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Some key issues under the Nagoya Protocol

This page provides information on some key issues being addressed by the Intergovernmental Committee on the Nagoya Protocol. It outlines the recommendations and decisions taken on each of these issues as well as relevant documents prepared by the Executive Secretary.

The need for and modalities of a global multilateral benefit-sharing mechanism (Article 10)

Article 10 of the Protocol states that “Parties shall consider the need for and modalities of a global multilateral benefit-sharing mechanism to address the fair and equitable sharing of benefits derived from the utilization of genetic resources and traditional knowledge associated with genetic resources that occur in transboundary situations or for which it is not possible to grant or obtain prior informed consent. The benefits shared by users of genetic resources and traditional knowledge associated with genetic resources through this mechanism shall be used to support the conservation of biological diversity and the sustainable use of its components globally.”

Article 10 was considered for the first time since the adoption of the Protocol by the second meeting of the Intergovernmental Committee for the Nagoya Protocol (ICNP) during which it examined the need for and modalities of a global multilateral benefit-sharing mechanism. In preparation for the second meeting, the Executive Secretary prepared a synthesis of views and information (document UNEP/CBD/ICNP/2/7 and document UNEP/CBD/ICNP/2/7/CORR1) submitted by governments and other stakeholders to assist the INCP in its consideration of this issue. In recommendation 2/3, the ICNP put forward a draft decision for the consideration of the eleventh meeting of the Conference of the Parties setting out possible activities to further advance in the consideration of this issue.

The eleventh meeting of the Conference of the Parties, in decision XI/1, decided on a process which includes a request to the Executive Secretary to conduct a broad consultation on Article 10 and an invitation to Parties and stakeholders to submit targeted views on the issue bearing in mind a list of questions set out in part A of annex I to the decision, as well as other perspectives on the matter, in particular the questions contained in Part B of the annex. Furthermore, COP-11 requested the Executive Secretary to synthesize the views received for the consideration of an expert group to be convened subject to the availability of funds. The expert group shall submit the outcomes of its work for consideration by the third meeting of the ICNP.

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The Access and Benefit-sharing Clearing-House

Article 14 establishes an Access and Benefit-sharing Clearing-House as part of the Clearing-House of the Convention. It shall serve as a means for sharing information related to access and benefit-sharing. In particular it shall provide access to information made available by each Party relevant to the implementation of the Protocol.

Work has been carried out on the development of the Access and Benefit-sharing Clearing-House since the adoption of the Protocol. Prior to the first meeting of the Intergovernmental Committee for the Nagoya Protocol (ICNP), an expert meeting on the modalities of operation of the ABS Clearing-House was held in April 2011 to examine practical considerations related to the establishment of the ABS Clearing-House with a view to provide input to the first meeting of the ICNP and to assist countries with the early ratification and implementation of the Nagoya Protocol. To assist the experts in their deliberations, a study (document UNEP/CBD/ABS/EM-CH/1/2) was commissioned on the issue by the Executive Secretary. The report of the expert meeting (document UNEP/CBD/ABS/EM-CH/1/4) was put forward to the first meeting of the ICNP for its consideration.

At the first meeting of the ICNP, Parties recommended that the first phase of the ABS Clearing-House be a pilot phase and requested the Executive Secretary to implement the pilot phase in accordance with the guidance set out in the annex of recommendation 1/1.

At its second meeting, the ICNP considered the report on the progress made in the implementation of the pilot phase of the ABS Clearing-House, the suggested mechanisms and applications to be developed during the pilot phase (document UNEP/ICNP/2/8) and the draft modalities of operation of the ABS Clearing-House (document UNEP/ICNP/2/9).

In its recommendation 2/4, the ICNP took note of the suggestions put forward by the Executive Secretary with respect to the development of the pilot phase of the ABS Clearing-House and requested the Executive Secretary to report on further progress made in its implementation at the eleventh Conference of the Parties to the Convention. Furthermore, the ICNP recommended that COP-11 decide on a process forward for further advancing the development of the ABS Clearing-House.

The eleventh meeting of the Conference of the Parties, in decision XI/1, endorsed the indicative work plan and timeline for activities to take place until the first meeting of the Parties to the Protocol, as contained in document UNEP/CBD/COP/11/11 and decided to establish an informal advisory committee (IAC) to assist the Executive Secretary with the implementation of the pilot phase and to provide technical guidance with respect to the resolution of technical issues. The IAC will hold one meeting, as well as informal online discussions, and report to the third meeting of the ICNP.

The decision also included a request to the Executive Secretary to report on progress made in the implementation of the pilot phase, including on the registration of information related to national permits or their equivalents and on technical issues concerning the establishment of the international recognized certificate of compliance, and to refine the draft modalities of operation, taking into account the experience acquired during the pilot phase, for their consideration by the third meeting of the ICNP.

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Awareness-raising

Article 21 of the Nagoya Protocol provides that each Party shall take measures to raise the awareness of the importance of genetic resources and traditional knowledge associated with genetic resources, and related access and benefit-sharing issues. It also provides a list of such measures.

