The development and diffusion of climate change mitigation technologies (CCMTs) – i.e. technologies that emit less greenhouse gases (GHGs) than the business as usual technologies for which they are substituted – is essential to limit the global temperature not to rise above 2°C and mitigate climate-change related risks. Massive transfer of CCMTs is therefore required, especially from developed to developing countries. Protection of the Intellectual Property Rights (IPRs) plays a significant role in the mechanism by which technologies are transferred. The 1994 Agreement on Trade Related Aspects of Intellectual Property Rights (TRIPS), by establishing a minimum level of IPR protection, was indeed conceived with the intention of creating a conductive environment for technology development and transfer. This dissertation aims to contribute to the scientific community by attempting to understand to what extent IPRs have a role in the diffusion of CCMTs and whether the TRIPS Agreement has partecipated actively in favouring their diffusion. We constructed a patent dataset on 13 climate change mitigation technologies filed in 67 countries by inventors coming from 177 foreign countries from 1960 to 2018. The empirical analysis basis on the econometric model reported by Dechezleprêtre, Glachant, & Ménière (2013) according to which technology diffusion is positively influenced by the level of intellectual property protection and openness to FDI. Openness to international trade, by simultaneously increasing the level of trade and substituting more patent-intensive FDI for trade, has instead a more ambiguous effect. Results show a significant impact of IPRs and openness to FDI in promoting the diffusion of almost all the 13 climate change mitigation technologies included in the sample. Furthermore, their influence on technology transfer is greater after TRIPS and, in particular, for non-OCDE countries. Results therefore suggest that TRIPS have effectively influenced the diffusion of CCMTs in a positive way.
Lo sviluppo e la diffusione delle tecnologie di mitigazione dei cambiamenti climatici (CCMTs) - ossia tecnologie che emettono meno gas serra (GHGs) rispetto alle normali tecnologie per le quali sono sostituite - è essenziale per evitare che la temperatura globale non aumenti oltre 2°C e riuscire a mitigare i rischi connessi al cambiamento climatico. È quindi necessario un massiccio trasferimento di CCMTs, in particolare dai paesi sviluppati a quelli in via di sviluppo. La protezione dei diritti di proprietà intellettuale (DPI) svolge un ruolo significativo nel meccanismo attraverso il quale le tecnologie vengono trasferite. L'Accordo del 1994 sugli aspetti commerciali dei diritti di proprietà intellettuale (TRIPS), stabilendo un livello minimo di protezione dei DPI, è stato concepito con l'intento di creare un ambiente conduttivo per lo sviluppo e il trasferimento di tecnologie. Questa tesi ha l’intento di dare un contributo alla comunità scientifica cercando di capire fino a che punto i DPI hanno un ruolo nella diffusione delle CCMTs e se l'Accordo TRIPS abbia agito attivamente per favorirne diffusione. È stato costruito un dataset di brevetti appartenenti a 13 tecnologie di mitigazione dei cambiamenti climatici depositati in 67 paesi da inventori provenienti da 177 paesi dal 1960 al 2018. L’analisi empirica si basa sul modello econometrico riportato da Dechezleprêtre, Glachant, & Ménière (2013) secondo cui la diffusione delle tecnologie è influenzata positivamente dal livello di protezione della proprietà intellettuale e dall'apertura agli IDE. L'apertura al commercio internazionale, aumentando contemporaneamente il livello degli scambi commerciali e sostituendo gli IDE ad alta intensità di brevetto per gli flussi commerciali, ha invece un effetto più ambiguo. I risultati mostrano un impatto significativo dei DPI e dell'apertura agli IDE nel promuovere la diffusione di quasi tutte le tecnologie di mitigazione dei cambiamenti climatici incluse nel campione. Inoltre, la loro influenza sul trasferimento tecnologico è maggiore dopo i TRIPS e, in particolare, per i paesi non-OCDE. I risultati quindi suggeriscono che i TRIPS abbiano effettivamente influito positivamente sulla diffusione di CCMTs.
Intellectual property rights and the diffusion of climate change mitigation technologies : the impact of TRIPS agreement
MARTELLI, ALESSANDRO
2018/2019
Abstract
The development and diffusion of climate change mitigation technologies (CCMTs) – i.e. technologies that emit less greenhouse gases (GHGs) than the business as usual technologies for which they are substituted – is essential to limit the global temperature not to rise above 2°C and mitigate climate-change related risks. Massive transfer of CCMTs is therefore required, especially from developed to developing countries. Protection of the Intellectual Property Rights (IPRs) plays a significant role in the mechanism by which technologies are transferred. The 1994 Agreement on Trade Related Aspects of Intellectual Property Rights (TRIPS), by establishing a minimum level of IPR protection, was indeed conceived with the intention of creating a conductive environment for technology development and transfer. This dissertation aims to contribute to the scientific community by attempting to understand to what extent IPRs have a role in the diffusion of CCMTs and whether the TRIPS Agreement has partecipated actively in favouring their diffusion. We constructed a patent dataset on 13 climate change mitigation technologies filed in 67 countries by inventors coming from 177 foreign countries from 1960 to 2018. The empirical analysis basis on the econometric model reported by Dechezleprêtre, Glachant, & Ménière (2013) according to which technology diffusion is positively influenced by the level of intellectual property protection and openness to FDI. Openness to international trade, by simultaneously increasing the level of trade and substituting more patent-intensive FDI for trade, has instead a more ambiguous effect. Results show a significant impact of IPRs and openness to FDI in promoting the diffusion of almost all the 13 climate change mitigation technologies included in the sample. Furthermore, their influence on technology transfer is greater after TRIPS and, in particular, for non-OCDE countries. Results therefore suggest that TRIPS have effectively influenced the diffusion of CCMTs in a positive way.File | Dimensione | Formato | |
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https://hdl.handle.net/10589/148795