Gef-6 Project Identification Form (Pif) : P T: F - P T T F:Gef T F

GEF-6 PROJECT IDENTIFICATION FORM (PIF)
PROJECT TYPE: FULL-SIZED PROJECT

TYPE OF TRUST FUND:GEF TRUST FUND
For more information about GEF, visit TheGEF.org
PART I: PROJECT INFORMATION
Project Title: Effective Implementation of the Access and Benefit Sharing and Traditional
Knowledge Regime in Peru in accordance with the Nagoya Protocol
Country(ies): Peru GEF Project ID:1 8025
GEF Agency(ies): UNEP GEF Agency Project ID: 01345
Other Executing Ministry of Environment in collaboration Resubmission Date: 10/04/2015
Partner(s): with GIZ
GEF Focal Area(s): Biodiversity Project Duration 48
(Months)
Integrated Approach IAP-Cities IAP-Commodities IAP-Food Security Corporate Program:
Pilot SGP
Name of parent NA Agency Fee ($) 208,050
program:
A. INDICATIVE FOCAL AREA STRATEGY FRAMEWORK AND OTHER PROGRAM STRATEGIES2

Objectives/Programs (in $)
(Focal Areas, Integrated Approach Pilot, Corporate Trust Fund GEF Project Co-financing
Programs) Financing
BD-3 sustainable use of biodiversity, programme 8 TF 2,190,000 8,665,800
(implementation of the Nagoya Protocol), in the GEF-6
Biodiversity strategy.
Total Project Cost 2,190,000 8,665,800
B. INDICATIVE PROJECT DESCRIPTION SUMMARY

Project Objective: Strengthen national capacities for effective implementation of the access to genetic resources
(ABS) and traditional knowledge (TK) regimes in accordance with the Nagoya Protocol on Access to Genetic
Resources and the Fair and Equitable Sharing of Benefits Arising from their Utilization, contributing to the
conservation of biodiversity and human wellbeing in the country.
(in $)
Project Financing Project Trust GEF Co-
Project outputs
Component Type3 Outcomes Fund Project financing
Financing
1. Efficient TA 1.a. The ABS 1.a.1. Fully TF 760,000 2,850,000
functioning of national functional technical
ABS mechanisms mechanism ABS unit using
in accordance operates in a updated or new
with the Nagoya coordinated documentation and
Protocol manner, following procedures
unified criteria adequate to the
and taking into Nagoya Protocol
account (including PIC and
monitoring and MAT), including
supervision guides for users and
providers, and
1
Project ID number will be assigned by GEFSEC and to be entered by Agency in subsequent document submissions.
2
When completing Table A, refer to the excerpts on GEF 6 Results Frameworks for GETF, LDCF and SCCF.
3
Financing type can be either investment or technical assistance.
1
GEF-6 PIF Template-December2014
exchanging
information
through ABS-CH
1.a.2. Control point

established (2),
both in INDECOPI,
with a follow-up
and supervision
platform and
corresponding
operation manual
1.a.3. Cases of
illegal access to
wild, domesticated
and hydro
biological genetic
resources,
prioritized and
registered by the
National
Commission
against Biopiracy,
as part of the
measures of
monitoring the
utilization of
genetic resources
established by
Nagoya Protocol
(Art. 17°).
1.b The national 1.b.1. Information

ABS mechanisms on species (wild,
have reliable, cultivated and
timely and hydro biological)
relevant containing genetic
information for resources with
benefit sharing potential for
negotiation research and
strategies development
(monetary and activities, is
non- monetary) compiled and
for access to systematized,
national genetic including
resources, for the distribution and
purpose of conservation status.
research and
development, 1.b.2. Benefits
safeguarding risks derived from use of
of genetic erosion genetic resources
and TK in on-going
2
research and
development
projects, are
identified,
classified and
assessed,
strengthening the
expertise of
national authorities
in this respect, and
setting basis for
future negotiations.
2. Capacity TA 2.a. Relevant 2.a.1. Awareness TF 510,000 2,250,000

building of actors from raising activities
relevant actors in public, private, (using existing
relation to access academic, informative
to genetic scientific, materials, and new
resources and technical, society, ones when needed)
traditional and indigenous on the Nagoya
knowledge people, aware and Protocol directed
with training on towards
access to genetic government
resources and officials,
benefit sharing academics,
researchers,
society,
communicators and
general public.
2.a.2. Interactive
training modules on
management of
access to genetic
resources, based on
the national law
and the Nagoya
protocol, each one
designed and
directed towards
for a specific target
group: government
officials, academic
researchers and
entrepreneurs.
Special attention
will be put on
strengthening of
endogenous
research and
development
capabilities.
3
2.a.3. Intercultural
training module on
ABS and TK (3),
based on the
national law
(mainly, referred on
sui generis
protection regime
of traditional
knowledge) and the
Nagoya Protocol,
oriented towards
indigenous and
peasant
communities,
especially those
with or interested in
carry on a TK
register.
2.a.4. Assistance
for two ongoing
initiatives in
negotiation to
access genetic
resources, for
providers
(collective of non-
wood Amazonian
forest
concessionaries) to
increase their
negotiation
capacity and users
(companies,
research
institutions, etc.) to
ensure legal
certainty in
contracts on ABS.
3. Projects and TA 3.a. Conservation 3.a.1. Ongoing 730,000 3,480,000

initiatives on and sustainable research and
ABS, contributing use of local innovation projects
to conservation biodiversity is (one on perfumery
and sustainable improved through and cosmetics and
use of biological interventions that the other one on
diversity will lead to a cocoa products)
better and more based on native
efficient genetic resources
application of and associated
ABS measures in traditional
the country. knowledge,
4
supported by the
project to comply
with ABS national
legislation and
Nagoya Protocol
throughout the
chain of research
and development.
3.a.2. Utilization of
native genetic
resources and
benefit-sharing of a
sample of at least
three on-going
research authorized
projects, will be
supervised and
monitored as a
preliminary training
of governmental
officials and test for
the national ABS
monitoring system.
Subtotal 2,000,000 8,580,000

Project Management Cost (PMC)4 TF 190,000 85,800

Total Project Cost 2,190,000 8,665,800
If Multi-Trust Fund project :PMC in this table should be the total and enter trust fund PMC breakdown here ( )
C. INDICATIVE SOURCES OF CO-FINANCING FOR THE PROJECT BY NAME AND BY TYPE, IF AVAILABLE
Sources of Co- Type of Co-
Name of Co-financier Amount ($)
financing financing
National MINAM In-kind 700,000
Government
National SERFOR-MINAGRI In-kind 350,000
Government
National INIA In-kind 350,000
Government
National VMP-PRODUCE In-kind 350,000
Government
National SERNANP In-kind 250,000
Government
National INDECOPI-DIN In-kind 350,000
Government
4
For GEF Project Financing up to $2 million, PMC could be up to10% of the subtotal; above $2 million, PMC could be up to 5% of the subtotal.
PMC should be charged proportionately to focal areas based on focal area project financing amount in Table D below.
5
National INDECOPI-Comisión Nacional contra la In-kind 250,000
Government Biopiratería
National VM Interculturalidad - MINCU In-kind 300,000
Government
National CENSI-INS MINSA In-kind 300,000
Government
Universidad MHN-UNMSM In-kind 300,000
Pública
CSO Indigenous and peasant communities In-kind 250,000
organizations
CSO Collective of non-wood forest In-kind 300,000
concessionaries of San Martin Region
CSO Cooperatives, associations and native In-kind 500,000
communities of cocoa tree producers from
San Martin and Amazonas Regions
Private Sector Cosmo Ingredient In-kind 1,765,800
GEF Agency PNUMA In-kind 350,000
Bilateral Aid GIZ-ProAmbiente In-kind 2,000,000
Agency (ies)
Total 8,665,800
Cofinancing
D. INDICATIVE TRUST FUND RESOURCES REQUESTED BY AGENCY(IES), COUNTRY(IES) AND THE

PROGRAMMING OF FUNDS a)
(in $)
Country/
GEF Trust Programming GEF Project
Regional/ Focal Area Agency Total
Agency Fund of Funds Financing
Global Fee (b)b) (c)=a+b
(a)
UNEP GEFTF Peru Biodiversity 2,190,000 208,050 2,398,050
Total GEF Resources 2,190,000 208,050 2,398,050
a) Refer to the Fee Policy for GEF Partner Agencies.
E. PROJECT PREPARATION GRANT (PPG)5

