ACCESS TO BIOLOGICAL RESOURCES AND ASSOCIATED

TRADITIONAL KNOWLEDGE
1
P. Pushpangadan & K. Narayanan Nar
National Botanical Research Institute
Lucknow-226001, India
1. BACKGROUND
The issues of access and benefit sharingbenefit-sharing inoling
genetic resources and traditional knowledge hae beenhas beco!e a
rather contentious sub"ect of wide ranging discussions and debates at
arious international foru!s discussed e#tensiel$ at arious international
and national foru!s under the aegis of %B&, 'T(-TRI)*, 'I)(, and
+N-,-(, +N.), etc. The e#isting ine/uities in international legal
fra!eworks 0articularl$ of the %B& and 'T(-TRI)*, and also the
dis0ro0ortionate distribution of biodiersit$ and biotechnologies across the
world hae been the !a"or i!0edi!ents to i!0le!enting a d$na!ic and
trans0arent !echanis! for regulating and !onitoring access, benefit
sharingbenefit-sharing, technolog$ transfers and I)R 0rotection and other
releant actiities related to biogenetic resources and associated
traditional knowledge1
!. In"#rna"$na% L#ga%CBD &ra'#($r)s $n A**#ss and B#n#+"
Sharng ,ABS-.
%onention on Biological &iersit$ 2%B&3 is the first international
legal instru!ent that brought out a radical change fro! the then 0reailing
co!!on 0erce0tion on genetic resources as 4co!!on heritage of
!ankind5 to a legall$ binding regi!e that confers 4soereign rights5 to the
states oer their own biological resources 2including genetic resources
and traditional knowledge31
!.1. %B& 0roides a funda!ental fra!ework for its )arties to deelo0
a00ro0riate national legislations and 0olic$ guidelines to facilitate fair and
trans0arent !eans and !echanis!s for access to and e/uitable sharing
of benefits accrued fro! the use of genetic resources and associated
traditional knowledge1 The !ost releant 0roisions on access to genetic
resources, traditional knowledge and benefit-sharing are sti0ulated in
-rticles 6 2"3, 17, 16, and 18 of the %B&1 (Please see Annexure - I for details).
/. WTO 0 TRIPs 1#rsus CBD
11
Draft discussion paper for the expert and ministerial level meeting of the LMMC to be held on
20
th
and 21
st
January at Ministry of nvironment and !orests" #e$ Delhi.
1
/.1
1 I!!ediatel$ after the %B& ca!e into being, another international
bod$ called the 'orld Trade (rgani9ation 2'T(3 was established in :une
188; for strea!lining and regulating the trade relations of the world1 <ost
of the countries hae signed both %B& and 'T(1 But there arose certain
contradictions in the Trade Related Intellectual )ro0ert$ Rights 2TRI)s3
under the 'T( with those of %B&1 The !inisterial conference of the
!e!ber countries of 'T( was constituted to iron out the contradiction
and to har!oni9e TRI)s and %B&, and thereb$ to create a fair and
enabling situation for all countries of the world1 *i!ilarl$ %B& has also
constituted %onference of )arties 2%()3 to strea!line and i!0le!ent the
%B& directies1 -ccess and benefit sharingbenefit-sharing issues hae
beco!e the central the!es for subse/uent detailed discussions and
decisions- !aking under %B&, TRI)s, and the 'orld Intellectual )ro0ert$
(rgani9ation 2'I)(31 %B& began to address the -B* issues and their
i!0le!entation since ,ourth <eeting of the %onference of )arties 2%() =
I>3 held in Bratislaa 2*loakia3 in <a$ 18861
/.!. In its efforts to eole an international regi!e for access and benefit
sharing based on genetic resources and traditional knowledge, %B& has
constituted two se0arate working grou0s and one .#0ert )anel i91 2i3 -d
= hoc (0en = ended 'orking ?rou0 on Traditional @nowledge A%B&B%()
I>B8B1886C 2ii3 -d = hoc (0en = ended 'orking ?rou0 on -ccess and
Benefit *haring A%B&B%() >B6B2000C and 2iii3 )anel of .#0erts on -ccess
and Benefit *haring 2%B&B%() I>B6, 188631 The ter!s of references of
these 'orking ?rou0s and .#0ert )anel included !ainl$ the deelo0!ent
of a fra!ework that would hel0 assist )arties to deelo0 national and
regional regulations or guidelines on -B*, with s0ecial focus on eoling
standards and 0rinci0al ele!ents of 4)rior Infor!ed %onsent 2)I%35,
4<utuall$ -greed Ter!s 2<-T35, 4<aterial Transfer -gree!ents 2<T-35
and <onetar$ and Non = !onetar$ Benefit *haring -gree!ents1
3.3. (ne of the significant outco!es of %B&Ds work on -B* is the
deelo0!ent of the 2Bonn Guidelines on Access to Genetic
Resources and Fair and Equitable Sharin of the Benefits Arisin out
of their !tili"ation3 at the (ctober 2001 !eeting of the -d = hoc (0en =
ended 'orking ?rou0 on -ccess and Benefit *haring held in Bonn, which
were ado0ted at the *i#th <eeting of the %onference of )arties held in
-0ril 2002 in the Eague 2%() &ecision >IB2;31 The Bonn ?uidelines
0roide the )arties and *takeholders with a trans0arent fra!ework to
facilitate access to genetic resources and ensure fair and e/uitable
sharing of benefits through standard 0ractices and 0rocedures of )I%,
<-T, <T-, and other releant agree!ents1 The ?uidelines 0roide details
of an oerall strateg$ and the essential ste0s, ele!ents and 0rinci0les to
be ado0ted in deelo0ing access and benefit sharing regi!es b$ the
)arties and *takeholders1
2
4. TRIPS Agr##'#n" and ABS Issu#s
4.1 'hile %B& confers soereign rights to each )art$ oer its own
biological diersit$ the directies of 'T(-TRI)* 0roide for the 0rotection
of the 0riate or !ono0olistic rights of indiiduals or cor0orates on their
their useful innoations of industrial a00lications1 &es0ite seeral !eetings
