A Strategic Guide for Stakeholders - World Banksiteresources.worldbank.org/EDUCATION/Resources/278200... · 2015-12-31 · 2 Pence, Kowalski, Gregory DRAFT: Not for Distribution UMNG

Pence, Kowalski, Gregory DRAFT: Not for Distribution UMNG Colombia TTO December 7, 2009

The Universidad Militar Nueva Granada Technology Transfer Office:

A Pivotal Role for Advancing Innovation in Colombia

A Strategic Guide for Stakeholders

Natalia Sepulveda Pence*, R.N., J.D., Stuttgart, Germany ([email protected])

Stanley P. Kowalski, J.D., Ph.D., Franklin Pierce Law Center, International Technology

Transfer Institute (ITTI) ([email protected])

Peter Gregory, Ph.D., Cornell University, College of Agriculture and Life Sciences

([email protected])

*to whom correspondence should be directed

2

Pence, Kowalski, Gregory DRAFT: Not for Distribution

UMNG Colombia TTO December 7, 2009

Acknowledgements

We would like to express the deepest appreciation to Nestor Gabriel Sepulveda, Ph.D. for his

continued encouragement, guidance and support throughout this endeavor. Dr. Nestor

Sepulveda, professor of Mechatronics Engineering and former Dean of Engineering at the

Universidad Militar Nueva Granada, was a pivotal person in the commencement of this project.

His vision in leading UMNG and Colombia to the forefront of technological advancement was a

true source of inspiration.

In addition, would wish to express our sincere appreciation to Professors Barry Shanks and Jon

Cavicchi of the Franklin Pierce Law Center, for their expert and dedicated guidance and

assistance with accessing the wealth of reference materials that were essential in developing this

document.

And we wish to add a special note of appreciation to Dr. Carolina Roa-Rodriguez, from the

Regulatory Institutions Network of the Australian National University, for her invaluable

assistance. She helped us to understand the complexity and nuances related to the regulation and

management of genetic resources and biodiversity in Colombia.

3



Table of Contents

Executive Summary ……………………………………………………………........4

Introduction ………………………………………………………………………….8

Vision and Mission ....................................................................................................13

Challenges and Opportunities ....................................................................................13

Strategy and Implementation......................................................................................20

Focus Region for National Resource Development: Genetic Resources ...................27

Public Private Partnerships and Innovation Management Strategy............................37

Conclusions.................................................................................................................42

Appendices..................................................................................................................44

Works Cited................................................................................................................57

About the Authors.......................................................................................................62

4



Executive Summary

Directed towards donors and stakeholders, this document discusses the need, rationale,

and context and then outlines a strategy for the establishment of a technology transfer office

(TTO) in Universidad Militar Nueva Granada, a private university located in Bogotá, Colombia

(UMNG). This TTO will serve as a platform to capture excellence in basic research and

development (R&D), harvest technological advances with innovative potential, and manage

these innovations towards product development. The focus of the TTO, on biotechnology in

health and agriculture and Colombia‟s vast national treasure of biodiversity and genetic

resources, will both provide economic opportunity for the people of Colombia and also position

UMNG to be a competitive player in the regional and global marketplace.

A TTO in UMNG would not only address the immediate needs of UMNG, but could

serve as a model for Colombia‟s broader efforts in linking basic science with commerce. The

role of the TTO will be to promote innovation within the various schools, commercialize R&D

products through patenting and licensing initiatives, and establish working relations with the

industry, other scientific institutions, and international partners (both from the public and private

sectors). Additionally, the TTO will serve as a center where students can learn about intellectual

property (IP) management, technology transfer, and innovation and commercial development,

thereby gaining real-world, practical, hands-on experience.

Specifically, this document seeks to:

Provide a vision and mission statement for the TTO,

Define the need for an academic based TTO while addressing present challenges

and opportunities,

Define the roles of the TTO, e.g., IP management, licensing, patent strategies,

contract negotiations,

Propose an effective, long-term sustainable strategy for the construction and

implementation of the TTO, and

Elaborate on the priority activities that have already been implemented to achieve

these objectives and the resources required to achieve them.

5



Extraordinarily rich in biodiversity, Colombia possesses enormous untapped potential.

Colombia comprises 10% of the world‟s flora and fauna, ranks 7th

worldwide in species diversity

and is one of the world‟s 12 mega-biodiversity countries with a variety of distinct ecosystems

(Hill 2000, 189).

Equally rich in human resources, Colombia possesses one of Latin America‟s strongest

Educational Policies and National Science and Innovation Systems, as well as a vast array of IP

laws. It is also a signatory to numerous international conventions, protocols and IP treaties.

The Colombian government has defined a goal of promoting industry-science linkages in

the “Plan Estratégico Institutional 2010” (Vestergaard 2005, 26). But despite having a pro-IP,

science and innovation foundation, Colombia still lacks the necessary monitoring,

implementation and enforcement of IP and innovation policies required to fully realize the

potential of its vast resources, both human and natural (38).

Furthermore, innovation in Colombia is not strongly linked with R&D, first because of

the existing poor relationship between the university sector and private enterprise, and second

because of the perceived low rate of return on behalf of the private sector: the private sector

argues that university research initiatives do not address the industry‟s specific needs. Hence,

although Colombia possesses a number of private and public universities with excellent R&D

programs (many in the biological sciences), most of the research advancements made within the

confines of these institutions are never commercialized. Thus, something needs to be done to

create linkages and lower transaction costs.

TTOs are precisely the type of institutional intermediaries that can facilitate the

successful commercialization of innovations arising from university R&D. A properly equipped,

staffed, trained, organized and administered TTO can address a chronic set of problems plaguing

the advancement of innovation in Colombia: inadequate institutional mechanisms so necessary to

consolidate capabilities and focus resources in order to drive competitiveness, from early stage

R&D towards introduction of new products and processes into the global marketplace (Thorn

and Soo 2006, 3; Marotta et al. 2007, 3).

The TTO at the UMNG will serve as a model of an academically-based TTO for

Colombia, by fostering the greater research enterprises of UMNG via licensing of biotechnology

innovations made by UMNG scientists, functioning as an intermediary between basic R&D and

6



innovation development and commercialization, and also by accelerating access to innovations

from other institutions around the world. Additionally, the TTO could further the goals of the

Convention on Biological Diversity (CBD) via its participation as a Clearing House Mechanism

(CHM) as well as a centralized Competent National Authority (CNA). The CHM/CNA system

was established by the CBD to promote technical and scientific cooperation and exchange of

information among the parties of the Convention and to regulate access and equitable benefit

sharing provisions (GTZ Database 2002). Currently, administration of the CBD in Colombia is

fragmented across several official agencies and authorities. Consolidation of actual CBD

implementation in one office, e.g., a TTO at UMNG, could significantly facilitate practical

implementation of the access and benefit sharing (ABS) provisions of the CBD in Colombia.

The fundamental challenges facing Colombia‟s National Innovation System can be

summarized as:

Lack of communication, trust and working-relationships between the university and

industry sectors

Poor understanding of the concept and importance of innovation

Lack of R&D resources in the university setting

Lack of academic based technology transfer intermediaries

Lack of IP knowledge and management

Failure to recognize the potential value of Colombia‟s vast mega biodiversity

The construction of the UMNG TTO takes into account the above identified challenges

and characteristics. As such, we propose its development to occur in phases. Each phase

identifies a particular goal and the necessary steps for achieving that goal.

Phase 1: Needs Assessment and Strategic Analysis

Phase 2: Development of a Strategic Plan:

Establishment of a TTO

Development of initial human resources and physical infrastructure

Identification and development of Colombia‟s genetic resources and application

of Biotechnology

Phase 3: Fundraising

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Phase 4: Preliminary Implementation of Strategic Plan: Education and further

discussions

Colombia is poised to enter the 21st century as a regional leader in science, technology

and innovation. All the essential components are present. Yet, Colombia remains in a

paradoxical state in that it still balances stability with instability, poverty and wealth, education

and ignorance; hence Colombia will require further consolidation of resources, talent and

expertise in order to make the next step in development, i.e., towards becoming a knowledge-

based economy and society (Kruijt and Koonings, 2008). A centralized TTO at UMNG can be a

core component for a comprehensive strategy, serving the needs of UMNG, providing a platform

for training and capacity building, and illuminating the way forward as an institutional model for

sustainable development of science, technology and innovation in Colombia.

UMN G

TTO

CO M M ER C IAL

SE C TOR

COLO MB IA’S B IOD I VE R S I TY

A G RIC U LT U RE

AND

B IOLO G Y

U M N G

R&D

8



Introduction

Colombia possesses enormous untapped potential in both human and natural resources.

Extraordinarily rich in biodiversity, Colombia ranks first in bird species and amphibians, second

in vascular plants, and third in mammals worldwide (Myers 2005, 1), comprises 10% of the

world‟s flora and fauna, ranks 7th

worldwide in species diversity and is one of 12 mega-

biodiversity countries with a variety of distinct ecosystems (Hill 2000, 189). Colombia

possesses one of Latin America‟s strongest Educational Policies, National Science and

Innovation Systems, as well as a vast array of intellectual property (IP) laws, and is signatory to

numerous international conventions, protocols and IP treaties. Additionally, the Colombian

government has defined a goal of promoting industry-science linkages in the “Plan Estratégico

Institutional 2010” (Vestergaard 2005, 26).1 According to the Director of Colciencias, Maria del

Rosario Guerra, the “Plan Estratégico Institucional 2010” seeks to reevaluate Colombia‟s

education system in science and technology, reinforce the social emphasis on science and

technology in the country, and generate an industrial culture surrounding innovation by forming

the Colombian Ministry of Science and Technology (La Republica 2006).2 But despite having a

pro-IP, science and innovation foundation, Colombia still lacks the necessary monitoring,

implementation and enforcement of IP and innovation policies required to fully realize the

potential of its vast resources, both human and natural (Vestergaard 2005, 38).

Both the production and dissemination of knowledge are effectuated through enforceable

IP laws and policies. This is particularly critical as a country transitions from a predominantly

agricultural and/or industrial base towards a knowledge-based economy with an increased

investment in research and development (R&D) activities and accumulation of technology.

Knowledge production and dissemination play a critical role in the sustainability of a country‟s

economic growth. These two factors have been recognized as having more effect in terms of

1 A Strategic Plan is the process of comprehensive, integrative program planning that considers, at a minimum, the

future of current decisions, overall policy, organizational development, and links to operational plans.

www.epa.gov/evaluate/glossary/s-esd.htm 2 Colciencias, created in 1968, is the Administrative Department of Science, Technology and Innovation for

Colombia. It funds and coordinates the efforts of the National System of Science, Technology and Innovation

(SCNTI) on a national, regional and local level. http://quihicha.colciencias.gov.co/web/guest/sobrecolciencias

http://www.google.com/url?sa=X&start=4&oi=define&q=http://www.epa.gov/evaluate/glossary/s-esd.htm&usg=AFQjCNFcAgOMiFF-kQJiKOOiJzzUNlH1MA

9



economic growth than capital and industrial infrastructure (Lucio-Arias 2006, 237). Knowledge

production and dissemination are the results of both innovation and invention.

