IP/C/W/616/Add.7 24 April 2017 (17-2201) Page

146 Pages·2017·1.28 MB·English

IP/C/W/616/Add.7

24 April 2017
(17-2201) Page: 1/146
Council for Trade-Related Aspects of Original: English
Intellectual Property Rights

REPORT ON THE IMPLEMENTATION OF ARTICLE 66.2
OF THE TRIPS AGREEMENT
EUROPEAN UNION
Addendum
The following communication, dated 17 November 2016, was received from the delegation of the
European Union1. It reports on activities pursuant to paragraph 1 of the Decision on the
Implementation of Article 66.2 of the TRIPS Agreement (IP/C/28) by the European Union, as well
as certain of its member States (Austria, Denmark, Estonia, Finland, France, Ireland, Spain,
Sweden and the United Kingdom). This document constitutes a new detailed report with
information on the implementation of Article 66.2 of the TRIPS Agreement.

_______________

I. GENERAL REMARKS
This document is circulated in accordance with the Decision of the Council for TRIPS of
19 February 2003, according to which developed country Members shall submit annually reports
on actions taken or planned in pursuance of their commitments under Article 66.2 (incentives
provided to their enterprises or institutions for the purpose of promoting and encouraging
technology transfer to least-developed country Members).

As agreed in the Council for TRIPS, this document is a detailed report on technology transfer
incentives put in place by the EU and its Member States.

II. SCOPE AND NATURE OF INFORMATION PROVIDED
Technology transfer refers here to the ways and means through which companies, individuals and
organizations acquire technology or know-how from third parties, whether such technology is
IPR-protected or not (i.e. including confidential know-how).

There are several types of technologies as well as several channels of transmission. Indeed, the
acquisition by least-developed countries (LDCs) of a sound and viable technological base does not
depend solely on the provision of physical objects or equipment, but also on the acquisition of
know-how, on management and production skills, on improved access to knowledge sources as
well as on adaptation to local economic, social and cultural conditions.

It is clear that the private – and particularly the commercial – sector is nowadays the main source
of technologies and, in this context; technology transfer is often one component of a more
complex project, rather than a stand-alone activity. Indeed, there are technology transfer aspects
in many projects that go under the label of 'technical assistance'. Most projects that deal with
sectors such as energy, water, agriculture, governance and infrastructure contain transfer of
know-how and technology.

1 This document replaces the original submission made on 13 October 2016, which was circulated as a
room document (RD/IPD/12) at the TRIPS Council's meeting of 8 November 2016.
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In their efforts to encourage and promote technology transfer, developed country governments are
usually limited by two factors: (1) they do not own the vast majority of such technologies;
(2) they cannot force the private sector to transfer its technologies.

Incentives can therefore only take the form of encouragement, promotion and facilitation of
projects which are part of a global and comprehensive approach to development.

Technology transfer is considered to include training, education and "know-how." Transfer of
know-how is therefore also contained in projects that deal with education. In addition to formal
TT channels such as the transfer or licensing of IP rights and/or know-how, there are several -
equally important - informal TT channels such the hiring of new university graduates, exchanges of
qualified staff, joint research projects; or specific projects related to foreign direct investment
(quite often, technology transfer is one component of more complex projects, rather than a
stand-alone activity). Moreover, access to the right partners, information and expertise are key at
all stages.

Finally, it should be borne in mind that no technology transfer program is specifically dedicated to
least developed countries as such. EU initiatives are usually specific to countries/groups of
countries/regions, since the EU strongly supports regional integration, which fosters better
understanding and political and economic links between neighbouring countries. Consequently,
some countries, which are not LDCs, also appear on the list, but under the "Targeted LDC
Members" point it is clarified which are LDCs and which are not. However, the EU's approach to the
allocation of aid and incentives pays particular attention to the situation of the least developed and
other low income countries.
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III. EUROPEAN UNION
THE LOWER MEKONG REGION
1. Title of project/programme: Addressing ecosystem challenges through the support to the
Climate Change Adaptation Initiative (CCAI) of the Mekong River Commission (MRC)
http://www.cc.cec/EUROPEAID/cris/saisie/decision/decision.cfm?action=showfromlist&key=23089