of the TRI) %ouncil, %()s to %B&, and other releant organi9ations and
agencies, no consensus has been reached as $et on the 0reailing issues
of according legal intellectual 0ro0ert$ 0rotection to genetic resources and
associated traditional knowledge1 -rticle 2F1G 2b3, 0articularl$ the clauses
of 0atenting on life for!s and deelo0ing a sui generis s$ste! for
0rotection of 0lant arieties, is the !ain bone of contentionto0ics of the
ongoing debate between 'T( !e!bers fro! the biodiersit$-rich
deelo0ing countries and those fro! the industriali9ed deelo0ed
countries1 The ?rou0 of deelo0ing countries has !ade nine sub!issions
to the TRI)s %ouncil for reiewing the -rticle 2F1G2b3 and other releant
0roisions of TRI)s and for !akes !aking the! su00ortie to the %B&
ob"ecties1
4.!. In a recent sub!ission to the 'T(-TRI)* %ouncil, the deelo0ing
countr$ grou0 co!0rising Boliia, Bra9il, %uba, .cuador, India, )eru,
Thailand, >ene9uela, raised the following three de!ands for incor0oration
in to the 0roision !andating a00licants for a 0atent relating to biological
resources or traditional knowledge toH 2i3 disclose the source of origin of
biologicalB genetic resources, 2ii3 0roide eidence on 0rior infor!ed
consent, and 2iii3 eidence on benefit sharing agree!ent 2I)B%B'B;0G of ;
:une 200GI I)B%B'B;20 of 12 <arch 200;I I)B%B'B;28 of 20 *e0te!ber
200;31 These issues ade/uatel$ e#0ress the concern of the !ega-
biodiersit$ countries that are rich in genetic resources and traditional
knowledge, but 0oor in their biotechnologies1 Eoweer, the debate on
TRI)s =%B& har!oni9ation is still continuing without haing reached an$
conscientious decisions1 The deelo0ed countriesD argu!ent is that
integrating intellectual 0ro0ert$ issues with %B& 0roisions is unnecessar$
and unwarranted1 -n alternate suggestion to the debate b$ so!e of the
.uro0ean %ountries is to include, in a00ro0riate cases, declaration of the
origin of genetic !aterial in 0atent a00lications as a oluntar$ re/uire!ent
and include 0enalt$ s$ste! for failure to co!0l$ with the declaration, in
which case the 0atent would be re"ected or withdrawn1
5. W$r%d In"#%%#*"ua% Pr$p#r"y Organ6a"$n ,WIPO- and ABS &
Ar"*%# 7 ,8-
5.1The %B& *ecretariat and -B* 'ork ?rou0 hae been stud$ing the
0ossible !echanis!s to address the -B* issues regarding 0rior infor!ed
consent, benefit-sharing agree!ents, technolog$ transfers on the basis of
!utuall$ agreed ter!s and other releant 0roisions with reference to
'I)(, +N%T-&, and other organi9ations1 The L<<% ?rou0 of Like-
%
<inded !egadierse %ountries 2L<<%3, who was the first to raise these
issues for discussion in the conte#t of %B&, howeer, ob"ects an$ idea of a
strong collaboration with 'I)( due to the a00rehension that the interests
of these countries would not be addressed a00ro0riatel$ at 'I)(, whose
0ri!e concern is to negotiate and i!0le!ent the I)R 0olicies concerning
the !ono0olistic rights of indiidual or cor0orate innoators1 The 'I)(Ds
Intergoern!ental %o!!ittee 2I%?I?%3 on Intellectual )ro0ert$, and
?enetic Resources, and Traditional @nowledge and ,olklore is now
e#a!ining the issues of -B* and traditional knowledge 2'I)(, 200131
Eoweer, the latest 2seenth3 !eeting of the 'I)(-I?% conened in
?enea during 1-7, Noe!ber 200; re!ained inclusie as no consensus
was reached on the future work of the I?% on genetic resources1 I?% will
now consider this -genda at its 6
th
session to be held on 6-10, :une 2007
in ?enea 2'I)(B?RT@,BI%BF3
9. &AO: In"#rna"$na% Tr#a"y $n P%an" G#n#"* R#s$ur*#s +$r &$$d
and Agr*u%"ur# ,ITPGR: ,!;;1- and ABS pr$*#ss
9.!.1. The Treat$, which has co!e into force since 2001, ai!s at
conseration and sustainable use of 0lant genetic resources for food and
agriculture 2)?R,-3 and the fair and e/uitable sharing of the benefits
arising out of their use for sustainable agriculture and food securit$1 The
Treat$ 0roides for an efficient, effectie and trans0arent !ultilateral
s$ste! to facilitate both access to and fair and e/uitable sharing of
benefits arising fro! the utili9ation of )?R,- on a co!0le!entar$ and
!utuall$ reinforcing basis 2-rticle 101231
<. Can*un D#*%ara"$n $+ L)#:'nd#d =#gad>#rs# C$un"r#s ?
&#@ruary !;;!
<.!. The %ancun &eclaration !ade at the !eeting of the Like <inded
<ega diersit$ %ountries 2L<<%3 held on ,ebruar$ 16-16, 2002 in
%ancun, <e#ico and the decision thereof to create a strong co!!itted
?rou0 of Like- <inded <egadierse %ountries was a land!ark eent
which could hel0 achiee !ore tangible outco!es on conseration and
sustainable use of oer F0J of the worldDs biodiersit$ which the
!egadiersit$ countries hold together1 (ne of the ke$ ob"ecties of L<<%
as outlined in the %ancun &eclaration is to seek the creation of an
international regi!e to effectiel$ 0ro!ote and safeguard the fair and
e/uitable sharing of benefits arising fro! the use of biodiersit$ and its
co!0onents1 This regi!e should conte!0late, inter alia, the following
ele!entsH certification of the legal 0roenance of biological !aterials, 0rior
infor!ed consent and !utuall$ agreed ter!s for the transfer of genetic
!aterial, as re/uire!ents for the a00lication and granting of 0atents,
strictl$ in accordance with the conditions of access agreed b$ the
countries of origin1
&
<./. Cus*$ D#*%ara"$n $n A**#ss "$ G#n#"* R#s$ur*#s?
Trad"$na% Kn$(%#dg# and In"#%%#*"ua% Pr$p#r"y Rgh"s $+ L)#:
'nd#d =#gad>#rs# C$un"r#s? N$>#'@#r !;;!
