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COMMON POLICY GUIDELINES (Cartagena, November 2000):
GUIDELINES TO ASSIST IN THE PREPARATION OF INSTITUTIONAL POLICIES BASED ON THE "PRINCIPLES ON ACCESS TO GENETIC RESOURCES AND BENEFIT-SHARING"

TABLE OF CONTENTS
SECTION 1   INTRODUCTION
SECTION 2   OBJECTIVE
SECTION 3   PRINCIPLES
SECTION 4   DEFINITIONS
SECTION 5   ACQUISITION
SECTION 6   USE
SECTION 7   CURATION
SECTION 8   SUPPLY
SECTION 9   BENEFIT-SHARING
SECTION 10   IMPLEMENTATION
Annex 2  Model Material Acquisition Agreement
Annex 3 Model Material Supply Agreement

List of institutions participated in the development of the CPG and Principles

TopList
Pictures from Cartagena and the CPG Workshop-2000

SECTION 1 - INTRODUCTION

Participating Institutions have endorsed the Principles set out in Section 3 because:

It is the intent of this document to promote a harmonised basis for access and benefit-sharing among botanical institutions.

 

SECTION 2 - OBJECTIVE

The objective of these Common Policy Guidelines is to provide background guidance to assist Participating Institutions implement the "Principles on Access to Genetic Resources and Benefit-Sharing for Participating Institutions" set out in Section 3 of this document;

 

SECTION 3 – PRINCIPLES ON ACCESS TO GENETIC RESOURCES AND BENEFIT SHARING FOR PARTICIPATING INSTITUTIONS (you can read it as a separate document)

Participating Institutions endorse the following Principles on access to genetic resources and benefit-sharing:

Convention on Biological Diversity (CBD) and laws related to access to genetic resources and associated traditional knowledge and benefit-sharing

Acquisition of genetic resources

Use and supply of genetic resources

Use of written agreements

Benefit-sharing

Curation

Prepare a policy

 

SECTION 4 - DEFINITIONS

In this document, the following terms have the following meanings:

Accession means a sample or specimen of biological material incorporated into an ex situ collection;

Access to genetic resources means the permission to acquire and use genetic resources;

Acquisition means obtaining possession of a material or resource, through collection or receipt;

Benefit-sharing means the sharing of benefits arising from the use, whether commercial or not, of genetic resources and their derivatives, and may include both monetary and non-monetary returns;

Biological material includes, but is not limited to, plants, plant parts or propagation material (such as seeds, cuttings, roots, bulbs, corms or leaves), fungi or other fungal material, and any other material of plant, animal, fungal, microbial or other origin and the genetic resources contained therein;

Biological resources includes, but are not limited to, organisms or parts thereof, populations or any biotic component of ecosystems of actual or potential value, including genetic resources;

Botanic garden means, but is not limited to, an institution maintaining documented collections of living and/or preserved plant accessions for purposes such as scientific research, conservation, sustainable use, display and education;

Commercialisation means applying for, obtaining or transferring intellectual property rights or other tangible or intangible rights by sale or licence or in any other manner, commencement of product development, conducting market research, and seeking pre-market approval and/or the sale of any resulting product;

Country of origin of genetic resources means the country which possesses those genetic resources in in situ conditions;

Derivatives includes, but are not limited to any progeny, extracts and compounds obtained from genetic resources and analogues of those compounds;

Ex situ collection means managed, documented biological material maintained in conditions other than in situ;

Explanatory Text means the document [being] developed to accompany these Common Policy Guidelines;

Genetic resources means any material of plant, animal, fungal, microbial or other origin containing functional units of heredity of actual or potential value;

Herbarium means a reference collection of preserved and documented plant specimens, including those that are dried and pressed and those that are preserved in liquid;

In situ conditions means conditions where genetic resources exist within ecosystems and natural habitats, and, in the case of domesticated or cultivated species, in the surroundings where they have developed their distinctive properties;

Participating Institution means any botanic garden, herbarium or other institution which endorses the "Principles on Access to Genetic Resources and Benefit-Sharing for Participating Institutions" set out in Section 3 of this document and which has agreed to develop an institutional policy to implement the Principles;

Principles means the text set out in Section 3.

