WORLD TRADE  
ORGANIZATION   
IP/C/W/580/Add.6  
1 November 2012 
 (12-6015) 
Council for Trade-Related Aspects of 
Intellectual Property Rights Original:   English 
 
 
REPORT ON THE IMPLEMENTATION OF ARTICLE 66.2 
OF THE TRIPS AGREEMENT 
 
UNITED STATES 
 
Addendum 
 
 
 The following communication, dated 23 October 2012, is being circulated at the request of 
the delegation of the United States. 
_______________ 
 
TABLE OF CONTENTS 
 
I.  INTRODUCTION .................................................................................................................. .. 3 
II.  GENERAL TECHNOLOGY TR ANSFER PROGRAMMES .............................................. 4  
A.  FEDERAL LABORATORY CONSORTIUM FOR TECHNOLOGY TRANSFER  ....................................... 4  
B.  "STARTUP AMERICA " INITIATIVE  ................................................................................................ 4  
III. INCENTIVES RELATED TO THE ENVIRONMENT ....................................................... 4  
A.  US ROLE IN FORESTRY RESOURCE MANAGEMENT  ....................................................................... 4  
B.  US ROLE IN ESTABLISHMENT OF THE CLEAN TECHNOLOGY FUND  .............................................. 6  
C.  COPENHAGEN ACCORD CLIMATE CHANGE -RELATED TECHNOLOGY TRANSFER  ...................... 7  
D.  GREENHOUSE GAS INVENTORY IMPROVEMENT PROJECT  .......................................................... 7  
E.  PRIVATE FINANCING ADVISORY NETWORK  ............................................................................... 7  
F.  CLIMATE CHANGE TECHNOLOGIES INVESTMENT INDEX  ........................................................... 7  
G.  GLOBAL ALLIANCE FOR CLEAN COOKSTOVES  ........................................................................... 8  
IV.  INCENTIVES RELATED TO HEALTH TECHNOLOGIES:  US NATIONAL 
INSTITUTES OF HEALTH TECHNOLOGY TRANSFER AND CAPACITY BUILDING ACTIVITIES ........................................................................................................ 8  
A. 
HIV/AIDS CLINICAL TRIALS NETWOR KS AND CLINICAL TRIAL UNITS (CTUS ) AND 
CLINICAL RESEARCH SITES (CRSS ) .............................................................................................. 9  
B.  MULTILATERAL INITIATIVE ON MALARIA (MIM) ...................................................................... 9  
C.  NIH  INFECTIOUS DISEASE RESEARCH FOCUS IN AFRICA  ........................................................... 9  
D.  NIH  RESEARCH TRAINING PROGRAMMES FOR LOW AND MIDDLE INCOME 
DEVELOPING COUNTRIES  .......................................................................................................... 10  
E.  TECHNOLOGY LICENCES . .......................................................................................................... 10  
V.  INCENTIVES FOR US INVESTMENT IN AFRICA ........................................................ 12  
A.  BILATERAL INVESTMENT TREATIES  ......................................................................................... 12  
B.  TRADE AND INVESTMENT FRAMEWORK AGREEMENTS  ............................................................ 12  IP/C/W/580/Add.6  
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  C.  O
VERSEAS PRIVATE INVESTMENT CORPORATION  (OPIC):   MOBILIZING PRIVATE 
INVESTMENT IN EMERGING MARKETS  ...................................................................................... 13  
D.  AFRICAN GROWTH AND OPPORTUNITY ACT  ............................................................................. 13  
E.  THE GENERALIZED SYSTEM OF PREFERENCES  ......................................................................... 14  
VI.  NATIONAL SCIENCE FOUNDATION (NSF) PROGRAMMES .................................... 14  
VII. US DEPARTMENT OF STATE PROGRAMMES ............................................................. 15  
A.  SCIENCE AND TECHNOLOGY AGREEMENTS  .............................................................................. 15  
B.  SPECIAL SELF-HELP PROGRAMME  ............................................................................................ 15  
C.  OPEN SKIES AGREEMENTS  ........................................................................................................ 15  
D.  BIOTECH OUTREACH  ................................................................................................................. 15  
E.  THE SECRETARY 'S AWARD FOR CORPORATE EXCELLENCE  ....................................................... 16  
VIII. US DEPARTMENT OF COMMERCE PROGRAMMES ................................................. 17  
A.  INTERNATIONAL TRADE ADMINISTRATION  .............................................................................. 17  
B.  SMALL BUSINESS TOOLS  .......................................................................................................... 17  
C.  COMMERCIAL LAW DEVELOPMENT PROGRAMME  ................................................................... 17  
D.  NATIONAL INSTITUTE OF STANDARDS AND TECHNOLOGY  ....................................................... 20  
IX.  TRADE CAPACITY BUILDING IN LEAST DEVELOPED COUNTRIES ................... 21  
X.  MILLENNIUM CHALLENGE CORPORATION ............................................................. 21  
XI.  US TRADE AND DEVELOPMENT AGENCY .................................................................. 22  
XII. US DEPARTMENT OF TRANSPORTATION ................................................................... 22  
XIII. US DEPARTMENT OF AGRICULTURE (USDA) ............................................................ 23  
A.  TECHNOLOGY TRANSFER REPORTING OF THE USDA ................................................................ 23  
B.  US NATIONAL PLANT GERMPLASM SYSTEM (NPGS):   TECHNOLOGY TRANSFER IN 
THE FORM OF GERMPLASM AND RELATED INFORMATION  ....................................................... 24  
XIV. US AGENCY FOR INTERNATI ONAL DEVELOPMENT .............................................. 25  
A.  AFRICAN GLOBAL COMPETITIVENESS INITIATIVE  .................................................................... 26  
B.  FEED THE FUTURE  ..................................................................................................................... 26  
C.  USAID  GLOBAL DEVELOPMENT ALLIANCE (GDA) ................................................................ 27  
D.  USAID  GLOBAL BROADBAND AND INNOVATIONS (GBI) ........................................................ 27  
E.  USAID  WEST AFRICA POWER POOL ........................................................................................ 28  
F.  USAID' S SOUTH ASIA REGIONAL INITIATIVE FOR ENERGY (SARI/E NERGY ) ......................... 29  
G.  CORAL TRIANGLE INITIATIVE ON FOOD SECURITY , CORAL REEFS AND CLIMATE 
CHANGE  .............................................................................................................................. ...... 29 
H.  CONSULTATIVE GROUP ON INTERNATIONAL AGRICULTURAL RESEARCH  ............................... 29  
I.  SUPPORT FOR BIOTECHNOLOGY  ............................................................................................... 30  
J.  PROGRAMME FOR BIOSAFETY SYSTEMS  ................................................................................... 31  
K.  SOUTH ASIA BIOSAFETY PROGRAMME  ..................................................................................... 31  
L.  AGRICULTURAL BIOTECHNOLOGY SUPPORT PROGRAMME II .................................................. 31  
M.  AFRICAN AGRICULTURAL TECHNOLOGY FOUNDATION  ........................................................... 31  
XV. US PATENT AND TRADEMARK OFFICE PROGRAMMES ........................................ 31  
A.  GLOBAL INTELLECTUAL PROPERTY ACADEMY  ........................................................................ 31  
B.  PATENTS FOR HUMANITY PILOT PROGRAMME  ......................................................................... 32  
XVI. TECHNOLOGY TRANSFER FROM  US UNIVERSITIES .............................................. 32   IP/C/W/580/Add.6  
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I. INTRODUCTION 
1. The United States is committed to continually e nhancing its activities relevant to Article 66.2 
of the TRIPS Agreement, and reporting these activiti es, in keeping with the guidelines established in 
the TRIPS Council's Decision of 20 February 2003.   Consistent with this decision, developed 
countries are to provide a detailed report every three years. 
2. The intellectual property (IP), trade capacity, tr aining, development assistance, financing, and 
infrastructure-related programmes described in this report are integral elements of the United States 
Government's efforts to help LDCs create the cond itions essential to encourage the effective transfer 
of technology to LDC Members.  No report can d escribe every activity of the US Government that 
directly or indirectly promotes and encourages tec hnology transfer to LDCs, but this report attempts 
to describe the most significant activities and programmes.  
3. The United States government spends about US $35 billion annually on research conducted by 
federally operated laboratories, as well as by fe derally funded research a nd development centres 
(FFRDCs).  A significant portion of that research results in inventions or findings that contribute to 
the development of new technologies and processes.  Commercialization of these outputs can yield 
economic and social benefits that increase returns on  the taxpayer investment in federal research and 
development. 
4. The myriad of technology transfer-related pr ogrammes sponsored by US Government entities 
provide several insights to the US approach to t echnology transfer.  First, the primary driver for 
technology transfer from the United States is the pr ivate sector, and many US programmes help LDCs 
to create the necessary conditions fo r the private sector to have confidence to invest in LDCs, export 
new technologies to LDCs, and develop new te chnologies in collaboration with LDCs.  These 
conditions include among othe rs, rule of law, good governance, r espect for intellectual property rights 
(IPR), and government investments in education, he alth, and infrastructure.  Second, there is no one 
best method of technology transfer.  The United Stat es involves many parts of the Government in the 
effort to transfer technology, transferring some te chnology directly with p ublications, workshops and 
technical assistance, and invites partnerships w ith the private sector to further disseminate and 
develop technology.  Third, along with programme s directly supported by the US Government, the 
US tax system, which allows taxpayers to make tax exempt donations to non-profit organizations, 
contributes towards technology transfer in the form of foregone taxes.  For example, non-profit organizations, such as the Gates Foundation and US uni versities, play an important role in facilitating 
technology transfer to LDCs.  Finally, a major source of technology transfer from the United States to 
LDCs is our institutions of higher education where students from LDCs not only learn state-of-the-art 
skills but absorb an understanding of the important role that rule of law, good governance, IPR and 
limited government intervention in the economy play in creating the conditions necessary for entrepreneurship, innovation and the utilization of new technologies to address the needs of their 
home countries. 
5. The United States continues to believe that th e effective functioning of Article 66.2 of the 
TRIPS Agreement requires a robust dialogue between developed and LDC Members in order to target 
incentives in a way that is most responsive to the self-identified t echnology transfer interests and 
needs of LDC Members.  The United States appreci ates the efforts of the TRIPS Secretariat and 
Member states to organize discussions among the Member states regarding Article 66.2 
implementation. IP/C/W/580/Add.6  
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  II. GENERAL TECHNOLOGY TRANSFER PROGRAMMES 
A. F
EDERAL LABORATORY CONSORTIUM FOR TECHNOLOGY TRANSFER  
6. Technology transfer can be most effective when  the technology is requested by an individual 
or company that will be using the technology.  The Federal Laboratory Consortium for Technology 
Transfer (FLC) plays a key role in providing in formation about technologies that are available for 
licensing.  See http://www.federallabs.org/available_technologies .  FLC is a nationwide network of 
federal laboratories that provides the forum to develop strategies and opportunities for linking 
laboratory mission technologies and expertise with the marketplace.  The FLC was organized in 1974 and formally chartered by the Federal Technology Transfer Act of 1986 to promote and strengthen 
technology transfer nationwide.  Today, approxim ately 300 federal laboratories and centres and their 
parent departments and agencies are FLC memb ers.  The FLC promotes technical cooperation 
between the federal laboratories in the United Stat es and large and small businesses, academia, state 
and local governments, and federal agencies.  Furt hermore, the FLC collaborates with local, state, 
regional and national organizations  that promote technical coopera tion, and works to improve the 
effectiveness of individual a nd organizational efforts in technology transfer through training, 
recognition, awards and evaluation.  Moreover, the FLC encourages technology transfer and seeks 
partners not only in the United States, but all around the world. 
B. "S
TARTUP AMERICA " INITIATIVE1 
7. "Startup America" fosters innovation by increasing the rate of technology transfer and the 
economic and societal impact from Federal research  and development (R&D) investments.  This is 
accomplished by committing each executive department  and agency (agency) that conducts R&D to 
improve the results from its technology transfer a nd commercialization activities.  Central to being 
able to transfer technology is aw areness that the technology is available.  In order to convey this 
information, all publicly available federally owne d inventions and, when available, licensing 
agreements are required to be listed on a public government database.  Furthermore, government 
agencies are required to take steps to enhance suc cessful technology innovation networks by fostering 
increased Federal laboratory engagement with ex ternal partners, including universities, industry 
consortia, economic development entities, and Stat e and local governments.  By promoting best 
practices in technology transfer and increased networ k, the United States is promoting a culture of 
technology transfer and collaboration, thereby incr easing the sharing of technological information and 
facilitating the transfer of technology, which wi ll lead to new technologies being available to 
developing countries to absorb. 
III. INCENTIVES RELATED TO THE ENVIRONMENT   
A. US ROLE IN FORESTRY RESOURCE MANAGEMENT  
8. The US Forest Service (USFS) and the Internati onal Union of Forest Research Organizations 
(IUFRO) signed a partnership agreement on 8 May 2009 with the objective to enhance the 
contribution of forest science to international forest-related policy processes and implementation of 
sustainable forest resource management, particular ly in economically disadvantaged countries. Two 
significant objectives of the agreement are both related to technology transfer.  The first is to strengthen national forest research systems in Africa , Asia and Latin America,  particularly through 
capacity development, scientist assistance and ins titution building.  The second is to support IUFRO’s 
global initiatives on mobilizing and disseminating for est-related information th rough modern Internet-
based information and communication technologies.  
                                                      
