Technology transfer and cooperation
The Subsidiary Body on Scientific, Technical and Technological Advice,
Recalling that, by its decision VI/30, the Conference of the Parties requested SBSTTA to consider the scientific, technical and technological aspects of technology transfer and cooperation at its ninth meeting and to adopt a recommendation that will include elements for a programme of work on technology transfer,
Taking note of recommendation 4 of the Open-ended Inter-Sessional Meeting on the Multi-Year Programme of Work of the Conference of the Parties up to 2010, on the legal and socio-economic aspects of technology transfer and cooperation,
Recalling paragraph 44 (h) of the World Summit on Sustainable Development (WSSD) Plan of Implementation, which calls upon States to provide financial and technical support to developing countries, including capacity-building, in order to enhance indigenous and community-based biodiversity conservation efforts,
Recalling also SBSTTA recommendation II/3 to conduct work on technology transfer within sectoral themes related to the priority issues under its programme of work as set out in recommendation II/12,
Recommends that the Conference of the Parties at its seventh meeting:
(a) Adopts the elements of a programme of work on technology transfer and cooperation as contained in the annex to the present recommendation;
(b) Decides that implementation of the programme of work should be undertaken in close coordination with relevant activities under thematic programmes of work and programmes of work of other cross-cutting issues, in order to prevent duplication of work and maximize synergy;
(c) Invites Parties and relevant international organizations, and requests the Executive Secretary, to carry out the activities under their respective responsibilities as spelled out in the programme of work up to the eighth meeting of the Conference of the Parties, as a first phase in the implementation of the programme of work;
(d) Invites Parties, in accordance to their identified needs and priorities, to convene national, sub-regional and regional workshops to exchange information and experiences on and to enhance capacity for the successful cooperation, transfer, dissemination and absorption of environmentally sound technologies;
(e) Decides that the informal advisory committee of the clearing-house mechanism, further to decision V/14, shall:
(i) Provide advice on the development of proposals on the possible role of the clearing-house mechanism as a central mechanism for exchange of information on technologies, for facilitating technology transfer and cooperation and to promote and facilitate technical and scientific cooperation relevant for the conservation and sustainable use of biodiversity, and for technologies that make use of genetic resources;
(ii) Develop guidance for implementation by national clearing house mechanism nodes for common or similar frameworks for identifying the availability of relevant technologies to enhance international cooperation and to facilitate the interoperability with relevant existing systems of national and international information exchange, including technology and patent databases; and
(iii) Assist in the implementation of proposals for enhancing the clearing-house mechanism as a central mechanism for exchange of information on technologies, for facilitating and promoting technology transfer and cooperation and for the promotion of technical and scientific cooperation as adopted by the Conference of the Parties;
(f) Decides to establish an Ad Hoc Technical Expert Group on Technology Transfer and Technology Cooperation, which shall assist the Executive Secretary in the:
(i) Preparation of proposals on options to apply institutional, administrative, legislative and policy measures and mechanisms, including best-practices as well as to overcome barriers, to facilitate access to and absorption of technologies on the public domain and to proprietary technologies by developing countries and countries with economies in transition, ;and in the
(ii) Exploration of possibilities and mechanisms of cooperation with processes in other Conventions and international organizations, such as the UNFCCC Expert Group on Technology Transfer (EGTT);
for consideration by the Subsidiary Body on Scientific, Technical and Technological Advice at a meeting prior to the eighth meeting of the Conference of the Parties;
(g) Calls upon Parties, governments and relevant international and regional organizations to provide financial and technical support and training, as appropriate, to assist in the implementation of the programme of work;
(h) Provides additional guidance to the financial mechanism of the Convention on pertinent activities for the building or enhancement of capacity of relevance for the successful transfer of technologies and cooperation;
(i) Considers further ways and means of involving multilateral financial institutions, regional banks and other relevant funding bodies in the work of the Convention and in the efforts of Parties in its implementation, particularly with respect to capacity development and technology transfer and cooperation.
