The Nagoya Protocol on Access and Benefit-sharing

Access and Benefit-sharing // Assessment and review
Thursday // 12.19.2024

Assessment and review

Article 31 of the Nagoya Protocol provides that the Conference of the Parties serving as the meeting of the Parties to the Protocol undertake, four years after the entry into force of the Protocol and thereafter at intervals determined by the Conference of the Parties serving as the meeting of the Parties to the Protocol, an evaluation of the effectiveness of the Protocol.

With the entry into force of the Nagoya Protocol on 12 October 2014, the Conference of the Parties serving as the meeting of the Parties to the Protocol carried out the first evaluation at its third meeting in 2018. The key findings of the first assessment, as well as the framework of indicators to measure progress in the future, can be found in annex to decision 3/1. The second assessment and review of the effectiveness of the Protocol will be conducted by the Conference of the Parties serving as the meeting of the Parties at its sixth meeting.

  • SUMMARY
  • DECISIONS
  • DOCUMENTS
  • NOTIFICATIONS
  • FIRST ASSESSMENT AND REVIEW
  • SECOND ASSESSMENT AND REVIEW

COP-MOP 5 (October 2024)

At it's fifth meeting, the COP-MOP considered the development of the methodology for the second assessment and review of the effectiveness of the Nagoya Protocol on the basis of SBI recommendation 4/11 and adopted decision NP-5/5, including the elements and sources of information for the review as contained in the annex to the decision.

The elements identified in the annex to the decision address different aspects related to the implementation of the Protocol and the sources of information include the first national reports on the implementation of the Nagoya Protocol, which are due by 28 February 2026, the information published in the ABS Clearing-House, targeted surveys, previous relevant meeting reports and a scoping study to be commissioned by the Executive Secretary on the possible reasons and underlying root causes for the challenges to effective implementation and compliance and on possible ways to enhance implementation.

All information on the implementation of the Nagoya Protocol will be analysed and synthesized by the Executive Secretary, and include an update of the framework of indicators presented in annex II to decision NP-3/1 A. The Informal Advisory Committee on Capacity-building for the Implementation of the Nagoya Protocol and the Compliance Committee under the Nagoya Protocol were requested to work in a complementary and non-duplicative manner, to contribute to the second assessment and review of the effectiveness of the Protocol and to submit their conclusions for consideration by the Subsidiary Body on Implementation, at it's sixth meeting.

Fourth meeting of the Subsidiary Body on Implementation (May 2024)

At it's fourth meeting the Subsidiary Body on Implementation (SBI), held from 21 to 29 May 2024 in Nairobi, Kenya, considered a note by the Secretariat containing a proposed methodology for conducting the second assessment and review and adopted recommendation 4/11 on this matter for consideration by the Conference of the Parties serving as the meeting of the Parties to the Protocol at its fifth meeting.

Relevant Documents
  • Development of the methodology for the second assessment and review of the effectiveness of the Nagoya Protocol – CBD/SBI/4/12
  • Recommendation 4/11 on Development of the methodology for the second assessment and review of the effectiveness of the Nagoya Protocol

COP-MOP 3 (November 2018)

On the basis of the outcomes of second meeting of the Subsidiary Body on Implementation, the Conference of the Parties serving as the meeting of the Parties to the Protocol (COP-MOP), at its third meeting, adopted decision NP-3/1 on the first assessment and review of the effectiveness of the Nagoya Protocol four years after its entry into force.

In this decision, COP-MOP welcomed the progress made by Parties, as well as non-Parties, in establishing legislative, administrative or policy measures on ABS and institutional arrangements. However, it was also recognized that further efforts were needed to make the Protocol fully operational. Parties also identified areas where further work is needed, challenges in implementation and possible mechanisms to address those challenges in accordance with national circumstances. The outcomes from the first assessment and review, including its key findings contained in annex I of the decision, can assist in advancing the implementation of the Protocol and provide guidance for future work to ensure the fair and equitable sharing of benefits from the utilization of genetic resources and associated traditional knowledge.

