Germplasm acquisition

Ronnie Vernooy, Isabel López-Noriega, and Michael Halewood

Diverse maize cobs
J.Cherfas/Bioversity

In module 3 , you learned about tools that allow farmers and breeders to look further afield for germplasm that is adapted to stresses caused by climate change. Such germplasm can come from various sources, including farmers fields in your own country or from abroad; community seed banks in your own country or abroad; national and international crop improvement programs and projects; international, national, or community-based seed companies; or national and international genebanks, including those managed by the Consultative Group for International Agricultural Research (CGIAR).

In this module, you will find out how to acquire germplasm . This may seem easy, but there are a number of important steps to take to en sure that you comply with international and national rules and regulations. Relevant questions are: What key aspects of the overall legal framework influence germplasm acquisition? What are the most important international agreements and the rules you need to follow? How do these agreements translate into national rules and regulations? This module also includes t he steps you must take to gain access to traditional knowledge related to genetic resources.

At the end of the module, you will know what procedures to follow to obtain germplasm and associated tradition al knowledge under international and national rules and regulations. 

Learning objectives

  • Identify relevant elements of the international laws pertaining to germplasm acquisition, namely, the protection of traditional knowledge, access to and benefit sharing of germplasm
  • Identify the rules for germplasm acquisition applicable to the context and specific objectives of your research
  • Know who to contact to request access to the materials you are interested in
  • Take into account applicable rules, procedures, and standards that countries establish to meet their obligations under the Conventi on on Biological Diversity (CBD), the Nagoya Protocol on Access to Genetic Resources and the Fair and Equitable Sharing of Benefits Arising from their Utilization, and the International Treaty on Plant Genetic Resources for Food and Agriculture (ITPGRFA)
  • Learn the steps required to access traditional knowledge subject to free prior informed consent 

Acquiring new germplasm

Hand holding seeds
Bioversity

Over the last 25 – 30 years, access to and benefit sharing of genetic resources ha ve become subjects of formal international law. Key pieces of legislation are the CBD (https://www.cbd.int/), the Nagoya Protocol on Access to Genetic Resources and the Fair and Equitable Sharing of Benefit s Arising from their Utilization to the CBD (https://www.cbd.int/abs/), and the ITPGRFA (http://www .planttreaty.org/) . As countries sign these agreements, they are establishing national systems to implement them. However, many still do not have such systems, and this is one of the complexities you will need to address as you seek access to plant germplasm.

In some cases, the acquisition of new germplasm may be relatively easy; for example, through informal exchanges among farmers in a particular region or between community seed banks in a country. Such informal or traditional exchange s are often exempt from national access and benefit-sharing laws. However, in other cases, the formal international and national laws and implementing processes and standards will have to be taken into account to acquire new germplasm and associated traditional know ledge. 

What do you already know?

  • How familiar are you with the rules and regulations for ne w germplasm acquisition defined by the CBD , the Nagoya Protocol, and the ITPGRFA?
  • Have you had experience with the process of obtaining p rior informed consent from communities in which you are working? If you are a member o f a community that has been approached for access, have you had experience deve loping such agreements?
  • Are you knowledgeable about the various access and benefit-s haring rules and regulations regarding the acquisition of new germplasm t hat exist in your country and internationally? What about those that apply to accessing traditional knowledge?
Clean Plantest for dispatch
A.Molina/Bioversity

Under the CBD, countries are encouraged to establish systems that allow national authorities and germplasm users to negotiate access and bene fit-sharing agreements on a bilateral basis. The terms of access, and benefit sharing must be written, in the form of a contract. The Nagoya Protocol extends the commitments of member states to put systems in place to facilitate negotiations and to track, monitor, and enforce access and benefit- sharing agreements (in the countries of both the provider and the users of germplasm).

The ITPGRFA takes another approach. Although it too recognizes countries sovereign right to regulate access to genetic resources, under the ITPGRFA, member states agree to create a multilateral system for facilitated access to a limited num ber of agricultural crops (64 are listed in Annex 1 of the ITPGRFA) and for multilateral benefit sharing. In short, member states agree to create a virtual pool of the genetic resources of 64 crops and forage plants and give each other access for the purposes of research, training, and plant breeding for food and agriculture. If anyone makes money from commercializing materials, it goes in to an international fund and is disbursed by the governing body of the ITPGRFA.

