1.Article 22 of the Protocol requires Parties to cooperate in capacity-building, capacity development and strengthening of human resources and institutional capacities to effectively implement the Protocol in developing country Parties, in particular the least developed countries and small island developing States among them, and Parties with economies in transition, including through existing global, regional, subregional and national institutions and organizations. Parties are also required to facilitate the involvement of indigenous and local communities and relevant stakeholders, including non-governmental organizations and the private sector.
2.Currently, most developing country Parties, in particular the least developed countries and small island developing States among them, and Parties with economies in transition lack the necessary capacities to effectively implement the Protocol. For example, many do not yet have in place functional domestic legislative, administrative or policy measures on access and benefit-sharing and have not yet set up the institutional arrangements to support implementation of the Protocol at the national level. Many of them also lack experts in the area of access and benefit-sharing and related issues. As well, key stakeholders – including government officials, indigenous and local communities, the private sector and the public – are not fully aware of the provisions of the Protocol.
3.This strategic framework has been developed to facilitate cooperation among Parties, donors and other actors on capacity-building and development for the effective implementation of the Protocol and foster a strategic, coherent and coordinated approach to capacity-building and development. It delineates the general focus and strategic direction for building and developing core capacities at the individual, institutional and systemic levels that would underpin the implementation of the Protocol over the next decade.
This document is a result of a broad consultative process, which was initiated after the first meeting of the Open-ended Ad Hoc Intergovernmental Committee for the Nagoya Protocol (the Intergovernmental Committee) held in June 2011 in Montreal. In its recommendation 1/2
, the Intergovernmental Committee called for the development of a strategic framework for capacity-building and development on the basis of the domestic needs and priorities and the elements identified by Parties and indigenous and local communities. Subsequently the Executive Secretary prepared a synthesis of the views and information received. The synthesis was considered by the second meeting of the Intergovernmental Committee, which was held in July 2012 in New Delhi. 11
On the basis of the recommendation by the second meeting of the Intergovernmental Committee, the Conference of the Parties requested the Executive Secretary to organize an expert meeting to develop a draft strategic framework, taking into account the above-mentioned synthesis of views and information received, the wealth of experiences and lessons learned from existing access and benefit-sharing related capacity-building and development initiatives and access and benefit-sharing related bilateral cooperation, as well as the views expressed at the second meeting of the Intergovernmental Committee. 12
The expert meeting, held from 3 to 5 June 2013 in Montreal, developed the draft strategic framework on the basis of the above information. The expert meeting also took into account outcomes from the workshops on capacity-building on access and benefit-sharing, which were organized by the Secretariat of the Convention on Biological Diversity and the Secretariat of the International Treaty on Plant Genetic Resources for Food and Agriculture in 2011 and 2012. 13
The draft strategic framework was considered by the Intergovernmental Committee at its third meeting, in February 2014 in the Republic of Korea, and was adopted by the Conference of the Parties serving as the meeting of the Parties to the Nagoya Protocol at its first meeting.
7.The strategic framework is a flexible and living document. It is intended to be used and adapted by Parties according to the different situations and contexts and will be updated on the basis of emerging experiences and lessons learned.
1.2Current situation, previous experiences and lessons learned
8.There is wide variation among countries with regard to the current status of implementation of access and benefit-sharing measures, the existing human resources and institutional capacities and the capacity needs and priorities. In response to the questionnaire sent out by the Secretariat in October 2011, a number of Parties expressed the need for capacity to develop national access and benefit-sharing measures and institutional arrangements, participate in the Access and Benefit-Sharing (ABS) Clearing-House, conduct valuation of genetic resources and associated traditional knowledge, address transboundary situations and national capacity for bioprospecting. The representatives of indigenous and local communities expressed the need to develop their capacity to participate in decision-making and policy development processes, to understand the provisions of the Protocol, to negotiate favourable access and benefit-sharing agreements and to develop inventories and monitor their genetic resources and traditional knowledge associated with genetic resources.