Furthermore, in decision NP-3/1 COP-MOP agreed to a framework of indicators to measure progress in implementation in the future (annex II of the decision). The framework also includes reference points for each indicator as of February 2018 resulting from the analysis conducted. The reference points allow having a baseline against which progress can be measured in the future. COP-MOP also decided to revisit and adapt the framework in the light of further progress made with implementation. COP-MOP also decided to conduct the second assessment and review of the effectiveness of the Protocol at its sixth meeting, which will take place in 2024, and requested the Executive Secretary to propose a methodology for conducting the second assessment and review, taking into account the outcomes and lessons learned from the first assessment and review process, experiences from the assessment and review process under the Cartagena Protocol on Biosafety, and the post-2020 global biodiversity framework.

Meeting of SBI-2 (July 2018)

The second meeting of the Subsidiary Body on Implementation, which convened from 9 to 13 July 2018 in Montreal, Canada, considered the analysis and synthesis of information as well as the draft framework of indicators prepared by the Secretariat, taking into account the inputs from the Compliance Committee and adopted a recommendation for consideration by the Parties to the Protocol at their third meeting.

The recommendation from SBI-2 (Recommendation SBI-2/2) includes a draft decision to MOP-3.

The following documents were prepared to inform discussions at SBI-2:

COP-MOP 2 (December 2016)

Assessment and review was first considered by the COP-MOP at its second meeting. The meeting considered a note by the Executive Secretary, containing a proposed methodology for conducting the first assessment and review of the Protocol, including a suggested timeline and possible sources of information. In decision NP-2/4, the COP-MOP agreed on the elements to be included in the first assessment and review and on the sources of information to be used for assessing each of these elements, and requested the Executive Secretary to, among other actions, assess any needs for additional information. Per decision decision NP-2/2, the implementation and operation of the ABS Clearing-House will be reviewed as part of the assessment and review process.

In 2017-2018, in line with decision NP-2/4, the Executive Secretary prepared an analysis and synthesis of relevant information for the first assessment and review of the Protocol and a draft framework of indicators as a basis for measuring, in the second assessment and review and thereafter, progress in achieving the objective of the Protocol, for the consideration of the Subsidiary Body on Implementation at its second meeting. The Compliance Committee also provided inputs to the first assessment and review of the Protocol to assist in addressing challenges to its implementation.

Key Documents

Second assessment and review

  • Development of the methodology for the second assessment and review of the effectiveness of the Nagoya Protocol - CBD/SBI/4/12
  • Framework of indicators and reference points to measure progress (Annex II) - CBD/NP/MOP/DEC/3/1

First assessment and review

  • Assessment and Review of the effectiveness of the Nagoya Protocol - CBD/NP/SBI/2/3
  • Analysis of information contained in the interim national reports and information published in the access and benefit-sharing clearing house - CBD/SBI/2/INF/3
  • Statistical overview of the answers provided in the interim national report for the Nagoya Protocol - CBD/SBI/2/INF/4
  • Review of implementation and operation of the Access and Benefit-sharing Clearing-House - CBD/SBI/2/INF/7
  • Stock-taking of model contractual clauses, codes of conduct, guidelines, best practices and standards as well as indigenous peoples and local communities’ customary laws, community protocols and procedures - CBD/SBI/2/INF/8

Outcomes of the first assessment and review of the Protocol

The Conference of the Parties serving as the meeting of the Parties to the Protocol (COP-MOP), at its third meeting, adopted decision NP-3/1 on the first assessment and review of the effectiveness of the Nagoya Protocol four years after its entry into force. The outcomes from the first assessment and review, including its key findings contained in annex I of this decision, can assist in advancing the implementation of the Protocol and provide guidance for future work to ensure the fair and equitable sharing of benefits from the utilization of genetic resources and associated traditional knowledge.