Since the adoption of the Protocol, the Intergovernmental Committee for the Nagoya Protocol (ICNP) has made recommendations on measures to raise awareness of the importance of genetic resources and traditional knowledge associated with genetic resources, and related access and benefit-sharing issues.

With a view to provide guidance to Parties in its consideration of this issue at the first meeting of the ICNP, the Executive Secretary prepared a draft awareness-raising strategy (document UNEP/CBD/ICNP/1/5) to assist Parties to effectively implement Article 21 of the Nagoya Protocol in a coherent manner, as well as to guide the efforts of the Secretariat, stakeholders and indigenous and local communities to raise awareness with respect to the Nagoya Protocol and related access and benefit-sharing issues. Furthermore, the Executive Secretary prepared an overview of experiences and initiatives on awareness-raising on access and benefit-sharing and under different multilateral environmental agreements (document UNEP/CBD/ICNP/1/INF/2).

The draft awareness-raising strategy was subsequently revised by the Executive Secretary and a revised version was made available at the second meeting of the ICNP (document UNEP/CBD/ICNP/2/11). In addition, with a view to assist the second meeting of the ICNP in its deliberations on this issue, a synthesis of awareness-raising activities, including lessons learned from existing experience in this regard was prepared by the Executive Secretary based on submissions received prior to the meeting (document UNEP/CBD/ICNP/2/INF/6).

The ICNP further revised the strategy at its second meeting, and in recommendation 2/6, recommended that the first meeting of the COP-MOP adopt the strategy as set out in the annex to this recommendation.

The eleventh meeting of the Conference of the Parties, in decision XI/1, invited Parties and other relevant actors to carry out awareness-raising activities to support the ratification, early entry into force and implementation of the Protocol, taking into account the draft awareness-raising strategy. The decision also recognizes the importance of awareness-raising in supporting ratification, early entry into force and implementation of the Nagoya Protocol.

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Capacity-building and development

Article 22 of the Nagoya Protocol provides that Parties shall cooperate in the capacity-building, capacity development and strengthening of human resources and institutional capacities to effectively implement the Protocol in developing country Parties and Parties with economies in transition. In this context, Parties should facilitate the involvement of indigenous and local communities and relevant stakeholders. In doing so, Parties are required to fully take into account the needs of developing country Parties and Parties with economies in transition for financial resources.

Since the adoption of the Protocol, the Intergovernmental Committee for the Nagoya Protocol (ICNP) has made recommendations with regards to measures to assist in capacity-building and development and the strengthening of human resources and institutional capacities in developing countries and Parties with economies in transition.

At its first meeting, in recommendation 1/2, the ICNP recommended the development of a strategic framework for capacity-building and development under the Nagoya Protocol in order to assist in the implementation of Article 22 on the basis of domestic needs and priorities identified by Parties, including those identified by indigenous and local communities. In order to get detailed views and information by Parties and relevant stakeholders on domestic needs and priorities, as well as on the proposed elements of the strategic framework, questionnaires were developed by the Executive Secretary. The information and views received through the questionnaires were synthesized by the Executive Secretary (document UNEP/CBD/ICNP/2/10) and made available to the second meeting of the ICNP.

At the second meeting of the ICNP, in recommendation 2/5, Parties agreed that a strategic framework should guide the capacity-building and development policies and actions of Parties, donors and other actors and include a set of practical capacity-building and development activities in support of the effective implementation of the Protocol. Furthermore, it recommended to COP-11 a possible process for the development of the strategic framework.

Finally, the ICNP recommended that the first meeting of the COP-MOP adopt the strategic framework for capacity and development in support of the effective implementation of the Protocol.

The Conference of the Parties, at its eleventh meeting, in decision XI/1 requested the Executive Secretary to organize an expert meeting to develop the strategic framework based on the synthesis of domestic needs and priorities as well as the proposed elements of the strategic framework prepared for the second meeting of the ICNP (document UNEP/CBD/ICNP/2/10), the wealth of experiences and lessons learned from existing ABS related capacity-building and development initiatives and ABS related bilateral cooperation, as well as the summary of views expressed at the second meeting of the ICNP for its consideration by the third meeting of the Intergovernmental Committee.

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Financial mechanism

Article 25 paragraph 2, of the Nagoya Protocol provides that the financial mechanism of the Convention shall be the financial mechanism for the Protocol. In accordance with decision I/2 of the Conference of the Parties to the Convention on Biological Diversity, the Global Environment Facility serves as the institutional structure to operate the financial mechanism under the Convention. The relationship between the GEF and the Convention is governed by a Memorandum of Understanding (MoU) between the Conference of the Parties to the Convention and the Council of the GEF, which was adopted by the COP in its decision III/8. Under that MoU, the GEF functions under the authority and guidance of, and is accountable to, the COP for the purposes of the Convention.

In accordance with Article 25 of the Protocol, the COP-MOP is to provide draft guidance with respect to the financial mechanism for consideration by the COP which would consider it and integrate it in the overall guidance to the GEF.

