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Biodiversity and Traditional Knowledge : Equitable Partnerships in Practice / Edited by Sarah A

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Biodiversity and Traditional Knowledge : Equitable Partnerships in Practice / Edited by Sarah A ES_BTK_7/1 11/1/02 6:14 pm Page i Biodiversity and Traditional Knowledge ES_BTK_7/1 11/1/02 6:14 pm Page ii PEOPLE AND PLANTS CONSERVATION SERIES Series Editor Martin Walters Series Originator Alan Hamilton People and Plants is a joint initiative of WWF, the United Nations Educational, Scientific and Cultural Organization (UNESCO) and the Royal Botanic Gardens, Kew www.rbgkew.org.uk/peopleplants Titles in the series Applied Ethnobotany: People, Wild Plant Use and Conservation Anthony B Cunningham Biodiversity and Traditional Knowledge: Equitable Partnerships in Practice Sarah A Laird (ed) People, Plants and Protected Areas: A Guide to In Situ Management (reissue) John Tuxill and Gary Paul Nabhan Plant Invaders: The Threat to Natural Ecosystems (reissue) Quentin C B Cronk and Janice L Fuller Uncovering the Hidden Harvest: Valuation Methods for Woodland and Forest Resources Bruce M Campbell and Martin K Luckert (eds) Forthcoming titles in the series Ethnobotany: A Methods Manual 2nd edition Gary J Martin Tapping the Green Market: Management and Certification of Non-Timber Forest Products Patricia Shanley, Alan R Pierce, Sarah A Laird and Abraham Guillén (eds) ES_BTK_7/1 11/1/02 6:14 pm Page iii Biodiversity and Traditional Knowledge Equitable Partnerships in Practice Edited by Sarah A Laird Earthscan Publications Ltd, London • Sterling, VA ES_BTK_7/1 11/1/02 6:14 pm Page iv First published in the UK and USA in 2002 by Earthscan Publications Ltd Copyright © WWF, 2002 All rights reserved ISBN: 1 85383 698 2 paperback 1 85383 914 0 hardback Typesetting by PCS Mapping & DTP, Newcastle upon Tyne Printed and bound in the UK by Thanet Press, Margate, Kent Cover design by Yvonne Booth Cover photo by Sarah A Laird Panda symbol © 1986 WWF ® WWF registered trademark owner For a full list of publications please contact: Earthscan Publications Ltd 120 Pentonville Road London, N1 9JN, UK Tel: +44 (0)20 7278 0433 Fax: +44 (0)20 7278 1142 Email: [email protected] Web: www.earthscan.co.uk 22883 Quicksilver Drive, Sterling, VA 20166–2012, USA Earthscan is an editorially independent subsidiary of Kogan Page Ltd and publishes in association with WWF-UK and the International Institute for Environment and Development A catalogue record for this book is available from the British Library Library of Congress Cataloging-in-Publication Data Biodiversity and traditional knowledge : equitable partnerships in practice / edited by Sarah A. Laird ; with Miguel N. Alexiades … [et al.]. p. cm. — (‘People and plants’ conservation manuals) Includes bibliographical references (p. ). ISBN 1-85383-698-2 (pbk.) 1. Germplasm resources. 2. Biological diversity. I. Laird, Sarah A. II. Series. QH430 .B54 2002 333.95—dc21 2001006694 This book is printed on elemental chlorine-free paper ES_BTK_7/1 11/1/02 6:14 pm Page v This book is dedicated to the memory of Darrell Addison Posey, a committed champion of indigenous peoples’ rights, who helped direct international attention to the issues addressed in the following pages. His wonderful awe and reverence for life has also made his death a great loss to the many of us who valued his tremendous friendship This book is also dedicated with love to my grandparents Ralph and Stella Meaker who – over many years – have done so much for all of us ES_BTK_7/1 11/1/02 6:14 pm Page vi ES_BTK_7/1 11/1/02 6:14 pm Page vii Contents Dedication v List of figures, tables and boxes ix List of case studies xiii List of contributors xiv About the authors xv The People and Plants Initiative by Alan Hamilton xix Foreword by Maurice M Iwu xx Introduction xxii People and Plants partners xxxvii Acknowledgements xxxviii Section I: Biodiversity research relationships 1 Laying the foundation: equitable biodiversity research relationships 3 Miguel N Alexiades and Sarah A Laird 2Professional society standards for biodiversity research: codes of ethics and research guidelines 16 Sarah A Laird and Darrell A Posey 3 Institutional policies for biodiversity research 39 Sarah A Laird and Rachel Wynberg 4 Publication of biodiversity research results and the flow of knowledge 77 Sarah A Laird, Miguel N Alexiades, Kelly P Bannister and Darrell A Posey 5 ‘Giving back’: making research results relevant to local groups and conservation 102 Patricia Shanley and Sarah A Laird Section II: Biodiversity research and prospecting in protected areas 6Protected area research policies: developing a basis for equity and accountability 127 Sarah A Laird and Estherine E Lisinge Section III: Community relationships with researchers 7 Building equitable research relationships with indigenous peoples and local communities: prior informed consent