It is important to bear in mind that innovation is not the same as invention. Invention is

the first occurrence of an idea for a new product or process and its reduction to practice, while

innovation is when it is put to use and causes has social or commercial impact … the successful

implementation of creative ideas (i.e., inventions). Innovation can be defined as the successful

introduction of something new and useful, for example introducing new methods, techniques, or

practices or new or altered products and services. It is a “systemic and complex social process

involving people in different (economic, social, cultural and political) roles” that causes a social

or commercial impact through the successful implementation of creative ideas (i.e., inventions).

It is perceived to be the engine of national competitiveness (237-238).

Closely tied to Invention and Innovation is the public sector (e.g., government, university

and other non-profit organizations). The role of the public sector is critical in developing

inventions and innovations through research initiatives. However, these research initiatives are

oftentimes delayed as a result of poor funding by the government. Thus, Public/Private funding

is instrumental in the success of such research initiatives because this partnership unites the

collaboration of donors such as philanthropists, governmental agencies, inter-governmental

agencies with academics, industry and non-profit organizations (Widdus 2005, S2). Such public-

private partnerships can allocate resources and thereby balance risks that inevitably arise

throughout the various stages of the research enterprise, i.e., risk defined as social vs.

commercial benefits arising from R&D investments. This is particularly true in the area of

combating infectious and parasitic diseases worldwide, such as HIV/AIDS and Tuberculosis. It

was observed that the independent efforts of the public sector or by non-governmental

organizations failed in these particular endeavors (S1-S2).

The public sector herein is defined as government and university systems, non-profit

institutions, national research organizations and the like, while the private sector is defined as the

industry or the for-profit sector such as the pharmaceutical, agricultural, or biotechnology sectors

(S4). In Latin America, universities as segments of the public sector, make up a prominent part

of all national innovation systems: first, they are the primary employers of researchers and

second, more than 60% of all researchers in Latin American countries are employed by

10



universities (Thorn and Soo 2006, 3).3 In Colombia, universities have the most number of

research groups, as compared to the private industry, with 84% of national research projects

being carried out within this academic sector (Lucio-Arias 2006, 239). Additionally, Colombia

is a pioneer in Latin America with regards to the structural organization of the research group

(Zarama et al. 2007, 367).

However, innovation in Colombia is not strongly linked with research activities, first

because of the existing poor relationship between the university sector and private enterprise and

second, because of the perceived low rate of return on behalf of the private sector: the private

sector argues that university research initiatives do not address the industry‟s specific needs. As

of 2006, only 1% of all Colombian research projects involve the private sector (Lucio-Arias

2006, 239). Thus, it seems that the private sector lacks understanding about the various roles

Colombian universities play in innovation and the positive impact that a collaboration of private

industry with academia can make in developing a sustainable economy. Hence, it must be

stressed that universities and industry have independent, but complementary tasks: universities

produce fundamental research and the industry utilizes the results for practical application and

product development (Thorn and Soo 2006, 4).

Universities have a third mission in addition to teaching and research: the role of

cooperative extension which is defined as moving innovations into commercialization for the

benefit of society (3). Although, Colombia possesses a number of private and public universities

with excellent biological science programs, many of the research advancements made within the

confines of these institutions are never commercialized. Additionally, the distant relationship

and inadequate linkage between the academic sector and private enterprise results in a minimal

amount of basic R&D moving towards innovations and commercial product development

(Lucio-Arias 2006, 239; Vestergaard 2005, 41). This is in great part due to the lack of

university-based intermediaries which can connect investments in R&D with the commercial

sector. Attempts to advance such academic based intermediaries in Colombia are still in the

early phases of conceptualization and development (Vestergaard 2005, 87). Yet, academic based

technology transfer offices (TTO) are precisely the type of institutional intermediaries that can

facilitate the successful commercialization of innovations arising from university R&D. Hence,

3 These figures are particularly true for Colombia, Mexico, Argentina and Brazil.

11



a properly equipped, staffed, trained, organized and administered TTO can address a chronic set

of problems plaguing the advancement of innovation in Colombia: inadequate institutional

mechanisms so necessary to consolidate capabilities and focus resources in order to drive

competitiveness, from early stage R&D towards introduction of new products and processes into

the global marketplace (Thorn and Soo 2006, 3; Marotta et al. 2007, 3). In a fundamental sense,

inadequate IP capacity, IP management, technology transfer and licensing capabilities entail

some of the challenges that need to be overcome in order to forge a link between the public and

private sectors and move innovations from basic research to practical public benefit i.e., from

knowledge to know-how to products.

An attempt to link the science and industry sectors was made with the establishment of

Technology Development Centers (TDC) (Lucio-Arias 2006, 238). Colombia has 47 of these

with each TDC focusing on a particular sector of the industry (Vestergaard 2005, 87, 91). Their

key activities are geared towards providing and supporting technological services to private

enterprises and promoting technology transfer in particular regions (87). The TDCs employ

Ph.D. and Master Degree students, but have no working relationship with the university sector

(88). Additionally, TDCs were regarded as competitors to universities rather than as

collaborators. The TDCs attempted to offer the same services as a university in R&D to the

private industry, but after 10 years in existence, TDCs have been unable to financially sustain

themselves due to lack of permanent funding. Additionally, the existence of such independent

and non-academic based TDCs appears to stand in contradistinction to policy goal of the

National Innovation System; that is, to forge a dynamic link between science and industry.

Hence, intermediaries, e.g., public sector-based TTOs, offer many opportunities for

bringing the private sector into close interaction with the university researcher (91). Such

university based intermediaries would not only profit from a diverse array of human capital and

public investment, but, in a broader sense, universities and private industry would both benefit:

the capabilities of the private industry to innovate would expand and the university could realize

tangible benefits, whether in a greater societal value (e.g., vaccines or advanced crop varieties) or

a financial return (e.g., advanced biotechnological applications in agriculture) from

collaborations via patenting, licensing, collaborative research agreements and start-up, spin-off

initiatives. Additionally, TTOs can serve to track potential industrial research opportunities,

12



support commercialization processes and develop general guidelines for the university-industry

partnership (Thorn and Soo 2006, 18). One example of a model for an academic based TTO in

Colombia is the Centro Internacional de Física (CIF) which has led to a number of commercially

promising patents, R&D projects and to the formation of enterprises (Vestergaard 2005, 91).

The following illustration represents the role of the proposed TTO for Universidad Militar Nueva

Granada (UMNG):

This document, as directed towards donors and stakeholders, outlines a strategy for the

establishment of an academic based TTO in UMNG. This TTO can then serve as a platform to

capture the genius of basic R&D and then manage these innovations towards product

development, with a particular focus in biotechnology in health and agriculture and Colombia‟s

vast national treasure of biodiversity and genetic resources.

Specifically, it sets out to:

Provide a vision and mission statement for the TTO

Define the need for an academic based TTO while addressing present challenges

and opportunities

Define the role of the TTO

Propose an effective, long term sustainable strategy for the construction and

implementation of the TTO

Elaborate on the priority activities that have already been implemented to achieve

these objectives and the resources required to achieve them.

UMN G

TTO

CO M M ER C IAL SE C TOR COLO MB IA’S

B IOD I VE R S I TY

A G RIC U LT U RE AND

B IOLO G Y

U M N G R&D

13



Vision and Mission

Academic based TTOs will aid the goal of Colombia‟s National Innovation System by

facilitating the flow of technology and information among people, enterprises and institutions,

particularly the university and industry. The flow of technology and the relationship between

academia and industry not only serves to stimulate innovation, but also to advance public good,

education and sustainable development.

The TTO at the UMNG will serve as the model of an academic based TTO for Colombia,

by fostering the greater research enterprises of UMNG via licensing of biotechnology

innovations made by UMNG scientists and also by accelerating access to innovations from other

institutions around the world. Additionally, the TTO aims to further the goals of the Convention

on Biological Diversity (CBD) via its participation as a Clearing House Mechanism (CHM) as

well as a centralized Competent National Authority (CNA). The CHM/CNA system was

established by the CBD to promote technical and scientific cooperation and exchange of

information among the parties of the Convention and to regulate access and equitable benefit

sharing provisions. Colombia ratified the Convention on Biological Diversity and is presently

taking part in the CHM (GTZ Database 2002).4

Challenges and Opportunities

A. Challenges

Institutionally, Colombia has one of the most highly developed innovation systems in

Latin America (Vestergaard 2005, 26).5 In 2005, Colombia ranked 57 out of 117 countries in

global competitiveness and 74 out of 117 on technological innovation (Poverty Reduction and

Economic Management 2005, 8). Its National Innovation System (NIS) is well equipped with

key agencies, intermediary structures such as TDCs, Councils of National Science and

4 For more information on Implementing the Clearing House Mechanism in Colombia ( A German-Colombian

Cooperation Project, visit http://www.gtz.de/de/dokumente/en-biodiv-colombia-chm-2002.pdf 5 Lucio-Arias, D. 2006. Fueling a National Innovation System in Colombia. Industry and Higher Education

(August): 238. A National Innovation System can be defined as “a network of institutions in which activities and

relations start, import, modify and diffuse new knowledge and technology. It is a set of elements and their relations

that participate in the production, diffusion and use of new and economically useful knowledge.”

14



technology programs, promotion programs, and NIS legislation including IP laws and Plant

Variety Protection (PVP) (55).6 Colombia is also a member of WIPO, TRIPS, WTO and other

bodies such as the Andean community, G-3, UPOV and the CBD (WIPO Database a).7

Colombia membership in International Bodies includes membership in the WIPO treaties

(with year of accession, Colombia (CO)):

WIPO Convention, since May 1980.

Berne Convention (Literary and Artistic Works), since March 1988.

PCT (Patents), since February 2001.

Rome Convention (Performers, Producers of Phonograms and Broadcasting

Organisations), since September 1976.

Geneva Convention (Unauthorized Duplication of Phonograms), since May 1994.

WCT (WIPO Copyright Treaty), since March 2002.

WPPT (WIPO Performances and Phonograms Treaty), since May 2002.

Colombia has been a member of the WTO and therefore a Signatory to TRIPS Agreement, since

April 1995. Colombia has membership in other bodies/treaties relating to IP, including:

6 The key agencies involved in the direction and coordination of Colombia‟s innovation system are the National

Council of Science and Technology, Colciencias, the Councils of the National Programs of Science and Technology,

the Regional Commissions of Science and Technology, the Colombian Observatory of Science and Technology and

SENA. 7 WIPO is the World Intellectual Property Organization. It has been a specialized agency of the United Nations

since 1974, and administers a number of international unions or treaties in the area of intellectual property, such as

the Paris, Berne, PCT, Rome, and Geneva Conventions, WIPO Copyright Treaty (WCT), and WIPO Performances

and Phonograms Treaty. .http://www.wto.org/english/tratop_e/trips_e/tripfq_e.htm#WIPO

TRIPS is the World Trade Organization‟s (WTO) Agreement on Trade Related Aspects of Intellectual Property

Rights, negotiated in the 1986-94 Uruguay Round, which introduced IP rules into the multilateral trading system for

the first time. The TRIPS agreement applies to all WTO members.

.http://www.wto.org/english/thewto_e/whatis_e/tif_e/agrm7_e.htm.

