The Determinants of National GM Biotechnology Innovative Capacity and the Policy and Political Reality in Africa: A “State of Affairs” José Falck Zepeda, Judith A. Chambers, Guillaume Gruere, Patricia Zambrano, Debdatta Sengupta and Karen Hokason Presentation made at ICABR Conference Ravello, Italy, June 24-27 2012. This presentation and paper have not been formally peer-reviewed by IFPRI or elsewhere. Opinions in this presentation and paper are solely those of the authors and not of IFPRI and its donors. Background Study commissioned by the African Development Bank to IFPRI to help define its agricultural biotechnology policy Desktop study using the best available secondary information and the IFPRI/PBS network of partners Very limited time frame and few resources Focus of the analysis is on genetic modification (GM) technologies in particular and its agricultural context GM technologies are at the center of the controversy about biotechnology’s role in Africa Recognize biotechnology is broad collection of techniques/methods Key issues examined in the AfDB commissioned report Capacity Regulatory Policy Intellectual Property Rights (IPR) Trade and Markets Natural Resources Management (NRM) and Biodiversity Policy, Politics and Outreach Conclusions from IFPRI’s Report to the African Development Bank Africa’s capacity to innovate, create, adapt, apply, and transform its agriculture sector using the new tools of biotechnology is, at this time, seriously deficient In the face of current trends, with a few exceptions, most countries will depend on the involvement of specific private sector interests or some combination of willing public sector and international donors to actually develop products and applications for use by African farmers and consumers. Some supporting statements… Only handful of countries have a critical mass to begin using effectively biotechnology innovations Alarming declines in the numbers of plant breeders (a necessary skill set to capitalize on biotech innovations) and biotechnologists Continued erosion of agriculture spending levels – few exceptions Lacking financial support for an agricultural biotechnology foundation Many policies (IPR, trade and market, regulatory) are not conducive to investment and innovation as they are focused on risk and negative impacts Some supporting statements (2)… Biosafety regulatory policies are a major detrimental constraint Confusion – inconsistent with accepted practice Focused on risk and the precautionary principle In many cases, biosafety systems inefficient, costly, lack transparency Trade issues need to be considered on a case-by-case basis Export risks, Low level presence(LLP), Labeling, Documentation requirements Involvement of the local private sector, especially in the seed industry, is minimal Biotechnology tools used in Africa (percent use of all institutions surveyed Source: FAO’s GIPB plant breeding and biotechnology database (http://gipb.fao.org/Web-FAO-PBBC/) using FAO classification of countries. Note: AfDB classification considers 1) Eastern Africa contains data from Eritrea, Ethiopia, Kenya, Madagascar, Malawi, Mozambique, Rwanda, Uganda, Zambia, and Zimbabwe; (2) Middle Africa contains data from Angola, Cameroon, and Gabon; (3) Southern Africa contains data from Namibia only; (4) Western Africa includes data from Benin, Burkina Faso, Côte d'Ivoire, Ghana, Mali, Niger, Nigeria, Senegal, Sierra Leone, and Togo; and 5) Northern Africa includes data from Algeria, Morocco, Sudan, and Tunisia. Africa’s GM research and commercial projects 2003-2010 Crop Banana Cassava Cocoa Cotton Cowpea Technology type PQ FR IR IR BR NE PQ PQ VR NE FR AP HT IR IR/HT AP AP IR Research projects and areas of interest Africa wide 2003 –2005 Extended shelf life Fungal resistance to Sigatoka Nematode resistance Weevil