COP-MOP Decisions

Capacity-building (Roster of experts)

The Conference of the Parties serving as the meeting of the Parties to the Cartagena Protocol on Biosafety

I. STATUS AND IMPLEMENTATION OF THE ROSTER OF EXPERTS ON BIOSAFETY

1. Adopts the Interim Guidelines for the Roster of Experts on Biosafety, contained in annex I to the present decision;

2. Invites Parties and Governments to use the Interim Guidelines for the Roster of Experts on Biosafety;

3. Urges Parties and Governments that have not yet done so to submit nominations of experts to the Secretariat in accordance with the Interim Guidelines for the Roster of Experts on Biosafety, using the nomination form provided via the Biosafety Clearing-House and reproduced in appendix 1 of annex I to the present decision;

4. Recognizing that the roster of experts will be most useful if there is sufficient detail to discern the particular areas of knowledge and specialization for each expert, urges Governments to update, or to request their nominated experts to update, the information currently contained in the roster, for each field of the nomination form;

5. Requests the Executive Secretary, as the administrator of the roster, to implement the functions specified in the Interim Guidelines for the Roster of Experts on Biosafety;

6. Requests the Executive Secretary to report to the second meeting of the Conference of the Parties serving as the meeting of the Parties to theProtocol on the status of the use of the roster of experts on biosafety, with a view to monitoring the regional balance in the use of experts;

II. PILOT PHASE OF THE VOLUNTARY FUND FOR THE ROSTER OF EXPERTS ON BIOSAFETY

Reaffirming the important role to be played by the voluntary fund in supporting developing country Parties, in particular the least developed and small island developing States among them, and Parties with economies in transition, to pay for the use of experts selected from the roster,

Noting and welcoming the decision of the Conference of the Parties, at its sixth meeting, to establish, pursuant to paragraphs 6 and 7, of recommendation 2/9 B of the Intergovernmental Committee for the Cartagena Protocol on Biosafety, and on a pilot-phase basis, a trust fund, to be administered by the Secretariat, for voluntary contributions from Parties and Governments for the specific purpose of supporting developing country Parties, in particular the least developed and the small island developing States among them, and Parties with economies in transition to pay for the use of experts selected from the roster of experts on biosafety,

7. Adopts the Interim Guidelines for the Pilot Phase of the Voluntary Fund for the Roster of Experts on Biosafety, as contained in annex II to the present decision;

8. Invites Parties and Governments to use the Interim Guidelines for the Pilot Phase of the Voluntary Fund for the Roster of Experts on Biosafety;

9. Requests the Executive Secretary to administer the pilot phase ofthe Voluntary Fund according to the Interim Guidelines for the Pilot Phase of the Voluntary Fund for the Roster of Experts on Biosafety;

10. Decides that the pilot phase of the Voluntary Fund for the Roster of Experts on Biosafety shall last for a period of four years andrequests the Executive Secretary on its completion to provide the Conference of the Parties serving as the meeting of the Parties to the Protocol with an evaluation of its performance along with recommendations for any necessary future action;

11. Urges Governments and other donors to make contributions to the pilot phase of the voluntary fund for the roster of experts;

12. Invites the financial mechanism for the Protocol to assess whether it can have a role to play in the roster of experts.

Annex I

INTERIM GUIDELINES FOR THE ROSTER OF EXPERTS ON BIOSAFETY

A. Mandate of the roster

1. The mandate of the roster of experts shall be to provide advice and other support, as appropriate and upon request, to developing country Parties, in particular the least developed and small island developing States among them, and Parties with economies in transition, to conduct risk assessment, make informed decisions, develop national human resources and promote institutional strengthening, associated with the transboundary movements of LMOs. Moreover, the roster of experts should perform all other functions assigned to it by the Conference of the Parties serving as the meeting of the Parties to the Protocol in the future, in particular in the fields of capacity-building.

2. The roster of experts is an instrument to build capacities and to aid developing country Parties, in particular the least developed and small island developing States among them, and Parties with economies in transition until adequate capacities have been built.