1 " http://www.whitehouse.gov/the-press-office/ 2011/10/28/presidential-memorandum-
accelerating-technology-transfer-and-commerciali "  IP/C/W/580/Add.6  
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  (a) Support to the forest science community in developing countries 
9. The IUFRO has a long history in providing su pport to the forest science community in 
developing countries in Africa, Asia and Latin Ameri ca.  Over the past 25 years, IUFRO with funding 
from the international donor community has implem ented various capacity building activities through 
its Special Programme for Developing Countries (IUFRO-SPDC).  These activities are intended to 
facilitate implementation of sound forest manage ment policies and practices on the ground through 
the generation and dissemination of quality research r esults on forests and trees.  Over the past six 
years, IUFRO-SPDC’s capacity building activities have concentrated on assisting forest research 
institutions in partner developing countries to e ffectively contribute to shaping national and local 
forest policies and sustainable forest management systems.  
10. The activities to be financed from the USFS a llocation in 2012/2013 mainly focus on Africa, 
as IUFRO will organize its first IUFRO-FORNESSA Regional Congress in Africa in 2012. To this 
end, an expanded scientist assistance programme will  be implemented in or der to support around 80 
forest researchers from African countries (i.e. na tional forest research organizations and forest 
universities) to participate in this congress.  It is  expected that the congress will bring together a total 
of 300 forest scientists from Africa and overseas to discuss pressing issues related to the conservation 
and management of African forests and trees, such as forests and climate change, forest biodiversity 
conservation, and energy and food security.  In conjunction with the congress, the International 
Tropical Timber Organization (ITTO) and the African Forest Forum (AFF) will hold a "Forest Policy Day" aiming at bringing together forest researcher s and policy-makers, thus further contributing to 
enhancing science-policy interactions in Africa.  Ca pacity building will also partially be financed 
through this grant, particularly the following two training workshops which are organized in 
conjunction with the African Congress: (a) Preparing and writing research proposals; and (b) Communicating forest research:  making science work for policy and management. 
11. With the acquisition of two major research ne tworking and dissemination projects, one in 
Africa funded by the International Tropical Timb er Organization (ITTO) and another one in Latin 
America financed by the European Commission,  IUFRO-SPDC is expanding its support to regional 
partner networks.  Although the main funding fo r these projects is provided by ITTO and the EC, 
IUFRO requires the provision of its own resources at  a level of 30 per cent of total project costs, 
which will be covered by the USFS allocation.  The main focus of the projects is as follows: 
12. The ITTO-REDDES Project "Strengthening the capacity of ITTO producer countries in 
generating and disseminating scientific informat ion on Reducing Deforestation and Forest 
Degradation and Enhancing Envir onmental Services from Forests in Africa" aims at generating 
scientific information on specific pilot areas in  Cameroon, Ghana, Liberia and Nigeria, and 
disseminating this information to policymakers and forest practitioners at the national and regional 
level through science-policy interactions in clo se cooperation with the African Forest Forum (AFF). 
Project activities over a period of two years (2012-2013)  include broad assessments of the pilot sites, 
stakeholder meetings and dissemination of resu lts through policy briefs and other information 
products. 
13. The EC-EcoAdapt Project "Ecosystem-based st rategies and innovations in water governance-
networks for adaptation to climate change in  Latin American landscapes" is an undertaking 
(2012-2014) on capacity building for interdisciplin ary action research on adaptation of forests to 
climate change with a focus on wise utilization of wa ter resources.  Partners in the project include 
CATIE, CIRAD, Stockholm Environment Institute – Oxford, and 16 local organizations in Latin 
America (mainly Model Forests, universities etc.).  IUFRO contributes to workshops with scientists 
and local stakeholders, learning events and the provision of scientific information. IP/C/W/580/Add.6  
Page 6  
 
  (b) Supporting information services and knowledge dissemination 
14. The United States also supports the provision of information services to scientists and 
policymakers with a special focus on developing countries through the Global Forest Information 
Service (GFIS).  GFIS provides a framework for sharing forest-relate d data and information through a 
single gateway at http://www.gfis.net .  It promotes the dissemination and sharing of forest 
information and knowledge among the global fo restry community by developing common 
information exchange platform, building capacity  and enhancing partnerships among forestry 
information providers and users.  The information resources accessible through GFIS are freely available, and provide direct access to the original information.  
15. Cognizant of the opportunities gained in scientif ic information dissemination and exchange, 
the Forestry Research Network of Sub-Saharan Africa (FORNESSA), together with its strategic 
partner IUFRO found it necessary to initiate and s upport efforts towards establishing an online 
FORNESSA Information Service (FORNIS – http://www.fornis.net ) as a gateway for African 
scientists to showcase their contributions towards the achievement of the global objectives on forests.  
The information service supports information and know ledge sharing and facilitates an efficient and 
effective flow of scientific information amongst researchers, research institutions, policymakers, 
forest industry and forest communities.  Based on the promising results of the first phase of FORNIS, the activities in 2011/2012 contribute to the furthe r development of FORNIS , including partnership 
and web site development.  
16. In a world where information is rapidly produ ced, shared and updated, it is essential that 
students are well-equipped to access the latest resour ces and actively participate in this exchange. 
While many forestry professionals rely on the GFIS Internet gateway to access key resources, GFIS 
aims to expand its education index to cater more to students than ever before.  The US Forest Service 
allocation will contribute to these efforts of IU FRO towards improving the quality, relevance and 
most importantly, accessibility, of available forestry  education information in collaboration with the 
International Partnership for Forestry Education (IPFE). 
17. The IUFRO Strategy 2010-2014 emphasizes the need to increase the visibility of science-
based research findings by enhancing communica tion within IUFRO, with other scientists and 
students, as well as with stakeholders and the gene ral public.  In order to respond to this need 
articulated in the IUFRO Strategy, a set of we b-based communication and information tools and 
services addressing key issues and emerging themes will be developed on basis of the unique 
expertise of GFIS. 
B. 
US ROLE IN ESTABLISHMENT OF THE CLEAN TECHNOLOGY FUND  
18. The Clean Technology Fund (CTF) is a multilatera l, multi-billion dollar effort to reduce the 
growth of greenhouse gas emissions in developing co untries by helping to finance the additional costs 
of deploying commercially-availabl e cleaner technologies over conventional alternatives.  The CTF 
provides financial incentives for cleaner projects that leverage development bank  financing and attract 
new investor capital into low carbon sectors.  To re ceive funding, developing countries must develop 
national investment plans that stimulate low carbon growth and the scalable uptake of clean technologies.  The United States is also a contributor  to the Strategic Climate Fund (SCF), its Forest 
Investment Programme, the Pilot Programme for Climate Resilience (PPCR) and the Programme for Scaling-Up Renewable Energy in Low Income Countries (SREP).  The SREP focusses on deploying renewable energy to increase energy access in Ethiopia, Honduras, Kenya, Maldives, Mali, Nepal and 
Tanzania.  The PPCR is assisting 18 countries, in cluding small island states and other countries 
vulnerable to changing climatic conditions.  IP/C/W/580/Add.6  
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  C. COPENHAGEN ACCORD CLIMATE CHANGE -RELATED TECHNOLOGY TRANSFER  
19. In connection with the December 2009 Copenhagen Fifteenth Conference of the Parties of the 
UNFCCC, the United States made a major commitmen t to promote climate change-related technology 
transfer.  (For an exhaustive analysis of the ai d the United States is providing for climate change 
work, see  "US Climate Action Report 2010 Fifth National Communication of the United States of 
America under the United Nations Framework Conven tion on Climate Change," particularly Chapter 
7.)  Although much of this assistance is availabl e to "developing countries", which is a broader group 
of countries than "Least Developed Countries (LDCs)", LDCs will receive much of this aid.   
20. The Copenhagen Accord contains a commitment by developed countries to provide 
approximately US$30 billion in "fast start" fina nce to meet mitigation and adaptation needs of 
developing countries.  The United States is committed to  providing its share of fast start finance.  On 
16 December 2009, President Obama signed the Cons olidated Appropriations Act, 2010, which more 
than tripled US climate-related foreign assistance fro m the previous fiscal year (FY), to approximately 
US$1.3 billion.  The FY2010 enacted budget included a new US contribution of US$30 million to the Least Developed Country Fund (LDCF) and US$20 million to the Special Climate Change Fund 
(SCCF), both under the UNFCCC.  The United States is providing US$375 million for the World 
Bank-managed Climate Investment Funds and has s ubstantially increased climate finance provided 
through the US Agency for International Developm ent (USAID), with an emphasis on Africa, Asia 
and small island developing states (SIDS) – most LDCs are in these regions.   
D. G
REENHOUSE GAS INVENTORY IMPROVEMENT PROJECT  
21. Building on a previous successful partnership with seven nations of Central America, USAID 
and the Environmental Protection Agency (EPA) are continuing support to countries in Southeast 
Asia, and beginning work in Africa, to build capacity for compiling national greenhouse gas (GHG) 
inventories.  The project focusses on developing lo ng-term national inventory management systems, 
improving the methods and data used in the agricu lture and the land use change and forestry sectors, 
and training regional experts.  Currently, direct assi stance is being provided in collaboration with the 
UNFCCC Secretariat to Cambodia, as well as to several other least developed and developing 
countries in the region.  The project is also fu rther refining the Agriculture and Land Use (ALU) 
software which helps governments easily and accu rately complete their national greenhouse gas 
inventories for the land use, forestry and agriculture sectors. 
E. PRIVATE FINANCING ADVISORY NETWORK  
22. Initiated by the Climate Technology Initiative (C TI) and supported by USAID, the Private 
Financing Advisory Network (CTI PFAN) is a mu ltilateral public-private pa rtnership that nurtures 
promising, innovative clean and renewable energy projects by bridging the gap between investors and clean energy entrepreneurs and project develope rs.  CTI PFAN brings together private sector 
companies with experience in financing climate -friendly projects and technologies to screen business 
plans and select the most economically viable and environmentally beneficial projects.  For those 
entrepreneurs and businesses selected, CTI PFAN provi des guidance on feasibility, project structure, 
investment and financing, business plan preparation,  and introductions to investors.  CTI PFAN works 
through regional networks in Latin America, Asia , Eastern Europe, and Africa and through dedicated 
in-country networks in several countries, for exam ple in Indonesia, the Philippines, Mozambique and 
Uganda. 
F. C
LIMATE CHANGE TECHNOLOGIES INVESTMENT INDEX  
23. USAID is partnering with the World Bank to develop a new investment index for climate-
friendly technologies, the Climate Change Technologies Investment Index (CCTII).  CCTII's goal is IP/C/W/580/Add.6  
Page 8  
 
  to provide useful information to the public and priv ate sectors on the various national-level barriers to 
low-carbon technology deployment and investment a nd how well countries are performing in terms of 
the policies, institutions, laws, and regulations (inc luding enforcement) that contribute to an enabling 
environment for private investment.  The CCTII w ill build on existing measures, such as the World 
Bank's Doing Business Index, while identifying sect or-specific barriers and incentives.  The CCTII 
will also guide donors and developing country govern ments towards concrete measures for improving 
the enabling environment for private sector inv estments in clean technologies.  The CCTII was 
initially piloted in South Asia and will be ex tended to other regions in future years. 
G. G
LOBAL ALLIANCE FOR CLEAN COOKSTOVES  
24. In September 2010, US Secretary of State Clinton announced the Global Alliance for Clean 
Cookstoves, a public-private partnership led by the United Nations Foundation to save lives, improve 
livelihoods, empower women, and combat climate change by creating a thriving global market for 
clean and efficient household cooking solutions. Th e Alliance’s 100 by 20 goal calls for 100 million 
homes to adopt clean and efficient stoves and fuels by 2020.  Today the Alliance has nearly 400 partners. The World Health Organization (WHO) estim ates that, of the nearly 2 million annual deaths 
associated with exposure to cookstove smoke each y ear, roughly one quarter occurs in each of Sub-
Saharan Africa, China, India and the rest of the world.  Also according to WHO, out of the 23 
countries in the world where cookstoves represent mo re than 4 per cent of the national burden of 
disease, 21 are in Africa. 
25. The United States Government has committed up to US$112 million to the Alliance over five 
years.  Participating US agencies include the State Department, the Environmental Protection Agency, 
the Department of Energy, the Department of He alth and Human Services (National Institutes of 
Health (NIH), Centres for Disease Control and Prevention), the Overseas Private Investment 
Corporation, the Peace Corps, and USAID.  The US  Government is mobiliz ing financial resources, 
providing top-level US experts, a nd leveraging research a nd development tools to help the Alliance 
achieve its 100 by 20 target.  The US Departme nt of Agriculture and the National Oceanic and 
Atmospheric Administration are also supporting this effort with technical expertise.  This is a 
significant example of technology transfer to address one of the world’s pressing health, economic, and environmental problems. 
IV. INCENTIVES RELATED TO HEALTH TECHNOLOGIES:  US NATIONAL 
INSTITUTES OF HEALTH TECHNOLOGY TRANSFER AND CAPACITY BUILDING ACTIVITIES 
26. Biomedical and behavioural research funding activ ities of the NIH, an agency within the US 
Department of Health and Human Services, have contributed to technology transfer and capacity 
building in several LDCs.  For new technologies deve loped by scientists at the NIH and the Food and 
Drug Administration (FDA), the NIH licenses biological  materials and associated patent rights, when 
applicable, to institutions that have the capability of bringing products to the market in or for LDCs.  
In addition, scientists often provide know-how to those who receive biological materials, such as 
vaccine seed strains with specialized growth requi rements.  Most of these technologies are associated 
with vaccines for diseases such as dengue, rotavirus, Hib, HPV,  typhoid, meningococcal, varicella-
zoster and HIV.  This technology transfer pe rmits the building of manufacturing capacity and 
associated skill sets in developing countries that also serve the needs of LDCs by providing access to 
vaccines that meet their public h ealth needs.  These activities, whic h have been reported in previous 
versions of this report, are ongoing and continue to be a major part of the activities of the NIH.    IP/C/W/580/Add.6  
 Page 9 
 