9.Many countries also lack clear and harmonized institutional arrangements and rules governning access and benefit-sharing, including procedures for obtaining prior informed consent and establishing mutually agreed terms. They also lack expertise to effectively carry out access and benefit-sharing regulatory functions and the capacity to collect, manage and share information on access and benefit-sharing. Moreover, the level of awareness of the Protocol and its provisions is very low in most countries. Key stakeholders, including government officials, indigenous and local communities, the private sector and the public are not aware of the requirements under the Protocol. There is also a need for capacity-building and development in all Parties for monitoring the utilization of genetic resources, including through checkpoints.
Prior to the adoption of the Protocol, a number of tools and initiatives were developed to assist Parties in implementing Article 15 of the Convention on Biological Diversity. For example, the Action Plan on Capacity-building for Access and Benefit-sharing was adopted by the Conference of the Parties in 2004 to facilitate and support the development and strengthening of capacities of individuals, institutions and communities for the effective implementation of the provisions of the Convention relating to access to genetic resources and benefit-sharing. The Bonn Guidelines on Access to Genetic Resources and Fair and Equitable Sharing of Benefits Arising from their Utilization, adopted in 2002, also assisted Parties, inter alia
, to develop national regimes and contractual arrangements for access and benefit-sharing. 14
Furthermore, various capacity-building and development initiatives have been implemented over the last few years. 15
Many of those initiatives have provided training to individuals through face-to-face training seminars and workshops. Few have provided technical support for institutional capacity development and strengthening of capacity at the systemic level. Some initiatives have also developed virtual learning tools, including e-learning modules on access and benefit-sharing and some are supporting on-the-job training and exchange programmes. To date, however, there are very few academic institutions offering formal degree or diploma programmes in access and benefit-sharing.
12.Some of the lessons learned from past and ongoing access and benefit-sharing capacity-building and development initiatives include the following:
(a)Addressing access and benefit-sharing capacity needs requires a programmatic approach;
(b)Capacity-building and development on access and benefit-sharing should target and involve a wide range of stakeholder groups;
(c)It is important that all parties involved in capacity-building and development have a clear understanding of the content and the implications of the Protocol;
Regional and subregional initiatives have been effective in building and developing capacities of countries that have similar needs and situations. 16
They allow countries to pool resources and share expertise available in the region; and
(e)Capacity-building and development requires adequate and consistent support over a relatively long period of time in order to secure effective and lasting results.
13.The development of this strategic framework has taken into account the current situation, the needs and priorities identified and the experiences and lessons learned from previous capacity-building initiatives.
1.3Guiding principles and approaches
14.Implementation of capacity-building and development policies, activities, projects and other initiatives in support of the implementation of the Protocol should be guided by principles and approaches based on experiences and lessons learned from previous and current initiatives. In general, capacity-building and development initiatives should:
(a)Be demand-driven, based on the needs and priorities identified through national self-assessments;
(b)Ensure national ownership and leadership;
(c)Build on experiences and lessons learned from past and ongoing access and benefit-sharing capacity-building initiatives;
(d)Emphasize the role of bilateral and multilateral cooperation;
(e)Ensure full involvement of indigenous and local communities and relevant stakeholders, including women, in capacity-building and development initiatives;
(f)Recognize the usefulness and cost-effectiveness of subregional and regional approaches to capacity-building and development, particularly where countries have common capacity needs;
(g)Integrate capacity-building into wider sustainable development efforts;
(h)Adopt a learning-by-doing approach;
(i)Foster development of sustainable capacities to enable Parties to comply with the requirements of the Protocol;
(j)Consider the views and experiences of different stakeholders involved in access and benefit-sharing.
15.The above guiding principles will help to inform the Parties’ capacity-building efforts to ensure that they are developed in accordance with the strategic framework and foster a more streamlined and consistent approach.
2.PURPOSE AND OBJECTIVES
16.The purpose of this strategic framework is to foster a systematic, coherent and coordinated approach to capacity-building and development for the effective implementation of the Protocol in accordance with Article 22. It also seeks to catalyse and guide the development, implementation, monitoring and evaluation of capacity-building and development initiatives on access and benefit-sharing. It provides a framework that Parties, indigenous and local communities and other relevant stakeholders can use to, inter alia, identify their capacity needs and priorities through national self-assessment; design and implement national capacity-building and development strategies, projects and programmes; and monitor and evaluate their capacity-building and development initiatives.