B. Administration of the roster

The Secretariat of the Convention/Protocol shall administer the roster. These functions will include:

(a) Establishing and reviewing, as necessary, the nomination form;

(b) Maintaining an appropriate electronic database to allow easy access to the roster;

(c) Maintaining a paper copy, updated at least once a year, of the roster;

(d) Advising the Parties on coverage of all areas of expertise available through the roster, and on regional and gender balances on the roster from time to time;

(e) Assisting Parties, on request, in identifying appropriate experts; and

(f) Performing such other administrative functions as are set out in these Guidelines or as directed by the Conference of the Parties to theConvention serving as the meeting of the Parties to the Protocol in other decisions;

(g) Verifying the availability of experts as necessary.

C. Access to the roster

Access to the roster should be maintained through the Biosafety Clearing-House (via the Internet or non-electronic means). The Secretariat will publish once a year a written version of the roster for distribution to each Party, along with a description of how the different Internet search fields can be used to aid Parties to identify needed expertise. A Party may request any updated version in between these publications.

D. Membership on the roster of experts

1. Nomination of members

1. Roster members shall be nominated by Governments. Governments are responsible for ensuring that nominees possess the highest professional qualities and expertise in the fields for which they are nominated. Parties should consult with relevant stakeholders and seek interested individuals including from national and sub-national governments, research and academic institutions, industry and non-governmental organizations for the purpose of providing balanced, high-quality nominations.

2. The Parties are encouraged to consider retired experts with accumulated knowledge and experience, and with no current institutional affiliations, as potential nominees.

2. Mechanism for nomination

1. The nomination form attached to these guidelines as appendix 1 shall be used for all nominations. Electronic submissions of the form are encouraged. Nominating Governments should ensure the accuracy of the information submitted on all nomination forms. The Executive Secretary will undertake a review of the roster of experts nomination form with input from Governments and, in particular, to review the categories of expertise.

2. Governments shall endeavour to keep their nominations to the roster of experts up-to-date. Parties shall use their national reports to the Cartagena Protocol on Biosafety to confirm their nominations and, if necessary, update information of individual experts. Non-Parties are invited to confirm and update information with the same periodicity.

3. Maximum number of nominations

Each Government is recommended not to nominate more than 50 experts, and not more than five experts per area of specialization (as this term is used in the nomination form) may be nominated.

4. Balanced representation

1. All Governments are encouraged to nominate experts and to encourage regional balance in the roster. Governments should utilize regional centres of excellence in developing countries, in particular the least developed and small island developing States among them, and countries with economies in transitions, as sources for the nomination of experts. The Secretariat will ensure that the roster database allows for a regional breakdown of roster members as a primary "filter" in searching the list of members.

2. Governments are encouraged to promote gender balance in their nominations, as well as ensure appropriate expertise for assessments with respect to Article 26 of the Cartagena Protocol.

3. The Executive Secretary shall report annually to the Parties on the sectoral, regional and gender balances in the roster.

5. Required information on experts

Information required for each nominee is set out in the nomination form. The Secretariat shall ensure each form is complete prior to listing a nominee on the roster.

6. Institutions

Involving experts from existing and independent institutions with relevant expertise in biosafety would allow access to a wide base of multidisciplinary knowledge. Therefore, experts are invited to indicate in the nomination form whether they are members of any institution.

E. Scope of expertise required

1. The areas of expertise required for members of the roster are identified on the nomination form in appendix 1.

2. The areas of expert advice and support that may be provided through the roster are set out in the indicative list contained in appendix 2 to these guidelines.

F. Choice of experts for assignments

1. Choice by requesting Party

The choice of experts for any given assignment is to be made by the requesting Party.

2. Assistance by Secretariat

When requested by a Party seeking an expert, the Secretariat shall provide assistance to the Party to identify experts listed in the specific area(s) of expertise in the roster. Where feasible, the Secretariat should include a list of potential experts that reflects regional and gender participation.

3. Secretariat facilitating initial contact

The Secretariat may facilitate the initial contact ofa Party seeking assistance with any expert on the roster. When direct contact is made by a Party to an expert, the Party should report the contact and its result to the Secretariat in order to ensure that full records on the operations of the roster can be maintained.

G. Obligations of individuals on the roster

1. Ensuring complete and accurate information on nomination forms

Experts are responsible to ensure that the information on their nomination form is complete and accurate.