The WTO is the only international organization dealing with the rules of trade between nations. Presently there are

153 member countries. http://www.wto.org/english/thewto_e/whatis_e/whatis_e.htm.

The Andean Community is a community of four Latin American countries, Bolivia, Colombia, Ecuador and Chile

that comprises one of the two main trading blocs in South America. The goal of the Andean Community is to

ensure and promote sustainable development among the countries through economic and social cooperation.

http://www.comunidadandina.org/INGLES/quienes/brief.htm

The G-3 is a free trade agreement between Colombia, Mexico and Venezuela which came into effect in 1995.

http://www.sice.oas.org/TPD/G_3/G3_e.asp

UPOV is the International Union for the Protection of New Varieties of Plants and its objective is the protection of

these plants by an IP right. http://www.upov.int/index_en.html

Convention on Biological Diversity (CBD) is a convention signed by 150 government bodies in an effort to

promote sustainable development. The Convention establishes three main goals: the conservation of biological

diversity, the sustainable use of its components, and the fair and equitable sharing of the benefits from the use of

genetic resources. http://www.cbd.int/convention/guide.shtml

http://www.wto.org/english/thewto_e/whatis_e/tif_e/agrm7_e.htm

http://www.wto.org/english/thewto_e/whatis_e/whatis_e.htm

http://www.comunidadandina.org/INGLES/quienes/brief.htm

http://www.sice.oas.org/TPD/G_3/G3_e.asp

http://www.upov.int/index_en.html

15



Member of Andean Community since January 1993.

Member of G-3 since January 1995.

Member of UCC since March 1976.

Member of UPOV since September 1996.

Convention on Biological Diversity (CBD), Party since: 1994/11/28, (Ratification,

see: http://www.cbd.int/countries/?country=co)

Yet, despite its well defined NIS and its membership in the above named treaties and

conventions, Colombia remains largely unable to enforce, manage, and strategically utilize IP

rights and successfully innovate at a globally competitive level (Vestergaard 2005, 38). IP rights

include, but are not limited to, patents, trademarks, copyrights, trade secrets and geographic

indications, and IP management can include licensing (both in and out), collaborative research

programs and public private partnerships.

Patenting activity and scientific publications are often a strong indicator of the strength

and effectiveness of a country‟s NIS. It reflects the country‟s efforts to innovate through

expenditures in R&D, its desire to compete globally and its attractiveness to foreign investors.

(Marotta et al. 2007, 5) Despite a well-established IP legal infrastructure, Colombia patent

statistics reveal that through its own patent office, the majority of patent filers and holders are

non-residents (See Figure 1 thru 4, Appendix 1). For example, during 1995-2007, the US was a

primary filing nation in Colombia‟s own patent office and, in the international arena, Colombia‟s

Receiving Office filed one PCT application.8 Moreover, in comparison to other Latin American

countries including Brazil, Chile, and Venezuela, Colombia ranks last in terms of scientific

publications for 2004 (Fog 2004) (See Figure 5, Appendix 1). This is despite a progressive

increase in researchers that occurred from 2002 to 2004 (See Figure 6, Appendix 1). The decline

in R&D investments, resulting from unstable public funds and the low priority of Colombia‟s

science and technology policies during 1996-2002 could likely account for such data

(Vestergaard 2005, 59, 61).

8 PCT applications are counted in the year/month in which they are filed with a PCT Receiving Office. Although

the patent statistics show that there were a number of PCT filings by Country of Origin for Colombia, the low

number indicates that the PCT system is underutilized. For these statistics, go to

http://www.wipo.int/ipstats/en/statistics/patents/pdf/pct_monthly_report.pdf pages 6 and 10.

http://www.wipo.int/ipstats/en/statistics/patents/pdf/pct_monthly_report.pdf

16



Colombia has made several efforts to achieve the goals of its National Innovation Policy

beginning with the creation of Colciencias in 1968 to serve as a public fund for financing and

promoting scientific policy (Lucio-Arias 2006, 238). Presently, Colciencias is the largest source

of public funding for science and technology and charged with the task of continuously

improving the innovation system (Vestergaard 2005, 57). Colciencias funds science and

technology initiatives both in the public and private sector, but despite the efforts to strengthen

the scientific base, Colombia continues to lag behind in technological development and

economic growth. This is also due in great part to the lack of cooperative R&D efforts between

universities and industry and more funding being shuttled to the private sector (72). In 2008, the

Colombian government doubled the budget of Colciencias in an effort to boost scientific

investigation, technology development and innovation in Colombia (Colombia Private Council

on Competitiveness 2007).

The Colombian National Innovation System (NIS), created in 1995 under the auspices of

the National Science and Technology System (NSTS), was tasked with increasing the number of

quality innovative firms in Colombia (Lucio-Arias 2006, 238). The NSTS primary goal was also

to bring science to industry by providing 11 national science and technology promotion

programs through which both public and private sectors could further develop their R&D. The

purpose was to articulate scientific and technological capabilities to other sectors of society.

However, no requirement for public and private sector cooperation was emphasized or mandated

(Vestergaard 2005, 55). The NSTS and the NIS should have provided the right framework for

alliances between scientific institutions and industry, but these efforts proved unsuccessful

(Lucio Arias 2006, 238).

An additional attempt to link science and industry was made through the birth of the

TDCs, but as previously mentioned, these intermediaries have yet to form a formal relationship

with the academic sector (Vestergaard 2005, 88). Presently, Colombia has defined further

strategies to link science with industry in its “Plan Estratégico of 2010” which includes

reevaluating the higher education system in Colombia in terms of providing Colombian students

with access to monies for higher education, providing students with opportunities to study

abroad, and introducing additional accredited programs at the Bachelor, Master and Ph.D. levels

(ICETEX 2007, 5).

17



Higher education is the driving force behind the production of knowledge. This

knowledge is derived from R&D initiatives which, in turn, translate into innovation. As such, a

key component of science and innovation is the availability and quality of higher education

(Zarama et al. 2007, 365). This component has also been a priority of the Colombian

government. Colombia introduced its first Ph.D. program in 1994 (Vestergaard 2005, 73). As of

2002, Colombia has 315 Masters programs and 45 Ph.D. programs (Lucio-Arias 2006, 240).

However, despite this gradual increase in higher education programs, Colombia still falls

behind in terms of knowledge production. For example, in 2004, Colombia graduated 44

doctoral students in comparison to the 58,000 doctoral students graduated from U.S. universities.

Additionally, the number of Ph.D.‟s actually employed in the academic sector is low. Less than

4% of faculty in Colombian universities has a Ph.D. (Thorn and Soo 2006, 8). Because R&D is

largely conducted by graduate level students and Ph.D. level personnel, these low numbers

suggest that 1) the university setting is limited in its ability to partake in effective R&D, and 2)

Colombia is behind in the effectiveness of its overall R&D investments. This, in turn, not only

translates into limitations for the Colombian university, but also affects the career development

potential of Colombian university graduates. This situation is directly related to, and indeed

clearly indicated by the fact that there is a critical need for institutional mechanisms that foster

dynamic interactions between the pubic (e.g., universities) and private (e.g., industry) sectors

(Zarama et al. 2007, 366).

Analyzing the quality of education in terms of labor market needs was also a priority for

the Colombian government. Understanding the opportunities and the shortages in the labor

market would aid the Colombian government to design academic curricula to meet the needs of

the industry. As such, the Ministry of Education established a labor market observatory to

monitor and analyze the professional performance of university graduates. (Thorn and Soo 2006,

9) The result of these observations showed that many highly qualified professionals were

choosing to leave the country after finishing their studies (Lucio-Arias 2006, 240). This was in

great part due to less research intensive fields and the ability of these professionals to partake in

R&D. Additionally, the roles of academic professionals focus more on the teaching rather than

on research first, because their salary depends on teaching and second, because the role of the

Colombian university in innovation is not well understood (Vestergaard 2005, 38). Thus, the

18



academic staff is underutilized and under-stimulated, and the overall research enterprise in

Colombia, from public investment to advanced education, R&D and then commercial product

development suffers, remaining stagnant and constipated.

In sum, the fundamental problems of Colombia‟s National Innovation System can be

summarized as follows:

1. Lack of communication, trust and working-relationships between the university

and industry sector

2. Poor understanding of the concept and importance of innovation

3. Lack of R&D resources in the university setting

4. Lack of academic based technology transfer intermediaries

5. Lack of IP knowledge and management

6. Failure to recognize the potential value of Colombia‟s vast mega biodiversity

7. Failure to recognize the importance of the university as a primary source of

information, knowledge, inventive creativeness and innovation

B. Opportunities

Despite the slow progress of the NIS, Colombia has the necessary infrastructure in place

to promote innovation and sustainable development. The principal creator of knowledge in

Colombian society is the university, and the key to benefiting from such knowledge is to

implement a method by which the private and public sector can interact, jointly partake in R&D,

and stimulate economic growth by commercializing R&D products from such joint efforts. We

propose to establish an academic-based TTO in UMNG to serve as the model for Colombia‟s

efforts in linking science with industry. The role of the TTO will be to promote innovation

within the various schools, commercialize R&D products through patenting and licensing

initiatives, and establish working relations with the industry, other scientific institutions and

international partners (both from the public and private sectors). Additionally, the TTO will

serve as a center where students can learn about IP management, technology transfer, innovation

and commercial development, and thereby gain real-world, practical, live hands-on experience.

UMNG is a private university located in Bogotá, Colombia. Although the university was

initially founded as a military academy in 1962, it has since then significantly diversified its

19



educational programs and is now home to 10,000 full, part-time, and long distance learning

students of military and non-military backgrounds. The faculty is comprised of Ph.D.s and

Masters degree holders, many of whom were educated outside of Colombia, including the

U.S.A., Switzerland, Germany, and Brazil. Faculty/student ratio is quite favorable, with

approximately 1 professor for every 30 students; this is critically important for the establishment

of a successful research enterprise. Indeed, in Colombia, UMNG has the greatest number of

Ph.D. professors per students than any other university. Hence, a TTO strategically situated at

UMNG has a greater likelihood of positive and sustained impact, both on the university itself,

and also, more importantly, on the nation.

UMNG is comprised of 6 major schools: the School of Engineering, School of Medicine,

School of Sciences, School of Law, School of Economics, and the School of International

Relations, Strategy and Security. In addition to the Bachelor‟s of Science degrees, UMNG offers

7 different Master‟s Degree programs. Moreover, the School of Engineering is in the process of

formulating its first Ph.D. program that includes degree requirements, accreditation and the like.

The most dramatic growth has been in the School of Sciences. UMNG recently broke

ground to construct the School of Applied Biological Sciences in Cajica, a small innovative town

just 40 minutes from Bogotá proper. This 7.5 million dollar investment signifies the university‟s

desire to become the leading institution of higher learning in Biological Applied Sciences in

Colombia. Called the Mega Campus, it will not only house the biological students, comprising

260 undergraduate and 20 graduate students, but will also serve as the foundation for a

technological park in which science and industry can collaborate. As such, we propose to embed

the academic TTO within this new Mega Campus.