The %usco &eclaration on -ccess to ?enetic Resources,
Traditional @nowledge and Intellectual )ro0ert$ Rights of Like-!inded
<egadierse %ountries issued at the !eeting of the state !inisters and
high-ranking re0resentaties of L<<% held at )eruDs +ruba!ba alle$,
%usco on Noe!ber 28, 2002, reaffir!ed the ob"ecties of %ancun
declaration, 2002 and considered the Bonn guidelines on 4-ccess to
?enetic Resources and ,air and ./uitable sharing of Benefits arising fro!
their +tili9ation5 2%B& %o)->I3 as a useful fra!ework for deelo0ing
international -B* regi!es1 The %usco declaration also agreed u0on to
ado0t a nu!ber of i!0ortant actions, including a!ong others, deelo0ing
and for!ulating a strateg$ and action 0lan, which !a$ contain targets,
ob"ecties, actiities and !eans including financial resources to deelo0
"oint coordination towards the consolidation to reach L<<% ob"ecties
2htt0HBBwww1!egadierse1orgBone1ht!31
7. L==C =##" a" Kua%a Lu'pur ,=a%aysa-? Au%y !;;/ & Kua%a
Lu'pur *$''unBuC $n Ins""u"$na% @u%dngBu%dng
The grou0 of L<<% at its third !eeting conened on 21-2G, :ul$
200G in @uala Lu!0ur, <ala$sia deelo0ed the KRules of )rocedures for
L<<%D on the organi9ation, !eeting and actiities of the grou0
2GMC/2003/KL/FINAL/0203 and an K-ction )lan for the L<<%D on the
0riorities, work 0rogra!!e and !odalities for consultation and
coo0eration on biodiersit$ conseration and sustainable utili9ation of the
biological resources 2GMC/2003/KL/FINAL/02131 This !eeting also
resulted in the consultation on the 0ro"ect 0ro0osal to create a
<egadierse %oo0eration ,und 2<%,3 to be !anaged b$ +N&)1 The
deliberations of the @uala Lu!0ur !eeting was e#0anded and outlined in
a declaration known as @uala Lu!0ur %o!!uni/uL on institutional
building, which was subse/uentl$ deliberatel$ u0on at the seenth
!eeting of the %o) to %B& held in @uala Lu!0ur on 8 - 20 ,ebruar$
200;1 2+N.)B%B&B%()BFB63
D. =ECEANIS= TO REGULATE ACCESS TO BIOLOGICAL
RESOURCES AND TRADITIONAL KNOWLEDGE. KEF
ELE=ENTS
D.!. The ?rou0 of L<<% is negotiating to deelo0 !echanis! for
regulated access to biological resources and traditional knowledge with
the back u0 of the e#isting directies and ?uidelines of %B& and other
releant international legal and 0olic$ fra!eworks such as 'T(- TRI)*,
IT)?R,-, etc1 (ne of the i!!ediate 0rere/uisites for deelo0ing an
access 0olic$ and legal !echanis! b$ the L<<% is to strengthen the
'
ca0abilit$ of the !e!bers to for! a strong and 0owerful negotiating block
in all international for aforu!s dealing with biodiersit$, biotechnologies,
traditional knowledge, I)R, etc1 In order to build u0 such ca0abilit$ a!ong
the L<<%, it is i!0ortant to create a trans0arent, fle#ible, and coordinated
!echanis! for fair and e/uitable sharing of biological resources,
traditional knowledge and all associated infor!ation 0ertaining to
conseration and sustainable use of biodiersit$1 ,ree and fair sharing and
e#change of infor!ation will hel0 each L<<% !e!ber to understand and
a00reciate the strengths, resource wealth and all technogical ca0abilities
e#isting in o00ortunities and needs of different countries and in different
region1 This in turn would hel0 har!oni9ation of the e#isting national laws,
0olicies and !echanis!s related to access, benefit-sharing,
bio0ros0ecting, and conseration and sustainable use of biodiersit$
resources and associated knowledge1 'hile the obligations as 0arties to
both %B& and TRI)s necessitate the L<<% !e!bers to enact necessar$
legal fra!eworks for fair and regulated -B*, the 0reailing ine/uities in
the new I)R regi!e and world trade 0olicies co!0els the! to deelo0
alternate strategies and action 0lans for dealingto deal with the issues
centered on biodiersit$, traditional knowledge and I)R and I)R issues
ant international foru!s11 This stance, howeer, does not circu!ent the
%B& directies, which would continue to for! the funda!ental fra!ework
for all collectie and collaboratie actions b$ the L<<% on -B* and all
other related issues1
D./. The criteria of e/uit$ and ethics need to be strictl$ adhered to in
dealing with an$ access laws, 0olicies and regulator$ !echanis!s1 The
L<<%Ds focus would should be to deelo0 an access !echanis! that
would be fair, trans0arent, effectie and i!0le!entable1 ?ien the
international guidelines such as the Bonn ?uidelines and other !odel
fra!eworks, one of the serious concerns for i!0le!enting unifor!