2. Policy objective and/or purpose: Cambodia, Lao PDR, Thailand and Viet Nam, the four
countries of the Lower Mekong Basin (LMB) are recognized as among the most vulnerable
countries to climate change in the world because they rely heavily of natural resources and have
low capacity to deal with climate change impacts. There is a high demand for better understanding
of the potential impacts from climate change and variability and in particular the options for
adaptation to these changes. The scope of the Climate Change Adaptation Initiative (CCAI) is
climate change impact assessment and adaptation planning and implementation of adaptation
interventions. It is cross-cutting touching on almost every aspects of water management (flood
and drought, irrigation, hydropower development, etc.) and includes institutional, planning,
environmental and socio-economic issues, as well as coping strategies including building resilience
and enhancing adaptive capacity. A major result is the adaptation of a regional climate change
adaption strategy and action plan.

3. Government agencies or institutions eligible in the provision of incentives for
technology transfer in developed member: the Mekong River Commission.

4. Enterprises or other institutions eligible for incentives in LDCs (Transferor):

5. Targeted LDC Members (Transferee): Lao PDR and Cambodia. Not LDC beneficiaries;
Thailand and Viet Nam.

6. Type of incentives measures for technology transfer: Use of knowledge in national
adaptation strategies submitted to COP 21.

7. Field or sector of technology transfer activities: Climate change adaptation measures.

8. Type of technology transferred: Know-how, best practises, climate change adaptation pilot
schemes.

9. Expected output related to technology transfer: Continued and broader geographical use.

10. Outcomes/impact: Increased capacity; improved national strategies for climate change
adaptation, a regional climate change adaptation strategy and action plan.

11. Budget or funds allocated: €5 million

12. Duration 5 years (2012-2017)

13. Status: Under implementation

14. Contact point for information: [email protected]

ASEAN MEMBER STATES
1. Title of project/programme: EU-ASEAN Project on the Protection of Intellectual Property
Rights.

2. Policy objective and/or purpose: The specific objective is ''to support ASEAN regional
integration and further upgrade and harmonize the systems for IP creation, protection,
administration and enforcement in the ASEAN region, in line with international IP standards and
with the ASEAN IPR Action Plan 2011-2015''.
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Improving the capacity of the productive sector in the ASEAN region, especially small and medium
sized enterprises (SMEs), to create, protect and manage their own brands by using IP as a tool for
development, in line with Strategic Goal 3 of the ASEAN IPR Action Plan 2011-2015. The activities
envisaged under this project component are grouped in five activity clusters, focusing on the
following areas: (a) Enhancing SME; (b) Capacity Building of IP Professionals; (c) Information
Tools for IP Users; (d) Enhanced Use of GIs as a Marketing Tool; (e) Creative ASEAN.

3. Government agencies or institutions eligible in the provision of incentives for
technology transfer in developed member: ASEAN Secretariat; ASEAN IPOs.

4. Enterprises or other institutions eligible for incentives in LDCs (Transferor): ASEAN
IPOs in Cambodia, Lao PDR and Myanmar and SMEs.

5. Targeted LDC Members (Transferee): Myanmar, Cambodia and Lao PDR.

6. Type of incentives measures for technology transfer: Strengthening the capacity of the IP
administrations in the ASEAN countries to deliver quality registration services and enhancing the
enforcement of IP rights in the ASEAN region. Enhancing the legal and policy frameworks enabling
the participation of the ASEAN countries in the global protection systems for brands at the
appropriate time. Improving the capacity of the productive sector in the ASEAN region, especially
Small and Medium Sized enterprises (SMEs), to create, protect and manage their own brands by
using IP as a tool for development. Enhancing IP integration within the ASEAN region and
strengthening IP collaboration among the ASEAN Member States and with the ASEAN Secretariat.

