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Biodiversity and the Nagoya Protocol

Research with Genetic Resources and Traditional Knowledge

General Information about the Nagoya Procol

What is the Nagoya Protocol?

The Nagoya Protocol is an international agreement that formalizes the provisions issued by the 1993 Convention on Biological Diversity (CBD). It attempts to regulate access to genetic resources and related traditional knowledge. It also sets up a framework for fair and equitable sharing of the benefits arising from their use, which is referred to as the ‘Access and Benefit-Sharing’ (ABS) system.

A genetic resource is defined as any genetic material of real or potential value, whether it be from a plant, an animal, microbial or of another origin, that contains functional units of heredity, i.e. genes (excluding human genetic resources). In addition, genetic resources in connection with the traditional or indigenous knowledge of the local population is also considered a material of real or potential value.

The international Convention on Biological Diversity (CBD) has been in force since 1993. It aims to protect and preserve biological diversity. In addition, it aims to ensure that benefits arising from the utilization of genetic resources are shared fairly and equitably through access and benefit sharing, the so-called ‘ABS system’. Based on the stated principles of the CBD, each state regulates access to and the utilisation of its genetic resources according to national laws. In addition, states can issue special provisions for fair and equitable benefit sharing in the treaties that they issue. If the provider country is a party to the CBD (and the Nagoya Protocol), it can make access to its resources dependent on the consent of the national competent authority (so-called Prior Informed Consent, PIC). In addition, states can specify mutually agreed terms (so-called Mutually Agreed Terms, MAT), in which the provider country establishes the terms for equitable benefit-sharing. Beginning in 2014 with the Nagoya Protocol, the Parties to the Convention on Biological Diversity formulated the ABS system, in which regulations were further specified and provider countries were granted more support for enforcing their rights.

Obligations for researchers and universities

If you are currently planning a project or your project has already started, you can use the following questionnaire to determine whether your research falls within the scope of the Nagoya Protocol and EU ABS Regulations:


In general, two conditions are relevant for you and your research. This includes: a) the requirements of the Nagoya Protocol and/or b) EU regulations that also may apply. In both cases, you must first check whether the provider country is a party to the Nagoya Protocol, and to what extent the provider country has actually issued its own ABS regulations (for more information, please refer to: the ABS Clearing House). Based on this information, your research and the utilization of genetic resources must comply with the requirements of the provider country. This may include special permits and specific contractual procedures issued by competent authorities. If EU regulations also apply, you must follow up with due diligence declarations that includes a Nagoya-related review process. Supporting documents must be stored for a period of 20 years (see Compliance: EU ABS Regulations)

Researchers who are using genetic resources within the framework of the Nagoya Protocol are required to fulfill formal obligations. Failure to comply with the requirements can result in significant fines. In addition, the obligations that apply to the Nagoya Protocol and EU regulations also apply to research institutions, i.e. to the university as a legal entity. These obligations primarily involve organizational responsibility. University management provides support services to advise researchers so that they can comply with their obligations. For this purpose, the University has designated a contact person E-Mail-Adresse for general questions in the Department for Research and Transfer Services and implemented a Ticket-System for documenting Nagoya relevant research.

Please use the E-Mail-Adresse provided if you have any questions about Nagoya relevant research activities. The information provided will be documented in the Ticket-System for further assessment and the Department for Research and Transfer Services will contact you with more information.

Implementation of the obligations under the Nagoya Protocol:

According to EU Regulation Nr. 511/2014 users of genetic resources must exercise due diligence, which includes documentation requirements. Its implementation can be summarized in three steps:

The competent authority of the provider country of genetic resources or traditional knowledge issues prior informed consent to a research project in accordance with national laws.

  • "Mutally Agreed Terms" or MAT is the negotiation of a contractual agreement between the user and the provider, taking into account the system of Access and Benefit-Sharing according to the Nagoya Protocol and, if applicable, other conditions.
  • An "Internationally Recognized Certificate of Compliance" (IRCC) is the permit issued by the provider country to access and utilize genetic resources in accordance with ABS requirements.

EU regulations are primarily concerned with the utilization of genetic resources within the EU according to the provisions of the Nagoya Protocol. This results in due diligence obligations und documentation requirements. In addition, documents must be stored for a period of 20 years. It should be noted, that the EU requirements only apply if the following conditions are met altogether:

  • a) access is provided to genetic resources by a contracting party or state of the Nagoya Protocol that has issued its own access regulations,
  • b) access to genetic resources begins as of 12 October 2014,
  • c) genetic resources or traditional knowledge, and their genetic and/or biochemical composition, are utilized by a natural or legal person in the context of a research and development activity, and
  • d) the utilization (not the access!) takes place within the EU.

If all these conditions are met, researchers must implement the ABS requirements of the Nagoya Protocol (PIC, MAT etc.) and submit due diligence declarations to the competent authorities in accordance with EU requirements. The documentation of Nagoya relevant provisions that apply to your individual research must be stored for a period of 20 years after completion of the research project. In Germany, the Federal Agency for Nature Conservation (BfN) is the respective authority responsible for controlling and enforcing compliance.

Information for project planning

The Application Process

During the Project

After Project Completion

Further information and support services:

The checklist „Build your ABS Strategy“ is designed to help researchers in Germany who are new to the field of Access and Benefit-Sharing (ABS). It highlights some of the most important issues researchers need to consider when preparing their applications and includes the following topics:

  • First steps, e.g. getting informed, clarifying formalities and finding help
  • Defining the ‘red line’ for negotiations, i.e. identifying those aspects of a research project that are essential and should be covered in your ABS documentation
  • A worksheet for what types of benefits can be shared
  • Exploring options for future research (after the end of the current research project)

    • The ABS Clearing House is an information platform designed to help researchers find information on how to legally access research material (and associated traditional knowledge). Additional information includes:

    • Country profiles and the status of contracting parties
    • Competent National Authorities
    • Access and benefit-sharing measures that have already been implemented (laws, regulations, guidelines)
    • examples of Internationally Recognised Certificates (IRCC)

    The Federal Agency for Nature Conservation (BfN) is the national authority responsible for implementing the Nagoya Protocol and EU Regulation No. 511/2014 in Germany. It provides a service center and is a first point of contact for all users and holders of collections in Germany.