The Conference of the Parties,Recallingthat the fair and equitable sharing of the benefits arising from the utilization of geneticresources is one of the three objectives of the Convention on Biological Diversity,Recalling alsoArticle 15 of the Convention on access to genetic resources and the sharing of thebenefits arising from their utilization,Further recallingthe Plan of Implementation adopted by the World Summit on SustainableDevelopment held in Johannesburg in September 2002, which called for action to negotiate within theframework of the Convention on Biological Diversity, bearing in mind the Bonn Guidelines, aninternational regime to promote and safeguard the fair and equitable sharing of benefits arising out of theutilization of genetic resources,Recallingdecision VI/24 of the Conference of the Parties adopting the Bonn Guidelines onAccess to Genetic Resources and Fair and Equitable Sharing of the Benefits Arising out of TheirUtilization,Recallingdecision VII/19 D, in which the Ad Hoc Open-ended Working Group on Access andBenefit-sharing was mandated with the collaboration of the Ad Hoc Open-ended Intersessional WorkingGroup on Article 8(j) and Related Provisions, to elaborate and negotiate an international regime on accessto genetic resources and benefit-sharing with the aim of adopting an instrument/instruments to effectivelyimplement the provisions of Article 15 and Article 8(j) of the Convention and the three objectives of theConvention,Recognizingthat the international regime is constituted of the Convention on BiologicalDiversity, the Protocol on Access to Genetic Resources and the Fair and Equitable Sharing of the BenefitsArising from their Utilization, as well as complementary instruments, including the International Treatyon Plant Genetic Resources for Food and Agriculture and the Bonn Guidelines on Access to GeneticResources and Fair and Equitable Sharing of the Benefits Arising Out of Their Utilization,*This is an advanced unedited text reflecting the decision as adopted on the basis of documentUNEP/CBD/COP/10/

L.43/Rev.1

and any amendments made during the closing Plenary session. It has not been

ADVANCE UNEDITED TEXTPage 2Further recallingdecision IX/12,Noting with appreciationthe work carried out by the Ad Hoc Open-ended Working Group onAccess and Benefit-sharing,Notingthe valuable work carried out by the Co-Chairs of the Working Group, Mr. FernandoCasas (Colombia) and Mr. Timothy Hodges (Canada) in steering the process through both formal andinformal ways,Noting alsowith appreciation the participation of indigenous and local communities andstakeholders including industry, research, and civil society representatives in the Ad Hoc Open-endedWorking Group on Access and Benefit-sharing,Recognizingthat the objectives of the International Treaty on Plant Genetic Resources for Foodand Agriculture are the conservation and sustainable use of plant genetic resources for food andagriculture and the fair and equitable sharing of the benefits arising out of their use, in harmony with theConvention on biological diversity, for sustainable agriculture and food security,Recognizing furtherthe progress made by many intergovernmental forums in addressing accessand benefit sharing related issues,Consideringthe need for interim arrangements pending the entry into force of the Protocol onAccess to Genetic Resources and the Fair and Equitable Sharing of the Benefits Arising from theirUtilization to prepare for its effective implementation once it enters into force,Noting with appreciationthe resolution 18/2009 of the Conference of the Food and AgricultureOrganization on policies and arrangements for access and benefit-sharing for genetic resources for foodand agriculture,Recognizingthe importance of communication, education and public awareness for the successfulimplementation of the Protocol,I.ADOPTION OF THE NAGOYA PROTOCOL

1.Decidesto adopt the Nagoya Protocol on Access to Genetic Resources and the Fair andEquitable Sharing of Benefits Arising from their Utilization to the Convention on Biological Diversity(the Protocol) as set out in the annex I to the present decision;Requeststhe Secretary-General of the United Nations to be the Depositary of the Protocol2.and to open it for signature at the United Nations Headquarters in New York from 2 February 2011 to 1February 2012;Calls uponthe Parties to the Convention on Biological Diversity to sign the Protocol at3.the earliest opportunity and to deposit instruments of ratification, acceptance or approval or instrumentsof accession, as appropriate, with a view to ensuring the entry into force of the Protocol as soon aspossible;InvitesStates that are not Parties to the Convention to ratify, accept, approve or accede to4.it, as appropriate, thereby enabling them also to become Parties to the Protocol;5.Agrees,bearing in mind decision II/11, paragraph 2, and without prejudice to the furtherconsideration of this issue by the Conference of the Parties serving as the Meeting of the Parties to theProtocol, that human genetic resources are not included within the framework of the Protocol;/…