Elements included in the first assessment and review of the Protocol and sources of information

At its second meeting, the COP-MOP considered the methodology proposed by the Executive Secretary to conduct the first assessment and review of the effectiveness of the Protocol, in accordance with Article 31, and adopted decision NP-2/4 in which it decided on the elements to be included in the assessment and the sources of information to be used for assessing each element. The elements and sources of information were as follows:

Element Source of information
(a) Extent of implementation of the provisions of the Protocol and related obligations of Parties, including assessment of progress by Parties in establishing institutional structures and access and benefit-sharing measures to implement the Protocol Interim national reports
Access and Benefit-sharing Clearing-House
National reports under the Convention
National biodiversity strategies and action plans
Possible targeted survey of focal points and/or users
(b) Establishment of a reference point to measure effectiveness Interim national reports (questions 13, 15, 16, 18, 24, 35, 46)
Access and Benefit-sharing Clearing-House
(c) Establishment of a reference point on support available for implementation Interim national reports (questions 56, 57, 61, 62, 63)
Access and Benefit-sharing Clearing-House
Information on capacity-building projects and resources
(d) Assessment of effectiveness of Article 18 (extent of implementation) Interim national reports (questions 31-34)
(e) Assessment of implementation of Article 16 in light of developments in other relevant international organizations, including, inter alia, the World Intellectual Property Organization (WIPO) Interim national reports (question 25)
Reports of, inter alia, the WIPO Intergovernmental Committee on Intellectual Property and Genetic Resources, Traditional Knowledge and Folklore
(f) Stock-taking of the use of model contractual clauses, codes of conduct, guidelines, best practices and standards as well as indigenous peoples and local communities’ customary laws, community protocols and procedures Interim national reports (questions 42 and 51-53)
Access and Benefit-sharing Clearing-House
Possible targeted survey of focal points and/or users
(g) Review of implementation and operation of the Access and Benefit-sharing Clearing-House, including number of ABS measures made available; number of countries that have published information on their competent national authorities; number of internationally recognized certificates of compliance that have been constituted and number of checkpoint communiqués published Interim national reports (question 3)
Access and Benefit-sharing Clearing-House, including information on the use of the help function/dialogue box
Reports of meetings of the informal advisory committee on the Access and Benefit-sharing Clearing-House
Possible targeted survey of focal points and/or users

In line with decision NP-2/4, the Executive Secretary prepared an analysis and synthesis of relevant information for the first assessment and review of the Protocol and a draft framework of indicators as a basis for measuring progress for the consideration of the Subsidiary Body on Implementation at its second meeting. The Executive Secretary also issued notification 2017-104 to invite relevant stakeholders and indigenous peoples and local communities to provide information on the development, update and use of model contractual clauses, codes of conduct, guidelines, best practices and/or standards in relation to access and benefit-sharing and on customary laws and the development of community protocols and procedures in relation to access to traditional knowledge associated with genetic resources and the fair and equitable sharing of benefits arising out of the utilization of such knowledge, respectively. The submissions can be found here.

Second assessment and review

At its third meeting, the Conference of the Parties serving as the meeting of the Parties (COP-MOP) welcomed the framework of indicators and reference points contained in annex to decision NP-3/1 and agreed to use the reference points as a baseline against which progress can be measured in the future.

It also decided to conduct the second assessment and review of the effectiveness of the Protocol at its sixth meeting and requested the Executive Secretary to propose a methodology for conducting this assessment.

The methodology for the second assessment and review was considered by the Subsidiary Body on Implementation, at it's fourth meeting, on the basis of document CBD/SBI/4/12. COP-MOP 5 adopted decision NP-5/5 including the elements and sources of information for the review as contained in the annex to the decision. The elements address different aspects related to the implementation of the Protocol as well as the sources of information including the first national reports on the implementation of the Nagoya Protocol, which are due by 28 February 2026.

All information on the implementation of the Nagoya Protocol will be analysed and synthesized by the Executive Secretary, and include an update of the framework of indicators presented in annex II to decision NP-3/1 A. The Informal Advisory Committee on Capacity-building for the Implementation of the Nagoya Protocol and the Compliance Committee under the Nagoya Protocol were requested to work in a complementary and non-duplicative manner, to contribute to the second assessment and review of the effectiveness of the Protocol and to submit their conclusions for consideration by the Subsidiary Body on Implementation, at it's sixth meeting.