Annex
DRAFT ELEMENTS OF A PROGRAMME OF WORK ON TECHNOLOGY TRANSFER AND TECHNOLOGICAL AND SCIENTIFIC COOPERATION
1. The purpose of this programme of work is to develop meaningful and effective action to enhance the implementation of Articles 16 to 19 as well as related provisions of the Convention by promoting and facilitating the transfer of and access to technologies from developed to developing countries as well as to countries with economies in transition as well as among developing countries, necessary to ensure implementation of the three objectives of the Convention, and in support of the target to achieve a significant reduction of the current rate of biodiversity loss at the global, regional and national level by 2010. Implementation of this programme of work shall also contribute to the attainment of the millennium development goals to ensure environmental sustainability and to eradicate extreme poverty and hunger by 2015.
2. The successful transfer of technology and technology cooperation requires a country-driven, integrated approach at international, regional as well as national and sectoral levels, based on cooperation among various stakeholders, including the private sector, governments, indigenous and local communities, bilateral and multilateral institutions, funding institutions, non-governmental organizations and academic and research institutions, to enhance activities on technology assessments, on information systems, on creating enabling environments, on capacity building and on implementation support mechanisms.
3. Implementation of the activities spelt out in this programme of work, and the indicated timelines, shall not delay the immediate transfer of technologies, in accordance with Articles 16 to 19 of the Convention, in those cases where technology needs and opportunities for the transfer of environmentally sound technologies are already identified and the enabling environment supports their successful transfer, adaptation and absorption.
4. In implementing this programme of work, the various actors enumerated above are invited to take into account the following strategic considerations:
(a)
In the light of largely varying socio-economic and cultural conditions among countries, technology transfer, and in particular the assessment of technology needs and of the related needs for the building or enhancement of capacity, is necessarily a country-driven process;
(b) The participation, approval and involvement of all relevant stakeholders, especially indigenous and local communities embodying traditional lifestyles, is key for the successful transfer and diffusion of technology for conservation and sustainable use of biological diversity;
(c) Consideration should be given to identifying and facilitating the use of local solutions to local issues, as the most innovative solutions are often developed locally, but remain unknown to a wider community of potential users;
(d)
The strengthening of national, regional and international information systems including through the development and use of common formats, standards and protocols, providing, inter alia, access to information on existing technologies for the purposes of the Convention, and the improvement of the Convention clearing-house mechanism as a central gateway to such information systems, is crucial for the implementation of Articles 16 to 19 of the Convention;
(e)
The development of innovative partnerships, involving governmental agencies, public and private research institutions, the private sector, and national and local stakeholders, is a tool that facilitates enabling environments that are conducive to the successful cooperation and transfer of technologies;
(f) In light of the numerous ongoing activities on technology transfer and technology cooperation under existing programmes and initiatives, particular attention should be given to the establishment of synergies with such programmes and initiatives, in order to avoid the duplication of work;
(g)
Building or enhancing human and institutional capacity at all levels, in particular in developing countries and in countries with economies in transition, is of paramount importance to implement the present programme of work.
PROGRAMME ELEMENT 1: TECHNOLOGY ASSESSMENTS
Technology assessment is a set of country-driven activities which involve relevant stakeholders in a consultative process to identify and determine the needs of Parties in response to national priorities and policies, particularly developing countries and countries with economies in transition, with regard to the cooperation and transfer of technology for conservation and sustainable use of biodiversity, or technology that makes use of genetic resources, and with regard to building or enhancement of scientific, legal and administrative capacity, and training. Furthermore, assessment should also identify, as appropriate, the potential benefits, costs and risks of such technologies. Any international cooperation in this field should be on mutually agreed terms.
Objective: Technology needs, the potential benefits costs and risks of such technologies, and the related capacity building needs of Parties are identified in response to national priorities and policies
Operational target 1.1: Technology needs assessments are conducted as appropriate, with the participation of stakeholders, in accordance with the activities foreseen in the thematic and cross-cutting work programmes under the Convention and in line with national priorities as set out, inter alia, in the National Biodiversity Strategy and Action Plans,
Activities
1.1 Preparation, in accordance with the activities foreseen in the thematic and cross-cutting work programmes under the Convention and in line with national priorities, of technology assessments addressing:
(a) Technology needs, opportunities and barriers in relevant sectors;
(b) Related needs in the building of capacity.