The School of Applied Biological Sciences has participated in several externally funded

projects ranging from ecological, horticultural, and entomological to agricultural research

initiatives (See Appendix 2 for some of UMNG R&D projects). Although these initiatives were

successful within the context of research programs, they failed to generate downstream

commercialized products. This failure can be, at least in part, attributed to a lack of capacity in

managing innovations to market, that is, IP property management and technology transfer

capacities. Additionally, the School‟s capital equipment is currently inadequate for advancing

integrative programs in biotechnology and biodiversity (See Appendix 2 for UMNG‟s Capital

20



equipment). Recognizing the value and enormous potential and value of Colombia‟s Mega bio-

diverse genetic resources, UMNG is dedicated to establishing an institutional infrastructure

which will sustainably develop this national treasure. Indeed, UMNG is poised to become the

leader in this endeavor.

Strategy and Implementation

The overall purpose of this project is to advance innovation in Colombia by facilitating

the transfer of marketable knowledge between the academic sector (universities) and private

sector (industry). Our strategic approach, and principal focus, is to help establish a TTO within

the School of Applied Biological Sciences of UMNG, situated at the new mega-campus at

Cajica. The goal is to engage the university and the private sector into collaborative research and

commercialization efforts to aid in developing Colombia‟s biotechnology base and also to

rationally assess, manage and develop Colombia‟s vast biological mega-diversity and genetic

resources. The prime objectives of the TTO are public benefit, sustainable economic

development and income generation. These objectives are consistent, support, and add value to

UMNG‟s mission:

“The Universidad Militar „Nueva Granada‟ erects itself as a reflexive and critical

community, based on constitutional principles and values that allow it to provide higher

education to military force members, their families and the community in general. This

entity provides to the state as well as the private sector the solution of the national

problems, aiming, through its quality, at the consolidation of the research processes,

integration and international cooperation.”9

Hence, the policy objective of advancing science, technology and innovation in Colombia

is advanced via the strategic establishment of a TTO at Cajica. Once established, this TTO can

use a number of tactics to advance its mission, e.g., patenting, licensing, participation in public-

private partnerships, international collaborations.

9 For more information about the University Militar Nueva Granada, go to http://www.umng.edu.co

21



Additionally, the goal of the TTO is to ensure long-term returns such as sustained

partnerships, job creation and societal well-being by facilitating innovation and brokering the

exchange and dissemination of knowledge. The office will also be tasked with fostering a

knowledge-based economy in Colombia, building awareness of the role of IP in national

development, and establishing sustainable capacity in innovation management. The following

articulates the role of TTOs as it relates to IP management in a developing economy, such as

Colombia.

IP and the role of TTOs

“Technology transfer is the process of converting scientific findings into useful products or

services for society. A complex endeavor, it takes place in the broader context of innovation”

(Krattiger et al. 2007, 73).

IP Management Offices/TTOs are the institutional structures that are essential for focused

and sustainable implementation of innovation, functioning as hubs, i.e., as intermediaries, which

coordinate critical activities in the national research enterprise, including research investment,

product development strategies, licensing approaches and partnerships in innovation

commercialization.

In addition, IP Management Offices/TTOs are not only transaction intermediaries, but

have the potential as a major influence in the global economic context, in which they can

promote a national strategy to protect and valorize knowledge, inventions and innovation (73-

79).

There are four key reasons for public research organizations to advance technology

transfer:

1. Technology transfer facilitates the commercialization of research results for the public

good;

2. It rewards, retains, and recruit high-quality researchers;

3. Technology transfer builds close ties to industry; and

4. The process generates income for further research and education, and thus promotes

economic growth (Young 2007, 545).

Additionally, TTOs can play multiple roles in R&D institutes through the following:

22



Protection of IP

Revenues through licensing of IP

Education and awareness

Networking

Creation of new start-up companies

Institutional policies related to technology transfer and

Service to society (Maredia et al. 2007, 15-18).

Establishing and operating a TTO involves a number of steps including the understanding

of:

Fundamentals of IP law, management and strategy

Basics of technology transfer and potential commercialization routes

Licensing overview

How IP and business intersect

Global patent strategy (e.g., PCT prosecution)

Identification and evaluation of IP

Commercialization planning

Negotiation of a license agreement

Institutional IP policy development

Interaction with scientists and institutional staff

It is critical to stress that understanding the fundamentals of IP will not only aid in the

establishment of a TTO, but will also help to identify a strategy for sustainable IP management

capacity building (Pefile and Krattiger 2007, 597-615).

In the United States, there are seven characteristics that are common to most exemplary

offices (e.g., Stanford, MIT, NIH):

1. A clearly stated TTO mission

2. Transparent TTO policies and procedures

3. Entrepreneurial staffing and an entrepreneurial environment

4. Customer-friendly relations with both internal and external constituents by TTO staff

23



5. A highly supportive university administration and community (local, regional, and

national)

6. Strong TTO links to potential industry partners

7. TTO access to risk, or venture, capital

These characteristics are vital in the continued success of these well structured TTOs (Young

2007, 556).

The UMNG TTO

The construction of the UMNG TTO takes into account the above identified lists and

characteristics. As such, we propose its development to occur in phases. Each phase identifies a

particular goal and the necessary steps for achieving that goal.

Phase 1: Needs Assessment and Strategic Analysis

Preliminary assessment of opportunities for further development:

In mid-November 2008, a team of IP, international development experts journeyed from

Pierce Law to Bogotá Colombia. Led by project manager Natalia Pence, R.N, J.D/LLM., the

purpose of this mission was to engage UMNG in preliminary discussions about building human

and institutional capacity and capabilities in IP management, technology transfer and innovation

mobilization. Accompanying Mrs. Pence were Dr. Stan Kowalski (Pierce Law, International

Technology Transfer Institute (ITTI) and Dr. Peter Gregory (International Professor of Plant

Breeding & Genetics Cornell University). Over a several day visit, the Pierce Law team

delivered a series of lectures to an audience of nearly 50 UMNG faculty and deans as well as

government officials.

The outcome was that UMNG expressed a great interest to continue with the project

followed by planning towards implementation, fund-raising efforts and coordination, and

alignment of UMNG‟s resources towards implementation.

Phase 2: Development of a Strategic Plan:

1. Establishment of a TTO:

a. Perform a comprehensive IP and technology audit of UMNG‟s current IP assets.

24



b. Determine institutional assets as an investment in the school‟s infrastructure.

c. Determine human capital.

d. Develop an institutional IP policy that is consistent with the mission of UMNG. The

IP policy establishes ownership of IP property developed at UMNG, forms of IP covered,

the administration of IP property and advocacy for IP management both within and

beyond UMNG (Kowalski 2007b).

e. Develop a strategic business plan for the UMNG TTO that would involve the role of

the TTO in economic development and projected projects, possible partnerships and

collaborations, at the national, regional and international levels.

f. Develop a finance strategy for the TTO.

g. Look to the case study examples of other countries in the establishment of TTO to

ascertain whether their methods of implementation are applicable to UMNG.

h. Determine whether or not there is Bayh-Dole like legislation that directs the

disposition and ownership of IP generated with government funding, and if there is no

such law, whether action should be taken towards appropriate draft legislation.

2. Development of initial human resources and physical infrastructure

a. Identify key contact person in UMNG to serve as the project leader.

b. Assemble the core team which will implement initial steps in establishment of TTO

which could include education and training in the United States and work experience in

US based TTOs and also membership in organizations such as The Association of

University Technology Managers (AUTM) and Licensing Executives Society

International (LESI) so as to increase networking opportunities.10

c. Determine the information technology (IT) resources such as internet access, patent

database access, computer facilities available for project use.

10

AUTM, a living, dynamic, global network of more than 3,500 technology transfer professionals who work in

academic, research, government, legal and commercial settings. AUTM is dedicated to promoting and supporting

technology transfer through education, advocacy, networking and communication. For more information, visit:

www.autm.net.

LESI is an association of 32 national and regional societies, each composed of men and women who have an

interest in the transfer of technology, or licensing of intellectual property rights - from technical know how and

patented inventions to software, copyright and trademarks. For More information, visit: www.lesi.org.

25



d. Determine knowledge resources available such as library resources, database access

and electronic document delivery systems.

e. Determine availability of physical resources such as office space, office furniture,

telephone equipment, copiers, and office supplies, computers, high-speed internet access.

f. Determination of administrative support such as secretarial support.

g. Plan IP management workshop.

3. Identification and development of Colombia’s genetic resources and application of

Biotechnology:

a. Determine or estimate Colombia‟s untapped resources which the institution can develop so

that the TTO can serve as a conduit that moves Colombia‟s mega-biodiversity and genetic

resources from a raw or natural resource to a commercialized product. Genetic resources and

biodiversity commercialization may be temporarily categorized according to short, mid and long-

term development objectives.

Short-term: Floral. For example, working with a native Heliconia species of

flowers (Atehortua, 1997), Bromelias, and Orchids which have a potential for

international market (InfoDev Database 2009) or furthering the industrial

development of Sericulture (Correa 2004).

Mid-term: Bio-prospecting for biological and genetic resources which could be

commercialized into cosme-ceuticals or nutra-ceuticals. For example, working

with antimutagenic, antioxidant and antimicrobial properties of Maytenus krukovii

bark (Bruni et al. 2006) or working with the antioxidant activity of the crude n-

hexane, dichloromethane, and methanol extracts from 25 species belonging to the

Astraceae, Euphorbiaceae, Rubiaceae and Solanaceae families collected at

natural reserves from the Eje Cafetero Ecorregion, Colombia (Mosquera et al.

2007).

Long-term: Use of genes from native species to improve agricultural crops. For

example, insect resistant, disease resistant and drought resistant genetically

engineered crops, such as engineering of novel insecticidal compounds from wild

26



species into cultivated crops, and/or orphan crops of important in local production

systems.

b. Develop and expand R&D efforts in Biotechnological applications. Biotechnological

application commercialization may be characterized according to short, mid and long-term

development.

Short-term: Floral. For example, UMNG is presently engaged in the R&D of

pest-resistant carnations.

Mid-term: Land mine eradication. The use of genetically-modified plants for

land mine detection and eradication. For example, the use of the Red Detect

system (Deyholos et al., 2006). Also, the development of genetically modified

insect resistant coffee for the control of the coffee berry borer (Jaramillo et al.,

2006). (For an overview of the relevance of agricultural biotechnology in

international development see Gregory et al., 2008 and Gregory and Kowalski,

2009.)

Long-term: Malaria vaccine development and distribution (James et al., 2008).

Phase 3: Fundraising:

In order to facilitate rapid progress of this project, it will be necessary to secure external

funding. Possible sources of funding might be either from foundations, governmental agencies,

and international development organization funding or Colombian national funding sources.

Foundations: For example, the Ford Foundation has a regional program that addresses

opportunities and challenges in the Andean Region of South America. This includes

projects undertaken in Colombia that have been in the areas of development, finance and

economic security and also education and scholarship.

International Development organization funding: For example, the World Bank has

programs that address the importance of the Rule of Law in development programs

directed towards building innovation in Latin America and the Caribbean. The World

Bank is also the largest financier of projects directed towards sustainable conservation of

global biological diversity.