7.Decidesto establish an Open-ended Ad Hoc Intergovernmental Committee for theNagoya Protocol on Access to Genetic Resources and the Fair and Equitable Sharing of Benefits Arisingfrom their Utilization (the Intergovernmental Committee);Decidesthat the Intergovernmental Committee shall undertake, with the support of the8.Executive Secretary, the preparations necessary for the first meeting of the Parties to the Protocol, atwhich time it will cease to exist, taking into account the budgetary provisions adopted by the Conferenceof the Parties;Notesthat the rules of procedure for the Conference of the Parties to the Convention shall9.apply,mutatis mutandis,to meetings of the Intergovernmental Committee;Decidesthat the Intergovernmental Committee shall hold its first meeting from 6 to 1010.June 2011 and the second meeting from 23 to 27 April 2012;11.Also decidesthat the Co-Chairs of the Intergovernmental Committee shall be Mr.Fernando Casas (Colombia) and Mr. Timothy Hodges (Canada), and that the first IntergovernmentalCommittee will be preceded by a one day meeting to elect its Bureau and agree on other organizationalmatters. To that effect, the President is mandated to undertake the necessary consultations;Endorsesthe work plan for the Intergovernmental Committee as contained in annex II to12.the present decision;Requeststhe Executive Secretary to provide technical assistance to Parties, subject to the13.availability of financial resources, with a view to supporting the early ratification and implementation ofthe Protocol;Invitesthe Global Environment Facility to provide financial support to Parties to assist14.with the early ratification of the Nagoya Protocol on Access to Genetic Resources and the Fair andEquitable Sharing of Benefits Arising from their Utilization to the Convention on Biological Diversityand its implementation;Requeststhe Executive Secretary, in collaboration with relevant organizations, as15.appropriate, to carry out awareness-raising activities among relevant stakeholder groups, including thebusiness community, the scientific community and others, to support the implementation of the Protocol;InvitesParties and relevant organizations to provide financial and technical assistance, as16.appropriate, to support the implementation of the Protocol;InvitesParties that are developing countries, in particular the least developed countries17.and small island developing States amongst them, and Parties with economies in transition, to make aninitial identification of their needs in relation to capacity-building, capacity development andstrengthening of human resources and institutional capacities in order to effectively implement theProtocol and to make this information available to the Executive Secretary no later than two months priorto the first meeting of the Intergovernmental Committee;

ADVANCE UNEDITED TEXTPage 418.Requeststhe Executive Secretary to collect and make available on the clearing-housemechanism sectoral and cross-sectoral model contractual clauses for mutually agreed terms;Also requeststhe Executive Secretary to collect and make available on the clearing-house19.mechanism existing guidelines and codes of conduct related to access and benefit-sharing;20.Urgesthe Parties to the Convention and other States and regional economic integrationorganizations to designate, as soon as possible and no later than 31 March 2011, a focal point for theIntergovernmental Committee and to inform the Executive Secretary accordingly;III.ADMINISTRATIVE AND BUDGETARY MATTERS

Recognizingthe important contribution to sustainable development made by technology5.transfer and cooperation to build research and innovation capacities for adding value to genetic resourcesin developing countries, in accordance with Articles 16 and 19 of the Convention,Recognizingthat public awareness of the economic value of ecosystems and biodiversity6.and the fair and equitable sharing of this economic value with the custodians of biodiversity are keyincentives for the conservation of biological diversity and the sustainable use of its components,7.Acknowledgingthe potential role of access and benefit-sharing to contribute to theconservation and sustainable use of biological diversity, poverty eradication and environmentalsustainability and, thereby contributing to achieving the Millennium Development Goals,8.Acknowledgingthe linkage between access to genetic resources and the fair and equitablesharing of benefits arising from the utilization of such resources,Recognizingthe importance of providing legal certainty with respect to access to genetic9.resources and the fair and equitable sharing of benefits arising from their utilization,Further recognizingthe importance of promoting equity and fairness in negotiation of10.mutually agreed terms between providers and users of genetic resources,Recognizing alsothe vital role that women play in access and benefit sharing and11.affirming the need for the full participation of women at all levels of policy making and implementationfor biodiversity conservation,Determinedto further support the effective implementation of the access and benefit-12.sharing provisions of the Convention,12bis.Recognizingthat an innovative solution is required to address the fair and equitablesharing of benefits derived from the utilisation of genetic resources and traditional knowledge associated

ADVANCE UNEDITED TEXTPage 6with genetic resources that occur in transboundary situations or for which it is not possible to grant orobtain prior informed consent,13.Recognizingthe importance of genetic resources to food security, public health,biodiversity conservation, and the mitigation and adaptation to climate change,Recognizingthe special nature of agricultural biodiversity, its distinctive features and14.problems needing distinctive solutions,15.Recognizingthe interdependence of all countries with regard to genetic resources for foodand agriculture as well as their special nature and importance for achieving food security worldwide andfor sustainable development of agriculture in the context of poverty alleviation and climate change andacknowledging the fundamental role of the International Treaty on Plant Genetic Resources for Food andAgriculture and the FAO Commission on Genetic Resources for Food and Agriculture in this regard,Mindfulof the International Health Regulations (2005) of the World Health Organization16.and the importance of ensuring access to human pathogens for public health preparedness and responsepurposes,17.sharing,Recallingthe Multilateral System of Access and Benefit-sharing established under the18.International Treaty on Plant Genetic Resources for Food and Agriculture developed in harmony with theConvention,Recognizingthat international instruments related to access and benefit-sharing should be19.mutually supportive with a view to achieving the objectives of the Convention,Recallingthe relevance of Article 8(j) of the Convention as it relates to traditional20.knowledge associated with genetic resources and the fair and equitable sharing of benefits arising fromthe utilization of such knowledge,Notingthe interrelationship between genetic resources and traditional knowledge, their21.inseparable nature for indigenous and local communities, the importance of the traditional knowledge forthe conservation of biological diversity and the sustainable use of its components, and for the sustainablelivelihoods of these communities,Recognizingthe diversity of circumstances in which traditional knowledge associated22.with genetic resources is held or owned by indigenous and local communities,Mindfulthat it is the right of indigenous and local communities to identify the rightful23.holders of their traditional knowledge associated with genetic resources, within their communities,Further recognizingthe unique circumstances where traditional knowledge associated24.with genetic resources is held in countries, which may be oral, documented or in other forms, reflecting arich cultural heritage relevant for conservation and sustainable use of biological diversity,25.Notingthe United Nations Declaration on the Rights of Indigenous Peoples, andAcknowledgingongoing work in other international fora relating to access and benefit-