and research agreements 179 Sarah A Laird and Flavia Noejovich ES_BTK_7/1 11/1/02 6:14 pm Page viii Biodiversity and Traditional Knowledge Annex 7.1 Prior informed consent: the anthropology and politics of cross-cultural exchange 221 Miguel N Alexiades and Daniela M Peluso Annex 7.2 Indigenous peoples’ declarations and statements on equitable research relationships 228 Graham Dutfield Annex 7.3 Prior informed consent: protocol and form 233 Marianne Guerin-McManus and Dillon Kim Section IV: The commercial use of biodiversity and traditional knowledge 8 Biodiversity prospecting: the commercial use of genetic resources and best practice in benefit-sharing 241 Sarah A Laird and Kerry ten Kate 9 Biodiversity prospecting contracts: the search for equitable agreements 287 Brendan Tobin 10 Elements of commercial biodiversity prospecting agreements 310 Michael A Gollin Annex 10.1: Outline of issues to address and language to consider in a biodiversity prospecting agreement 327 Michael A Gollin 11 Sharing financial benefits: trust funds for biodiversity prospecting 333 Marianne Guerin-McManus, Kent C Nnadozie and Sarah A Laird Section V: National policy context 12 Developing and implementing national measures for genetic resources access regulation and benefit-sharing 363 Charles V Barber, Lyle Glowka and Antonio G M La Viña Section VI: Conclusions and recommendations 13 Conclusion and recommendations 417 Sarah A Laird, Charles V Barber, Kelly P Bannister, Lyle Glowka, Michael A Gollin, Kerry ten Kate, Flavia Noejovich, Brendan Tobin, Antonio G M La Viña, and Rachel Wynberg Directory of useful contacts and resources 430 Contributors’ contact information 443 Acronyms and abbreviations 447 Glossary 454 References 461 Index 489 viii ES_BTK_7/1 11/1/02 6:14 pm Page ix List of figures, tables and boxes Figures 5.1 ‘Giving back’ research results in the Eastern Amazon 114 10.1 Consortium 1 317 10.2 Consortium 2 318 10.3 Hub and spoke 320 Tables I.1 Gross domestic product and annual pharmaceutical company sales, 1997 (US$ millions) xxviii 1.1 Relationship between the number of plant ecologists and the number of plant species by region 4 2.1 Elements of codes of ethics and research guidelines 33 3.1 Institutional biodiversity prospecting policies 42 3.2 Examples of research institution commercial partnerships in the 1990s 54 3.3 Does policy mean practice? Key bioprospecting agreements in South Africa 63 6.1 Possible benefits from research 156 7.1 International and national law that impact research results 186 7.2 Designing agreements in Mkambati 197 7.3 Types of demands 228 8.1 Examples of genetic resources transferred before the 20th century 242 8.2 World’s top companies in selected industry sectors 246 8.3 1998 top ten best-selling botanical medicines in Europe and the US 259 8.4 The use of traditional knowledge by industry sectors 271 12.1 Benefit-sharing arrangements in selected genetic resources access agreements 369 12.2 Legislative options for genetic resources access and benefit-sharing, and selected countries considering or pursuing each option 376 Boxes I.1 Equitable partnerships in practice: key terms xxiv 1.1 Characterizing biodiversity research 6 ES_BTK_7/1 11/1/02 6:14 pm Page x Biodiversity and Traditional Knowledge 2.1 The Pew Conservation Fellows Biodiversity Research Protocols 20 2.2 Developing a voluntary code of conduct for conservation research and community biodiversity registers in India 22 2.3 Elements of a code of ethics and research guidelines 23 2.4 The American Anthropological Association Committee on Ethics: evolution of a code of ethics 25 2.5 The Manila Declaration and Melaka Accord 29 2.6 Federal funding codes: the Canadian Tri-Council Policy Statement on Ethical Conduct for Research Involving Humans 31 3.1 Common policy guidelines for participating botanic gardens on access to genetic resources and benefit-sharing 51 3.2 The institutional policy development process: steps in policy drafting and implementation 56 3.3 The University of Illinois, Chicago, PCRPS: evolution of an institutional policy 59 3.4 Bioprospecting policy in South Africa – setting standards for best practice 62 4.1 Registries of biodiversity-related knowledge 85 4.2 Researchers’ checklist for publication results 90 4.3 The growing role of databases: conflicting trends in access 93 4.4 A reader’s moral and ethical advisory: one approach to protecting traditional knowledge 95 5.1 The Max Lock Centre Output Guide: providing advice on communication to ‘knowledge miners’ 108 5.2 Culture-based approaches to research design: teaching survey principles in a Fijian community 109 5.3 Forms of ‘giving back’ data 111 6.1 What are protected areas? 128 6.2 IUCN protected area categories adopted at the 1994 General Assembly 129 6.3 The Convention on Biological Diversity and Protected Areas 160 6.4 Research in protected areas in the context of Decision 391 of
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