The Interface Between Access and Benefit-sharing Rules and BioTrade in Viet Nam

Viet nam InTerface beTween access benefIT-sharIng rules bIoTrade Note material contained document freely quoted reprinted acknowledgement requested, copy document quotation, reprint UNCTAD Secretariat : Palais des Nations, 1211, Geneva 10, Switzerland. designations employed presentation material imply expression position whatsoever part United Nations Secretariat legal status country, territory, city area, authorities, delimitations frontiers boundaries, economic system degree development. unedited document. Acknowledgements document prepared Dr. Trang Thi Huong Tran, UNCTAD consultant independent legal advisor Biodiversity Conservation Agency (BCA) Viet Nam cooperation Ms. Mariona Cusi, Technical Expert UNCTAD, . Son Minh Ta, Director BioTrade Implementation Group Viet Nam (BIG Viet Nam) Ms. Cuc Dang Thu Nguyen, Head Division Genetic Resources Biosafety Management, Biodiversity Conservation Agency (BCA), Viet Nam. document developed guidance . David Vivas Eugui, Legal Officer Trade, Environment, Climate Change Sustainable Development Branch, Division International Trade Goods Services, Commodities (DITC) UNCTAD. document formatted revised publication . Rafe Dent (UNCTAD) Ms. Maria Durleva (UNCTAD consultant). Comments document recommendations participants workshop consultation “Addressing intersection Nagoya Protocol, access benefit sharing rules, BioTrade,” held Hanoi, Viet Nam 27–29 June 2016, account included document. presentations information workshop : http://unctad.org/en/Pages/MeetingDetails. aspxmeetingid=1156. Finally, Biodiversity Conservation Agency, Helvetas Viet Nam BioTrade Implementation Group Viet Nam (BIG Viet Nam) technical logistic support. UNCTAD gratefully acknowledges support Swiss State Secretariat Economic Affairs (SECO) development report phase BioTrade Facilitation Programme (BTFP III). Guillermo Valles Director Division International Trade Goods Services, Commodities 28 November 2016 Wichtiger HINWEIS ! Innerhalb der Schutzzone (hellblauer Rahmen) darf kein anderes Element platziert werden! Ebenso darf der Abstand zu Format- resp. Papierrand die Schutzzone nicht verletzen! Hellblauen Rahmen der Schutzzone nie drucken! Siehe auch Handbuch „Corporate Design der Schweizerischen Bundesverwaltung“ Kapitel „Grundlagen“, 1.5 / Schutzzone www. cdbund.admin.ch Produced joint partnership : Biodiversity Conservation Agency Viet Nam (BCA) BioTrade Implementation Group Viet Nam (BIG Viet Nam) UNCTAD/WEB/DITC/TED/2016/9 iii Contents Note ................................................................................................................................................................... ii Acknowledgements ............................................................................................................................................. ii Acronyms Abbreviations .............................................................................................................................. iv Executive summary .................................................................................................................... . INTRODUCTION ................................................................................................... 1 II. OveRvIew ......................................................................................................... 3 . Viet Nam’ biological resources .............................................................................................................. 3 . Genetic resources .................................................................................................................................. 3 . Traditional Knowledge GRs ........................................................................................... 3 III. NagOya PROTOCOl ON aCCess aND BeNefIT-shaRINg: sTaTUs IN vIeT Nam ....... 5 . Implementation strategies ...................................................................................................................... 5 . Snapshot: Viet Nam’ National ABS Regulatory Framework ................................................................... 7 . Genetic resources legal statu ........................................................................................... 7 ii. Access genetic resources Viet Na .......................................................................................... 8 iii. Benefit-sharing ............................................................................................................................... 10 iv. Treatment traditional knowledge Regulations .............................................................. 12 . Compliance enforcement ......................................................................................................... 13 Iv. BIOTRaDe aND ITs DevelOPmeNTs IN vIeT Nam ................................................ 17 . BioTrade concepts principles ................................................................................................. 17 . BioTrade Viet Nam ........................................................................................................................... 18 . Steps ........................................................................................................................................ 22 . Perception BioTrade Viet Nam ............................................................................................... 22 . BioTrade numbers ............................................................................................................................ 23 . BioTrade Viet Nam: Challenges additional actions Viet Nam ...................................................... 23 . aCCess aND BeNefIT-shaRINg RUles aND BIOTRaDe aPPROaCh: aN OveRvIew .................................................................................................. 25 . BioTrade Viet Nam’ laws biodiversity ....................................................................................... 25 . Synergies, implementation lessons learned ................................................................................... 25 . Differentiating ABS BioTrade ........................................................................................... 27 . Implementing BioTrade Principles Vietnamese ABS law ..................................................... 28 vI. POlICy aND RegUlaTORy OPTIONs aND ReCOmmeNDaTIONs ............................ 30 glOssaRy ....................................................................................................... 34 aNNex ............................................................................................................ 35 Notes ..................................................................................................................................................... 39 References ............................................................................................................................................. 39 Key Figures Decree . 65/2010/ND-CP Access GRs procedures ...........................................................9 Viet Nam ABS offences sanctions ............................................................................................15 Results Chain Scaling Ethical BioTrade activities phyto-pharmaceutical sector Viet Nam ......20 BioTrade Principles Criteria ABS Standards ..........................................................27 Key Tables BioTrade Principles Criteria ...............................................................................................17 BioTrade sectors prioritized countries partners Africa, Asia Latin America .................18 Partnerships actors involved BioTrade activities ....................................................................20 ABS provisions vis-à-vis BioTrade Principles Criteria ................................................................26 iv Acronyms Abbreviations ABS Access benefit sharing ASEAN Association Southeast Asian Nations BCA Biodiversity Conservation Agency BIG Viet Nam BioTrade Implementation Group Viet Nam BL 2008 Biodiversity Law Viet Nam 2008 BTFP BioTrade Facilitation Programme CBD Convention Biological Diversity CITES Convention International Trade Endangered Species Wild Fauna Flora CRED Centre Rural Economic Development FAO United Nations Food Agriculture Organization GIZ (Deutsche Gesellschaft ü Internationale Zusammenarbeit) German Agency International Cooperation GR/GRs Genetic Resource/ IP Intellectual property IPRs Intellectual property rights ITPGRFA International Treaty Plant Genetic Resources Food Agriculture IUCN International Union Conservation Nature MAT Mutually agreed terms MARD Ministry Agriculture Rural Development Viet Nam MOH Ministry Health Viet Nam MOIT Ministry Industry Trade Viet Nam MONRE Ministry Natural Resources Environment Viet Nam MOST Ministry Science Technology Viet Nam NIMM National Institute Medicinal Materials PIC Prior informed consent PPC Provincial People Committee SECO State Secretariat Economic Affairs (Switzerland) SIPPO Swiss Import Promotion Programme TK Traditional knowledge UEBT Union Ethical BioTrade UNCTAD United Nations Conference Trade Development VACNE Viet Nam Association Conservation Nature Environment VEA Viet Nam Environment Administration VIETRADE Viet Nam Trade Promotion Agency VIMAMES Viet Nam Material Medical Society VND Vietnamese Dong WHO World Health Organization WIPO World Intellectual Property Organization UNCTAD United Nations Conference Trade Development US$ United States Dollar exeCUTIve sUmmaRy Viet Nam enjoyed strong economic growth 25 years. fact, GDP capita growth fastest world averaging 6.4 6.7 cent annually 2000s. token, World Bank reports 30 million Vietnamese live close poverty line – population classified “poor” “ poor” groups . majority members groups farmers, indigenous communities livelihoods depend biodiversity. Obvious impediments poverty , groups people vulnerable shocks climate change, natural disasters economic health shocks. 1994, Viet Nam member Convention Biodiversity (CBD). Party CBD, Viet Nam pledged mainstream biodiversity considerations sustainable biological resources (including equitable sharing benefits ) policy-making agendas. Recognizing biodiversity conservation sustainable development successful participa- tion poor, Biodiversity Law 2008 (BL 2008) envisaged legal instrument integrate pro-poor principles involve biodiversity holders grass roots level. Coupled Decree . 65/2010/ND-CP (jointly, “ Regulations”), details implementation procedures BL 2008, Government attempted put place legislative administrative measures , findings report ( III. Snapshot: Viet Nam’ national ABS regulatory framework . 7), unclear respect definitions legal aspects-related access benefit-sharing (ABS) demarcation ministerial assignments relating State management genetic resources’ (GRs) giving rise impractical implementation Regulations. addition, Regulations put place provide tools compliance enforcement (.. national database GRs TK) cre- ates arbitrary mechanism sharing benefits ambiguous roles stakeholders ABS process. consideration Regulations legal instruments pre-Nagoya Protocol (Protocol), provisions intended satisfy CBD requirements general functional provide inadequate interpretation ABS rules compounded lack supporting mechanisms applicable practice. subsequent entry force Nagoya Protocol 2014, Viet Nam’ consequent ratification growing impact Protocol domestically internationally entail country faced greater challenge comply ABS rules workable achieve sustainable development objectives. policy administrative integration challenges, UNCTAD BioTrade, collabora- tion Biodiversity Conservation Agency Vietnam, Helvetas - Viet Nam created BioTrade Implementation Group (BIG Vietnam) support SECO Switzerland, demon- strated slow steady rise bolster sustainable development trade investment biological resources keeping objectives CBD Protocol. legal terms, ABS BioTrade subtly ( Access Benefit-Sharing rules BioTrade approach .25), concepts converge manner BioTrade fortifies implementation ABS Regulations, Regulations enabler promoter BioTrade viable livelihood op- tion actors chain, local indigenous communities. BioTrade Principles Criteria : Principle 3 ( fair equitable sharing benefits, Principle 5 ( compliance national international regulations Principle 7 ( clarity access rights prior informed consent) give means practitioners, albeit indirectly, comply ABS Regulations. promotion sustainable sourcing biological resources .. medicinal aromatic plants trade, distributing benefits (monetary -monetary) equitably sharing ben- efits communities actors involved chain, BioTrade practitioners comply benefit sharing principle Protocol ( . Synergies, Implementation Lessons Learned . 