Operational target 1.2: Impact and risk assessments are conducted as appropriate with the participation of stakeholders and, if needed and requested, with international cooperation
Activities
1.2.1 Preparation, as appropriate, of transparent impact assessments and risk analysis of the potential benefits, risks and associated costs with the introduction of technologies, including new technologies, whose risks and benefits are not yet determined.
Main actors: Parties to the Convention on Biological Diversity, in collaboration with relevant national and international stakeholders and with support from GEF and from relevant international funding organization as appropriate
Timeline for implementation: ongoing.
Operational target 1.3: Information on methodologies for the assessment of technology needs are widely available to Parties through the clearing house mechanism and other means as appropriate
Activities:
1.3. Collect information on technology needs assessment methodologies, analyse applicability and adaptation needs for technologies for conservation and sustainable use of biodiversity, and for technologies that make use of genetic resources and disseminate this information through the clearing house mechanism or other means as appropriate
Main actor: the Secretariat of the Convention on Biological Diversity, in collaboration with relevant organizations and with input by Parties and Governments
Timeline for implementation: the eighth meeting of the Conference of the Parties
PROGRAMME ELEMENT 2: INFORMATION SYSTEMS
The development or strengthening of national, regional and international systems for the gathering and dissemination of relevant information on technology transfer and cooperation and technical and scientific cooperation, including the establishment of effective networks of electronic databases of relevant technology, has been recognized as a tool that facilitates the transfer of technology for the conservation and sustainable use of biodiversity, and of technology that makes use of genetic resources. Activities under this programme element should build on existing initiatives and programmes with a view to maximize synergy and avoid the duplication of work. At the international level, these systems, using the clearing-house mechanism, would provide, inter alia, information on the availability of relevant technologies, including their technical parameters, economic and social aspects, data on patents (owners and date of expiration), models of contracts and associated legislation; the identified technology needs of Parties as well as case-studies and best-practices on measures and mechanisms to create enabling environments for technology transfer and technology cooperation.
Objective: National, regional and international information systems for technology transfer and cooperation provide comprehensive information of relevance to foster technology transfer and technology cooperation
Operational target 1: The clearing-house mechanism is a central mechanism for the exchange of information on and facilitation of technology transfer and technical and scientific cooperation relevant for the Convention on Biological Diversity, providing access to information on national technology needs, available relevant proprietary technologies and technologies in the public domain, including access to databases of existing technologies, and information on best-practices to create enabling environments for technology transfer and technology cooperation
Activities
Main actor: the Secretariat of the Convention on Biological Diversity in collaboration with relevant organizations and initiatives
Timeframe for implementation: post seventh meeting of the Conference of the Parties
2.1.2. Development of proposals to enhance the clearing-house mechanism, including its national nodes, as a key mechanism for exchange of information on technologies, for facilitating and promoting technology transfer and cooperation and for the promotion of technical and scientific cooperation relevant for the conservation and sustainable use of biodiversity, and for facilitating access to technologies that make use of genetic resources
2.1.3. Development of advice and guidance on the use of new information exchange formats, protocols and standards to enable interoperability among relevant existing systems of national and international information exchange, including technology and patent databases
Main actor: the Secretariat of the Convention on Biological Diversity in collaboration with Parties, the informal advisory committee of the clearing house mechanism and relevant organizations and initiatives, with support from GEF and from relevant international funding organizations as appropriate
Timeframe for implementation: the eighth meeting of the Conference of the Parties
2.1.4. Implementation of proposals for enhancing the clearing-house mechanism as a central mechanism for exchange of information on technologies, for facilitating and promoting technology transfer and for the promotion of technical and scientific cooperation as adopted by the Conference of the Parties, in full synergy with similar initiatives and mechanisms of other Conventions and international organizations
Main actor: the Secretariat of the Convention on Biological Diversity in collaboration with the informal advisory committee of the clearing house mechanism, Parties and relevant organizations and initiatives with support from GEF and from relevant international funding organizations as appropriate. This arrangement may be reviewed after a reasonable trial period.
