Difference between revisions of "The Biodiversity Permit/Contract Typology"
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| documents by authorities or private entities allowing certain actions that are under their jurisdiction - this does not include ABS-permits, research permits and permits related to the transport of specimens (see the relevant other document categories) | | documents by authorities or private entities allowing certain actions that are under their jurisdiction - this does not include ABS-permits, research permits and permits related to the transport of specimens (see the relevant other document categories) | ||
| | | | ||
| − | * Authorisaton to enter site | + | * [[#Permits_for_collecting_aso-definition_Authorisaton_to_enter_site|Authorisaton to enter site]] |
| − | * Collecting permit | + | * [[#Permits_for_collecting_aso-definition_Collecting_permit|Collecting permit]] |
| − | * Taking: “incidental take” permit | + | * [[#Permits_for_collecting_aso-definition_Taking_incidental_take_permit|Taking: “incidental take” permit]] |
| − | * Taking: Migratory Bird Treaty Act (MBTA) Special Purpose, Salvage Permit | + | * [[#Permits_for_collecting_aso-definition_Taking_Migratory_Bird_Treaty_Act.Special_Purpose._Salvage_Permit|Taking: Migratory Bird Treaty Act (MBTA) Special Purpose, Salvage Permit]] |
| − | * Taking: Salvage Permit (e.g., Non-US, US federal, state, local) | + | * [[#Permits_for_collecting_aso-definition_Taking_Salvage_Permit|Taking: Salvage Permit (e.g., Non-US, US federal, state, local)]] |
| − | * Possessing: Receiving permit | + | * [[#Permits_for_collecting_aso-definition_Possessing_Receiving_permit|Possessing: Receiving permit]] |
| − | * Exemption evidence | + | * [[#Permits_for_collecting_aso-definition_Exemption_evidence|Exemption evidence]] |
| SE Oct7: for “landowner letter” and “public property use permit” I replaced “use” with “collecting” as suggested by Breda. SE Oct11: further modification to “related” after Breda's input that a landowner letter may not give permission for collecting, but only entering private property; Note from Breda: Should Document category name change word “Permits” to “Permissions” since not all documents are strictly permits? (i.e., “Permissions for collecting…” | | SE Oct7: for “landowner letter” and “public property use permit” I replaced “use” with “collecting” as suggested by Breda. SE Oct11: further modification to “related” after Breda's input that a landowner letter may not give permission for collecting, but only entering private property; Note from Breda: Should Document category name change word “Permits” to “Permissions” since not all documents are strictly permits? (i.e., “Permissions for collecting…” | ||
Revision as of 09:57, 5 January 2023
Permit and Loan Terms (Handbook) › The Biodiversity Permit/Contract Typology
Overview
| Document Categories (for “label” in GGBN v1) | Definition for document category | Associated document types | Working remarks on definitions |
|---|---|---|---|
| Access and Benefit-Sharing Document (ABS) | documents permitting the access to genetic resources for their utilisation and/or covering the terms of benefit-sharing | FL: In the final document, I think a glossary would be useful to explain terms like “genetic resources” SE: a glossary is a good idea, please indicate which terms shall be explained, e.g. highlighting them bold and wisth asterisk | |
| High level arrangements | documents that require signature(s) by (a) member(s) of the highest management level of an institution. There may be country-specific arrangements at even higher levels, or higher level arrangements applicable only to institutions being a government department | FL: or even higher level? (e.g. arrangements that have been made between governments concerning the possessing colonial collections). | |
| Permits for collecting & related/taking/possessing | documents by authorities or private entities allowing certain actions that are under their jurisdiction - this does not include ABS-permits, research permits and permits related to the transport of specimens (see the relevant other document categories) | SE Oct7: for “landowner letter” and “public property use permit” I replaced “use” with “collecting” as suggested by Breda. SE Oct11: further modification to “related” after Breda's input that a landowner letter may not give permission for collecting, but only entering private property; Note from Breda: Should Document category name change word “Permits” to “Permissions” since not all documents are strictly permits? (i.e., “Permissions for collecting…” | |
| Permits for special purposes (not ABS) | documents by authorities or private entities allowing use of the collection (items) for specific, limited purposes (future perspective) - this does not include ABS-permits |
|
for future actions; Notes from Breda: also move “Use: bioprospecting permit”; do we need to include “Use” for these or just name them for the terms after the semicolon? |
| Permits for Research | document by an authority allowing basic and/or applied research within its jurisdiction, and legally required committee decisions on research | SE Oct7: I replaced “territory” with “jurisdiction” and added “ethical oversight document” (coming from permits for collecting/taking/posessing/using) as suggested by Breda SE Oct11: added “exemption evidence” according to Bredas suggestion | |
| material transfer agreements, stewardships & ownership-related information (not ABS) | documents demonstrating the will of two parties regarding |
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| Transport Documents | permits, certificates and other documents necessary for the act of sending specimens from one place to another |
|
Biodiversity Permit/Contract Typology
| Document Category (Under Discussion) | Status term | Specific Document Type | Definition (initial text by Breda Zimkus as starting point) | Additional information | Examples | Applies to preserved material | Applies to living material |
|---|---|---|---|---|---|---|---|
| Access and Benefit-Sharing Document | Term & definition approved | Mutually Agreed Terms (MAT) | Mutually Agreed Terms-MAT is a contract on benefit-sharing from the utilisation of genetic resources that has been mutually agreed between providers and users of genetic resources in the context of the Convention on Biological Diversity (CBD) including Nagoya Protocol (NP). It may be named Mutually Agreed Terms (MAT) or have another title. Please note: Collecting permits from countries without national requirements for Access & Benefit-Sharing to/from their own genetic resources* should be filed under "permits for collecting & related/taking/possessing". | According to the Nagoya Protocol MAT is not on access, access is subject to PIC only. In the Nagoya Protocol the term MAT rather seems to describe the process of negotiations between equal partners than a formally required title of the contract. Therefore, the contract on benefit-sharing may have another title than “MAT”. | Yes | Yes | |
| Access and Benefit-Sharing Document | Term & definition approved | Internationally Recognized Certificate of Compliance (IRCC) | A record generated on the ABS Clearing House when the Competent National Authority of a Providing Country publishes a permit or equivalent (e.g. PIC, MAT) there. This record is given a unique identifier by the Clearing House and provides legal surety of the genetic resources covered. | ||||
| Access and Benefit-Sharing Document | Term & definition approved | Prior Informed Consent (PIC) | 1) for genetic resources*: A written permission given by a government authority of a provider country to a user prior to and allowing access* to genetic resources* for their utilisation*, most often based on the national legal implementation of Convention on Biological Diversity (CBD) including Nagoya Protocol (NP).