27



Government funding: For example, the U.S. Agency for International Development

(USAID) now supports projects to build and strengthen the research enterprise in

Colombia through R&D and innovation capacity building.

National funding: For example, Colciencias, the Department of Science, Technology and

Innovation for Colombia has as its mission to plan, coordinate, develop and promote

within the National Science and Technology Policy the dissemination and appropriation

of public knowledge and the promotion of innovation having ethical, social, economic

and cultural relevance.

Phase 4: Preliminary Implementation of Strategic Plan: Education and further discussions

UMNG would host a 1-2 week IP workshop. The workshop will draw together scientists,

administrators, policy makers in order to educate, create awareness, and build and/or

strengthen networks.

Concurrently, further discussion will take place which will build on previous work and

lead to more substantive and strategic planning including fund raising, project

development, and resource allocation, hiring personnel, identifying the role of

government officials and including them in the discussions.

Conduct a site visit to the School of Applied Biological Sciences in Cajica to assess

needs, determine resources and discuss project agendas.

Focus Region for National Resource Development: Genetic Resources

Colombia’s Biological Diversity: Untapped Wealth and Unrealized Potential

Genetic resources and biological diversity will need to play a critical role as key

resources for subsequent R&D and commercialization in Colombia. This is Colombia‟s national

treasure, untapped, unrealized, but ready to be simultaneously exploited and conserved. A TTO

at UMNG could play a key role in management and development of these valuable resources.

Colombia only constitutes less than 1% of the earth‟s continental land area, yet harbors

10% of the world‟s biodiversity. This is why Colombia is considered one of the world‟s mega-

28



bio-diverse countries (supporting a geographically disproportionate share of the earth‟s

biodiversity).

Forests, savanna, arid regions and wetlands comprise land categories that host the wide

ecosystem diversity unique to Colombia. This richness in ecosystem types has been attributed to

a variety of factors:

The country‟s location between the two tropics,

The variety of soil and climatic conditions, and

The existence of areas that have been isolated geographically.

Indeed, this biodiversity is of such richness that it mirrors the biodiversity of the planet

itself, i.e., profiles the earth‟s range of ecosystems.

Ecosystem diversity is related to species diversity (biodiversity) and represents the

number and abundance of species in any given area. There is no consensus concerning the

existing number of species worldwide. Approximately 35,000 vascular plants are known to be

present in Colombia, with between 3,000 and 3,500 species of orchids, representing

approximately 15% of the world‟s total. Other diverse groups are:

the Aracea, with over 6000 known species,

the Heliconiacea, with approximately 95 species, and

the Ericacea with 267 species.

In the Caribbean region of Colombia‟s coast, seaweed diversity abounds, having shown it

to be one of the richest areas in the greater Atlantic, with approximately 430 species. The pacific

coast has significant diversity with 133 species. Colombia holds the third place in global

vertebrate biodiversity, with 3278 species (excluding fish). For example:

bats (151 species)

rodents (94 species)

primates (27 species)

birds (1766 species)

reptiles (470 species)

amphibians (583 species) (UNDP/UNEP/GEF, 2001).

29



The Convention on Biological Diversity

The Convention on Biological Diversity (CBD) established three main goals:

1. conservation of biological diversity,

2. sustainable use of its components, and

3. equitable sharing of the benefits from the use of genetic resources, i.e., access

and benefit sharing agreements (“ABS” agreements, including material

transfers, IP and product development).

Colombia, as a signatory to the CBD, has Access and Benefit Sharing (ABS) practice that

are still evolving, and sustainable, equitable and focused implementation will require

institutional investments and organization, including serious capacity building.11

ABS practices

will involve the consideration of a number of criteria:

ABS arrangements between providers and users of genetic resources (prior

informed consent “PIC”, structure of partnerships, benefit provisions,

compliance, IP rights);

Different types of genetic resources and products, including enzymes and

microorganisms (of increasing interest to industry) and those that fall outside

the definition of “genetic resources” but that are included in national ABS

measures;

Contracts at different stages of the R&D process and covering different types

of activities (discovery, bio-prospecting, research, development, raw material

processing, commercialization);

Situations with and without traditional knowledge implications (Secretariat of

the Convention on Biological Diversity, 2008).

The actual practice of ABS agreements, e.g., prior informed consent (PIC) poses

challenges. However, the establishment of a centralized competent national authority (as per the

11

Convention on Biological Diversity: Colombia overview: http://www.cbd.int/countries/?country=co

ABS: The Convention on Biological Diversity recognizes the sovereign rights of States over their natural resources

in areas within their jurisdiction. Parties to the Convention therefore have the authority to determine access to

genetic resources in areas within their jurisdiction. Parties also have the obligation to take appropriate measures with

the aim of sharing the benefits derived from their use. This is one of the three fundamental objectives of the

Convention. For more information, visit: http://www.cbd.int/abs/.

http://www.cbd.int/countries/?country=co

30



Bonn Guidelines: http://www.cbd.int/doc/publications/cbd-bonn-gdls-en.pdf) would likely be an

optimal strategy to focus resources, expertise and to also, importantly, coordinate administrative

duties so as to facilitate bio-prospecting, research and eventual product

development/commercialization.12

There is widespread frustration at the lack of clear competent national authorities and this

is a significant obstacle towards CBD implementation. Indeed, one of the most common

problems associated with accessing genetic resources is the, all too common, absence of

appropriate focal points, i.e., competent national authority. This administrative vacuum

generates onerously high transaction costs, all too often precluding even the initial steps in ABS.

Hence, potential partners must choose countries for CBD collaboration based on both where the

interesting biodiversity is and also where CBD legislation, guidelines and procedures are in

place. Therefore, it is not surprising that companies increasingly seek to access genetic resources

and biodiversity, or undertake research partnerships, in only a small subset of countries that have

established institutions, focused competent national authorities and relatively clear approaches to

ABS (Secretariat of the Convention on Biological Diversity, 2008). Systematic establishment

and administration of ABS offices is key to sustainable management of genetic resources

(Thornström and Björk, 2007).

Competent National Authorities

The Bonn Guidelines recommend each country designate competent national authorities

(CNAs) or focal points for ABS, i.e., to designate or clearly define the tasks of CNAs, and what

it will do. However, foreign researcher, whether public or private sector, often experience

difficulties locating an entity within the government that can clearly explain and execute permits

for bio-prospecting, collecting, R&D, not to mention IP management! For ABS to be equitably

implemented, guidelines and procedures need to be clear, e.g., what and when to file, where we

go to ask for authorization, what partners are permitted, who can collect and send plants out of

the country. Many are quite willing to apply for authorization and share benefits, but without a

12

The Bonn guidelines should assist Parties, Governments and other stakeholders in developing an overall access

and benefit-sharing strategy, and in identifying the steps involved in the process of obtaining access to genetic

resources and benefit-sharing. More specifically, these voluntary guidelines are meant to assist Parties, Governments

and other stakeholders when establishing legislative, administrative or policy measures on access and benefit-

sharing and/or when negotiating contractual arrangements for access and benefit-sharing.

31



CNA it can be very difficult to know how to proceed (Secretariat of the Convention on

Biological Diversity, 2008). The end result is loss of opportunity and forfeiture of value.

Long-term impact could also involve a disincentive to conserve natural biodiversity in

lieu of clear-cutting forests for development, plantations or farming/pasture. In Colombia,

establishment of a CNA towards practical CBD implementation is still inadequate to nonexistent.

Fundamental investment in institutional and human capacity building appears to be warranted.

The Group of Allied Mega-Biodiverse Nations, which includes Colombia, has recognized

and advocated that bio-prospecting pursuant to the provisions of the CBD should be subject to

tangible regulation, conducted so as to comply with the ABS provisions of the CBD, specifically

as articulated in the Bonn Guidelines:

written prior informed consent,

germplasm access via, e.g., material transfer agreements (MTAs),

distribution of benefits (via, e.g., royalty or milestone payments),

scientific cooperation and

ownership of IP rights (Corr, 2003).

In addition, “Each Party should designate one national focal point for access and benefit-

sharing and make such information available through the clearing-house mechanism. The

national focal point should inform applicants for access to genetic resources on procedures for

acquiring prior informed consent and mutually agreed terms, including benefit-sharing, and on

competent national authorities, relevant indigenous and local communities and relevant

stakeholders, through the clearing-house mechanism.”

Competent national authorities, where they are established, may, in accordance with

applicable national legislative, administrative or policy measures, be responsible for granting

access and be responsible for advising on:

1. The negotiating process;

2. Requirements for obtaining prior informed consent and entering into mutually

agreed terms;

3. Monitoring and evaluation of access and benefit-sharing agreements;

4. Implementation/enforcement of access and benefit-sharing agreements;

5. Processing of applications and approval of agreements;

32



6. The conservation and sustainable use of the genetic resources accessed;

7. Mechanisms for the effective participation of different stakeholders, as

appropriate for the different steps in the process of access and benefit sharing, in

particular, indigenous and local communities;

8. Mechanisms for the effective participation of indigenous and local communities

while promoting the objective of having decisions and processes available in a

language understandable to relevant indigenous and local communities.

The competent national authority(ies) that have the legal power to grant prior informed

consent may delegate this power to other entities, as appropriate” (Secretariat of the Convention

on Biological Diversity, 2002).

Examples of biodiversity, genetic resources, in Colombia: Floricultural Crops

In general, biotechnology research programs seek the following in a potential source for

biodiversity and genetic resources:

1. Reliable access;

2. Clear terms of ownership and use;

3. Minimal transaction costs;

4. Competent and committed in–country partnering institutions and colleagues;

5. Clearly indicated conservation institutions (benefits flow back to conservation

efforts in source country).

In addition, Colombia has an enormous reservoir of genetic resources and biodiversity,

clearly exemplified in floral resources. Correspondingly, Colombia has one of the world‟s

largest export floricultural industries. A combination of intellectual property protection regimes

might be applicable for this valuable resource. For example, in the U.S., plants can be protected

via these mechanisms:

Plant patents (for asexually reproduced plants, e.g., roses)

Plant variety protection (for sexually reproduced plants, e.g., corn)

Utility patents (for plant inventions, e.g., genetically engineered soybean)

Trade secrets (for inputs into plant breeding, e.g., inbred maize parental lines)

33



Trade marks (for commercialized plant varieties, e.g., “roundup ready” soybeans)

(Kowalski, 2007a).

Colombia has one of the world‟s largest flower industries:

In 2006 Colombia‟s share of global floral export market was 13%.

Top export markets in 2007 were the U.S. (largest supplier), Russia and the U.K.

Value of export market has dramatically increased in the past 2 decades, from $300

million (U.S.) in 1989 to nearly $1 billion today.

Close to 8,000 hectares are under cultivation, with over 700 farms.

Colombian floral industry employs 200,000, of which over half are women.

Major export floral products include:

Roses

Standard carnations

Miniature carnations

Chrysanthemums and pompons

Alstroemeria (AsoColFlores, 2007).

Whereas these flower products will undoubtedly remain popular and profitable for

decades to come, the flower business is highly competitive with consumer tastes subject to

modification, and hence market positioning and dominance are critical. One way to achieve this

is with new, and exotic, product introductions into the global floral market. Colombia‟s

indigenous floral bio-diverse resources could be key to such a strategy, i.e., towards sustainable

global dominance of the export flower industry.

