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
2
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
6
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
10
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.
17
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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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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