25). , capacity development programmes coupled sensitization ABS rights, local communities (stakeholders) part addition, commercial trade activities. process, communities play active role negotiation mutually agreed terms (MATs) give Protocol compliant Prior Informed Consent (PIC). Essentially, inception Viet Nam existing challenges noted report, BioTrade proven working model ABS compliance. preliminary projects results created basis long term development country. vi current revision improvement ABS Regulations Viet Nam aligned definitions obligations Nagoya Protocol bespoke, clear detailed legal instruments incentivise biological genetic resource users providers close gaps interaction ABS BioTrade. spirit principle sovereignty State, adaptation prove opportunity Viet Nam resolve regulate BioTrade activities vis- à-vis overseeing ABS legislative administrative approaches. Subject extent modi- fication Regulations’ clarity, scope flexibility, BioTrade fall Protocol ABS rules mandatory nature. , noted BioTrade achievements, terms coverage Principles Criteria, provide, voluntary basis, minimum standard required ABS rules CBD Protocol. BioTrade projects activities country largely dependent national programmes guided revised ABS Regulatory framework, supportive administrative practice technical assistance. Finally, order promote BioTrade-friendly implementation Nagoya Protocol potentially introducing BioTrade-related provisions future revised ABS regulations, study series recommendations proposals consideration policy makers regulators Viet Nam. recommendations apply Vietnam serve blueprint biodiversity-rich countries Mekong region share common challenges opportuni- ties, biological genetic resources, traditional practices communities. Photo credit: ©Fotolia: chatursunil 1vIeT Nam . INTRODUCTION Located Indo-Burma Biodiversity Hotspot (IBBH), Viet Nam ranked 16th biodiversity-rich country world. home 42, 900 identified species, 14,000 recognized species flora, 11,000 marine species remarkable number rare endemic species. Mekong River boasts world’ largest inland fishery - accounting 25 cent global freshwater catch providing livelihoods 60 million people flows south Viet Nam Mekong Delta, nicknamed “rice bowl’ Viet Nam. abundant indigenous plant varieties, livestock breed, medicinal plants, herbs traditional knowledge, unsurprising Viet Nam’ biodiversity crucial role contributing sustainable livelihoods generations provision food security health care, local people living remote areas dependent resources exploitation. growing concern threats biodiversity, Government Viet Nam introduced measures protection, conservation development creation national policies implementation international conventions protocols signed post-Convention Biological Diversity (“CBD”), Nagoya Protocol (“Protocol”). years Party Protocol April 2014, Prime Minister issued Decision . 1141/QD-TTg 27 June 2016 approving national scheme spanning 2016 2025 strengthen government’ management capacity access genetic resources fair equitable sharing benefits arising utilization. effect, Ministry Natural Resources Environment (“MONRE”) designated coordinate related ministries agencies drafting decree implement Protocol, access benefit sharing (“ABS”) enhance existing national legal framework. legal instrument aims establish ABS systems define genetic resources accessed benefits resulting utilization shared users, providers related stake-holders yield (maximum) benefits users providers, contribute ecosystem conservation support livelihoods communities located genetic resources accessed. Historically, Viet Nam’ commitment sustainable conservation biodiversity dates 1995 ratified CBD launched National Biodiversity Action Plan (NBAP 1995) year. Prioritized Activities ( framework NBAP 1995) “promote international cooperation biodiversity conservation appealing international organizations, foreign governments individuals provide technical financial support staff training realise biodiversity action plans.”1 2003, BioTrade concept introduced Viet Nam UNCTAD’ BioTrade Initiative (“BioTrade”). intervention aimed provide technical assistance support partners develop specific sectors biodiversity products services broad range trade promotion tools. tools operate BioTrade’ concept fostering activities collection, production, transformation, commercialization goods services derived native biodiversity (genetic resources, species ecosystems) criteria environmental, social economic sustainability. 2012 2014, BioTrade worked close partnership Helvetas Viet Nam implement project “ development chains natural ingredient products.” project’ key objective Viet Nam acknowledged internationally recognized supplier natural ingredient products CBD compliant guided BioTrade Principles. , face manifest linkages Biotrade ABS principles, practical challenge stakeholders determine BioTrade adopt mandatory ABS principles Protocol implementation aspects Protocol impact BioTrade businesses activities. account, UNCTAD BioTrade Facilitation Programme III (BTFP III) working develop policy options implementation Protocol Biotrade, pitching ABS systems supportive BioTrade activities. line undertaking, UNCTAD offered technical support countries, Viet Nam beneficiary. technical support, Viet Nam review national regulation BioTrade-related issues, - depth analysis status BioTrade ABS country, face--face training interested stakeholders. 2 InTerface beTween access benefIT sharIng rules bIoTrade report () identifies explores main regulatory challenges Viet Nam, (ii) addresses issues concern policy options develop response (), (iii) assesses country’ national competent authorities’ ABS frameworks supportive BioTrade, finally (iv) considers outlook businesses relevant stakeholders line obligations Nagoya Protocol Viet Nam. Photo credit: ©Fotolia: anando. 3vIeT Nam II. OveRvIew . Viet Nam’ biological resources Viet Nam’ global importance natural biodiversity, country seemingly inexhaustible agro-biodiversity. rich repository genetic resources (GRs) played critical role country’ economic development years, notably agriculture, forestry fishery sectors. , unprecedented development biotechnology, pharmaceuticals cosmetics industries trade generated additional benefits country people. Indisputably, GRs ( traditional knowledge ) renewable resource considered key driver attain Viet Nam’ sustainable development objectives replacement current exploitation -renewable resources coal, oil, gas minerals Viet Nam. . Genetic resources Vietnam abundant diverse, unknown, flora. “Flore éérale de ’Indochine”, country 7,000 plant species 1,850 genera 290 families. , 64 genera 2,084 species endemic. NBAP 1995, estimates 12,000 plant species Vietnam (7,000 named). excellent GRs diversity Viet Nam rice (Oryza sativa), widely consumed staple food Asia ( rest world) important abundant GRs Viet Nam. Mekong Delta, home 17 million Vietnamese, yields Vietnam’ rice production GDP - owing quality soil abundance water supply region. National Plant Gene Bank (belonging Plant Resources Center, Vietnam Academy Agricultural Sciences) preserves 6,0002 varieties local rice. , versatile rice GR aromatic Jasmine rice, grown countries temperate zones. Cuu Long Delta Rice Research Institute maintains 1,800 samples traditional rice 160 samples wild rice Southern Viet Nam. sources abundant GRs forest total contributed US$ 2.4 billion economy 2011 (approximately 17 cent GDP,)3 20,000 terrestrial aquatic flora species includes 150 protein tree species, 130 fruit tree species, 100 oil tree species, 90 fiber tree species, 1,000 wood tree species, 3,850 plant species medicine, cosmetic tree species. 12,000 plant species forests, , 7,000 species belonging 1850 lines 267 angiosperm families. 2,300 forest tree species food, medicine, animal feed, materials national timber requirements purposes. GRs domestic fauna significant economic Viet Nam4. , endemic Mong chickens brought, average, breeding benefits 3 billion VND ( US$ 134,336) village 4 million VND ( US$ 179,115) village’ household. Viet Nam center primate genetic diversity. Primates country comprise 25 species -species belonging families, endemic, facing extinction, vulnerable high-.7 include: Tonkin snub-nosed monkey, golden-headed langur (Cat Ba langur), black langur, stripe-headed black langur (Hatinh langur), Delacour’ langur, white-rumped black langur. listed Red Data Book Viet Nam threatened extinction. 2007, total number endangered wildlife species 882, including 418 animal species 464 plant species, 161 species period 1992-19968. , 28 cent total animal species, 10 cent birds, 21 cent reptiles amphibians risk extinction. . Traditional Knowledge GRs date, traditional knowledge (TK) medicinal plants traditional medicine oriental medicine contributes significantly treatment options people Viet Nam, rural urban settings. integral part national health care system majority population traditional knowledge treating common health problems widely believed medicinal plants produce side effects medicines commercially. Viet Nam home estimated 12,000 species high- plants, 10,500 identified, approximately 3,780, 36 cent , medicinal properties. Vietnamese medicinal plant species account 4 InTerface beTween access benefIT sharIng rules bIoTrade approximately 11 cent 35,000 species medicinal plants worldwide. figure artificially medicinal plants species (ethno-medicine plants) properties generally ethnic minority groups country 14 cent total population. Viet Nam, wealth TK traditional medicines cure common ailments, combination modern medicines treat diseases. Ministry Health confirms 30 cent patients receive medical treatment traditional medicine. , 50 years shown growing resurgence traditional medicine Viet Nam. sight, favourable patients, practitioners users TK traditional medicine. , demand medicinal plants rapidly increases accessed appropriated indiscriminately, hundreds thousands tons raw medicinal materials exploited wild plants. , great commercial benefit demands create pose threat biodiversity poor agricultural practices coupled -harvesting genetic resources herbal medicines natural health care products. practices, regulated, lead extinction endangered species destruction natural habitats resources. , Viet Nam started importing ( China) 80 cent raw materials . Traditional knowledge ( medicinal) GRs protected ( ) Viet Nam’ intellectual property (IP) system. effect, rights interests indigenous local communities holders relevant TK consideration drug invented exploitation TK GRs. party CBD 1994, establishing stand- laws ABS incorporating administrative structures process, Nagoya Protocol ABS remains concept Viet Nam. Legal obligations, , based parties’ bargaining power negotiations operationalizing ABS practice. , parties ( GR providers) agreements relating access genetic resources TK fully benefit provisions Protocol. , providers’ participation development chain() limited stage ownership materials transferred user (access stage). Users account provider’ rights obligations share benefits Protocol. issue lack awareness ABS provisions. notably, indigenous local communities provide TK remained unaware legal rights ; – inability provide informed consent, negotiate fair agreeable terms require equitable compensation relating rights. collection GRs research development (&), commercialization attracts foreign national organizations individual users. extent loss GRs unauthorized collections unknown, scale benefits country enjoyed, aware claim . Making Vietnamese ABS issues complex fact country party FAO` International Treaty Plant Genetic Resources Food Agriculture (IT PGRFA). Protocol takes consideration existing ‘specialized instruments’ relating plant GRs steer clear overlapping legislation , Article 4 Protocol purports materials covered ‘specialized instruments’ ITPGRFA scope ABS rules. light national ABS regulations Viet Nam, plant GRs food agriculture (including consumed food) principle covered Nagoya Protocol country part IT PGRFA specialised instrument. preclude, , Viet Nam developed special rules resources due nature. 5vIeT Nam III. NagOya PROTOCOl ON aCCess aND BeNefIT shaRINg: sTaTUs IN vIeT Nam Viet Nam’ rapid population growth, compelling requirements socio-economic expansion, direct proximate processes impacts biodiversity, deforestation, GRs degradation alarming increase protected species country’ Red Data Book, regulation biodiversity crucial. ABS concept introduced Viet Nam 2000’ government establish effective management tool. Biodiversity Law 2008 (“BL 2008”) incorporates provisions ABS ( Access Benefit Sharing rules BioTrade approach: overview, .42) masterplan capacity building ABS underway 2015. . Implementation Strategies addition national implementation strategies, Vietnamese government access global funds set developed countries support emerging counterparts improve implementation Protocol, update existing national ABS regulatory regimes, contribute biodiversity conservation, alleviate poverty improve livelihoods local communities. Resources funds raise awareness Protocol national implementation, values potential benefits GRs, TK importance biodiversity conservation. regard, Viet Nam working international organizations projects raise awareness importance biodiversity improve existing regulatory systems governed time. list includes projects contributed Viet Nam’ current systems level awareness importance biodiversity sustainable : • Building legislation access plant GRs (2000- 2001) implemented Viet Nam Association Conservation Nature Environment (VACNE) Ministry Science, Technology Environment (MOST) supported International Development Research Centre Canada; • Capacity building development legislation ABS (2002-2004) implemented Viet Nam Environment Administration (VEA), MONRE, MOST, VACNE, International Union Conservation Nature (IUCN) German Agency International Cooperation (GIZ); • Projects framework implementation National Action Plan Biodiversity (1996- 2005) implemented international partners budget US$ 13 billion. • projects implemented MONRE seeking put practice BL 2008 including project Photo credit: ©Fotolia: anekoho 6 InTerface beTween access benefIT sharIng rules bIoTrade VACNE, IUCN, project implemented Institute Strategy Policy Natural Resources Environment background paper theory, practice recommendation ABS management regime 2009-2010 • Collaboration international organizations, communities, companies, research institutions develop improve stakeholders’ working knowledge ABS accessing GR research projects plant varieties, breeding, cosmetic pharmaceutical products. , endeavours, social survey results identifying national priorities ABS capacity building 2013 showed : 1. Access GR place long time government authorities unable put place management system regulate ; 2. official GRs TK database enable systematized monitoring; 3. GR users aware responsibilities obtain licenses access GR, negotiate implement MATs; 4. complicated situation State’ management GRs resulted Protected Areas Management Boards’ lack understanding authorities responsibilities; 5. ABS-related activities communities unprompted, weak seasonal, concentrated GRs high market ; 6. Government’ management authorities’ knowledge ABS concepts/issues limited; 7. awareness communities ABS issues inadequate minimal. Party Protocol, Biodiversity Conservation Agency (BCA) carried number projects9 () capacity building, (ii) enhancing national legal system (iii) raising awareness related ABS Viet Nam: 1. ASEAN Centre Biodiversity (“ACB”) project “Building capacities countries support development implementation National ABS Frameworks”. Viet Nam, Lao PDR, Myanmar selected participate project. implementation carried collaboration UNEP Regional Office Asia Pacific ACB. project aims providing technical support countries developing national ABS regulatory institutional frameworks piloting initiatives implement Nagoya Protocol ABS selected ASEAN Member States. project strong focus promoting regional cooperation, knowledge sharing learning ABS ASEAN Member States China. 