BIOEN

Organizational Design

Coordinator : José Maria F.J da Silveira

Area coordinators:

Prof. Maria Beatriz Bonacelli/IG-Unicamp

Prof. Abraham Yu – FEA/USP

The project is subdivided in three groups:

a) PROMON

b) PAPI

c) AVALIMP

FAPESP, November 2012

BIOEN

Organizational Design

Flagship: PROMON

Forecast and Monitoring from BIOEN issues

Group Leader: Prof. Ester Dal-Poz FCA – Unicamp

Researchers

Fabio Masago (Institute of Computer Sciences-Unicamp)

Vinicius Eduardo Ferrari Phd Student (IE- Unicamp)

Luiz Gustavo de Souza Phd Student (Esalq-USP)

Fernando da Silva Pereira Phd Candidate - IE-Unicamp)

Reserarch Assistants

Pedro Chagas – PIBIC-CNPQ/uUnicap

Carolina da Silveira Bueno - PUCCAMP

Main idea- BIOEN is a public project in

R&D.

Reasons to monitoring scientific

production and innovative and tech

potential of the programme:

a)Freedom to Operate – FTO(I. P. form

of the game)

b) Potential Markets for the technologies

developed by BIOEN researches(R&D

and Industrial sectors)- Clearance

Integrated Objectives of PROMON:

1. Mapping the Scientific Production

throughout its technological potential;

2.Market foresight: innovation potential

assessment and calculating the patent

value

Mapping the Scientific Production 2000-

2012. First author references (by Luis G. de

Souza- ESALQ)

*Researcher Luiz Gustavo de Souza, Esalq-USP

Obj.1- Mapping Scientific Production 2000-2012

Key words in web of science * (Luis Gustavo

Souza)

* P

esq

uis

ad

or

Lu

iz G

usta

vo

de

So

uza

, E

sa

lq-U

SP

Mapas de artigos, por citações nas bases de publicações ISI Web of Science através de busca realizada por palavras-chaves

selecionadas entre os anos de 2000 e 2012 .

Clusters de parcerias por país ( script Aduna Cluster® do programa VantagePoint ).

Obj.1- Mapear produção cientifica *

* P

esq

uis

ad

or

Lu

iz G

usta

vo

de

So

uza

, E

sa

lq-U

SP

Mapas de artigos, por citações nas bases de publicações ISI Web of Science através de busca realizada por palavras-chaves

selecionadas entre os anos de 2000 e 2012 .

Clusters de parcerias por país ( script Aduna Cluster® do programa VantagePoint ).

Number of scientific publications from Brasil is

very high. However, partnerships are

predominantly constituted by partners from the

country, impairing diffusion.

USA is the main player, whose researchers

are connected with others countries. At first

sight, it favors diffusion.

Next step: analyzing “small word” networks to

evaluate the value of the connections.

Objective. 2 – Market Prospection: technologies and

innovation

Definition of technological trajectories (by

BIOEN subjects);

a) biomass, transgenic plants, fermentation, 2nd

G...

Prospecção de patentes: tecnologias de valor

forecasting patents: highly cited patents and strongly

connected= higher market value

Giving an illustration (the networks are real

and related to BIOEN Research):

Cas 1 – biomass and ethanol or bioethanol (title+abstr+claims)

USPTO – 1976-2010; C12N or C07h21; k-core 20

Big

ph

arm

a

bio

tec

hn

olo

gie

s

Methodology: network characterization

ethanol/bioethanol e identification of

trajectories

0

10

20

30

40

50

60

Cit

ati

on

s

Patents

Patents X Number of CitationsNumber of Knots: 316

Number of Vertex: 1013

Density: 1,01%

In-Betweenness

Centralization: 0,00072

Normalized Closeness

Centralization: 0,20890

(range [0,1])

Patent number and (number of citations)

4,642,286 (18): no

assignees

4,652,526 (13)

(assignee: Univ.