Prior informed consent means the consent of the government of the country of origin and of any other appropriate Stakeholders which must be obtained by the Participating Institution prior to gaining access to genetic resources. It must be based on full disclosure of information, such as the intended use of those genetic resources;

Provider means any individual or organisation, whether governmental or non-governmental, that provides genetic resources or derivatives to a Participating Institution;

Recipient means any individual or organisation, whether governmental or non-governmental, that acquires genetic resources or derivatives from a Participating Institution with its consent;

Stakeholder means an individual, organisation or group whether formal or informal, affected by, or with an interest in, the activities relating to the acquisition, use or supply of genetic resources or their derivatives. Stakeholders involved in conservation and the granting of collecting permits and prior informed consent for access may include relevant departments of government, local authorities, private individuals such as landowners, indigenous peoples, local communities, farmers and non-governmental organisations. Stakeholders such as these are often described in law relating to access and benefit-sharing;

Written agreement means any form of written agreement between two or more organisations or individuals setting out the terms and conditions under which one party will transfer biological materials. What constitutes a written agreement can take many forms, ranging from an exchange of letters and the granting of a collecting permit based on a completed application, to a shipping notice or a detailed contract (sometimes known as a material transfer agreement or access and benefit-sharing agreement). A range of different written agreements is set out for illustrative purposes in the Explanatory Text.

 

SECTION 5 - ACQUISITION

5.1 Prior Informed Consent

5.1.1 When it collects or otherwise gains access to genetic resources, each Participating Institution will abide by international and national applicable laws, regulations and best practice.

5.1.2 When obtaining access to genetic resources from in situ conditions, each Participating Institution will:

        1. where required, in accordance with applicable law, obtain, in writing, the prior informed consent of the government of the country of origin;
        2. and will make reasonable and sincere efforts to:

        3. obtain and record the prior informed consent of other Stakeholders, as appropriate, for access to and use of the genetic resources concerned and associated knowledge;
        4. ensure that any collection, import, export and other handling of the genetic resources has been in accordance with all applicable law; and
        5. clarify, in writing based on a full explanation of how the genetic resources will be acquired and used, the terms and conditions under which the materials are acquired and can subsequently be used, particularly whether the materials or their derivatives may be supplied to third parties and/or commercialised.

5.1.3. When obtaining access to genetic resources from documented ex situ collections, each Participating Institution will:

        1. obtain, in writing, prior informed consent from the officer authorised to agree terms and conditions of access on behalf of the ex situ collection, and such other consents required as indicated by that officer for access to the genetic resources concerned and for their use;
        2. and will make reasonable and sincere efforts to:

        3. obtain from the authorised officer of the Provider a written statement that the genetic resources were acquired and are being supplied in accordance with all applicable law and that the Provider is entitled to supply them to the Participating Institution;
        4. ensure that the export of the genetic resources or their derivatives from the country where the Provider is based, and import to the country where the Participating Institution is based, are in accordance with all applicable law; and
        5. clarify, in writing, based on a full explanation of how the genetic resources will be acquired and used, the terms and conditions under which the materials are acquired and can subsequently be used, particularly whether the materials or their derivatives may be supplied to third parties and/or commercialised.

5.1.4 When obtaining access to genetic resources from ex situ sources other than those in Section 5.1.3. above, for instance from commercial sources or individuals, each Participating Institution will ensure that the acquisition conforms with applicable law and best practice, and in cases where there is no applicable law, will, if appropriate, evaluate available documentation and make reasonable and sincere efforts to ascertain from the Provider that the materials were obtained in accordance with the CBD and best practice.

 

5.2 Use of Written Agreements to Clarify Terms and Conditions of Acquisition

5.2.1 When obtaining access to genetic resources, each Participating Institution will make reasonable and sincere efforts to clarify in writing the respective roles, rights and responsibilities of the Participating Institution, the Provider, the country of origin and relevant Stakeholders, as appropriate, in activities involving the use of genetic resources.