ADVANCE UNEDITED TEXTPage 7Have agreed as follows:ARTICLE 1OBJECTIVEThe objective of this Protocol is the fair and equitable sharing of the benefits arising from theutilization of genetic resources, including by appropriate access to genetic resources and by appropriatetransfer of relevant technologies, taking into account all rights over those resources and to technologies,and by appropriate funding, thereby contributing to the conservation of biological diversity and thesustainable use of its components.ARTICLE 2USE OF TERMSThe terms defined in Article 2 of the Convention shall apply to this Protocol. In addition, for the purposesof this Protocol:(a)(b)“Conference of the Parties” means the Conference of the Parties to the Convention;“Convention” means the Convention on Biological Diversity;

(c)“Utilization of genetic resources” means to conduct research and development on thegenetic and/or biochemical composition of genetic resources, including through the application ofbiotechnology as defined in Article 2 of the Convention.(d)“Biotechnology” as defined in Article 2 of the Convention means any technologicalapplication that uses biological systems, living organisms, or derivatives thereof, to make or modifyproducts or processes for specific use.(e)“Derivative” means a naturally occurring biochemical compound resulting from thegenetic expression or metabolism of biological or genetic resources, even if it does not contain functionalunits of heredity.

ADVANCE UNEDITED TEXTPage 8ARTICLE 3bisRELATIONSHIP WITH INTERNATIONAL AGREEMENTS AND INSTRUMENTS1.The provisions of this Protocol shall not affect the rights and obligations of any Party derivingfrom any existing international agreement, except where the exercise of those rights and obligationswould cause a serious damage or threat to biological diversity. This paragraph is not intended to create ahierarchy between this Protocol and other international instruments.2.Nothing in this Protocol shall prevent the Parties from developing and implementing otherrelevant international agreements, including other specialised access and benefit-sharing agreements,provided that they are supportive of and do not run counter to the objectives of the Convention and thisProtocol.3.This Protocol shall be implemented in a mutually supportive manner with other internationalinstruments relevant to this Protocol. Due regard should be paid to useful and relevant ongoing work orpractices under such international instruments and relevant international organizations, provided that theyare supportive of and do not run counter to the objectives of the Convention and this Protocol.4.This Protocol is the instrument for the implementation of the access and benefit-sharingprovisions of the Convention. Where a specialised international access and benefit-sharing instrumentapplies that is consistent with, and does not run counter to the objectives of the Convention and thisProtocol, this Protocol does not apply for the Party or Parties to the specialised instrument in respect ofthe specific genetic resource covered by and for the purpose of the specialised instrument.ARTICLE 4FAIR AND EQUITABLE BENEFIT-SHARING1.In accordance with Article 15, paragraphs 3 and 7 of the Convention, benefits arising from theutilization of genetic resources as well as subsequent applications and commercialization shall be sharedin a fair and equitable way with the Party providing such resources that is the country of origin of suchresources or a Party that has acquired the genetic resources in accordance with the Convention. Suchsharing shall be upon mutually agreed terms.1bisEach Party shall take legislative, administrative or policy measures, as appropriate, with the aimof ensuring that benefits arising from the utilization of genetic resources that are held by indigenous andlocal communities, in accordance with domestic legislation regarding the established rights of theseindigenous and local communities over these genetic resources, are shared in a fair and equitable waywith the communities concerned, based on mutually agreed terms.2.To implement paragraph 1, each Party shall take legislative, administrative or policy measures, asappropriate.3.Benefits may include monetary and non-monetary benefits, including but not limited to thoselisted in the Annex.4.Each Party shall take legislative, administrative or policy measures as appropriate, in order thatthe benefits arising from the utilization of traditional knowledge associated with genetic resources areshared in a fair and equitable way with indigenous and local communities holding such knowledge. Suchsharing shall be upon mutually agreed terms.

ADVANCE UNEDITED TEXTPage 9ARTICLE 5ACCESS TO GENETIC RESOURCES1.In the exercise of sovereign rights over natural resources, and subject to its domestic access andbenefit-sharing legislation or regulatory requirements, access to genetic resources for their utilization,shall be subject to the prior informed consent of the Party providing such resources that is the country oforigin of such resources or a Party that has acquired the genetic resources in accordance with theConvention, unless otherwise determined by that Party.1bis.In accordance with domestic law, each Party shall take measures, as appropriate, with the aim ofensuring that the prior informed consent or approval and involvement of indigenous and localcommunities is obtained for access to genetic resources where they have the established right to grantaccess to such resources.2.Pursuant to paragraph 1 above, each Party requiring prior informed consent, shall take thenecessary legislative, administrative or policy measures, as appropriate, to:(a)Provide for legal certainty, clarity and transparency of their domestic access and benefit-sharing legislation or regulatory requirements;(abis)Provide for fair and non-arbitrary rules and procedures on accessing genetic resources;(b)Provide information on how to apply for prior informed consent;

(c)Provide for a clear and transparent written decision by a competent national authority, ina cost-effective manner and within a reasonable period of time;(d)Provide for the issuance at the time of access of a permit or its equivalent as evidence ofthe decision to grant prior informed consent and of the establishment of mutually agreed terms, and notifythe Access and Benefit-sharing Clearing-House accordingly;(e)Where applicable, and subject to domestic legislation, set out criteria and/or processes forobtaining prior informed consent or approval and involvement of indigenous and local communities foraccess to genetic resources; and(f)Establish clear rules and procedures for requiring and establishing mutually agreed terms.Such terms shall be set out in writing and may include,inter alia:(i)(ii)(iii)(iv)A dispute settlement clause;Terms on benefit-sharing, including in relation to intellectual property rights;Terms on subsequent third-party use, if any; andTerms on changes of intent, where applicable.