2. UNDP-GEF project “Capacity Building Ratification Implementation Nagoya Protocol Access Benefit Sharing Viet Nam”. project -refundable aid US$ 2 million United Nations Development Programme (UNDP) Global Environmental Fund (GEF). -year project implemented Hanoi province Lao Cai. project supported establishment comprehensive legal, regulatory administrative framework full compliance Nagoya Protocol Viet Nam. Capacity levels government strengthened improve understanding implementation national ABS regime. Specific experiences demonstrations local level conducted guide application ABS principles Viet Nam support sustainable genetic resources. 3. Collaboration Bio Trade project Helvetas’ develop training material ABS. 4. Activities BTFP III UNCTAD. study revision Decree draft Circular, training workshops national consultations place June 2016. survey questionnaire undertaken showing : • Domestic GR users institutes, research centers, universities agriculture, forestry, breeding, aquaculture medicine; • Foreign GR users hand, tend institutes, research centers, universities, international organizations cooperation projects countries Korea, China, Japan, Russia, France Sweden, ; • Accessed genetic resources plants food, industrial medicinal ( : OryzaSativa . (Asian rice), Solanum tuberosum (potato), Ipomoea batatas (sweet potato), Canna edulis (edible Canna), Colocasia esculenta (.) (taro), Manihot esculenta Crantz (cassava), Glycine max () (soybean), Vigna radiata Wilczek. , (Mung bean), Arachis hypogaea . (peanut), Gossypium hirsutum (upland cotton), Croton tonkinensis GAGNEP 7vIeT Nam (‘Kho sam Bac Bo’), Salacia cochinchinensis10, Salvia miltiorrhiza (red sage). Accessed GRs included animals microorganisms; • objectives access GRs research development finding compounds, collection exchange, technology transfer, databases, trainings; • authorities allowed access GRs : MARD, MOIT, MOST, Vietnam Academy Science Technology, Viet Nam Rubber Group; • Benefits corporations accessing GRs capacity building, exchange knowledge, trainings, finding compounds development medicines, financial support research, sharing information. numbers applications access GRs submitted Biodiversity Competent State Agencies increasing gradually. indication enhanced awareness ABS concepts implementation Nagoya Protocol ABS regulatory Vietnam. summary ABS cases Annex report. . Snapshot: Viet Nam’ National ABS Regulatory Framework section introduces existing ABS regulations laws applicable Viet Nam, notably: 2008 Biodiversity Law . 20/2008/QH12 (BL 2008) Decree . 65/2010/ND-CP) Detailed Regulations Guidelines Implementation Articles Biological Diversity Law pursuant Nagoya Protocol CBD. BL 2008 includes provisions biodiversity conservation sustainable development, rights obligations organizations, households individuals dealing biodiversity. Decree . 65/2010/ND-CP details guides implementation number articles Biodiversity Law, including access GRs. , referred “Regulations” report. . Genetic resources legal status CBD Nagoya Protocol confirm principle sovereign rights GRs expressly owns . default position States enjoy sovereign rights jurisdiction regulate licenses contracts relating access conditions GRs. Exercising sovereign , Biodiversity Law Viet Nam “ State uniformly manages GRs Vietnamese territory” (Article 55.1). confirms State` representation management GRs national territory behalf Vietnamese people, essentially, assuming guardian position management Vietnamese people’ resources Article 53 2013 Constitution Socialist Republic Viet Nam: “Land, water resources, mineral resources, resourc- es sea airspace, natural resources, property managed invested State public property, owned people, represented uniformly managed State.” exercise representation management role fully, State assigns organizations individuals manage GRs specific rights responsibilities Article 56 Biodiversity Law Article 18 Decree . 65/2010/ND-CP. GR “managers” : 1. Management boards protected areas organizations: management GRs protected areas; 2. Heads biodiversity conservation facilities, scientific research technological development institutions, GR storage preservation establishments manage GRs; 3. Organizations, households individuals assigned manage land, forests water surface manage GRs assigned ; 4. Commune-level People’ Committees: manage GRs localities11 legal doctrine property ownership, rights classified tangible, corporal intangible. case GRs, basis distinction rights physical entity (physical property resource) genetic information resources (intangible property).12 intangible property aspect property represents real resources, legal implications complex. “ material geographic aspects GR pose extraordinary challenge living - ganisms reproduce disperse naturally, irrespec- tive restrictive measures policy makers lay , carrying world quali- ties bioprospectors users seeking rights provider countries seeking control. biological fact compounded elusive nature information valued added: information, 8 InTerface beTween access benefIT sharIng rules bIoTrade derived biological resources, intangible requires special property regime.”13 , concept ownership usual tend distinguish ownership tangible intangible elements GR. complication arise dealing cases access / TK GRs. GRs , law general practice, managed State, specific provision stating TK Viet Nam. words, GR involves tangible intangible property rights belong people Viet Nam, TK purely intangible property belong individual person, communities undetermined owner folk knowledge publicly owned TK. State define rights TK, borne mind holders knowledge possession customary law rights knowledge. ii. Access Genetic Resources Viet Nam Procedures access GRs set Article 57 BL 2008, stipulates key requirements: () register access; (ii) negotiate sign written contracts access benefit-sharing organizations individuals assigned manage GR; (iii) apply licenses access Article 59. Decree . 65/2010/ND-CP details procedural steps required access. include written registration, signing agreement access benefit-sharing GR, submitting application dossier competent national authority, obtaining permit. , provisions provide deadline guidelines relevant documents forms required. provisions Decree . 65/2010/ ND-CP general applied practice meet Protocol requirements legal certainty, clarity transparency domestic access benefit-sharing legislation fair -arbitrary rules procedures accessing GR cost-effective manner reasonable period time. basic steps Decree . 65/2010/ND- CP include: Figure 1: Decree . 65/2010/ND-CP Access GRs procedures STEP 1: Art. 18.2 () 1. Registration writing 2. Approval PPC GRs located Time frame Varies (depending applicant) STEP 2: Art.18.2 () 3. ABS contract signing 4. Relevant Parties: . organization, household, individual assigned manage GRs signs contract . commune-level PPC GRs accessed certifies contract Time frame Undetermined STEP 3: Art. 18.3 () () 5. Submission application dossier license access genetic resources competent agency 6. MONRE grants license access genetic resources species prioritized protection 7. PPC grants remaining licenses Time frame 45 days date receiving complete valid application dossier * case refusal, notice writing applicant stating reason STEP 4: Art.18.3 () /Subject approval Step 3 8. license access genetic resources 9. Commune-level PP genetic specimens surveyed collected 10. Organization individual assigned manage genetic resources accessed - MONRE case license access genetic resources granted PPC Timeframe Undetermined • send license step: applicant granting agency 9vIeT Nam License granting procedures access GRs proven complex, burdensome difficult fulfil practice. : ) distinction accessing GRs -situ ( nature) -situ ( collections); ) distinction accessing GR scientific research commercialization purposes; ) management ABS issues assigned authorities sufficient capacities carry obligations Regulations (.. Provincial Peoples Committees). parallel, provisions competence granting access licenses fully consistent feasible. respect, summary overlaps / inconsistencies authority competencies ministries agencies: ) MONRE MARD: - Article 18.3 Decree . 65/2010/ND-CP stipulates MONRE authority grant permit access genetic resources species prioritized protection Provincial Peoples Committees (PPCs) authority grant permits access genetic resources remaining species. , conflicts MARD’ authority competence Article challenging implementation purposes, : - Species prioritized protection Decree . 160/2013/ND-CP dated Nov 12, 2013 include plant varieties animal breeds, microorganisms fungi management MARD Article 18.2 Decree line Ordinances plant varieties livestock breeds. , Decree . 65/2010/ND-CP, PPC responsible granting access GRs. - Decree . 82/2006/ND-CP dated August 10, 2006 management export, import, -export, introduction sea, transit, breeding, rearing, artificial propagation endangered, precious rare wild fauna flora species, MARD responsible grant license import, export, -export species. Decree . 65/2010/ND-CP, MONRE responsible granting access GR species clear license access GRs ABS regime replaced export license Decree . 82/2006/ ND-CP . - wildlife, competence granting licenses defined, species prioritized protection (excluding plant varieties livestock breeds commercial purposes) falling responsibility MONRE Decree . 160/2013/ND-CP. , Ministry difficulties implementing licensing stipulated protected areas management MARD PPCs. ) MONRE, Departments Natural Resources Environment (DONRE) PPCs: decentralization licensing responsibilities PPC impractical unrealistic. competency granting access licenses remaining GRs assigned PPCs , State’ vertical management hierarchy, MONRE assigned license access GRs. DONRE assigned PPC exercise power licensing access remaining GRs. , capacity DONRE extremely limited management biodiversity general GRs . addition, DONRE full time staff specialized biodiversity possess comprehensive understanding knowledge Biodiversity Law. ). Unclear demarcation management MONRE MOST: cases ABS, access GRs separated TK GR.14 BL 2008 TK copyrights protected State. State encourages supports organizations individuals register TK copyrights.15 , authority management TK copyrights assigned MOST16. cooperation MOST MONRE matter making onerous register TK IPRs facility manage licensing access GRs TK. difficulty addressed copyrights ( similar IP tool) applications dealt MONRE. time granting permit access GRs. specific provision responsibilities MOST , MONRE play crucial role process legal administrative processes country. 10 InTerface beTween access benefIT sharIng rules bIoTrade Article 58 BL 2008 states mandatory requirement ABS contracts include: ) Purpose accessing GR; ii) details GRs accessed volume genetic resources collected; iii ) Place access; iv) Plan access; ) Potential transfer results party; vi) Planned activities & production commercial products GRs; vii) Participants & production commercial products GRs; viii) Place conducting & production commercial products GRs; ix) Sharing benefits State related parties, including benefits intellectual property rights inventions resulting accessed GRs related TK. guidance Article 58, difficult prepare implement ABS contract practice communities local people, GRs suppliers, limited capacity knowledge ABS issues minimal experience negotiating signing contract protecting interests. sample contract practical guidance dealing ABS-related agreements follow national legal requirements ensure fair equal distribution benefits access GRs. BL 2008 provisions trade intermediaries supplying GRs overseas users. Regulations distinguish domestic overseas users . event, distinction users complex practice. globalized setting, companies business entities tend complex elaborate ownership. , national company Viet Nam act supplier raw materials companies undertaking & foreign-owned companies branch offices incorporated Viet Nam. cases potential , differentiation local foreign companies perplexing. noted , licenses application procedures Regulations coming force . , amendment complementary regulations needed overcome abovementioned constraints shortcomings order ensure Protocol requirements legal certainty, clarity transparency, effective fair procedures satisfied. iii. Benefit-sharing Regulations created basic legal framework minimum requirements benefit-sharing mutually agreed terms (MAT) set ABS contract. MAT, Viet Nam’ regulatory regime conforms Nagoya Protocol, stipulates “ Party legislative, administrative policy measures, …” (Article 5.2) requires Parties “establish clear rules procedures requiring establishing mutually agreed terms” (Article 6.3.) setting concrete requirements. spite apparent conformity Protocol, , difficult ensure fair equitable benefit-sharing Viet Nam’ current ABS regulatory regime. loopholes fair equitable benefit-sharing warrant -consideration Regulations creation supplementary regimes address incompatibilities Nagoya Protocol international instruments: numerous omissions Regulations benefit-sharing Articles 58 61 BL 2008, elaborated Article 19 Decree . 