7. Field or sector of technology transfer activities: IPRs.

8. Type of technology transferred: Know-how, best practices, legal and regulatory framework,
ICT tools/databases.

9. Expected output related to technology transfer: proper registration services in ASEAN;
enforcement of IP rights in the ASEAN region so the ASEAN countries can participate in the global
protection systems for brands; ASEAN SMEs can create, protect and manage their own brands.

10. Outcomes/impact: increased capacity; improved national regulatory framework on IPRs:
support to the implementation of the ASEAN IPR Plan.

11. Budget or funds allocated: €4.5 million

12. Duration: 5 years (2012-2017)

13. Status: Under implementation, closing phase.

14. Contact point for information: [email protected]

CAMBODIA, LAO PEPOLES'S DEMOCRATIC REPUBLIC
1. Title of project/programme: Sustaining and Enhancing the Momentum for Innovation and
Learning around the System of Rice Intensification (SRI) in the Lower Mekong River Basin.

2. Policy objective and/or purpose: To contribute to enhance resilience of rainfed farmers of
LMB region confronting climate change. To increase crop yield, productivity and profitability on
sustainable basis at smallholders' farmers' field in rainfed areas of LMB region.

3. Government agencies or institutions eligible in the provision of incentives for
technology transfer in developed member: ASEAN Secretariat; ASEAN IPOs

4. Enterprises or other institutions eligible for incentives in LDCs (Transferor):
Government agencies at national and local/district level, academia and Rainfed smallholder
farming households and communities and their local organizations.
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5. Targeted LDC Members (Transferee): Cambodia and Lao PDR. Not LDC beneficiaries:
Thailand and Viet Nam.

6. Type of incentives measures for technology transfer: Increased crop yield, productivity
and profitability on sustainable basis at smallholders farmers' field in rainfed areas of LMB region.

7. Field or sector of technology transfer activities: Sustainable agriculture

8. Type of technology transferred: Know-how, best practises, better national policies;
research-extension capacity strengthened.

9. Expected output related to technology transfer: Science-based, pro poor profitable crop
management practices developed, demonstrated and disseminated on larger scale in 4 LMB
countries; co-generated knowledge and learning disseminated and pro-poor policy briefs with
emphasis on women and landless developed and shared with policy makers; national research-
extension capacity strengthened and training capacity of farmer trainers, national trainers and
local, involved in smallholder farmer extension programme, improved.

10. Outcomes/impact: Increased capacity; innovative agro-ecologically-based crop
management practices; System of Rice Intensification embedded in national policies; higher yields,
higher net returns, and less inputs used ensuring food security and resilience to climate change in
rainfed areas.

11. Budget or funds allocated: €2.9 million

12. Duration: 5 years (2012-2017)

13. Status: Under implementation.

14. Contact point for information: [email protected]

ASEAN
1. Title of project/programme: ASEAN Air Transport Integration Project (AATIP) - Contract
No. 295-925

2. Policy objective and/or purpose: AATIP will facilitate the development of the institutional
frameworks to strengthen institution capacities within ASEAN with a view to support the
achievement of a safe, secure, and sustainable ASEAN Single Aviation Market, based on high
regulatory standard.

3. Government agencies or institutions eligible in the provision of incentives for
technology transfer in developed member: EU-ASEAN Technical Cooperation Programmes

4. Enterprises or other institutions eligible for incentives in LDCs (Transferor):
Implementing Body:

 European Aviation Safety Agency (EASA)
 Consortium members from EU Member States are:
 EUROCONTROL
 The UK Civil Aviation Authority
 French DGAC (Civil Aviation Authority)
5. Targeted LDC Members (Transferee):

 ASEAN Secretariat
 ASEAN Member States' Civil Aviation Authorities
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6. Type of incentives measures for technology transfer:

 Institutional development and capacity building
 Legislative framework
7. Field or sector of technology transfer activities: Civil aviation

8. Type of technology transferred:

 Awareness and impact of Single Aviation Market
 Process to develop future mutual recognition of certificates, approvals and licence
9. Expected output related to technology transfer:

 Harmonized ASEAN Air Traffic Management Master Plan
 Procedures of ASEAN Aviation Regulatory Monitoring System
 Term of Reference of ASEAN Foreign Operators Safety Assessment
10. Outcomes/impact:

 Preparation for the ASEAN Single Aviation Market
 Strengthen capacity of the ASEAN Secretariat and ASEAN Member States Authorities
11. Budget or funds allocated: total EC contribution: €4.7 million

12. Duration: 2012-2016

13. Status: Project will end in November 2016 and the next phase of this EU-ASEAN cooperation
in civil aviation will resume in 2017.

14. Contact point for information: [email protected], EU Delegation to Thailand

_______________

1. Title of project/programme: Promotion and Deployment of energy efficient air conditioners
in ASEAN (under SWITCH-Asia Programme)

2. Policy objective and/or purpose: To increase the market share of higher efficient Air
Conditioners (ACs) in ASEAN through harmonization of test methods and energy efficiency (EE)
standards, adoption of common Minimum Energy Performance Standards (MEPS), and changing
consumer purchasing attitudes in favour of energy efficient ACs. The Action will therefore result in
a market transformation in favour of higher efficient ACs across the ASEAN region, which will
materialize progressively after the end of the Action.

3. Government agencies or institutions eligible in the provision of incentives for
technology transfer in developed member: ASEAN Center for Energy (ACE), ASEAN
Secretariat, Energy Division, Prime Minister's Office (Brunei Darussalam); Ministry of Industry and
Energy (Cambodia); Ministry of Energy and Mineral Resources (Indonesia); Ministry of Energy and
Mines (Lao PDR); Ministry of Industry No.2 (Myanmar); Department of Energy (the Philippines);
Energy Market Authority (Singapore); Department of Alternative Energy Development and
Efficiency (DEDE) (Thailand); Ministry of Trade and Industry (Viet Nam).

4. Enterprises or other institutions eligible for incentives in LDCs (Transferor): Grant
contract: European Copper Institute, with partners:

 United Nations Environment Programme - Division of Technology, Industry and
Economics (DTIE), Energy Branch
 Copper Development Center South East Asia
 Electrical and Electronics Institute, Thailand
 SIRIM QAS International, Malaysia
 Integrated Institute of Electrical Engineers, the Philippines
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 Research Center for Energy and Environment, Viet Nam

5. Targeted LDC Members (Transferee): Cambodia, Lao PDR, Myanmar. Not LDC Members:
Indonesia, Malaysia, the Philippines, Thailand, Viet Nam.

6. Type of incentives measures for technology transfer: Capacity building / training /
workshop / study visit.

7. Field or sector of technology transfer activities: Air conditioners (ACs)

8. Type of technology transferred: Minimum Energy Performance Standards (MEPS), Test
methods, EE.

9. Expected output related to technology transfer:

 The standards for testing methods related to the energy performance of ACs are
harmonized in ASEAN.
 Energy Performance Standards developed and harmonized in ASEAN countries and a
regional policy roadmap for MEPS and HEPS adopted at the ASEAN level.
 National policy roadmaps for increase of MEPS developed and adopted in 8 ASEAN
countries.
 ASEAN domestic AC manufacturers increase their production/commercialization of higher
efficiency ACs.
10. Outcomes/impact:

 Reduction in the electricity consumption from the residential sector against business-as-
usual scenario by 5,373 GWh per year, to be achieved within 3 years after the end of the
Action;
 A corresponding reduction in GHG emissions in the magnitude of 2.7 million tonnes of
CO2 per year, to be achieved within 3 years after the end of the Action.
 Consumers in ASEAN are educated on the economic benefits of higher efficient ACs and
change their purchasing behaviour in favour of higher efficiency ACs.
 Increased market share of higher efficient ACs in ASEAN through harmonization of test
methods and energy efficiency (EE) standards, adoption of common Minimum Energy
Performance Standards (MEPS), and changing consumer purchasing attitudes in favour
of energy efficient ACs.