ADVANCE UNEDITED TEXTPage 10ARTICLE 5bisACCESS TO TRADITIONAL KNOWLEDGE ASSOCIATED WITH GENETIC RESOURCESIn accordance with domestic law, each Party shall take measures, as appropriate, with the aim ofensuring that traditional knowledge associated with genetic resources that is held by indigenous and localcommunities is accessed with the prior and informed consent or approval and involvement of theseindigenous and local communities, and that mutually agreed terms have been established.ARTICLE 6SPECIAL CONSIDERATIONSIn the development and implementation of its access and benefit-sharing legislation or regulatoryrequirements, each Party shall:(a)Create conditions to promote and encourage research which contributes to theconservation and sustainable use of biological diversity, particularly in developing countries, includingthrough simplified measures on access for non-commercial research purposes, taking into account theneed to address a change of intent for such research.(b)Pay due regard to cases of present or imminent emergencies that threaten or damagehuman, animal or plant health, as determined nationally or internationally. Parties may take intoconsideration the need for expeditious access to genetic resources and expeditious fair and equitablesharing of benefits arising out of the use of such genetic resources, including access to affordabletreatments by those in need, especially in developing countries.(c)Consider the importance of genetic resources for food and agriculture and their specialrole for food security.ARTICLE 7CONTRIBUTION TO CONSERVATION AND SUSTAINABLE USEThe Parties shall encourage users and providers to direct benefits arising from the utilization ofgenetic resources towards the conservation of biological diversity and the sustainable use of itscomponents.ARTICLE 7bisGLOBAL MULTILATERAL BENEFIT-SHARING MECHANISMParties shall consider the need for and modalities of a global multilateral benefit-sharingmechanism to address the fair and equitable sharing of benefits derived from the utilisation of geneticresources and traditional knowledge associated with genetic resources that occur in transboundarysituations or for which it is not possible to grant or obtain prior informed consent. The benefits shared byusers of genetic resources and traditional knowledge associated with genetic resources through thismechanism shall be used to support the conservation of biological diversity and the sustainable use of itscomponents globally.

ADVANCE UNEDITED TEXTPage 11ARTICLE 8TRANSBOUNDARY COOPERATION1.In instances where the same genetic resources are foundin-situwithin the territory of more thanone Party, those Parties shall endeavour to cooperate, as appropriate, with the involvement of indigenousand local communities concerned, where applicable, with a view to implementing this Protocol.2.Where the same traditional knowledge associated with genetic resources is shared by one or moreindigenous and local communities in several Parties, those Parties shall endeavour to cooperate, asappropriate, with the involvement of the indigenous and local communities concerned, with a view toimplementing the objective of this Protocol.ARTICLE 9TRADITIONAL KNOWLEDGE ASSOCIATED WITH GENETIC RESOURCES1.In implementing their obligations under this Protocol, Parties shall in accordance with domesticlaw take into consideration indigenous and local communities’ customary laws, community protocols andprocedures, as applicable, with respect to traditional knowledge associated with genetic resources.2.Parties, with the effective participation of the indigenous and local communities concerned, shallestablish mechanisms to inform potential users of traditional knowledge associated with genetic resourcesabout their obligations, including measures as made available through the Access and Benefit-sharingClearing-House for access to and fair and equitable sharing of benefits arising from the utilization of suchknowledge.3.Parties shall endeavour to support, as appropriate, the development by indigenous and localcommunities, including women within these communities, of:(a)Community protocols in relation to access to traditional knowledge associated withgenetic resources and the fair and equitable sharing of benefits arising out of the utilization of suchknowledge;(b)Minimum requirements for mutually agreed terms to secure the fair and equitable sharingof benefits arising from the utilization of traditional knowledge associated with genetic resources; and(c)Model contractual clauses for benefit-sharing arising from the utilization of traditionalknowledge associated with genetic resources.4.Parties, in their implementation of this Protocol, shall, as far as possible, not restrict thecustomary use and exchange of genetic resources and associated traditional knowledge within andamongst indigenous and local communities in accordance with the objectives of the Convention.ARTICLE 10NATIONAL FOCAL POINTS AND COMPETENT NATIONAL AUTHORITIES1.Each Party shall designate a national focal point on access and benefit-sharing. The national focalpoint shall make information available as follows:

ADVANCE UNEDITED TEXTPage 12(a)For applicants seeking access to genetic resources, information on procedures forobtaining prior informed consent and establishing mutually agreed terms, including benefit-sharing;(b)For applicants seeking access to traditional knowledge associated with genetic resources,where possible, information on procedures for obtaining prior informed consent or approval andinvolvement, as appropriate, of indigenous and local communities and establishing mutually agreed termsincluding benefit-sharing; and(c)Information on competent national authorities, relevant indigenous and localcommunities and relevant stakeholders.The national focal point shall be responsible for liaison with the Secretariat.2.Each Party shall designate one or more competent national authorities on access and benefit-sharing. Competent national authorities shall, in accordance with applicable national legislative,administrative or policy measures, be responsible for granting access or, as applicable, issuing writtenevidence that access requirements have been met and be responsible for advising on applicableprocedures and requirements for obtaining prior informed consent and entering into mutually agreedterms.3.A Party may designate a single entity to fulfil the functions of both focal point and competentnational authority.4.Each Party shall, no later than the date of entry into force of this Protocol for it, notify theSecretariat of the contact information of its national focal point and its competent national authority orauthorities. Where a Party designates more than one competent national authority, it shall convey to theSecretariat, with its notification thereof, relevant information on the respective responsibilities of thoseauthorities. Where applicable, such information shall, at a minimum, specify which competent authority isresponsible for the genetic resources sought. Each Party shall forthwith notify the Secretariat of anychanges in the designation of its national focal point or in the contact information or responsibilities of itscompetent national authority or authorities.5.The Secretariat shall make information received pursuant to paragraph 4 available through theAccess and Benefit-sharing Clearing-House.ARTICLE 11THE ACCESS AND BENEFIT-SHARING CLEARING-HOUSE ANDINFORMATION-SHARING1.An Access and Benefit-sharing Clearing-House is hereby established as part of the clearing-housemechanism under Article 18, paragraph 3, of the Convention. It shall serve as a means for sharing ofinformation related to access and benefit-sharing. In particular, it shall provide access to informationmade available by each Party relevant to the implementation of this Protocol.2.Without prejudice to the protection of confidential information, each Party shall make available tothe Access and Benefit-sharing Clearing-House any information required by this Protocol, as well asinformation required pursuant to the decisions taken by the Conference of the Parties serving as themeeting of the Parties to this Protocol. The information shall include:(a)(b)Legislative, administrative and policy measures on access and benefit-sharing;Information on the national focal point and competent national authority(ies); and/…

4.The modalities of the operation of the Access and Benefit-sharing Clearing-House, includingreports on its activities, shall be considered and decided upon by the Conference of the Parties serving asthe meeting of the Parties to this Protocol at its first meeting, and kept under review thereafter.ARTICLE 12COMPLIANCE WITH DOMESTIC LEGISLATION OR REGULATORY REQUIREMENTS ONACCESS AND BENEFIT-SHARING1.Each Party shall take appropriate, effective and proportionate legislative, administrative or policymeasures to provide that genetic resources utilized within its jurisdiction have been accessed inaccordance with prior informed consent and that mutually agreed terms have been established, as requiredby the domestic access and benefit-sharing legislation or regulatory requirements of the other Party.2.Parties shall take appropriate, effective and proportionate measures to address situations of non-compliance with measures adopted in accordance with paragraph 1.3.Parties shall, as far as possible and as appropriate, cooperate in cases of alleged violation ofdomestic access and benefit-sharing legislation or regulatory requirements referred to in paragraph 1.ARTICLE 12bisCOMPLIANCE WITH DOMESTIC LEGISLATION OR REGULATORY REQUIREMENTS ONACCESS AND BENEFIT-SHARING FOR TRADITIONAL KNOWLEDGE ASSOCIATED WITHGENETIC RESOURCES1.Each Party shall take appropriate, effective and proportionate legislative, administrative or policymeasures, as appropriate, to provide that traditional knowledge associated with genetic resources utilizedwithin their jurisdiction has been accessed in accordance with prior informed consent or approval andinvolvement of indigenous and local communities and that mutually agreed terms have been established,as required by domestic access and benefit sharing legislation or regulatory requirements of the otherParty where such indigenous and local communities are located.2.Each Party shall take appropriate, effective and proportionate measures to address situations ofnon-compliance with measures adopted in accordance with paragraph 1.3.Parties shall, as far as possible and as appropriate cooperate in cases of alleged violation ofdomestic access and benefit-sharing legislation or regulatory requirements referred to in paragraph 1./…

ADVANCE UNEDITED TEXTPage 14ARTICLE 13MONITORING THE UTILIZATION OF GENETIC RESOURCES1.To support compliance, each Party shall take measures, as appropriate, to monitor and to enhancetransparency about the utilization of genetic resources. Such measures shall include:(a)The designation of one or more checkpoints, as follows:(i)Designated checkpoints would collect or receive, as appropriate, relevantinformation related to prior informed consent, to the source of the geneticresource, to the establishment of mutually agreed terms, and/or to the utilizationof genetic resources, as appropriate.Each Party shall, as appropriate and depending on the particular characteristics ofa designated checkpoint, require users of genetic resources to provide theinformation specified in the above paragraph at a designated checkpoint. EachParty shall take appropriate, effective and proportionate measures to addresssituations of non-compliance.Such information, including from internationally recognized certificates ofcompliance where they are available, will, without prejudice to the protection ofconfidential information, be provided to relevant national authorities, to the Partyproviding prior informed consent and to the Access and Benefit-sharingClearing-House, as appropriate.Check points must be effective and should have functions relevant toimplementation of this sub-paragraph (a). They should be relevant to theutilization of genetic resources, or to the collection of relevant information at,inter alia,any stage of research, development, innovation, pre-commercializationor commercialization.