 
  A. HIV/AIDS CLINICAL TRIALS NETWORKS AND CLINICAL TRIAL UNITS (CTUS ) AND CLINICAL 
RESEARCH SITES (CRSS ) 
27. The NIH funded HIV/AIDS Clinical Trials Netw orks and their CTU/CRS will pursue clinical 
trials to address the highest priorities in HIV/AI DS research, including:  (a) vaccine research and 
development;  (b) translational research/drug develo pment;  (c) optimization of clinical management, 
including co-morbidities;  (d) microbicides;  (e) pr evention of mother-to-child transmission of HIV;  
and (f) prevention of HIV infection.  Under th ese programmes, collaborative basic and clinical 
research is carried out between researchers worldwide, including in Africa, Asia, Europe, South America, and the United States.  These research a nd training programmes support the development of 
basic and clinical research skill sets in developing countries, the building of infrastructures to support 
the development of new drugs and vaccines, and the exchange of scientific knowledge world-wide, 
including better understanding in more developed co untries of needs in developing countries.    
B. M
ULTILATERAL INITIATIVE ON MALARIA (MIM)   
28. NIH, together with the Special Programme for Training and Research in Tropical Diseases 
(TDR) located at the WHO, co-founded the MIM in 1997 and has supported its activities in LDCs and 
elsewhere since then.  MIM's mission is to in crease and enhance worldwide research on malaria by 
facilitating multinational research cooperation.  NIH h as also established malaria research facilities in 
Mali and Ghana and has trained local scientists a nd physicians to conduct malaria research from 
within endemic countries, including those in several LDCs in Africa. 
C. NIH  INFECTIOUS DISEASE RESEARCH FOCUS IN AFRICA   
29. NIH supports and has funded research activities in 26 African countries, including the 
following WTO LDC Member countries in Africa:  Benin, Burkina Faso, Central African Republic, 
the Dem. Rep. of the Congo, The Gambia, Madaga scar, Malawi, Mali, Rwa nda, Senegal, Tanzania, 
Uganda and Zambia.  These research activities contri bute directly to the strengthening of research 
capacity in these countries, thereby enhancing prosp ects for further transfer of technology in the 
future. 
30. HIV/AIDS, tuberculosis, and malaria cause millions of deaths each year.  These three 
diseases are a major cause of poverty through their debilitating impact on the active workforce, and 
significantly affect economic development and stabilit y of the region.  NIH's National Institute of 
Allergy and Infectious Diseases (NIAID) supports HIV/AIDS research in ma ny African countries, 
with most projects conducted in areas with the hi ghest incidence of infection and disease, namely 
Botswana, Kenya, Malawi, Rwanda, South Africa, Zambia, and Zimbab we.  The recent emergence of 
multidrug-resistant tuberculosis (MDR TB) and exte nsively drug-resistant tuberculosis (XDR TB), 
especially in the context of HIV/AIDS infectio n, is being addressed by NIAID-funded projects 
conducted in Tanzania and Uganda, as well as in Sout h Africa.  Malaria remains a major threat, and 
NIAID conducts clinical, epidemiological, drug, a nd vaccine and vector research in African LDC 
countries such as Burkina Faso, Cameroon, The Ga mbia, Malawi, Mali, Senegal, Tanzania, and 
Uganda.  
31. Neglected diseases such as filariasis, schistoso miasis, sleeping sickness, and others are 
receiving renewed attention, with NIAID projects in  Malawi, as well as in Kenya and South Africa.  
NIAID supported a major pneumococcal vaccine trial in The Gambia that was 77 per cent effective in 
preventing pneumococcal infections caused by th e vaccine serotypes.  NIAID recently supported a 
clinical trial in Madagascar that demonstrated equi valence of azithromycin and benzathine penicillin 
(the current standard) for treatment of early syph ilis.  Almost all NIH-supported research has helped 
not only in training in state-of-the-art research t echniques and conduct of clinical trials to African IP/C/W/580/Add.6  
Page 10  
 
  LDCs, but also in capacity building for researchers, so that they may better address infectious diseases 
endemic to their respective countries. 
D. NIH
 RESEARCH TRAINING PROGRAMMES FOR LOW AND MIDDLE INCOME DEVELOPING 
COUNTRIES   
32. NIH's Fogarty International Centre runs several research training programmes that include 
training for LDC biomedical researchers and rese arch institutions and contribute to technology 
transfer and capacity building in LDCs.  Among these are the AIDS International Training and Research Programme (AITRP), the Global Infec tious Disease Research Training Programme (GID), 
and the International Clinical, Operational and H ealth Services Research and Training Award for 
AIDS and Tuberculosis (ICOHRTA-AIDS/TB).  Th e AITRP programme includes researchers from 
Bangladesh, Cambodia, Haiti, Lesotho, Malawi, Mo zambique, Rwanda, Senega l, Tanzania, Uganda, 
Zambia, and Zimbabwe.  The GID helps to tr ain researchers from Bangladesh, Tanzania, Mali, 
Malawi, Uganda, Cameroon, Cambodia, Senegal,  and Papua New Guinea, among others.  The 
ICOHRTA-AIDS/TB programme trai ns researchers from Haiti, Ug anda, and Zimbabwe and has 
provided funds for planning grants in Mala wi, Tanzania, and Botswana, and elsewhere. 
33. NIH's Fogarty International Centre, along with 11 NIH Institutes and Offices, also supports a 
"Global Research Initiative Programme for New Foreign Investigators (GRIP)" that promotes 
productive re-entry of NIH-trained foreign investigat ors into their home countries as part of a broader 
programme to enhance the scientific research infra structure in developing countries, to stimulate 
research on a wide variety of high priority health-re lated issues in these countries, and to advance NIH 
efforts to address health issues of global import.  This reverse "brain f light" initiative promotes 
capacity building by providing partial salaries to NIH-trained foreign researchers returning home and 
support for research projects.  The GRIP programme is divided into two components:  Behavioural 
and Social Science; and Basic Science.  Th e programme provides support for researchers 
from Malawi, Tanzania, Uganda a nd several other countries.   
E. T
ECHNOLOGY LICENCES . 
34. The NIH was the first contributor to the Me dicines Patent Pool (MPP) in licensing US 
government-owned patents related to the use of HIV anti-retroviral (ARV) protease inhibitor drugs. 
The MPP promises to enhance access to ARV tr eatment for people living with HIV/AIDS in 
developing countries and enable the development of new combin ations of ARVs and adapted 
formulations for developing countries. The NIH li censed patents resulted from research undertaken by 
the NIH and the University of Illinois at Chicago. The licence is seen as a firs t step for an expected 
ongoing collaboration as NIH’s Office of Technology  Transfer and the MPP consider additional 
potential licence agreements to add other NIH-mana ged patents to the pool for technologies that may 
have potential as new HIV therapeutics. 
35. In 2011, the NIH became a founding contributor and active participant in the World 
Intellectual Property Organization (WIPO) Research  initiative, established to share innovation in the 
fight against neglected tropical diseases (NTDs), malaria, and tuberculosis by providing access to 
intellectual property for pharmaceutical compounds , technologies, know-how and data available for 
research and development for NTDs, malaria and tube rculosis.  On behalf of the NIH and FDA, the 
NIH contributed intellectual property from its intern al research programmes for over 70 technologies.  
These technologies are made available for licensing to help in the development of diagnostics, 
vaccines, and therapeutics to improve public health  in the LDCs.  The initial NIH WIPO Research 
participation effort was highlighted in an Office of Science and Technology Policy (OSTP) blog entry 
on 27 October 2011, noting that the NIH’s participa tion aligns with the Presidential Policy Directive 
on Global Development, which calls for greater e fforts to leverage the power of research and 
development to improve disease treatment.  IP/C/W/580/Add.6  
 Page 11 
 
 
  36. The NIH developed a model licence agreement fo r the transfer and development of NTD, 
HIV, malaria, and tuberculosis technologies to non-profit institutions, incl uding non-governmental 
organizations and public-developmen t partnerships (PDPs).  NIH worked with PDPs and NGOs to 
develop the terms and ensure they were reasonable.   The licence is available to non-profits with a 
demonstrated commitment to diligen ce in providing broad global acces s to technologies, products and 
services consistent with the submission of an acceptable product development plan to bring the 
technology to practical application. 
37. The NIH continued to transfer human-bovine rotavirus technology to new institutions, 
licensing the technology to Chinese companies Sinovac, Beijing Minhai Biotechnology Co. and 
Beijing Xiweike Biotechnology Co., bringing the current total of worldwide licensees to twelve. 
38. The NIH expanded its Chinese licensees, adding Yisheng Biopharma Holdings (Yisheng) and 
Shanghai Institute of Biological Products to its lis t of partners through a first and second licence 
agreement.  Yisheng licensed a varicella-zoster viru s strain for production of chicken pox and shingles 
vaccines in China as well as a te chnology for production of acellular pertussis vaccine for a 
worldwide market.  Shanghai IBP licensed human papillomavirus (HPV) pseudovirion system for 
their internal use in HPV programme. 
39. Furthermore, the NIH licensed biological ma terials to the Company for Vaccine and 
Biological Product Development in Vietnam for pr oduction of a live-attenuated tetravalent dengue 
vaccine for Vietnam only.  The same biological materials, as well as patent rights in Brazil, were also licensed to Fundacao Butantan for Brazil and South America.  A second agreement with the Company 
for Vaccine and Biological Product Development in Vietnam transferred biological materials for the 
development of a HPV vaccine for Vietnam.  
40. Lastly, the NIH completed four licences with Indian Immunologicals.  One licence was for a 
cell line that Indian Immunologicals intends to use for influenza and rabies vaccine production.  The 
A second other agreement was for biological materials to be used in development of a human papillomavirus (HPV) serotype 18 vaccine for sale in India only.  A third agreement transferred 
technology for improved bacterial expression of anti bodies;  this same technology was also licensed 
to Celltrion (Republic of Korea).  Lastly, a f ourth agreement was extended to allow Indian 
Immunologicals to continue to use certain materials in their development of a vaccine. 
41. The NIH has licensed biological materials to Sh antha Biotechnics, Ltd. (India) for use in 
producing a haemophilus influenza type b (Hib) vaccine .  In addition to India, Shantha anticipates 
selling the Hib vaccines in developing world count ries worldwide, including Africa, initially mostly 
through public tenders or tenders to UNICEF a nd WHO.  Shantha also licensed technologies and 
associated biological materials for the manufacture and distribution of a HPV vaccine worldwide, 
including countries eligible for support from GAVI A lliance.  In addition to the Shantha HPV licence, 
the NIH has non-exclusively licen sed the same second generation HPV vaccine technology to three 
companies for worldwide product distribution, including GAVI-eligible countries.  These other 
companies are PaxVax, Sanofi Pasteur and GlaxoSmith Kline.  The NIH will be able to continue to 
license this technology, which includes biological materials for vaccine manufacturing, to other 
interested parties.  
42. In order to facilitate distribution of the HPV vaccine Gardasil® to underserved women in the 
developing world, the NIH has reached an agreemen t with Merck (a licensee of the NIH's patent 
rights covering the vaccine) to incentivize the distri bution of vaccine to these at-risk populations.  The 
arrangement enables Merck to include Gardasil® br oadly in its worldwide tiered-pricing strategy, 
including any donative or not-for-profit transfers to distribution networks, governments or directly to 
individuals in developing world nations.  For this agreement, "developing world" nations are defined 
by the GAVI Alliance, which include many WTO LDC Members.   IP/C/W/580/Add.6  
Page 12  
 
  43. The NIH licensed to Serum Institute of Indi a and Shantha Biotechnics, Ltd. biological 
materials for use in the manufacture of a hepatitis  A vaccine product for distribution worldwide, 
including GAVI-eligible countries.  Wuhan Institu te of Biological Products also licensed the 
biological materials for their internal use. 
44. Two entities licensed technologies related to the development of chicken pox/shingles 
vaccines.  Wuhan Institute of Biological Products and Shantha Biotechnics, Ltd. executed or extended 
agreements with the NIH for access to varicella strains and associated cell lines for their internal 
product development efforts. 
45. Three agreements were executed or extended rela ted to biological materials for development 
of a typhoid vaccine.  Bharat Biotech, Ltd. executed a new agreement for biological materials for their 
internal use in the typhoid vaccine development.   Innovative Biotech, Ltd. (Nigeria) and Novartis 
Vaccines Institute for Global Health both extended existing typhoid vaccine licence agreements for 
commercial development and internal use, respectively. 
46. The NIH extended a licence for biological mate rials to Welson Pharmaceuticals (China) for 
the development of rheumatoid arthritis treatments for China. 
V. INCENTIVES FOR US INVESTMENT IN AFRICA 
A. B
ILATERAL INVESTMENT TREATIES  
47. US Bilateral Investment Treaties (BITs) improve the climate for US investment in the 
economies of our partner countries by advancing im portant reforms and encouraging the adoption of 
policies that facilitate and support foreign investme nt;  however, it is worth noting that technology 
transfers are primarily private sector decisions a nd should not be a pre-condition for investment.  US 
BITs establish a framework of reciprocal protec tions that include non-discriminatory treatment, free 
transfer of investment-related funds, prompt, adequa te, and effective compensat ion in the event of an 
expropriation, limitations on specified performance re quirements, and transparency in governance; 
they also provide investors from each party the right to submit an investment dispute with the 
government of the other party to international arb itration.  These treaties provide important incentives 
for US companies  to  engage  in  foreign  direct  investment  (FDI),  in  joint ventures,  and in other 
forms of investment in partner countries that can lead  to the transfer of technology and  know-how.   
As of June 2012, the United States had signed six BITs  in Sub-Saharan Africa, four of which are with 
WTO LDC Members, including the Dem. Rep. of th e Congo, Senegal, Rwanda and Mozambique.  In 
August 2009, a BIT negotiation between the United States and Mauritius was launched.  More 
recently, in June 2012, the US and the East Afri can Community (EAC) issued a joint statement on 
their Trade and Investment Partnership, which incl uded a statement that the governments have agreed 
to explore a regional investment treaty. 
B. TRADE AND INVESTMENT FRAMEWORK AGREEMENTS  
48. US Trade and Investment Framework Agreements (TIFAs) help enhance trade and 
investment relations between the United States and ke y trade and investment partners.  Over the last 
11 years, the United States has launched 12 trade and investment agreements in Sub-Saharan Africa – 
eight bilateral TIFAs with Angola, Ghana, Nigeri a, Liberia, Mauritius, Mozambique, South Africa 
and Rwanda;  three regional TIFAs with the Co mmon Market for Eastern and Southern Africa 
(COMESA), the East African Community (EAC),  and UEMOA (French acronym for the West 
African Economic and Monetary Union);  and a Trade, Investment, and Development Cooperative 
Agreement (TIDCA) with the five countries of the Southern African Customs Union (SACU).  
Together, these 12 agreements cover 19 WTO LD C Members (Angola, Benin, Burkina Faso, 
Burundi, Dem. Rep. of the Congo, Djibouti, Gu inea Bissau, Lesotho, Madagascar, Malawi, Mali,  IP/C/W/580/Add.6  
 Page 13 
 