Is Project Preparation Grant requested? Yes No If no, skip item E.
PPG AMOUNT REQUESTED BY AGENCY(IES), TRUST FUND, COUNTRY(IES) AND THE PROGRAMMING OF FUNDS
Project Preparation Grant amount requested: $ PPG Agency Fee:
Country/ (in $)
GEF Trust Programming
Agency Fund Focal Area Agency Total
Regional/Global of Funds
PPG (a) Fee6 (b) c=a+b
UNEP TF Peru Biodiversity 100,000 9,500 109,500
Total PPG Amount 100,000 9,500 109,500
F. PROJECT’S TARGET CONTRIBUTIONS TO GLOBAL ENVIRONMENTAL BENEFITS7

5
PPG requested amount is determined by the size of the GEF Project Financing (PF) as follows: Up to $100k for PF up to $3 mil; $150k for
PF up to $6 mil; $200k for PF up to $10 mil; and $300k for PF above $10m. On an exceptional basis, PPG amount may differ upon detailed
discussion and justification with the GEFSEC.
6
PPG fee percentage follows the percentage of the Agency fee over the GEF Project Financing amount requested.
7
Provide those indicator values in this table to the extent applicable to your proposed project. Progress in programming against these targets
for the projects per the Corporate Results Framework in the GEF-6 Programming Directions, will be aggregated and reported during mid-
term and at the conclusion of the replenishment period. There is no need to complete this table for climate adaptation projects financed
solely through LDCF and/or SCCF.
6
Provide the expected project targets as appropriate.
Corporate Results Replenishment Targets Project Targets
6. Enhance capacity of countries to Development and sectoral planning frameworks Number of Countries: 1
implement MEAs (multilateral integrate measurable targets drawn from the MEAs
environmental agreements) and in at least 10 countries
mainstream into national and sub- Functional environmental information systems are Number of Countries: 1
national policy, planning financial and established to support decision-making in at least 10
legal frameworks countries
7
PART II: PROJECT JUSTIFICATION
1. Project Description. Briefly describe: 1) the global environmental and/or adaptation problems, root causes and
barriers that need to be addressed; 2) the baseline scenario or any associated baseline projects, 3) the proposed
alternative scenario, with a brief description of expected outcomes and components of the project, 4)
incremental/additional cost reasoning and expected contributions from the baseline, the GEFTF, LDCF, SCCF, and
co-financing; 5) global environmental benefits (GEFTF) and/or adaptation benefits (LDCF/SCCF); and 6)
innovation, sustainability and potential for scaling up.
1) The Global environment problems, root causes and barriers
The third objective of the Convention on Biological Diversity (CBD), related to fair and equitable sharing of benefit
derived from access and use of genetic resources and associated traditional knowledge (“Access and Benefit
Sharing” or ABS), was conceived as a mechanism to establish a balance between needs of countries to access and
use genetic resources (in a scenario of facilitated access), and the needs and expectations of countries that have
historically been providers of such resources, to participate of monetary and non-monetary benefits that this access
and the application of technologies could produce. At the same time, it was expected that this fair and equal sharing
would be an important incentive to direct resources and efforts to conservation and sustainable use of biological
diversity (ecosystems, species and genes). These are contained on CBD first and second objectives.
Genes are the basis from which biodiversity develops and evolves on its different levels. The richness on genetic
resources (and cultural diversity associated with them), coincides with the richness of megadiverse countries which
concentrate at least 75% of biodiversity in situ. However, loss of biodiversity (a trend that cannot yet be reverted in
the world) implies “genetic erosion”, which is no other than loss of diversity and of future possibilities to benefit
from these resources on almost every aspect of human endeavor, from medicine and cosmetics development,
creation of new cultivated plants and animal breeds, research on genes and compounds potentially useful for animal
husbandry, to development of bio-remediation, amongst others. The case of Peru is particularly notorious because it
is a megadiverse country and center of origin of key agricultural products and diversification of crops (for example,
potatoes, maize, tomato, Andean grains, roots and tubers, etc.)
In 1994, the Andean Community and the Philippines became the first region and country to initiate political and
regulatory processes to develop the principles of “benefit sharing” for CBD. The norms of access to genetic
resources were formulated to “regulate” and control the flow of genetic resources, based mainly on provider country
requirements, and considering the generation of monetary and non-monetary benefits, as well as technology transfer.
The adoption of Andean Community Decision 391 on a common regime on access to genetic resources in 1996, set a
milestone for member countries (Colombia, Ecuador, Peru and Bolivia), and compliance with this norm has
developed independently in each country. In case of Peru, a national ruling (DS 003-2009-MINAM), is in force from
year 2009. Before, two prior complementary laws were published: one on access to traditional knowledge (Law N°
27811 in 2002) and other on identification and resolution in cases of illegal access to genetic resources and
associated traditional knowledge (Law N° 28216 in 2004).
Thus, access and distribution of benefits derived from the use of genetic resources and associated traditional
knowledge are regulated in Peru through several bylaws which establish jurisdiction for several state agencies: The
Ministry of Environment (MINAM) as governing, National Institute for Agricultural Innovation (INIA), the Forestry
and Wildlife National Service from the Ministry of Agriculture (SERFOR-MINAGRI), and the Vice-ministry of
Fishing from the Ministry of Production (VMP-PRODUCE), as administrative and legal authorities. Also, the
National Service of Natural Protected Areas (SERNANP) will provide legally binding opinion on access to genetic
resources inside protected areas, and the National Institute for the Defense of Competition and Protection of
Intellectual Property (INDECOPI), as authority on matters of access to traditional knowledge and patenting at
national level, and the National Commission Against Biopiracy, at the international level.
8
Given the different governmental agencies involved, the national system on access and distribution of benefits
derived from the use of genetic resources and associated traditional knowledge in the country is complex,
(henceforth ABS). It requires a careful and dynamic inter institution coordination to achieve an efficient
implementation. This integration is still a work in progress, as well as the need to unify criteria and tools for
administrative procedures. This limitation has caused confusion during ABS contract negotiation and participation of
benefits, especially among providers such as indigenous people and peasant communities in the country. Another
task to be done is the preparation of guides explaining, clearly and simply to users and providers, the procedures to
follow for access contract completion.
Given the recent ratification of the Nagoya Protocol on Access to Genetic Resources and Benefit Sharing of the
Convention on Biological Diversity (henceforth Nagoya Protocol for ABS), it is necessary to update the national
legislation (and the Andean framework) to comply with the new vision embodied by the Protocol. This implies
development of an adjustment process based on a continuous monitoring and assessment of procedures and
necessary changes (legal and administrative), as needs arise.
2) The baseline scenario
Application of the ABS National System in Peru has been uneven, main progress is related to sui generis protection
for traditional knowledge, and resolution of cases of illegal access. On the other hand, little advance has been
achieved relating to production of benefits derived from access and just and equal benefit sharing.
To understand this initial scenario in relation to access to genetic resources in the country, and in light of news
arising from the Nagoya Protocol, a number of different analyses must be performed. The first deals with legal issues
as they relate to the degree of adjustment needed by current national regulations (and Andean regional legal
framework), to comply with vision, measures and procedures of the Nagoya Protocol. The second relates to the
degree of advancement of access management. The third relates to institutional framework that supports access
management.
Legal scenario
The national ABS framework requires a thorough review, not only to adjust to the Nagoya protocol, which requires
certain a priori changes, but more importantly, on a change in the view that control and restriction will no longer
reside on access, but on usage, transferring the load to users, and to control points. It is also necessary to have
proportional measures in case of non-compliance, and procedures in place to update illegally accessed resources
prior to the entering into force of the national regulation for access, assuring benefit sharing and compliance with
national regulations in the country.
In general, only small changes will be necessary to adjust national legislation to Nagoya Protocol for implementation
and compliance. Main changes are related to incorporation of access permits and procedures to notify the
Clearinghouse Mechanisms on ABS of the CBD, and the development of certificates as main proof of legal access.
In control points and compliance measures it will be necessary to consider improvements in current check points
(INDECOPI), in procedures for intellectual property and/or establishment of additional check points. Also, it would
be convenient to clarify with the Ministry of Public Health if current public health regulations already include
explicit procedures in emergency situations for human health, plant or animal, or whether it will be necessary to
introduce procedures in the national ABS by laws.
In relation to procedures already established by national regulations, and independently from Nagoya Protocol, it is
necessary to facilitate access for non-commercial, research purposes, which will clearly define the distinction
between basic research and bio prospecting (commercially oriented research). It will also be necessary to establish
the time when change of usage may occur, that is, when it will be needed to change from a basic research permit to a
commercial one.
Access management scenario
9
In relation to access management, experience based on sectorial authorities in charge of administration and
management, as well as those in charge of procedures for intellectual property al national (INDECOPI) and
international (National Commission Against BioPiracy) level, have exposed the partial, uneven, and poorly effective
implementation of the national framework on ABS. SERFOR-MINAGRI is the national authority which have more
experience, having granted 33 access contracts between 2009 and 2014 for research purposes on genetic resources of
wild flora and fauna species. On the other hand, INIA has granted 34 agreements of transference of materials for ex
situ plant cultivated species banks between 2009 and 2014. The authority VMP-PRODUCE has not established yet
administrative procedures to implement ABS.
In relation to negotiation of PIC and MAT, SERFOR-MINAGRI has made most progress on implementation. The
authority has had numerous cases of access permits relating to traditional knowledge from indigenous communities,
and has always requested proof of prior knowledge consent from such communities. On the other hand, all
authorities indicate that prior informed consent is considered implied in the approval procedure, and is part of the
final access resolution granting. It is important to note that Law N° 27811 creates a Fund for the Development of
Indigenous People, which is managed by an Administrative Committee made up of representatives of 5 indigenous
organizations (among them, the Confederación de Nacionalidades Amazónicas del Perú – CONAP, the
Confederación Nacional Agraria – CAN and the Confederación Campesina del Perú - CCP) and 2 representatives of
the Ministry of Culture (MINCU).
Although not expressly cited in the national regulation as administrative and management authority, INDECOPI is in
charge of assuring compliance with regulations regarding access to traditional knowledge associated with genetic
resources from indigenous and local communities as per Law N° 27811. From period 2009-2010 INDECOPI has
been verifying, together with different authorities, if certain cases of patent requests relating to genetic resources
have complied with access contracts.
A continuous demand from these authorities and other institutions that constitute the ABS national system, is the
need to unify criteria and have common registers and formats to speed up and streamline procedures. The complete
and adequate implementation of the national framework is a prerequisite for adequate control and use of genetic
resources, both national and international.
Institutional scenario
As mentioned before, access and sharing of benefits derived from use of genetic resources and associated traditional
knowledge (ABS) in Peru is regulated by a number of norms, which establish competences for national institutions.
This derived in a complex ABS system and required a careful and dynamic inter institution coordination to obtain an
efficient implementation. As mentioned before, one of the key problems identified relates to the inability of MINAM
to fulfill the orientation and supervision competencies assigned by the national bylaws (approval of guidelines for
access to genetic resources management, including development of formats and models for PIC, contracts and
clauses, and the establishment of a registry of supporting national agencies). In some cases, this situation is slowing