standards and ele!ents for -B* !echanis! is the absence of a00ro0riate
definitions of arious ter!s related to genetic resources and traditional
knowledge and other co!0onents of biodiersit$ in the national
legislations and other docu!ents on biodiersit$1 Through a decision taken
at its *eenth <eeting of the %() in @uala Lu!0ur in 200;, the %B&
secretariat has initiated a 0rocess to co!0ile the national definitions that
each )art$ has accorded to the following ter!sH access to genetic
resources, benefit sharing, commercialization, derivatives, provider, user,
stakeholder, ex situ collection, voluntary nature, and other relevant terms
(CBD/CO !/"#/$%%&'( -nother concern in relation to deelo0ing -B*
0rocedures at national or institutional leel is the lack of ade/uate ca0acit$
and e#0erience in eoling e/uitable bio0ros0ecting 0artnershi0s that
would coer all essential ste0s of )I%, <T-, <-T, and agree!ents for
sharing the benefits arising fro! the 0roduction and co!!erciali9ation of
(
an$ 0roduct or technologies deried fro! the genetic resources, its
co!0onents andBor deriaties and the associated knowledge1 The
dis0ro0ortionate distribution of biodiersit$ and biotechnolog$ across the
world, and the North-*outh diide in 0olic$ and legal issues related to
biodiersit$, biotechnolog$, traditional knowledge, global trade and
intellectual 0ro0ert$ 0rotection are other reasons that cause dela$ in
i!0le!enting a trans0arent and co!0rehensie international regi!e on
access and benefit sharing1
D.4. Pr$r In+$r'#d C$ns#n" ,PIC-
D.4.1. The 0roisions of )rior Infor!ed %onsent 2)I%3 as sti0ulated in
-rticle 1717 of %B& is the first essential ste0 in the best 0ractice for an$
-B* inoling genetic resources and indigenous or traditional knowledge1
)I% hel0s to facilitate 0rior negotiations and structured discussions on the
shared ob"ecties, sco0e, duration, legal certaint$ and clarit$ on -B*
0rocess, benefit sharing and other agree!ents based on !utuall$ agreed
ter!s a!ong all releant stakeholders1
D./.!. Ear!oni9ation of e#isting national 0olicies and legal !echanis!s
on -B* and other related as0ects are a 0rere/uisite for deelo0ing a
unifor! and co!!on fra!ework for the grou0 of L<<%1 I" s "h#r#+$r#
'p$r"an" +$r "h# L==C =ns"#ra% '##"ng "$ #Ga'n# "h# p$ss@%#
*r#a"$n $+ a s#para"# ns""u"$na% '#*hans' +$r d#a%ng ("h a%%
ABS p$%*#s and pr$*#dur#s #G*%us>#%y +$r "h# *$ns$r"a gr$up $+
L==C. Su*h an ns""u"$na% '#*hans' sh$u%d a%s$ ha># $"h#r
ass$*a"#d ad'ns"ra"># and r#gu%a"$ry d>s$ns d#a%ng ("h
Busn#ss D#>#%$p'#n"? IPR 'anag#'#n"? Dspu"# S#""%#'#n"? and
In+$r'a"$n 'anag#'#n".
D.4. =u"ua%%y Agr##d T#r's ,=ATs-
-rticle 171F of %B& sti0ulates that the results of scientific research and
deelo0!ent and an$ other benefit arising fro! the sustainable use of a
genetic resource accessed b$ a )art$ shall be shared with the %ontracting
)art$ 0roiding the resource in a fair and e/uitable !anner based on
4!utuall$ agreed ter!s51 The basic 0rinci0les for deelo0ing <-Ts are
al!ost the sa!e as discussed aboe under )I%, but !a$ focus !ore
s0ecificall$ on ter!s and conditions that both the )arties will agree u0 on
for an effectie and trans0arent, legall$ binding -B* 0rocess1 The Bonn
?uidelines suggest the basic re/uire!ents for arriing 4!utuall$ agreed
ter!s5 between the 0roider and user countries for access and granting of
genetic resource1 (Please see rele#ant $oints Annexure % II).
1;. B#n#+" 0 Sharng Agr##'#n"s r#%a"#d "$ A**#ss "$ G#n#"*
R#s$ur*#s
)
1;.1. 4<utuall$ agreed ter!s5 in accordance with -rticle 171F of %B&
should 0a$ ade/uate attention to reaching an agree!ent on fair and
e/uitable sharing of benefit arising fro! the co!!ercial or other utili9ation
of the resources accessed1 The ter!s and conditions for benefit sharing
!a$ ar$ fro! case to case de0ending u0 on the t$0e of the access deal
that has been agreed u0 on b$ the )artiesBstakeholders concerned1 The
grou0 of L<<% could consider the Bonn guidelines for benefit sharing1
(Please see Annexure % III).
1;.!. T'ng $+ B#n#+"s.
The ti!e fra!e of benefit = sharing !a$ be s0ecified1 Benefits
could be near-ter!, !ediu!-ter! or long-ter! de0ending u0on the
circu!stancesnature of the access deal and the -B* agree!ent reached1
These !a$ include u0- front 0a$!ents, !ilestone 0a$!ents and ro$alties1
1;./. Ds"r@u"$n $+ @#n#+"s
HThe benefits arising fro! the -B* contract should be shared in a
fair and e/uitable !anner a!ong all those who hae contributed to the
resource !anage!ent, R M & and co!!erciali9ation 0rocess, including
goern!ental, non = goern!ental or acade!ic institutions and
indigenous and local co!!unities1
1;.4. =#*hans's +$r B#n#+" 0 Sharng
1;.4.1. H This !a$ ar$ fro! case to case de0ending u0on the
t$0esBkinds of benefits 2!onetar$ or non = !onetar$ benefits3, s0ecific
conditions agreed u0on in the -B* agree!ent1 in the countr$ and
stakeholders inoled1 The best benefit - sharing could be one that has
been struck between the 0artici0ating countriesBstakeholders through 0rior
infor!ed consent and !utuall$ agreed ter!s1 -ctie 0artici0ation of all
0artners in the -B* 0rocess, including R M &, !arketing, and
co!!erciali9ation !ust be ensured through deelo0!ent of "oint entures
M license and creation of trust funds, etc1 This !a$ ar$ in bilateral and
!ultilateral -B* agree!ents and also on the basis of the 0attern of
distribution of genetic resources and traditional knowledge being accessed
and co!!erciali9ed1 If the genetic resources and traditional knowledge
are shared b$ !ore than two countries the best and ideal o0tion would be
to assess the benefits and transfer the !onetar$ benefits to the L==C
C$$p#ra"$n Trus" &und which could be subse/uentl$ utili9ed for the
co!!on benefits of the entire L<<% grou01 I" s sugg#s"#d "ha" "h#r#
sh$u%d @# s#para"# and sp#*a% '#*hans' ("hn "h# L==C "$
'p%#'#n" "h# @#n#+" sharng pr$*#dur#s.
1;.4.!. The benefit sharing for!ula !a$ significantl$ ar$ de0ending
u0on for the 0ur0ose for which the genetic resources andBor traditional
knowledge are accessed1 The 0ur0ose could ar$ fro! collaboratie
*
bio!onitoring or biodiersit$ conseration 0rogra!!e inoling !ore than
one countr$ or for "oint bio0artnershi0 for bio0ros0ecting entures b$ the
L<<% !e!bers1 The !onetar$ benefits 2e1g1 license fees, ro$alties3 need
to be fi#ed de0ending u0on the actual ca0ital in0uts including *MT in0uts,
hu!an resource in0uts and intellectual in0uts 0roided b$ the 0artici0ating
countries in an$ "oint 0ros0ectingBbio0artnershi0 0rogra!!e1 'hile the
0roisions of the %B& with a00ro0riate !odifications !a$ be ado0ted as a
fra!ework, fi#ing of !onetar$ and non-!onetar$ benefits !a$ be
considered as 0er the nature of the -B* contract and their in0uts and
e#0ected out0uts1 - coherent fra!ework for benefit sharing is 0ossible but
a fi#ed for!ula for !onetar$ benefits arising fro! sustainable use of
genetic resources andBor traditional knowledge is al!ost i!0ractical1 The
grou0 of L<<%, therefore, needs to address the benefit sharing issues
with a balanced and fle#ible a00roach1
1;.4./.