 
  Mozambique, Niger, Rwanda, Senegal, Tanzania, T ogo, Uganda and Zambia).  The United States is 
using TIFAs and the TIDCA with sub-Saharan African countries to encourage new trade and 
investment by implementing country- and region-specific strategies that promote trade and investment.   
C. O
VERSEAS PRIVATE INVESTMENT CORPORATION  (OPIC):   MOBILIZING PRIVATE 
INVESTMENT IN EMERGING MARKETS  
49. The Overseas Private Investment Corporation (O PIC) is the US Government’s development 
finance institution that focusses on mobilizing priv ate investment in more than 150 emerging markets 
around the globe.  In doing so, OPIC seeks to open up and expand new markets for American businesses, and new opportunities for the people of de veloping nations.  Working with the private 
sector, OPIC helps US enterprises gain footholds in  emerging markets, catalysing revenues, jobs and 
growth opportunities, both in the United States and abroad.  Specifically, OPIC tailors its products – 
political risk insurance, project debt financing a nd privately-managed investment funds – to support 
the specific needs of a business or project.  OPIC has a history of innovation, flexibility, and responsiveness in mobilizing private investment to achieve US development objectives.  OPIC 
actively partners with both private and public financial institutions, US  and other government 
institutions, as well as other stakeholders.  
50. Over the agency's 40-year history, OPIC h as supported US$200 billion of investment in 
nearly 4,000 development projects.  OPIC focusses on regions that the US considers to be foreign 
policy priorities, national security priorities and de velopment priorities, e.g., the Middle East and 
North Africa, Afghanistan and Pakistan, and Sub- Saharan Africa.  Moreover, OPIC focusses on such 
key sectoral priorities as Renewable Resources/Clean Technology, agribusiness, and 
SME/microfinance.  The agency’s current total portf olio exposure is US$14 billion, of which 66 per 
cent US$9.3 billion is in financing, 17 per cent (US $2.4 billion) is in investment funds, and 17 per 
cent (US$2.3 billion) is in insurance.  OPIC opera tes on a self-sustaining basis at no net cost to the 
American taxpayer.  In FY2010, OPIC contributed  US$352 million to the US federal budget.  Since 
the agency’s creation in 1971, OPIC has genera ted US$5 billion of reserves from its transaction 
earnings.   
51. In October 2009, OPIC issued a call for pr oposals to support President Obama's June 2009 
Cairo Speech.  That "call" launched funds to s upport technological access and innovation in Muslim-
majority countries.  To that end, in June 2010, OP IC’s Board of Directors approved  a total of US$455 
million in financing to support the establishment of five private equity investment funds designed to 
catalyse more than US$2 billion of investment in co mpanies in the Middle East and North Africa.  In 
addition, OPIC’s Board also approved three other f unds as part of that call, including:  (a) up to 
US$150 million for the Capital Alliance Private E quity Limited Fund, which will invest in 
telecommunications, financial services, business servi ces, logistics, electric power and oil and gas 
throughout West Africa; (b)  up to US$75 million for ePlanet Ventures, a private equity investment 
fund designed to invest in companies that coul d utilize technological inno vation to achieve high 
growth in Asia, the Middle East and Africa;  and (c) up to US$100 million to support the Lombard 
Asia Fund, which is designed to invest in technol ogy and telecommunications companies in southeast 
Asia.  In addition, OPIC has recently conduc ted Fund Call for Proposals for both Renewable 
Resources/Clean Technology, and for Impact Investment private fund managers.  
D. A
FRICAN GROWTH AND OPPORTUNITY ACT  
52. The African Growth and Opportunity Act (AGOA), enacted in 2000, has b een at the centre of 
US trade and investment policy toward Sub-Saha ran Africa, which has sought to promote open 
markets, expand US-Africa trade and investment, stimulate economic growth, and facilitate Sub-Saharan Africa's integration into the globa l economy.  AGOA provides incentives to promote IP/C/W/580/Add.6  
Page 14  
 
  economic and political reform and trade expansi on and builds on the US Generalized System of 
Preferences (GSP) programme to provide duty-fr ee access for most of the products produced in 
eligible Sub-Saharan African countries.  The add itional products include valu e-added agricultural and 
manufactured goods such as processed food products, a pparel, and footwear.  Since the enactment of 
AGOA in 2000, the United States h as worked closely with African governments, the private sector, 
and civil society stakeholders to improve AGOA u tilization and to help them make the most of 
AGOA's trade benefits.  The US Government crafted and put into place the regulatory framework for AGOA, actively promoted the programme throughout  Africa, and developed trade capacity building 
programmes to help African governments and firm s identify and develop the market opportunities 
available under AGOA.  AGOA continues to suppor t the efforts of sub-Saharan African countries 
undertaking economic, political, and social reform s and provides incentives for countries considering 
such reforms.   
53. As of July 2011, 37 Sub-Saharan African countries were eligible for AGOA benefits, 
including 20 WTO LDC Members.  Helping AGOA beneficiary countries improve their capacity to trade and to make the most of the opportunities afforded under AGOA has been  a major focus of US 
Technical Capacity Building (TCB) programmes.  AGOA has resulted in a substantial increase in 
two-way US-African trade, with African countri es now exporting a more diverse range of value-
added products to the United States.  Moreover, A frican economies have been using trade benefits 
generated by AGOA to grow their economies and reduce poverty.  The five-year US$200 million African Global Competitiveness Initiative (see Section XIII.A.), is a key element of US TCB in support of AGOA.  The AGCI supports the work of  the four USAID-managed regional Trade Hubs 
for Global Competitiveness located in Gaborone, Bo tswana, Nairobi, Kenya, Accra, Ghana, and 
Dakar, Senegal.  Each Hub is staffed by a team of experts in trade-relate d fields and responds to 
region-specific needs.  
E. T
HE GENERALIZED SYSTEM OF PREFERENCES  
54. In addition to AGOA, the GSP programme provi des duty-free access to the US market for a 
wide range of products from 42 eligible LDC be neficiary countries (out of a total of 129 GSP 
beneficiary countries).  Legal authorization of  the GSP programme has been extended through 
31 July 2013.  The US Administration has been working with the US Congress on legislation to 
reauthorize the programme. 
 
VI. NATIONAL SCIENCE FOUNDATION (NSF) PROGRAMMES 
55. To support basic research that will build a foundation for generating sustainable, science-
based solutions to agricultural problems in de veloping countries, the National Science Foundation 
(NSF) has awarded 15 grants in the inaugural year  of the Basic Research to Enable Agricultural 
Development (BREAD) programme.  The five-year programme is jointly funded with the Bill & 
Melinda Gates Foundation.  Through its partners hip with the Gates Foundation, the NSF awards 
grants to US institutions and their international collaborators to promote novel, creative approaches 
and technologies to address common constraints faced  by small-holder farmers.  Among the grants is 
one to scientists at Pennsylvania State University , the University of Wisconsin-Madison, and the 
Bunda College of Agriculture (Malawi) to explo it a recent discovery that drought tolerance is 
correlated with the development of a unique tissue that allows maize roots to expand in area and 
scavenge for scarce water while minimizing impact on yield.  By identifying the genetic loci 
responsible for this response, the scientists hope to  offer a new approach to development of drought-
tolerant maize.  Other grants will test a novel a pproach to developing cattle that are resistant to 
trypanosomiasis, a deadly cattle disease in Africa that is closely related to sleeping sickness in 
humans;  identify dwarfing genes that will increase yield in wheat under drought stress;  explore the 
use of a special type of black carbon to improve soil fertility and crop yield;  and study genetic  IP/C/W/580/Add.6  
 Page 15 
 
 
  mechanisms in chickpeas as a step  towards improving nitrogen fixati on.  A complete list of 2010 and 
2011 BREAD awards can be accessed at http://www.nsf.gov/bio/pubs/awards/bread10.htm .   
VII. US DEPARTMENT OF STATE PROGRAMMES 
A. SCIENCE AND TECHNOLOGY AGREEMENTS  
56. Recognizing the importance of promoting inte rnational science, technology and innovation 
cooperation to economic growth a nd development, the United States negotiates bilateral Science and 
Technology (S&T) agreements to provide a framewo rk for increased international collaboration by 
US technical agencies that can build  scientific capacity and infrastructure in a wide range of fields 
such as health sciences and public health, wate rshed management, agriculture, environment and 
biodiversity protection, biotechnol ogy, earth sciences, marine sci ence and the development of 
alternative energy sources. These agreements support S&T relationships that also feature bilateral 
engagement activities designed to strengthen our science and technology partners' science education 
systems, build institutional and human resource capacity  and foster appreciation for the role the wider 
innovation ecosystem plays to support technology transfer.  For example, the United States supports programmes that highlight the importance of strengt hening university/private sector linkages to 
commercialize research. 
B. S
PECIAL SELF-HELP PROGRAMME  
57. Another initiative that has a science and technolo gy-related impact is the State Department's 
Special Self-Help (SSH) Programme, which s upports funding of community-based development 
projects that often have a technology transfer comp onent.  Programmes have included installation of 
solar energy panels in community facilities, constr uction of computer laboratories, eco-tourism, and 
others.  The SSH Programme began in 1964 as an expe rimental programme in Togo, and has grown to 
be one of the most visible and successful US assistance programmes in Africa.  In FY2009, 
US$949,749 in SSH funds were granted to projects in WTO LDC Members.  By FY2011, this had 
increased to US$1,527,756 in SSH funds gran ted for 234 projects in WTO LDC Members. 
C. OPEN SKIES AGREEMENTS  
58. Open Skies agreements between the United Stat es and key partner countries have vastly 
expanded international passenger and cargo flights to and from the United States, promoting increased 
travel, trade, and business contacts, enhanci ng productivity, and spurring high-quality job 
opportunities and economic growth.  Open Skies ag reements do this by eliminating government 
interference in the commercial decisions of air carriers about routes, capacity, and pricing, freeing carriers to provide more affordable, convenient, an d efficient air service for consumers.  The United 
States has achieved Open Skies with over 100 partne rs from every region of the world and at every 
level of economic development.  Between 1999 a nd 2012, the United States developed Open Skies 
agreements with 17 LDCs:  Sier ra Leone, Tanzania, Burkina Faso , The Gambia, Rwanda, Benin, 
Senegal, Uganda, Samoa, Madagascar, Maldives (t he Maldives was an LDC when the agreement was 
reached, but is no longer considered an LDC), Ethiopi a, Mali, Chad, Liberia, Lao P.D.R. and Zambia.  
The increased travel, trade, and business contacts pr omoted by expanded air traffic facilitate private-
sector technology transfer.  
D. B
IOTECH OUTREACH  
59. Technology transfer in biotechnology requires that the development and implementation of 
science-based regulatory systems be in place to enable  LDCs to utilize products of the technology.  In 
support of USAID's work in building capacity for le gislative frameworks and regulatory systems, and 
in coordination with the US Department of Ag riculture’s (USDA) Foreign Agricultural Service IP/C/W/580/Add.6  
Page 16  
 