Genetic resources and biodiversity within Colombia‟s vastly diverse ecosystems largely

remains untapped, and this applies to potential commercial application. In this regard, the first

application of property rights would likely be tangible property rights pursuant to the CBD. For

example, working with a native Heliconia species of flowers, Bromelias, and Orchids, have a

potential for international market penetration (InfoDev Database, 2009) or furthering the

industrial development of Sericulture (Correa, 2004). Subsequent IP protection mechanisms

might include some or all of those enumerated hereinabove. Whatever IP management strategies

are used, however, a centralized technology transfer institution would greatly facilitate this and

34



reduce transaction costs of subsequent development. A TTO at UMNG could, and indeed

should, be that institution.

Irrespective of the type of biodiversity or genetic resource under consideration for R&D

and subsequent commercial application (e.g., whether there is pharmaceutical, agricultural or

industrial potential), from early on management of genetic resources and biodiversity should be

in the context of public-private partnerships (PPPs), with full recognition of the importance of

establishing a mechanism for moving these valuable resources from R&D to commercial

production and distribution. In other words, the most efficient path forward will be to engage the

market with tangible product-oriented R&D, and not conceptualized topics, problems and

“solutions”.

“Colombia‟s attention is best focused on establishing clear and efficient terms of access

for research interests, rather than on which specific [biotechnology] industry specific industry

sectors Colombia‟s bio-resources might best support. This latter question, along the associated

complexities and risks, are best left to be determined by the private sector. Even if specific

industry sectors (such as biopharmaceuticals and green pharmaceuticals) were deemed especially

well-suited to Colombia‟s interests, engagement in these markets could not proceed without clear

and efficient terms of access that treat private sector entities equitably and efficiently” (Hill,

2000).

Implementation (or Lack Thereof) of the CBD in Colombia

The Andean Common Decision 391 on Access to Genetic Resources governs access to

genetic resources (GR) in the Andean Community Countries; it deals with legislation and its

national related laws as well IP laws, particularly patents and plant breeder‟s rights (PBR). In

relation to agriculture, it links both the access to GR and IP and presents concrete data on the

implementation of access to GR and IP in Colombia, Peru and Bolivia (Roa-Rodriguez, 2009).

With respect to CBD-derived legislation and policies, the main features of the several

contracts involved in accessing GR in the Andean region according to Decision 391 and the

regulatory problems that its multi-tiered contractual approach poses for the Andean countries.

The on-the-ground implementation of Decision 391 and the causes for the low number of access

contracts attained during the almost 13 years of "operation" of the access regime should be

35



something carefully considered. The same sort of discussion goes for Decision 345 in relation to

PBR (Ibid).

Andean access legislation sought to carve a niche for state sovereignty exerted as

property-like right over the "genetic" component of the biological resource, irrespective (and in

theory without prejudice of) the property applicable to the biological (tangible) resource (Ibid).

There is a large body of Colombian laws regulating biological and genetic resources

“separately.” Among them, three pieces that complement each other are critical: Andean

Decision 391 regulates access to genetic resources, while Decree 309 of 2000 and Resolution

068 of 2002 regulate access to biological resources for the purposes of scientific research.

Decree 309 specifies that access to the biological component “does not” imply access to the

genetic component, and that applicants must submit a separate access-to-GR application for that

purpose (Art. 17). Unlike the contractual character of access to GR, the access to biological

resources is an administrative procedure (a permit) that does not involve a contract (Ibid). In

Colombia, ABS administration is divided among, at least three offices/ministries, whose

personnel are inadequately trained in both biology and the law; and, in addition, officers at each

of these divisions have different ideas and understanding of how the access regime should apply.

One office having a representative of each of them working together and taken concerted

decisions would be ideal (Ibid).

With respect to Annex contracts (involving access to knowledge held by traditional

communities), this is a jurisdiction of the Ministry of the Interior. And again, it would make

sense to have these contracts also administered by the same entity dealing with the others. But,

for one ministry giving up its jurisdictional powers and giving them to another is somewhat

unlikely, unless it comes from presidential decree. Indeed, this is an approach that might be

problematic, with unexpected consequences, as happened in the past between the agricultural

ministry and the environment ministry: the agricultural one losing its regulatory power over

access to agricultural GR to the environment ministry. Thus, state agricultural organizations,

who still host, day-to-day administer, and do R&D with seed crop collections cannot (officially)

grant access to those seeds (if it implies use of it as germplasm) to any person, without a contract

access authorized by the environment ministry. This has caused a lot of problems between the

agricultural and environmental organizations and agricultural R&D in Colombia has suffered.

36



Hence, these types of arrangements must be approached and contemplated with caution. A

possible alternative solution is to foster a culture of joined-up government and governance to

diminish the regulatory incoherence (Ibid).

Colombian “Administration” of the CBD ABS Provisions

In Colombia the conclusion of an access contract involves more than one intra-

organizational department and also a couple of state regulatory organizations.

The Direction of Environmental Licenses and Permits at the Environment, Housing and

Land Development Ministry (hereinafter Ministry of Environment) is the national competent

authority on access to GR in Colombia. The Colombian Ministry of Environment regulates

access to both biological and genetic components of natural resources, while other state

organizations can regulate access to biological resources only. The Division of Licenses and

Permits at the Environment Ministry is the only place for lodging and processing all applications

for access to GR, while the Autonomous Regional Corporations, with regional jurisdiction on

environmental matters (including natural resources), have the authority to grant permits for

access to biological resources (Ibid).

In Colombia the technical evaluation of an access application may involve different

offices within the Ministry of Environment (i.e., Licenses and Permits Division and Ecosystems

Division) and national research organizations, depending on the type of GR solicited and the

potential uses. Additionally, where an applicant also requires access to native knowledge, s/he

has to submit an Accessory contract (authorization of entry to private/common area) and an

Annex contract (agreement with indigenous and Afro-Colombian communities for access to

knowledge) at the moment of filing an access application. In absence of these two additional

contracts, a process of consultation with communities must occur before the technical evaluation

occurs. The Colombian Ministry of Interior, which is the regulatory authority on permits and

contracts with indigenous and Afro-Colombian communities, is responsible for overseeing the

consultation process (Ibid).

Until October 2007, the access contracts for Colombian genetic resources following

Decision 391 were: 51 access applications received between 1996-2007 and of them, 8 access

37



contracts concluded between the same period (This data was gathered through interviews with

access regulators)(Ibid).

There are several factors that may help in explaining the poor access outcome. Among

the more practical and pressing are:

1. There is no consensus among the regulatory officers on the scope of access, to

what cases/circumstance should apply (e.g., basic research and/or applied

research);

2. Regulatory officers have difficulties in comprehending the legal separation

between biological and genetic resources and, as a consequence, the

application of the different laws is not consistent;

3. There is a lack of cooperation and coordination among the different offices

(mentioned before) that deal with access to GR;

4. The relation between researchers and regulators is marked by distrust. This is

very unfortunate, but it is very common. Regulatory authorities tend to think

that researchers will take any opportunity to sneak out GR (Ibid).

Public Private Partnerships

Public Private Partnerships and Innovation Management Strategy

Until 2000, the funding and performance of agricultural R&D was given and conducted

by the government in most Latin American countries. However, Colombia was an exception.

The cooperation and funding by twelve non-profit organizations accounted for a quarter of

Colombia‟s agricultural investments. Today CORPOICA (the Colombian Corporation for

Agricultural Research), a non-profit organization and the main agricultural research agency in

Colombia, accounts for half of the country‟s agricultural R&D resources (Beintema 2006, 283,

287).

However, after initial, early stage set-up and implementation of Colombia‟s expected

expansion into biotechnology, additional resources will likely be needed, and public private

partnerships (PPPs) might provide a mechanism for maintaining funding levels for longer-term

R&D strategies. This is because the balance of interests in PPPs (public sector interest in

38



societal benefit, private sector interest in market penetration) creates incentives at all steps along

the value chain, from R&D to product commercialization. UMNG could, thereby, also serve as

an operational base or hub for coordinating PPPs tasked to develop Colombia‟s vast biodiversity

and genetic resources.

PPPs are collaborative arrangements that catalyze the evaluation and development of

technologies in developing countries, leading the way forward, with dynamic and flexible

business models that identify challenges and overcome bottlenecks by identifying pathways and

formulating solutions (Widdus 2005, S4). For accelerating developing country access to

innovations, the principle priority is a coherently planned strategy; this is where PPPs, via

strategic alignment of complimentary skills, resources and objectives, can have a significant

impact, facilitating and accelerating R&D and commercialization of innovations vital to both the

public interest and economic advancement. PPPs can assess markets, evaluate candidate

technologies, manage regulatory landscapes, IP and related legal issues, as well as facilitate

technology transfer. PPPs can also reduce transaction and opportunity costs that might otherwise

be prohibitive and manage risks that might otherwise be too onerous to approach (Speilman and

Grebmer 2004, 9-12). PPPs are implemented via coordinating objectives pertaining to the R&D,

production and/or delivery of products.

Participants in a PPP may include entities all along the value chain, e.g., developing

country institutions, industrialized country corporations, government laboratories, federal

agencies, universities, international development organizations and philanthropic foundations. In

the PPP, common zones can be found wherein shared objectives and related activities are

possible thereby facilitating strategic planning and efficient implementation. Examples of PPPs

in the agricultural area include collaborations involving CGIAR centers and multinational firms

in the area of agricultural production, with an emphasis on agricultural biotechnology (15).

When structuring PPPs, it is critically important to conceptualize projects within the

context of product development and delivery. Hence, a holistic approach that includes the

contribution of all stakeholders from beginning to end is essential. This will require numerous

inputs, including business, technological and legal (IP and technology transfer). Appropriate

capacity and capability is absolutely necessary for success; hence all the more need for a TTO at

39



UMNG. For an overview of a successfully implemented PPP in agricultural biotechnology see

Gregory et al., 2008, wherein technology that imparted insect resistance in eggplant was

successfully transferred to South Asia.

Whereas most funding for PPPs has been through the generosity of philanthropic

organizations and foundations, governmental funding for PPPs has been, and remains,

inadequate (CIPIH 2006, 70-76). However, developed country governments might be able to

contribute funding for PPPs, in order to accommodate their (largely unfulfilled) TRIPS

obligations to developing countries: Art. 66.2 (assistance in technology transfer to foster a

science, technology and innovation), and Art. 67 (providing support to build and/or strengthen

human and institutional IP infrastructure).

PPPs are being implemented to combat infectious and parasitic diseases such as

HIV/AIDS, TB, and malaria worldwide. This is particularly true in the developing world

because product development in the form of new medications is very expensive, the populations

do not provide a good return on such investments, and the infrastructure for development is

simply lacking. Examples of these PPPs include, but are not limited to, the Global Alliance for

Vaccines and Immunization, the Vaccine Fund, Roll Back Malaria, the Stop TB Partnership and

the Global Fund for AIDS, TB, and Malaria (Widdus 2005, S1-S4). The importance of, and

need for, PPPs has also been felt in the access to medical technologies such as chemicals and

ambulances. For example, in 1986, Colombia experienced difficulties in obtaining chemicals for

water purification and ambulances from foreign donors. These difficulties arose from a lack of

cooperation between the government and the private sector with bureaucratic differences and

lack of discourse hindering the transfer efforts (Florez 1993, 234). As such, PPPs could have

ameliorated the delay and difficulties with the transfer of technology to Colombia.