In addition to the rules and regulations established by the CBD and ITPGRFRA, many countries have national policies and laws (or are in the process of developing them) that concern the acquisition and use of new germplasm.

A more detailed explanation of the contents of the CBD, the Nagoya Protocol, and the ITPGRFA is beyond the scope of this module. However, this information can be found in Greiber et al. 2012 and Moore and Tymowski 2005 (see "More on the subject" below).

 

 

Seedlings in community nursery
P.Batugal/Bioversity

Before acquiring germplasm, perhaps the major initial challenge is to find out what laws apply to the material you are seeking to obtain and the purpose(s) of your activities. You may do this in a number of ways:

  • If the county from which you are seeking materials has a fu ll-fledged system for implementing the CBD, Nagoya Protocol, and/or the ITPGRFA, it will have published lists of contact people who receive enquiries about access to materials in their country. You may seek their advice . Unfortunately, not many countries have made such appointments or publish that information online.
  • An alternative is to write to the national focal point for each of the agreements in the country concerned. Updated lists of these focal point s are maintained by the secretariats of the various agreements (for the ITPGRFA, se e http://www.planttreaty.org/nfp; for the CBD and Nagoya Protocol, see https://www.cbd.int/information/nfp.shtml) .
  • Alternatively, you may ask the organization or individual f rom whom you are seeking access what rules apply. National public organizations that deal with genetic resources (e.g., national gene banks and national agricultural research organizations) will likely be able to provide advice about the laws that apply, standards to follow, etc. That said, any good lawyer will advise you to seek additional independent sources of information to confirm what you have been told . National organizations may not have the full story, and you must be sure that you are in compliance.
  • A complementary course of action requires some research on y our part, but it is important for you to appreciate the ͞rules of the game. Search the Internet, the CB D Access and Benefit-sharing Clearing-house (https://absch.cbd.int/ ), and the Food and Agriculture Organizations FAOLEX (http://faolex.fao.org/) for laws that the country may have passed to implement the CBD, Nagoya Proto col, or ITPGRFA. Those laws should provide details about whom to contact for more information. Once you have found the right person to contact, the rules and processes you must follow will be informed by the applicable law. In some cases, because the laws are new and countries may not have a lot of experience implementing them, it is a good idea to try to form your own opinion. Here are some basic rules of thumb:

    • Verify that the country from which you are attempting to access germplasm has ratified the CBD/Nagoya Protocol and the ITPGRFA. Updated lists of contracting parties can be found online: CBD https://www.cbd.int/information/parties.shtml; Nagoya Protocol https://www.cbd.int/abs/nagoya-protocol/signatories/def ault.shtml; ITPGRFA http://www.planttreaty.org/list_of_countries.
    • Confirm that the type of germplasm you want is one of t he 64 crops or forage species included in Annex 1 of the ITPGRFA and compare your purpose for seeking this material with those spelled out in the ITPGRFA (i.e., research, breeding, and training in food and agriculture).
    • If the germplasm you are seeking is listed in Annex 1 and it is in a collection hosted by a national public organization, it is likely available under the multilateral system. If it is not in Annex 1 nor in a national collection, it is likely not in the multilateral system.
    • If the material you are seeking is in the multilateral system of the ITPGRFA, you may receive it under the Standard Material Transfer Agreement (SMTA; see copies at http://www.planttreaty.org/content/what-smta). Some countries have policies to make non-Annex 1 material availabl e under the SMTA as well. Note: in case of germplasm that is  "under development" as defined in the ITPGRFA, providers are not obliged to provide access. However, if they do provide access, the material must be transferred under the SMTA and the provider may stipulate terms additional t o those included in the SMTA.

    If the country has ratified both the Nagoya Protocol and the ITPGRFA and the materials you seek are not included in the multilateral system , they will be subject to an access and benefit-sharing agreement that satisfies the standards established in the Nagoya Protocol and national laws of the country concerned.

  • You must comply with the relevant phytosanitary rules for export/import of germplasm. Such regulations are sometimes defined unilaterally by providers of germplasm, but many providers follow international standards. Standards define what measures must be taken to produce and distribute healthy seeds in a manner that minimizes health risks, such as the spread of pests and diseases from one location to another, and guarantees maximum germination and growth potential. International rules and regulations in this regard have been developed by the International Plant Protection Convention (http://www.ippc.int).