Missouri

4,810,633 (20) (assignee: Mills Inc)

1/1

∞

5,231,017 (20) (assignee: Solvay)

∞

1/1

Methodologies

Building

technology

trajectories

calculating

SLPC in

patents

networks

(see

Verspagen,

B. (2007).

Working in

progress

Methodology developed by Dal Poz,

Silveira and Masago:

First procedure: build the network

based on key words and apply

network indicators;

Second procedure: identifying

patents well positioned in the

network: key-core procedure;

Final procedure: applying geodesic

distance.

Empresas e tecnologias: o cenário de

negociação do BIOEN

Country

Enterprise

R&D relationships:

A - Biomass Research

B - Ethanol Industrial Technologies

and Processing Research

C – Alcohol-chemistry and

Biorefineries

USA ZeaChem, Inc.

Xyleco, Inc.

B, C

USA Celanese International

Corporation

Bioengineering

Resources, Inc.

Genencor International,

Inc.

A, C

Finland Cultor, Ltd.

Valtion Teknillinen

TutkimuskeskusOy

A, B, C

Denmark Hoechst

Aktiengesellschaft

A, B, C

Case 2 - transgenic plants tech trajectory (plant

transformation technologies, 35S-ubiquitin)

USPTO – 1976-2011; k-core 20

Transgenic plants technological trajectory

Case Transgenic Plants: fits

perfectly the methodology

Monsanto Co. (+ Calgene and Dekalb)

Trajectory of plant transformation” and engineered

physiology”;

Vectors of DNA, promoters (35 S, opine, ubiquitin) = enabling

biotechnologies to the genetic engineering innovation for

agriculture;

Looking for the dynamics of innovative activities in the aim

to generate a environment that favors technology transfer

and commercialization.

Cas0 3 – quatro processos em fermentação de

2G

Simultaneous Saccharification and

Fermentation (SSF) (EXAMPLE)

Consolidated Bioprocessing (CBP)

Direct Microbial Conversion (DMC)

Separate Hydrolysis and Fermentation

(SHF)

Network SSF - k-core 32 -1

USPTO- 1976-2012; no-k-core

Density 0,81701%.

Centrality (indegree): 0,0119191

SSF – DG 1,0; k-core 32- 20

No defined tech trajectory to ethanol 2G till now. Image: star wars innovative processes....

Legenda

Patentes fundadoras do tema SSF

Única vinculação entre patentes altamente citadas e com

conexão DG1

Patentes desconectadas da rede.

4220721

02/09/80

(12)

495250428/08/90

(11)

450307905/03/85

(11)

449046925/12/84

(15)

587426326/02/99

(10)

546476007/11/95

(15)

5258293

02/11/93(15)

5779164

14/07/98

(10)

519807430/03/93

(16)

4840903

20/06/89(15)

540781708/04/95

(14)

5231017

27/07/93

(32)

650918021/01/03

(29)

5487989

30/01/96(27)

4321328

03/03/82(23)

5135861

04/03/92(11)

593245603/08/99

(15)

5677154

14/11/97

(11)

555452010/09/96

(21)

583750617/11/98

(11)

6927048

09/08/05

(18)

5571703

05/11/9

6(10)

609059518/07/00

(19)

5628830

13/05/97(20)

562087715/04/97

(17)

5597714

28/01/97

(19)6333181

25/12/01(13)

4326036

20/04/82(11)

In spite of the tech opportunities, some firms

are serioulsly involved...

a) Solvay Enzymes, Inc. (Elkhart, IN), July 27, 1993

b) ZeaChem Inc. (Golden, CO), January 21, 2003

Simultaneous Saccharification and Fermentation

Network – SSF SSF clusters by technological themes

Patent documents topology

General landscape: enzymes and their encoding genes

for second generation ethanol

Adapted transgenic plants for cellulose fermentation

Fermentation enzymes genetic engineering

Plant raw material linked to microorganisms fermentation

enzymes

Biomass industrial pre-treatment

Biomass saccharification processes

Thermophilic and mesophilic microorganisms

fermentation enzymes

Trichoderma sp. hydrolytic enzymes

Humicola grisea novel enzymes for sugar cane bagasse

fermentation

Lignocellulose solvents

SSF – Patent Top Assignees by year

Source: Authors, from Thomson Innovation database

Networks intersection

Source: Authors, from Thomson

Innovation database

10 techs para 2G

US Patent

Number

Assignee/Country Core technology

1. 7,226,776 University of Florida Research

Foundation, Inc. (USA)