down ABS implementation by sectorial authorities.
The need has been identified to create a common discussion space for inter institutional exchange and technical
development regarding ABS, helping its adequate and even implementation. This implementation of ABS
regulations by administrative and managing sectorial authorities requires clarification and development of numerous
elements from ABS, as common criteria of access scope (cultivated or wild, clear delimitation if is a biological
resource or one derived from a genetic resource, etc.), monetary and non-monetary benefit negotiation, role of
national supporting institutions, regularization of illegal access, amongst other. ABS regulations requires from
MINAM to coordinate joint actions with different authorities to manage and administrate access, as well as use of
genetic resources.
In March 2014, under the framework of the National Commission on Biological Diversity (CONADIB), MINAM
created an Ad Hoc Group on Access to Genetic Resources and Benefit Sharing (Ad Hoc Group on ABS). This is an
1
inter institutional platform to orient, facilitate and provide technical assistance to the process of preparation for the
implementation of the Nagoya Protocol for ABS in the country. This Ad Hoc group is composed of 17 institutions,
including MINAM, national sectorial authorities, public institutions with direct competency in the matter, science
and technology institutions, and representative organizations of indigenous people and peasant communities.
It is important to indicate that, in recent years, participation of institutions and other actors have strengthen in two
main aspects: a) progress on integration of different sectors making up the ABS system and, b) inclusion of
indigenous organizations to strengthen capacities on ABS, incorporating their perception on national ABS processes
and building of national positions based on intercultural exchange.
Associated baseline projects
Several initiatives of national and regional scope related to ABS have been implemented in the country, including
awareness on the importance of Nagoya Protocol on ABS.
As part of this effort important initial steps have been taken with the support of various cooperating sources. Of
particular importance we can mention the GEF UNEP IUCN Regional Project ABS LAC: “Capacity Building for the
Implementation of ABS Regimes in Latin America and the Caribbean”, from 2011 to 2014, in cooperation with
UNEP and under coordination of IUCN-South. Peru was one of the eight Latin American countries that participated
in this project (besides Cuba, Costa Rica, Dominican Republic, Panama, Guyana, Colombia and Ecuador). In the
case of Peru, this project facilitated activities such as:
i) Coffee and Knowledge Workshop on: “Biopiracy: definitions, techniques and legal issues. Causes and
consequences”. Lima, May 3, 2012.
ii) Workshop: “Capacity building on contract negotiation for ABS”. Gave by the Cátedra UNESCO de Territorio y
Medio Ambiente de la Universidad Rey Juan Carlos Lima, May 23-24 of 2013.
iii) Consultancy: “Analysis of legal framework for the implementation of Nagoya protocol on ABS”. August 2013
IV) National Workshop: Legal and Institutional Analysis relating to ABS access and benefit sharing. Lima, 28-30
April 2014.
v) Consultancy: “Advances in maintenance of Traditional Knowledge Associated to Genetic Resources and
Benefit-Sharing in Peru” (2013), with the following outputs:
- Participation of indigenous organizations in the elaboration of the first national progress report regarding
article 8j).
- Intercultural Workshop on ABS system and benefit sharing aimed at leaders of local and indigenous
communities in the country, with emphasis on traditional knowledge of indigenous communities.
- Proposal of teaching materials to facilitate the appropiation of the ABS system by indigenous organizations.
vi) Publication: “Traditional Knowledge and Rights of Local and Indigenous Communities. Teaching module on
Nagoya Protocol for ABS aimed at organizations from native and peasant communities in Peru”.
It is also necessary to mention the recent experience deriving from the project “Regional Capacity Building Plan on
Access to Genetic Resources and Protection of Traditional Knowledge”, sponsored by BioCAN and the Finland
Embassy, and aimed at providing support for regional awareness, incidence and research on genetic resources and
traditional knowledge. This project was developed during years 2013-2014, under the coordination of SPDA.
Since 2010, MINAM has been developing capacity building activities on genetic resources and biosafety, through
the designing and giving a teaching module on genetic resources and traditional knowledge for local actors, that
includes legal framework and principles of ABS contents. These teaching modules (consisting of presentations, work
group and roundtables) have been developed in coordination with regional authorities and local universities from 9
Regions (Cusco, Arequipa, Piura, Cajamarca, Lambayeque, Junín, Puno, San Martín and Huánuco), comprising
more than 400 participants including local state officials, private sector professionals, and university teachers and
students.
1
In addition to the initiatives described above several activities and projects supported by different institutions will be
implemented in the country during the lifetime of the proposed project.. MINAM is responsible to coordinate the
implementation of the Peruvian NBSAP to 2021, legally approved in November 2014.One of the NBSAP’s strategic
objectives seeks to implement the principles and commitments associated with the Nagoya Protocol to improve
access to genetic recourses and the fair and equitable benefit-sharing.
Supported by national resources, MINAM and the sectorial authorities and institutions with competence in access
and benefit-sharing, will continue to implement ongoing and to undertake new activities related to the
implementation of Nagoya Protocol at national level. These include strengthening of institutional capabilities to
manage unified procedures for access to genetic resources , re-designing of the capacity building and awareness
enhancing initiatives of different target groups in accordance with the strategic frameworks adopted in the COP-
MOP 1 of Nagoya Protocol, information sharing through the ABS-CH, and to progress in establishing and
functioning of the checkpoints..
In this latter case, since 2015, DIN-INDECOPI will include Nagoya Protocol and CBD parties (and not only the
countries members of the Andean Community) in its role of national patent office and also, as an national authority
of protection of traditional knowledge associated to biological resources, is incorporating a new approach of in situ
register of traditional knowledge, looking for a significant increment of the amount of registers for year. Besides, the
institutional capacity of the National Commission against Biopiracy is being strengthened, since INDECOPI decided
to incorporate it as part of the DIN office.
On behalf of the German Federal Ministry for Economic Cooperation and Development (BMZ), GIZ is
implementing the Program “Contribution to the environmental objectives of Peru” (ProAmbiente-GIZ), with an
overall term of three years, from 2014 to 2016. ProAmbiente-GIZ, as part of its objective to support Peruvian
authorities to accomplish selected national and regional objectives referred to the sustainable use of ecosystems, the
conservation of biodiversity and the capacity to reduce greenhouse gases and adapt to climate change, is developing
several initiatives related with access and benefit-sharing, emphasizing Nagoya Protocol as a transversal component
of sustainable use of genetic resources, that will continue until 2016. These initiatives comprises:
- the development of a database of publications, norms and permissions, to contribute with the ABS-CH.
- the design of a training module about ABS and intellectual property, including the elaboration of a guide; that will
be presented in 6 Regions.
- the design of a course about ABS and biotrade, including the elaboration of a guide, oriented to entrepreneurs and
innovators.
- to advise selected enterprises to carry out their research and development projects based on the utilization of
resources genetic and/or associated traditional knowledge, according to the procedures of access and benefit-
sharing established in the national legislation and the Nagoya Protocol. This activity will include two or three
cases, and the experience will be systematized during the term of the Program.
- study cases of utilization of cocoa genetic resources that comprise ABS and intellectual property.
t The global Biodiversity Finance Initiative (BIOFIN) in Peru in collaboration with MINAM, Ministry of
Economy and Finance (MEF) and UNDPis developing a tool to guide and assess the needs and resource mobilization
to finance biodiversity, which will be finished in January 2016. It is expected that this tool would help to define the
costs of the strategies identified in the NBSAP for incorporating biodiversity considerations in the development,
protection, restoration and access and benefit-sharing.
Former projects and initiatives had been focused on very specific and particular aspects of ABS. Therefore, this
proposal for GEF has been developed based on a more integrative and comprehensive approach. The added value of
the proposed project for Peru is to address the entire chain of actors and activities on ABS matters, instead of a more
partial and segmented approach. Also, lessons learned deriving from proposal implementation would have an
immediate, although indirect, effect on regional (CAN) and international efforts.
3) The proposed alternative scenario
1
The expected scenario resulting from the present proposal will be a country better suited for access control, and
benefit from the use genetic resources and associated traditional knowledge, as well as just and equal benefit sharing
deriving from its use. The country would be taking an important step towards compliance, not only with the third
objective of CBD, but also with Aichi Biodiversity Targets, in particular Target 16 relating to effective
implementation of the Nagoya Protocol, and Target 18, relating to respect for traditional knowledge, innovations and
practices, as well as consuetudinary use of biological diversity according to national legislation.
On legal and institutional grounds the expected scenario comprises clear, concordant and fluid access norms,
measures and procedures, and management of access and derived benefits, be applied in an integrated manner by
governing party (MINAM), national authorities (INIA, SERFOR and VMP-PRODUCE), and other institutions with
direct competence on ABS (SERNANP, INDECOPI, MINCU and National Commission against Biopiracy). It is
expected that governmental officials in charge of granting access contracts for commercial or non-commercial
purposes, will be in the capacity to negotiate benefits deriving from use of genetic resources and associated
traditional knowledge. This means an expectation of clearer management procedures and negotiation for users and
providers of genetic resources and associated traditional knowledge (especially, indigenous people and peasant
communities).
In general, regarding access management for research purposes and development, it is expected that national
legislation have already incorporated the main adjustments to Nagoya Protocol, which make references to access
permit, notification procedure for ABS-CH, verification points, measures in case of non-compliance, and
regularization processes for resources and traditional knowledge illegally accessed. Independently from adjustments
to Nagoya Protocol, it is also expected to have a simpler and automatic procedure in cases of access for non-
commercial research purposes, especially in case of taxonomic determination and species and varieties
characterization using DNA methods or genetic expression products (genomic, molecular, biochemical, agronomic,
etc.)
Part of this scenario would be the experience gained by government officers, researchers, universities and indigenous
organizations and peasant communities, on building strategic alliances for research and bioprospecting of genetic
resources, applying national access regulations. This would help envision future actions to promote public and
private participation, national and foreign, to further development of biotechnology, prioritizing use of identified
strategic genetic resources.
Lack of GEF project would delay reaching measures and other expected achievements as underlined in the described
alternate scenario.
Next, we briefly describe the three components of proposed project:
Component 1. Effective functioning of national ABS system, in agreement with Nagoya Protocol
The first component seeks to achieve an efficient and integrated national access system, operating in a
coordinated manner, based on full compliance and integration of functions of governing entity, national
authorities and institutions with competence on the matter. For this purpose, it will be necessary to elaborate
tailor made guidelines towards unified criteria, improvement of administrative procedures, and participatory
construction and or adaptation of already existing tools for management procedures to be aligned with the
Nagoya Protocol (forms, models, guides, model contractual clauses, etc.). The purpose is to strengthen legal
and institutional capabilities to guarantee juridical security in negotiation between users and providers,
throughout the access chain for research and development: granting of prior informed consent, mutually
agreed terms for product negotiation, granting of permits for access, international certification, establishing
of verification points, fair benefit sharing, including capacity building on defense strategies in case of
unlawful access to genetic resources and associated traditional knowledge.
It is expected the creation of a technical unit as integrating space for access management and information
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deposited in the Clearinghouse mechanisms of CBD secretariat (ABS-CH), generation of information on
