
                Large Commercial                          Large Commercial                             PRODUCTION 2008
                                                                                                       6,941 MW nameplate capacity
                Small Commercial                          Small Commercial
                Academic / Government                     Academic / Government                            Q-Cells (GER)        SunPower Co. (US)
                                                                                                           Suntech (China)      Sanyo (JP)
                                                                                                           Sharp Solar (JP)     Trina Solar (China)
                                                                                                           Kyocera (JP)         Others
                                                                                                           Motech (Taiwan)
                                                                                                           Baoding Yingli (China)
                                                                                                           JA Solar (China)

                                                                                                       Source: PV News



              Exhibit 16                                 Exhibit 17                                    Exhibit 18




13   WORLD IP TODAY
SOLAR POWER INVENTION LANDSCAPE

A text-mining map (Exhibit 19) containing the solar        with thin films is efficiency. Dye-sensitized solar cell
energy inventions provides insight on the activity in      inventions are also highlighted, and the overlap
this field. Technical areas of recent interest are          between the two technologies is indicated by the
highlighted on the map. Thin films are the flexible          white dots. Much of the dye technology arises in
format for solar cells that use less silicon, making       Korea and Japan.
them less expensive. The problem to be solved




  – Thin-film solar cell inventions
  – Dye-sensitized solar cell inventions
  – Overlap of thin-film and dye-sensitized solar cell inventions

Exhibit 19
MARINE POWER
               Marine energy is not even on the charts yet as a                                      investments. The Carbon Trust5 predicts this
               potentially major source of electrical power. Part of                                 technology may become commercial around 2020.
               the reason for this is that the proposed methods of                                   Key development issues include alloys or composites
               capturing ocean and tidal energy are diverse, and                                     usable to create turbines that resist corrosion and
               both R&D efforts and investments are fragmented.                                      wear, environmental impact, dealing with weather
               The methods that are under development rely either                                    anticipation, and enabling transfer to the grid.
               on capturing oscillatory energy from wave motion                                      Costs are heavy in equipment, installation, and
               or on turning turbines using wave or tidal motion.                                    maintenance, and will need to be balanced by high
               Installations may be off-shore, near-shore or                                         output to make them commercially viable, but
               in estuaries. The industries with the greatest                                        modeling suggests that there is sufficient potential
               knowledge applicable to the marine environment                                        to justify development efforts.
               are ship-building, oil drilling and hydropower (dams),
                                                                                                     Tidal and wave energy test activity is so far distributed
               but most of these companies are not stepping up to
                                                                                                     in countries where there are especially suitable local
               invest in marine energy programs. Although
                                                                                                     features such as large tidal movements or accessible
               potential is considerable, investment in the area is
                                                                                                     areas away from shipping lanes, but at present the
               risky because of the harsh environment and difficult
                                                                                                     most important driver is government incentives and
               equipment maintenance. Pre-1990 efforts by
                                                                                                     funding rather than involvement of heavy industry.
               Japanese shipbuilders have essentially stopped.
                                                                                                     The La Rance barrage is a relatively large (~240 MW)
               Investment by the U.K. government occurred in two                                     tidal installation in France that has supplied a city of
               waves – one in the early 80s, and a second still                                      300,000 for 40 years.
               ongoing, and the level of U.K. inventions track these

               5 Carbon Trust http://www.carbontrust.co.uk/publications/publicationdetail.htm?productid=CTC601




                             WORLDWIDE ADVANCED WATER POWER COMMERCIAL AND PILOT PLANTS IN OPERATION




                                                                                                               Kislaya Bay (Pilot)
                                                                                                               5




                                                                     Fall of Warness   2   3   Islay Project

                                                         7   RITE Project
                                                                                       1
                                                                                                                                                8    Xingfuyang
                                                                                       Aguçadora Wave Park
                                                                                                                                               4    Jiangxia




                                                                                                                                                                  6

                             Wave                                                                                                                                 Port Kembla
                                                                                                                                                                  Wave Energy Project
                             Tidal




                                                                                                               Source: FERC, Pelamis Wave Power, Verdant Power, MIT Technology Review, EDF



                                                                                                                                                                         Exhibit 20


15   WORLD IP TODAY
MARINE POWER INVENTIONS IN THE THREE ESTATES

There is very little (9%) contribution of the first               These companies often have government
estate to R&D and patenting in marine technology                 investment. Some examples are Ocean Power
(Exhibit 22) because it is still insufficiently proven,           Technologies, Ocean Technologies Ltd., Clipper
and what little there is resides in Japanese                     Windpower, Marine Current Turbines and Clean
companies. Some large companies partner with                     Current Power Systems. The Carbon Trust6
government to support early-stage testing and                    summarizes the stages of development it has
development, with IP accruing to the developers.                 surveyed as shown in Exhibit 23.

Most of the companies in the second estate are                   The academic-government group is a
in the United States, the United Kingdom and                     proportionally large contributor, with institutions
Europe, and these companies tend to be small                     in the United Kingdom, the United States and Asia
startups led by a key inventor.                                  participating. Of note is the activity from the Korea
                                                                 Ocean Research & Development Institute (KORDI).