2.A permit or its equivalent issued in accordance with Article 5, paragraph 2 (d) and made availableto the Access and Benefit-sharing Clearing-House, shall constitute an internationally recognizedcertificate of compliance.3.An internationally recognized certificate of compliance shall serve as evidence that the geneticresource which it covers has been accessed in accordance with prior informed consent and that mutuallyagreed terms have been established, as required by the domestic access and benefit-sharing legislation orregulatory requirements of the Party providing prior informed consent.4.The internationally recognized certificate of compliance shall contain the following minimuminformation when it is not confidential:(a)(b)Issuing authority;Date of issuance;/…

(hbis)Confirmation that prior informed consent was obtained; and(h)Commercial and/or non-commercial use.ARTICLE 14COMPLIANCE WITH MUTUALLY AGREED TERMS1.In the implementation of Article 5, paragraph 2 (f) (i) and Article 5bis, each Party shall encourageproviders and users of genetic resources and/or traditional knowledge associated with genetic resources toinclude provisions in mutually agreed terms to cover, where appropriate, dispute resolution including:(a)(b)(c)The jurisdiction to which they will subject any dispute resolution processes;The applicable law; and/orOptions for alternative dispute resolution, such as mediation or arbitration.

ADVANCE UNEDITED TEXTPage 162.The Conference of the Parties serving as the meeting of the Parties to this Protocol shallperiodically take stock of the use of sectoral and cross-sectoral model contractual clauses.ARTICLE 16CODES OF CONDUCT, GUIDELINES AND BEST PRACTICES AND/OR STANDARDS1.Each Party shall encourage, as appropriate, the development, update and use of voluntary codesof conduct, guidelines and best practices and/or standards in relation to access and benefit-sharing.2.The Conference of the Parties serving as the meeting of the Parties to this Protocol shallperiodically take stock of the use of voluntary codes of conduct, guidelines and best practices and/orstandards and consider the adoption of specific codes of conduct, guidelines and best practices and/orstandards.ARTICLE 17AWARENESS-RAISINGEach Party shall take measures to raise awareness of the importance of genetic resources andtraditional knowledge associated with genetic resources, and related access and benefit-sharing issues.Such measures may include,inter alia:(a)(b)Promotion of this Protocol, including its objective;Organization of meetings of indigenous and local communities and relevant stakeholders;

ADVANCE UNEDITED TEXTPage 17ARTICLE 18CAPACITY1.The Parties shall cooperate in the capacity-building, capacity development and strengthening ofhuman resources and institutional capacities to effectively implement this Protocol in developing countryParties, in particular the least developed countries and small islands developing States among them, andParties with economies in transition, including through existing global, regional, subregional and nationalinstitutions and organizations. In this context, Parties should facilitate the involvement of indigenous andlocal communities and relevant stakeholders, including non-governmental organizations and the privatesector.2.The need of developing country Parties, in particular the least developed countries and smallisland developing States among them, and Parties with economies in transition for financial resources inaccordance with the relevant provisions of the Convention shall be taken fully into account for capacity-building and development to implement this Protocol.3.As a basis for appropriate measures in relation to the implementation of this Protocol, developingcountry Parties, in particular the least developed countries and small island developing States amongthem, and Parties with economies in transition should identify their national capacity needs and prioritiesthrough national capacity self-assessments. In doing so, such Parties should support the capacity needsand priorities of indigenous and local communities and relevant stakeholders, as identified by them,emphasizing the capacity needs and priorities of women.4.In support of the implementation of this Protocol, capacity-building and development mayaddress,inter alia,the following key areas:(a)(b)Capacity to implement, and to comply with the obligations of, this Protocol;Capacity to negotiate mutually agreed terms;

ADVANCE UNEDITED TEXTPage 18(g)Technology transfer, and infrastructure and technical capacity to make such technologytransfer sustainable;(h)Enhancement of the contribution of access and benefit-sharing activities to theconservation of biological diversity and the sustainable use of its components;(i)Special measures to increase the capacity of relevant stakeholders in relation to accessand benefit-sharing; and(j)Special measures to increase the capacity of indigenous and local communities withemphasis on enhancing the capacity of women within those communities in relation to access to geneticresources and/or traditional knowledge associated with genetic resources.6.Information on capacity-building and development initiatives at national, regional andinternational levels, undertaken in accordance with paragraphs 1 to 5 above, should be provided to theAccess and Benefit-sharing Clearing-House with a view to promoting synergy and coordination oncapacity-building and development for access and benefit-sharing.ARTICLE 18bisTECHNOLOGY TRANSFER, COLLABORATION AND COOPERATIONIn accordance with Articles 15, 16, 18 and 19 of the Convention, the Parties shall collaborate andcooperate in technical and scientific research and development programmes, including biotechnologicalresearch activities, as a means to achieve the objective of this Protocol. The Parties undertake to promoteand encourage access to technology by, and transfer of technology to, developing country Parties,including the least developed and small island developing States among them, and Parties with economiesin transition, in order to enable the development and strengthening of a sound and viable technologicaland scientific base for the attainment of the objectives of the Convention and this Protocol. Wherepossible and appropriate such collaborative activities shall take place in and with a Party or the Partiesproviding genetic resources that is the country or are the countries of origin of such resources or a Partyor Parties that have acquired the genetic resources in accordance with the Convention.ARTICLE 18terNON-PARTIESThe Parties shall encourage non-Parties to adhere to this Protocol and to contribute appropriateinformation to the Access and Benefit-sharing Clearing-House.ARTICLE 19FINANCIAL MECHANISM AND RESOURCES1.In considering financial resources for the implementation of this Protocol, the Parties shall takeinto account the provisions of Article 20 of the Convention.2.The financial mechanism of the Convention shall be the financial mechanism for this Protocol.