resistance Bacterial resistance Decrease post-harvest deterioration novel starches Virus resistance mosaic virus Ongoing research projects Commercial release 2010 2010 Uganda Uganda South Africa Egypt, Kenya, Uganda, Zimbabwe Kenya, Nigeria, Uganda fungus resistant-witches broom and frosty pod rot Drought tolerance Insect resistance - Bollworm Drought tolerance productivity enhancement Resistance to cowpea aphid- borne mosaic Egypt South Africa South Africa Kenya, Nigeria, Uganda, Zimbabwe Burkina Faso South Africa South Africa South Africa Ghana Cucumber, Melon, VR Egypt Squash Groundnuts AP Drought tolerance, Aflatoxin control Resistance to rosette and clump viruses VR IR Control of storage insects (weevils) tobacco streak virus VR HT Herbicide resistance used to manage Source: Atanassov et al. (2004); IFPRI Rapid Assessment Report (2006); Karembu (2009); personal communication. Note: AP: agronomic property; IR: insect resistant; VR: viral resistant; FR: Fungal resistant; PQ: Product quality; HT: herbicide tolerant. Crop Maize Technology type Research projects and areas of interest Africa wide Ongoing research projects Commercial release 2010 2010 HT 2003 –2005 Herbicide resistance South Africa IR Insect resistance - Stem borer South Africa, Zimbabwe VR Resistance Maize Streak Virus Drought tolerance AP FR Fungal resistance to Fusarium and Stenocarpella HT Glyphosate resistance PQ Vitamin enhanced IR/DT Kenya, Mozambique, Tanzania, South Africa, Uganda South Africa South Africa HT/Bt South Africa Potato IR Rice IR Insect resistance PQ Nerica VR RYMV resistance FR Pyriculariose resistance (fungus) Egypt, South Africa Sugarcane AP Sweet potato VR Featherly mottle virus Kenya, Zimbabwe Sorghum PQ Nutrition enhancement Kenya, Nigeria, South Africa IR Striga resistant South Africa Soybeans Tomato Egypt, South Africa South Africa VR Resistance to TYLCV PQ Delayed Ripening Egypt NEPADs OST centers of excellence in biosciences Networks NABNet (Northern African Biosciences Network Nodal Point Egypt Hub National Center Focus Area of Work Research Center (NRC) Biopharmaceuticals North Africa: to lead the continent in research into bio-pharmaceuticals, drug manufacturing and test kits WABNet (West African Biosciences Network) Senegal Senegalese Institute of Agricultural Research (ISRA) Crop Biotech West Africa: to carry out research using biotechnology tools to develop cash crops, cereals, grain, legumes, fruits & vegetables and root/tuber crops SANBio (Southern African Network for Biosciences) South Africa CSIR, Bioscience Unit Health Biotech Southern Africa: to deliver health biotechnology by researching into the causes and prevention methods of a range of diseases, in particular, TB, malaria and HIV/AIDS BecANet (Biosciences East and Central Africa Kenya International Livestock Research Institute (ILRI) Animal Biotech East Africa: to focus on research into livestock pests and diseases in order to improve animal health and husbandry. Central Africa: to build and strengthen indigenous capacity by identifying, conserving and sustainably using natural resources and also researching into the impact on biodiversity of events such as climate change and natural disasters The CGIAR’s biotech research Center Bioversity Center HQ Italy ClAT Crop Musa Pests (weevils, nematodes), disease Beans Agronomic Cassava Insect Modified starch, early flowering and beta carotene Virus, disease Rice CIMMYT CIP Mexico Peru Trait (resistance) Maize Abiotic stress (flood, acid soils, high elevation) Drought Insect (Bt) Wheat Drought Potato Sweet potato Agronomic Insect (Bt, ) Disease (late blight) Virus Insect,weevils Modified starch Research Gene discovery & characterization Transformation (particle bombardment & Agrobacterium): Backcrossing on wild species: Transformation (Agrobacterium) of clones