65/2010/ND-CP. Article 61 BL 2008, benefits arising access GRs shared parties: 1) State, 2) organizations, households individuals assigned manage accessed GRs ; 3) organizations individuals access licenses GRs (GRs users) related parties determined licenses. provision include indigenous local communities provide TK accessed GR. indigenous local communities “related parties” established Article 59.3 BL 2008. Article 60.2., , recognize TK provider’ rights requiring users: “ share benefits related parties, including distribution intellectual property rights invention results based access GR copyrights TK GR”. problem arises sharing benefits local communities, residents buffer zones protected areas benefits shared primarily order encourage participation conservation sustainable development activities practices. BL 2008 include provisions require inclusion benefit-sharing contracts. fact, Article 55.2 11vIeT Nam Photo credit: ©BIG Viet Nam 12 InTerface beTween access benefIT sharIng rules bIoTrade mentions management board protected areas organization assigned manage GRs areas recipients benefits derived GRs accessed area. local communities reside protected areas, assigned manage GRs area , excluded related benefit sharing provisions law. , buffer zones Vietnamese law perceived “protected areas”17 making difficult find legal basis inclusion ABS regimes GRs protected areas. Decree . 65/2010/ND-CP list benefits shared, including monetary -monetary types (Article 19.1). include: sharing results &, transferring technology, training, strengthening capacities, contributions local economic development sharing profits earned commercialization goods produced accessed GRs, related TK ( ).18 Decree . 65/2010/ND-CP quantify percentage total benefit shared users provider parties. leaves specific amount free negotiation parties, establish 30 cent total benefits received cash.19 face , provision feasible difficult apply practice, determine total benefits place, (.. stage chain) benefits quantified, benefits arising parties shared, time termination sharing benefit occur. Latin America Africa , mandated ( contract-) amount monetary benefits shared ranges, depending case, 1 4 cent commercial sales revenue sales. compared , figure asked Vietnamese law unrealistically high discourage inflow potential businesses investments country. Decree . 65/2010/ND-CP establishes cooperation scheme MONRE, MARD Ministry Finance issue joint-circular guide management shared benefits access GRs, Regulations fail address issue benefits arise GRs accessed entry force Protocol (.. 12 October 2014) / access license agreement meets PIC MAT requirements. provider countries, Vietnamese GRs accessed Viet Nam CBD Regulations entered force. case, benefit sharing apply continuous GRs present ensure benefits received State, contribute national biodiversity conservation. , CBD Protocol rules inexplicit accessed GRs prior entry force, country experiences related legislation deal case. benefit-sharing rules Japanese government stipulating : “ laws administrative measures providing country pre-CBD matters provide , comply .”20 iv. Treatment traditional knowledge Regulations BL 2008 defines TK GR “means knowledge, experience initiatives indigenous local people conservation GRs” (Article 3.28). encourages organizations individuals “invest apply scientific technological advances TK biodiversity conservation sustainable development, guaranteeing lawful rights interests” (Article 5.3). , discussed , provisions ABS agreements actors benefits shared include TK providers. Article 60.2. BL 2008 stipulates benefits shared related parties, including distribution intellectual property rights (IPRs) resulting inventions based accessed TK, covers copyrighted TK, .. benefits shared TK recognized copyrights, , benefit sharing required. , current regime provide IPRs TK. general provision Article 64 stating “ State protects TK copyrights GR encourages supports organizations individuals register TK copyrights GR”. specifies MOST “ assume prime responsibility , coordinate concerned ministries ministerial- level agencies , guiding procedures registration 13vIeT Nam TK copyrights GR.” , MOST issued guiding procedures registration TK copyrights GR provision clarify rights benefits indigenous local communities. registration copyright TK difficult impossible implemented TK protected copyrights, related rights industrial property rights defined place. copyrights, terms general practice, licensing competence assigned Copyright Office, agency Ministry Culture – Information ( Ministry Culture, Sports Tourism). BL 2008 establishing MOST competent agency, creates overlap state management procedures registration TK copyrights making compliance onerous simply unrealistic. Viet Nam member state WIPO WTO member 1995 ASEAN Framework Agreement Intellectual Property Cooperation. country, IPRs regulated chapter Civil Code 2005 - Law Intellectual Property year, Decree . 104/2006/ND-CP Government detailed regulations implement articles Intellectual Property Law, Chapter Plant Variety Rights dated 22 September 2006. regimes, types TK protected intellectual property rights Geographical Indications, Indications Origin “PhuQuoc” fish sauce, “MocChau” green tea, traditional medicines Vietnamese Ginseng Ngoc Linh, patents granted snake bite medicines medical oils. , question owns eventually benefit TK GRs public domain remains unanswered. PIC MAT requirements expected apply GRs, mechanism registration applying IP protection copyright. Potentially, provide national benefits Viet Nam brought India China negotiations Nagoya Protocol- presumption State de facto representative TK public domain. , direction State , fundamental issue ministerial competency relating TK ( GRs) intermittent hurdle parties intend compliant. . Compliance enforcement Compliance enforcement implementation ABS Regulations practices important ensure provisions access fair equitable benefit sharing PIC MAT met. addition providing option acquiring ‘international certificate compliance’ based permits issued competent agency national level, Nagoya Protocol requires member countries effective legal, administrative, policy measures ensure compliance. Article 59 BL 2008 establishes conditions required competent authority grant access license GRs. conditions : () registering government competent agency; signing contract access GRs benefit sharing organizations, ( management genetic resources granted individual signing household); seeking permission access GRs included List endangered, precious rare species prioritized protection21, ( species case allowed State’ competent agency accessed, GRs potentially harmful humans, environment, threaten national security defense public interest). license access GRs include, , information: ) purpose GR; ) GR accessed collection volume; ) location access; ) activities undertaken related GR; ) period reports & results, details production commercial products related accessed GR. Protocol establishes “ permit equivalent issued accordance Article 6, paragraph 3 () Access Benefit-sharing Clearing-House, constitute internationally recognized certificate compliance.”22 , minimum information included internationally recognized certificate compliance. information required certificate23 stipulated BL 2008 Viet Nam . internationally recognized certificate compliance required include : • issuing authority; • issuing date; • unique identification certificate; • provider ( person entity holds 14 InTerface beTween access benefIT sharIng rules bIoTrade grant access genetic resources accordance domestic legislation); • individuals entities granted PIC confirmation PIC obtained granted; • genetic resources (commercial -commercial ) scope contract signed; • conditions party transfer; • confirmed negotiation relevant signatures MATs. , Party Protocol, Viet Nam require access licenses include elements mentioned Article 17.4 Protocol. content required Protocol access license ensures compliance PIC MAT. Articles 59 60 BL 2008, organizations individuals licensed access GRs : ) investigate collect GRs carry activities access licenses; ) refrain Vietnamese territory GRs list banned export national law; ) trade products GRs access licenses ; ) relevant rights licenses contracts access benefit sharing. list GRs banned export regulation Decree . 187/2013/ND-CP dated November 20, 2013 providing detail implementation Vietnamese Commercial Law international sale purchase goods, processing transit agency activities foreign countries. goods banned export relevant GRs : • Precious rare wild animals plants domestic animals plants IA-IB groups Government’ Decree . 32/2006/ ND-CP March 30, 2006, management endangered, precious rare forest plants animals precious rare wild animals plants “Red Book” Viet Nam’ commitment international organizations; • Precious rare aquatic species; • Livestock breeds plant varieties list precious rare livestock breeds plant varieties banned export promulgated MARD conformity 2004 Ordinance Livestock Breeds 2004 Ordinance Plant Varieties.24 time, organizations individuals licensed access GRs obligations: ) adhere provisions licenses access; ) submit reports competent licensing agencies & results commercial production schedule prescribed licenses; ) share benefits related parties, including distribution intellectual property rights invention results based access GR related TK copyrights; ) obligations licenses contracts ABS GRs. BL 2008 leaves space parties negotiate rights obligations ABS licenses contracts. , contents licenses ABS contracts carefully considered cases. contravention obligations relating GR licenses holders occur, Government Viet Nam apply incremental approach imposing sanctions. administrative enforcement Decree . 179/2013/ND- CP dated 14 November 2013 specific provisions applicable ABS violations. Article 46 establishes monetary penalties ranging VND 5 million VND 50 million. regard, offending parties penalized depending circumstances breach ( Fig.2 ): Additional sanctions Figure 2 : • GR ( user access permit) 6 12 months violations Item 2 Article 46; • Confiscating exhibits means administrative violations cases Item 3 4 Article 46. Remedial measures withdraw results arising illegal activities access GR time set competent national authorities included decisions applied administrative sanctions violations. , provisions Decree . 179/2013/ND-CP applied practice due absence specific regulations identify violations. , Decree determine level violation. issues addressed Decree ABS development. Vietnamese Civil Code includes enforcement procedures cases -compliance 15vIeT Nam national laws, provisions effective ABS issues. partly cases violations GRs involve extraterritoriality issues render Vietnamese Civil Code enforceable ( jurisdictions) addition possibility accessed GRs Viet Nam happen Vietnamese territory. Protocol specific strict regulations compliance, national regional laws implement include specific clear regulations enforce maximum level compliance . implementing regulations include, provisions relating foreign laws mechanisms bilateral judicial support cooperation measures reciprocity. , regional cooperation ASEAN reassessed. Protocol requires series national institutions monitoring GRs, enforcement, setting check points, monitoring GRs, establishing national focal points ABS establishing national competent agencies ABS. Article 13.3 Protocol, , stipulates national focal point ABS perform functions national competent agency ABS. Regrettably, Vietnamese regime supposed ensure implementation, compliance enforcement ABS fails . Figure 2. Viet Nam ABS regulations offences sanctions Warning • notification state competent agencies activities exchange, transfer provision GR organizations individuals purposes research, development commercial production • notification process results research, development commercial production, benefits arising development commercial production required VND5,000,000 10,000,000 • - compliance provisions contract access GR benefit sharing • - compliance provisions control investigation & collection GRs organizations individuals licenses access GRs • -registration contract writing ABS GRs organizations, households individuals assigned manage GRs • - implementation procedures certification access GRs ABS contracts competent agencies • Failure report, prescribed law, competent agencies ther esults research, development commercial production schedule stipulated GR` access license • license access GR contents purposes VND10,000,000 30,000,000 • Exchange, transfer provision GRs management assigned organizations individualsis line law VND30,000,000 50,000,000 • Access GR permission State competent agencies 16 InTerface beTween access benefIT sharIng rules bIoTrade addition, enforcement ABS rules consideration Regulations. Article 58.5 BL 2008 states “Disputes complaints access GRs benefit sharing settled Vietnamese law international treaties Socialist Republic Viet Nam party”. Protocol, , encourages providers users GRs TK specific dispute settlement provisions account negotiating MAT provisions. provisions include applicable settlement competence resolution process, applicable law alternative resolution options mediation arbitration. discussed report, provision practical contract. rights GRs suppliers country guaranteed reference general regulations Article 58.5 BL 2008. Adhering Protocol, beneficial national competent agencies, enacting legal texts, specific mention dispute settlement arrangements, applicable law, alternative measures dispute resolution. UNCTAD/BCA/BIG/SECO Viet Nam Stakeholders Consultations Nagoya Protocol, National ABS regime BioTrade, June 