6 The Carbon Trust, Future Marine Energy.




                                                                                                              60

                                                                                                              50
                                             163 (74%)                                 Number of concepts
     114 (80%)                                                                                                40

                                                                                                              30

                                                                      37 (17%)                                20
                                 24 (17%)
                                                                                                               10

                                                                                                               0
                                                                                                                      Wave Energy      Tidal Stream
                                                                                                                      Generators     Energy Generators
                                  4 (3%)                               21 (9%)

      COUNT OF ASSIGNEES                    COUNT OF INVENTIONS                                             DEVELOPMENT STATUS OF
         Large Commercial                     Large Commercial                                              WAVE AND TIDAL STREAM
         Small Commercial                     Small Commercial                                              TECHNOLOGIES
                                                                                                            Source: Carbon Trust
         Academic / Government                Academic / Government
                                                                                                              Concept Design
                                                                                                              Detailed Design
                                                                                                              Part-Scale Model
                                                                                                              Full-Scale Prototype
                                                                                                              First Production Model


      Exhibit 21                            Exhibit 22                                                 Exhibit 23
               MARINE POWER INVENTION LANDSCAPE

               A text-mining map (Exhibit 24) containing the             submerged turbines, others using wave oscillations
               marine energy inventions provides more detail on          and other methods. The method highlighted on the
               the activity in this field. A variety of methods for       map uses wave oscillations to compress air to drive
               extracting wave energy exist, some employing              mechanical elements and generate rotary motion.




                 – Methods involving wave oscillations to compress air to generate power

               Exhibit 24




17   WORLD IP TODAY
CONCLUSION
   The international race to secure energy                   Today, the solar and wind sectors are more active
   independence and to establish dominance in                than marine, with wind leading the way. Solar likely
   alternative energy technology is still in its early       has better long-term potential because it is
   phases. Nations and businesses around the globe           possible to install solar facilities in more places and
   are investing billions of dollars in public and private   have it work. Wind is only viable in specific
   funds into development of such technologies. A            locations and is plagued by controversy, with some
   closer look at patent activity in this area reveals       detractors who don’t want the turbines
   that there are many players trying to carve out           overshadowing their property, disrupting their view,
   small niches for themselves. If we mapped out the         or interfering with shipping lanes. Marine trails the
   current alternative energy R&D activities, it would       other two sectors mainly because there is no
   consist of a thousand small streams – each one            agreement on the most effective method of
   making small, incremental progress, and often             extracting energy in a challenging and sometimes
   overlapping one another.                                  violent environment. In marine energy, choices will
                                                             have to be made to allow focused effort.
   If ever wind, solar or marine energies are to rival or
   supplant established energies like oil, gas and coal      The goal for all involved is to create technologies
   as viable, largescale solution to the world‘s             that can produce greater amounts of energy, and
   growing energy needs, it will take more than              to reduce the price per watt for such technologies.
   individual efforts. These streams will need to            Paradoxically, per person consumption must drop
   converge to reduce redundancy and create larger           to allow us to live within the limits we have. Need is
   opportunities. The key to such a convergence is           increasing and new areas are developing.
   increased collaboration across boundaries,
                                                             What we are seeing is a natural progression. To a
   partnerships and licensing. Companies large and
                                                             great degree, the industry is still in its pioneering
   small should take a look around and pay great
                                                             phase, with a proliferation of competitors. What
   attention to the competitive landscape, do more
                                                             will follow is consolidation, with larger companies
   buying and licensing or become development
                                                             buying smaller ones to speed development.
   partners with others who are pursuing
                                                             Everyone wants to be the winner, but collaboration
   complementary technologies or new ideas.
                                                             will create many winners and allow alternative
                                                             energy to thrive and create great opportunities for
                                                             those with the right R&D strategy. With
                                                             collaborative effort we will see swifter and greater
                                                             impact on the global grid and a reduction in
                                                             dependence on fossil fuels.
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                                                  ABOUT THE AUTHOR
                                                  Susan E. Cullen, Ph.D., is IP Consulting Services Director with the IP
                                                  Solutions business of Thomson Reuters. Dr. Cullen led a research group
                                                  for 18 years and has 10 years of IP management experience that includes
                                                  directing a licensing office and supporting the redesign of the IP practices
                                                  at Monsanto/Pharmacia. Since 2000, she has worked as a consultant in
                                                  IP analysis. She develops methodology for extracting competitive and
                                                  technical intelligence from IP and gives advanced training to users of
                                                  Thomson Reuters analytical tools. Dr. Cullen has a Ph.D. in Microbiology
                                                  from Albert Einstein College of Medicine, a B.S. in Chemistry. She is a
                                                  registered U.S. patent agent and an Adjunct Full Professor at Washington
 Note to press:                                   University in St. Louis.
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 Cover image:
 REUTERS/Jose Manuel Ribeiro



© 2009 Thomson Reuters L-352266/9-09

				
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