2. Agreement to release nomination form information to the public

All information on the nomination form should normally be made available to the public, including on the Biosafety Clearing-House, after a nomination is completed. However, a roster member may request the non-disclosure of direct contact information (telephone, address, fax and e-mail) if she or he chooses.

3. Acceptance or refusal of a request for assistance/advice

Members of the roster may accept or reject any proposed assignment.

4. Declining to act if there is a real or perceived conflict of interest

1. Experts should decline any assignment where an assignment may raise a real or perceived conflict of interest. Prior to undertaking any assignment through the roster, or to being put forward on a secretariat shortlist, each roster member will complete a conflict of interest declaration, indicating if they have any personal, institutional or other professional interests or arrangements that would create a conflict of interest or that a reasonable person might perceive creates a conflict.

2. If the declaration raises concerns, the Secretariat or Party concerned may seek further information from the expert. If legitimate concerns remain, it is recommended that any judgments as to whether a conflict exists should err on the side of caution, consistent with maintaining the highest level of credibility of the roster process.

5. Acting in a personal capacity

Each expert shall act solely in their personal capacity, regardless of any other governmental, industry, organizational or academic affiliation.

6. Exhibiting highest professional standards

Any expert carrying out an assignment is expected to comply with all applicable professional standards in an objective and neutral way, and to exhibit a high degree of professional conduct in undertaking an assignment. These standards should extend to any discussions that assist a Party in choosing an expert. Experts are expected to perform their duties in a timely manner.

7. Contributing to training of local personnel when possible

Experts may be asked, when appropriate, to contribute to on-the-ground-training and capacity-building of local personnel as part of their assignment.

8. Confidentiality and transparency

1. Unless otherwise authorized by the requesting Party concerned, experts on the roster undertaking assignments shall not divulge confidential information obtained through or as a result of performing their duties. Confidentiality should be as stipulated in the agreement between the Party and the expert.

2. The final written advice of the expert shall be made available through the Biosafety Clearing-House, respecting confidential information.

9. Setting clear expectations

It is the responsibility of the Party and the expert to ensure that the expectations and terms of reference of the Party are clear, and that these have been understood by the expert.

10. Submitting a report

Brief reports should be prepared by the expert following completion of the assignment, including overall assessment of the process, the results achieved and constraints encountered, as well as suggestions that might be considered for future assignments.

H. Payment of roster members

1. Pro bono assignments

Any expert may choose to undertake an assignment on a pro bono basis. The same principles relatingto conflict of interest, acting in a personal capacity, and other obligations under section G would apply to suchpro bono assignments.

2. Secondment

Any organization may permit experts affiliated with it to undertake an assignment as a secondment from their usual duties. Transparent and full disclosure of any such arrangements should be made. No Government or institution is obligated to cover any or all of the cost of a nominated expert.

3. Payments fixed by contract with requesting Party

Legal arrangements for fees and/or expenses associated with an assignment should be addressed in contractual agreements between the Party and the expert in question.

I. Liability

Decisions taken by the requesting Party on the basis of advice provided will be the sole responsibility of the Party.

1. Liability of nominating Party

Nominating Governments shall not be liable for the personal conduct, inputs or results arising from or connected with the work of an expert it has nominated.

2. Liability of the Secretariat

The Secretariat shall not be liable for, or subject to any legal process arising from or connected with, the use or advice of an expert from the roster.

3. Liability of experts

Liability of the expert and the applicable law should be addressed in the contract between the Party seeking assistance and the expert.

J. Reports

1. Parties are encouraged to provide the Secretariat with an evaluation of the advice or other support provided by experts and the results achieved. Such evaluations should be made available through the Biosafety Clearing-House.

2. Once a year, the Quarterly Report prepared by the Secretariat will include a section on the operation of the roster, which should include factual information on the number of experts on the roster, regional, gender, discipline breakdowns of the roster, direct contacts initiated by Parties and their results or contacts facilitated by the Secretariat and their results, including the individual experts contracted by each requesting Party, a note on the topic and description of the assignment, results of the work undertaken and the availability of written products. These reports should be made available through the Biosafety Clearing-House.