2016: Source UNCTAD/BIG Viet Nam (2016) 17vIeT Nam Iv. BIOTRaDe aND ITs DevelOPmeNTs IN vIeT Nam UNCTAD’ BioTrade Initiative supports sustainable development trade investment biological resources line objectives Convention Biological Diversity. establishment partnerships national, regional international programmes, seeks strengthen capacity developing countries enhance production -added products services derived biodiversity domestic international markets. launching 1996 part UNCTAD´ “BioTrade Initiative”, BioTrade demonstrated importance multiple forms conservation sustainable biodiversity ecosystems-oriented businesses. . BioTrade concepts principles Defined “activities collection, production, transformation, commercialization goods services derived native biodiversity, BioTrade implements Principles, respective Criteria environmental, social economic sustainability translate sustainable development goals practical actions. BioTrade Principles : Table 1. BioTrade Principles Criteria (Source: UNCTAD, 2016) Principle Criterion Principle 1 Conservation biodiversity Principle 2 Sustainable biodiversity Principle 3 Fair equitable sharing benefits derived biodiversity Principle 4 Socio-economic sustainability (productive, financial market management) Principle 5 Compliance national international regulations Principle 6 Respect rights actors involved BioTrade activities Principle 7 Clarity land tenure, access natural resources knowledge BioTrade Principles respective Criteria adopted Initiative national programmes extensive consultations 2004. , Principles Criteria guided activities BioTrade Initiative, BioTrade national programmes related activities 1999. addition, BioTrade programmes partners implementing activities approaches: • chain approach –refers coordinated relationship established actors chain. aim alliances strengthen chain sharing risks benefits. • Adaptive management approach – implementation corrective measures systems ongoing basis, based process continued monitoring. • Ecosystem approach – based holistic vision integrates ecological social issues, interactions processes involved productive system. • Sustainable livelihoods approach - strengthens human, social, physical, financial natural capital people communities BioTrade contributes. important note set BioTrade Principles Criteria adopted UNCTAD national programmes 200425 basis minimum criteria met. National programmes adaptations required national contexts. addition, Union Ethical BioTrade (UEBT) developed, global consultation process, specific verification framework measure compliance members natural ingredients industry UNCTAD BioTrade Principles Criteria. , BioTrade Principles Criteria applied institutional (.. national programmes) supply-chain actors’ level (.. business producer association). launching 1996, BioTrade Initiative benefited 20 developing countries Africa, Asia (including Viet Nam) Latin America. BioTrade covers sectors personal care, food, natural medicine, fashion, ornamental flora fauna, handicrafts, textiles natural fibers, sustainable tourism ( Table 2). Sales revenues BioTrade beneficiary organizations, working small medium-sized enterprises multinational companies, amounted US$5.2 billion 2012 – compared US$2.3 billion 2010. 18 InTerface beTween access benefIT sharIng rules bIoTrade . BioTrade Viet Nam 2003, stakeholders Viet Nam collaborating BioTrade view advance objectives policies created CBD. 2003 2010, BioTrade Initiative technical assistance focusing supporting partners develop specific sectors biodiversity products services broad range trade promotion tools. collaboration Swiss Import Promotion Programme (SIPPO), Programme supported chains food pharmaceutical ingredients. project period, Programme selected companies export potential guided development specific work plans promote exportation BioTrade products. specific technical assistance selected companies including: 1) facilitation market access (.. trade fair participation, market studies, direct contacts importers); 2) advice trade- related legal issues (.. intellectual property rights geographical indications); 3) advice sustainable Overview BioTrade Initiative BioTrade Initiative implemented phases: 1. phase’ implementation started July 2003. facilitated sustainable trade biodiver- sity products services innovative collaborative arrangements supported developing countries accessing markets, diversifying production base sustainable manner. 2. phase implementation commenced 2009 focused creating policy environment promoted trade investment sustainable . Initiative helped create opportunities leading jobs, incomes, export diversification rural development populations, small medium enterprises multinational organizations engaged sector. , enhanced livelihoods rural local communities developing countries generating economic environmental social benefits. 3. current phase implementation started July 2015. objective focuses main- streaming BioTrade relevant multilateral, regional national processes, strengthening policy regulatory environment BioTrade sectors. regard, Initiative, parallel mainstreaming global implementation activities, focusing tailor- technical advice issues : • Compiling analyzing existing -Tariff Measures (NTMs) BioTrade sectors products key import export markets; • Assessing applicability potential implementation “track trace” traceability systems targeted CITES species; • Mapping providing recommendations BioTrade-friendly implementation Nagoya Protocol Table 2. BioTrade sectors prioritized countries partners Africa, Asia Latin America (Source: UNCTAD, 2016) Sector Type product Personal care Essential oils, natural dyes, soaps, cream butters, cosmetics, . Pharmaceutical (Phyto-pharma) Extracts, capsules infusions medicinal plants, . Food fruits pulps, juices, jams, cookies sauces, spices, nuts, tuberous snacks food supplements, meat caiman fish, . Fashion Skin belts, purses Caiman yacare, . Ornamental flora fauna Heliconias, orchids, butterflies, . Handicrafts Jewelry, decoration objects based native species, garments, . Textiles natural fibers Furniture decoration objects based natural fibers, purses, shoes, . Sustainable tourism Ecotourism, nature-based tourism, community-based tourism, . 19vIeT Nam practices (.. sustainable protocols, management plans, certification schemes); 4) providing advice product development quality improvement (.. & partnerships, quality systems, ). BioTrade Programme established partnerships national organisations institutions Viet Nam aim enhancing capacity companies produce -added products services derived biodiversity enable sustainably manage natural resources products derived . Finally, collaboration national counterparts ( government ministries, -governmental organizations, trade promotion organizations, national service providers), Programme carried sector assessment food pharmaceutical ingredients. included identification opportunities, barriers, existing institutional capacities. Based sector assessment, national partners designed sector strategy development trade potential food pharmaceutical ingredients. 2012 2014, Swiss government, State Secretariats Economic Affairs (SECO) supported Viet Nam “ development chains natural ingredient products” project implemented Helvetas budget US$ 1,000,000. implementing partner, National Institution Medicinal Materials (NIMM), research institute Ministry Health, project objective establish international recognition Viet Nam supplier choice biodiversity derived natural ingredient products – sourced, processed traded compliance CBD objectives BioTrade Principles Criteria. , project: 1. Initiated partnership group interested innovative phyto-pharmaceutical companies committed high quality products support BioTrade approach. project intervention implemented companies natural ingredient chains farmers collectors communities. 2. Encouraged chain actors (.. farmers, collectors company staff) achieve confidence applying sustainable standards (..: Ethical BioTrade, GACP) sourcing practices. 3. Established verification system Ethical BioTrade standard Viet Nam. QUACERT, government certification body Photo 5: BioTrade Trade Fair. Source: Son Ta Minh / BIG Viet Nam (2016) 20 InTerface beTween access benefIT sharIng rules bIoTrade internationally accredited MOST, accepted appointed Ethical BioTrade standard audito. date accreditation, organizations UEBT members, including trading members affiliated member. 4. Audited certified compliance BioTrade chains GACP standard MOH. BioTrade project collaborated MOH’ institutions facilitate support GACP standard implementation. chain service providers identified capacities boosted encouraging active participation project activities. period, BioTrade chains audited certified GACP MOH fifteen BioTrade chains companies audited certified. long delay ( 2009), Circular 14/2009/TT-BYT relating GACP implementation phyto-pharmaceutical sectors finally disseminated. 5. Raised awareness ABS natural ingredient Table 3: Partnerships actors involved BioTrade activities Natural Ingredient Type Source Product Effect Location Processing Company Ampelopsis Wild Collection Ampelop Treatment Gastric Ulcer Muong Hum, Bat Xat, Lao Cai Traphaco . Jsc traphaco..vn Polysias Fructicosa Cultivation Cebration Treatment insufficient cerebral circulation Hai Hau Nghia Hung, Namh Dinh Traphaco . Jsc traphaco..vn Gemnema Sylvestre Cultivation Diabetna Treatment Diabetes Hai Loc, Hai Hau, Nam Dinh Nam Duoc . Jsc. namduoc.vn Phyllantus amarus Cultivation Phyllantus herbal tea Improve symptoms hepatitis liver function Tuy Hoa, Phu Yen Vietroselle . . vietroselle. Plectranthus amboinicus Cultivation Eugica Lozenge Improve cough upper respiratory disorders Tri Ton, Giang DHG Nature . . dhgpharma..vn Source: Ta Minh Son (2016) Figure 3. Results chain “Scaling Ethical BioTrade activities phyto-pharmaceutical sector Viet Nam’” Project / Source: BIG Viet Nam (2016) 21vIeT Nam chains stakeholders partners Viet Nam project partnership BioTrade BCA – MONRE. set ABS training document ABS training manual developed 2014 ABS training workshop organized BioTrade project ABS experts UEBT. workshop, emerged natural ingredient chain stakeholders indirect knowledge BioTrade existing GACP ABS approaches Viet Nam. 6. Organized workshops provide fundamental understanding BioTrade Concept Principles Criteria practical implications actors chains. workshop topics included: Good Agricultural Wild Collection Practice Medicinal Aromatic (Culinary) plants World Health Organization (GACP- WHO standard) ABS chain stakeholders partners. 7. Participated project activities relevant government institutions Ministry Health (MOH); Ministry Industry Trade (MOIT); Ministry Natural Resources Environment (MONRE), Ministry Agriculture Rural Development (MARD); 8. Created BioTrade Interest Group Viet Nam (BIG Viet Nam). BIG Viet Nam established based close collaboration HELVETAS Viet Nam Viet Nam Material Medical Society (VIMAMES) long term vision developing BioTrade activities Viet Nam. BIG Viet Nam acts  private technical BioTrade focal point, attract support companies BioTrade activities Viet Nam. 26 9. BioTrade chains project “ development chains natural ingredient products” support SECO implemented Helvetas Viet Nam. mid-2015 BTFP III project duration, UNCTAD continued support BioTrade activities Viet Nam. providing targeted technical assistance key areas interest Viet Nam, : () Identification mapping relevant NTMs hinder export BioTrade products biodiversity-based ; (ii) development traceability system Mekong region CITES-listed -timber plant species ( implemented Viet Nam); (iii) identification enhancement understanding Photo 6. Hai Toan farmer group meeting / Source: BIG Viet Nam (2016) 22 InTerface beTween access benefIT sharIng rules bIoTrade intersection ABS Nagoya Protocol BioTrade affects Viet Nam’ ABS BioTrade practices. Initiative works Vietnamese Government key BioTrade partners provide solutions identified challenges , determine steps action plan , including assessment current situation ABS BioTrade Viet Nam, raising awareness interlinkages Nagoya Protocol, ABS BioTrade country provision clear recommendations BioTrade- friendly implementation Nagoya Protocol ABS systems Viet Nam. . Steps 2016 2020, European Commission set EUR 2,063,000 fund project, “Scaling Ethical BioTrade activities phyto- pharmaceutical sector Viet Nam”. project implemented HELVETAS Viet Nam Center Rural Economic Development (CRED). objective establish Viet Nam internationally recognized supplier natural ingredients phyto-pharmaceutical cosmetic industries sourced processed BioTrade Principles Criteria vis--vis Ethical BioTrade standards. addition, project include training activities ABS mechanisms actors chain. project ( launched 8 June 2016), twelve Vietnamese phyto- pharmaceutical enterprises expected supply national international markets ethical BioTrade products, expand BioTrade business, reduce ecological footprint improve conditions workplace. 