 

SECTION 6 – USE

6.1 Use where Terms and Conditions are Clear

6.1.1 Participating Institutions will only use genetic resources for purposes consistent with the terms and conditions under which they were acquired. If a Participating Institution wishes to use such genetic resources for purposes other than those allowed by the terms and conditions under which the material was originally acquired (such as for commercial use when access was granted for non-commercial purposes), the Participating Institution will obtain approval from the Provider for such use and should specify in writing the terms and conditions of use, including fair and equitable benefit-sharing as set out in Section 9 below.

 

6.2 Use where Terms and Conditions are not Clear

6.2.1 A Participating Institution may wish to commercialise genetic resources (or their derivatives) for which the terms and conditions under which they were acquired are not clear. In this case:

    1. if the genetic resources were acquired after the entry into force of the CBD, each Participating Institution will obtain the informed consent of the Provider (or, if the Provider is not known, the country of origin), prior to commercialising the genetic resources, and should specify in writing the terms and conditions of use, including fair and equitable benefit-sharing as set out in Section 9 below.
    2. if the genetic resources were acquired prior to the entry into force of the CBD, each Participating Institution will share benefits arising from their commercialisation according to Section 9, and will clarify, in the policy on commercialisation referred to in the Principles, whether, prior to commercialisation, they will obtain the informed consent of the Provider (or, if the Provider is not known, the country of origin).

 

SECTION 7 – CURATION

7.1 Collection Management

7.1.1 Each Participating Institution acquiring genetic resources will make reasonable and sincere efforts to record and maintain data on their acquisition, including information on the Provider; country of origin; collector; and, if available, dates, accession numbers, taxon names, etc; prior informed consent and terms and conditions of use; and other relevant data associated with the acquisition of accessions in its collections in order to be able to implement the Principles.

7.1.2 Each Participating Institution will make reasonable and sincere efforts to record and maintain information concerning the use of genetic resources and their derivatives by that Participating Institution, and the benefits to that Participating Institution arising from such use.

7.1.3 Participating Institution will make reasonable and sincere efforts to record and maintain data on the supply of genetic resources and their derivatives, including information on the Recipient and the terms and conditions of access and benefit-sharing under which they were supplied. When providing genetic resources and their derivatives to a Recipient, each Participating Institution will also provide relevant data on their acquisition to the Recipient, as described in Section 7.1.1, particularly information on prior informed consent and conditions of use.

7.1.4 In order to be able to fulfil its commitments in the Principles now and in the future, each Participating Institution will develop and implement appropriate mechanisms to track the acquisition of genetic resources, the different uses of genetic resources and their derivatives held in its collections, their supply to Recipients, and the benefits that arise from their use.

 

7.2. Staff Management

7.2.1 Each Participating Institution will establish systems of staff management and individual responsibilities for the implementation of and compliance with the Principles.

 

SECTION 8 - SUPPLY

8.1 Supply of Genetic Resources

8.1.1 Each Participating Institution may supply, whether by way of a gift, sale or loan, genetic resources or their derivatives to other Participating Institutions and third parties for conservation, research, public display, education and other purposes.

8.1.2 At the time of supplying genetic resources or their derivatives, each Participating Institution will, consistent with its policy on commercialisation referred to in the Principles, clarify with the Recipient, whether the supply is for commercial or for non-commercial purposes.

8.1.3 When supplying genetic resources or their derivatives, each Participating Institution will honour any terms and conditions to which it committed when acquiring the genetic resources, such as any terms and conditions set out in written agreements.

8.1.4 To the extent possible, when supplying genetic resources or their derivatives, each Participating Institution will treat genetic resources acquired prior to the entry into force of the CBD and those acquired after its entry into force in the same manner.

