The Technology Facilitation Mechanism: Conceived in Rio, Born in Addis

At the end of September 2015, the international community will focus on the results of a process that was set in motion by the UN Conference on Sustainable Development in 2012 (Rio+20): the Sustainable Development Goals (SDGs). For many UN Member States and stakeholders alike, the Technology Facilitation Mechanism (TFM) constitutes an important component for the SDGs and the surrounding post-2015 development agenda. This mechanism has been the subject of heated debate during the past three years in the UN General Assembly (UNGA) as well as in intergovernmental negotiations on both Financing for Development and the Post-2015 Development Agenda. UN Member States reached an agreement in the summer of 2015 to establish a TFM, and outlined its role and key components.

This policy update outlines the process and discussions held from the inception phase of the TFM in 2012, through a difficult UNGA discussion process, and to the agreement eventually reached in the context of the Third International Conference on Financing for Development (FfD3) and the post-2015 intergovernmental negotiations. The agreement is set to be formalized on 25 September by Heads of State and Government, within the context of the adoption of the Outcome Document of the UN Summit for the adoption of the Post-2015 Development Agenda. At that point, the long-discussed TFM is expected to be officially launched.

The Rio+20 Mandate (2012): Technology transfer, especially the transfer of environmentally sound technology, has been discussed in many intergovernmental fora over the years, including the Commission on Sustainable Development (CSD). The discussion often has reverted to a negotiation along North-South lines, with developed countries stating that transfers should respect intellectual property (IP) rights provisions and developing countries citing the need to access advanced technology in order to pursue a sustainable development path.

The mandate to specifically explore the idea of creating a technology facilitation mechanism took shape during Rio+20, with some hoping that such a mechanism would be able to take actions that could address and overcome the impediments to the long discussed need for technology transfer. During the intergovernmental negotiations leading to Rio+20, developing countries proposed establishing a mechanism under the UNGA, “to promote, implement and monitor concrete actions for bridging the technology gap.” Developed countries, however, cited possible overlaps with the work of existing organizations, including the UN Industrial Development Organization (UNIDO) and UN Conference on Trade and Development (UNCTAD), among other objections.

The international community did not come to agreement to create a mechanism in June 2012 in Rio de Janeiro, Brazil, but at the conclusion of their talks, delegates agreed that the Rio+20 outcome document would call on relevant UN agencies “to identify options for a facilitation mechanism that promotes the development, transfer and dissemination of clean and environmentally sound technologies by, inter alia, assessing the technology needs of developing countries, options to address those needs and capacity-building.” The outcome also requested the UN Secretary-General to make recommendations regarding the facilitation mechanism to the UNGA’s 67th session, “on the basis of the options identified and taking into account existing models” (paragraph 273, The Future We Want).

The UN Secretary-General’s Report on Options for a Facilitation Mechanism (2012): Pursuant to UNGA Resolution 66/288, in which the Assembly endorsed the outcome document of Rio+20, the UN Secretary-General launched his report, in September 2012, on ‘Options for a facilitation mechanism that promotes the development, transfer and dissemination of clean and environmentally sound technologies’ (A/67/348). The report included recommendations on the functions, format and working methods of a TFM and on a potential way forward to achieve improved technology facilitation. The report found that there was “no doubt” that there was a need for a global TFM under the auspices of the UN, and recommended, inter alia, that the TFM:

be part of or under the intergovernmental direction of the High-level Political Forum on sustainable development (HLPF; itself another intergovernmental process launched at Rio+20) in order to ensure global coordination;
be supported by a Secretariat provided by the UN Department of Economic and Social Affairs (DESA); and
promote four types of global and regional networks on: science foundations; national business incubators; policy, intellectual property and organizations; and technology transfer and information mechanisms.

It also recommended the “immediate constitution of an intergovernmental preparatory working group,” serviced by DESA, and “supported by a pool of experts, in order to work out institutional details,” with a view to achieving an operational TFM, before the end of 2013, that would report to the HLPF.

Four “One-Day” Workshops in 2013: Following the Secretary-General’s report, the UNGA invited the UNGA President, supported by the UN Secretariat, to organize four one-day workshops on the development, transfer and dissemination of clean and environmentally sound technologies that would also explore the “connection between clean and environmentally sound technologies and sustainable development, taking into account the need to avoid duplication and promote synergies and coherence” (Resolution 67/203, February 2013). It also requested the UN Secretary-General to submit a report for consideration by UNGA 68 on the discussions, options and recommendations from the workshops, including on the way forward, as well as on additional inputs from Member States and the UN system. The workshops took place on 30 April, 1 May, and 30-31 May 2013, at UN Headquarters in New York, US.