strategic genetic resources, associated traditional knowledge, and ongoing research processes, that help
design and implement a(n) strategy(s) for benefit sharing (monetary and non-monetary), and the National
Mechanism for Integrated Monitoring and Supervision (MNSSI-ABS) established in the regulations,
including verification points and measures for regularization of illegal access.
A legal, institutional and administrative assessment of functioning of the national ABS system is also
implicit in this component, which is expected to set the basis for going forward in the adjustment of vision,
measures and procedures of current national legislation towards the alignment with the Nagoya Protocol. In
this process, inputs generated by former initiatives, as wll as lessons learned from them will be taken into
account. Some of the initiatives that contributed to the current baseline were: the institutional and legal
recommendations elaborated with the support of GEF UNEP IUCN Regional Project ABS LAC, the advice
of high level experts of the Cátedra UNESCO de Territorio y Medio Ambiente de la Universidad Rey Juan
Carlos, and the support of ProAmbiente-GIZ with legal information and guides, will be required.
Finally, systematization of information on species (to be selected during PPG phase) containing genetic
resources with potential for research and development activities , including their distribution and
conservation status; and the identification, classification and assessment of benefits derived from the
utilization of genetic resources and associated traditional knowledge in on-going research and development
projects in Peru, strengthening the expertise of national authorities in this respect, and setting basis for future
negotiations, will be undertaken in this component. The purpose is to obtain reliable, timely and relevant
information for benefit-sharing negotiation strategies (monetary and non- monetary), safeguarding risks of
genetic erosion. Particularly, the systematization of information will be done in agreement with research
institutions and universities that generate scientific knowledge about national flora, fauna and
microorganisms, and will be carried out through a selection and analysis of existing catalogue, compendia
and databases.
Component 2. Capacity building of relevant actors in relation to Access to genetic resources and
traditional knowledge
The second component seeks the awareness of society regarding the importance of Nagoya Protocol and
national legislation on access against biopiracy actions on genetic resources and associated traditional
knowledge, as part of natural and cultural heritage of the country. Also, it seeks to strengthen capacity of key
actors (governmental officials, academics, researchers, innovators, entrepreneurs and indigenous people) in
relation to access to genetic resources and associated traditional knowledge, and to develop skills in the use
of procedures and tools from national ABS system. The capacity building activities will take into account the
Strategic Framework of building and development of capacities, adopted in the last COP MOP 1 for Nagoya
Protocol (Decision NP-1/8, 2014). Special attention will be put on strengthening of endogenous research and
development capabilities. Besides, the outputs of this component include information materials tailored for
different stakeholders. It is however worth to mention, that whenever possible, the project will make use of
existing materials in order to avoid duplication and ensure that resources are used where they are most
needed. Nonetheless, there is always a need either to adjust or to create de novo some materials to fulfill the
local needs and reality.
In the case of public sector and national authorities, capacity building will be focused on increasing
understanding of the Nagoya Protocol and adequate application of national regulations. In the case of users
and providers, capacity building will be focused on understanding of procedures required for access to
genetic resources and associated traditional knowledge, be it for non-commercial research, bioprospecting,
industry or marketing.
In coordination with ProAmbiente-GIZ, an approach to local actors, both authorities and civil society, will
take place; specially, with those related with value chains without or with weak presence of the ABS
component. Singular cases have been identified, such as the use o aromatic plants in perfumery or the
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development of legal certainty for genetic resources of cacao, where ProAmbiente-GIZ is developing an
important work of facilitation and strengthening of certain links of the chain, with the aim to increase the
sustainability of the resource and to diminish the pressure on the Amazonian forest. In this respect the project
is expected to add to the current efforts undertaken by GIZ and the local authorities, and cooperate in the
achievement of the inclusion of ABS provision.
Among the capacity-building and environmental improvement activities, a specific teaching module for
researchers and innovators will be designed and presented in at least two Regions. The module will include
the use of existing guidelines on ABS and the elaboration of a model (guideline) about the relation between
ABS and biotrade. The purpose is that researchers and innovators get the capacities to guarantee that the
results of their research and innovative products comply with the ABS regulation. During the life time of this
project, this activity should include another more fragile local groups, but who are more linked to biological
resources (non-wood forest concessions, organized native communities, associations of settlers, etc.) and to
genetic resources in itself (primary transformers of native plants and/or enterprise users). These kind of
groups will receive a special didactic technical advising focused on the scope or effects of the ABS, the
limits of the innovation process and the real expectations of benefit-sharing. Also, it will be needed that users
could be included.
Particularly, in the case of indigenous people, three modules will be developed for intercultural capacity
building focused on access and fair and equitable benefit-sharing for the use of associated traditional
knowledge. It will also include training on sui generis protection regime of traditional knowledge, as an
alternative to the system of protection of intellectual property. The design of these modules will be done,
mainly, in coordination with MINCU and INDECOPI, and with the participation of the National Center for
Intercultural Health from the National Institute of Public Health (CENSI-INS) of the Ministry of Health
(MINSA), as well. The intercultural teaching material on Nagoya Protocol targeted for native and peasant
communities of Peru, prepared with support of GEF UNEP IUCN Regional Project ABS LAC, will be
enhanced, and also new teaching material about specific subjects on ABS for traditional knowledge, will be
prepared.
Capacity building on access negotiation and benefit distribution will target providers and users of two
ongoing experiences that are (or will be) requesting access permits. In the case of providers, capacity
building will be oriented towards prior informed consent and benefit negotiation (monetary and non-
monetary). In case of users, focus will be on legal certainty for access contracts. In anddition, capacity will
be built on negotiating skills. These activities on access negotiation for users and providers involved in on-
going experiences will be also coordinated with ProAmbiente-GIZ.
Finally, this component will also include production of training materials for dissemination, and awareness
raising events for civil society, communicators, and general public. In case of capacity building for
indigenous communities, current organizational structure will be considered, such as community forest
management; and activities will be undertaken in consultation and collaboration with major groups such as
national indigenous organizations of native and peasant communities (for instance, CCP and CONAP),
female indigenous organizations (for instance, ONAMIAP), communal associations (like the one created by
the Amazonian native communities of Ishishihui and Kawana Sisa), among others.
Component 3. Projects and initiatives on ABS contributing to conservation and sustainable use of
biological diversity
In Peru, there are several researchers and enterprises that are carrying out research and innovation projects
based on the use of native genetic resources and associated traditional knowledge, with non-commercial and
commercial purposes. A small group counts with the respective access authorization or is in process to
obtain it, a second group is initiating the process to regularize their projects, and a third (and without doubt
the more extensive) group is not interested in initiate any process either discouraged for the complexity of
the procedures or because of the lack of awareness about the requirements of the national and international
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ABS system. In consequence, as of today, benefit-sharing for utilization of native genetic resources and
associated traditional knowledge is limited to the few authorized projects.
Likewise, despite the establishment of a National Integrated Mechanism of Supervision and Monitoring of
Genetic Resources in the national legislation of Peru (D.S. N°003-2009-MINAM), none of the authorized
projects is being actually monitored to ensure compliance. In consequence, at this moment, there is no
certainty if some of these projects have made a change of use of the genetic resources accessed nor if
benefit-sharing, monetary or non-monetary, is occurring.
The third component seeks, in the first place, to encourage research and innovation projects and initiatives
based on native genetic resources and associated traditional knowledge, to comply the ABS national access
and benefit-sharing legislation and Nagoya Protocol through all de chain of research and development. This
process will begin with a clear identification of the existing limitations or difficulties during the process of
negotiation, as well of the respective corrective measures, based on a thorough and participative analysis of
the access authorizations granted by the national authorities, so far. The next step will be to enhance the
negotiation skills of regulators, users and providers, giving improved criteria, procedures and tools, that will
permit, for example, a clear identification of the roles of the playing parties, the type and size of the
entrepreneurs or researchers concerned in the negotiation, or of the value of the genetic resources and
associated traditional knowledge being accessed, among others. The last step will consist in advising and
accompanying one or more cases of an on-going negotiation, to guarantee the application of improved ABS
criteria, procedures and tools (manuals and guides), since the obtaining of the prior informed consent and
establishing of mutually agreed terms until the signing of access contracts (on its different modes), that
would permit to obtain the international recognized certificate of compliance issued through the ABS-CH,
enabling users to look for a patent in a future. The project will use ongoing initiatives to provide support
towards the application of ABS procedures; with the expectation that these interventions will serve as
example for future actions that could come even beyond the project life.
One or more of the pilot experiences will be undertaken with Cosmo Ingredients, an enterprise dedicated to
research and development to innovate and commercialize in the perfumery and cosmetics industries. This
enterprise is interested in regularize their R&D projects according with the ABS national legislation since
2013, and it is being advised by ProAmbiente-GIZ, since 2014, identifying providers, designing the project
and in legal aspects. Cosmo Ingredients is working with aromatic native plants and associated traditional
knowledge that will be provided by collective non-wood forest concessionaires to develop perfurmery and
cosmetics innovations that need to be implemented as soon as possible, according with the access and
benefit-sharing national legislation and Nagoya Protocol, These concessionaires possess qualifying or
enabling titles granted by the government that permit them to manage and to receive benefits of the
biological resources from the concessioned place, within the limits established in those titles. The activity of
this enterprise is located in San Martin Region.
Another possible pilot will be carry on with grass-root organizations (cooperatives, associations and native
communities) of cocoa tree producers, who are acting both as providers and users in activities that they are
undertaking with native genetic resources of cocoa tree, without any legal certainty and benefit-sharing. The
activities of these grass-root organizations of cocoa tree producers are located in San Martin and Amazonas
Regions, and they are also being advised also by ProAmbiente-GIZ.
During the PPG phase, negotiations with Cosmo ingredients and Grass-root will be finalized to enable the
pilots to take place.
This component also seeks to offer the possibility to the authorities to supervise and monitor a selected
groups of authorized projects, with the aim to determine if a change in use of genetic resources has taken
place since the access authorization was granted; and how benefit-sharing is occurring. This will permit to
initiate the implementation of the National Integrated Mechanism of Supervision and Monitoring of Genetic
Resources mentioned above. This activity will be develop using on-going cases organized in two groups:
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one of research projects involving genetic resources from wild species, and the other of research projects
involving genetic resources accessed from ex situ banks. These research projects had been authorized by
SERFOR and INIA, respectively.