 

8.2 Use of Written Agreements to Clarify Terms and Conditions of Supply

8.2.1 When supplying genetic resources or their derivatives, each Participating Institution recognises the need to supply genetic resources under written agreements, which obliges each Recipient:

    1. to share benefits arising from its use of the genetic resources and their derivatives fairly and equitably as set out in Section 9.
    2. not to commercialise the genetic resources or their derivatives without the explicit consent of the Participating Institution providing them; and
    3. not to pass the genetic resources or their derivatives on to third parties without ensuring that the third parties enter into written agreements containing terms and conditions that are no less restrictive.

 

SECTION 9 - BENEFIT-SHARING

9.1 Commitment to Share Benefits

9.1.1 Each Participating Institution will make reasonable and sincere efforts to share the benefits arising from the use of genetic resources and their derivatives fairly and equitably with the country of origin and other Stakeholders, as appropriate.

9.1.2 To the extent possible, each Participating Institution will share the benefits arising from the use of materials acquired prior to and after the entry into force of the CBD in the same manner.

 

9.2 Benefits

9.2.1 The object of sharing benefits is to achieve fairness and equity and to create incentives and provide resources for the conservation of biological diversity and the sustainable use of its components.

9.2.2 Benefits which Participating Institutions will share, depending upon what is fair and equitable in the circumstances, including commitments made in written agreements, may include:

    1. taxonomic, biochemical, ecological, horticultural and other information and data, through research results, publications and educational materials;
    2. access to collections and databases;
    3. benefits in kind, such as augmentation of national collections in the country of origin and support of community development activities;
    4. the transfer of technology such as hardware, software and know-how;
    5. training in science, in situ and ex situ conservation and management, information technology and management and administration of access and benefit-sharing;
    6. institutional development, strengthening and management;
    7. joint research and development, through collaboration in training and research programmes, participation in product development, joint ventures and co-authorship of publications; and,
    8. in the case of commercialisation, also monetary benefits such as royalties.

 

SECTION 10 - IMPLEMENTATION

10.1 Develop an Institutional Policy

10.1.1 Each Participating Institution will prepare and, as appropriate, communicate its own policy setting out how it will implement the Principles, using these Common Policy Guidelines for guidance.

10.1.2 Participating Institutions may develop such policies individually or collectively, as groups or networks of institutions.

10.1.3 In order to reflect changes in international, national and other applicable law and acknowledged best practice, it may revise its own policy periodically.

 

10.2 Broadening Participation

10.2.1 The Participating Institutions endorsing the Principles are committed to working with governments and the broader botanical community, including individuals, organisations and groups dealing with genetic resources in order to develop a harmonised basis for access to genetic resources and benefit-sharing.

 

Annex 2  Model Material Acquisition Agreement

Annex 3  Model Material Supply Agreement

TABLE OF CONTENTS
SECTION 1   INTRODUCTION
SECTION 2   OBJECTIVE
SECTION 3   PRINCIPLES
SECTION 4   DEFINITIONS
SECTION 5   ACQUISITION
SECTION 6   USE
SECTION 7   CURATION
SECTION 8   SUPPLY
SECTION 9   BENEFIT-SHARING
SECTION 10   IMPLEMENTATION
Annex 2  Model Material Acquisition Agreement
Annex 3 Model Material Supply Agreement

Members of the group represented their Botanic Gardens in developing the wording of the Principles and the Common Policy Guidelines agreed at the Workshop in Cartagena, Colombia
(6-9 November 2000)

