ABS Best Practice Standard + Handbook

Michael Gulllo, Stratos Inc.,

with

Julien Chupin, Man and the Environment

ABS Management Tool

3rd ABS CAPACITY

DEVELOPMENT WORKSHOP

FOR AFRICA

Antsiranana, Madagascar

November 27, 2008

Session Purpose

Introduce the ABS Management Tool

Learn about how to apply the ABS-MT to make

informed decisions about accessing genetic

resources, including determining expectations and

requirements in negotiating agreements for fair and

equitable sharing of benefits

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AgendaSchedule Subject / Learning Activity

8:30 - 8:35Introduction - Workshop Purpose and OutlineMichael Gullo, Stratos Inc.

8:35 - 9:05Introduction to the ABS Management Tool (ABS – MT)Michael Gullo, Stratos Inc.

9:05 - 9:15Plenary Discussion – Question & Answer

Michael Gullo, Stratos Inc.All

9:15 – 9:30Introduction to the Case Study – Scenario, PicturesJulien Chupin, MATE

9:30 – 9:45Introduction to the Training ExerciseMichael Gullo, Stratos Inc.

9:45 – 10:00Plenary Exercise – ABS Decision-Making Tree (ABS-MT page 8, 9)Michael Gullo, Stratos Inc.

10:00 – 10:30 Refreshment Break

10:30 – 11:00Small Group Exercise 1 – Collection and Use of Genetic Resources (Bonn Guidelines)

Prior Informed Consent (PIC)

11:00 – 11:40Small Group Exercise 2 – Collection and Use of Genetic Resources (Bonn Guidelines) +

Agreements for Biological Resources (Addis Ababa Guidelines)Mutually Agreed Terms (MAT) & Benefit Sharing

11:40 – 12:00Small Group Exercise 3 - Collection and Use of Genetic Resources (Bonn Guidelines) +

Agreements for Biological Resources (Addis Ababa Guidelines)Conservation and Sustainable Use

12:00 – 12:30Plenary Discussion – Evaluation & Lessons LearnedMichael Gullo, Stratos Inc.All

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Background to the ABS-MT

Funding for development of the ABS-MT

Swiss State Secretariat for Economic Affairs (SECO)

Developed by

International Institute for Sustainable Development

Stratos Inc.

Jorge Cabrera

Purpose

A management tool to support the implementation of the provisions of the CBD on access and Benefit Sharing:

• Facilitating access - providing guidance to industry, researchers as users of genetic resources

• Ensuring prior informed consent and fair and equitable sharing of benefits – for governments and communities as providers of genetic resources

5

Importance of this new Tool

Support implementation of the Bonn Guidelines

through providing a set of best practice standards for

voluntary compliance

Support implementation of an International Regime

as it develops –the ABS-MT can be revised as

needed

Respond to the ABS capacity building action plan

(COP decision VII/19f)

Facilitate commercial opportunities for access and

development of genetic resources – under agreed

terms

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7

ABS Management Tool Project

Phase 1 (2003 - 2004)

Research on ABS and other standards

Development of working draft Management Tool

International Advisory Committee

Phase 2 (2004 – 2007)

Field Testing

Outreach and stakeholder consultations

Assessment of implementation options

Revision and finalization of the ABS-MT

International Advisory Committee

Phase 3 (ABS WG 5 2007 – ABS WG 6 2008)

International consultation on implementation and use

8

The Need

ABS Management Tool

Build confidence to interact

Guide & inform negotiation and decision-making

Engender trust to work together

Ensure compliance with the Bonn Guidelines

Provider UserCollaborative and

mutually beneficial

relationships

9

What the ABS – MT Provides

Voluntary best practice standard and handbook providing neutral guidance and tools on ABS practice for Users and Providers to ensure compliance with the Bonn Guidelines and CBD requirements

A structured process and fair and equitable means for participating in and making decisions about ABS negotiations and the implementation of ABS agreements