During the discussions, many developing countries expressed support for the creation of a TFM, and some emphasized the need to ensure that it would not duplicate what already exists. However, some developed countries remained skeptical.

The UN Secretary-General’s Report on Options for Facilitating the Development, Transfer and Dissemination of Clean and Environmentally Sound Technologies (2013): In August 2013, the UN Secretary-General issued a second report, titled ‘Options for facilitating the development, transfer and dissemination of clean and environmentally sound technologies’ (A/68/310). This report built on both his previous report and deliberations at the workshops and written inputs received from Member States and the UN system.

The report highlighted that: the need to accelerate technology facilitation was not questioned by anyone but views diverged on details and the overall approach for the way forward; technology needs had not been mapped systematically; and views varied significantly as to whether the international programmes and mechanisms to assist in terms of capacity-building corresponded to the needs.

The report contained three groups of recommendations, including initiatives that could be acted on without institutional reform, and additional, voluntary actions for consideration by countries (e.g. promoting voluntary national peer reviews of clean and environmentally sound technology needs).

A third group related to more comprehensive and ambitious initiatives with institutional implications. These recommendations included calls to: create a forum within the UN for regular expert-informed intergovernmental dialogue on how best to facilitate and accelerate international technology cooperation for sustainable development; and create a UN global TFM.

On the latter recommendation – to create a global TFM – the report suggested that this could involve creating and/or scaling up several initiatives, such as:

a technology development and transfer fund to assist with the transfer of privately owned “technologies relevant in responding to urgent global sustainability challenges”;
global networks of national organizations relevant to different stages of the technology life cycle;
an international network of research/innovation policymakers to discuss options for promoting technology cooperation that can address sustainable development challenges faced by developing countries; and
public-private-civil society partnerships to foster technology cooperation and the transfer of key technologies needed to advance progress towards specific SDGs.

Four Structured Dialogues in 2014: In February 2014, through UNGA Resolution 68/210, the UNGA took note of the Secretary-General’s reports, welcomed the workshops, and decided to hold a series of four, one-day “structured dialogues” to consider possible arrangements for a facilitation mechanism. The resolution requested that the dialogues result in a summary for consideration by UNGA 69, “with the aim of reaching a conclusion.”

The dialogues took place on 29-30 April 2014, 4 June 2014 and 23 July 2014 at UN Headquarters in New York, US, and were co-moderated by Brazil’s Deputy Permanent Representative to the UN, Guilherme de Aguiar Patriota, and Switzerland’s Permanent Representative, Paul Seger.

While the first two dialogues were dedicated to taking stock of the process to develop options for a TFM, including by assessing existing mechanisms and processes, the third dialogue sought to identify areas of convergence. The co-moderators then prepared notes that included options for Member States to consider for the fourth dialogue, so as to identify common ground on possible arrangements for a TFM.

The co-moderators’ notes outlined the TFM’s possible modalities and organization, and included the following options: 1) better information and mapping of existing facilitation activities through an electronic knowledge platform; 2) improving coherence and synergy between existing facilitation activities including by creating an online clearinghouse of existing initiatives and networks in different thematic fields; and 3) conducting further analyses of technology needs and “gaps in addressing them.”

A fourth option was a proposal to establish a UN TFM that would consist of:

a technology development fund;
a network of technology transfer, innovation and information centers, based on existing centers, platforms, international conventions and agreements;
a network of universities, institutes and research, development and innovation institutions;
capacity development programmes and knowledge platforms, and technology needs assessment;
public-private partnerships (PPPs) including on IP systems and licensing; and
a management and coordination structure within the UN, including regional and sub-regional cooperative mechanisms and national coordination units.

According to IISD RS’ summary of the meeting, Bolivia for the Group of 77 and China (G-77/China), Brazil, Costa Rica, Cuba, Egypt, Guatemala, India and Iran expressed support for Option 4 (UN TFM), suggesting that the other options should be integral parts of Option 4. The EU saw merit in Options 1 and 2, and noted that Option 3 is already undertaken by other centers, programmes or initiatives such as the Climate Technology Center and Network (CTCN), while Option 4 is “premature.” The US, Japan, Canada and Australia expressed views that were similar to the EU’s, with Australia stressing the lack of mandate or consensus in regard to establishing a UN TFM.