Prof. He Shan An Nanjing Botanic Garden
Chinese Acadamy of Sciences, P.O. Box 1435
Nanjing 210014, Jiangsu Province, CHINA
Tel: +86 25 443 2033 or   +86 25 443 2075
Tel/Fax: + 86 25 443 1026
Fax: +86 25 443 3041 or: +86 25 443 2074
Email: shananhe@public1.ptt.js.cn
Dr Jin Xiaobai Beijing Botanical Garden
Institute of Botany
Chinese Academy of Sciences
20 Nanxincun, Xiangshan
Beijing 100093, China
garden@public.bta.net.cn
Tel: +86 10 62 59 1431 ext. 6311
Tel & Fax: +86 10 62 59 1271
[Fax: +86 10 62 59 0348]
E-mail:  garden@public.bta.net.cn
Dr. Saw Leng Guan Forest Research Institute Malaysia, Kepong
52109 Kuala Lumpur
Malaysia
Tel: +603 634 2633/ +603 630 2128
Fax: +603 636 7753/ +603 6302112
E-mail: sawlg@frim.gov.my
George Owusu-Afriyie Aburi Botanic Gardens
P.O. Box 23,
Aburi,
Akwiapim,
GHANA
Tel: +233 21 764337 Mobile: 027 554 120
New Fax: 233 21 777821
(old Fax: +233 2166 7911/ +233 2176 4338)
E-mail: NO EMAIL
Prof. Mohamed Rejdali Institut Agronomique et Veterinaire Hassan II
Dept d’Ecologie, BP 6202
Rabat - Instituts, MOROCCO
Tel/Fax: +212 777 4093
HOME (French only): +212 760 2012
E-mail: rejdali@iav.refer.org.ma
Dr. Maureen Wolfson National Botanical Institute
Education and Research Services
Private Bag X101
Pretoria 0001
SOUTH AFRICA
Tel: + 27 21 762 1166 or + 27 12 991 5468
Fax: + 27 21 761 4687 or +27 12 804 3211
Pretoria Tel: + 27 12 804 3200
Home number: + 27 12 991 5468
Cellphone: 082 57 13 272
E-mail: wolfsonmaureen@netscape.net
Frank Klingenstein Botanischer Garten der Universitat Bonn
Meckenheimer-Allee 171
D-53115 Bonn, GERMANY
Tel: +49 228 739 055
Fax: +49 228 739 058
E-mail: klingenf@bfn.de or biogart@uni-bonn.de
Dr. Victor Kuzevanov Botanic Garden of Irkutsk State University
P.O. Box 1457
93 Koltsov Street
Irkutsk 664039, Russia
Tel: +7-(3952)-387476
Fax: +7-(3952)-242238 or 426610
Home: +7-(3952)-354692
E-mail: vic@bogard.isu.ru
Intrnl: victor_kuzevanov@yahoo.com
Dr. David A. Galbraith Royal Botanic Gardens
P.O. Box 399, Hamilton
Ontario L8N 3H8, CANADA
Tel: +1 905 527 1158 x 309
Fax: +1 905 577 0375
E-mail: dgalbraith@rbg.ca
Dr. Michael Balick New York Botanical Garden
200th Street & Southern Blvd
Bronx, New York, 10458-5126, USA
Tel: +1 718 817 8763
Fax:+1 718 220 1029
E-mail: mbalick@nybg.org; mikebalick@aol.com
Dr. James Miller Missouri Botanical Garden
P.O. Box 299, St. Louis, Missouri, 63166-0299, USA
Tel: +1 314 577 9503
Fax: +1 314 577 9596
E-mail: miller@mobot.org
Dr. Tania Sampaio Pereira Jardim Botanico do Rio de Janeiro, Rua Pacheco Leao, 915-Horto – Rio de Janeiro - 22.460-030 - RJ-Brasil
Residencia:
Rua Martins Torres, 97 - Santa Rosa -Niteroi,
24.240-700-RJ - Brasil
Work tel: +55 21 294 8696
Tel: +55 21 711 5971
Work fax: +55 21 294 8696
E-mail: tpereira@jbrj.gov.br or
Tsampaio@nitnet.com.br
Dr. Helen Hewson Australian National Botanic Gardens, GPO Box 1777, Canberra, ACT 2601, Australia Tel: +61 (0) 62250 9535
Fax: +61 (0) 6246 5249
Helen.Hewson@ea.gov.au
Tel/Fax: +61 (0) 48 45 1164
Dr Joseph Besong Limbe Botanic Gardens
P.O. Box 437, Limbe, Cameroon
E-mail: Joma.besong@camnet.cm
amforbes@compuserve.com or jacworth@compuserve.com
mcplbg@iccnet.cm

