Unraveling the Nagoya Protocol A Commentary on the Nagoya Protocol on Access and Benefit-sharing to the Convention on Biotogicai Diversity By Elisa Morgera, Elsa Tsioumani and Matthias Buck / 6 8 ' BRILL LEIDEN BOSTON
Contents Foreword by Prof. Francesco Francioni Acknowledgements xvi List of Abbreviations xviii Table o f Legal Materials Cited xx xiii Introduction 1 1 The International Debate on Access and Benefit-sharing 3 1.1 Asymmetries and the Ethical Rationale fo r A B S 7 1.2 An Incentive-based Approach to Biodiversity Conservation and the Economic Rationale fo r A B S 10 1.3 The a b s Provisions o f the c b d 14 2 From the c b d to the Nagoya Protocol via the Bonn Guidelines 17 3 Traditional Knowledge and ABS 24 4 Indigenous Peoples and Local Communities as Beneficiaries of the c b d and the Nagoya Protocol 31 4.1 Internationally Recognized Human Rights o f Indigenous Peoples 35 4.2 Internationally Recognized Rights o f Local Communities 38 4.3 Human Rights-related Risks and Opportunities, Limitations and Innovations under the Protocol 41 5 About This Commentary 43 Article 1. Objective 48 1 Overview 48 2 Objective and Means 49 3 Traditional Knowledge 53 4 Links with Conservation and Sustainable Use 54 5 Legal and Practical Functions 56 Article 2. Use of Terms 59 1 Overview 59 2 Utilization of Genetic Resources 62 2.1 The Intent 63 2.2 The Material 64 2.2.1 Derivatives 65 2.2.2 Commodities in Trade 72 3 Utilization of Traditional Knowledge 74
VI Article 3. Scope 75 1 Overview 75 2 Subject-matter Scope 76 2.1 Human Genetic Resources 76 3 Outstanding Questions 77 3.1 Temporal Scope 77 3.2 Spatial Scope 81 Article 4. Relationship with International Agreements and Instruments 84 1 Overview 84 2 Relationship with Existing Agreements 86 2.1 Examples o f Existing Agreements 90 3 Relationships with Future Agreements 93 3.1 w ipo Negotiations 95 4 Relationship with Specialized abs Instruments 4.1 Genetic Resources Covered b y the it p g r f a 98 4.2 Genetic Resources with Pathogenic Properties 102 4.3 Marine Genetic Resources in Areas Beyond National Jurisdiction 106 4.4 c g r f a 108 Article 5. Fair and Equitable Benefit-sharing 110 1 Overview 112 2 Inter-State Benefit-sharing from the Utilization of Genetic Resources 114 3 Intra-State Benefit-sharing from the Utilization of Genetic Resources Held by Indigenous and Local Communities 117 3.1 States Obligation 120 3.2 'Established Rights and Other Qualifications 122 4 Benefit-sharing from Traditional Knowledge 127 5 The Role of Mutually Agreed Terms 131 6 Monetary and Non-monetary Benefits 133 Article 6. Access to Genetic Resources 136 1 Overview 137 2 Background 138 3 Access to Genetic Resources: The Inter-State Dimension 140 3.1 National Sovereignty over Genetic Resources and Domestic Measures on Access 141 3.2 The Concept o f State p i c 144
VII 4 Access to Genetic Resources Held by Indigenous and Local Communities 145 4.1 Parties Obligation 146 4.2 The Concept o f Community p ic Concerning Genetic Resources 148 4.2.1 Approval and Involvement 152 4.2.2 Community p ic and Private-sector Users 155 5 Access Standards 157 5.1 Legal Certainty, Clarity and Transparency 160 5.2 Fair and Non-arbitrary Access Rules and Procedures 162 6 Minimum Procedural Requirements for pic 164 7 Minimum Requirements for mat 167 Article 7. Access to Traditional Knowledge Associated with Genetic Resources 170 1 Overview 170 2 Community pic in Relation to Traditional Knowledge 170 3 Qualifications 175 Article 8. Special Considerations 178 1 Overview 178 2 Research Contributing to Conservation and Sustainable Use 179 2.1 Rationale 179 2.2 The Obligation 182 3 Genetic Resources and Health-related Emergencies 185 4 Genetic Resources for Food and Agriculture 188 Article 9. Contribution to Conservation and Sustainable Use 192 1 Overview 192 2 Contribution to a Coherent Interpretation of the Three cbd Objectives 193 3 Means of Im plem entation 194 4 Benefits for Indigenous and Local Communities 195 Article 10. Global Multilateral Benefit-sharing Mechanism 197 1 Overview 197 2 The Need for a Multilateral Benefit-sharing Mechanism 200 2.1 Transboundary Situations 200 2.2 Situations Where it is Not Possible to Grant or Obtain p ic 201 3 Features of a Global Benefit-sharing Mechanism 203