Although not a public-private partnership per se, the bio-prospecting agreement between

the National Botanical Institute (NBI) in Kirstenbosch, South Africa, and the Ball Horticultural

Company, USA, represents a template for how a public-private partnership might be structured

to provide access to Colombia's native floral biodiversity. Several key provisions of the

NBI/Ball agreement are noteworthy, and can serve as an initial guide for structuring a PPP which

40



would provide the foundation for sustainable commercialization of these valuable genetic

resources. For example,

"The agreement stipulates in a detailed and complex manner the mutual rights and

obligations of the two parties. It includes clauses about research fees and services,

confidentiality, security against unauthorized access to the plant material before its

commercialization, IP Rights (IPR), profit-sharing, technology transfer, breach and termination

of contract, and warranties. The agreement is limited to an initial period of five years, with the

option for renewal.

The agreement pursues the following objectives:

strengthening the NBI in the promotion of the economic potential of South African

indigenous plants, in harmony with international policy and best practice;

stimulating economic growth and technology empowerment in South Africa, especially

among members of previously disadvantaged communities;

ensuring worldwide recognition of NBI and South African flora;

increasing Ball‟s market share and product range in the floriculture industry.

The genetic resources provided by the NBI are explicitly limited to ornamental horticultural

and floricultural products: ornamental flowers, trees, shrubs for gardens, and the cultivation of

flowers, especially for the cut flower market, as well as seeds and seedlings for these purposes”

(Henne and Fakir 1999, 18-21).

Initial strategic planning towards the formation of a partnership, e.g., involving UMNG, one

or more funding organizations (Colciencias and/or an international development organization),

would likely include similar provisions. This would be implemented at the UMNG TTO, in

conjunction with the floricultural activities occurring in the School of Applied Biological

Sciences in Cajica.

Colombia's current floricultural industry could also greatly benefit from partnerships in R&D

and commercialization. For example, production of cut flowers in Colombia is significantly

41



impacted by diseases caused by fungi, bacteria, nematodes and viruses. Specific examples

include vascular wilt and fairy ring spot in carnation, and crown gall in rose and

chrysanthemum. Nematodes are found in carnation. The Carnation Mottle Virus (CaMV) is

widespread, reducing the quality and commercial value of flowers. The Tomato Spotted Wilt

Virus (TSWV) infects chrysanthemum, gerbera, gypsophila and aster. The most important

quarantine disease for exportation is the white rust of chrysanthemum (Arbeláez 1999, 91-96).

Advances in genetic engineering could be one avenue to control or even eradicate these

serious diseases from the Colombian floral industry. However, many of the advanced

biotechnological applications and methodologies which could address these R&D challenges are

owned by foreign entities, limiting access and delaying critically needed technologies. PPPs,

which are structured towards advancing either international licensing or collaborative

partnerships, could facilitate the development of disease resistant floral varieties which, in turn,

would increase their export value in the global cut flower market (Ibid).

The UMNG TTO will seek the collaboration of the private sector for R&D initiatives.

Initially, the TTO will focus on R&D projects as it relates to Colombia‟s Biodiversity,

particularly in the floriculture, agriculture and genetic resource fields.

Examples of Public Sector Partners:

USDA: United States Department of Agriculture

Cornell University

CORPOICA (the Colombian Corporation for Agricultural Research)

Danish Army/Aresa Corporation: for aiding in the implementation of the land-mine

eradication system, Red Detect

Examples of Private Sector Partners:

BALL Horticulture Company: is a leader in all facets of floriculture, with distribution

capabilities in all of the major world markets.

42



Colibri Flowers S.A.: a local Colombian grower of carnations

Sanaria: is a biotechnology company dedicated to the production of a vaccine protective

against malaria

Florverde: the association of certified flower growers of Colombia

Conclusion

Colombia is poised to enter the 21st century as a regional leader in science, technology

and innovation. All the essential components are in place. Yet, Colombia remains a paradoxical

state in that it still balances stability with instability, poverty and wealth, education and

ignorance; hence Colombia will require further consolidation of resources, talent and expertise in

order to make the next step in development, i.e., towards becoming a knowledge-based economy

and society (Kruijt and Koonings, 2008).

Colombia‟s institutions, including political, legal and societal are solid, as is civil society

and the media. The public sector is relatively efficient and capable, and the universities are

excellent. Major cities, including Bogotá, Cali and Medellín, are undergoing major

infrastructural improvements in terms of public transportation, education and health. General

security has also improved significantly over the past decade. In general, the military is not a

major political player, the judiciary has become increasingly independent and effective, with

more and more direct access to justice by ordinary citizens, and there has been progressive

legislation passed protecting the rights of indigenous ethnic groups and communities.

In economic terms, Colombia is stable and increasingly prosperous. In spite of the global

economic downturns, Colombia exhibited positive economic growth in 2007 (8%) and 2008

(3%), and an increase in FDI in 2008 (27%) (Economist Intelligence Unit, 2009). In addition,

there are no major problems with balance of payments, foreign debt, exchange rates or inflation.

Monetary policy is relatively free of political interference, and the institutions that oversee

economic policy are respected and competent. A modern, urban and stable middle class has

become established and consolidated in Colombia‟s urban centers.

43



Hence, in spite of the challenges that Colombia continues to face, e.g., poverty and

inequity in terms of wealth distribution, an entrenched illicit drug trade (which, although widely

publicized, amounts to less than 3% of Colombia‟s GDP), prevalence, albeit reduction, of illegal

armed groups, and various organized criminal activities, it is a country that continues to move

forward (Kruijt and Koonings, 2008).

Colombia is neither fragile, nor much less failed. Indeed, it is poised to become a

regional leader in science, technology and innovation. What is needed is a focal point, a seed

from which science, technology and innovation can grow and flourish. A centralized TTO at

UMNG can be a core component for a comprehensive strategy, serving the needs of UMNG,

providing a platform for training and capacity building, and illuminating the way forward as an

institutional model for sustainable development of science, technology and innovation in

Colombia.

44



Appendix 1

Patent Statistics: Figures 1, 2, 3 & 4

Publication Statistics: Figure 5

Researcher Statistics: Figure 6

45



Patent Statistics

Figure 1: Patent Application filings in Colombian Patent Office-Residents vs. Non-residents.

Source: WIPO http://www.wipo.int/ipstats/en/statistics/patents/

1996 1997 1998 1999 2000 20012002 2003 2004

2005 20062007

Res ident

0

500

1,000

1,500

2,000

Num

ber o

f Pat

ent

Filin

gs

Year

Patent Applications by Patent Office: Resident and Non-Resident

Res ident

Non-Res ident

46



Figure 2: Patents Granted by the Colombian Patent Office-Residents vs. Non-residents. Source:

WIPO http://www.wipo.int/ipstats/en/statistics/patents/

0

100

200

300

400

500

600

Pate

nt Is

suan

ce A

ctiv

ity

1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007

Res idents

Year

Patents Granted By Patent Office: Residents vs. Non-

Residents

Res idents

Non-Res idents

http://www.wipo.int/ipstats/en/statistics/patents/

47



Figure 3: These figures represent the number of patent application filings in the Colombian

Patent Office. Note that the U.S. is a primary filing nation. Additionally, years 1997, 2003-2006

were omitted as there was no information provided for those years by the source. Source: WIPO


Country of Origin 1995 1996 1998 1999 2000 2001 2002 2007

Argentina 2 7 2 2 10 6 5 Australia 6 6 5 7 8 1 1 20

Austria 8 7 2 9 1 1 7

Bahamas 1

Barbados 2

Belgium 9 15 25 30 7 4 2 72

Belize 1

Brazil 16 12 12 18 19 7 3 28

Bulgaria 1

Canada 9 20 13 12 39 2 2 14

Chile 4

China 2 1 1 67 4

Colombia 141 87 74 68 75 63 52 121

Croatia 2

Cuba 4

Czech Republic 10

Democratic People's Republic of Korea 1

Denmark 6 11 3 12 1 22

Ecuador 1

Finland 6 2 7 8 4

France 31 52 43 73 72 9 9 82

Germany 62 100 154 148 198 31 5 207

Greece 1

Hong Kong (SAR), China 1

Hungary 4 10 6

India 3 10 4 2 1 23

Ireland 8 8 1 7 8

Israel 3 1 4 2 1 2 5

Italy 10 9 15 30 19 3 2 38

Japan 7 17 21 31 54 13 18 64

Liechtenstein 1

Luxembourg 8

Mexico 12 4 9 6 9 14 11 18

Monaco 6

Netherlands 30 25 41 45 46 15 4 60

New Zealand 1 1 2 2 1 4

Norway 1 1 2 2 2

Panama 2

Republic of Korea 3 12 3 8 5 7 3 11

Romania 1 1

48



Russian Federation 1

Slovenia 1

South Africa 1 1 2 4 1 79

Spain 24 37 22 21 34 6 6 32

Sweden 31 26 75 57 96 17 2 178

Switzerland 59 66 87 90 78 32 20 6

United Kingdom 42 41 127 84 69 21 2 1

United States of America 694 668 948 883 808 218 90 726

Unknown 17 20 32 28 24 16 10 85

Venezuela (Bolivarian Republic of) 2

Total 1,234 1,259 1,736 1,683 1,769 495 250 1,981

Figure 4: These figures represent the number of patents granted by the Colombian Patent Office.

Note that the most patents granted by the office were to U.S. filers. Additionally, years 1997,

2003-2006 were omitted as there was no information provided for those years by the source.

Source: WIPO http://www.wipo.int/ipstats/en/statistics/patents/

Country of Origin 1995 1996 1998 1999 2000 2001 2002 2007

Argentina 1 2 1 1 3 4 3

Australia 1 13 3 2

Austria 3 1 2 6 5 1 1

Barbados 1

Belgium 1 4 4 7 4 1 8 3

Brazil 1 5 4 8 10 3 5 6

Canada 3 5 18 10 7 4 2

China 1 1

Colombia 87 44 59 20 21 13 12 20

Costa Rica 1

Cuba 1

Czech Republic 1

Denmark 3 1 6 2 1 1

Finland 1 3 1

France 6 8 17 22 11 13 18 7

Germany 15 12 12 54 59 35 46 24

Hong Kong (SAR), China 1 Hungary 1 1

Ireland 1 1 4 1 1

Israel 1 1

Italy 5 3 5 17 2 6 4 6

Japan 2 2 7 13 7 2 8 10

Liechtenstein 1 1 2

Luxembourg 1

Mexico 2 2 4 6 4 2

Netherlands 2 7 6 3 11 7 7 13

New Zealand 1 1 1

Norway 1 1 1 1

Peru 1

Republic of Korea 2 1 2 3 2 1

Russian Federation 1


49



South Africa 2 2 4

Spain 8 7 8 20 8 5 5 1

Sweden 5 10 15 28 10 16 9 14

Switzerland 3 12 14 39 57 40 31 17

United Kingdom 29 20 14 32 16 13 14 3

United States of America 183 213 287 256 329 189 18 76

Unknown 8 7 8 14 10 4 7 6

Venezuela (Bolivarian Republic of) 1

Total 365 370 476 590 595 363 210 227

Publication Statistics

Figure 5: This Figure represents the number of scientific publications for 2004. Note that in

comparison with other Latin American countries, Colombia published the least amount.