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Application of the ABS – MT

The ABS-MT applies to all stages of genetic resource activity: Prior to access Access (collection and bio-discovery) Academic research Research and development Commercialization and commercial use

The ABS-MT is relevant to many sectors: Pharmaceutical Cosmetic Botanicals + Neutraceuticals Biotechnology Horticulture including ornamentals Agriculture (except where the FAO ITGRFA

applies)

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Application of the ABS – MT

The ABS-MT can be used by: Large and small companies Governments Local and indigenous communities Academic researchers – where future

potential for commercial interest Public and private research

institutions Holders of ex situ collections e.g.

gardens, genetic resource collections Intermediaries

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Insert volume 1 divider from MT

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14

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Core Standards

Prior Informed Consent

Mutually Agreed Terms

Benefit Sharing----------------------------- Best Practice Standard

Good Practice Guidance

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PIC - Standard

1. Prior Informed Consent (PIC)

Prior Informed Consent is consent obtained by the user from the government and other providers, as

the case may be, after fully disclosing all the required information that permits access to their genetic

resources and associated traditional knowledge, under Mutually Agreed Terms.

1.1 PIC is prior, informed and consented in intent and practice.

1.2 PIC is obtained in writing form the competent government authority, and from the relevant

stakeholders, including local communities and indigenous peoples who are the owners, managers or

custodians of genetic resources, or traditional knowledge associated with genetic resources.

1.3 PIC is linked to a commitment to negotiate fair and equitable benefits for each stage of access and

use. Genetic resources are used only for the purposes expressly outline at the time of PIC negotiation,

and a new Prior Informed Consent is given for any use that differs in type or scope from that originally

outlined. An agreement is concluded with the provider that reflects the terms and conditions of PIC

including, inter alia, terms and conditions regarding benefit-sharing.

1.4 Where access is obtained from an ex situ collection, including form one or more intermediary,

documentation is provided that appropriate PIC exists and that the transaction and intended use are

consistent with that PIC, unless there is a clear and reasonable explanation as to why this is not

feasible.

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PIC - Guidance

• Establish a consultation process and information exchange with interested parties that clarifies

their concerns and/or doubts and responds to their requests for information or documentation.

• Ensure that all relevant information can be communicated clearly in a language and manner

understandable to all relevant stakeholders and in a timely fashion.

• Clearly communicate to the providers the risks (e.g., time, money and uncertainly of finding

material with commercial value) that users are faced with in undertaking research and

developing genetic resources.

1. Prior Informed Consent (PIC)

• If there are no PIC laws or regulations, base the discussions on appropriate information,

including the information listed in Volume 2, Part 2, Section 7.0 (Information Requirements for

PIC)

• Obtain and comply with all the applicable laws and regulations in force in the country regarding

PIC. Meet the identified requirements to comply with PIC obligations. Identify: a) the competent

national authority to which you should submit and application for PIC or to which you make

enquiries on PIC; b) identify the necessary format of the application and specific items of

information required: and c) any other requirements or conditions of obtaining PIC.

• Identify the national competent authority, indigenous and local communities, relevant

stakeholders and, wherever possible, determine ownership of the genetic resources and/or

associated traditional knowledge. In accordance with national legislation, PIC may be required

from different levels of government.

• Ensure that genetic resources are used only for the purposes outlined in the PIC negotiation,

and ensure that new PIC is give for any use that differs in type or scope from those originally

outlined. Ensure that new PIC is given in cases of the transfer of genetic resources to third

parties.

For

Provider

For

User

X

X

X

X

X

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Additional Standards

Traditional Knowledge

Conservation and Traditional Use----------------------------- Best Practice Standard

Good Practice Guidance

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Conservation and Sustainable Use - Standard

5. Conservation + Sustainable Use

Conservation and sustainable use are practices that ensure or contribute to the maintenance of the

diversity of genetic resources accessed.