used by small farmers Regulatory Status Lab Greenhouse Field Trials Field Trials Transformation (Agrobacterium) of recalcitrant cultivar into local cultivars with target trait Gene discovery (with CIMMYT, IRRI) Gene characterization (target insect compatibility) Transformation and conventional backcrossing Transcription factor/promoter characterization Genetic/molecular analysis for transmission & expression Transformation system development (Agrobacterium) Cultivar development Cultivar development Cultivar development Gene discovery & characterization Cultivar development Lab Lab Greenhouse Lab Lab Lab Field Trials Field trials The CGIAR’s biotech research (2) Center ICARDA Center HQ Syria Crop Chickpea Lentil Trait (resistance) Disease, abiotic stress Disease, abiotic stress Barley Wheat ICRISAT India Disease, abiotic stress Abiotic stress (salt drought) Groundnut Disease, virus Pigeonpea Insect (Bt) Sorghum Insect (Bt) Chickpea Insect (Bt) (non-crop specific) Musa Cassava Cowpea NA NA IITA Nigeria ILRI Kenya IRRI Philippines Rice Virus, insect, fungus, drought, nutrition Virus, bacteria, fungus Virus Insect (Bt) Blight, insect (Bt) Beta-carotene Research Regulatory Status Transformation (Agrobacterium) Transformation (Agrobacterium) Transformation (Agrobacterium): Variety development Gene discovery & characterization: Transformation (Agrobacterium) Tissue culture protocol Tissue culture protocol Tissue culture protocol Tissue culture protocol Searching genes for further use in cultivar development Lab Lab Transformation (Agrobacterium) Transformation Transformation Molecular Diagnostics for disease detection Transformation of bacteria and virus to develop livestock vaccine against East Coast Fever Transformation Cultivar development Lab Lab Lab Lab Field trials Field trials Field trials Field trials Lab CFT Interesting PPPs in Africa Fast-growing, disease-resistant eucalyptus trees (tissue culture): a partnership between Africa Harvest, Monti (South African company), Gatsby Trust. Technology donation by Monti. Gatsby funded startup costs. Tissue culture bananas: Africa Harvest, KARI, Du Roi (South African company) in partnership with Genetic Technologies Limited, Nairobi (Suresh Patel) , ISAAA, ABSF (for public perception), Technoserve (US NGO, marketing), DuPont (funding). Striga free maize: Partnership between AATF, CIMMYT, KARI, BASF. IRMA—insect resistant maize for Africa. Partners AATF, KARI, CIMMYT, Syngenta Foundation. Vitamin A enhancement in Maize: Harvest Plus consortium – CIMMYT, IFPRI, IITA, University of Illinois, Iowa State University, Wageningen University, and Monsanto. Network for Genetic Improvement of Cowpea for Africa: Partners include Purdue, University of Zimbabwe, IITA, University of California, Riverside, Michigan State, University of Virginia, Charlottesville, KirkhouseTrust, and Monsanto. Virus-resistant sweet potato: Partnership with Africa Harvest, Monsanto, KARI, KEPHIS, William Moar, University of Alabama, Auburn—working on adapting Bt for sweet potato in Uganda. Drought-tolerant crops: Initial international partners USAID, Rockefeller, Partnership to Cut Hunger in Africa, CGIAR, Winrock. International. Cassava engineered for Cassava Mosaic Disease (CMD) resistance: KARI, Danforth Plant Science Center-USA, USAID, Cornell University-USA, ISAAA, Kenyan universities. Bio-sorghum project: Bill and Melinda Gates Foundation, Pioneer Hi-bred, national and international research institutes including KARI, ARC, INERA, CSIR, ICRISAT and AATF., universities: University of Pretoria and University of California, Berkley, and other groups of organizations, AATF, CORAF and Africa Harvest. WEMA (Water Efficient Maize): partner institutions include AATF, KARI (Kenya), IIAM (Mozambique), ARC (South Africa), COSTECH (Tanzania), NARO (Uganda), CIMMYT