101;11111 ?ien the innate intricacies inoled in the benefit sharing
!echanis!s, an$ atte!0t to har!oni9e the statutor$ !echanis! as
suggested in %B&, IT)?R, the Bonn guidelines, 'I)(-I?%, etc needs to
be considered b$ L<<% in the conte#t of their e#isting national 0olicies
and legal !echanis!s1 - har!oni9ed and fle#ible !echanis! with a
broader fra!ework with s0ecific directies for benefit sharing would
re/uire a broader consensus a!ong the L<<% to face the challenges and
the o00ortunities of new global econo!ic and intellectual 0ro0ert$
regi!es1
11. =a"#ra% Trans+#r Agr##'#n"s. K#y E%#'#n"s ,=TAs-
11.1. -ll access 0er!its or license or an$ other !eans of granting access
to genetic resources and associated knowledge should be a00ended with
a standard 4<aterial Transfer -gree!ent5 b$ the 0roider countr$ to the
user as 0er 0rior infor!ed consent and !utuall$ agreed ter!s1 <T-s !a$
ar$ in their for!ats and contents de0ending u0 on the t$0e of resources
and knowledge being accessed and the ter!s !utuall$ agreed u0 on b$
the 0artici0ant countries1 Bonn ?uidelines 0roide a fra!ework for
deelo0ing <T-s1 (See Annexure % I&).
11.!. -0art fro! the fra!eworks as suggested in %B&, the Bonn
guidelines, IT)?R, etc1, seeral other national, international, and regional
institutions, agencies and co!!unit$ organi9ations hae deelo0ed
different !odels of access and benefit = sharing agree!ents, <T-s,
<-Ts, etc1 2Laird, 200231 - few e#a!0les of such !odel agree!ents on
-B* contracts, bio0ros0ecting 0artnershi0s includeH )he *ndean act
+
Decision +#" and Contracts 218863I )he e, Conservation -ello,s
Biodiversity .esearch rotocols 218863I .oyal Botanic /arden olicy on
*ccess to /enetic .esources and Benefit 0haring 2RB?, @ew 18863I
Common olicy /uidelines for articipating Botanic /ardens on *ccess
to /enetic .esources and Benefit 0haring 2%artagena 20003I )he 1imbe
Botanic /arden olicy on *ccess to /enetic .esources and Benefit
0haring 220013I Community Biodiversity .egisters and 2oney Bee
3et,ork for chronicling and protection of 1ocal eople4s 5nnovations
(5ndia'6 Draft .esearch olicy for rotected *reas in Cameroon
2,,,(,,f(cameroon(org3I etc1 L<<% should ado0t a unifor! !odel of
<T- for facilitating all -B* deals, so as to ensure the safet$Ds, statutes
and legal rights of the 0artici0ants Bstakeholders.
1!. C%a's $+ "h# C$un"ry $+ Orgn >s:H:>s *$un"ry pr$>dng
g#n#"* r#s$ur*#s
CLAI=S O& TEE COUNTRF O& ORIGIN 1IS 0A 1IS COUNTRF
PRO1IDING GENETIC RESOURCES
1!.1. The <T-Ds and <-Ts should ade/uatel$ 0roide for the rightful
clai!s and entitle!ents of a countr$ of origin and a countr$ that 0roides
genetic resources1 This is a er$ intricate issue the reasons of which hae
been e#0lained aboe in the 0aragra0h 2171;1G1 The /uestion of
una!biguous 0roof of the countr$ of origin of a gien s0ecies or genetic
resource is a co!0le# and !ost contentious one1 The free transnational
flowBe#change of genetic resources across the world during the 0re %B&
era 2before 28
th
&ece!ber 188G3 has resulted in scattered distribution of
genetic resources in dierse ex7situ re0ositories in !an$ countries or
international organi9ations1 <ost of these collections !ight carr$
infor!ation on the 0robable source of their introduction but not necessaril$
infor!ation on the center2s3 of origin or 0ri!ar$ diersit$ of these genetic
resources1 &eter!ining the ownershi0 based on the conce0t of center of
origin !a$ not work well in !an$ cases as there are no substantial
scientific 0roof aailable of the wild ancestors, 0rogenitors, 0articularl$ of
seeral cro0 0lant s0ecies or do!esticated ani!als1
1!.!. It is 0ossible to ascertain the center of origin of s0ecies that are
ende!ic to a 0articular countr$1 .#clusie ownershi0s or soereign rights
can be clai!ed easil$ for such ende!ic bioresources1 This has not been
the case, howeer, with s0ecies with wider geogra0hic distribution in !an$
countries or e#otic s0ecies originated elsewhere and introduced into
another countr$1 In the latter case, it would be desirable if L<<% consider
the date of ratification of %B& as a cut-off date 228
th
&ece!ber 188G3 to
deter!ine the ownershi0 or authorit$ to deter!ine access grants or
10
negotiating -B* deals inoling e#otic s0ecies in ex7situ collections or in
naturali9ed state1
1!./. %B& has e#0licit 0roisions for countr$ of origin and countr$
0roiding genetic resources to clai! all legal rights on all benefits accrued
fro! the sustainable use of their genetic resources b$ a third 0art$ in a fair
and e/uitable !anner 2-rticles 62"3, 17121,1716, 171F, 161G and 181131
1!./.1.