K. Periodic review

The operation of the roster should be subject to independent periodic review. The first review should take place in two years. Periodic reviews should then take place in accordance with Article 35 of the Protocol. These periodic reviews should be broad-based, looking at appropriate balances in the roster membership, its uses, successes, failures, quality control of roster assignments, the need for additional advisory services in administering the roster, and other possible recommendations for revisions to the mandate or these rules of procedure to respond to the findings.

Appendix 1

NOMINATION FORM FOR THE BIOSAFETY ROSTER OF EXPERTS

EXPERT INFORMATION

(a) Please provide full names rather than only acronyms or initials

Details of Current Employment

Education

Expertise

This section allows you to specify your main expertise for contribution to the roster. Areas of expertise are organized under 8 broad subheadings as follows:

(a) Please indicate only the particular subjects in which you have specialized expertise.

(b)

(c)

Employment History

(a)

(a) Please give details of previous employment beginning with the most recent previous employer.

Publications

Awards and Memberships

Knowledge of Languages

References

(a) Please give name and detailed contact information for key professional references

Any Other Relevant Information

(a) Please list any other information relevant to your role as an expert.

Confirmation and Agreement

I hereby confirm that the above information iscorrect and agree for its inclusion in the Roster of Experts on Biosafety under the Cartagena Protocol on Biosafety and the Convention on Biological Diversity. I have no objection to this information being made publicly available.

Signature: __________________________________________ Date:

CONFIRMATION BY NOMINATING GOVERNMENT

(a) This section must be completed by a National Focal Point

Appendix 2

INDICATIVE LIST OF AREAS OF ADVICE AND SUPPORT FOR THE ROSTER OF EXPERTS FOR IMPLEMENTATION OF THE CARTAGENA PROTOCOL

Source: Indicative Framework for Capacity-Building under the Cartagena Protocol on Biosafety, (UNEP/CBD/ICCP/1/4).

Annex II

INTERIM GUIDELINES FOR THE PILOT PHASE OF THE VOLUNTARY FUND FOR THE ROSTER OF EXPERTS ON BIOSAFETY

A. Purpose of the pilot phase of the Voluntary Fund

The pilot phase of the Voluntary Fund for the Roster of Experts is hereby established to support developing country Parties, in particular the least developed and small island developing States among them, and Parties with economies in transition, to pay for the use of experts selected from the roster.

B. Financing of the pilot phase of the Voluntary Fund

The pilot phase of the Voluntary Fund shall be financed from voluntary contributions. Annually, the Executive Secretary shall seek contributions to the Voluntary Fund from Governments, governmental, intergovernmental and non-governmental organizations, and other sources with the financial ability to do so, in accordance with the Financial Rules of the Convention and the Financial Regulations and Rules of the United Nations.

C. General administration of the Voluntary Fund

1. The pilot phase of the Fund shall be administered by the Executive Secretary in accordance with the interim guidelines for the roster of experts on biosafety contained in annex 1 to the present decision, and in accordance with the Financial Rules of the Convention.

2. The Bureau of the Conference of the Parties to the Convention serving as the meeting of the Parties to the Protocol shall advise the Executive Secretary on administrative and operational matters relating to the activities of the pilot phase of the Voluntary Fund.

3. The Secretariat of the Convention on Biological Diversity shall receive voluntary contributions and, upon request and as agreed, distribute on a case-by-case basis, an agreed amount from the Voluntary Fund to eligible Parties in accordance with the eligibility criteria specified in section D below.

4. All administrative costs of the pilot phase of the Voluntary Fund shall be met by the Voluntary Fund. In accordance with the Financial Regulations and Rules of the United Nations, 13 per cent of the total amount disbursed shall be levied to cover theadministrative costs.

5. The Secretariat shall prepare reports on the status, operation and use of the pilot phase of the Voluntary Fund for consideration by each meeting of the Conference of the Parties serving as the meeting of the Parties to the Protocol, as well as allocation reports and financial statements in accordance with the Financial Rules of the Convention. These reports shall be made available through the Biosafety Clearing-House.