The financial mechanism with respect to access and benefit-sharing was considered by the second meeting of the Intergovernmental Committee for the Nagoya Protocol (ICNP). To assist the ICNP in the consideration of this issue, a note was prepared by the Executive Secretary (document UNEP/CBD/ICNP/2/3) taking into consideration views and information submitted by Parties and other stakeholders on this issue. In recommendation 2/1, the ICNP made recommendations for the consideration of the first COP-MOP, but in order to ensure that timely guidance was provided to the GEF on certain issues with respect to the Nagoya Protocol, it also made recommendations for the consideration of the eleventh meeting of the Conference of the Parties.

In its recommendation to the first COP-MOP, the ICNP made recommendations with respect to operational arrangements between the Convention and the Council of the GEF with respect to the Nagoya Protocol and provided draft guidance on: policy and strategy, programme priorities and eligibility criteria.

The eleventh meeting of the Conference of the Parties, in decision X1/5 provided guidance to the GEF with respect to programme priorities for inclusion in the four-year framework for programme priorities for the period 2014-2018, the Nagoya Protocol Implementation Fund and support for activities prior to the entry into force of the Protocol. Parties also emphasized the importance of having the necessary funds for activities to support ABS, ratification, early entry into force and implementation of the Protocol.

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Resource mobilization

Paragraphs 1, 4 and 6 of Article 25 provide the basis for considering resource mobilization under the Protocol, recognizing that the identification and mobilization of new financial resources in addition to those provided through the GEF may be needed for the effective implementation of the Protocol. Against this background, Article 25 calls for provision of financial assistance to developing country Parties and Parties with economies in transition to effectively implement the Protocol through bilateral, regional and multilateral channels. It also provides that in considering financial resources for the implementation of the Protocol, the Parties shall take into account the provisions of Article 20 of the Convention.

The second meeting of the Intergovernmental Committee for the Nagoya Protocol(ICNP) considered resource mobilization. To assist the ICNP in the consideration of this issue, a note was prepared by the Executive Secretary (document UNEP/CBD/ICNP/2/4) taking into consideration views and information submitted by Parties and other stakeholders on this issue. In recommendation 2/2, the ICNP recommended a draft decision for the consideration of the first meeting of the COP-MOP. The ICNP generally supported the integration of resource mobilization for the implementation of the Protocol in the work on resource mobilization under the Convention. Parties were encouraged to include consideration of resource mobilization for the Protocol in the implementation of the Strategy for Resource Mobilization in support of the achievement of the three objectives of the Convention for the period 2008-2015 and in the development of National Biodiversity Strategies and Action Plans (NBSAPs). The Secretariat was also requested to include consideration of resource mobilization for the Protocol in the organization of activities in support of the Strategy for Resource Mobilization. Furthermore, the ICNP recommended that the eleventh meeting of the Conference of the Parties take into consideration resource mobilization for the implementation of the Protocol in considering its agenda item on the Review of the implementation of the Strategy for Resource Mobilization including the establishment of targets.

Following this recommendation, the eleventh meeting of the Conference of the Parties, in decision XI/4 decided to include consideration of resource mobilization for the Nagoya Protocol in the implementation of the Strategy for Resource Mobilization.

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Compliance with the Protocol

Article 30 of the Nagoya Protocol provides that the first meeting of the COP-MOP shall consider and approve cooperative procedures and institutional mechanisms to promote compliance with the provisions of the Protocol and to address cases of non-compliance. These procedures and mechanisms shall include provisions to offer advice or assistance, where appropriate. They shall be separate from, and without prejudice to, the dispute settlement procedures and mechanisms under Article 27 of the Convention.

Since the adoption of the Protocol, Parties have started negotiating cooperative procedures and institutional mechanisms with a view to adopting them at the first COP-MOP. As a first step and to assist the Intergovernmental Committee for the Nagoya Protocol (ICNP) in its consideration of this issue at its first meeting, the Executive Secretary prepared two documents (document UNEP/CBD/ICNP/1/6/rev/1 and document UNEP/CBD/ICNP/1/INF/1) relevant to the discussions on compliance based on experience gained on this issue in other multilateral environmental agreements.

At its first meeting, in recommendation 1/4, the ICNP requested the Executive Secretary to convene an expert meeting to consider draft elements and options for compliance procedures and mechanisms. The draft elements and options (document UNEP/CBD/ABS/EM-COMP/1/2) were developed by the Executive Secretary in light of the views sent by Parties and other stakeholders.

The expert meeting met in March 2012. The second meeting of the ICNP considered the report of the expert meeting (document UNEP/CBD/ICNP/2/12) and provided a revised version of the draft elements and options in the annex to recommendation 2/7. The ICNP decided that this draft shall serve as the basis for future consideration of this issue with a view to their adoption at the first meeting of the COP-MOP.

The eleventh meeting of the Conference of the Parties, in decision XI/1 decided to forward the draft as contained in annex IV of the decision to the third meeting of the ICNP, to enable the first meeting of the Parties to the Protocol to consider and approve them.

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