5.1 The collection and/or harvest of wild genetic resources is conducted using a precautionary

approach, at a scale and rate and in a manner that does not exceed the sustainable yield and that

does not impair the ecosystem structure, functions and services.

5.2 Domestication and the cultivation/captive breeding of genetic resources and conducted in a

manner that maintains the genetic variation of the population or diversity of the gene pool.

5.3 Species listed in Appendix 1 of the Convention on International Trade in endangered Species of

Wild Fauna and Flora (CITES), and species considered to be globally or locally threatened according

to the World Conservation Union (IUCN) Red List or equivalent categories are not collected, except for

the purpose of species conservation research. No collection is undertaken in legally established

protected areas that prohibit collection.

5.4 Knowledge about biodiversity that arises from access to a genetic resource is shared in a manner

that supports and enhances conservation management.

• Include funding and other resources for conservation purposes in benefit-sharing arrangements,

including under MAT.

• Maximize the involvement of local research institutions, and indigenous and local communities,

in collection for conservation research and other conservation activities related to ABS.

• Develop and implement a collection/harvest management plan and collection protocols that

specifically address conservation and sustainable-use criteria for the resource being accessed.

• Work with local and indigenous communities to respect and incorporate customary practices

with regards to conservation and sustainable use.

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Conservation and Sustainable Use - Guidance

• Assess the current habitat status and any critical environmental concerns, including other

issuses/pressures on the resources.

5. Conservation and Sustainable Use

• Assess the current conservation status of the species and the population to be

sampled/collected, according to the IUCN Red List categories and criteria prior to granting PIC,

if collection is to exceed simple single sampling.

• Use a combination of scientific methods and local/traditional knowledge for the assessment of

conservation status and decision-making on sustainable use.

• Assess genetic diversity of species of interest for domestication and cultivation.

• For every species or sub-species collected, deposit taxonomic vouchers to a museum or other

appropriate repository in the source country.

• For ongoing collection/wild harvesting, monitor the status of the resource to ensure harvest does

not exceed the agreed sustainable yield.

X

X

X

X

X

X

X

X

X

X

X

X

X

X

International Standard for Sustainable Wild

Collection of Medicinal and Aromatic Plants

(ISSC-MAP)

Wild collection and conservation

requirements:

Resource and habitat assessment

and management

Legal and ethical requirements:

Resource tenure, access and

benefit sharing

Responsible management and

business practices

Resource Assessment Questions

ISSC-MAP

Questions to be answered through a sound

resource assessment in the collection area:

Situation Analysis

Resource Inventory

Yield and Regeneration Studies

Step 1

Step 2

Step 3

Step 4

Step 5

Assessing Harvest Impacts

Periodic Monitoring and Harvest Adjustments

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Management Processes

Use in an Organization’s Management System or Procedures

Other Management Considerations:

The Participation of Indigenous and Local Communities

Documentation and Information-management sharing

Reporting

Emerging Practices on Certificate of Origin/Compliance withNational Law

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ABS – MT Decision Making

www.iisd.org/abs/abs_mt.asp

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The Handbook

Part 1: Good Practice Guidance

Part 2: Supporting Tools

Roadmap of interaction with national legal frameworks

ABS agreement matrix for GR users

Material transfer agreements

Model contract outline

Guidance on negotiating strategies

Links to sector-specific guidelines

Part 3: Case Studies

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Use of the ABS - MT

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Use of the ABS - MT

1) A voluntary best practice standard to facilitate ABS

negotiations between users and providers of genetic

resources – voluntary compliance with Bonn

Guidelines

2) A substantive basis for building capacity with

national governments, companies, researchers and

communities

3) A mechanism for sharing of best practices

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Workshop

Conduct a set of exercises that do the following:

a) Apply the ABS-MT to a specific case in Madagascar

b) Provide participants with an opportunity to learn

about elements of the ABS-MT and how apply the

tool

c) Identify opportunities and challenges of applying the

ABS-MT in African countries

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