  (FAS), the State Department’s Economic, Energy, and Business Affairs Bureau works directly with 
other countries and with international bodies, like the WTO and APEC, to ensure policies will be 
science-based and transparent, creating the necessary environment for LDCs and the private sector to 
make use of the technology.  Funds have supported outreach prog rammes in many LDCs, including 
regional speakers for a workshop on biotechnology in Ethiopia, speakers to Burkina Faso, and 
cooperative efforts and capacity building workshops on biosafety in the Common Market for Eastern 
and Southern Africa (COMESA) region. 
E. 
THE SECRETARY 'S AWARD FOR CORPORATE EXCELLENCE  
60. The Secretary of State's Award for Corporat e Excellence (ACE), established by the State 
Department in 1999, recognizes the important ro le US businesses play abroad as good corporate 
citizens, including promoting technology transfer, a nd encourages US companies to further corporate 
social responsibility, innovation, exemplary pract ices, and democratic values worldwide.  US 
companies are nominated by Chiefs of Mission worldwide and the winners are chosen by the 
Principals' Award Selection Committee.  In 2011, two of the ACE winners and nearly half the finalists 
for the award were from regions where least-developed countries are prominent.  The ACE winning 
multinational company, Procter & Gamble, was re cognized for the implementation of science and 
technology standards, establishment of sustainable partnerships to establish a network of schools, 
early education programmes and support for orphan ages, and the reduction of its carbon footprint at 
its facilities in Pakistan.  Procter & Gamble also re ceived the ACE for its work in Nigeria to improve 
local communities’ water supply through education and purification technology, support for the health 
and well-being of new and expectant mothers a nd children through mobile clinics, and innovative 
educational programmes for teenage girls.  ACE fi nalists, Cargill and General Motors’, respectively, 
were recognized for their work to address food secur ity issues, improve access to nutritious food in 
India and GM’s efforts to create partnerships with  global organizations to prevent malnutrition in 
infants and children, and contributions to the local market of a skilled labour force in Uzbekistan.  Joy 
Global in South Africa was recognized as a 2011 AC E finalist for using apprenticeship programmes 
that contributed to the development of the local  workforce by providing male and female South 
Africans advanced skills in techni cal, mechanical, and electrical engineering disciplines and fostering 
economic empowerment opportunities for those affected by years of apartheid.   
61. These companies exemplify the transfer of technology to the countries in the South and 
Central Asian and African regions.  In 2010, one of the winners was Mars, Inc., in Ghana.  Mars was 
selected as an ACE winner for its efforts to improve  farming methods in Africa, address education as 
a means to reduce child labour, and promote sust ainability in cocoa growing communities.  These 
practices are transferable to African LDCs.  Mars is  active in giving guidan ce and technical support to 
the Cocoa Livelihoods Programme, w hose membership includes one LDC, Liberia.  In 2009 one of 
the winners was Voila - Communication Cellulaire d'Ha iti (Trilogy International Partners).  Trilogy 
International Partners was chosen for its positiv e impact on the Haitian economy through exemplary 
employment practices and its promotion of edu cation through youth rehabilitation programmes, 
scholarships, internships, computer laboratories, sports, and arts programmes.  In 2008 finalists 
included STM Telecom Sanchar in Nepal for providi ng needed services where others feared to go, 
because of security concerns, for technical training  and contributions to the development of rural 
technology, and for innovative health care progr ammes, and Esso Angola for its public-private 
partnership's efforts in leading the fight against malaria and HIV/AIDS, and for its literacy 
programmes for women and girls.  IP/C/W/580/Add.6  
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  VIII.  US DEPARTMENT OF COMMERCE PROGRAMMES 
A. INTERNATIONAL TRADE ADMINISTRATION  
62. The Department of Commerce's  International Trade Administration (ITA) has supported other 
units within the Department, such as the Commercial Law Development Programme (CLDP), the 
technical assistance arm of the Office of the General Counsel at the Department of Commerce, and 
the US Patent and Trademark Office (USPTO), as well as other US Government agencies to deliver 
IPR technical assistance programmes to LDCs. 
B. SMALL BUSINESS TOOLS  
63. As part of an overall strategy to empower bus inesses, particularly small businesses, to obtain 
and enforce IPR, the US Depa rtment of Commerce in cooperation with other US government 
agencies, continues to enhance its multiple tool s and means of assistance for US small businesses 
doing business abroad.  Small businesses in the Un ited States are often on the cutting edge of new 
technologies.  However, such businesses may be hes itant to export products , make investments or 
form partnerships overseas that involve their latest  technology because of fears that their IPR could be 
violated.  The US Department of Commerce, by teaching small businesses how to protect and defend 
their rights overseas, increases the likelihood that these businesses will be willing to operate overseas, 
including in WTO Member LDCs.   
64. The US Department of Commerce continues to  actively promote these small business tools to 
other countries, because these tools may be useful and applicable to their small businesses.  The US 
Department of Commerce developed a website, STO Pfakes.gov, used by the entire US Government, 
which hosts a number of online resources, incl uding information about key US agencies and 
programmes.  In FY2012, the US Department of Commerce’s International Trade Administration led 
an effort to redesign the website in an effort to make it more user friendly.  STOPfakes.gov also 
contains information on ITA's International Trad e Advisory Programme with the American Bar 
Association, which provides free legal consultati ons on IPR-related matters for businesses investing 
and doing business in WTO LDC Members, as we ll as other countries.  Additionally, the 2010 
expansion of the International Trade Advisory Progr amme to Senegal, Angola,  and Mozambique will 
help US businesses conduct business using their latest technology in those markets.   
65. In addition, many of these tools are available to LDC businesses, which can use them to 
protect their own IP rights.  For example, the IPR Training Module, hosted on the STOPfakes 
website, is available in English, French and Span ish;  the United States encourages LDCs to use the 
module for their small businesses.  The module familia rizes small businesses with IPR.  It explains 
IPR’s relevance to their businesses and how to obtain  and protect IPR in the United States and abroad.  
It also provides links to other similar resources.  WTO Member LDCs and other countries are welcome to use this resource free of charge.  STO Pfakes.gov also serves as a means for reporting IPR 
enforcement issues to the Commerce Departme nt and Federal enforcement authorities. 
C. C
OMMERCIAL LAW DEVELOPMENT PROGRAMME  
66. CLDP provides commercial law technical assist ance to governments and private sectors of 
developing and transitional countries in support of their economic development goals.  Its 
programmes are demand-driven and customized to address priority issues for governments and firms 
interested in doing business in those countries.  CLDP's unique government-to-government approach helps improve legal and regulatory e nvironments, which are essential to  attract foreign investment and 
promote domestic private sector growth.  Strong IPR protection systems, in particular, can help assure 
foreign companies that they can transfer technology without fear that it will be stolen, and can provide IP/C/W/580/Add.6  
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  incentives for domestic innovation.  CLDP condu cted a number of programmes benefitting LDC 
members of the WTO.  Programmes in the three-y ear period of this report are highlighted below. 
IP Workshop for Key Mali Decision Makers :  On 6 and 7 March 2012, CLDP, funded by USAID 
in Mali, in partnership with the African Organiza tion for Intellectual Property (OAPI), and the Malian 
Government (GOM) organized a workshop to familiarize members of the Malian executive, 
legislative and judiciary branches with the benefi ts of integrating IP initiatives in development 
programmes and policies. The workshop focussed on encouraging high-level GOM representatives to 
create a commercial environment in Mali that protects IP rights by presenting (a) the environmental and public health risks associated with the use of counterfeit goods;  and (b) the potential economic 
gains (trade and investment) related to the enforcemen t and use of IP rights, notably in the context of 
fiscal policies and scientific research.  
ECOWAS Regional IP Policy Advisor : In order to provide consistency, efficiency, and 
effectiveness of IP protection in West Africa from a regional perspective, and to enable the 
progressive and sustained elimination of counterfe it and pirated goods from the region’s markets, the 
Economic Community of West Africa States (ECOWA S) is working to develop a regional IP policy 
and set of guidelines for its member states. As su ch, CLDP supported a legislative advisor to assist 
ECOWAS’ legal and trade offices in producing a draft IP Policy and guidelines harmonizing IP protection among the member states that will meet , at a minimum, the standards of the TRIPS 
Agreement and the WIPO Internet Treaties.  
Regional Workshop on Geographic Indications in Cameroon : In continuation of CLDP's 
assistance to the Government of Mali in the development and implementation of geographic 
indications (GI) for Malian products, CLDP s ponsored the participation of three Malian 
representatives in a West Africa regional workshop on geographic indications which took take place 
in Yaoundé, Cameroon from 17-18 November 2011.  Th e workshop was organized by the US Patent 
and Trademark Office (USPTO) in close coordi nation with the African Intellectual Property 
Organization (OAPI), CLDP and Light Years IP. The Malian participants shared Mali’s experience in 
developing a GI, as well as received training on est ablishing and protecting geographic indications 
(GI).  They also had an opportunity to engage in  discussions with OAPI regarding registration of IG 
as well as compare strategies with other particip ants in the region. The workshop assembled 30 
participants from Cameroon, Mali, Chad, Togo , Burkina Faso and the Republic of Congo.  
Training Workshop for Malian Customs to  Prevent the Entry of Counterfeit Goods : CLDP 
organized a workshop in Bamako from 17-19 Oct ober 2011 focussed on improving the skills and 
knowledge of Customs officials involved in enforcem ent of intellectual property rights at the border 
and exposing them to working models of processing counterfeit goods, with an emphasis on 
medicines, vaccines and other public health-re lated products.  The workshop allowed customs 
officials to better identify counterfeited medicine s and other health-relate d products, determine the 
major challenges to improved enforcement of intell ectual property rights at the border and adopt best 
practices to prevent the entry of counterfeits via road transport. 
Workshop on the Role of the Judiciary in the Protection and Enforcement of Intellectual 
Property in East Africa : Kigali, Rwanda, 6-8 June 2011.  CLDP led a three-day workshop to 
increase the skills and knowledge of East African judges in trademarks, copyrights and electronic evidence, so that they might more fairly, consiste ntly, and efficiently adjudicate IP cases in the region. 
Over 70 participants from the East African re gion attended the workshop, including judges and 
magistrates from Burundi, Kenya, Mauritius, Tanzania and Uganda, as well as officials from 
Rwanda’s Supreme Court, Ministry of Trade and Industry, Ministry of Justice, National Public 
Prosecution Authority, Bureau of Standards, and the Rwandan Development Board.  These 
individuals joined with regional practitioners and academics from the National University of Rwanda, 
artists, authors and entrepreneurs for a series of panel discussions, practical exercises and exchanges  IP/C/W/580/Add.6  
 Page 19 
 
 
  of ideas and best practices.  The workshop sought to  increase awareness of the benefits of enhanced 
IP enforcement through the participation of a US federal court judge and a US prosecutor who shared 
their experiences in adjudicating the many prevalen t and difficult issues in trademark, patent and 
copyright matters.  
Workshop on Intellectual Property Issues Related to  Food Safety, Health and the Environment – 
Judges and Customs Officials at the Border:  17-18 May 2011, Bamako, Mali. This joint 
CLDP/USAID workshop brought together 150 Malia n judges, attorneys, customs officials, 
prosecutors and other law enforcement agents to discuss, understand and develop best practices to 
resolve the challenges West African nations in genera l, and Mali in particular, face in terms of public 
health, food safety and environment, as a result of counterfeiting. The workshop was designed to 
further develop the quality of IPR enforcement in Mali by:  (a) enhancing the knowledge and capacity 
of customs, police and other law enforcement agen ts in charge of IPR enforcement;  (b) increasing 
cooperation between the various law enforcement agen cies in Mali and West Africa;  and (c) creating 
a framework of harmonized cooperation in regard  to the procedures and communication between 
Malian Customs, Ministry of Justice and police, so as to better identify and prevent the entry of 
counterfeited goods in Mali.    
Assisting Mali in the Registration of a Geographic Mark in the United States : In May 2011, 
CLDP created and distributed to Ma lian stakeholders its guide to regi stering a geographic mark in the 
United States. This guide was designed jointly with  the USPTO to serve as a reference document for 
shallot producers in Mali applying for registrati on of their geographic mark as a certification 
trademark, collective mark or trademark with  the USPTO.  The guide provided a broad and 
comprehensive overview of the procedures involved in the application process, potential problems 
Malian shallot producers may face and how to resolve them as well as practical information on maintaining a mark once the USPTO has registered the mark.  The document has also been shared 
with the African Intellectual Property Organization (OAPI) to be disseminated and used among its 15 
member countries, 12 of which are LDCs. 
The Enforcement of Intellectual Property Rights  in Kenya: An Interagency Approach with 
Private Sector Coordination,  Nairobi, Kenya, 17-20 May 2011.  This interagency effort was a 
collaboration between CLDP, ITA, the Office of Intellectual Property Rights (OIPR) and the US Patent and Trademark Office (all of which are pa rt of the US Department  of Commerce), the US 
Departments of Justice, Homeland Security, and Stat e, and the US Embassy in Nairobi in conjunction 
with Kenya's Anti-Counterfeit Agency (ACA), the Kenya Copyright Board (KeCoBo), and the Kenya 
Industrial Property Institute (KIPI).  Best practic es in interagency collaboration on IPR enforcement 
were shared among the 100 participants, including IP  administrative and enforcement officials from 
Kenya, as well as private sector stakeholders from across the region.  Officials from the governments 
of Burundi, Rwanda, Tanzania, Uganda, and the East  African Community also participated in the 
programme as observers.  The ACA and the Kenyan  partner agencies discussed the mechanisms and 
procedures for cooperation, collaboration, and comm unication necessary for an effective interagency 
approach to fighting trade in counterfeit and pi rated goods.  19-20 May sessions worked towards the 
development of a public/private partnership to comb at IPR violations in Kenya, including testimony 
from the private sector on IP issues.  Work shop recommendations in support of increased 
coordination included a proposed memorandum of understanding between the ACA and its sister 
organizations, as well as the determination for setting in place mechanisms of public-private 
partnership on IPR enforcement.  
Senegal IPR Seminar - Judiciary Training : Dakar, Senegal, 21-23 September 2010: The US 
Department of Commerce's International Trad e Administration, Commercial Law Development 
Programme, and the Patent and Trademark Office, a nd the Department of Justice (DOJ) worked with 
the Senegal Judicial Training Centre to provide a three-day workshop on the Role of the Judiciary in 
intellectual property enforcement for approximately 60 to 70 Senegalese and West African judges and IP/C/W/580/Add.6  
Page 20  
 
  intellectual property officials.  This workshop c overed topics such as the importance of intellectual 
property protection a nd its impact on Senegalese stakeholders and substantive and procedural issues 
faced in the adjudication of intellectual property cases.  
East African Counterfeit Medicines Workshop : Tanzania, 10-12 March 2010: USDOC's 
International Trade Administration and USPTO, US De partment of Justice (USDOJ), Department of 
Homeland Security, Immigration and Customs Enforc ement (ICE), and a US Federal Judge worked 
with Tanzanian government officials to conduct a re gional conference focussed on training relevant 
government officials from the East African Comm unity (EAC) member states (Kenya, Tanzania, 
Uganda, Rwanda and Burundi) in combating the flow  of counterfeit and subs tandard medicines into 
East Africa.   
D. N
ATIONAL INSTITUTE OF STANDARDS AND TECHNOLOGY  
67. The National Institute of Standards and Technol ogy (NIST) is the host agency for the FLC, 
described above in paragraph 6.  The Stevens on-Wydler Technology Inno vation Act of 1980 required 
all federal agencies to make technology transfer part of their mission.  More recent legislation, such as 
the Technology Transfer Commercialization Act of 2000 and the America Competes Act of 2007, 
mandated that federal agencies re port technology transfer activities.  Since 2007, NIST’s Technology 
Partnerships Office has been responsible for preparing reports on technology transfer for the 
Department of Commerce, as well as summarizing the activities reported by federal agencies and FFRDCs NIST.  
68. NIST uses the following technology transfer  mechanisms:  Patents and Licensing; 
Cooperative Research and Development Agreemen ts (CRADAs);  User Facilities; Technical 
Publications;  Participation in Documentary Stan dards Committees;  Standard Reference Materials 
and Data;  Calibration and Accreditation Services;  Software Tools;  Small Business Innovation 
Research (SBIR) Grants;  Guest Researchers;  Conferences, Workshops, and Inquiries; and Training.  
The most recent version of this  annual report is posted at:  
http://www.nist.gov/tpo/publications/uploa d/DOC-FY2011-Annual-Tech-Transfer-DOC.pdf  
69. NIST has research laboratories, user faciliti es, and other programmes focussed on advancing 
measurement science, standards, and technology, a nd promotes the transfer of technology.  For 
example, NIST promotes the transfer of technol ogy to developing and LDCs with its Guest 
Researcher Programme.  This programme provides opportunities for technically qualified individuals 
to work at NIST with Institute staff on projects of mutual interest for periods ranging from a few 
months to several years, with a key benefit being access to NIST facilities, staff, and research tools.  
Guest researchers (or their home ins titutions) may retain rights to inven tions conceived while at NIST.  
NIST also operates two unique and valuable laborat ory user facilities:  the Centre for Neutron 
Research and the Centre for Nanoscale Science and Technology.  The NIST Centre for Neutron 
Research (NCNR) provides cold and thermal ne utron measurement capabilities.  The Centre for 
Nanoscale Science and Technology NanoFab F acility provides a means to access advanced 
nanofabrication and measurement instrumentation.  Each year, NIST hosts hundreds of foreign guest 
researchers at its facilities, including ten from LDCs  in 2010 and 13 in 2011.  NIST also consults and 
reports on technology transfer from US governme nt laboratories and provides consultation and 
assistance on US technology transfer legislation and procedures to other countries.  
70. In 2010, researchers from the following LD Cs participated in this programme: 
 Nepal – 3 
 Benin – 1  IP/C/W/580/Add.6  
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   Madagascar – 1 
 Bangladesh – 1 
 Uganda – 1 
 Haiti – 1 
 Niger – 1 
 Sierra Leone – 1 
 71. In 2011 (to date), researchers from the followi ng LDCs participated in this programme.  
Please note that only four of the researchers identifie d in 2011 were "new" (marked with an asterisk 
below). The remaining nine resear chers were also at NIST in 20 10 and counted in that total. 
 Nepal – 4* (1 new) 
 Benin – 1 
 Madagascar – 1 
 Burkina Faso – 1* 
 Chad – 1* 
 Senegal – 1* 
 Bangladesh – 1 
 Uganda – 1 
 Niger – 1 
 Sierra Leone – 1 
 