ADVANCE UNEDITED TEXTPage 19Conference of the Parties, shall take into account the need of developing country Parties, in particular theleast developed and the small island developing States among them, and of Parties with economies intransition, for financial resources, as well as the capacity needs and priorities of indigenous and localcommunities, including women within these communities.4.In the context of paragraph 1 above, the Parties shall also take into account the needs of thedeveloping country Parties, in particular the least developed and the small island developing States amongthem, and of the Parties with economies in transition, in their efforts to identify and implement theircapacity-building and development requirements for the purposes of the implementation of this Protocol.5.The guidance to the financial mechanism of the Convention in relevant decisions of theConference of the Parties, including those agreed before the adoption of this Protocol, shall apply,mutatismutandis,to the provisions of this Article.6.The developed country Parties may also provide, and the developing country Parties and theParties with economies in transition avail themselves of, financial and other resources for theimplementation of the provisions of this Protocol through bilateral, regional and multilateral channels.ARTICLE 20CONFERENCE OF THE PARTIES SERVING AS THE MEETING OF THE PARTIES TO THISPROTOCOL1.The Conference of the Parties shall serve as the meeting of the Parties to this Protocol.

2.Parties to the Convention that are not Parties to this Protocol may participate as observers in theproceedings of any meeting of the Conference of the Parties serving as the meeting of the Parties to thisProtocol. When the Conference of the Parties serves as the meeting of the Parties to this Protocol,decisions under this Protocol shall be taken only by those that are Parties to it.3.When the Conference of the Parties serves as the meeting of the Parties to this Protocol, anymember of the Bureau of the Conference of the Parties representing a Party to the Convention but, at thattime, not a Party to this Protocol, shall be substituted by a member to be elected by and from among theParties to this Protocol.4.The Conference of the Parties serving as the meeting of the Parties to this Protocol shall keepunder regular review the implementation of this Protocol and shall make, within its mandate, thedecisions necessary to promote its effective implementation. It shall perform the functions assigned to itby this Protocol and shall:(a)Protocol;(b)Protocol;Make recommendations on any matters necessary for the implementation of thisEstablish such subsidiary bodies as are deemed necessary for the implementation of this

5.The rules of procedure of the Conference of the Parties and financial rules of the Conventionshall be applied,mutatis mutandis,under this Protocol, except as may be otherwise decided by consensusby the Conference of the Parties serving as the meeting of the Parties to this Protocol.6.The first meeting of the Conference of the Parties serving as the meeting of the Parties to thisProtocol shall be convened by the Secretariat and held concurrently with the first meeting of theConference of the Parties that is scheduled after the date of the entry into force of this Protocol.Subsequent ordinary meetings of the Conference of the Parties serving as the meeting of the Parties tothis Protocol shall be held concurrently with ordinary meetings of the Conference of the Parties, unlessotherwise decided by the Conference of the Parties serving as the meeting of the Parties to this Protocol.7.Extraordinary meetings of the Conference of the Parties serving as the meeting of the Parties tothis Protocol shall be held at such other times as may be deemed necessary by the Conference of theParties serving as the meeting of the Parties to this Protocol, or at the written request of any Party,provided that, within six months of the request being communicated to the Parties by the Secretariat, it issupported by at least one third of the Parties.8.The United Nations, its specialized agencies and the International Atomic Energy Agency, aswell as any State member thereof or observers thereto not party to the Convention, may be represented asobservers at meetings of the Conference of the Parties serving as the meeting of the Parties to thisProtocol. Any body or agency, whether national or international, governmental or non-governmental, thatis qualified in matters covered by this Protocol and that has informed the Secretariat of its wish to berepresented at a meeting of the Conference of the Parties serving as a meeting of the Parties to thisProtocol as an observer, may be so admitted, unless at least one third of the Parties present object. Exceptas otherwise provided in this Article, the admission and participation of observers shall be subject to therules of procedure, as referred to in paragraph 5 above.ARTICLE 21SUBSIDIARY BODIES1.Any subsidiary body established by or under the Convention may serve this Protocol, includingupon a decision of the Conference of the Parties serving as the meeting of the Parties to this Protocol.Any such decision shall specify the tasks to be undertaken.2.Parties to the Convention that are not Parties to this Protocol may participate as observers in theproceedings of any meeting of any such subsidiary bodies. When a subsidiary body of the Conventionserves as a subsidiary body to this Protocol, decisions under this Protocol shall be taken only by Parties tothis Protocol.3.When a subsidiary body of the Convention exercises its functions with regard to mattersconcerning this Protocol, any member of the bureau of that subsidiary body representing a Party to theConvention but, at that time, not a Party to this Protocol, shall be substituted by a member to be electedby and from among the Parties to this Protocol.