5,000 small holder farmers expected increase livelihoods ethical BioTrade chains start steadily supply produce ethical BioTrade enterprises. , tens millions domestic consumers expected familiar BioTrade concept benefits, , increasing demand BioTrade products Viet Nam. activities, essence, build conducive environment create enabling policy regulatory framework BioTrade initiatives stimulate growth phyto-pharmaceutical sector Viet Nam sustainably. , SECO supporting project, “Development BioTrade activities Natural ingredient sector Viet Nam”. regional project includes Viet Nam, Laos Myanmar. initial results previous project phase Viet Nam proposed disseminated replicated ASEAN countries purpose ascertaining impacts BioTrade natural ingredient sector regionally. HELVETAS Viet Nam cooperated BIG Viet Nam develop submit proposal SECO project’ implementation launching 2016. . Perception BioTrade Viet Nam review BioTrade practices Viet Nam, government agencies, public authorities ( direct mandate BioTrade -chain activities), insufficient awareness BioTrade ongoing activities country. results institutional assessment BioTrade Viet Nam showed complexity management natural ingredients country. government institution officially appointed focal point BioTrade activities Viet Nam , inter-ministries’ coordination considered weak supporting BioTrade activities. result, BioTrade Initiative collaborate individual ministries BioTrade-related issues. Representatives ministries invited participate relevant project activities facilitate policy dialogues - , preliminary interest create national programme government remains uncertain. actors selected chains, opportunities BioTrade actors communicate consumers. Ideally, national project’ objective raise awareness target group project intervention firstly, , concepts BioTrade relevant biodiversity definition complicated stakeholders Vietnam. project stakeholders partners working knowledge interest BioTrade concepts related benefits, synergies stakeholders, BioTrade companies key role communicate BioTrade concepts consumers - direct links consumer achieved. 23vIeT Nam . BioTrade numbers BioTrade Viet Nam focuses chains collection, cultivation, processing commercialization medicinal aromatic plants. started pioneer phyto – pharmaceutical companies, sales contribution domestic herbal medicines market 80 cent. sales BioTrade Viet Nam estimated US$ 100 million herbal medicines dietary supplements. majority products related medicinal aromatic plant formulations, functional foods derived products. sales place domestic market exports slowly increasing. , domestic market shows promising growth rates 30 cent annually medicinal plants boost BioTrade. , great potential expansion, phyto-pharmaceutical companies focus domestic competition set eyes international markets. BioTrade companies benefits arising BioTrade terms sales terms preparation international competition domestic market, foreign companies easily access domestic market free trade agreements force. goodwill increases invest conservation engagement local communities. , 10:1 positive price ratio producing medicinal plants vis--vis rice countryside Viet Nam. interesting incentive farmers engage BioTrade activities. addition, cooperative groups farmers ( incomes increased 10 cent participated project) set . scientific development medicinal plants attracting interest farmers, collectors local authorities increasingly profitable, improve livelihoods communities aid climate change adaptation. . BioTrade challenges additional actions Viet Nam Illegal trade wild collected medicinal plants China popular Viet Nam main reason species -exploitation. raising awareness, providing local communities alternatives livelihood plays important role. Support local collectors develop -situ cultivation medicinal plants transferring relevant research results accordance Ethical BioTrade standards, provision technical support facilitation business linkage private sector considered effective sustainable interventions relieve pressure overexploitation species wild.27 Raising BioTrade awareness consumers government authorities challenging task Viet Nam. Working government authorities BioTrade- friendly policy regulatory environment, context clear ministerial mandate natural ingredient development weak inter-ministry coordination requires long-term intervention. , approach based cooperation relevant local authorities chain development effective efficient intervention, facilitating supporting inter-ministerial cooperation central level. business context changing quickly, BioTrade companies expect synergy companies, government authorities BioTrade projects raise awareness consumers BioTrade benefits - eventually, increasing demand BioTrade products. response consumers motivate BioTrade companies commit adopting activities concepts principles BioTrade. lack market information chain actors domestic international markets. scope government trade promotion agency (VIETRADE) broad strategy exporting BioTrade products. emerging competent BioTrade focal point closely collaborate VIETRADE include BioTrade products commodity National Export Strategy. possibility private technical BioTrade focal point Viet Nam (BIG Viet Nam) “newborn” institution potential capacity ambitious objectives. , time capacity building provide effective efficient services BioTrade chains actors. , governmental BioTrade focal point discussed appointed, , Biodiversity Conservation Agency (VEA, MONRE) played role contact point connecting BioTrade issues ABS regime revision process. 24 InTerface beTween access benefIT sharIng rules bIoTrade Research centres, -situ collections universities point BioTrade plants animals, insects microorganisms huge potential areas. MOIT BioTrade “native” species “domesticated” varieties developed features. Viet Nam developing national database GRs.28 Photo credit: ©Fotolia: Banana Republic 25vIeT Nam . aCCess aND BeNefIT shaRINg RUles aND BIOTRaDe aPPROaCh: aN OveRvIew . BioTrade Viet Nam’ laws biodiversity BL 2008 specifically refer BioTrade set general principles access benefit-sharing regimes. serves framework regulations determine applicability sectors circumstances. specific ABS provisions Regulations enacted, opportunities amendment / considerations supplementary laws regulations. , Government Viet Nam, UNCTAD key BioTrade actors country discussing development ABS implementing decree account unique role BioTrade application BL 2008 ABS rules enshrined CBD. addition, circular development provide details implementation ABS provisions BioTrade practitioners country. comparing national ABS provisions BioTrade Principles Criteria related ABS, report ascertains : Scope Vietnamese ABS laws include provisions benefit sharing narrower scope BioTrade` Criteria. Criterion 3.1, BioTrade requires benefit sharing involves, , actors chain. contrast, national ABS laws, sharing benefits obtained access GRs takes place contract negotiated, mutually agreed signed parties.29 Access legal provisions access GRs Viet Nam correspond provisions BioTrade’ Principle 7, Criteria 7.2 7.3 access. criteria require PIC based CBD provisions. BL 2008 developed principle CBD account. Vietnamese BioTrade companies advantage implementing provisions law. Criterion 7.3 PIC TK, lack clear provisions TK national laws. regulation ABS provision TK respect, big challenge Viet Nam. Benefit-sharing requirements sharing benefits explicit conditions BioTrade` Criterion 3.2 mentioned Vietnamese ABS laws. situation Criterion 3.3 BioTrade, requires “information knowledge target markets shared actors”. article 19 Decree . 65/2010/ND-CP includes list benefits shared, include key point “information knowledge target markets” foreseen BioTrade` Criterion 3.2. regard, voluntary regime, BioTrade , vehicle effective benefit sharing sustainable biodiversity Viet Nam . state affairs positively considered national authorities reflected ABS regulations practices. moment, benefit evident sales impacts BioTrade creation chains. . Synergies, implementation lessons learned potential links overlaps scope Nagoya ABS requirements BioTrade Principles Criteria, : Principle 3 benefit sharing, Principle 5 compliance Principle 7 clarity rights parties. essence, compliant BioTrade companies, partly abiding key Nagoya Protocol principles provisions. Additionally, organizations/ companies comply ABS regular basis, satisfy basic BioTrade Principles, Principles 3 7. intersection possibilities ABS BioTrade figure: BioTrade activities fall scope Nagoya Protocol national ABS frameworks involving access / GRs, biochemical TK. examples BioTrade activities potentially fall scope Nagoya Protocol include. 1. Accessing undertaking & extracts medicinal plants, identifying active compound plant microorganism; 26 InTerface beTween access benefIT sharIng rules bIoTrade Table 4. ABS provisions vis--vis BioTrade Principles Criteria (Source: UNCTAD, 2016) Principles Criterion 3. BioTrade activities involve commercialization genetic resources linked benefit sharing objective CBD. Equitable benefit sharing arises context sustainable biodiversity. Benefit-sharing important activities dealing biological resources, form vast majority BioTrade activities. 3.1 organization interact involve actors chain, . reduces asymmetries ensures negotiation fair equitable monetary -monetary benefits, weakest links chain. 3.2 Income generated chain, contributing position -added products market, transparent conditions, condition benefit sharing. 3.3 Information knowledge target markets shared actors, enable access market opportunities. 5. Compliance national international regulations Compliance relevant legislation regulations fundamental legal legitimacy organization efforts obtain market access products. levels implementation principle: () international level, conventions agreements , part, guides principles good practices. observed applied ; (ii) regional national levels, existing regulations complied 5.1 organization aware comply national local legislation related sustainable trade products services derived biodiversity (wildlife management, labour regulations, .) national regulation, including labour regulations, applicable BioTrade projects strictly complied . 5.2 organization aware comply international regional legislation related sustainable trade products services derived biodiversity includes, limited , Convention Biological Diversity, Convention International Trade Endangered Species Wild Fauna Flora, conventions International Labour Organization, rules World Trade Organization Andean Community, regulations. 7. Clarity rights access important. long-term investments management measures implemented ensure sustainability. time, clarity issue means responsibilities actor established. 7.2 Access biological genetic resources sustainable subject prior informed consent. Convention Biological Diversity requires access distribution benefits relation genetic resources. cases, consent relevant national authorities provider country obtained. cases regulated national legislation, line Convention Biological Diversity. 7.3 Access traditional knowledge granted prior informed consent verified. traditional knowledge , organization follow regulations established procedures ensure rights actors providing knowledge recognized, including prior informed consent relevant stakeholders, indigenous local communities, subject domestic law. Traditional knowledge valued rewarded manner. 27vIeT Nam 2. Obtaining TK indigenous community orient guide initial phases & processes (.. , characteristics, dosages medicinal plants). , case Traphaco Sapa;31 3. Undertaking & specific, isolated compounds natural extracts plants; 4. Undertaking research extraction processes plant extract, leading potential compositional variations; 5. Plant animal breeding biotechnology; 6. biotechnology process enzymes lyse plant cells separating hydrophilic lipophilic fractions kernels, leaves, seeds; 7. action specific enzymes (.. elongase, desaturase) transform naturally occurring composition vegetable oil give fatty acid profile; 8. Insect reproduction genetic modification pest control; 9. Extraction processes analysis compositions; 10. Derivative: Triglycerides (vegetable oils Argan oil, Marula oil, .); Phospholipids cell membranes (fractions vegetable oils); Saps (Aloe Vera juice ); Secondary metabolites (.. Polyphenols).32 . Differentiating ABS BioTrade scope BioTrade larger Nagoya Protocol. Nagoya Protocol references & GRs, ‘biochemical’ composition GRs. national regional implementing regulations include scope ‘derivatives’. BioTrade, , covers “production -added goods services derived biodiversity”. means scope BioTrade includes genetic resources derivatives species ecosystem services. Figure 4. BioTrade Principles Criteria ABS Standards 30 Source: Oliva MJ (2012). Equitable Sharing Benefits Ethical BioTrade BioTrade Biodiversity-based activities conducted criteria environmental, social economic sustainability ABS Applicable biodiversity-based activities involve utilization (& + commercialisation) genetic resources Biodiverity-based activities Collection, production , transformation, commercialization good services derived biodiversity 28 InTerface beTween access benefIT sharIng rules bIoTrade scope ABS BL 2008 Viet Nam broader scope Nagoya Protocol, definition GR includes “ species genetic specimens nature, conservation areas, biodiversity conservation facilities scientific research technological development institutions nature”.33This broad scope includes biological resources genetic resources. Vietnamese Law, , definition “utilization” GR reference “derivatives”. nature, BioTrade voluntary system, ABS mandatory . Companies choose BioTrade member / apply principles. companies, projects “activities collection/production, transformation, commercialization goods services derived native biodiversity” satisfy “criteria environmental, social economic sustainability” register recognized certified Bio Trade programmes. , company activities fall ABS rules (access GR utilization biochemical & commercialization products TK), responsibilities/liabilities comply ABS regulations international national laws obliging comply ABS regimes. subjects involved, Bio Trade includes actors chain, including indigenous people, local communities, farmers, raw material providers, intermediaries, transporter, researchers, professors, traders, . , ABS provisions Nagoya Protocol mentions basically: providers, users, indigenous local communities national competent authorities. . Implementing BioTrade Principles Vietnamese ABS law practice, lessons learned implementation BioTrade project Viet Nam. implementation BioTrade` ABS-related principles criteria voluntary. , Principle 3 BioTrade benefit sharing continuously applied Viet Nam. benefits shared chain, consideration Criteria set Principle 3, arguably wider scope provisions benefit sharing BL 2008 covers access GRs TK ABS agreements. stark contrast, Principle 7 BioTrade clarity rights access applied. procedures obtaining permit access GR Regulations omitted. proved disabling circumstance BioTrade project Vietnam (implemented Helvetas) reasons : - 2014, Vietnamese ABS laws access meet requirement “clarity” Principle 7. uncertainty BioTrade practitioners relating BL 2008 challenging impossible comply BioTrade` Principle 7 relating ABS; - legal requirements regulation TK protection; - BioTrade’ Criteria 7.2, requires PIC access TK, verified . case Traphaco SaPa, medicinal herb TK basis & natural ingredient gastric ulcer stomach ache. good opportunity knowledge holders benefit TK, , considered relevant TK exists public domain Viet Nam, identification specific rights owners potential beneficiaries proved difficult. issue complicated fact management database GRs TK easier identify holders (individuals, communities, national public) existed. legal basis pursuing PIC access TK GRs Regulations provision procedures PIC access TK GRs. , Regulations promulgated entry force Nagoya Protocol, Viet Nam party . , revision adapt provisions Nagoya Protocol place, proposed. , urgent improve legal provisions access GRS explicit procedures PIC supplement obtain PIC access TK GRs ensure “clarity” ( foreseen, , BioTrade’ Principle 7), ‘transparency’ ‘certainty’ provisions foreseen BioTrade` Principle 7 Nagoya Protocol. 