6. Once a year, the Secretariat will report in its Quarterly Report for the fourth quarter the status of the use of the pilot phase of the Voluntary Fund, listing the value, purpose, and timing of approved requests and completed assignments. A summary of use of the Voluntary Fund by region will also be included. This report will be in the same Quarterly Report as the report required on use of the roster itself, specified in section J, paragraph 2, of the interim guidelines for the roster of experts annexed to the present decision.

D. Eligibility criteria

The eligibility criteria are defined as follows:

(a) Eligible countries: Funding requests will only be considered from developing country Parties, in particular the least developed and small island developing States among them, and Parties with economies in transition;

(b) Eligible activities: Funding requests shall be related to the use of experts from the roster, for purposes defined by decision EM-I/3 and the interim guidelines for the roster of experts on biosafety, annexed to the present decision. These purposes include providing advice and support to Parties to conduct risk assessment, make informed decisions, develop national human resources, promote institutional strengthening, associated with transboundary movements of living modified organisms, or perform other functions approved by the Conference of the Parties serving as the meeting of the Parties to the Protocol in future, particularly in the field of capacity-building. The use of experts and their contributions should be complementary to, and not duplicate, the assistance provided through the financial mechanism;

(c) Eligible costs:

(i) Eligible costs include professional fees, travel expenses, and other costs directly related to the use of experts. The pilot phase of the Voluntary Fund shall not be used to support broader activities or projects that comprise anything other than the use of experts;

(ii) The general United Nations daily rate for professional fees for experts shall apply, as appropriate. In cases where the normal daily rate for an expert from a particularcountry exceeds the United Nations daily rate, higher rates may be approved.

(d) Criteria for assessment of funding requests: The requests made by the eligible Parties shall be assessed on the basis of the following criteria:

(i) Regional balance: Preference shall be given to requests from Parties in regions where the Voluntary Fund has been underutilized;

(ii) Satisfactory compliance for previous grants: Consideration of new funding requests shall be conditional upon satisfactory compliance with outstanding reporting requirements for previous grants to the same Party under the Voluntary Fund;

(iii) Timing of receipt of the request: Requests will be assessed on a first-come-first-served basis. However, if the number and value of requests is high in relation to the funds available, the Bureau ofConference of the Parties serving as the meeting of the Parties to the Protocol may advise the Secretariat to gather all requests over a specified time period so that all can be assessed simultaneously;

(iv) Any other criteria that may be approved by theConference of the Parties serving as the meeting of the Parties to the Protocol.

(e) Maximum amount per funding request: Subject to the availability of funds, the maximum amount to be requested from the Fund shall not exceed US$20,000.00;

(f) Maximum disbursement per Party per year: The maximum amount to be disbursed from the Fund to any one Party shall not exceed US$50,000.00 in a calendar year;

E. Procedures for application, processing of requests, disbursement of funds, and reporting

The following shall be the steps related to application for funding by Parties, processing of requests, disbursement of funds, and reporting:

(a) Funding requests from eligible Parties shall be endorsed by the competent national authority and submitted by the national focal point to the Executive Secretary. Each funding request shall be prepared using the attached funding request form (appendix A), and shall be submitted to the Secretariat at least 60 days prior to the intended date on which the assignment is to commence;

(b) The Secretariat shall acknowledge receipt of the funding application within two weeks of receipt of a completed funding request form;

(c) The funding request shall be evaluated by the Secretariat, in consultation with the Bureau of theConference of the Parties serving as the meeting of the Parties to the Protocol, according to the eligibility criteria defined in section D above, and a decision on the request shall be communicated within 30 days of receipt of the application;

(d) If funding is approved, the Secretariat shall prepare a memorandum of understanding, based on the template attached as appendix B, which specifies the purpose and extent of the assignment to be undertaken, the date of completion for the assignment, thereporting requirements and the obligations of the recipient Party regarding the use of the funds. This memorandum of understanding shall be signed by the Secretariat and delivered to the recipient Party for signature within 30 days of receipt of the application;

(e) The recipient Party shall return the signed memorandum of understanding to the Secretariat within 30 days;

(f) The Secretariat shall disburse 50 per cent of the approved funds, to the bank account nominated by the Party, within 30 days of receiving the signed memorandum of understanding from the recipient Party;

(g) Each recipient Party shall be required to submit to the Executive Secretary a copy of the final report of the expert(s), immediately upon completion of the assignment but not later than three months after completion of the assignment, and to report on the assignment using the reporting form attached as appendix C;

(h) Upon receipt of the final experts report from the recipient Party, the Secretariat shall transfer the outstanding balance;

(i) The Secretariat shall make all submitted reports on assignments available through the Biosafety Clearing-House.