11. Budget or funds allocated: €1,749,000

12. Duration: 29/12/2012-26/12/2016

13. Status: Ongoing, entering into the final phase of implementation

14. Contact point for information: [email protected]

_______________

1. Title of project/programme: Sustainable Freight and Logistics in the Mekong Region (SFL
Mekong) (under SWITCH-Asia Programme)

2. Policy objective and/or purpose: To increase sustainable freight and logistics in the Mekong
Region, specifically:

 To improve fuel-efficiency by better management, cooperation, and driving behaviours in
the Mekong region.
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 To improve the safety of dangerous goods transport within the Mekong region.
 To increase access to finance for SME in the logistics sector in greening and freight and
logistics.
 To promote modal shift, labelling, and other SCP incentive measures in freight, transport
and logistics.

3. Government agencies or institutions eligible in the provision of incentives for
technology transfer in developed member: Ministry of Transport in the 5 targeted countries,
SMEs, Associations, networks.

4. Enterprises or other institutions eligible for incentives in LDCs (Transferor): Grant
contract: European Copper Institute, with partners: Mekong Institute; Greater Mekong Sub-region
Business Forum (GMS-BF) / Greater Mekong Sub-region Freight Transport Association
(GMS-FRETA).

5. Targeted LDC Members (Transferee): Cambodia, Lao PDR, Myanmar. Not LDC Members:
Viet Nam (CLMV) and Thailand.

6. Type of incentives measures for technology transfer: Capacity
building/training/workshop/study visit.

7. Field or sector of technology transfer activities: Freight/transportation

8. Type of technology transferred:

 "Fuel efficiency": capacity building/training - implement measures to increase fuel
efficiency to 500 micro and small freight and logistics companies
 "Safety of DG transport": Introduce guidelines for dangerous goods transport to
administrative bodies and companies. Facilitate cross-border agreements and train on
safety of DG transport.
 "Access to Finance": Support green loan initiatives and develop investment plans
 "Awareness & Policy Actions": Support awareness and policy actions

9. Expected output related to technology transfer:

 Fuel efficiency measures are introduced to at least 500 companies
 Guidelines for dangerous goods (DG) transport are in place in relevant administrations in
CMLV following the Thai example.
 80 companies are trained on dangerous goods transport and draft agreements on safety
standards of cross-border DG transport.
 30 investment plans have been developed for micro and SMEs for selected larger
measures derived from WP1 and WP2.
 Green freight labelling criteria introduced, recommendations to improve selected feasible
SCP incentives and other policy actions.

10. Outcomes/impact: (expected)

 Fuel efficiency is improved in at least 400 micro and SMEs.
 Dangerous goods transport is improved via at least 80 SMEs.
 Investment for fuel efficiency and safety measures has increased.
 Larger SMEs are in the process of green freight labelling and improved SCP promoting
incentives and regulations in the transport sector focusing on higher fuel-efficiency and
safety.