IX. TRADE CAPACITY BUILDING IN LEAST DEVELOPED COUNTRIES 
72. "Aid for Trade" or Trade Capacity Building (TCB) assistance is a cornerstone of the US 
Government's strategy to promote economic growth  through trade and to enable developing countries 
to negotiate and implement mark et-opening and reform-oriented trade agreements.  TCB helps to 
improve the linkage between trade and development by providing developing countries with tools to 
maximize trade opportunities, including through fo stering environments favourable to technology 
transfer.  The United States considers its TCB activiti es to be an integral element in its efforts to 
provide incentives for technology transfer. 
73. The United States obligated over US$771 million to TCB activities in LDCs in FY2010.  
Cumulative US TCB to LDCs from FY2001 to FY2010 totalled over US$4.1 billion.   
X. MILLENNIUM CHALLENGE CORPORATION 
74. The Millennium Challenge Corporation (MCC) is a US development assistance programme 
designed to achieve poverty reducti on through economic growth by investing in areas such as 
agriculture, education, enterprise and private sector  development, governance, health, infrastructure, 
land titling, and trade and investment capacity build ing.  Created in 2004, the MCC's total amount 
invested in compacts was US$9.20 billion as of Ju ly 2012.  The MCC is the largest source of US 
Government TCB funding for Sub-Saharan Africa. IP/C/W/580/Add.6  
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  75. As of July 2012, the MCC had threshold or  compact agreements with nine WTO LDC 
Members:  Burkina Faso, Lesotho, Malawi, Moza mbique, Niger, Rwanda, Senegal, Tanzania, and 
Zambia.  Additionally, MCC had completed programme s with Sao Tome and Principe, a LDC that is 
in the WTO accession process, and Vanuatu, a LDC that is a new WTO Member.  US trade-related assistance is earmarked for port, transportation and irrigation infrastructure, modernized payment and 
settlement systems, land administration reform, cr eation of agricultural business centres, industrial 
park development, and border management syst ems – all of which will serve as incentives for 
increased US private sector trade and investment, wh ich are the major avenues through which private 
sector technology transfer occurs. 
XI. US TRADE AND DEVELOPMENT AGENCY 
76. The US Trade and Development Agency (U STDA) advances economic development in 
developing and middle income countries.  The Agen cy funds various forms of technical assistance 
(e.g. early investment analysis, training, rever se trade missions, and business workshops) that support 
the development of modern infrastructure and a fair and open trading environment.  USTDA is 
dedicated to promoting public-priva te partnerships; through its provisi on of grant funding, the Agency 
assists its partners during the critical planning phases of priority infrastructure development projects 
that support economic growth and promote the effectiv e transfer of technology to LDCs.  Recognizing 
the importance of trade to LDC growth, USTDA wo rks closely with the Office of the US Trade 
Representative (USTR), other US Government agencies, and regional economic communities to develop trade capacity and apply private sector solu tions to development challenges worldwide.  In 
FY2010, USTDA provided a little over US$5.1 million in assistance activities designed to create an 
enabling environment for increased trade a nd investment in LDCs.  For example: 
 Rwanda:  USTDA provided a US$547,000 gr ant to Rwanda's national bank, Banque 
Nationale du Rwanda (BNR), for technical assistance on the modernization of BNR's information and communication technology infrastructure.  This project assisted BNR in building the technical capabilities to provide real-time cash balance information to policymakers.  These capabilities will build capacity for more effective fiscal policy 
formulation and budget execution at the Ministry of Finance.  Specifically, this activity may 
improve the Government of Rwanda's cash management and reduce unnecessary borrowing 
and enable more accurate cash fo recasting and budget implementation. 
 
 Haiti:  In August 2010, USTDA provided a gr ant in the amount of US$813,000 to the 
Autorite Aeroportuaire National (AAN), Haiti's  national airport authority, to conduct an 
analysis of priority airport infrastructure m odernization projects.  This assistance was 
provided to enable it to design and implement important upgrades at Haiti's principal international airport in Port-au-Prince.  The projects to be analysed through this technical 
assistance grant include the construction of a para llel taxiway, a new air traffic control tower, 
a sewage collection system, and a wastewater tr eatment plant, a power generation facility and 
other high priority post-earthquake upgrades and repairs.    
 
XII. US DEPARTMENT OF TRANSPORTATION   
77. The US Department of Transportation (DOT) plays an important role in maintaining the 
strong, interconnected global transportation system vital for economic growth in the United States and 
abroad.  DOT is engaged in a wide range of activ ities designed to enhance the transportation capacity 
and infrastructure of Sub-Saharan African countries.  
78. The Safe Skies for Africa Programme (SSFA) is based on the premise that "Safe Skies" are a 
prerequisite for increased trade and investment and long-term economic developm ent in Africa.  Safer 
air travel promotes the business contacts through which private sector technology transfer occurs.   IP/C/W/580/Add.6  
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  The safety and security components complement US Government efforts to conclude Open Skies 
agreements with key African countries and promote code-share agreements between US and African 
airlines.  Since 2008 the SSFA continued in its mission to promote sustainable improvements in aviation safety in Africa as a means of advancing economic development and increased investment between the United States and Africa.  The overa rching goal of the programme is to increase the 
number of African nations meeting International Civil Aviation Organization (ICAO) standards for 
safety and security.  Recently Nigeria, with techni cal assistance from the FAA, met ICAO standards 
for safety and security.  Through the efforts of the SSFA programme aviation safety and security has 
been enhanced across sub-Saharan Africa.  The SSFA programme supports a bilateral and regional 
approach to the development of ICAO-compliant Civil Aviation Authorities.  The DOT programme 
has trained African experts at the Federal Aviati on Administration facility in Oklahoma City, and in- 
country where appropriate.  These capacity buildin g efforts have resulted in hundreds of personnel  
receiving state-of-the-art training to address airwor thiness, operations, air navigation, aviation security 
(in partnership with the Transportation Security Administration), as well as accident investigation 
processes and procedures (in partnership with th e US National Transportation Safety Board). 
XIII.  US DEPARTMENT OF AGRICULTURE (USDA) 
A. 
TECHNOLOGY TRANSFER REPORTING OF THE USDA 
79. The USDA publishes an annual technology transfer report.  (See 
"https://www.ars.usda.gov/sp2UserFil es/Place/01090000/Annual% 20Report%20FY%202011_v5-
17wide.pdf ").  As explained in this report, the USDA broadly defines technology transfer as the 
adoption of research outcomes (i.e. solutions) for public benefit. These science-based innovations 
from USDA intramural research – through these public /private partnerships – create new or improved 
technologies, processes, products and services that  benefit the nation by increasing productivity, 
increasing efficiency (keeping costs low) and enhanc ing global competitiveness for the US agriculture 
sector.  Thus, technology transfer functions are critical to accelerating utility of public R & D 
investments, creating economic activity, and in job creation and sustainable economic development.  
Principal among the formal instruments of tec hnology transfer are Cooperative Research and 
Development Agreements (CRADAs), patents, a nd invention licences for commercialization by the 
private sector, as well as material transfer agreements  and germplasm releases to industry.  The annual 
report lists technologies that have been transfe rred and describes the mechanisms through which 
technology is transferred, including: 
 Developing written information for customers and stakeholders, including scientific 
publications, publications in trade jour nals, and reports to stakeholders; 
 releasing plant germplasm to the public; 
 transferring research materials to scientists out side of the Agricultural Research Service 
(ARS); 
 entering into formal partnership agreemen ts, such as CRADAs, and other cooperative 
agreements; 
 delivering specific research results to regulatory agencies to support their actions; 
 licensing intellectual property (patents, Plant Vari ety Protections Certificates, and biological 
materials); 
 participating in meetings with industry orga nizations and universities, workshops and field 
days;  and IP/C/W/580/Add.6  
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   distributing information to the public via the AR S Information Staff, the National Agricultural 
Library, and other sources. 
80. Because the ARS mission is to transfer technologies for broad public use by the most 
effective mechanism, ARS pursues patents and licen sing principally when this facilitates technology 
transfer to the marketplace.  This is usually th e case when complementary investment by the private 
sector is necessary to commercialize a product, and patent protection is required to protect this 
investment.  Much of the technology resulting from USDA-funded research is transferred to the 
public by publication.  See the USDA Annua l Technology Transfer reports posted at 
http://www.ars.usda.gov/Business/docs.htm?docid=17236 for a description of technologies and how they are transferred to others.   
B. US
 NATIONAL PLANT GERMPLASM SYSTEM (NPGS):   TECHNOLOGY TRANSFER IN THE FORM 
OF GERMPLASM AND RELATED INFORMATION  
81. All countries rely heavily on production of non-i ndigenous crops to meet food needs.  This 
interdependence highlights the need for cooperation in conservation and exchange and use of plant 
genetic resources that support agricu ltural production everywhere.  It is increasingly important that 
countries cooperate to enable world food production to  meet the needs of future generations.  The US 
Government has been actively involved in the co llection and preservation of plant germplasm since 
the early 1800s.  Today, the US National Plant Germplasm System (NPGS) has the primary federal 
responsibility for the ex situ preservation of germpl asm collections of crop plants and their wild 
relatives.  The NPGS has long recognized that all c ountries are interdependent in their need for plant 
genetic resources.  The activities of the NPGS embody this recognition, not only through the conservation and distribution of ge rmplasm and associated information to scientists worldwide, but 
also through the support and capacity building fo r genetic resources conservation in many other 
countries.  This collaboration has taken the form of  both contributions that will benefit all countries 
and individual support to specific countries.  To assi st all nations, the NPGS partnered with Bioversity 
International and the Global Crop Diversity Tr ust to develop a new germplasm information 
management system, GRIN-Global,  which will become the global standard for safeguarding, 
managing and publishing this invalu able information.  The software is freely available and can 
operate on any of four database plat forms, all of which have versi ons that do not require licensing 
fees.  Version 1.0 of GRIN-Global was released to the international community in December 2011. 
82. The demand for germplasm from the NPGS is gr eat.  Although germplasm is used extensively 
for cultivar improvement, it is also used for a wide variety of other scientific studies, most of which 
ultimately contribute to improvements in crop produc tion.  In response to requests from researchers, 
breeders and administrators worldwide, the NPGS  distributed an average of more than 170,000 
accessions annually between the years 2002 – 2011.  In  the first eight months of 2012, over 200,000 
samples have been distributed.  Approximately 70  per cent of the accessions were distributed to US 
scientists and 30 per cent to foreign scientists, in cluding CGIAR (originally the Consultative Group 
on International Agricultural Research) Centres.  Scientists in 140 countries received germplasm, 
notably including Afghanistan, Bangladesh, Burkina Faso, Burundi, Cambodia, Eritrea, Ethiopia, 
Haiti, Lesotho, Madagascar, Mali, Myanmar, Nige r, Rwanda, Senegal, Sierra Leone, Sudan, 
Tanzania, Uganda and Zambia.  In 2012, over 2,400  samples of accessions originally collected in 
Ethiopia were repatriated to the national genebank at the Institute of Biodiversity Conservation.   
83. In recent years, the US government has provided funds for many additional projects on 
germplasm conservation and utilization.  NPGS scientists have collaborated with USDA/Foreign 
Agricultural Service and the USDA/ARS Office of  International Research Programmes on these 
projects.  In Bangladesh, scientists at the Bangl adesh Agricultural University in Mymensing, 
Bangladesh, with the technical cooperation of NPGS scientists,  collected, evaluated, preserved and 
distributed germplasm of landraces and wild relatives of traditional fruits and vegetables.  Over  IP/C/W/580/Add.6  
 Page 25 
 
 
  several decades, in addition to the "technology tr ansfer" by distributing germplasm, NPGS personnel 
have provided training in all as pects of germplasm maintenance,  evaluation, documentation, and 
enhancement to many scientists from numerous co untries.  In some cases, organized programmes 
involved training of numerous scientists from one country.   
84. NPGS personnel are working with collaborators from multiple countries as their genebanks 
implement GRIN-Global.  In c ooperation with Bioversity Interna tional, they conducted a workshop 
on GRIN-Global for multiple countries in November 2011.  They provide technical assistance to the 
Bioversity International team members in responding to  questions to the help desk and training users 
in the software.  They also continue to update training and reference materials, as well as language 
translations of the interface.  A dditional enhancements a nd refinements to GRIN-Global are ongoing.     
 