Recommended readings

López Noriega, I., Wambugu, P., Mejías, A. , 2013 Assessment of progress made to make the multilateral system functional: incentives and challenges at the country level Halewood, M., López Noriega, I., Louafi, S. (editors), Routledge, Oxon, UK and New York, USA, pp. 199–225

This chapter assesses the progress made (as of 2013) in national-level implementation of the multilateral system, the incentives that encourage users to become full participants in the system, and the challenges or disincentives encountered.

Halewood, M., Andrieux, E., Crisson, L., Gapusi, J.R., Mulumba, J.W., Koffi, E.K., Dorji, T.Y., Bhatta, M.R., Balma, D., 2013 Implementing ‘mutually supportive’ access and benefit sharing mechanisms under the Plant Treaty, Convention on Biological Diversity, and the Nagoya Protocol Law, Environment and Development Journal 9(1): 68,

Halewood, M. (editor), 2015 Mutually supportive implementation of the Plant Treaty and the Nagoya Protocol: a primer for National Focal Points and other stakeholders. Discussion draft Bioversity International, Rome, Italy

This report presents the results of a series of activities (survey, workshop, post-workshop analysis) aimed at producing a tool to support implementation of the ITPGRFA and the Nagoya Protocol. It includes a series of scenarios and options for improved coordination in implementation.

More on the subject

Moore, G., Tymowski, W. , 2005 Explanatory guide to the International Treaty on Plant Genetic Resources for Food and Agriculture. International Union for Conservation of Nature, Gland, Switzerland

This comprehensive guide describes the special nature of plant genetic resources for food and agriculture and the origins of the ITPGRFA; it summarizes the main components of the ITPGRFA and describes and explains its 35 articles. The complete text of the ITPGRFA is included as well.

Moore, G., Goldberg, E. (editors), 2010 The International Treaty on Plant Genetic Resources for Food and Agriculture: learning module Bioversity International, Rome, Italy

This on-line learning module, which was produced by CGIAR’s System-wide Genetic Resources Programme, Bioversity International, and CGIAR’s Generation Challenge Programme, explains the ITPGRFA in a step-by-step sequence. Available in English, French, and Spanish and on CD.

Greiber, T., Peña Moreno, S., Åhren, M., Nieto Carrasco, J., Kamau, E.C., Cabrera Medaglia, J., Oliva, M.J., Perron-Welch, F., in cooperation with Ali, N. and Williams, C., 2012 An explanatory guide to the Nagoya Protocol on Access and Benefit-sharing International Union for Conservation of Nature, Gland, Switzerland

This comprehensive guide introduces the concepts of access and benefit sharing and the road that led to the Nagoya Protocol and then presents and explains the 36 articles of the Nagoya Protocol in detail. The full text of the Nagoya Protocol is included as an annex

Diversity Fair, Peru
S.Padulosi/Bioversity

Germplasm is not only "seed" in a material sense, but also includes the knowledge that generations of farmers and cultivators have invested in growing, conserving, and improving crops. For many local farming communities around the world, germplasm also has religious , ethical , spiritual, and sociocultural meaning and values. For those farming communities, seeds are living entities and intrinsic elements of t he cosmos on which we all depend. Acquisition of germplasm, therefore, requires recognition of and respect for the local agricultural practices that have led to the development and improvement of germplasm over a long period.

The CBD, and Article 8(j) in particular (text below), triggered a series of policy processes at national and international levels that seek to offer legal protection of traditional knowledge, including agro-ecological practices. To some extent, these processes have also helped to revalue (from economic and legal perspectives more than from social or political ones) the role and importance of traditional knowledge, long acknowledged in social and agricultural disciplines and within local and indigenous contexts. 