Finally, it is important to highlightthat the three project components are not independent; they will reinforce
each other, and together will contribute to an operational and more complete national ABS system for
genetic resources in Peru.
4) The incremental/additional cost reasoning and expected contributions from the baseline, the GEFTF,
LDCF/SCCF and co-financing
To address the need for institutional capacity building (amongst different project participants) in terms of access and
benefit sharing, incremental financial support from GEF is necessary such that, effective changes can be verified on
the proposed baseline. Current efforts done by the national Government and institutions require support to reach a
wider target audience and to ensure a harmonize application of ABS measures at a national level. GEF support will
complement these efforts and will allow the country to increase its capacity to deal with ABS related matters in
alignment to the Nagoya Protocol.
Currently other organisations such as GIZ are investing resources in creating capacity towards the implementation of
ABS systems in the country; however, these efforts are not enough and should be complemented with additional
support from the local government and other organisations. The GEF project is expected to add to ongoing efforts,
and contribute to a better application of ABS regulations and procedures amongst various stakeholders. Likewise,
private companies and research institutions are also taking actions towards the application of basic ABS provisions,
and the local authorities will continue to provide guidance in this respect. Nonetheless, without GEF support, the
possibilities of the local authorities to effectively address all the issues related to ensuring proper access to genetic
resources and fair and equitable distribution of its derived benefits, are limited.
The current project has been designed in a way that GEF resources will complement existing efforts, ensuring a cost-
effective approach and a coherent intervention strategy to maximize the possibilities of outcomes accomplishment.
This change on baseline in Peru starting with the GEF support, will have an effective and positive effect on
implementation of ABS principles (steaming from CBD and Nagoya Protocol). The Peruvian experience could
eventually benefit other countries that may benefit from Peruvian experience. This can occur in the CAN sphere,
where neighboring countries share similar difficulties and challenges as Peru.
Experience and results from GEF supported project will inform on the national performance in forums where ABS is
been discussed. For example the discussion within the Andean Community and the ongoing review of Decision 391.
Also, this will help current efforts by MINAM to update and adjust the overall legal framework of ABS and
coordination with relevant national institutions on the matter.
5) Global environmental benefits (GEFTF, NPIF) and/or adaptation benefits (LDCF/SCCF)
Global Environmental benefits derived from this project, could be expressed in three different ways. In the first
place, maintain and preserve genetic resources, in the case of Peru (as megadiverse country and center of origin and
diversification of native breeds and cultivars), it represents on itself a service and contribution made by the country
as part of a long list of historical contributions in terms of biodiversity resources and products (i.e. quinine, potato
(Solanum), as one of four staple foods important for global feeding, rubber (base for development of automotive
industry during XIX century), to cite some such contributions). An effective and efficient access regime to genetic
resources and just and equal benefit sharing will constitute a major impulse for conservation, research and
development for biodiversity and genetic resources.
On the other hand, making visible the value of genetic resources (based on an ABS regime working properly) is one
of the alternatives to link, effectively, access, use and benefit actions based on these resources, to conservation
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deriving from added values that may generate R&D processes. This is particularly relevant for megadiverse countries
which have the enormous privilege, but also a higher responsibility, to be depositaries of the most important gene
banks in the planet.
Second, to keep a legal flux on genetic resources for the processes of research and development is the best way to
contribute with specific services to a variety of activities and industries, ranging from pharmaceutical to cosmetics.
In the case of genetic resources for food and agriculture, as center of origin and diversification (i.e. potato, quinoa,
kiwicha, arracacha, olluco, maize), it is also absolutely critical to maintain a dynamic exchange system to guarantee
food security both locally and nationally, but also globally as Peru is net provider of these resources and germplasm
for plant breeding programs and research in general. The role of International Potato Center (CIP) is critical, as well
as of global importance. It is necessary that access rules do not impose unnecessary restrictions to provision of seeds
and resources. Therefore, it is necessary for national legislation to be clear and transparent.
Thirdly, relating to prevention against biopiracy and illegal appropriation, it is necessary that international
community must clearly and specifically understand the challenges and difficulties that this phenomena implies, and
how adjustments and modifications on policies and international regulations on intellectual property (i.e. improving
search systems for patents, establishing requirements for source and legal origin, protecting traditional knowledge),
can be a global contribution that this ´project, directly and indirectly, will generate.
GEF support is also fundamental to obtain co-financing in short and midterm timeframes. Also, there is ongoing
coordination with GIZ-Peru to support complementary activities for the project, once it has started. This is the best
indication of the need for GEF support; which will transferred into a sustained support through time that will benefit
and facilitate the different planned activities.
The project has been designed through a long participative process and with strong “appropriation” deriving from
consensus reached by different national actors. The project has the advantage to favor the ratification process for the
Nagoya Protocol, by establishing and reinforcing the institutional, legal and regulatory basis necessary to fulfill its
objectives at national level. The multiplicity of actors and disciplines involved in the definition of priorities and basic
content of the project, guarantees an effective execution from different fronts, with emphasis on efficiency and
efficacy of the ABS system.
6) Innovativeness, sustainability and potential for scaling up
This proposal offers the possibility for the first time that resources available could be use in an integrated manner,
and with the direction and coordination of DGBD from MINAM; towards actions for capacity building and
verification of tangible benefits deriving from access and use of genetic resources in the country.
The innovative part, which truly responds to principles and policies in practice by actors involved with access to
genetic resources for several years by now, is the existence of a nucleus of institutions highly involved (from
different sectors and levels of competence), coinciding and by consensus, having defined a number of measures and
activities necessary to generate a substantive improvement in the access regime to genetic resources, making it
operational. The project openly addresses the issue on biopiracy and seeks to fight it effectively through
identification of cases and due penalization. This is a fresh and innovative approach and will allow the project to
attain results beyond mere documents and agreements. Moreover, the project is considered innovative due to its
holistic approach, where it attempts to create the basis (improve administrative and operational ABS structure);
create capacity for a smooth and realistic applications of the ABS provisions according to the national and
international regulations and treaties; and finally to offer hands-on opportunities to implement ABS provisions
through the pilots.
In relation to sustainability, through strong co-financing, and key alliances with major stakeholders and other
relevant institutions, the project guarantees the necessary actions and human resources to initiate and maintain
activities through the project life and beyond. On top of this, MINAM and other local authorities as well as major
players in the ABS arean in Peru such as GIZ) will be undertaking ABS related activities to support and strengthen
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the national system. This means that the project outcomes have good possibilities to be sustainable over time due to
the fact that the local authorities have priorotoesed ABS matters, are investing simoulaneously on ABS and have also
forecasted ABS actions.
Moreover, since the project includes activities that are oriented to strengthen the ABS capabilities of the public
institutions with legal competence in the matter, and these activities will be carried out with the active participation
of these institutions, not only the maintenance but also the improvement of the national ABS system is guaranteed
beyond the project. This is reinforced by the fact that one of the Peruvian national environmental policies, regarding
the conservation and sustainable use of biodiversity, establishes conditions for controlled access to native genetic
resources and the fair and equitable benefit-sharing arising from its value. In this regard, the sectors involved, mainly
national authorities competent in ABS, have the mandate to include in their institutional budget resources to maintain
operative the access and benefit sharing national system.
On top of the above, Peru is one of the countries that is participating in the Global Initiative Funding for Biodiversity
– BIOFIN, which objective is to develop a tool to guide and assess the needs and resource mobilization to finance
biodiversity in pilot countries, before being widely applied. The process of implementation of BIOFIN in Peru
consists of a team of members from MINAM, Ministry of Economy and Finance (MEF) and UNDP, and it is
expected that the strategy for resource mobilization will be finished in January 2016. The tool developed in the
project would help to define the costs of the strategies identified in the NBSAP for incorporating biodiversity
considerations in the development, protection, restoration and access and benefit-sharing, so that the two processes
(NBSAP and BIOFIN) are complementary. It should be noted that one of the strategic objectives of the Peruvian
NBSAP to 2021, legally approved in November 2014, seeks to implement the principles and commitments
associated with the Nagoya Protocol to improve access to genetic recourses and the fair and equitable benefit-
sharing.
Upon project completion, follow up of most project activities is assured because of an implied agreement made in
terms that, for the project to be successful, it will be necessary through DGDB coordination, to share responsibilities
and activities in terms of expertise and capabilities of each participating institution. Although the proposal i s made
by DGDB from MINAM, it is supported by involvement of several institutions (including competent authorities) and
actors truly involved with ABS. This is reflected in the call from the National Commission on Biodiversity on its
fight against biopiracy, the Commission against Biopiracy, amongst other with competences or interest converging
on genetic resources.
The Project will allow search for complementary resources to help consolidate results, impacts, and define future
activities. Regarding the latter, talks have been initiated with GIZ relating to activities on ABS for its national
program for years 2014-2019. This program has, as one of its four key axis, work and activities relating to
technology, biodiversity, and ABS. Some of these activities are expected to be aligned with those of the project –
given the case, this could also be translated in co-financing.
This is an important incentive to obtain initial resources through GEF for immediate and midterm activities. In the
case of MINAN, the General Directorate on Biological Diversity (DGB) is responsible to foster activities and
national projects in matters of ABS. Both MINAM and DGB have been working for quite some time together with
other competent authorities on genetic resources, including INIA, SERNANP, SERFOR, INDECOPI, and Vice
Ministry of Fishing. This project reflects a consensus reached through almost two years of coordinated work of
MINAM with these authorities.
Regarding scaling-up and replicability, one of the key advantages of the project relates to its national scope, that can
provide support and knowhow to similar implementing processes in neighboring countries as Ecuador, Colombia and
Bolivia, countries facing similar challenges and with similar opportunities relating to the access systems to genetic
resources and protection of traditional knowledge. At national level, GEF project will contribute to the de-
centralization process in matters of ABS which, in a way, is considered as part of national Government policies.
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2. Stakeholders. Will project design include the participation of relevant stakeholders from civil society and
indigenous people? (yes /no ) If yes, identify key stakeholders and briefly describe how they will be engaged in
project design/preparation.
The Project has been elaborated through a participative process involving a wide group of actors concerned with
access to genetic resources and benefit-sharing. All of them were consulted during the PIF elaboration, and are
involved in undertaking some tasks and, in some cases, may also be direct beneficiaries of the project.
Institution Sector/ actor Role or function