BENE&IT 0SEARING WEERE TEE BIOLOGICAL RESOURCESI ASSOCIATED TRADI TIONAL KNOWLDEGE IS EELD BF =ORE TEAN ONE COUNTRF
ACOEERENT AND RATIONAL APPROACE &OR ASSESS=ENT O& BENE&IT
EAR=ONIJATION O& 1ARIOUS STATUTIRF =ECEANIS=S TO ENSURE BENE&IT SEARING
1/. ABS >s:H:>s C$%%a@$ra"># R#s#ar*h +r$' L==C p#rsp#*">#
I=PEDI=ENTS TO COLLABORATI1E RESEARCE
1/.1. The new regi!e of -B* has not been /uite su00ortie of
international collaboratie research because of seeral reasons
of which the !a"or one is the absence of unifor! 0olicies and
standards for a fair and e/uitable access and benefit sharing
!echanis!s between the countries 0articularl$ between the
biodiersit$-rich countries of *outh and biotechnologicall$-rich
countries of the North1 The Bonn guidelines and the ongoing
discussions b$ the %B&Ds o0en ended ad-hoc working grou0s
on -B* and -rticle 62"3, 'T(-TRI)s council, 'I)(-I?% are
ai!ed at har!oni9ing the e#isting ine/uities and to foster an
enabling and conducie fra!ework for collaboratie research
and deelo0!ental efforts through a00ro0riate access and
benefit sharing !echanis!s1
1/.!. The L<<% has been created at this crucial "uncture and needs
to work collectiel$ to eole suitable !echanis!s to build u0
the ca0abilities and RM& infrastructure in each of the L<<%
through collaboratie bio0artnershi0 and bio0ros0ecting
0rogra!!es1 The so called ta#ono!ic i!0edi!ents e#isting in
seeral of L<<% !e!bers and the lack of a00ro0riate
biotechnological and hu!an resource ca0abilities a!ong the
L<<% grou0 are the !a"or drawbacks which need to be
oerco!e through the ongoing negotiations a!ong L<<%
!e!bers1
1/./. -n effectie and enabling -B* !echanis! will onl$ be 0ossible b$
oerco!ing the aboe-!entioned i!0edi!ents through collectie and
collaboratie 0olic$ decisions b$ L<<%1
14. NATIONAL ABS LAWS O& L==C =E=BERS
*o!e of the !ega-dierse countries hae alread$ incor0orated the
ke$ ele!ents as suggested in %B& and the Bonn ?uidelines in to their
11
nationalBregional 0olicies and legal fra!ework1
2+N.)B%B&B%()GB20B1886I ?R-INBBRLB-ccess M Benefit *haring =
,,,(grain(org, accessed on 12B10B200;31 *o!e e#a!0les of such
i!0ortant national or regional laws on biodiersit$, traditional knowledge
and -B* are gien in Annexure %&.
15. NEW ABS STRATEGIES REKUIRED BF L==C
15.1 .ole a se0arate institutional !echanis! for dealing -B* and
other related as0ects e#clusiel$ for the L<<% within the fra!ework of
the %B& and other releant international agree!ents1
15.! *trengthen collaboratie 0artnershi0 a!ong L<<% !e!bers to
build u0 ca0acit$ building in all releant areas of biodiersit$,
biotechnolog$, intellectual 0ro0ert$, infor!ation !anage!ent, etc1
15./. &eelo0 national legal and 0olic$ fra!eworks on -B* and
har!oni9e the arious statute !echanis!s through conscientious
discussions and deelo0 a "oint strategic -ction )lan for the entire L<<%
to deal all -B* and related issues at international foru!s1
12
1%
Annexure I
Relevant CBD Articles on ABS
Ar"*%# 7 ,8-. Lromote the ,ider application of the kno,ledge, innovations
and practices of indigenous and local communities ,ith their approval and
involvement and encourage the e8uitable sharing of the benefit arising out
of sustainable use of the kno,ledge, innovations, and practices of
indigenous and local communities4(
Ar"*%# 15.1. Larty has the authority to determine access to genetic
resources, sub9ect to national legislation41
Ar"*%# 15.!. L:ach arty shall endeavor to facilitate access to genetic
resources for environmentally sound uses by other contracting arties
and not imposes restrictions that run counter to the ob9ectives of the
Convention41
Ar"*%# 15.4. L*ccess to genetic resources shall be on mutually agreed
terms4(
Ar"*%# 15.5. L*ccess shall be sub9ect to rior 5nformed Consent of the
Contracting arty providing such resources, unless other,ise determined
by that arty41
Ar"*%# 15.9. Larty receiving genetic resources from another arty shall
endeavor to develop and carry out scientific research based in genetic
resources provided by other Contracting arties ,ith full participation of,
and ,here possible in, such Contracting arties41
Ar"*%# 15.<. Larties to take legislative, administrative or policy
measures, as appropriate, ,ith the aim of sharing in a fair and e8uitable
,ay the results of research and developments and the benefits arising
from the commercial or other utilization of genetic resources ,ith the
Contracting arty providing such resources, and such sharing shall be
upon mutually agreed terms41
Ar"*%# 19./. L*ccess to and transfer of technology using genetic
resources to countries providing the genetic resourcesD1
1&
Ar"*%# 1D.1. L)he Contracting arty receiving a genetic resource shall
take legislative, administrative or policy measures as appropriate, to
promise effective participation by providers of genetic resources,
especially developing countries in biotechnological research activities41
2i3
Annexure II
S$'# Gud#%n#s $n =AT
2a3 )er!itting onl$ use of resources in order to take into account
ethnical concerns of the 0articular indigenous and local
co!!unities concerned1
2b3 .nsuring continued custo!ar$ use of genetic resources and
associated knowledge1
2c3 )roisions for I)R use through "oint research and clai!s on the
rights on inentions obtained and to 0roide licenses b$
co!!on consent1
2d3 )roisions for "oint I)R rights according to degree of
contributions1
<-Ts in written for!ats !a$ contain the following indicatie
0ara!eters and ter!sH
2i3 T$0e and /uantit$ of genetic resources, and the
geogra0hicalBecological area of actiit$1
2ii3 -n$ li!itation on the 0ossible use of the !aterial accessed1