and Monsanto. IMAS (Improved Maize for African Soils): Led by CIMMYT. Funding partner, Bill and Melinda Gates Foundation. Other partner institutions are DuPont/Pioneer Hi-Bred, Kenya Agricultural Research Institute (KARI), South African Agricultural Research Council (ARC). NUE Rice for East and West Africa: Biotechnology trait for nitrogen use efficiency and salt tolerance; partners are AATF, IITA, Arcadia Biosciences, USAID, national partners (NARS) in Ghana, Burkina Faso, Uganda, and Nigeria. This paper focuses on the determinants of biotech innovation... We assessed different aspects of 56 countries in Africa Used secondary data collected Many potential indicators of innovative capacity that may be used - too many gaps Need exists to conduct more in-depth in-country studies Conceptually based innovation model but used simplified approach as in Fuglie and Pray (2000) and Trigo (2003) and Falck-Zepeda et al. (2010) The Furman, Porter and Stern model for determinants of national innovative capacity Common Innovation Infrastructure Cluster-Specific Environment For Innovation Cumulative technology sophistication Human capital and financial resources available for R&D activity Set of resource commitments and policy choices • Investments in education/training • Intellectual property protection • Information and communication technologies •Openness to international trade Quality of Linkages Plant Breeding Context for Firm Strategy and Rivalry Factor (Input) Biotechnology Demand Conditions Conditions Related & Supporting Industries Source: Based on Furman, Porter, and Stern (2002). Indicators used Overall innovative capacity Scientific and technical journal articles (average) Scientific and technical journal articles (sum 1990–2005) Personal computers Public spending on education, total (percent of GDP) Economy-wide status GDP per capita (constant 2000 US$) GDP per capita growth (annual percent) GDP per capita, PPP (constant 2005 international US$) Industry, value added (percent of GDP) Industry, value added (annual percent growth) Agriculture, value added (percent of GDP) Agriculture, value added (annual percent growth) Agriculture, value added (millions, constant 2000 US$) Indicators used (2) Intellectual property management situation Number of patent applications, nonresidents (1987–2005, total, WBDI2008) Number of patents applications, residents(1987–2005, total, WBDI2008) Total number of patent applications (1987–2005, total, calculated) Patent applications per million inhabitants (estimated by calculation) Strength of the private sector Domestic credit provided by banking sector (% of GDP, average 1996-2006, WBDI 2008) Ease of doing business index (Ranking, 1=most business-friendly regulations, average 2005-2007, WBDI 2008) Cost of business start-up procedures (% of GNI per capita, average 2003-2007, WBDI 2008) Time required to enforce a contract (days, average 2002-2007, WBDI 2008) Market size Land area (1,000 hectares, FAOSTAT, average 2000–2008) Arable land (hectares and percent of total, FAOSTAT, average calculated from land and arable land) Crop production index (average 1997–2004,1999 –2001 = 100, WBDI2008 ) Population millions (average 1997–2006, WBDI2008) Population growth rates percentage average 1997–2006, WBDI2008 ) Aggregate value of agriculture percent of GDP 1997–2006 WBDI2008) Indicators used (3) Cluster specific Biotech capacity subjective classification Nonselective importers of tools, methods, and technologies Selective importers of tools, methods, and technologies Users of biotechnology tools Developers of biotechnology tools, methods, and technologies Biosafety capacity achieved milestones Completed National Biosafety Framework Use of interim laws, policies regulations Conducted contained, confined or extended field trials Allowed commercialization