17.Furthermore, the strategic framework provides a mechanism that could enable Parties, relevant organizations, donors and partners involved in capacity development to cooperate and leverage opportunities and resources through strategic partnerships and synchronized initiatives. It would also foster coordination and dialogue among countries and relevant stakeholders and promote sustainability of capacity-building and development initiatives.
18.The strategic framework is to serve as a reference document to guide the policies and actions of Parties, relevant organizations and donors in relation to capacity-building and development for implementation of the Protocol and includes specific practical activities to assist developing country Parties and Parties with economies in transition to build and develop their capacities to undertake measures to facilitate the effective implementation of the Protocol.
19.The strategic framework covers the following key areas:
(a)Capacity to implement, and to comply with the obligations of, the Protocol;
(b)Capacity to develop, implement and enforce domestic legislative, administrative or policy measures on access and benefit-sharing;
(c)Capacity to negotiate mutually agreed terms;
(d)Capacity of countries to develop their endogenous research capabilities to add value to their own genetic resources.
20.In addition, the capacity needs and priorities of indigenous and local communities and relevant stakeholders, including the business sector and the research community, in relation to the implementation of the Protocol are addressed by the strategic framework.
21.Accordingly, the objectives of strategic framework are:
(a)To build and develop the capacity for enabling the ratification of, or accession to, the Protocol;
(b)To build and strengthen the capacity of Parties to develop, implement and enforce domestic legislative, administrative or policy measures to support implementation of the Protocol;
(c)To support Parties in raising-awareness of the importance of genetic resources and traditional knowledge associated with genetic resources, and related access and benefit-sharing issues;
(d)To enhance the capacity of Parties to negotiate mutually agreed terms, including through training and through development of model contractual clauses;
(e)To assist Parties in promoting compliance with domestic access and benefit-sharing legislation and regulatory requirements and mutually agreed terms;
(f)To increase the capacity of Parties to monitor the utilization of genetic resources, including the establishment of checkpoints;
(g)To enable Parties to develop the endogenous research capabilities to add value to their own genetic resources;
(h)To build and develop the capacity of indigenous and local communities and relevant stakeholders, including the business sector and the research community, to effectively participate in the implementation of the Protocol;
(i)To enable Parties to effectively participate in the ABS Clearing-House and use the best available communication tools and Internet-based systems for access and benefit-sharing activities;
(j)To promote coordination and mutual supportiveness of capacity-building and development initiatives for implementation of the Protocol and other international instruments on access and benefit-sharing.
3.STRATEGIC MEASURES REQUIRING CAPACITY-BUILDING AND DEVELOPMENT
22.The strategic framework focuses on capacity-building and development for strategic measures that Parties may need to undertake in the short and medium-term (i.e. within the first six years until 2020), and in the long-term (beyond 2020) in order to lay a strong foundation for the effective implementation of the Protocol and provide leverage for future capacity-building and development efforts. The proposed measures under each of the key areas are summarized in a table contained in appendix I.
23.The measures in the table are organized in an indicative order of priority/sequence according to their temporal importance in supporting the implementation of the Protocol and are based on the information that was submitted to the Secretariat by Parties, indigenous and local communities and relevant stakeholders in 2011. It is recognized that the specific priorities vary from Party to Party depending on the situation of each Party, including its national development priorities and budgetary limitations and level of advancement with respect to access and benefit-sharing.
4.IMPLEMENTATION OF THE STRATEGIC FRAMEWORK
4.1Practical activities to implement the strategic framework
24.The strategic framework may be implemented through practical capacity-building and development activities carried out at the national, subregional, regional and international levels. An indicative list of activities is presented in appendix II. The proposed activities are intended to contribute to building and developing the capacity to implement the strategic measures outlined in appendix I.
25.The mechanisms for implementing this strategic framework would vary from country to country and from region to region depending on the measures requiring capacity-building and development. In accordance with the information received from Parties in response to the questionnaire sent out in 2011, the main delivery mechanisms include targeted education and training programmes, conferences and workshops, legal and technical assistance, development of guidance and reference materials, online discussion forums, scientific and technical cooperation, and funding support (including research grants). Other mechanisms include train-the-trainers and learning-by-doing approaches, on-the-job training, multi-stakeholder policy dialogue, study tours and exchange visits and institutional support.