Distribution According to WTO LDC Members or Observer Countries (2002 – 2012)* 
 
COUNTRY COUNT 
Afghanistan 152 
Bangladesh 27 Burkina Faso 14 Burundi 66 CGIAR 13,040 Cambodia 27 Ethiopia 5446 Haiti 24 Lesotho 4 Madagascar 19 Mali 24 Myanmar 20 Niger 772 Rwanda 24 Senegal 45 Sierra Leone 97 Sudan 276 Tanzania 258 Zambia 223 
 
*through August 2012 
XIV.  US AGENCY FOR INTERNATIONAL DEVELOPMENT 
85. USAID is the principal US Government agency involved in implementing the goal of 
promoting economic growth and reducing poverty in developing countries around the world.  
USAID's overarching goal in economic growth is to help partner countries achieve rapid, sustained 
and broad-based growth that includes all vulnera ble groups.  Encouraging technology transfer and 
respecting IPR is important in reaching this overarching goal.   
86. In support of economic growth, agriculture, a nd trade, USAID endeavours to:  (a) develop 
well-functioning markets in developing countries;  (b) enhance access to productive opportunities for IP/C/W/580/Add.6  
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  the poor, women and other disadvantaged groups;  a nd (c) strengthen the international framework of 
policies, institutions and public goods that sup port growth prospects and opportunities for poor 
countries.  Examples include research and developm ent of special initiatives on agricultural, health 
and other problems specific to developing countri es and promoting international standards — from 
trade to IPR — that provide sound models  for developing economies to emulate. 
87. Helping LDCs integrate into the world economy is a major feature of USAID's economic 
growth and trade activities, which focus on trade a nd investment policy, institutional analysis and 
reform, trade capacity building and technical tr aining, environmentally  sound natural resources 
management, and the promotion of US-Africa private sector development.  As mentioned, USAID plays a key role in providing Aid for Trade or Trad e Capacity Building (TCB) assistance to the LDCs.  
USAID is the second largest US provider of TCB after MCC.  From 1999 to 2009, USAID provided 
over US$805 million in TCB assistance to 43 LDCs.  
88. The programmes below are examples of USAID programmes that directly or indirectly 
promote technology transfer. 
A. A
FRICAN GLOBAL COMPETITIVENESS INITIATIVE  
89.  As one of USAID's main TCB programmes in  sub-Saharan Africa, the African Global 
Competitiveness Initiative (AGCI) has supported the incubation and expansi on of USAID-managed 
Regional Trade Hubs for competitiveness in sub-Sa haran Africa (Botswana, Ghana, Kenya, and 
Senegal).  The five-year (2006-2010) US$200 milli on AGCI was designed to help expand African 
trade and investment with the United States, with other international trading partners, and regionally 
within Africa by improving the export competitiv eness of sub-Saharan African enterprises.  AGCI's 
objectives were:  (a) to improve the business climate for private sector-led trade and investment;  
(b) to strengthen the knowledge and skills of sub-Sa haran African private sector enterprises to take 
advantage of market opportunities;  (c) to increase access to financial services for trade and 
investment;  and (d) to facilitate investments in infrastructure.  Fu rther information about the Hubs 
can be found on the Internet at  http://www.watradehub.com/ (for the two hubs in West Africa);  
http://www.satradehub.org/ (for Southern Africa);  and http://www.competeafrica.org/  (for Eastern 
and Central Africa).  A compendium of African trade-related success stories and case studies from 
2011 is available for consultation at the fo llowing link:  "http://www.usaid.gov/locations/sub-
saharan_africa/initiatives/docs/2011_S uccessStoriesCompendium.pdf" 
B. FEED THE FUTURE  
90. Feed the Future (FTF), the United States Government global hunger and food security 
initiative, supports country-driven approaches to  address the root causes of hunger and poverty. 
Through this Presidential Initiative, the United St ates is helping countries transform their own 
agricultural sectors to grow enough food sustainably to feed their people.  As a result, valuable food aid can be used for unforeseen catastrophes rather than for chronic food insecurity or predictable 
cycles of drought or flooding.  USAID is charged with leading FTF, which involves coordinating 
efforts with eight other US agencies.  With the est ablishment of the Bureau for Food Security within 
USAID, experts in agriculture, research, nutrition,  and the private sector have been brought together 
to guide and coordinate the Agency’s efforts around food security.  
91. At the 2009 G-8 Summit, the President pledged at least US$3.5 billion for agricultural 
development and food availability over three years to leverage and align more than US$18.5 billion 
from other donors in support of a common approach .  Under the direction of the US Global Hunger 
and Food Security Coordinator, USAID seeks to advance global food security by comprehensively 
addressing the underlying causes of hunger and under- nutrition, investing in country-led plans; 
strengthening strategic coordinati on; leveraging the benefits of mu ltilateral institutions; and making  IP/C/W/580/Add.6  
 Page 27 
 
 
  sustained and accountable commitments.  Under FTF, USAID-private sector partnerships will 
catalyse agricultural-led economic growth and deve lopment by:  bridging the gap between innovative 
agricultural productivity solutions and sustainable market demand;  improving the enabling environment for market led growth;  and linking large commercial institutions with smallholder 
partners.  USAID is working in collaboration with  its partners on innovativ e co-investment models, 
private sector partnerships, reducing risk, improvi ng the enabling environment, commercialization of 
new technologies, and capacity building.  In pr oviding technical assistance, USAID also seeks to 
expand markets and trade in LDC countries and FTF focus countries by: expanding market 
information;  post-harvest market infrastructur e; and access to business development and financial 
services, all of which promote technology transfer and trade.  Moreover, the FTF's technical 
assistance will enhance animal, plant, and food safet y by:  improving standards and creating strong 
regulatory frameworks;  reducing the time and cost of border movement of goods;  and creating an 
enabling environment for agribusiness growth. 
C. USAID
 GLOBAL DEVELOPMENT ALLIANCE (GDA) 
92. The Global Development Alliance (GDA) mob ilizes the ideas, efforts and resources of 
governments, businesses, and civil society by forging public-private alliances  to stimulate economic 
growth, develop businesses and workforces, addre ss health and environmental issues, and expand 
access to education and technology.  The GDA busin ess model links US foreign assistance with the 
resources, expertise, and creativity of government s, business, and civil society.  Through public–
private partnerships, USAID and its partners combine their assets to address pressing development 
problems and achieve a solution that would not be po ssible for any individual partner alone.  Through 
fiscal year 2009, USAID has cultivated more than  1,000 alliances with 3,000 unique partners, 
leveraging billions of dolla rs in combined public-private res ources for development.  Working with 
multinational corporations, regional and local compan ies, USAID is building alliances that can have a 
significant impact on major development challenges.  USAID has partnered with Starbucks in the last 
ten years to build capacity in the global coffee s upply chain.  The USAID/Starbucks partnerships 
improve coffee quality, certify sustainable practices and provide premium prices, which raise local 
incomes.  Working in several countries in Africa,  Latin America and Asia, the impact has been 
substantial.  For instance, USAID/Mexico's progra mme directly affected nearly 12,000 people in 45 
communities by improving best practices in the coffee  supply chain and thereby raising the quality of 
production.  In Rwanda, Starbucks tripled the am ount of beans it sourced from local farmers from 
2006 to 2008, when it first sold Rwandan coffee as pa rt of its high-end Black Apron Exclusives line.  
93.  In 2005, USAID created a new obligating inst rument – the collaboration agreement – to 
provide funding directly to non-traditional partners .  For example, the Private Financing Advisory 
Network (PFAN), an alliance of private sector companies and investors, receives funding from USAID to help developers of cl imate-friendly technologies in deve loping countries find financing.  
Through the alliances of the GDA, USAID has not only gained additional financial resources for 
development activities, but also new technologies, in tellectual capital, and technical and managerial 
expertise that enhances its ability to address an in creasingly complex set of development challenges. 
D. USAID
 GLOBAL BROADBAND AND INNOVATIONS (GBI) 
94. The US Agency for International Devel opment’s new Global Broadband and Innovations 
(GBI) programme has been designed to focus the Agency’s attention and resources on leveraging the 
adoption of Information and Communication Tec hnologies (ICTs) across its development portfolio. 
The GBI Programme focusses strategically on two priority areas: 
 Extending the reach of broadband, including enha nced mobile networks, into more remote 
rural areas as a key infrastructure for exte nding the reach of socioeconomic services through IP/C/W/580/Add.6  
Page 28  
 
  USAID’s NGO and contractor partners, as well as others working within the international, 
national, and local development community;  and 
 leveraging the extension of these broadband a nd mobile networks for delivering network-
enabled value-added application suppor t across USAID’s development portfolio. 
95. A fundamental component of achieving this second pr iority is the leveraging of public-private 
partnerships (PPPs).  Toward this end, the GBI Pr ogramme and NetHope have come together to form 
the GBI Alliance.  This relationship places a pr iority on the second of these two focus areas, 
recognizing that within the NetHope ecosystem , there is a connectivity component as well. 
96. NetHope is a consortium of 32 of the largest international non-governmental organizations 
(NGOs) working in over 180 countries. NetHope’s partners include several US-based high tech companies such as Intel, Cisco, Microsoft, and Googl e and international industry associations such as 
the Global VSAT Forum (GVF).  Other supporting organizations include the Rockefeller Foundation, 
the Gates Foundation, and the W.G. Kellogg Foundati on.  NetHope’s core mission is to serve as a 
catalyst for ensuring its members have access to th e best information and communication technology 
and practices when serving people in the developing world. 
97. Their focus is on five strategic initiatives: 
 Connectivity 
 Field Capacity Building 
 Emergency Response 
 Shared Services 
 Innovation 
98. Through the GBI Alliance, USAID will be work ing closely within the NetHope ecosystem to 
target high priority areas needing special atten tion, develop requirements for common ICT solution 
sets, and ultimately develop and make available acr oss the NGO community, shar ed solutions that can 
be implemented by NGOs as core components of their projects.  The goals of this collaboration are to 
reduce implementation time, lower implementation and operational costs, enhance the quality of 
support through shared solutions, and help ensure ri cher and more scalable, replicable, and sustainable 
use of ICT solutions. 
E. USAID
 WEST AFRICA POWER POOL   
99. Increased availability of low cost, environmenta lly friendly electricity is critical to economic 
development and trade with West Africa.  In FY200 5, USAID's West Africa Programme continued to 
provide support to the West Africa Power Pool (WAPP), an industry organization created by electrical 
utilities in the region with the goal of increasing i nvestment in the sector.  The WAPP entered a new 
phase of its development with the approval in prin ciple by the Energy Ministers of the ECOWAS 
States at the end of October 2005 of the Articles of  Agreement for a Power Pool organization.  In 
FY2005, construction began on the West Africa G as Pipeline by a consortium of US and West 
African companies and the first deliveries of ga s occurred in 2010.  USAI D's investment in the 
pipeline helped regulators and governments creat e the enabling environment allowing for this 
US$615 million investment that will bring low cost fuel  to power plants in Benin, Ghana, and Togo. 
100. USAID also provides technical assistance to th e Southern, West, and Central Africa Power 
Pools.  The objective of this support is to increase access to reliable, affordable electricity through  IP/C/W/580/Add.6  
 Page 29 
 
 
  economically based, cross-border energy trading, wh ile also building the capacity of the continent's 
electricity utilities to deliver essential se rvices in a commercially viable manner. 
F. USAID' S SOUTH ASIA REGIONAL INITIATIVE FOR ENERGY (SARI/E NERGY )  
101. The SARI/Energy programme focusses on regiona l approaches to meet South Asia's energy 
security needs through increased trade, investment and access to clean energy.  Three of the eight 
partner countries in SARI/Energy are WTO Member LDCs, specifically Nepal, Bangladesh, and the 
Maldives. There have been numerous accomplis hments in the FY2009-2011 period that embody 
technology transfer.  Recent significant SARI initiatives include: 
 Supplying Bangladesh and Nepal with:  (a)  US energy efficiency technologies and practices 
in the manufacturing sector;  (b) US and Sri Lankan commercial energy efficient lighting standards;  (c) US small distributed rooftop solar photo-voltaic (PV) systems models and 
technologies;  and (iv) smart grid technologies that enable integration of distributed solar 
resources in remote areas, in particular thro ugh the use of microgrids to connect nearby 
homes and businesses to small-scale distributed renewable resources. 
 Providing Bangladesh and Nepal with inform ation regarding: (a) European National 
Renewable Energy Action Plans to ensure bi nding targets and a regulatory framework that 
encourages investment;  (b) recommended practi ces to optimize security and reliability in 
supervisory control and data acquisition (SCA DA) and substation design, including "smart" 
technologies and  recommended green building design codes and practices;  (c) Canadian  models for waste-to-energy generation as a clean energy source;  and (d) US recommendations regarding tariff rate struct uring and utility benchm arking for renewable 
energy. 
 Providing Maldives with a planning and invest ment strategy for the optimization of power 
generation systems through under-sea cable interconnection of the country’s islands. 
G. C
ORAL TRIANGLE INITIATIVE ON FOOD SECURITY , CORAL REEFS AND CLIMATE CHANGE  
102. The Coral Triangle Initiative (CTI) on Food Secu rity, Coral Reefs and Climate Change is a 
multilateral partnership to safeguard the Southeast Asia region's extraordinary marine and coastal biological resources.  Recognized as the global cen tre of marine biological diversity, the Coral 
Triangle region embraces six countries – Indonesia, Malaysia, Papua New Guinea, the Philippines, 
Timor Leste, and the Solomon Islands.  The CTI wa s officially launched in December 2007 during the 
13th Conference of the Parties to the UN Framewor k Convention on Climate Change in Bali, and 
endorsed by the six heads of state at the CT I Summit in May 2009.  Home to some 363 million 
people, one third of whom are directly dependent on coastal and marine resources for their livelihoods, the region faces immediate risk from a range of factors, including over-fishing, 
unsustainable fishing methods, land-based sources of po llution and climate change.  Over the first five 
years of the initiative, USAID and the Department of State plan to invest at least US$55 million, which includes bilateral and regional funds from USAID and US$1 million from the Department of 
State.  Investments will strengthen the capacity of community groups, govern ments, and public and 
private organizations to conserve the Coral Tr iangle's globally important biodiversity, improve 
fisheries management, enhance resiliency and promote climate change adaptation.  
H. C
ONSULTATIVE GROUP ON INTERNATIONAL AGRICULTURAL RESEARCH   
103. USAID supports the Consultative Group on Inte rnational Agriculture Research (CGIAR).  
The CGIAR is a global research-for-developmen t partnership consisti ng of a Consortium of 
international agricultural and natu ral resources research centres and its  funders, working with partners 
to achieve the CGIAR vision.  The CGIAR's visi on is to reduce poverty and hunger, improve human IP/C/W/580/Add.6  
Page 30  
 