29vIeT Nam companies BioTrade Project pay attention comply PIC requirements Principle 7 access GRs TK proceed BioTrade activities fall scope ABS rules. requirements implemented companies entities involved activities conducting & genetic / biochemical composition GRs, including application biotechnology commercialization products TK. , ABS regulations apply PIC activities trade commodities direct sale biological resources (.. dried fruits seeds human consumption) processed foods, (.. bottled juices, food preparations), , PIC required cases. selected companies BioTrade project implemented Helvetas 2012 2014, ( companies passed stages & activities carrying commercialization products), adaptive facilitated procedures comply PIC obtain ABS license access. Examples Helvetas experience , case Gymnemasylvestre NamDuoc company, stages & undertaken product (Diabetna) introduced commercialized;34or TK case Ampelopsis Traphaco company,35 case Polysias  (product Traphaco’ Cebraton).36 remarkable product activities BioTrade project Helvetas collaboration Biodiversity Conservation Agency MONRE manual guiding ABS implementation recognition importance ABS BioTrade projects Viet Nam published 2014. document basic knowledge ABS trainers trainees involved BioTrade activities. addressed officials competent authorities, GR suppliers, communities, GRs users, . guide comprised main chapters provide information biodiversity Viet Nam, interpretation ABS-related concepts, analysis description ABS regime Viet Nam, role parties ABS- related laws provisions. guide includes section ‘Questions Answers’ covers frequent questions arise ABS practice Viet Nam addition summary analysis typical ABS cases country years. cases investigated channels sources, including surveys field trips reflective ABS practice Viet Nam, development trends, lessons learned, models considered mainstreaming purposes. 30 InTerface beTween access benefIT sharIng rules bIoTrade vI. POlICy aND RegUlaTORy OPTIONs aND ReCOmmeNDaTIONs apparent challenges relating implementing ABS regimes complemented BioTrade activities current administrative legislative climate Viet Nam, -evident country bursting potential promoting ABS-BioTrade linked undertakings. Surely, issues lack resources capacities, struggles institutional mechanisms policies obvious deterrents advancement CBD objectives. , robust synergies mutual supportiveness BioTrade ABS rules mega- diverse biodiversity Viet Nam rising key player promotion ABS Asia . achieve , report presents options recommendations consideration policymakers, regulators stakeholders Viet Nam: Improving regulatory framework () Integrating BioTrade provisions ABS Regulations: Vietnamese Government planning revise BL 2008. good opportunity amend provisions ABS meet legal certainty, transparency clarity requirements Nagoya Protocol demands actual practice ABS activities Viet Nam, BioTrade activities. legislative amendment , BioTrade perspective, ensure clarity certainty scope implementation enhance compliance enforcement checkpoints. regime benefit sharing clearer easier comply provide clarity object scope define type (.. definition & biotechnology type &) triggers ABS consideration. amendment general declaration complying Protocol rules concretized practical implementation guidelines provisions. ABS focal points competent authorities ready adapt brought Protocol understand recognize contribution BioTrade implementation ABS provisions Principles Criteria. addition, assignments demarcation ministries clarified ensure effective coordination key players BioTrade. amendment provisions MAT based guidance Nagoya Protocol drafted ensure practical feasibility. tools methods compliance enforcement set , including internationally recognized certificate compliance, check points sanctions. CBD’ Clearing House Mechanism notified relevant information ABS systems, regulations permits. Eventually, creation sound effective ABS legal framework facilitate implementation BioTrade Principles Criteria. (ii) Integrating BioTrade provisions Decree ABS parallel development report, BCA UNCTAD working draft BioTrade-related provisions Decree ABS Government Viet Nam developing. BioTrade included draft Decree salient provisions : 1. Definition BioTrade Article 3 - Interpretation terms: “BioTrade means activities collection, production, transformation, commercialization goods services derived native biodiversity criteria environmental, social economic sustainability.” 2. simplified procedure access genetic resources traditional knowledge BioTrade cases: “Access genetic resources, biochemical derivatives undertaken companies Biotrade Programmes, satisfy principles criteria, conditions sustainable BioTrade”. “ time limit assess dossiers application Clause1 Article, forty- (45) working days day receiving suf- ficient dossier.” noted period assessment foreseen dossiers application longer. regard, time frame (45 working days) time required dossiers filed commercial applications -BioTrade companies institutions ( 90 working days). addition, 31vIeT Nam relevant ministries mandated mitigate procedural administrative issues dealing BioTrade applications manner: “ Ministry Natural Resources Environment takes prime responsibility coordination Ministry Industry Trade, Ministry Health provide detail principles, criteria - ditions sustainable BioTrade related provisions.” Requiring users share 30 cent benefits, stipulated current ABS national regulation, feasible. , Decree provide minimum mandatory share 1 cent benefits shared, leave actual exact percentage negotiated actors MAT. , Decree demand minimum benefits shared, cap maximum leave parties negotiate. , benefit shared application BioTrade principles recognized ABS system competent authorities. include -monetary benefits shared BioTrade, cases commercialization involved stage production process final. (iii) Circular detailed guidance implementation ABS BioTrade projects activities. provisions draft Decree mentioned open opportunity develop Circular provide -detail guidance implementation ABS BioTrade projects activities. issues considered development promulgation Circular: • Clarification scope regulation BioTrade projects, , detailed definitions key terms utilization GRs, & derivatives; • Incentives facilitate compliance ABS rules regulations BioTrade projects businesses; • Detailed simplified administrative procedures BioTrade projects mentioned Decree ABS, including checklists activities documents. • Clarification rights obligations respective actors involved ABS BioTrade projects activities; • Recognition type PIC benefit sharing obtained BioTrade part substitute PIC benefit sharing ABS rules regulations; • Institutional organization implement ABS BioTrade projects businesses assignment national focal point BioTrade Government, , BCA VEA MONRE public-private partnership model; • Introduction “regularization legal restoration” clause BioTrade companies accessed GRs, biochemical / derivatives subscribe benefit sharing agreements regulations obtain ABS contracts permits. recommendations justified fact BioTrade companies regularly audited verify compliance BioTrade principles standards include ABS provisions. , fast track provision access permits licenses boost interest, activities investment BioTrade sector Viet Nam, internationally sustainable practices sourcing products biodiversity. fast track procedure lighten administrative burden governmental agency charge ABS processes. addition, benefits shared chain BioTrade businesses mandatory due nature BioTrade de facto sharing benefits foreseen ABS regulations37 Raising awareness capacity building BioTrade ABS concepts Viet Nam creates great opportunity awareness raising capacity building stakeholders country. ways effectively: () joint effort BioTrade Biodiversity Conservation Agency’ activities/projects (ii) private technical BioTrade focal point Viet Nam, BIG Viet Nam include ABS main communication content private sectors consumers (iii) , BCA (VEA, MONRE) mention BioTrade sustainable sourcing practice, ABS key aspects. , BCA continue work raising awareness national governmental level relevant agencies institutions, (iv) targeted substantial impact, partnerships actors consolidated 32 InTerface beTween access benefIT sharIng rules bIoTrade “-minded” entities Helvetas, raise awareness build capacities chains stakeholders partners view encourage actors include ABS provisions contracts. CBD, UNCTAD, UEBT, Helvetas, GIZ relevant organizations’ publications related ABS BioTrade updated revised promote awareness BioTrade ABS. Training workshops ( UNCTAD` workshop “Addressing intersection Nagoya Protocol, ABS BioTrade” organized jointly BCA, Helvetas Viet Nam BIG Viet Nam 27-29 June 2016) continue organized. relevant events raise awareness BioTrade ABS issues. addition, international cooperation public– private partnership ABS strengthened capacity building ABS implementation BioTrade promotion. Helvetas, BCA relevant Ministries cooperate develop ‘National Programme BioTrade Development’. programme public-private partnership initiative duplicate proven effective models mainstream awareness raising levels. Crucially, Biodiversity Conservation Agency (BCA) MONRE officially appointed Governmental Focal point BioTrade Viet Nam. BCA promote BioTrade development policy legislation BioTrade, facilitate related administrative procedures related BioTrade ABS, coordinate BioTrade-involved Ministries, agencies, PPCs private BioTrade focal points BioTrade actors implement “National Program BioTrade Development”. capacity building BCA’ ABS implementation nexus context BL 2008 revision, Decree ABS development, potential national programme BioTrade development, Circular guiding implementation ABS BioTrade projects activities. BCA, BIG UNCTAD continue collaborating interim, prepare guidelines implementation ABS Decree relation BioTrade. report prepared parallel draft Decree order ready time implementation starts. Equally, chain actors BIG Viet Nam investigate cooperation opportunities communities, domestic international & Photo 8: Participants UNCTAD` workshop “Addressing intersection Nagoya Protocol, ABS BioTrade” (June 2016). Source: UNCTAD BIG Viet NAm (2016). 33vIeT Nam institutions companies develop native medicinal plants. actors focus working natural ingredients mutual interrelationships benefit actor’ BioTrade experience positive dealings bring practical ABS cases valuable sources learning cooperative practicing ABS rules BioTrade principles Criteria. Finally, implementation Principle 7 Criteria access biological GRs sustainable subject PIC government. , companies Helvetas BioTrade Project phase 1 start procedures obtain PIC license access relevant GRs procedure Regulations engaged &, including biotechnology. National database facilitate ABS implementation, promote BioTrade development, put practice Nagoya Protocol requirements legal certainty, clarity transparency access GRs TK, national database access policy management listing endemic species, GRs TK developed. effective mechanism information GRs, TK ABS Viet Nam easily accessible format readily disseminated relevant parties practice BioTrade standards / required comply ABS regime Viet Nam. purpose confidentiality draft Decree ABS, access permits required domestic companies purposes scientific research. , change ( engaging commercialization research outputs) GRs intention , user, BioTrade entity , required permit license competent authority access GR purpose. avoidance doubt, access rule imposed domestic users. Foreign users required procure access permits times purpose (.. commercial scientific). complexity current structures companies business entities, working effective system classification domestic foreign users lighten heavier load ABS compliance good faith users. , enhancing financial technical resources important realize common ABS BioTrade targets. resources State’ budget BioTrade actors process ABS implementation. respect, Decree include provisions payment application fees access requests. fees minimal, fair -arbitrary consideration size entity accessing GRs extent access GRs required. 