Ministry of Environment, Public sector. Governing institution Governing body on environmental
General Directorate of on access to genetic resources. policies and biodiversity. Focal point
Biological Diversity (MINAM- for CBD and general coordinating
DGDB) office for the project (through DGDB).
National Forestry and Wildlife Public sector. National Active participation in the institutional
Service (SERFOR) administrative and managing capacity building process and
authority for genetic resources of functioning of national ABS system,
wild continental species. capacity building on administration
and contracts for access in trial
research/projects.
National Institute of Agriculture Public sector. National Active participation on institutional
Innovation (INIA) administrative and managing capacity building process and
authority on genetic resources of functioning of national ABS system,
continental domesticated species. capacity building on administration
research/projects.
Vice Ministry of Fishing from Public sector. National Active participation on institutional
the Ministry of Production administrative and managing capacity building process and
(VMP-PRODUCE) authority on genetic resources of functioning of national ABS system,
hydrobiological species capacity building on administration
research/projects.
National Service for Natural Public sector. Specialized public Active participation on institutional
State Protected Areas institution with competence in case capacity building process and
(SERNANP) the genetic resources are found functioning of national ABS system,
within natural protected areas capacity building on permits and
(ANP). technical opinion on contracts for
access in cases of trial
research/projects inside ANP.
National Institute for the Public sector. Competent institution Active participation on institutional
Defense of Competence and on protection of collective capacity building process and
Protection of Intellectual knowledge of indigenous people functioning of national ABS system,
Property (INDECOPI) – associated with biological capacity building and accompanying of
Directorate of Innovation and resources. indigenous actors on register of
New Technologies (INDECOPI- traditional knowledge and granting
DIN). prior informed consent.
National Commission against Public sector. Inter institution Active participation on institutional
Biopiracy, adjunct to Council of platform for the protection of capacity building process and
Ministers (PCM) and presided genetic resources and associated functioning of national ABS system,
by INDECOPI. traditional knowledge as they relate capacity building and reporting and
to biopiracy. assessment of cases of illegal access to
genetic resources and associated
traditional knowledge.
Directorate of Indigenous Public sector. Competent authority Active participation on institutional
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Policies of the Vice Ministry of on issues relating to indigenous capacity building process and
Interculturality of the Ministry people and the Fund for functioning of national ABS system,
of Culture (VM Interculturalidad Development of Indigenous People. capacity building and on orientation
– MINCU) and accompanying of indigenous
people and peasant communities
relating to actions within project
development.
National Center for Intercultural Public sector. Technical and Legal Active participation in systematization
Health from Institute of Public body proposing policies and of information about the potential
Health of the Ministry of Health regulations on intercultural health value of medicinal plants; as one of the
(CENSI-INS, MINSA). and promoting integration of public institutions that have registered
traditional medicine in the medical traditional knowledge in specialized
treatment of rural communities. databases.
Peruvian Society of Private sector. Legal organization Support to national authorities to
Environmental Law (SPDA) on proposing policies and strength legal framework on Nagoya
regulations on environmental Protocol .
issues.
ProAmbiente-GIZ Private sector. Cooperation Support to national authorities to
Program supporting policies and strength legal framework on
regulations on environmental environment, emphasizing Nagoya
issues. Protocol as a transversal component of
sustainable use of the genetic
resources. This Program has its
greatest strength in the early and sound
relationships with local key actors for
ABS in San Martin, Amazonas and
Ucayali Regions, including from
regional and local authorities to
members of civil society and
vulnerable local people (native
communities, small farmer or familiar
associations, etc.)
National Museum of Natural Public sector. Academic and Active participation in systematization
History from San Marcos scientific institution in charge of of information about the potential
National University (MHN- collecting, research and public value of useful native flora and fauna
UNMSM) exhibition of organisms and species; and in the activities of
representative samples of the supervising and monitoring of research
country natural heritage. authorized projects, as a National
Support Institution for the ABS
national authorities.
Cosmo Ingredients Private sector. Enterprise dedicated Participation as a user to be
to research and development to encouraged to regularize its research
innovate and commercialize in the and innovation projects with genetic
perfumery and cosmetics industries resources of aromatic plants, according
with the ABS national system and
Nagoya Protocol through all the chain
of research and development.
Collective of non-wood forest Private sector. Local actors who Participation as providers of aromatic
concessionaries of San Martin possess qualifying titles of plants and associated traditional
Region biological resources available for knowledge for Cosmo Ingredients
access and benefit-sharing, but that projects.
are not implemented as so far.
Cooperatives, associations and Private sector. Grass-root Participation as providers and users of
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native communities of cocoa organizations, who are acting both native genetic resources of cocoa tree,
tree producers from San Martin as providers and users in activities to be encouraged to obtain legal
and Amazonas Regions. that they are carrying on with certainty and benefit-sharing,
native genetic resources of cocoa according with the ABS national
tree, without any legal certainty and system and Nagoya Protocol through
benefit-sharing. all the value chain of their activities.
Indigenous and peasant Indigenous and local communities Active participation on institutional
communities organizations, actors possessing traditional capacity building process and
including women organizations. knowledge associated with functioning of national ABS system,
Specially, organizations biological resources, containing on granting PIC and benefit
members of the Management genetic resources. negotiation, on trial research and
Committee of the Fund for projects, and register process of
Development of Indigenous traditional knowledge before
People (CCP, CNA, AIDESEP y competent authority (INDECOPI).
CONAP).
3. Gender Considerations. Are gender considerations taken into account? (yes /no ). If yes, briefly describe
how gender considerations will be mainstreamed into project preparation, taken into account the differences, needs,
roles and priorities of men and women.
Gender considerations will be taken into account when developing the project proposal and eventually during its
implementation. In particular, the role of women in the conservation and sustainable use of genetic resources and the
associated knowledge is acknowledged and will be identified and considered for the development of the ABS
system in order to ensure the fair and equitable sharing of benefits in particular for this group. More detail will be
offered after the PPG.
4. Risks. Indicate risks, including climate change, potential social and environmental risks that might prevent the
project objectives from being achieved, and, if possible, propose measures that address these risks to be further
developed during the project design (table format acceptable).
Project risks on expected results and products are fairly low because project proposal has been prepared through the
collaboration and active participation of involved actors, which have demonstrated interest and compromise in the
actions to be developed. Also, it is important to note that most activities are under direct responsibility of institutions
with competency on the matter, in particular MIINAM and administrative and management authorities. This is an
assurance and implies a drastic reduction of associated risks.
However, we recognize that some products may suffer delays. For example, in case of capacity building proposals in
the framework of ABS national system may depend on internal conditions (re-organization, public officers rotation,
budget cuts, among other) affecting some institutions and actors. This risk will be minimized by constant awareness
raising activities from the project; to ensure that its importance is perceived at all levels. Likewise, annual work plan
and budget revisions will allow the project team to implement adaptive management measures to secure the
necessary support and ensure project progress.
It is possible that some situations considered “risks” may have to do with actual contract contents, in particular with
clauses on benefit sharing, change of use, and intellectual property, to mention the most important. These risks will
be reduced through capacity building on negotiation and legal support considered as part of the proposal.
Another type of risks is the inability to reach consensus to define unified criteria or made legal required adjustments,
above all, those beyond the purely technical and more dependent on political will of higher level officials, or states,
as in the case of Decision 391. However, this would not be an obstacle to effective implementation of access in
accordance to Nagoya Protocol, but a limitation at a given time which, as conditions change, will be overcome.
5. Coordination. Outline the coordination with other relevant GEF-financed and other initiatives.
2
General Directorate for Biological Diversity from the Ministry of Environment (DGB-MINAM) will be in charge of
the Project, and will act as executing agency while PNUMA will act as implementing agency.
DGD-MINAM will have a General Project Coordinating Office in charge of project management, in close
association with Biological Diversity General Director and subject specialists, through direct actions and hiring for
different specialized required services to accomplished planned activities in the various project components, and
with the participation of actors as indicated before. This coordination will periodically report execution and
administrative project progress to DGB and GEF.
Project will have an Advisor and Follow-up Committee which will be integrated by key actors for ABS in the
country and a representative from UNEP; with the goal of providing support and orientation to MINAM on project
implementation.
6. Consistency with National Priorities. Is the project consistent with the National strategies and plans or reports and
assessements under relevant conventions? (yes /no ). If yes, which ones and how: NAPAs, NAPs, ASGM
NAPs, MIAs, NBSAPs, NCs, TNAs, NCSAs, NIPs, PRSPs, NPFE, BURs, etc.
Project is consistent and falls within the framework of policies, strategies and national legislation in matters of
biodiversity and genetic resources in particular.
Since the adoption of the Code on the Environment (Decree Law N° 613 of 1990), and even before the signature of
CBD, the importance, value and need to protect genetic resources has been recognized, as part of nation heritage.
Later, Biological Diversity Law (law N° 26839 of 1997) and regulations (Supreme Decree N° 068-2001-PCM of
2001) reiterate State compromise in relation to biodiversity and genetic resources. As indicated earlier, decision 391
established the legal and institutional framework for access to genetic resources and fair and equal benefit sharing.
Starting from year 2000 a series of norms were published on strategies and planning relating to sustainable use of
biodiversity and its main components. Of particular relevance are the National Strategy on Biological Diversity
(approved by Supreme Decree N° 102-2001-PCM of 2001), and Regional Strategy for Biological Diversity for
Countries in the Andean Community (Decision 523 of CAN of 2003). These strategies define, precisely, the type of
actions and applicable strategies to implement and develop specific norms relating to biodiversity and genetic
resources.
Creation of the Ministry of Environment (Legislative Decree N° 10103 of 2008) assigned coordinating and
environmental policies definition to MINAM, including matters on biodiversity and genetic resources. MINAM is
also focal point for the CBD, and directs the National Commission on Biological Diversity. This is an inter
institutional space where proposal are defined, recommendations are proposed, and opinions are expressed regarding
general policy and strategy in relation to Biodiversity.
Of special relevance are the Policy Axis 1 on Conservation and Sustainable use of Natural Resources and Biological
Diversity, of the National Policy for the Environment (Supreme Decree N° 012-2009-MINAM), which includes
guidelines regarding genetic resources. It establishes the need to promote participation, public and private, national
and international, as well as strategic alliances, research, conservation and use of genetic resources in the framework
of extant national regulations.
Regulations on access to genetic resources (Supreme Decree N° 003-2009-MINAM) regulates in Peru application of
Decision 391 – Common Regime for Access to Genetic Resources, defines institutional framework composed of
Ministry of Environment and Adminsitrative and management Authorities (AAE) which are in charge of sectorial
application of access regulations.
In the case of Peru, there are also a series of norms and mandates that consider and rescue the need to revalue and
strengthen conservation activities and sustainable use of biodiversity and genetic resources. These include a National
2
Plan on Agro-biodiversity (elaborated by the National Council on Biological Diversity – CONAM - in 2005), the
National Registry Potato of Native Cultivars (Ministerial Decree N° 0533-AG- 2008 of 2008), among other policy
instruments.
An additional element of special relevance by its actions since 2004 in the National Commission on the Fight
Against Biopiracy, created by Law N° 28216 of 2004, which monitoring activities of possible cases of biopiracy on a
subset of native genetic resources and traditional knowledge, is amply recognized because of efficacy both nationally
and regionally. Also, it is necessary to add the need for the Commission to work on a positive agenda, relating to
informative documents, awareness on the experience gained by the Commission, technical assistance, etc.
Within this context it need to be mentioned the progress in relation to protection of traditional knowledge associated
with biodiversity. This progress is reflected, specifically, in Law ° 27811, Law on Protection of Collective
Knowledge of Indigenous People Relating to Biodiversity. In this institutional framework, INDECOPI acts as
competent authority and is in charge of its application.
Decision 486 on Common regime for Industrial Property is the norm under which INDECOPI responds to patent
requests at national level, as well as Andean Community, and verifies lawful or unlawful access to genetic resources
and associated traditional knowledge.
There is a legal and institutional framework and a degree of coordination and compromise to implement and execute
guidelines and obligations relating to ABS legal and institutional framework.
7. Knowledge Management. Outline the knowledge management approach for the project, including, if any,
plans for the project to learn from other relevant projects and initiatives, to assess and document in a user-
friendly form, and share these experiences and expertise with relevant stakeholders.
The project include knowledge management initiatives through networking with similar projects in the region and
also by sharing important lessons generated by the project itself with the participating institutions and associated
projects. In this sense, UNEP as implementing agency will play a key role by promoting interaction between the
project and similar initiatives in the region. Likewise, as it was mentioned in the project designed, interaction with
countries members of the Comunidad Andina de Naciones (CAN) will occur at various levels and because there is a
common regional regimen of ABS (Decision 391); the project will share important lessons with the CAN
community.
2
PART III: APPROVAL/ENDORSEMENT BY GEF OPERATIONAL FOCAL POINT(S) AND GEF
AGENCY(IES)
A. RECORD OF ENDORSEMENT8 OF GEF OPERATIONAL FOCAL POINT (S) ON BEHALF OF THE GOVERNMENT(S):
(Please attach the OPERATIONAL FOCAL POINT ENDORSEMENT LETTER(s) with this template. For SGP, use this
SGP OFP ENDORSEMENT LETTER).
NAME POSITION MINISTRY DATE (MM/dd/yyyy)