2iii3 Recognition of the soereign rights of the countr$ of origin1
2i3 %a0acit$ = building in arious areas to be identified in the
agree!ents1
23 - clause on renegotiation for an$ change of use for which
the consent was granted1
2i3 'hether or not to transfer genetic resources to third 0arties
without ensuring the third 0arties enter into si!ilar
agree!ents e#ce0t for ta#ono!ic and s$ste!atic research
that is not related to co!!erciali9ation1
2ii3 )rotection to local knowledge, innoations and 0ractices of
indigenous and local co!!unities and 0ro!otion of
1'
custo!ar$ use of biological and genetic resources in
accordance with traditional 0ractice of local and indigenous
co!!unities1
2iii3 Treat!ent of confidential infor!ation1
)roision for benefit sharing resulting fro! the co!!ercial or other
utili9ation of genetic resources and their deriaties and 0roducts1
2ii3
Annexure % III
Sugg#s"$ns $n B#n#+" Sharng +$r "h# *$nsd#ra"$n $+ L==C
The monetary benefits !a$ broadl$ coer the following as 0er
!utuall$ agreed ter!sH
2i3 -ccess fees1
2ii3 +0 = front 0a$!ents1
2iii3 <ilestone 0a$!ents1
2i3 *haring of Ro$alties1
23 License fees in case of co!!erciali9ation1
2i3 *0ecial fees to be 0aid to trust funds su00orting
conseration and sustainable use of biodiersit$1
2ii3 *alaries and 0referential ter!s on !utuall$ agreed ter!s1
2iii3 Research funding1
2i#3 :oint entures1
2#3 :oint ownershi0 of releant intellectual 0ro0ert$ rights1
$(;("($( 3on7monetary benefits
The non < monetary benefits !a$ includeH
2i3 *haring of research and deelo0!ent results1
2ii3 %ollaboration, coo0eration and contribution in scientific research
and deelo0!ent 0rogra!!e, 0articularl$ biotechnological
research actiities, where 0ossible in the 0roider countr$I
2iii3 )artici0ation in 0roduct deelo0!ent1
2i3 %ollaboration, coo0eration and contribution in education and
training1
1(
23 -d!ittance to ex<situ facilities of genetic resources and to
databases1
2i3 Transfer to the 0roider of the genetic resources of knowledge
and technolog$ under fair and !ost faorable ter!s,
including on concessional and 0referential ter!s where
agreed, in 0articular, knowledge and technolog$ that !ake
use of genetic resources, including biotechnolog$, or that are
releant to the conseration and sustainable utili9ation of
biotechnological biological diersit$1
2iii3
2ii3 *trengthening ca0acities for technolog$ transfer to user
deelo0ing countr$ )arties and to )arties that are countries
with econo!ics in transition, and technolog$ deelo0!ent in
the countr$ of origin that 0roides genetic resources1 -lso to
facilitate abilities of indigenous and local co!!unities to
consere and sustainabl$ use their genetic resources1
2iii3 Institutional ca0acit$ = building1
2i#3 Eu!an and !aterial resources to strengthen the ca0acities for
the ad!inistration and enforce!ent of access regulations1
2#3 Training related to genetic resources with the full 0artici0ation of
0roiding )arties, and where 0ossible, in such )arties1
2#i3 -ccess to scientific infor!ation releant to conseration and
sustainable use of biological diersit$, including biological
inentories and ta#ono!ic studies1
2#ii3 %ontributions to the local econo!$1
2#iii3 Research directed towards 0riorit$ needs, such as health
and food securit$, taking into account do!estic uses of
genetic resources in 0roider countries1
2#i3 Institutional and 0rofessional relationshi0s that can arise
fro! an access and benefit = sharing agree!ent and
subse/uent collaboratie actiities1
2#3 ,ood and lielihood securit$ benefits1
2#i3 *ocial recognition1
:oint ownershi0 of releant intellectual 0ro0ert$ rights1
1)
2i3
1*
Annexure I&
B$nn Gud#%n#s +$r =a"#ra% Trans+#r Agr##'#n"
5ntroductory rovisions H
2i3 )rea!ble with reference to %B&1
2ii3 Legal status of the 0roider and user of genetic resources1
2iii3 <andate andBor general ob"ecties of 0roider and user1
(b' *ccess and benefits < sharing provisionsH
2i3 &escri0tion of genetic resources coered b$ the <T-s
with acco!0an$ing infor!ation1
2ii3 )er!itted uses of genetic resources, their 0roducts or
deriaties under <T-s1
2iii3 *tate!ent on an$ change of use that would re/uire new
)I% and <T-1
2i3 *tate!ent as to whether I)R is sought and if so, under
what conditions1
23 Ter!s of benefits = sharing with details of the t$0eBkind of
benefits to be shared1
2i3 %lause on non-warranties guaranteed b$ 0roider on
identit$ andBor /ualit$ of the !aterial 0roided1
2ii3 *tate!ent on whether the genetic resources andBor
acco!0an$ing infor!ation !a$ be transferred to the third
0arties and, if so, on what conditions such transfers
would be 0er!itted1
2iii3 &efinitions of arious ter!s 2in clear cut wordings so as
to aoid a!biguities and an$ 0ossible !isleads31
2i#3 &ut$ to !ini!i9e eniron!ental i!0acts of collecting
actiities1
1egal provisions H
2i3 (bligation to co!0l$ with <T-1
2ii3 &uration of the agree!ent1
2iii3 Notice to ter!inate the agree!ent1
2i3 *tate!ents on certain obligations in certain clause surie
the ter!ination of the agree!ents1
23
1+
23 Inde0endent enforceabilit$ of indiidual clauses in the
agree!ent1
2i3 .ents li!iting the liabilit$ of either 0art$ 2such as of ?od,
fire, flood, etc131
2ii3 &is0ute settle!ents arrange!ents1
2iii3 -ssign!ents or transfer of rights1
2i#3 -ssign!ents, transfer or e#clusion of the rights to clai! an$
0ro0ert$ rights, including intellectual 0ro0ert$ rights, oer the
genetic resources receied through the !aterial transfer
agree!ents1
2#3 %hoice of law1
2#i3 %onfidentialit$ clause
2#ii3 2NII3 ?uarantee1
2i3
20
Annexure % &
S$'# 'p$r"an" Na"$na% and R#g$na% %a(s $n @$d>#rs"y and B#n#+"
Sharng.