ADVANCE UNEDITED TEXTPage 21ARTICLE 22SECRETARIAT1.The Secretariat established by Article 24 of the Convention shall serve as the secretariat to thisProtocol.2.Article 24, paragraph 1, of the Convention on the functions of the Secretariat shall apply,mutatismutandis,to this Protocol.3.To the extent that they are distinct, the costs of the secretariat services for this Protocol shall bemet by the Parties hereto. The Conference of the Parties serving as the meeting of the Parties to thisProtocol shall, at its first meeting, decide on the necessary budgetary arrangements to this end.ARTICLE 23MONITORING AND REPORTINGEach Party shall monitor the implementation of its obligations under this Protocol, and shall, atintervals and in the format to be determined by the Conference of the Parties serving as the meeting of theParties to this Protocol, report to the Conference of the Parties serving as the meeting of the Parties to thisProtocol on measures that it has taken to implement this Protocol.ARTICLE 24PROCEDURES AND MECHANISMS TO PROMOTE COMPLIANCE WITH THIS PROTOCOLThe Conference of the Parties serving as the meeting of the Parties to this Protocol shall, at itsfirst meeting, consider and approve cooperative procedures and institutional mechanisms to promotecompliance with the provisions of this Protocol and to address cases of non-compliance. Theseprocedures 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 mechanismsunder Article 27 of the Convention.ARTICLE 25ASSESSMENT AND REVIEWThe Conference of the Parties serving as the meeting of the Parties to this Protocol shallundertake, four years after the entry into force of this Protocol and thereafter at intervals determined bythe Conference of the Parties serving as the meeting of the Parties to this Protocol, an evaluation of theeffectiveness of this Protocol.ARTICLE 26SIGNATUREThis Protocol shall be open for signature by Parties to the Convention at the United NationsHeadquarters in New York from 2 February 2011 to 1 February 2012. ./…

ADVANCE UNEDITED TEXTPage 22ARTICLE 27ENTRY INTO FORCE1.This Protocol shall enter into force on the ninetieth day after the date of deposit of the fiftiethinstrument of ratification, acceptance, approval or accession by States or regional economic integrationorganizations that are Parties to the Convention.2.This Protocol shall enter into force for a State or regional economic integration organization thatratifies, accepts or approves this Protocol or accedes thereto after the deposit of the fiftieth instrument asreferred to in paragraph 1 above, on the ninetieth day after the date on which that State or regionaleconomic integration organization deposits its instrument of ratification, acceptance, approval oraccession, or on the date on which the Convention enters into force for that State or regional economicintegration organization, whichever shall be the later.3.For the purposes of paragraphs 1 and 2 above, any instrument deposited by a regional economicintegration organization shall not be counted as additional to those deposited by member States of suchorganization.ARTICLE 28RESERVATIONSNo reservations may be made to this Protocol.ARTICLE 29WITHDRAWAL1.At any time after two years from the date on which this Protocol has entered into force for aParty, that Party may withdraw from this Protocol by giving written notification to the Depositary.2.Any such withdrawal shall take place upon expiry of one year after the date of its receipt by theDepositary, or on such later date as may be specified in the notification of the withdrawal.ARTICLE 30AUTHENTIC TEXTSThe original of this Protocol, of which the Arabic, Chinese, English, French, Russian and Spanishtexts are equally authentic, shall be deposited with the Secretary-General of the United Nations.IN WITNESS WHEREOF the undersigned, being duly authorized to that effect, have signed this Protocolon the dates indicated.DONE at Nagoya on this twenty-ninth day of October, two thousand and ten.

AnnexMONETARY AND NON-MONETARY BENEFITS1.Monetary benefits may include, but not be limited to:(a)(b)(c)(d)(e)(f)(g)(h)(i)(j)2.(a)(b)Access fees/fee per sample collected or otherwise acquired;Up-front payments;Milestone payments;Payment of royalties;Licence fees in case of commercialization;Special fees to be paid to trust funds supporting conservation and sustainable use ofbiodiversity;Salaries and preferential terms where mutually agreed;Research funding;Joint ventures;Joint ownership of relevant intellectual property rights.Sharing of research and development results;Collaboration, cooperation and contribution in scientific research and developmentprogrammes, particularly biotechnological research activities, where possible in the Partyproviding genetic resources;Participation in product development;Collaboration, cooperation and contribution in education and training;Admittance toex situfacilities of genetic resources and to databases;Transfer to the provider of the genetic resources of knowledge and technology under fairand most favourable terms, including on concessional and preferential terms whereagreed, in particular, knowledge and technology that make use of genetic resources,including biotechnology, or that are relevant to the conservation and sustainableutilization of biological diversity;Strengthening capacities for technology transfer;Institutional capacity-building;Human and material resources to strengthen the capacities for the administration andenforcement of access regulations;Training related to genetic resources with the full participation of countries providinggenetic resources, and where possible, in such countries;Access to scientific information relevant to conservation and sustainable use of biologicaldiversity, including biological inventories and taxonomic studies;Contributions to the local economy;

1.The modalities of operation of the Access and Benefit-sharing Clearing-House, including reportson its activities; (Article 11, paragraph 4).2.Measures to assist in the capacity-building, capacity development and strengthening of humanresources and institutional capacities in developing countries, in particular the least developed countriesand small island developing States amongst them, and Parties with economies in transition, taking intoaccount the needs identified by the Parties concerned for the implementation of the Protocol; (Article 18).3.Measures to raise awareness of the importance of genetic resources and associated traditionalknowledge, and related access and benefit-sharing issues; (Article 17).5.Cooperative procedures and institutional mechanisms to promote compliance with the Protocoland to address cases of non-compliance, including procedures and mechanisms to offer advice orassistance, where appropriate; (Article 24).B.Issues for consideration by the Intergovernmental Committee at its second meeting