Article 8(j)

Each contracting Party shall, as far as possible and as appropriate:

Subject to national legislation, respect, preserve and maintain knowledge, innovations and practices of indigenous and local communities embodying traditional lifestyles relevant for the conservation and sustainable use of biological diversity and promote their wider application with the approval and involvement of the holders of such knowledge, innovations and practices and encourage the equitable sharing of the benefits arising from the utilization of such knowledge innovations and practices. (Source: https://www.cbd.int/convention/text/ ) 

Storage Facilities
D.Hunter/Bioversity

The Nagoya Protocol requires contracting parties to adopt measures together with local and indigenous communities to ensure that access to traditional knowledge is subject to prior informed consent (PIC) , which includes the right of local communities to be involved in decisions about issues that affect them. Communities and farmers must be well informed and involved in a timely process, in which decisions are based on appropriate data and information provided by potential users of the traditional knowledge and resources. The definitions of terms and conditions must also be agreed to by both those who seek access to the traditional knowledge and the communities who hold the knowledge.

Before these mechanisms became part of international law through the Nagoya Protocol, they had already been used in the context of a number of research and development projects, and some countries had incorporated them in to national legislation. However, documentation of experience using PIC and negotiating terms is still scarce.

If using traditional knowledge associated with particular crops and varieties is part of your research, you will have to ensure that you obtain access to such knowledge and that you use it in compliance with national and local rules. Thus, the first step is to find out whether the country or countries where the plant germplasm and the traditional knowledge are found have national, regional, or local laws pertaining to access and use of traditional knowledge associated with genetic resources. If the source country or countries are party to the Nagoya Protocol, you may contact the national focal point designated to deal with applicants and rely on the guidance provided by this person.

If a national focal point has not been designated or if you cannot communicate with him or her, for whatever reason, it is advisable to take one or all the measures described in section 1 :

  • Get in touch with the general focal point for the Nagoya Protocol or the CBD, using the list of national focal points published by the CBD Secretariat
  • Ask advice from the organization or individual from whom you would like to get the germplasm, or a legal expert from the country
  • Find out about the existence and the content of legislation on the protection of traditional knowledge, by using online databases, such as the CBD ABS Clearing House mechanism, the FAOLEX, and the WIPO Lex (World Intellectual Property Organization).

If permission from local communities is required by nation al law, you may find that the processes and structures established to allow researchers and local communities to negotiate PIC and mutually agreed terms are unclear or non-existent. Again, you might seek the advice of national experts and observe generally accepted good practices in relation to collecting and using germplasm and traditional knowledge.

A number of international codes of conduct have also been developed, such as the FAO code for plant germplasm collecting and transfer, and the International Society of Ethnobiology code of ethics (references below). Bioversity International has also developed guidelines for access and benefit sharing in research projects (reference below).

Recommended readings

Greiber, T., Peña Moreno, S., Åhren, M., Nieto Carrasco, J., Kamau, E.C., Cabrera Medaglia, J., Oliva, M.J., Perron-Welch, F., in cooperation with Ali, N. and Williams, C. , 2012 An explanatory guide to the Nagoya Protocol on Access and Benefit-sharing International Union for Conservation of Nature, Gland, Switzerland

This comprehensive guide introduces the concepts of access and benefit sharing, the road that led to the Nagoya Protocol and then presents and explains the 36 articles of the Nagoya Protocol in detail. The full text of the Nagoya Protocol is included as an annex.

Lapeña, I., López, I., Turdieva, M. , 2012 Guidelines: access and benefit sharing in research projects Bioversity International, Rome, Italy

Food and Agriculture Organization of the United Nations. n.d. ,International code of conduct for plant germplasm collecting and transfer

This voluntary code describes the shared responsibilities of collectors, donors, sponsors, curators, and users of germplasm to ensure that its collection, transfer, and use are carried out to provide the maximum benefit to the international community and to minimize adverse effects on the evolution of crop plant diversity and the environment. The code emphasizes the need for cooperation and a sense of reciprocity among donors, curators, and users of plant genetic resources.

International Society of Ethnobiology, 2006 The ISE Code of Ethics (with 2008 additions) ISE, Bristol, Vermont, USA.

In-vitro culture of sweet potato
CIP

Rules and regulations surrounding germplasm acquisition address the questions of who may have access to and make use of germplasm and under what conditions. To a considerable extent, farmers local-level agricultural practices (i.e., seed exchange, community fund) have traditionally been based on some form of equitable benefit sharing that often stems from regular and ancestral practices. It is only since the adoption of the CBD that a legal obligation has arisen in this regard. Although a number of countries have developed or are developing a specific access and benefit-sharing policy or law, this is still a relatively new area. However, it is gaining ground around the world.