Timeframe for implementation: the ninth meeting of the Conference of the Parties, then ongoing
Operational target 2: Opportunities to establish or strengthen national information systems for technology transfer and technology cooperation are identified, with consultation of and input from relevant stakeholders
Activities:
2.2.1. Compilation and synthesis of information on national and regional information systems for technology transfer and cooperation, including the identification of best-practices and of needs for further improvements, in particular in regard to the accessibility of such systems for all relevant stakeholders, especially indigenous and local communities, as well as information on capacity and human resources available and needed
Main actor: the Secretariat of the Convention on Biological Diversity, with input from Parties and in cooperation with relevant organizations as appropriate, and with support from GEF and from relevant international funding organizations as appropriate
Timeline for implementation: the eighth meeting of the Conference of the Parties, then ongoing
Main actors: Parties in cooperation with the Secretariat and relevant organizations as appropriate, and with support from GEF and from relevant international funding organizations as appropriate
Timeline for implementation: the eighth meeting of the Conference of the Parties
Operational target 3: National information systems for technology transfer and technology cooperation, especially those functioning through national clearing-house mechanisms, are established or strengthened, are effectively linked to international information systems and contribute effectively to technology transfer, dissemination and absorption and to the exchange of technologies, including south-south technology transfer.
Activities:
2.3. Development or improvement of national systems of information exchange on technology transfer and technology cooperation, in consultation with relevant stakeholders, with a view to foster dialogue between technology holders and prospective users through, inter alia, the application of ways and means to ensure:
(a) Effective linkages with existing national, regional and international information systems;
(b) Accessibility and adaptability of such systems by indigenous and local communities and all relevant stakeholders;
(c) Information on local needs for adaptation, and related capacity, to be effectively channeled into national systems
Main actors: Parties to the Convention on Biological Diversity, in consultation with relevant national stakeholders, with support by relevant organizations and well as with support from GEF and from relevant international funding organizations as appropriate
Timeline for implementation: the ninth meeting of the Conference of the Parties
Operational target 4: Promote the development of regional and international information systems to facilitate technology transfer and technological cooperation
Activities:
Main actors: Relevant organizations and stakeholders with support by national, regional and international donors, and by national governments with support from GEF and from relevant international funding organizations as appropriate
Main actor: the Secretariat of the Convention on Biological Diversity with input from Parties and in cooperation with relevant organizations as appropriate with support from GEF and from relevant international funding organizations as appropriate
Timeline for implementation: the eighth meeting of the Conference of the Parties, then ongoing
Main actor: Parties in cooperation with the Secretariat of the Convention, relevant organizations as appropriate, and with support from GEF as well as from relevant international funding organizations as appropriate
Timeline for implementation: ongoing
PROGRAMME ELEMENT 3: CREATING ENABLING ENVIRONMENTS
Creating enabling environments refers to activities of governments at national and international levels that aim to create an institutional, administrative, legislative and policy environment conducive to private and public sector technology transfer and to the absorption of transferred technology, and that aim to remove technical, legislative and administrative barriers to technology transfer and technology absorption, inconsistent with international law. Multi-faceted enabling environments in both developed and developing countries are a necessary tool to promote and facilitate the successful and sustainable transfer of technologies for the purpose of the Convention on Biological Diversity. Such government activities may, inter alia, focus on: national institutions for research and technology innovation; legal and institutional underpinnings of technology markets both at national and international levels; and legislative institutions that introduce codes and standards, reduce risk and protect intellectual property rights, whenever they may be inconsistent with international law.
Objective: To identify and put in place institutional, administrative, legislative and policy frameworks conducive to private and public sector technology transfer and cooperation, taking also into account existing work of relevant international organizations and initiatives.