34 InTerface beTween access benefIT sharIng rules bIoTrade glOssaRy Access genetic resources benefit sharing (ABS) defines genetic resources accessed benefits resulting utilization shared users, providers related stake-holders. BioTrade defined UNCTAD, means “activities collection, production, transformation, commercialization goods services derived native biodiversity (genetic resources, species ecosystems) criteria environmental, social economic sustainability”. Biotechnology, pursuant Article 2 CBD, means technological application biological systems, living organisms, derivatives thereof, modify products processes specific . Biodiversity Law 2008 biodiversity conservation sustainable development; rights obligations organizations, households individuals biodiversity conservation sustainable development. Research experimental development (&) tend comprise creative systematic work undertaken order increase stock knowledge – including knowledge humankind, culture society – devise applications knowledge38 principle, information knowledge establish resources assessment management ..: activity generates information understand GR / biochemical composition. Traditional Knowledge Genetic Resources defined BL 2008 “means knowledge, experience initiatives indigenous local people conservation GRs”. Utilization genetic resources means conduct research development genetic / biochemical composition genetic resources, including application biotechnology defined Article 2 Convention. chain approach refers coordinated relationship established actors chain. aim alliances strengthen chain sharing risks benefits. 35vIeT Nam aNNex SUMMARY OF ABS APPLICATIONS, UNDER THE BIODIVERSITY CONSERVATION AGENCY GUIDANCE (BCA-MONRE) 1 GRs Access Applicant HANOI NATIONAL UNIVERSITY OF EDUCATION AND JAPANESE INSTITUTE Description GR 1. Specimen: Surbioidei Gobioidei, -gobioid fish species 2. Purpose access: Study sympatric fish communities, scientific research taxonomy, life history population genetics gobies Vietnam 3. Place access: - Hoa Vang Lien Chieu district, Da Nang Tien Yen river, Quang Ninh. 4. Period access: 23 February – 5 March, 2016 5. Terms agreement: - collected samples identified inventory, deposited institutions research museum display - species subjected molecular work ( Japan institute) 6. Benefit sharing agreement: - Funds undertake research - Provision equipment research, relevant training (Viet Nam) country (Japan) - Coordinate relevant universities staff Japan Notes (Guidance BCA) Request provision details MOU institutions issues: - Publication research result; - Application collected genetic resources; - Intellectual property rights research results; - Provisions case transfer research result party; - Storage conservation specimen, research product related information. case potential commercialization, request contact MONRE guidance satisfy national legislation principles Nagoya Protocol requirements - Request follow activities implementation access plan: + Inform competent authorities writing sites collection obtain confirmation local government. + Follow requirements information sharing, report result collecting specimens periodically report collected GRs MONRE. + case transporting specimens Viet Nam - follow requirements Government Vietnam. 36 InTerface beTween access benefIT sharIng rules bIoTrade 2 GRs Access Applicant VIET NAM AGRICULTURAL UNIVERSITY AND PLANT VARIETIES CORPORATION OF THE NETHERLANDS Description GR 1. Type GRs: cultivated local varieties wild relatives crops1. 2. Number collection: 500 accessions collection trip 3. Purpose collection: cooperation collect research kinds wild plants native plant varieties Viet Nam, share knowledge experiences, research epidemics antibodies related vegetable varieties seed Viet Nam. 4. Site collection: Northeast, Northwest, Southeast Southwest Viet Nam (including Son La, Dien Bien, Lai Chau, Lao Cai) 5. Duration collection: 14th November – 5th December, 2015 ( collection date postponed 2016) 6. Terms agreement: - agreement set MOU Vietnamese Institute Company, “ case collaborate, Parties enter separate agreement field collaboration terms conditions apply cooperation agreed ”; - benefit sharing terms mentioned. Notes (Guidance BCA) 1. Request provision detailed information access plan: - List provinces conduct collection, access plan mention site collection Southeast Southwest Vietnam; - Follow regulations Decree 117/2010/ND-CP 24/12/2010 organization management special- forest collecting genetic resources National park nature reserve; - Detailed list GRs collections, quantities numbers samples transferred country form transportation. 2. Request addition terms conditions MOU / agreement Parties : - Provisions publication research results applications collected GRs; - Storage conservation specimens, research product attached information; - Benefit sharing agreements: monetary -monetary forms training, workshops, technology transfers…); ( line Nagoya Protocol principles) - Intellectual property rights research results; - Mechanism information sharing, reporting result collecting specimens periodically reporting collected GRs. 3. remarks: - Inform writing competent authorities sites collection obtain confirmation local government. - Refer Law Biodiversity Decree 65/2010/ND-CP implementation. 37vIeT Nam 3 GRs Access Applicant COOPERATION BETWEEN VIETNAMESE UNIVERSITIES AND JAPANESE UNIVERSITIES ON VIETNAMESE LOCAL HORSE GENES Description GR 1. Samples: Collect blood samples local horses Viet Nam 2. Purposes: Research diversity genetics phylogentic horse orginated Asia 3. Site collection: Mountainous remote villages north Dien Bien, Lao Cai, Ha Giang, Cao Bang, Bac , Lang Son. 4. Period collection: Jun – Dec 2016. 5. Terms agreement: Research results shared parties, publication scientific papers -authorship Japanese Vietnamese institutes; Monetary support needed research Japanese research team; Samples collected academic research purposes , commercial purpose. IP rights applied, transfer parties agreement institutions. Notes (Guidance BCA) - Reaffirm information Vietnamese University: purpose collection (scientific research ), number samples collected, sites collection. - Request submitting collection report 6 months completion collection process. - remarks: + writing, inform competent authorities sites collection obtain confirmation local government; + case transfer research result party, request contact MONRE guidance satisfy requirements national legislations principles Nagoya Protocol. 4 GRs Access Applicant PRIVATE COMPANY IN VIET NAM AND FRENCH PHARMACEUTICAL COMPANY Description GR 1. GRs accessed: herbal plants Viet Nam 2. Purpose: Conduct experiments compounds separate biochemical components existing kinds plants Viet Nam development antineoplastic, inti-phlogistic drug, biological pesticide active principle components cosmetic industry. 3. Terms agreement: contract signed parties: - Vietnamese company prepare living specimen 6 months 2-year period send specimen party processing France. - specimen dispatch 100g maximum 10kg species seed, body, root, leaves, branches parts plant. - Duration agreement 5 years, case successful research kinds plants, provisions benefits sharing extended 20 years. - contract includes terms sharing benefits native local communities ensuring conditions fair equitable sharing benefits sharing arising GRs; includes monetary -monetary benefits, intellectual property technology transfer. - Provisions dispute settlement apply Convention Biological Diversity Nagoya Protocol. Notes (Guidance BCA) Contract signed beginning 2016 parties, submitted BCA . initial remarks : - agreement companies accession GRs commercial purpose applies standard regulations ABS Nagoya Protocol, regulations Viet Nam. - parties building genetic resources access plan requiring guidance BCA implement steps. 38 InTerface beTween access benefIT sharIng rules bIoTrade 5 GRs Access Applicant AGREEMENT BETWEEN INSTITUTE OF MICROBIOLOGY AND BIOTECHNOLOGY, VIET NAM NATIONAL UNIVERSITY, HANOI (IMBT) AND BIOLOGICAL RESOURCE CENTER, NATIONAL INSTITUTE OF TECHNOLOGY AND EVALUATION OF JAPAN (NITE) ON TRANSFER AND BENEFIT-SHARING OF MICROBIAL RESOURCES Description GR 1. GRs accessed: microbial resources (bacteria, archaea, microalgae, phages, fungi) collected 12 years ( 2004) collaboration institutions2. 2. Purpose: promote transfer utilization microbial resources Japan Viet Nam 3. Collection: collection 13,000 microbial strains 4. Terms agreement: - Material Transfer Agreements template agreed cases: distribution material commercial , distribution material party. - Benefit sharing terms: + academic activities: -monetary benefits + commercial activities: 0 cent 1 cent net sales. + party pay Party 50 cent amount money paid party. + payment applied case user material nationality country origin Material. Notes (Guidance BCA) BCA’ remarks : - Agreement utilization microbial strains applied ABS principles prioritized; - MOU NITE IMBT Transfer Benefit-Sharing Microbial Resources compliance Convention Biological Diversity, Nagoya protocol ABS relevant laws regulations Vietnam; - Intellectual property Benefit arising utilization microbial resources   defined MOU. Notes 1 Confidential information 2 Benefit sharing agreements period 2004- 2016 institutions include followings: - -monetary benefits: Technology transfer , Enrichment Viet Nam Type Cultures Collection (VTCC), - Providing qualified data VTCC, Building -catalogue VTCC, Finding taxa microbe Vietnam, Manpower development, Publication domestic & International Journals. - Monetary benefits: 16 visits (Scientists researchers) VTCC NITE (1-2 months ), 10 visits VTCC scientists attended annual ACM meeting (.II, III,IV,,VI,VII.VIII,IX), >5000 sequence (18s, 23s, 16s ITS), Conducting 18 Technical training workshops IMBT number 150 Vietnam participants, Chemicals glassware research activities VTCC. 39vIeT Nam Notes 1 : https://www.cbd.int/doc/world/vn/vn-nr-04-en.doc, page 29, (accessed 5 November 2016). 2 Plant resources Centre. National Plant Gene Bank Viet Nam. Source Vietnamese. : http://www.prc.org.vn/Content.aspxtab=news&lang=vi&pid=8&cid=18&id=85, (accessed 5 November 2016). 3 http://www.globalforestwatch.org/country/VNM, (accessed 5 November 2016). 4 animals include endemic chickens (.. Dong Tao Mong), ducks (.. Bau Quy Muong Khuong Meo Soc Quy Chau), pigs (.. Van Pa Ba Xuyen), ’mong bulls, Phan Rang sheep, black grey rabbits. 5 Quotes based Oanda published rates 1 November 2016, http://oanda. (accessed 1 November 2016). 6 Ibid. 7 information visit Wildlife Conservation Society (WCS) : https://programs.wcs.org/vietnam/ Species/Primates.aspx. 8 Viet Nam Academy Science Technology IUCN (2007): Viet Nam Red Data Book. version Viet Nam Red Book 2007. order obtain data, update publication contrast releases IUCN Red list. IUCN Red List accessed : http://www.iucnredlist.org/. 9 addition, BCA MONRE -operated stakeholders review assess ABS activities foreign GR users 2000 2013. BCA organized meetings : National Institute Animal Sciences, Department Aquaculture, Center Plant Resources, Office Plant Varieties Protection, Southern Institute Fruit Research, Cuu Long Delta Rice Research Institute, Academy Agriculture Viet Nam, Viet Nam Institute Forestry, Department Science Technology economic-technical branches MOST, National Institute Medicinal Materials (NIMM), Hanoi University Pharmacies, University , localities Lao Cai, Binh Dinh, Quang Nam, Kon Tum, Ninh Binh, Tho. 10 synonyms recorded . : http://www.theplantlist.org/tpl1.1/record/tro-50290960 (accessed 6 November 2016). 11 Clause 2, Article 55 Biodiversity Law 2008. 12 VOGEL.. al. (2011). ‘ Economics Information, Studiously Nagoya Protocol Access Genetic Resources Benefit-sharing’, 7/1 Law, Environment Development Journal (2011), . 55, states “Biological resources exhibit tangible intangible aspects conceptualized set natural information added patent access subset previously accessed.” 13 : Medaglia CJ, Silva LC (2007), Addressing Problem Access: Protecting Sources, giving users Certainty, IUCN Environmental Policy Law Paper . 67/1, . 40. 14 “Traditional knowledge genetic resources” means knowledge, experience initiatives native people conservation genetic resources. (Article 3.38 Biodiversity Law 2008 Viet Nam). 15 Article 64.1 Biodiversity Law 2008 Viet Nam. 16 Article 64.2 Biodiversity Law 2008 Viet Nam. 17 Clause 4, Article 24, Regulation forest management issued Decision 186/2006/Đ-TTg dated 14/8/2006. 18 addition types benefits shared included Regulations, parties refer Appendix 1 Nagoya Protocol kind monetary -monetary benefits Bonn Guidelines access GRs benefit-sharing alternative ways share benefits. 19 Article 19.2 Decree . 65/2010/ND-CP. 20 Ministry Economy, Trade Industry Japan Japan Bio-industry Association (2006) Guidelines Access Genetic Resources users Japan, .13. 21 Promulgated Government’ Decree . 160/2013/ND-CP dated November 12, 2013. 22 article 17.2 Nagoya Protocol. 23 article 17.4 Nagoya Protocol. 24 Appendix Decree . 187/2013/ND-CP November 20, 2013. 40 InTerface beTween access benefIT sharIng rules bIoTrade 25 information, : http://unctad.org/en/Docs/ditcted20074_en.pdf. 26 Starting primary members 4 BioTrade companies, BIG Viet Nam mission attract support companies BioTrade activities Viet Nam. BIG Viet Nam expected (1) Provide technical support Natural ingredient chains actors comply sustainable sourcing practices (..: Ethical BioTrade, GACP, organic.. standards); (2) Facilitate business linkage chains actors partners domestic international markets; (3) Facilitate policy dialogue private public sector enabling environment BioTrade activities. BioTrade communication related stakeholders partners play crucial tools contribute BIG mission. BIG develop interesting feasible BioTrade communication strategy plan effective coordinating BioTrade communication country. 27 Interviews carried David Vivas Eugui, UNCTAD/DITC/TED (2016). 28 Feedback interviews carried UNCTAD 2016. 29 Article 61.2 Biodiversity Law 2008 Viet Nam. 30 Ibid. 31 http://biotradevietnam.org/en/du-/ampelopsis-cantoniensis.html. 32 noted depend national regional implementation laws decide derivatives fall scope ABS systems . 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