On 13 August 2014, the President of UNGA 68, John Ashe, circulated to Member States a summary report and recommendations from the four structured dialogues. The report called on the UN Secretary-General to issue a concrete proposal “without further delay” regarding the following deliverables:

an online platform to undertake a thorough mapping of existing technology facilitation mechanisms, frameworks and processes for clean and environmentally sound technologies;
improving coordination within the UN System on clean and environmentally sound technologies;
an analysis of technology needs and gaps in addressing them; and
elements for continued discussions such as conducting technology assessments, building PPPs including on collaborative IP systems and licensing, setting up a technology development fund and establishing a management and coordination structure within the UN that actively facilitates and promotes the transfer of technology.

UNGA Mandate to Incorporate the Structured Dialogues Recommendations in the UN Secretary-General’s Synthesis Report and to Continue Consultations (2014): With the structured dialogues having ended without agreement, UNGA requested the President of UNGA 69 to continue consultations based on the summary report “with the aim of reaching a conclusion” during UNGA 69 “in the context of the post-2015 development agenda” (Resolution 68/310). The resolution also invited the UN Secretary-General to take into account the recommendations that emerged from the structured dialogues when preparing his synthesis report on the post-2015 development agenda.

UN Secretary-General’s Synthesis Report (2014): In December 2014, the UN Secretary-General issued a report as input to the intergovernmental negotiations on the post-2105 development agenda, titled “The road to dignity by 2030: ending poverty, transforming all lives and protecting the planet.” Taking into account the recommendations of the structured dialogues, paragraph 125 proposed to: “establish an online, global platform, building on and complementing existing initiatives, with the participation of all relevant stakeholders in order to: (a) map existing technology facilitation initiatives, needs and gaps, including in areas vital for sustainable development, including agriculture, cities and health; (b) enhance international cooperation and coordination in this field, addressing fragmentation and facilitating synergies, including within the UN system; and (c) promote networking, information sharing, knowledge transfer and technical assistance, in order to advance the scaling up of clean technology initiatives.”

Inter-Agency Working Group (2014): To support the proposal in Paragraph 125 of the Synthesis Report, a UN Informal Inter-agency Working Group (IAWG) was established in 2014 to map existing technology initiatives, identify gaps and areas of synergies and collaborations, and identify options for an online platform. This IAWG subsequently has been converted into the Inter-Agency Task Team on science, technology and innovation (STI) for the SDGs, which is part of the TFM that was agreed on later by Member States.

Consultations during FfD3 and Post-2015 Intergovernmental Negotiations (2015): As mandated by UNGA Resolution 68/310, consultations on the TFM continued during UNGA 69, including as part of the intergovernmental negotiations related to FfD3 and the post-2015 development agenda. As the Earth Negotiation Bulletin (ENB) coverage of the FfD3 negotiations reveals, countries registered diverging views on the TFM during these processes. For instance, at the second drafting session on the outcome document of FfD3, in mid-April, the spokesperson for the G-77/China, supported by Brazil, Chad for the African Group, Indonesia, and Maldives for the Alliance of Small Island States (AOSIS), called for the FfD3 outcome document to support the creation of a TFM. However, some developed countries did not support its establishment, pointing to existing facilities, or called for further clarification on its need.

At the joint FfD3 and post-2015 intergovernmental negotiations session on means of implementation and global partnership for sustainable development, in late April, the G-77/China stressed that another round of discussions on the need for a TFM “is not necessary,” and called for realizing “now” a global mechanism for the development, transfer and dissemination of technology for the implementation of the SDGs. This Group also said discussions should focus on establishing a TFM under the UN, and on the scope of its mandate, functions and institutional arrangements. It added that the scope should encompass the “breadth and depth” of the 17 SDGs, since technology is crucial for the implementation of each Goal. Discussions on broader regulatory issues of technology and innovation, the Group said, belong under FfD3. The EU spoke of the importance of STI as a driver of the sustainable development pathway and expressed readiness to engage in further consideration of the TFM issues in the broader preparations for FfD3. Some other developed countries noted the lack of consensus among Member States on a TFM and observed that the UNGA President’s summary of the structured dialogues “is not a consensus document.”