Operational target 1: Development of guidance and advice for the application of options on measures and mechanisms to facilitate access to and transfer of technologies in the public domain and to proprietary technologies of relevance for the Convention on Biological Diversity, and to foster technology cooperation
Activities:
3.1.1. Preparation of technical studies that further explore and analyse the role of intellectual property rights in technology transfer in the context of the Convention on Biological Diversity and identify potential options to increase synergy and overcome barriers to technology transfer and cooperation, consistent with paragraph 44 of the Johannesburg Plan of Implementation
Main actors: Secretariat of the Convention on Biological Diversity, WIPO and other relevant organizations;
Timeline for implementation: the eighth meeting of the Conference of the Parties
3.1.2. Compilation and synthesis of information and preparation of guidance on institutional, administrative, legislative and policy frameworks that facilitate access to, adaptation and absorption of technologies in the public domain and to proprietary technologies, especially by developing countries and countries with economies in transition, and in particular, on measures and mechanisms that:
(a) Foster an enabling environment in developing countries for cooperation as well as the transfer, absorption and diffusion of relevant technologies;
(b) Provide, in accordance with existing international obligations, incentives to private-sector actors as well as public research institutions in developed country Parties, to encourage cooperation and transfer of technologies to developing countries, through, e.g., technology transfer programmes or joint-ventures;
(c) Promote and advance priority access for Parties to the results and benefits arising from technologies based upon genetic resources provided by those Parties, in accordance with Article 19. 2 of the Convention, and to promote the effective participation in related technological research by those Parties;
(d) Promote innovative approaches and means of technology transfer and cooperation such as Type 2 partnerships, in accordance with the outcome of the World Summit on Sustainable Development, or transfers among actors.
Main actor: the Secretariat of the Convention on Biological Diversity, assisted by the AHTEG on Technology transfer and cooperation and based on input from Parties and relevant international organizations
Timeline for implementation: the eighth meeting of the Conference of the Parties, then ongoing
Operational target 2: Development and implementation of national institutional, administrative, legislative and policy frameworks to facilitate cooperation, as well as access to, adaptation, and absorption of technologies in the public domain and to proprietary technologies of relevance for the Convention on Biological Diversity, and to foster technical and scientific cooperation, as consistent with national priorities and existing international obligations
Main actors: national governments in collaboration with relevant national and international stakeholder, with support of relevant international organization as well as with support from GEF, from relevant international funding organizations and the Secretariat as appropriate
Activities:
Phase I (preparatory phase):
3.2.1. Identification of relevant stakeholders and sources on information
3.2.2. Design and implement mechanisms for effective stakeholder involvement and participation;
3.2.3. As appropriate, review, in collaboration with relevant stakeholders, existing policies and programmes and identify possible impediments to the transfer of technology of relevance for the Convention on Biological Diversity, capacity-building needs and priority areas for policy action. The study should also identify the necessary steps, if any, to improve accordingly national biodiversity strategy and action plans, national research and technology strategies and other policy planning tools;
3.2.4 Identify and support community-based opportunities and initiatives for the development of sustainable livelihood technologies for local application and facilitate the pursuit of those opportunities at the local community level.
Timeline for implementation: the eighth meeting of the Conference of the Parties, with further reviews as appropriate
Phase II
Consistent with relevant international obligations and national priorities, and in synergy with activities foreseen under the programme areas and cross-cutting issues of the Convention:
3.2.5. Implementation of institutional, administrative, legislative and policy measures and mechanisms to foster an enabling environment in developing countries and countries with economies in transition that would facilitate access to, adaptation and absorption of relevant technologies, and that would provide north-south and south-south cooperation;
3.2.6 Adoption of legal and regulatory frameworks where appropriate and provision of incentives to private-sector actors as well as public research institutions in developed country Parties, with a view to encourage the transfer of technologies to developing countries and countries with economies in transition;
3.2.7 Encourage and facilitate community-to-community sharing and transferring of knowledge and technologies through such means as community personnel exchanges, workshops and publications;
3.2.8 Promotion and advancement of priority access for Parties to the results and benefits arising from technologies based upon genetic resources provided by those Parties, in accordance with Article 19, paragraph 2, of the Convention, and to promote the effective participation in related technological research by those Parties;
3.2.9 Encouragement of joint research programmes with associated jointly held patents or other protection of intellectual property rights as well as other mechanisms to facilitate transfer of technologies that make use of genetic resources
3.2.10 Promotion of cooperation and technology transfer through innovative approaches such as type 2 partnerships or transfers among actors
3.2.11 Strengthening of national research institutions for the adaptation and further development of imported technologies, consistent with their transfer agreement and international law, as well as the development and use of environmentally sound technologies;