26.The implementation of the strategic framework promotes various approaches to capacity-building, including participatory bottom-up and national, subregional and regional approaches and opportunities.
4.2Roles and responsibilities
27.The strategic framework is intended to assist and guide Parties, regional and international organizations, research and academic institutions, indigenous and local communities and other relevant stakeholders to build and develop capacity through national, subregional and, regional projects and programmes, taking into account the specific needs and priorities of the respective Parties or regions for the implementation of the Protocol.The Secretariat of the Convention on Biological Diversity is to promote and coordinate the implementation of the strategic framework by, inter alia, collecting and providing information through the ABS Clearing-House. It would facilitate activities at the regional and international levels, including the following:
(a)Informing capacity-building providers about existing capacity-building initiatives and about areas where there are capacity-building gaps;
(b)Organizing train-the-trainers courses and workshops;
(c)Identifying and mapping institutions and expertise available at various levels that could assist in the implementation of the strategic framework;
(d)Developing training materials and disseminating them through the ABS Clearing-House;
(e)Setting up online expert networks on access and benefit-sharing capacity-building and development; and
(f)Facilitating communication and exchange of experiences among Parties and relevant organizations, including through the ABS Clearing-House.
28.The Conference of the Parties serving as the meeting of the Parties to the Protocol will be responsible for monitoring the progress made in the implementation of the strategic framework and providing further guidance, if necessary.
4.3Resources for implementation
29.The main sources of funding for the capacity-building and development activities proposed in this strategic framework include, but are not limited to, the following:
The Global Environment Facility (GEF) is an important source of funding for implementing this strategic framework. 17
Parties are encouraged to give priority to access and benefit-sharing projects when distributing their country allocation for biodiversity under the System for Transparent Allocation of Resources (STAR);
(b)Bilateral and multilateral development assistance is another potential source of funding for access and benefit-sharing capacity-building and development activities. Parties are encouraged to develop project proposals in line with this framework and submit them to potential donors. Partners are invited to assist Parties in formulating good project proposals. Parties are encouraged to integrate access and benefit-sharing capacity-building and development activities in their national development plans, which often guide the discussions with development cooperation agencies;
(c)Technical cooperation with regional and international partners: Parties are encouraged to establish strategic partnerships with various organizations, regional bodies or centres of excellence and, as appropriate, with the private sector with a view to pooling human and technical resources and widening opportunities for mobilizing financial resources from various sources;
(d)New and additional funding: Parties are encouraged to pursue innovative ways of mobilizing resources at the national level to support access and benefit-sharing capacity-building and development activities. These might include resource recovery mechanisms, access application fees, fundraising through voluntary contributions, support from foundations, and, as appropriate, public-private partnerships. Parties are also encouraged to direct some of the resources generated from the implementation of the Protocol towards capacity-building and development;
(e)National budgets: Parties are encouraged to include in their national budgets adequate provisions to support access and benefit-sharing capacity-building and development activities.
30.The effective implementation of the strategic framework requires availability of adequate financial resources disbursed in a predictable and timely manner. Parties are encouraged to diversify domestic and external funding sources and/or employ different means of mobilizing new and additional resources.
4.4Sustainability of capacity-building and development initiatives
31.Parties and relevant organizations are encouraged to establish measures to secure the long-term sustainability of the capacity-building and development initiatives undertaken in line with this strategic framework. For example, Parties and relevant organizations are encouraged to involve key stakeholders, including high-level policy- and decision makers, politicians, relevant authorities, indigenous and local communities and relevant stakeholders, including the business sector and the research community, in the design and implementation of those initiatives in order to build ownership and political commitment.
32.Parties are also encouraged to integrate access and benefit-sharing considerations in their national development plans, strategies and sectoral policies and plans, according to their national circumstances and priorities. Furthermore, activities implemented as part of individual projects (such as training workshops or courses) should be, as much as possible, incorporated into the regular programmes of relevant existing institutions, such as local universities or research institutions, to ensure their sustainability at the end of the projects.