A flavor of the spreadsheet data estimationeconomy wide indicators Country GDP per capita GDP per capita, PPP (constant 2000 GDP per capita (constant 2005 US$) growth (annual %) international $) Industry, value added (% of GDP) Agriculture, Industry, value Agriculture, value added added (annual value added (annual % % growth) (% of GDP) growth) Agriculture, value added (millions, constant 2000 US$) Algeria 1,882.2 2.4 5,378.8 53.5 4.1 10.4 5.6 5260.9 Angola 734.3 6.5 2,950.7 67.1 10.5 8.2 11.3 671.6 Benin 311.4 1.3 1,175.9 13.8 4.5 35.3 5.6 840.6 3,680.3 4.8 10,086.0 54.7 7.3 2.7 -1.6 142.8 Burkina 228.6 3.3 957.4 20.4 9.1 32.6 5.9 832.9 Burundi 106.2 -1.6 337.4 17.7 -2.3 43.2 -0.9 255.2 Comoros 379.4 -0.2 1,109.4 11.8 1.5 46.4 2.7 100.4 91.4 -2.1 274.2 23.3 4.4 48.4 -0.7 2213.3 1,036.4 1.1 3,055.1 62.3 1.6 6.9 599.8 -0.6 1,728.0 23.6 2.3 23.9 2.5 2430.1 1,511.9 2.8 4,209.3 33.9 4.6 16.3 3.4 16121.6 Botswana Congo, Dem. Rep. Congo (Republic of) Côte d'Ivoire Egypt Algeria Angola Benin Botswana Burkina Burundi Cameroon Congo, Dem. Rep. Congo (Republic of) Côte d'Ivoire Egypt 4.9n.a. 0.816 0.693 0.428 0.897 0.204 0.02 0.673 0.6 0.96 0.38 0.9 0.76 0.06 0.48 0.836 0.714 0.489 0.918 0.346 0.04 0.673 Percent Rank 0.897 0.979 0.102 0.938 0.367 0.224 0.755 0.425 0.914 0.553 0.765 0.893 0.021 0.51 0.163 0.122 0.653 0 0.612 0.836 0.448 0.851 1 0.829 0 0.893 0.042 0.744 0.934 0.478 0.586 0.195 0.565 0.239 0.739 0 0.04 0 0.469 0.489 0.918 0.063 0.76 0.714 0.653 0.795 0.32 0.14 0.72 0.734 0.653 0.795 0.959 0.51 0.816 0.127 0.148 0.617 0.081 0.469 0.265 0.68n.a. 0.297 0.446 0.804 1 Average Classification 0.69025 +++ 0.7325 +++ 0.5025 ++ 0.576625 ++ 0.58 ++ 0.18525 + 0.62775 +++ 0.342375 ++ 0.516429 ++ 0.45925 ++ 0.68175 +++ Overall GM biotechnology capacity in Africa Common innovationinfrastructure Links, networks and technology transfer capacity Cluster specific environment Overall Classification Countries Overall innovative capacity Economy wide Strength of the IP situation status Market size private sector Biotechnology technical capacity Biosafety regulatory capacity Algeria +++ +++ +++ ++ ++ +++ + +++ Angola ++ ++ +++ ++ ++ + + + Burundi ++ ++ + ++ +++ + + + Côte d'Ivoire +++ + ++ ++ ++ + + + Egypt +++ +++ +++ ++ +++ +++ ++ +++ Ethiopia +++ ++ ++ +++ ++ ++ ++ ++ Ghana +++ ++ ++ +++ ++ + + ++ Kenya +++ +++ ++ ++ ++ ++ ++ ++ Malawi ++ +++ ++ ++ ++ + + + Namibia +++ +++ ++ ++ ++ + + ++ Nigeria +++ ++ +++ +++ ++ ++ ++ +++ Rwanda ++ ++ ++ +++ ++ + + + Senegal +++ + ++ ++ ++ ++ + + South Africa +++ +++ ++ ++ ++ +++ ++ +++ Tanzania +++ ++ ++ +++ ++ ++ + ++ Uganda +++ ++ ++ +++ ++ ++ ++ ++ Zambia ++ +++ ++ ++ ++ ++ ++ ++ Zimbabwe +++ +++ ++ ++ +++ ++ ++ +++ Policy situations to improve biotechnology use in Africa Policy situation Description Nonselective biotechnology importers i. ii. Countries without any accumulated institutional capacity Diffusion of new technologies (conventional or biotech) occurs spontaneously or through individual initiatives, without any supporting institutional framework Selective biotechnology importers i. ii. Countries have an agricultural research infrastructure Some local capacities for plant/animal improvement while introducing new varieties through local importation and adaptive testing Mostly with external donor support, these countries have initiated the process of developing capacity in the biotech area, through incorporation of conventional biotechnology techniques (i.e. tissue culture), capacity-building programs dedicated to human resources and even activities tending to the implementation of a national strategy for the biotech sector development Have regulatory frameworks in the area of biosafety and intellectual property, but lack experience in their implementation iii. iv. Biotechnology tools users i. ii. iii. iv. Biotechnology