In the meantime, you can learn from examples of good practices that showcase how germplasm users/providers can observe general access and benefit-sharing principles even when national laws do not exist, are unclear, or are not properly implemented.

These good practices refer to:

  • obtaining access to germplasm and knowledge from farmers and o ther users in proper ways
  • sharing benefits with farmers and other users fairly
  • providing access to germplasm to other researchers and negot iating benefits with them in an appropriate manner

Since 2008/2009, the ITPGRFA has supported a large numbe r of projects that aim to promote fair access and benefit-sharing through the Benefit-sharing Fund. The purpose of this fund is to accelerate the conservation and use of plant genetic resources on a global scale through technology transfer, capacity building, high-impact projects, and innovative partnerships involving farmers, plant breeders, civil society, and other stakeholders. For an overview of the fund and projects supported to date, see: http://www.planttreaty.org/content/benefit-sharing-fund.

The following are examples of access and benefit-sharing pract ices and mechanisms (see Recommended reading for related information):

  • Communities as partners in national conservation efforts, for example, through collaboration with the national gene bank and the exchange of seeds and related knowledge
  • Biocultural heritage areas that promote the conservation and revival of native crops and crop varieties and related traditional knowledge and practices
  • Legally protected farmers seed production and commercialization enterprises based on the improvement of local varieties
  • Formal agreements between farmers and breeders on the distribution of monetary and non-monetary benefits derived from collaborative activities, such as participatory plant breeding
  • Community biodiversity management funds to promote the conservation and sustainable use of local varieties
  • Community seed banks with multiple functions, supported technically and financially by the national government

Recommended readings

ANDES (Peru), The Potato Park Communities, International Institute for Environment and Development, 2012 Community biocultural protocols: building mechanisms for access and benefit sharing among the communities of the Potato Park based on Quechua customary norms IIED, London, UK

Shrestha, P., Sthapit, S., Subedi, A., Sthapit, B. , 2013 Community biodiversity management fund: promoting conservation through livelihood development in Nepal : de Boef, W.S., Subedi, A., Peroni, N., Thijssen, M., O’Keeffe, E. (editors), Routledge, Oxon, UK, and New York, USA, pp. 118–122

This chapter describes and reflects on the experiences of establishing pilot community biodiversity management funds in Nepal. It presents the achievements, challenges, and lessons learned and concludes with a number of recommendations to make this type of community-driven mechanism successful and sustainable

Swiderska, K., Argumedo, A., Song Y., Li, J., Pant, R., Herrera, H., Mutta, D., Munyi, P., Vedavathy, S. , 2009 Protecting community rights over traditional knowledge: implications of customary laws and practices. Key findings and recommendations 2005–2009.  International Institute for Environment and Development, London, UK

This publication presents results from original research in China, India, Kenya, Panama, and Peru on novel tools to protect traditional knowledge rooted in customary laws and practices rather than based on existing intellectual property rights. The focus is on collective rights instead of individual rights

Ruiz, M., Vernooy, R. (editors), 2012 The custodians of biodiversity: sharing access to and benefits of genetic resources. Earthscan, Oxon, UK, and International Development Research Centre, Ottawa, Canada

Here is a quiz that will help you test your newly acquired knowledge. Once you have covered the content sections and completed the assigned readings, please answer the Germplasm Acquisition Quiz

Continue to quiz

 

Applying your new knowledge

Now that you are able to acquire new germplasm, it is time to apply your knew knowledge. In the previous step, following a climate change analysis , you identified new germplasm and you are now ready to acquire it, following the various r ules and regulations and choosing the appropriate mechanisms.

Please, document this step of the research process by i dentifying the following:

  • At the end of the previous module, which new germplasm di d you identify?
  • What questions are you asking to acquire this new germplas m?
  • What mechanism(s) for germplasm acquisition are you choosing an d why?
  • Which rules, regulations, and standards apply to your case for the protection of traditional knowledge and access to and benefit sharing of germplasm?
  • How are you conducting the process to ensure free prior informed consent? 

The next module in our research process is Field-testing . Let us begin! 

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Germplasm Acquisition

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Field-testing