VIII 4 Promoting a Coherent Interpretation of the Three c b d Objectives 207 Article 11. Transboundary Cooperation 209 1 Overview 209 2 Obligation to Cooperate 210 3 Transboundary Cooperation Concerning Genetic Resources 213 4 Transboundary Cooperation Concerning Traditional Knowledge 214 Article 12. Traditional Knowledge Associated with Genetic Resources 216 1 Overview 217 2 General Clause 217 2.1 Community Protocols 219 3 Obligation to Inform Potential Users 223 4 Obligation to Support 224 5 Prohibition to Restrict Customary Use and Exchange 227 Article 13. National Focal Points and Competent National Authorities 229 1 Overview 230 2 National Focal Points 231 3 Com petent National Authorities 232 Article 14. The Access and Benefit-sharing Clearing-House and Information Sharing 237 1 Overview 238 2 Link with the cbd Clearinghouse Mechanism 238 3 The Functions of the abs Clearinghouse 240 4 Types of Information 241 5 Outstanding Legal Issues 246 Article 15. Compliance with Domestic Legislation or Regulatory Requirements on Access and Benefit-sharing 249 1 Overview 249 2 Compliance under Articles 15 and 16: Context and Responses to Conceptual Challenges 251 3 Obligation to Adopt Domestic User-side Measures 254 3.1 The Obligation to 'Provide 254 3.2 Means o f Implementation 259
IX 4 Obligation to Enforce 260 5 Obligation to Cooperate 261 Article 16. Compliance with Domestic Legislation or Regulatory Requirements on Access and Benefit-sharing for Traditional Knowledge Associated with Genetic Resources 264 1 Overview 264 2 Similarities and Differences vis-ä-vis Article 15 265 3 Lack of Parallel Provisions on Compliance concerning abs Related to Genetic Resources and abs Related to Traditional Knowledge 268 Article 17. Monitoring the Utilization o f Genetic Resources 271 1 Overview 272 2 Checkpoints 274 2.1 Characteristics and Functions 277 3 The Internationally Recognized Certificate of Compliance 279 Article 18. Compliance with Mutually Agreed Terms 283 1 Overview 283 2 Dispute Resolution Provisions in m a t 285 3 Opportunity to Seek Recourse 288 4 Access to Justice and Recognition of Foreign Judgm ents 289 5 Jurisdiction and Access to Justice in Cases of Violation of Provider Country abs Frameworks 291 Article 19. Model Contractual Clauses 293 1 Overview 293 2 Obligation for Parties 294 3 M andate for the Protocol s Governing Body 296 Article 20. Codes of Conduct, Guidelines and Best Practices and/or Standards 297 1 Overview 297 2 Obligation for Parties 298 3 M andate for the Protocol s Governing Body 299 Article 21. Awareness-Raising 301 1 Overview 301 2 Specific Relevance for Indigenous and Local Communities 302 3 Linkages with Other Provisions 303
X Article 22. Capacity 305 1 O verv iew 3 0 6 2 The Obligation to Cooperate 307 3 Country-Driven Capacity-Building 310 4 The Capacity of Indigenous and Local Communities and Other abs Stakeholders 311 5 A B S -related D e v e lo p m e n t C o o p e ra tio n 312 Article 23. Technology Transfer, Collaboration and Cooperation 314 1 O v erv iew 314 2 Technology Collaboration and Cooperation 315 3 Technology Transfer 317 Article 24. Non-Parties 322 Article 25. Financial Mechanism and Resources 325 1 Overview 325 2 Financial Mechanism 327 3 Other Bilateral, Regional and Multilateral Channels for Financial Resources 330 Article 26. Conference of the Parties Serving as the Meeting of the Parties to this Protocol 333 1 Overview 335 2 The Functioning of the c o p /m o p 335 3 Relationship with the cbd c o p 337 Article 27. Subsidiary Bodies 339 Article 28. Secretariat 341 Article 29. Monitoring and Reporting 343 1 Overview 343 2 Functions and Links 343 Article 30. Procedures and Mechanisms to Promote Compliance with this Protocol 346 1 Overview 346 2 Common Features 347 3 Distinctive Features 352
XI 3.1 Compliance in Bilateral Relations between Provider and User Countries 353 3.2 Compliance vis-ä-vis Indigenous and Local Communities 3.3 Compliance in State-Private Parties Relations 359 4 Links with Other Protocol Provisions 360 5 Dispute Settlement 361 355 Article 31. Assessm ent and Review 363 1 Overview 363 2 Functions and Links 363 Final Clauses 366 1 Overview 367 2 Signature and Entry into Force 367 3 Reservations 368 4 Withdrawals 369 5 Official Languages 370 Conclusions 372 1 Sustainable Development 372 2 Equity 375 3 Due Diligence 377 4 Environmental Rights 382 5 Final Words of Caution 385 Appendix: Text of the Preamble of the Nagoya Protocol 387 Bibliography 390 Index 412