11. Budget or funds allocated: € 2,040,000

12. Duration: 01/02/2016-31/01/2019 (36 months)

13. Status: Ongoing, first year of implementation

14. Contact point for information: [email protected]
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COMOROS
1. Title of project/programme: Creation of six photovoltaic micro-grids in rural areas of the
island of Moheli, Comoros
2. CRIS number: FED: 2011/232-482
3. Policy objective and/or purpose: Renewable energy electrification of six villages on the
island of Moheli to meet household, social and economic needs.
Project rationale: Electricity coverage in the Union of the Comoros is still insufficient and
inefficient, combined with strong external energy dependency, linked to the importation of
petroleum products (the largest item in the country's import bill). The national electricity
generation and distribution company (MAMWE) – a public industrial and commercial establishment
(EPIC) – hopes to expand its subscriber network while diversifying its power generation in favour
of cheaper and greener renewable energies.
The decision to invest in the installation of six photovoltaic micro-plants in the west of Moheli is
explained as follows:
inhabitants of the western region of the island of Moheli do not have access to electricity
because of a complete lack of networks;
solar energy is widely available in these tropical islands;
the use of solar energy reinforces the green agenda of this rural, agricultural region, located
in the protected area of the marine park, which is home to a preserved biodiversity;
access to electricity should allow support for the development of wealth-generating
economic activities (agro-processing, tourism, etc.).
At the end of 2015, the project was refocused in order to adapt it to changes in:
demographic and socio-economic data, thereby satisfying demand quantified as being above
the initial offer; and
photovoltaic power generation technology, now directed towards injecting greener power
into the grid – with limited battery storage in isolated circuits – and in line with the current
strategy to expand the local electrical network.
The project therefore now involves the entry into service of two pilot photovoltaic generation
plants – including a "demonstration" micro-plant in the form of a parking shelter at the regional
headquarters of MAMWE, and a main production site in the rural area to inject power into the
network – coupled with an expansion of the medium- and low-voltage electricity grid, for the
benefit of eight villages in the Moheli marine park.
This project comes with:
a component for capacity building at MAMWE – setting in motion its first photovoltaic plant
to inject into the network, the transfer of skills being ensured by experienced technical
assistance;
a component for outreach to the local population on photovoltaic energy and the workings of
the plant;
a component to secure the electricity supply of several key infrastructures / notably the
installation of solar street lamps.
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4. Government agencies or institutions eligible in the provision of incentives for
technology transfer in developed member: The enterprise awarded the contract to supply and
install the plants in the eight villages and install the network.
5. Enterprises or other institutions eligible for incentives in LDCs (Transferor): MAMWE,
which is a public industrial and commercial establishment.
6. Targeted LDC Members (Transferee): Comoros
7. Type of incentives measures for technology transfer: Grant contract under the Energy
Facility.
8. Field or sector of technology transfer activities: Renewable energies
9. Type of technology transferred: Photovoltaic energy
10. Expected output related to technology transfer: Electrification and connection of
eight villages on Moheli to the network.
11. Outcomes/impact: Improved living standards for the population of these eight villages /
long-term reduction in the national energy bill and mitigation of MAMWE's carbon emissions.
12. Budget or funds allocated: €2,283,000
13. Duration: 60 months from November 2012
14. Status: In progress
15. Contact point for information: Cellule d'Appui à l'Ordonnateur National des Comores.

LESOTHO
1. Title of project/programme: Technical Assistance for Integrated Catchment Management
CRIS 366084.

2. Policy objective and/or purpose: Contribute towards effective implementation of Integrated
Catchment Management in Lesotho through an improved coordination among relevant
stakeholders in line with the Long-term Water and Sanitation Strategy through setting-up a
framework for a coordinated approach in catchment management activities; support the
implementation of Integrated Catchment Management through the delineation of catchments and
development of a first pilot catchment management plan; identification of relevant stakeholders in
integrated catchment management and set up a plan and road map for the implementation of
future catchment management plans.

3. Government agencies or institutions eligible in the provision of incentives for
technology transfer in developed member: Department of Water Affairs of Ministry of Water

4. Enterprises or other institutions eligible for incentives in LDCs (Transferor) Note: what
is meant with this? Same actually applied for c., nowhere explained.

5. Targeted LDC Members (Transferee): Same

6. Type of incentives measures for technology transfer: Same

7. Field or sector of technology transfer activities: Integrated Catchment Management /
Integrated Water Resources Management

8. Type of technology transferred: knowledge on Integrated Catchment Management /
Integrated Water Resources Management