Recombinant hosts suitable for simultaneous

saccharification and fermentation

2. 5,045,463 Cetus Corporation (USA) DNA expression vector

3. 8,075,694 Danisco US Inc. (USA) Acid fungal protease in fermentation of insoluble starch

substrates

4. 7,732,173 Membrane Technology and

Research, Inc. (USA)

Ethanol recovery process using membranes - a combination

of steps including fermentation

5. 7,985,847 BioJoule Ltd. (New Zealand) Extraction of ethanol-soluble lignin from the plant material

and retention of sugars

6. 7,649,086 BioJoule Ltd. (New Zealand) Integrated processing of plant biomass

7. 8,058,041 Inventor: Alex Berlin. Head

Protein Chemistry Dept.,

Novozymes Inc.

Process for simultaneous saccharification and fermentation

of biomass

8. 5,100,791 The United States of America as

represented by the United States

(USA)

Simultaneous saccharification and fermentation using

cellobiose fermenting yeast Brettanomyces custersii

9. 7,785,848 ACTIVA BioGreen, Inc. (USA) Improvement od biomass conversion and fermentation

process by promoting the growth of microbes.

10. 7,582,458 Novozymes North America, Inc.

(USA)

Improved fermentation processes applying oxidizing

enzymes and growth stimulators for the fermenting

microorganisms

Vetores: cauliflower virus

PAPI GROUP: ORGANIZATIONAL

DESIGN OF BIOEN PROGRAM:

INTELLECTUAL PROPERTY,

INCENTIVE MECHANISM AND

IMPACT EVALUATION.

Leader: José Maria F.J. da Silveira- IE/Unicamp

Researchers: Prof. Paulo Berti. A Barros

(Unifesp); Prof. Ivette Haumani –IE/Unicamp.

Research assistant: Jamile Colleti (IE/FCA-

Unicamp)

BIOEN Influence in Research Leaders

Research Strategies.

The BIOEN Program has changed 30% of lines

of research in some way and a lot. Just a few

changes was considered by 36% and nothing by

24%.

48% Researchers verified that collaborations

had expanded a lot; 28% think that some

increase in collaborations occurred.

The potential production of the lab. increased

28% very much with 52% in average.

For 25% of the lab. the funding pattern

increased greatly.

The BIOEN

program perception on the national scenario

50% of researchers disagree with the

statement that without the BIOEN Program

research in bioenergy in Brazil would be

doomed to failure. However 28% agree that it

could be.

The legal restrictions and bureaucracy in

customs house, according to the researchers,

impose degrees of difficulty as great as

financial constraints.

The perception about Industry

partnership

85.7% strongly agree with the importance of

industry participation in research and

development in partnership with the university.

However, 50% of researchers believe that

partnerships are not occurring or not occurring

as it should be.

Researchers believe, 60%, that is the role of

BIOEN to produce science and technology for

the ethanol industry.

The Bioen Program and the

perception of the researchers on

the IP. 25% think that the program is quite aware

about the issue and another 25% think that it is

simply aware, 14% did not positioned

themselves for various reasons and 28% think

that the program is not aware about IP

concerns and 7.1% stated that the program is

nothing concerned about IP issues.

Do IP work as an incentive to

scientific advancement?

The responses tended to be

favorable: 25% strongly agree and

28.6% just agree, 14.3% were unable

to evaluate, 17.9% disagreed and

14.3% completely disagree.

Have the researcher an interest in

patenting their research results?

When asked about interest in patenting the

development of research developed in Bioen

program, 65.2% confirm interest in patenting

with the remaining 34.8% not interested in

asserting any patent.

IP and research materials and

research protocols.

For academic purposes, 52% of researchers believe that a severe IP enforcement (not flexible) does not apply in research materials. However, 32% disagree.