3.2.12 Dissemination of related experiences at national and international levels.
Timeline for implementation: the ninth meeting of the Conference of the Parties, then ongoing review as appropriate
PROGRAMME ELEMENT 4: CAPACITY-BUILDING AND ENHANCEMENT
The building or enhancement of technical, scientific, institutional and administrative capacity is an issue of cross-cutting importance for the effective and timely conduct of technology assessments, for the building and strengthening of national or regional technology information systems and for the creation of enabling environments for technology transfer and cooperation. Activities under this programme element should build on existing initiatives and programmes, for instance, under other conventions and international agreements, with a view to maximize synergies and avoid the duplication of work. The long-term benefits arising from technology transfer should be understood as investments by relevant institutions and initiatives.
Objective: Technical, scientific, institutional and administrative capacity is adequate for the effective cooperation, transfer, diffusion and absorption of technology as well as technical and scientific cooperation.
Operational target 1: Technical, scientific, institutional and administrative capacity is adequate for the effective and timely conduct of national technology assessments
Activities:
Main actors: International, regional and national organizations and funds as appropriate
Timeline for implementation: ongoing, starting at the seventh meeting of the Conference of the Parties
Operational target 2: Technical, scientific, institutional and administrative capacity is adequate for the development or strengthening and effective operation of national, regional and international information systems for technology transfer and technology cooperation of relevance for the Convention on Biological Diversity
Activities
Main actors: Developing country Parties and Parties with economies in transition, in collaboration with relevant national and international stakeholder and with support of relevant international organization as appropriate as well as with support from GEF and relevant international funding organizations
Timeline for implementation: the eighth meeting of the Conference of the Parties
4.2.2 Financial and technical support as well as training is provided to improve the capacity of national systems of information gathering and dissemination with regard to needs and opportunities for technology transfer, in particular with regard to capacity for the effective application and use of electronic information technologies, in full synergy with existing initiatives and programmes
Main actors: GEF, international, regional and national organizations and funds as appropriate
Timeline for implementation: ongoing, starting at the eighth meeting of the Conference of the Parties
Operational target 3: Technical, scientific, institutional and administrative capacity is adequate for the review of national policies and programmes and the identification of barriers for the transfer of technology of relevance for the Convention on Biological Diversity, capacity-building needs and priority areas for policy action.
Activities:
4.3 Financial and technical support and training is provided by relevant international, regional and national organizations and initiatives as appropriate for the building or enhancement of capacity for the review of existing policies and programmes and the identification of possible impediments to cooperation and the transfer of technology of relevance for the Convention on Biological Diversity, of capacity-building needs and priority areas for policy action.
Main actors: Developing country Parties and Parties with economies in transition, in collaboration with relevant national and international stakeholder and with support of relevant international organization as appropriate as well as with support from GEF and from relevant international funding organizations
Timeline for implementation: the eighth meeting of the Conference of the Parties, then ongoing
Operational target 4: Technical, scientific, institutional and administrative capacity is adequate for the implementation of measures and mechanisms that create an environment conducive to private and public sector technology transfer and cooperation, and to the absorption of transferred technology
4.4 Based on needs and priorities identified by countries, financial and technical support and training is provided by relevant international, regional and national organizations and initiatives as appropriate to foster enabling environments for technology transfer and cooperation, and in particular with regard to:
(a) Building policy, legal, judicial and administrative capacity;
(b) Facilitating access to relevant proprietary technologies, consistent with Article 16.2;
(c) Providing other financial and non-financial incentives for the diffusion of relevant technologies;
(e) Building capacities of, and empowering, relevant stakeholders, especially indigenous and local communities, with respect to access to and use of relevant technologies;
(f) Providing financial and technical support and training to improve the capacity of developing countries and countries with economies in transition national research institutions for the development of technologies as well as for adaptation, dissemination and the further development of imported technologies consistent with their transfer agreement and international law including through fellowships and international exchange programmes;
(g) Supporting the development and operation of regional or international initiatives to assist technology transfer and cooperation as well as scientific and technical cooperation, particularly those initiatives designed to facilitate south-south cooperation and south-south joint development of new technologies
Main actors: GEF, international, regional and national organizations and funds as appropriate
Timeline for implementation: ongoing, starting at the seventh meeting of the Conference of the Parties