Innovators i. ii. iii. Established institutions and consolidated plant/animal improvement systems, which have a more or less constant rate of deployment of new varieties developed internally and using biotech tools in their activities Broader spectrum tools used from tissue and cellular cultures to marker assisted selection and even some genetic transformation, usually related more to commercial cash and/or export crops, who have a defined technological support system of their own. National research systems have a high capacity but it is not evenly developed across the components. May have some experience in GMO management, even at the level of deliberate release. Have R&D systems with broad coverage from basic research (development of new techniques) to the development of specific products for a broad set of crops and species Science and technology systems can develop frontier science and have well defined interaction channels with the productive sectors of the economy in order to maintain a continuous link with the input and output markets. Generally, these systems also show established links with Centers of Excellence and Advanced research centers in developed countries, which frequently materialize through joint research projects. Mapping countries to policy situations Policy situation Nonselective biotechnology importers Selective biotechnology importers Biotechnology tools users Biotechnology Innovators Policy objective to further develop biotechnology capacity Develop the framework for using biotechnology products Improve the efficiency of agricultural research through the use of biotechnology tools Improve the efficiency and R&D products Take advantage of the development of innovation capacity based on biotechnology applications and the development of innovations Small market Medium markets Large markets Seychelles, São Tomé and Príncipe, Cape Verde, Comoros, Mauritius, Equatorial Guinea, Swaziland, Gambia, GuineaBissau, Gabon, Lesotho, Botswana, Liberia Angola, Benin, Burkina Faso, Burundi, Central African Rep., Congo Rep., Chad, Côte d'Ivoire, Eritrea, Guinea Libya, Mozambique, Mali, Rwanda, Madagascar, Malawi, Mali, Mauritania, Senegal, Sierra Leone, Somalia, Togo, Zimbabwe Namibia, Ghana, Tunisia Cameroon, Congo, Dem. Rep. Sudan, Niger Uganda, Ethiopia, Tanzania, Algeria, Morocco, Zambia, Kenya Nigeria South Africa Egypt None From policy to practice Source: James, C. 2010: Global Status of Commercialized Biotech/GM Crops 2010. ISAAA Brief No. 42. ISAAA: Ithaca, NY Where technical capacities meet the political realities… Country Ban or Moratorium Year introduced or reported Limits on use Algeria Angola Benin Yes Yes Yes No GM imports (maize) Two five year moratoria- in place until 2013. 2000 2004 2002 Botswana Maize No GM imports, milled GM food aid ? Lesotho ? ? Malawi Mozambique Namibia Nigeria Sudan Yes Yes Yes Yes Yes Government advisory that grains to be used only for food not cultivation Un-milled products food aid; No GM imports Un-milled products food aid Received wheat instead of maize for food; No GM imports Un-milled products food aid Allowed import of GM food aid through temporary waivers 2002 ? 2002 ? 2003 Government advisory that grains to be used only for food not ? cultivation; Changing GM acceptance/rejection for food aid No GM imports, no GM food aid in 2002, milled GM food aid in 2002 Zambia Yes emergency after No GM imports (1% tolerance for maize and soybeans), identity 2002 Zimbabwe Yes preserved requirements for non-GM, milled GM food aid in 2002, no GM food aid after Source: based on Falck-Zepeda (2006); Gruere and Sengupta (2010). Notes: Algeria has also a ban on distribution and commercialization of GM products. Swaziland José Benjamin Falck-Zepeda, Ph.D. IFPRI 2033 K Street NW Washington, DC 20006-1002 USA j.falck-zepeda@cgiar.org