The IP in research protocols, 60% believe that a severe IP enforcement does not apply, and 30% disagree.

50% of researchers believe that IP can in fact block their research, 30% did not understand how IP can do this.

AVALIMP: MAIN RESEARCH

QUESTIONS

What would be the impacts – economic, social,

environmental and in the capabilities fields) that

could be foreseen by the analysis of the BIOEN

R&D activity in the next 5 and 10 years, in São

Paulo State and Brazil? It regards the evolution of

technologies and new Products (not only energy,

but resins and so). Equipe AVALIMP: Abraham Yu, Alceu Salles e Paulo

Tromboni

(Departamento de Administração, FEA, USP)

.

AVALIMP: Research themes

P&D para Cadeia Cana P&D Tecnologias Concorrentes

Tecnologias de Transformação

Etanol 1ª Geração

Açucar Combustíveis

Cana Eletricidade (Bagaço) Derivados Adoçantes

Produção de Cana Etanol 2ª Geração Eletricidade

Bio-Plásticos Plásticos

Processo X Mercado W

Processo Y Mercados

Impactos

•Technological strategy from

the assembly firms:

powertrain, including electric

cars.

• Flex-Fuel Technological

Development

• What are the reasons to

import ethanol from the US?

• Bioplastics adoption strategy [01 Phd thesis; 04 ms

dissertations]

• Brazilian transition to ethanol as fuel

•Logistics in ethanol

• Alliances and partnerships in sugar-cane chain

• Second generation viability assessment [03 Phd thesis; 01 ms dissertation]

•Impact Prospection

• Developing Integrated

models to assess impacts.

(1 Phd Thesis in progress)

Some Results

Competition from electric cars

Sharp growing of the electric cars manufacturing

since 1995.

Electric car rapid diffusion process could be a treat or

na opportunity to ethanol producers.

New derivate products and its impacts on sugarcane demand:

green plastic, lubricant.

The success can generate significant demand for

sugarcane.

Technological Discontinuity in the Automobile

Industry:

Era of Ferment for Electric Vehicles (EV)

0

10

20

30

40

50

60

70

80

1 3 5 7 9 11 13 15 17 19 21 23 25 27 29 31 33 35 37 39 41 43 45 47 49 51 53 55 57 59 611890 1900 1910 1920 1930 1940 1950 1960 1970 1980 1990 2000 2010

Nu

mb

er

of

Fir

ms

EV World (Frery, 2000)

Auto US (Utterback, 1987;

Abernathy, 1978)

EV World (authors, 2011)

Number of Firms in the AUTOMOBILE INDUSTRY

Sources: Frery (2000 apud Midler and Beaume, 2008); Utterback (1987); Abernathy (1978); Feeney (2009); Hacker, et al. (2009); Alternatives Fuels (2011); All Electric Vehicles (2011).

“Autores, 2011”: Yu, Lopes, Chu, Nascimento, e Camargo Jr., Electric vehicles: struggles in

creating a market, PICMET, 2011

Green Ethylene Polyethylene Polymer Plastics; etc.

• Ethylene is one of the largest-volume petrochemicals worldwide;

• Global demand of Ethylene is forecasted to grow at about average GDP

growth rates;

• World consumption of Ethylene in 2009: 112 millions of ton;

• Green Ethylene: use sugarcane as feedstock;

• 7,2m³ of Ethanol produces 3 ton of green Ethylene;

• Status: in production by Braskem.

Impacts on the Sugarcane Demand

• In 2008/2009 harvest the Brazilian sugarcane

production was 549 million tons. Considering

10% of ethylene market and 5% of diesel

market using sugarcane as feedstock, estimate

sugarcane demand increases about 67%

• If only Lubricants and Ethylene from sugarcane

are considered, the demand increases 62%

Nascimento, P. T. S.; Ana Paula Paes Leme Barbosa; Aline Ishikawa; Abraham Sin Oih

Yu; Alceu Salles Camargo Jr., New co-products and Ethanol availability in Brazil,

PICMET 2012