Publications 2004

Brazil 43.8%

Mexico 18.5%

Argentina 18.1%

Chile 8%

Venezuela 4.1%

Colombia 2.4%

50



Researcher Statistics:

Figure 6: This represents the number of Colombian researchers in particular science fields.

Note that there has been a progressive increase in researchers. Source: The Colombia

Observatory of Science and Technology http://www.ocyt.org.co/prg_fre.php?id=1

Researchers 2002 2003 2004

Natural and Applied

Sciences

1993 2784 2789

Engineering and

Technology

1106 1733 1645

Medical Sciences 990 1358 1873

Agricultural

Sciences

510 794 964

Social Sciences 1005 1718 1885

Humanities 1806 2458 2999

Total 7410 10845 12175

51



Appendix 2

UMNG R&D Projects

UMNG Inventory of Capital Equipment

52



UMNG EXECUTED RESEARCH AND DEVELOPMENT PROJECTS

Note: The following represents a few of the Research and Development Projects undertaken by

UMNG

VI=FINANCING FROM UNIVERSITY ADMINISTRATION, CI= CENTER OF INVESTIGATIONS, FE=

EXTERNAL FINANCING

PROJECTS ACTA RESEARCHERS STATUS FINANCING

Inventory and

ecologic study of

the land malaco-

fauna of

Colombia: Sabana

de Bogota and

surroundings

CIAS 99 - 001 Clara Inés Medina

Gustavo Guerrero

Armando González

Bernhard Hausdorf

07 / 2004 to

02 / 2005 VI: 20,100,00.00

Preliminary

inventory of the

land malacofauna

of the native

forests of ”La

Calera”

CIAS 2004 – 003 Clara Inés Medina 12 / 07 / 2004 to

15 / 02 / 2005 VI: 10,050.00

CI: 43,050.00

Diversity,

distribution and

abundance of land

moluscs of four

sectors of the

National Natural

Park Chingaza,

Cundinamarca-

Meta, Colombia:

taxonomy and

phenology

CIAS 368

Clara Medina 01 / 02 / 09 to

31 / 01 / 2010 VI: 17,400.00

CI: 19,000.00

Use of native

bumblebees of the

genus Bombus for

pollination of

vegetable crops

CIAS 2000-007 José Ricardo Cure 12 / 09 / 2002 to

12 / 09 / 2003 VI: 57,000.00

CI: 5,940.00

53



Preliminary

inventory of the

land malacofauna

of the native

forests of ”La

Calera”

CIAS 2004 – 003 Clara Inés Medina 12 / 07 / 2004 to

15 / 02 / 2005 VI: 10,050.00

CI: 43,050.00

Diversity,

distribution and

abundance of land

moluscs of four

sectors of the

National Natural

Park Chingaza,

Cundinamarca-

Meta, Colombia:

taxonomy and

phenology

CIAS 368

Clara Medina 01 / 02 / 09 to

31 / 01 / 2010 VI: 17,400.00

CI: 19,000.00

Use of native

bumblebees of the

genus Bombus for

pollination of

vegetable crops

CIAS 2000-007 José Ricardo Cure 12 / 09 / 2002 to

12 / 09 / 2003 VI: 57,000.00

CI: 5,940.00

Development of

colonies of native

bumblebees from

the Colombian

Andes for

pollination of

tomato under

glasshouse

conditions

CIAS 2003-008 José Ricardo Cure

Hakim

Maria Teresa

Almanza

16/05/2004 to

15/05/2006 VI: 43,200.00

CI: 14,380.00

Ecology of the

pollination of

some Solanaceus

species from the

Colombian Andes

ecosystems with

economic potential

CIAS 2004-002 María Teresa

Almanza

José Ricardo Cure

Dieter Wittman

16/05/2004 to

15/05/2006 VI: 21,000.00

CI: 65,258.00

Search of potential

antagonists of

powdery mildew

(Sphaeroteca

panosa var. Rosae)

in roses in

conditions of

commercial

cultivation

CIAS 2002-003 Juan José Filgueira 08/05/2002 to

8/05/2003 VI: 20,200.00

CI: 30,688.00

54



Study of the characteristics of the internal development of

powdery mildew in commercial roses and its relationship

to environmental factors

CIAS

2005-

002

Juan José

Filgueira

01 / 07 /

2006 to

30 / 08 /

2008

VI:

48,800.00

CI: 65,700.00

Evaluation of the systemic behaviour of Peronospora

sparsa causing agent of hairy mildew in rose and its

relationship with changes in environmental conditions, in a

controlled environment

CIAS

372

Juan José

Filgueira

0 1/ 02 / 09

to

31 / 01 /

2001

CI: 14,780.00

Extraction of the whole chromosome of the phytoplasma

present in Fraxinus sp. in Colombia and its

characterization by physic mapping

CIAS

2003 -

004

Juan José

Filgueira

Liliana

Franco

Lara

Enrique

Salcedo

01 / 03 /

2003 to

01 / 11 /

2005

VI:

76,500.00

CI:

283,310.00

Construction and Characterization of a partial genomic

library of the chromosome present in the bacteria that

produce decay and death in Urapán trees (Fraxinus sp) in

Colombia

CIAS

2005-

003

Juan José

Filgueira

Liliana

Franco

Lara

01 / 02 /

2007 to

31 / 01 /

2009

Delayed

until June

2009

VI:32,000.00

CI: 103,

044.00

Production of hybrid varieties of carnation (Dianthus

caryophyllus) resistant to Fusarium oxysporum f.s.p.

dianthi by tissue culture techniques and mendelian crosses

CIAS

2003-

005

Juan José

Filgueira

Jose

Ricardo

Cure

26 / 03 /

2003 to

26 / 07 /

2005

VI:

54,900.00

CI: 74,120

Evaluation of hybrid varieties of carnation produced in a

hybridization programme by tissue culture techniques and

mendelian crosses

CIAS

2004-

013

Juan José

Filgueira

Myriam

Clavijo

10 / 08 /

2005 to

08 / 2007

VI:

55



60,124.00

CI:

54,748.00

56



UMNG INVENTORY OF CAPITAL EQUIPMENT

1. Complete equipment for tissue culture applied to: micro propagation, organogenesis,

soma-clonal variation.

2. Search for resistance genes through RFLP, AFLP, cDNA libraries

3. Electrophoresis SDS Page, bi-dimensional, pulse camp.

4. Spectrophotometer – UVVIS (ultraviolet, visible)

5. Microphotography and image analysis. Dark field, light field, fluorescence, DIC,

polarize.

6. Antibodies for PYVV (potato yellow vein virus)

7. Cryo-preservation : -30 C, -50C, -70C, -175C.

8. Biological control – Compatibility of commercial products with biologicals, natural

enemies rearing facilities, BODs, greenhouse facilities for rearing biological control

agents (mainly entomophagous arthropods), rearing chambers.

9. Native bumblebees rearing facility.

10. Biodiversity of Hymenoptera in natural ecosystems

11. Molecular diagnosis of some pathogens like Fusarium, Phytoplasms, virus and mildews.

12. Microorganism biodiversity and its potential for agriculture: biological control, growth

promoting, SAR.

57



Works Cited

AsoColFlores, IX Air Cargo Americas Meeting Presentation, November 7-9, 2007.

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About the Authors

Natalia Sepulveda Pence, R.N., J.D., a native of Colombia, South America earned her J.D. /

LL.M in Intellectual Property from Franklin Pierce Law Center in Concord, New Hampshire in

2009. Mrs. Pence graduated from Aquinas College in 1996 with an Associates of Science in

Nursing and in 2003 with a Bachelors of Arts in Biology from Virginia Wesleyan College.

Since 2007, she has been working as a contract Intellectual Property Intern at Schwegman,

Lundberg, Woesnner & Kluth, P.A., with focus on patent portfolio management, patent

mappings, technology categorization, patent ranking, prior art searches and processing patent

claims. Additionally, since 2007, Mrs. Pence has also been working in the public health sector

during which time she co-authored Patent Landscape of Several Bacillus Thuringiensis Cry

Protein Genes in Sweet Potato, an Education Report delivered to PIPRA, the Public International

Property Resources for Agriculture.

Stanley P. Kowalski, J.D., Ph.D., attended the Pennsylvania State University, and later the

University of Pittsburgh, earning B.S. degrees in horticulture and biology. Later, he earned a

Ph.D. in plant breeding from Cornell University. For two decades, Dr. Kowalski worked as a

research scientist, authoring numerous academic publications in plant biochemistry, genetic

mapping and crop insect resistance. His focus was always on appropriate utilization of advanced

technology to improve health and agriculture in developing countries.

Long interested in international development, Dr. Kowalski transitioned his career towards

building intellectual property capacity in developing countries. This is a crucial, and indeed

indispensible, component for accelerating global development and advancing the public interest.

At the International Service for the Acquisition of Agri-Biotech Applications (ISAAA) in the

intellectual property/technology transfer initiative, he conducted the preliminary freedom-to-

operate analysis of (pro-vitamin A) Golden Rice.

After ISAAA, he earned a J.D. with an emphasis in intellectual property at the Franklin Pierce

Law Center (FPLC). Dr. Kowalski is currently an Assistant Professor of Clinical Law and

Director of the International Technology Transfer Institute (ITTI) at FPLC, an educational and

information center dedicated to promoting global innovation, with a focus on accelerating access

to critical advances in health and agricultural in developing countries.

Peter Gregory, Ph.D., is a consultant on agricultural biotechnology for international

development and an Adjunct Professor in the Department of Plant Breeding and Genetics and in

International Programs at the College of Agriculture and Life Sciences, Cornell University. His

primary focus is on addressing strategic agricultural research and development issues in the

developing countries of Latin America, Africa and Asia. Much of the work is at the interface of

conventional agriculture and modern biotechnology and involves extensive national and regional

capacity building.

Dr. Gregory‟s professional experience spans 35 years. He was a tenured faculty member and

research administrator at Cornell, an Advisor in Rural Development at the World Bank, a Deputy

Director General at the International Potato Center (CIP), Lima, Peru, and a senior member of

two major Washington, DC-based consulting firms. Clients of Dr. Gregory‟s independent

consulting practice include the Bill and Melinda Gates Foundation, USAID, the Swedish

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International Development Cooperation Agency (Sida), the International Finance Corporation

(World Bank Group), and the U.S. Department of State,

Dr. Gregory has authored or co-authored 47 scientific articles.

Education:

Ph.D, Plant Biochemistry, King's College, University of London, England, 1972

B.Sc (Honors), Botany, King's College, University of London, England, 1969

Documents

A Strategic Guide for Stakeholders - World Banksiteresources.worldbank.org/EDUCATION/Resources/278200... · 2015-12-31 · 2 Pence, Kowalski, Gregory DRAFT: Not for Distribution UMNG