Appendix A

REQUEST FOR FUNDING FROM THE PILOT PHASE OF THE VOLUNTARY FUND FOR THE ROSTER OF EXPERTS ON BIOSAFETY

Requesting Party:

Name(s) and organization(s) of expert(s):

Purpose of assignment:

Specific activities of the assignment:

Start date: ________________________ End date: ________________________

Expected costs (US dollars) (attach more details if necessary):

¹ Standard UN rates should be used; other rates must be justified and are subject to approval by the Executive Secretary

² Standard UN rates will apply

Representative of Competent National Authority

Name: ________________________ Organization: ________________________

Signature: ________________________ Date: _________

National Focal Point

Name: ____________________________ Signature: ________________________ Date: _________

Appendix B

MEMORANDUM OF UNDERSTANDING FOR SUPPORT FROM THE PILOT PHASE OF THE VOLUNTARY FUND FOR THE ROSTER OF EXPERTS ON BIOSAFETY

1. This Memorandum of Understanding is made between

The Secretariat of the Convention on Biological Diversity (the Secretariat), and

Agency: ______________________________, of

Country: ______________________________ (the Recipient), which is the competent national authority with respect to implementation of the decisions of the Conference of the Parties serving as the meeting of the Parties to the Protocol.

2. This memorandum of understanding addresses the responsibilities of both the Secretariat and the Recipient regarding the use of the pilot phase of the Voluntary Fund for the Roster of Experts on Biosafety to fund the use of the following expert(s) for the following period:

Name(s) and organization(s) of expert(s): ______________________________

Start date: ______________________________ End date: ______________________________

3. The attached request for funding specifies additional details including the purpose of the assignment, the specific activities of the assignment, and the costs and value of the request.

4. The Secretariat agrees to fulfil its obligations with respect to the modalities for application, processing of requests, disbursement of funds, and reporting as specified in the interim guidelines for the pilot phase of the Voluntary Fund for the Roster of Experts on Biosafety.

5. The Recipient agrees to fulfil its obligations with respect to the modalities for application, processing of requests, disbursement of funds, and reporting as specified in the interim guidelines for the pilot phase of the Voluntary Fund for the Roster of Experts on Biosafety.

6. It is the responsibility of the Recipient, in discussion with the expert, to ensure that the expectations and terms of reference of the Party are clear, that these have been understood by the expert, and provided in written form to the expert at the outset of the assignment.

7. Specific conditions agreed to for this memorandum of understanding are the following:

For the Secretariat

Name: ________________________ Signature:________________________ Date: _______________

For the Recipient

Name: ________________________ Signature: ________________________ Date: _______________

Bank account details for transfer of funds:

Bank name: ________________________

Branch ID/Number: ________________________

Swift/Sort code: ________________________

Complete mailing and street address: ________________________________________________

________________________________________________

________________________________________________

Account holder: ________________________________________________

Account number: ________________________________________________

Currency: ________________________

Appendix C

REPORTING FORM FOR WORK SUPPORTED BY THE PILOT PHASE OF THE VOLUNTARY FUND FOR THE ROSTER OF EXPERTS ON BIOSAFETY

Party:

Competent National Authority:

A. Specifications of the assignment

Name(s) and organization(s) of expert(s):

Purpose of assignment:

Specific activities of the assignment:

Start date: End date:

B. Assessment

Is the final report(s) of the work of the expert(s) attached? Yes No

Was the work finished in the time specified? If no, why not?

Did the work and associated products fulfil the purpose of the assignment? If no, why not?

Please report on the quality and standard of work performed by the expert(s).

C. Signatures

Representative of Competent National Authority

Name: ________________________ Organization: ________________________

Signature: ________________________ Date:_______________

National Focal Point

Name: ________________________ Signature: ________________________ Date: _______________