Tel 237 –433312 or 237 332 620 or 237 431883/5 Ext 381 (through CDC exchange)
Satellite Phone: 873 761 305824 or 873 761 305 833
Mr. Marika Tuiwawa South Pacific Regional Herbarium, Institute of Applied Science, The University of the South Pacific
Suva, Fiji
Phone: +679 212874
Fax: +679 300373
Email: Marika.Tuiwawa@usp.ac.fj
Prof. Dr. Walter G. Berendsohn Botanischer Garten und Botanisches Museum Berlin-Dahlem, Freie Universitat Berlin, Konigin-Luise-Stra?e 6-8, D-14191 Berlin, Germany. Phone: (+4930) 838-50143,
Fax (+4930) 841729-43,
Email: wgb@zedat.fu-berlin.de
Prof. Sebsebe Demissew The National Herbarium, PO Box 3434, Addis Ababa, Ethiopia Phone: 251 1 116051/114323
Fax: 251 1 552350
Email: nat.heb@telecom.net.et
Dr. Victor Manuel Chavez Avila UNAM (Universidad Nacional Autonoma de Mexico),
Home: Quauhnicol M-22 L-20, Col. Ruiz Cortines, Mexico, D.F. 04510, Mexico
Tel: 525 619 28 43
Fax: 525 622 90 46
Email: victorm@ibunam.ibiologia.unam.mx
Dra. Ana Maria Molina Jardin Botanico "Arturo E. Ragonese", Red Argentina de Jardines Botanicos, Instituto de Recursos Biologicos, CRN INTA-Castelar, Las Cabanas y Los Reseros s.n., Villa Udaondo, (1712) Castelar, Buenos Aires, Argentina Tel. 54-11-4621-1819/0840
Fax: 54-11-4481-2360/4621-6903
E mail: ana@cirn.inta.gov.ar
Carlos Fonseca Jardin Botanico Guillermo Pineres (Cartagena BG), Cartagena, Colombia Email: jarbotgpineres@ctgred.net.co
Mr Chris Ward

 

Sydney BG,
Home: 91 Silver St., Marrickville 2204, NSW, Australia
Tel. 95588511 92318046
Fax 92411135
Email: Chris.Ward@rbgsyd.nsw.gov.au
Licenciada Esther Valenzuela Herbario Nacional de Bolivia, Casilla 10077 - Correo Central, c/27 Cota Cota - Campus Universitario, La Paz. Bolivia Tel.: 591 2 792 416
Fax: 591 2 797 511
Email: INSTECO@zuper.net

To make ratification of current versions of the "PRINCIPLES ON ACCESS TO GENETIC RESOURCES AND BENEFIT-SHARING" or/and "COMMON POLICY GUIDELINES..." please send a signed letter (see Ratification Model Letter) or  request to Kerry ten Kate <K.tenKate@rbgkew.org.uk>, Coordinator, Pilot Project on Policy for Botanic Gardens on Access to Genetic Resources and Benefit-Sharing, Convention and Policy Section, Royal Botanic Gardens, Kew, Richmond, Surrey London TW93AE, UK. Tel +44-181-332-5741 or +44-20-8-332-5739    Fax: +44-20-8332-5757
The "Principles" and "Common Policy Guidelines" are now also available in French, Spanish, Chinese and Russian. So far the model agreements have been translated into Spanish and Chinese.
Requests for copies or electronic versions should be sent to Fernando La Torre <f.latorre@rbgkew.org.uk>
Comments, suggestions or requests on Russian translations <http://bogard.isu.ru/cbd/cpg2000_r.htm>   send to Dr. Victor Kuzevanov <vic@vkuz.isu.runnet.ru> or to the following address: Botanic Garden of Irkutsk State University, 93 Koltsov Street, P.O.Box 1457, Irkutsk, 664039, Russia.    Tel. +7(3952)387476  FAX +7(3952)242238 or 426610

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