11 *ndean Community 2.ffectie in fie countriesH Boliia,
%olo!bia, .cuador, )eru and >ene9uela3 = *ndean Community
Decision +#"= Common .egimes on *ccess to /enetic .esources
22 :ul$ 188631
21 *0:*3 = The -*.-N ,ra!ework -gree!ent on -ccess to
Biological and ?enetic Resources 22; ,eb1 188631
G1 Bolivia = *u0re!e &ecree No1 2;6F6 Regulation (f
&ecision G81 on the %o!!on Regi!es for -ccess to ?enetic
Resources 221 :une 188F3
;1 Brazil = )roisional <easures on -ccess to ?enetic
Resources and Traditional @nowledge No1 2H 166116 22G -ugust
200131
71 Costa .ica = The Biodiersit$ Law No1 FF66 2G0 -0ril 18863I
)residential &ecree on -B* No1 G1 = 71; 2G -0ril 200G31
61 5ndia = Biological &iersit$ -ct 211 &ece!ber 20023I
Biodiersit$ Rules 217 -0ril 200;31
F1 Organization of *frican >nity = -frican <odel Legislation for
the )rotection of the Rights of Local %o!!unities, ,ar!ers and
Breeders and for the Regulation of -ccess to Biological Resources
2200031
61 eru = Law Introducing a )rotection Regi!e for the
%ollectie @nowledge of Indigenous )eo0le &eried fro! Biological
Resources 210 -ugust 200231
81 hilippines = &e0art!ent of .niron!ent and Natural
Resources -d!inistratie (rders 86 = 20 28 :ul$ 188631
"%( 0outh *frica = National .niron!ental <anage!entH Biodiersit$
-ct 2F :une 200;31
21
2ii3
CONCLUSIONSS
RE&ERENCESRE&ERENCES
%onention on Biological &iersit$ 220013 The!atic Re0ort on -ccess and
Benefit *haring =India, sub!itted b$ <inistr$ of .niron!ent M ,orests
2<o.,3 2see ,,,(biodiv(org/,orld/in/in7nr7abs7en(pdf3
,-( 186G1 International +ndertaking on )lant ?enetic Resources for ,ood and
-griculture1 ,ood and -griculture (rgani9ation of the +nited Nations,
Ro!e, Ital$1
,-( 18861 ?lobal )lan of -ction for the %onseration and *ustainable +tili9ation
of )lant ?enetic Resources for ,ood and -griculture1 ,ood and
-griculture (rgani9ation of the +nited Nations, Ro!e, Ital$1
,-( 20011 International Treat$ on )lant ?enetic Resources for ,ood and
-griculture1 ,ood and -griculture (rgani9ation of the +nited Nations,
Ro!e, Ital$1
Laird *1-1 2ed13 20021 Biodiersit$ and Traditional @nowledge = ./uitable
)artnershi0 in )ractice, .arthscan )ublications Ltd1, London1
Laird, *1-1 M ten @ate @1 20021 Biodiersit$ 0ros0ectingH the co!!ercial use of
genetic resources and best 0ractice in benefit-sharing InI Laird *1 -1 2ed13
Biodiersit$ and Traditional @nowledge =./uitable )artnershi0s in
)ractice1 .arthscan )ublications Ltd1, London, 001 2;1-2661
Ro$al Botanic ?ardens 2RB?3 @ew1 18861 )olic$ on -ccess to ?enetic
Resources and Benefit *haring, RB?, London1
TRI)* 188;1 -gree!ent on Trade Related -s0ects of Intellectual )ro0ert$ Rights
2-nne# I% of 188; <arrakesh -gree!ent .stablishing the 'orld Trade
(rgani9ationI entered into force on 1
st
:anuar$ 18873
+N.) 18821 %onention on Biological &iersit$, Rio de :aneiro1
+N.) 18881 The relationshi0 between Intellectual )ro0ert$ Rights and the
releant )roisions of the -gree!ent on Trade Related -s0ects of
Intellectual )ro0ert$ Rights and the %B&1 Inter-sessional <eeting on the
o0erations of the %onention, :une 26-G0, 1888 2+N.)B%B&B170B73,
<ontreal1
'I)( 20011 Re0ort on *econd *ession of the Inter-goern!ental %o!!ittee on
Intellectual )ro0ert$ and ?enetic Resources, Traditional @nowledge and
,olklore held in ?enea, &ece!ber 10-1;, 20011
'T( 200;1 .le!ents of the obligation to disclose the source and countr$ of
origin of biological resource andBor traditional knowledge used in an
inention1 *ub!ission fro! Bra9il, India, )akistan, )eru, Thailand, and
>ene9uela, dated 20 *e0te!ber 200;1 Ref1 'T(BI)B%B'B;28, dated 21
22
*e0te!ber 2http=//,,,(grain(org/rights?files/@&$#(doc accessed on
1;1101200;3
ACCESS TO BIOLOGICAL RESOURCES AND ASSOCIATED
TRADITIONAL KNOWLEDGE
Contents
1. ,ac-ground 1
2. C,D !rame$or- on .ccess and ,enefit /haring 0.,/1 1
%. 234 5 3678s 9ersus C,D 1
&. 3678s .greement and .,/ 7ssues %
'. 2orld 7ntellectual 8roperty 4rgani:ation 027841 and .,/ ; .rticle
* 0<1
%
(. !.4 5 7nternational 3reaty on 8lant =enetic 6esources for !ood and
.griculture 0738=6 5 20011 and .,/ process
&
). Cancum Declaration of Li-e>minded Megadiverse Countries"
!ebruary 2002
&
*. LMMC Meet at ?uala Lumpur 0Malaysia1" July 200% ; ?uala
Lumpur communi@uA on 7nstitutional ,uilding
'
+. Mechanism to 6egulate .ccess to ,iological 6esources and
3raditional ?no$ledgeB ?ey lements
'
10. ,enefit>/haring .greements related to .ccess to =enetic 6esources )
11. Material 3ransfer .greementsB ?ey lements 0M3.s1 +
12. Claims of the Country of 4rigin vis>C>vis country providing genetic
resources
10
1%. .,/ vis>C>vis Collaborative 6esearch from LMMC perspective 10
1&. #ational .,/ La$s of LMMC Members 11
1'. #e$ .,/ /trategies 6e@uired by LMMC 11
.nnexure 5 7 6elevant C,D .rticles on .,/ 0i1
.nnexure 5 77 /ome =uidelines on M.3 0ii1
.nnexure 5 777 /uggestions on ,enefit /haring for 0iii1
2%
the Consideration of LMMC
.nnexure 5 79 ,onn =uidelines for Material 3ransfer .greement 0v1
.nnexure 5 9 /ome important #ational and 6egional la$s on 0vii1
,iodiversity and ,enefit /haring
6eferences
2&