Movement towards establishing a TFM eventually was made during the third FfD3 drafting session, in June 2015. During an ambassador-level plenary discussion on Sunday morning, 21 June, Co-Facilitator George Talbot (Guyana) said the work conducted overnight “had closed many gaps,” with significant progress in negotiations on various issues, including on the TFM. The Earth Negotiations Bulletin reported that Talbot and fellow Co-Facilitator Geir Pedersen (Norway) had tasked “co-co-facilitators” with leading informal consultations on technology, among other issues, with representatives of Brazil and France facilitating talks on technology beginning a few days earlier.

Agreement in the Context of FfD3: The FfD3 talks concluded with agreement to establish a TFM, as reflected in paragraph 123 of the Addis Ababa Action Agenda (AAAA), the outcome document from FfD3. According to this paragraph, Member States decided to establish a TFM to be launched at the UN Summit for the adoption of the Post-2015 Development Agenda in September 2015, in order to support the SDGs.

Paragraph 123 states that the TFM comprises:

a UN inter-agency task team on STI for the SDGs to promote coordination, coherence and cooperation within the UN system on STI related matters;
an online platform to establish a comprehensive mapping of, and serve as a gateway for information on, existing STI initiatives, mechanisms and programmes so as to facilitate access to information, knowledge and experience, best practices and lessons learned, and facilitate the dissemination of relevant open access scientific publications generated worldwide; and
a multi-stakeholder forum on STI for the SDGs to be convened once a year, for a period of two days, to discuss STI cooperation around thematic areas for the implementation of the SDGs, congregating all relevant stakeholders to actively contribute in their area of expertise.

The paragraph also states that: the meetings of the multi-stakeholder forum will be co-chaired by two Member States and will result in a summary serving as an input to the meetings of the HLPF, in the context of the follow-up and review of the implementation of the post-2015 development agenda; and the themes for the subsequent multi-stakeholder forum on STI for the SDGs will be considered by the HLPF, taking into account expert inputs from the task team.

TFM and the 2030 Agenda for Sustainable Development: Immediately after the AAAA was adopted in Addis Ababa, negotiators convened at UN Headquarters in New York to complete talks on the post-2015 development agenda, where the TFM was still up for discussion.

Discussions on how to refer to technology transfer in the post-2015 outcome focused mainly on whether the AAAA paragraph 123 on the TFM should be reflected, and how it should be reflected. The G-77/China and several developing countries, for instance, proposed including the full text of paragraph 123 in the post-2015 outcome document. Japan stressed the need “to satisfy the gentleman’s agreement” reached in Addis Ababa, according to which, he said, the post-2015 document should use the FfD3 text on the TFM. Other developed countries, including the EU, Canada and the UK, however, called for a shorter reference to paragraph 123, while some opposed bringing the paragraph into the post-2015 outcome document or creating an annex to reflect paragraph 123.

In the end, paragraph 70 of the post-2015 outcome document, titled “Transforming our World: the 2030 Agenda for Sustainable Development,” fully incorporates the AAAA agreement on the TFM, indicating that UN Member States have decided to launch a TFM “which was established by the Addis Ababa Action Agenda” in order to support the SDGs. The paragraph reproduces paragraph 123 of the AAAA, noting that the TFM will be based on a multi-stakeholder collaboration between Member States, civil society, the private sector, the scientific community, UN entities and other stakeholders and will be composed of a UN Interagency Task Team on STI for the SDGs, a collaborative multi-stakeholder forum on STI for the SDGs, and an on-line platform.

TFM Launch and Looking Forward: Macharia Kamau, Co-Facilitator of the intergovernmental negotiations on the post-2015 development agenda (Kenya), told participants at an event on the role of STI in achieving sustainable development that development can no longer be seen as a cooperation effort for developing countries only. He said it is now defined as a “transformational experience for the entire world” and will require a different way of engaging with STI, “one that bridges the North-South divide.” While the discussions on the TFM extended over three years, some think the process that fed into its development could help to build bridges for its successful implementation. In this regard, Brazil emphasized, during the endorsement of the AAAA at UNGA on 27 July 2015, that the agreement on a TFM in the AAAA constitutes an example of constructive North-South dialogue. On 26 September 2015, a high-level event on the sidelines of the UN Sustainable Development Summit will mark the launch of the long-discussed Technology Facilitation Mechanism. Now that it has moved from concept to dialogue to decision, the real test will then begin: it must lead to tangible results and real outcomes on the ground.

This policy brief is authored by Nathalie Risse and Lynn Wagner.