33.Moreover, capacity-building and development projects should include components to develop sufficient levels of institutional capacity that would help sustain the project activities and results after the projects are completed. In addition, Parties are encouraged to devise strategies to diversify the training of staff and to minimize the rate of turnover of personnel trained, in order not to compromise future implementation of the Protocol.
5.COORDINATION AND COOPERATION
5.1Mechanisms for coordination
The Protocol requires Parties to provide information on national, regional and international capacity-building and development initiatives to the ABS Clearing-House, with a view to promoting synergy and coordination on capacity-building and development for access and benefit-sharing. 18
In addition, coordination would be facilitated through the following mechanisms:
(a)Coordination meetings of government agencies, donors and relevant organizations involved in access and benefit-sharing capacity-building;
(b)Online discussion forums and networks.
35.The objectives of these coordination mechanisms are to:
(a)Promote cooperation and synergies in the implementation of the strategic framework;
(b)Enhance efficiency in access and benefit-sharing capacity-building and development activities by avoiding duplication at different levels and across different sectors;
(c)Facilitate the sharing of experiences and best practices on access and benefit-sharing capacity-building and development;
(d)Promote mutual supportiveness of capacity-building and development initiatives for implementation of the Protocol and of other international instruments on access and benefit-sharing.
36.Coordination should take place at the international, regional, subregional and national levels. Regional and subregional meetings and existing institutional structures may be used to coordinate access and benefit-sharing capacity initiatives. The national focal points are encouraged to oversee coordination at the national level.
5.2Cooperation among Parties and relevant organizations
37.Parties are encouraged to establish or use existing mechanisms to facilitate cooperation between and among Parties and relevant organizations on capacity-building and development for the implementation of the Protocol. Cooperation will help Parties and stakeholders complement each other's efforts and provide opportunities for pooling and maximizing available resources and expertise.
Initially, it is recommended that the main focus be placed on promoting or strengthening cooperation among Parties at the subregional and regional levels, building upon existing initiatives and using existing bodies 19
and mechanisms/programmes, such as the South-South cooperation programme under the Convention on Biological Diversity and the South-South Cooperation Exchange Mechanism under the United Nations Environment Programme.
39.The Secretariat will also initiate cooperation with key partners to ensure mutual supportiveness in their capacity development efforts.
40.Areas of cooperation may include the following:
(a)Development of joint capacity-building and development initiatives;
(b)Establishment of exchange programmes between countries;
(c)Organization of joint meetings, conferences, workshops and trainings to promote dialogue and mutual understanding of access and benefit-sharing issues;
(d)Joint educational programmes on access and benefit-sharing, including internships or short-term courses;
(e)Scientific and technical cooperation, including technology transfer, information and experience exchange, and funding support of local programmes and projects;
(f)Establishment of regional databases, websites and discussion forums to facilitate information exchange.
41.The Secretariat will conduct periodic assessments and mapping of institutions and organizations (both governmental and non-governmental) involved in capacity-building and development in access and benefit-sharing. Relevant institutions are invited and encouraged to establish regional or subregional networks or learning communities on capacity-building and development for implementation of the Protocol in the respective regions or subregions.
6.MONITORING AND REVIEW
42.The Conference of the Parties serving as the meeting of the Parties to the Protocol will monitor the implementation of this strategic framework. Parties, indigenous and local communities and relevant organizations are invited to provide to the ABS Clearing-House information on capacity-building and development initiatives, including the results of those initiatives, using a common format developed by the Secretariat.
43.The Secretariat will prepare reports on the status of implementation of the strategic framework for consideration by the Conference of the Parties serving as the meeting of the Parties to the Protocol at its regular meetings. The reports will highlight the main activities accomplished, the key results achieved and the challenges encountered. The report will provide a general sense of the overall progress made at different levels and identify the gaps and areas that might require additional intervention. The meeting of the Parties to the Protocol will review the progress made and provide guidance on measures for improvement.
44.An evaluation of the strategic framework will be carried out in 2020. The evaluation report will be used by the Conference of the Parties serving as the meeting of the Parties to the Protocol to review, and revise as appropriate, the strategic framework in conjunction with the review of the Strategic Plan for Biodiversity 2011-2020.