JOSE ANTONIO GONZÁLEZ NORRIS INTERNATIONAL MINAM 22/12/2014
COOPERATION AND
NEGOTIATION
DIRECTOR
B. GEF AGENCY(IES) CERTIFICATION

This request has been prepared in accordance with GEF policies 9 and procedures and meets the GEF
criteria for project identification and preparation under GEF-6.
Agency Date Project

Coordinator, Signature (MM/dd/yyyy Contact Telephone Email
Agency name ) Person
Brennan Van April 10, Marianela 507-3053169 marianela.araya@unep
Dyke, Director 2014 Araya, .org
GEF Coordination Programme
Office, Officer
UNEP UNEP-DEPI,
ROLAC
Panama
C. ADDITIONAL GEF PROJECT AGENCY CERTIFICATION (APPLICABLE ONLY TO NEWLY ACCREDITED GEF
PROJECT AGENCIES)
For newly accredited GEF Project Agencies, please download and fill up the required GEF Project Agency Certification
of Ceiling Information Template to be attached as an annex to the PIF
8
For regional and/or global projects in which participating countries are identified, OFP endorsement letters from these countries are
required
even though there may not be a STAR allocation associated with the project.
9
GEF policies encompass all managed trust funds, namely: GEFTF, LDCF, and SCCF
2