  health and nutrition, and enhance ecosystem resilie nce through high-quality international agricultural 
research, partnership and leadership.  The CGIA R was established in 1971, and its donors include 
both developing and developed countries, internat ional and regional orga nizations and private 
foundations.  
I. S
UPPORT FOR BIOTECHNOLOGY  
104. Agricultural biotechnology offers an important  tool, which along with traditional breeding, 
new technologies, and improved resource management , enhances crop, livestock, and aquaculture 
productivity.  This increases the incomes of small-s cale agricultural producers in an environmentally 
sustainable way by: 
 Reducing pesticide use and excess fertilizer us e that pose threats to biodiversity and human 
health;  
 
 battling damaging plant diseases and pests by developing new resistant crop varieties;  
 
 making widely grown food crops more resilient  and stress tolerant, thereby helping farmers 
adapt to a changing climate;  
 
 enhancing the nutritional quality of key staple crops to counter malnutrition and improve the 
health of farmers and consumers;  and  
 
 enabling better livestock disease diagnosis and th e development of more effective livestock 
vaccines. 
105. USAID takes an integrated approach to ensu re that countries can safely access biotechnology 
if they choose to do so and that a broader range of  technology is available for the benefit of small- 
scale farmers.  This is accomplished by building tec hnical capacity in crop research and development 
and making sure that decision-makers have the res ources they need to make informed decisions about 
biotechnology and biosafety. 
106. Since 1989, USAID has taken an innovative approach to biotechnology, integrating 
technological development with policy reforms n ecessary for safe and effective application in 
developing countries.  Through USAID's collabor ative agricultural biotechnology programmes, 
developing countries build the capacity to develo p the crops they need in a safe manner.  The 
programmes engage the expertise of faculty and st aff from US and developing country universities, 
private sector, nongovernmental organizations, and in ternational institutions, such as the CGIAR, to 
form an integrated strategy for de veloping and managing this technology. 
107. The Programme's goals include:  
 Developing new crops for small holder farmers to improve the availability of food and 
strengthen livelihoods; 
 developing and strengthening biosafety systems to regulate biotechnology; 
 increasing developing countries' capacity for technology development;   
 increasing public understanding of biotechnology and biosafety; 
 helping public research systems address regul atory and IPR issues as they move crops from 
laboratory to field;  and 
 supporting environmental research to inform biotechnology risk assessment and management.  IP/C/W/580/Add.6  
 Page 31 
 
 
  J. PROGRAMME FOR BIOSAFETY SYSTEMS  
108. The Programme for Biosafety Systems (PBS), managed by the International Food Policy 
Research Institute (IFPRI), supports the devel opment and implementation of national biosafety 
systems in Africa and Asia.  PBS addresses biosafet y through an integrated programme of research, 
capacity development, and outreach.   
K. SOUTH ASIA BIOSAFETY PROGRAMME  
109. The South Asia Biosafety Programme is de dicated to assisting the Governments of 
Bangladesh and India in further strengthening institutional governance of biotechnology.  The 
programme builds on existing efforts to advi se governments on enhancing and streamlining 
government systems to realize the benefits of agricu ltural biotechnology within a transparent, efficient 
and responsive regulatory framework that ensures the safety of new foods and animal feeds, and 
protects the environment. 
L. AGRICULTURAL BIOTECHNOLOGY SUPPORT PROGRAMME II 
110. Agricultural Biotechnology Support Programme II, a USAID-funded consortium of public 
and private sector institutions managed by Corn ell University, focusses on the safe and effective 
development and commercialization of bioengineer ed crops as a complement to traditional and 
organic agricultural approaches.  Current ABSPII partner countries include India, Bangladesh, the 
Philippines, Indonesia and Uganda with several in-country ABSPII representatives. 
M. AFRICAN AGRICULTURAL TECHNOLOGY FOUNDATION  
111. The African Agricultural Technology Foun dation (AATF) facilitates public-private 
partnerships to access proprietary technology and to ensure the delivery of biotechnology through the 
local private and public sectors.  Through USAI D support, AATF’s manageme nt of these linkages 
upstream and downstream of public sector research has established international partnerships to 
develop insect-resistant cowpea and nitrogen-use effi cient rice varieties using modern biotechnology. 
AATF works in several African countries, including Nigeria, Uganda, Kenya, Burkina Faso, Ghana, 
Tanzania and South Africa.  
XV. US PATENT AND TRADEMARK OFFICE PROGRAMMES 
A. GLOBAL INTELLECTUAL PROPERTY ACADEMY  
112. The USPTO trains and offers technical assist ance on IPR protection and enforcement to 
countries around the world, including LDCs.   Without a strong system of IPR protection, foreign businesses will be hesitant to make their technology available to developing  country partners and 
developing country innovators will not be able to capitalize on their creativity.  In FY2011, the 
USPTO’s Global Intellectual Property Academy (GIP A) conducted more than 140 training, technical 
assistance, and capacity building programmes for over 4,300 participants from 137 different countries.  
Most participants came from developing and l east-developed countries.  USPTO’s website at 
http://www.uspto.gov  hosts seven IPR e-Learning modules in Arabic, English, French, Russian and 
Spanish.  The e-learning modules have received over 20,000 hits since they were first placed on the 
USPTO website in early 2010.  In addition, the USPTO has IPR Attachés posted at several US 
embassies or consulates.  These Attachés work with host governments and NGO’s to provide IPR 
technical assistance and capacity building programmes of  particular interest to one or more countries 
in their region. 
113. In 2007, the USPTO completed construction of  GIPA that includes a 20,000 square-foot 
training facility at its headquarters in Alexandria, Virginia.  Through this dedicated space, the USPTO IP/C/W/580/Add.6  
Page 32  
 
  efficiently delivers targeted training to forei gn IP officials.  Training focusses on pertinent 
information for IP office administrators, examiners,  judges, prosecutors, customs officers, and other 
government and law enforcement officials.  LD C representatives attended 14 GIPA programmes in 
the United States in 2011 as well as additional programmes at the USPTO such as the State 
Department's International Visitor Leadersh ip Programme and the Foreign Mission Embassy 
Programme.  Countries represented at these programm es included:  Afghanistan, Bangladesh, Burkina 
Faso, Cambodia, Ethiopia, The Gambia, Haiti, Lao P.D.R., Lesotho, Liberia, Nepal, Tanzania, 
Uganda, and Zambia. 
114. The USPTO’s GIPA and IP Attachés also provide IP-focussed technical assistance and 
capacity building to foreign officials in their hom e countries.  Programmes have focussed on IP rights 
enforcement as well as patent, trademark, and copyri ght policy and best practices.  Participants at 
these in-country or regional programmes offered in FY2011 included government officials from  
Bangladesh, Bhutan, Burundi, Cambodia, The Gamb ia, Lao P.D.R., Lesotho, Liberia, Malawi, 
Mauritania, Mozambique, Nepal, Rwanda, Sierra Leone, Somalia, Sudan, Ta nzania, Uganda, Yemen, 
Zambia, and Zimbabwe. 
115. USPTO conducts regional technology transfer programmes around the world.  For example, 
in FY2011, in cooperation with the NGO Public Intellectual Property Resource for Agriculture 
(PIPRA), Asia-Pacific Economic Cooperation (APEC ) and other organizations and agencies, USPTO 
co-hosted several workshops on technology transf er and commercialization, namely a regional 
programme in Kiev, Ukraine: PIPRA IP Commercia lization and Technology Transfer - Patent and 
Trademark Examination Training in late March of 2011;  a regional programme in Moscow, Russia: 
Technology Transfer and IP Management for Univ ersities in September of 2011;  an APEC-IPEG 
Technology Transfer and IP Commercialization Se minar held in San Francisco, California in 
September of 2011;  and a regional programme in Athens, Greece: Workshop on Inspection and 
Investigation of Counterfeit Produc ts in September of 2011.  
116. The United States provides further elaborati on of its technical assistance, training and 
technology transfer activities specific to IPR in its 2010 Report on activities carri ed out in relation to 
Article 67 of the TRIPS Agreement. 
B. P
ATENTS FOR HUMANITY PILOT PROGRAMME  
117. In February 2012, the USPTO launched the Pa tents for Humanity Pilot Programme to 
encourage assistance to LDCs and the less fortuna te.  The programme provides business incentives for 
patent owners and licensees to apply their technol ogy to humanitarian purposes.  The programme is 
structured as a voluntary prize competition.  Partic ipants submit applications describing how they 
have used their technology to combat global challe nges in four areas:  medical technology, food and 
nutrition, clean technology, and in formation technology.  Volunteers from academia serve as judges, 
selecting the best examples for awards.  Winners r eceive a certificate to accelerate select matters 
before the USPTO on any technology in their portf olio.  They will also receive public recognition 
from the USPTO and media publicity of their efforts.  By highlighting success stories of humanitarian 
work, the programme will draw attention to assi stance issues and encourage others to emulate 
effective models.  The first winners are expected to be announced in early 2013. 
XVI.  TECHNOLOGY TRANSFER FROM US UNIVERSITIES  
118. A major avenue for technology transfer from th e United States is our university system where 
foreign students are educated and then bring that training to private and public employment, often in 
their home countries.   IP/C/W/580/Add.6  
 Page 33 
 
 
  119. Since US universities are largely established as non-for profit (tax exempt) entities, the 
education they provide is subsidized by the US taxp ayer in the form of foregone tax revenues.  The 
private endowments that enable foreign students to  attend US universities on financial aid were built 
with tax exempt donations.  
120. In 2011, there were 723,277 international stude nts enrolled in US institutions of higher 
education, representing 3.5 per cent of the total US higher education enrolment.  Many of the foreign 
students gravitate to the same US universities, wher e the portion of foreign students may reach 20 per 
cent or higher.   The top three countries of origin for foreign students in the United States were China 
(157,558 students), India (103,895) and South Korea (73,351).  The LDC with the most students enrolled in US institutions of higher education in 2010 was Nepal with 10,301 students.  The chart  
below shows enrolment by students from all LD Cs at US universities for the 2010/2011 academic 
year.  
121. The top five most popular fields of study for international students in the United States in 
2009/2010 were Business and Management (21 per cent of total), Engineering (18 per cent), Physical 
and Life Sciences (9 per cent), Mathematics and Co mputer Science (9 per cent), and Social Sciences 
(9 per cent).
2  The top five most popular fields of study for international students in the United States 
in 2010/2011 were:  Business and Management (21.5 per cent of total);  Engineering  (18.7 per cent);  Physical and Life Sciences (8.8 per cent);  Math ematics and Computer Science (8.9 per cent);  and 
Social Sciences (8.8 per cent). 
122. Some foreign students at US universities ente r the US as non-immigrant exchange visitors 
("J-1") subject to Section 212(e) of the Immigrati on and Nationality Act residency requirement that 
makes students ineligible to remain in the United States after completing their studies.  This law 
applies to all students participating in programmes sponsored and/or funded by  the US Government or 
for nationals of certain countries based on an establis hed exchange visitor skills list.  In these cases, 
the J-1 visa requires that students spend 24 months outside the United States before they can be issued a permanent residence or a work visa to the Unite d States, although travel to the United States for 
temporary business or tourism is acceptable.  Foreign students subject to the Section 212(e) 
requirement may also apply for this requirement to be waived if there is no objection from the foreign 
government, direct interest from a US Government agency, or if the visa holder is subject to persecution in his or her home country or usual foreign residence.  However, generally, the 
Section 212(e) requirement encourages students to return to their home countries after completing 
their studies and thereby further supports technology transfer abroad. 
 
 
International student totals by place of origin, 2010/2011
3 
 
Origin 2010/2011 
Afghanistan 429 
Angola 699 
Bangladesh 2,873 
Benin 289 
Bhutan 115 
                                                      
2"http://www.iie.org/Who-We-Are/News-and-Even ts/Press-Center/Press-Releases/2010/2010-
11-15-Open-Doors-Internati onal-Students-In-The-US " 
3 Institute of International Edu cation, International St udent Totals by Place of Origin, 2010/11, Open 
Doors Report on International Educational Exchange .  Retrieved from :  http://www.iie.org/opendoors  IP/C/W/580/Add.6  
Page 34  
 
  Origin 2010/2011 
Burkina Faso 626 
Burundi 123 
Cambodia 340 
Central African Republic 29 
Chad 99 
Comoros 23 
Congo, Dem. Rep. of 252 
Djibouti 11 
Equatorial Guinea 119 
Eritrea 120 
Ethiopia 1,392 
The Gambia 385 
Guinea 139 
Guinea-Bissau 12 
Haiti 888 
Kiribati 31 
Lesotho 51 
Liberia 172 
Madagascar 146 
Malawi 269 
Mali 481 
Mauritania 60 
Mozambique 76 
Myanmar 796 
Namibia 73 
Nepal 10,301 
Niger 247 
Rwanda 457 
Samoa 49 
Sao Tomé and Príncipe 2 
Sierra Leone 183 
Solomon Islands 7 
Sudan 236 
Tanzania 1,006 
Timor 48 
Togo 241 
Tuvalu 2 
Uganda 820 
Vanuatu 8 
Yemen 268  IP/C/W/580/Add.6  
 Page 35 
 
 
  Origin 2010/2011 
Zambia 560 
  
Total 25,553 
 
123. Common practices that encourage technology transfer from US universities are: 
 Publication of research results in the open acad emic literature that is accessible globally 
through the Internet, and read by scientists, engineers, and researchers in all sectors; 
 personal interaction between creators and user s of new knowledge (e.g. through professional 
meetings, conferences, seminars, industr ial liaison programmes and other venues); 
 collaborative research projects;  
 entrepreneurial activity of faculty and stude nts occurring outside the university without 
involving university-owned intellectual property;  and 
 licensing of intellectual property to established firms or to new start-up companies.4 
124. After completing their studies, graduates are mob ile.  They are employed globally in public 
and private sectors, which furthers the transfer of knowledge, technology and best practices.  They 
bring to their home countries an understanding of  the important role that rule of law, good 
governance, IPR and limited government intervention in the economy play in creating the conditions 
necessary for entrepreneurship, innovation and th e utilization of new technologies to address the 
needs of their home countries.  
 
__________  
 
 
                                                      
4 National Research Council, Managing University  Intellectual Property in the Public Interest 
(Washington, DC, National Academies Press, 2011) page 2.