Gef-6 Project Identification Form (Pif) : P T: F - P T T F:Gef T F

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GEF-6 PROJECT IDENTIFICATION FORM (PIF)

PROJECT TYPE: FULL-SIZED PROJECT

A. INDICATIVE FOCAL AREA STRATEGY FRAMEWORK AND OTHER PROGRAM STRATEGIES2

B. INDICATIVE PROJECT DESCRIPTION SUMMARY

1.a.2. Control point

1.b The national 1.b.1. Information

2. Capacity TA 2.a. Relevant 2.a.1. Awareness TF 510,000 2,250,000

3. Projects and TA 3.a. Conservation 3.a.1. Ongoing 730,000 3,480,000

Subtotal 2,000,000 8,580,000

D. INDICATIVE TRUST FUND RESOURCES REQUESTED BY AGENCY(IES), COUNTRY(IES) AND THE

E. PROJECT PREPARATION GRANT (PPG)5

F. PROJECT’S TARGET CONTRIBUTIONS TO GLOBAL ENVIRONMENTAL BENEFITS7

1) The Global environment problems, root causes and barriers

2) The baseline scenario

Access management scenario

Associated baseline projects

3) The proposed alternative scenario

Next, we briefly describe the three components of proposed project:

5) Global environmental benefits (GEFTF, NPIF) and/or adaptation benefits (LDCF/SCCF)

6) Innovativeness, sustainability and potential for scaling up

Institution Sector/ actor Role or function

NAME POSITION MINISTRY DATE (MM/dd/yyyy)

B. GEF AGENCY(IES) CERTIFICATION

Agency Date Project

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