2) for traditional knowledge*: the prior and informed consent by, or approval and involvement of indigenous peoples or local communities on access* to their traditional knowledge associated with genetic resources* for utilisation*. 3) A PIC can also be the leading part of a combined document covering the contents of MAT as well. If this combined document is filed as PIC a note and reference should be filed in the Document Type MAT. |
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| Access and Benefit-Sharing Document | Term & definition approved | Specialised Standard ABS Terms (SMTA) | An internationally agreed “Standard Material Transfer Agreement-SMTA” used for the International Treaty on Plant Genetic Resources for Food and Agriculture (ITPGRFA) and the Pandemic Influenza Preparedness framework (PIP). | ||||
| Access and Benefit-Sharing Document | Term & definition approved | Other ABS document (e.g. biomedical, BBNJ) | This refers to documents outside the CBD - a formal agreement with an individual, a legal person or government containing terms and conditions related to access* to, use of, and benefits arising from, genetic resources*, originating either outside national jurisdiction or from humans. | This refers to documents outside the CBD. These are documents (i) under the Antarctic treaty or the upcoming BBNJ* instrument (when agreed - Biodiversity Beyond National Jurisdiction); (ii) covering biomedical samples, where ABS applies to the individual donor. | |||
| Access and Benefit-Sharing Document | Term & definition approved | Exemption evidence | Certificates and other documents demonstrating that ABS documents are not necessary. | ||||
| High Level Arrangements | Term & definition approved | Contract (legally binding) | A formal and legally binding agreement signed between parties. Please note: for contracts on “benefit-sharing” use the ABS-document “Mutually Agreed Terms”; for contracts on transferring (collection) objects use a document from the category "Material Transfer Agreements, stewardships & ownership-related inforrmation". | ||||
| High Level Arrangements | Term & definition approved | Memorandum of Cooperation (MoC, not legally binding) | A document that outlines - without binding effect - the terms and details of cooperation between parties. | The terms MoC and MoU seem to be understood differently by different organisations and definition providers. The MoC may be understood as a document in which two or more parties agreed upon to work together for a common objective, whereas the Memorandum of Understanding (MoU) may be understood as a written document which describes the terms of an agreement. | |||
| High Level Arrangements | Term & definition approved | Memorandum of Understanding (MoU, not legally binding) | A document that outlines - without binding effect - the terms and details of an understanding between parties; “a memorandum of understanding is a type of agreement between two or more parties. It expresses a convergence of will between the parties, indicating an intended common line of action” (https://en.wikipedia.org/wiki/Memorandum_of_understanding#cite_note-1). | The terms MoU and MoC seem to be understood differently by different organisations and definition providers. The MoU may be understood as a written document which describes the terms of an agreement, whereas the Memorandum of Cooperation (MoC) may be understood as a document in which two or more parties agreed upon to work together for a common objective. | |||
| permits for collecting & related/taking/possessing | Term & definition approved | Collecting Permit | Authorizes the collection of specimens, DNA, tissue or environmental samples in the wild according to legal restrictions (e.g. protected species/areas, special techniques) AND where this is not covered by a legal requirement to obtain an ABS-permit/PIC. Please note: this document category includes Hunt/Fish/Trap licenses, salvage may be included unless special legislation calls for a separate type of permit (e.g. for migratory birds). | Permits from the Brazilian Biodiversity Authorisation and Information System SISBIO, especially in protected áreas (https://www.icmbio.gov.br/cpb/index.php/sisbio http://www.icmbio.gov.br/sisbio). | |||
| permits for collecting & related/taking/possessing | Term & definition approved | Authorisaton to enter site | A signed document that indicates that a researcher has authorization to enter private/public property; for purposes that sometimes may require additional documents, e.g. for conducting research and/or removing specimens from the property. | ||||
| permits for collecting & related/taking/possessing | Term & definition approved | Taking: “incidental take” permit | A permit required when a protected species is unintentionally harassed, harmed, pursued, hunted, shot, wounded, killed, trapped, captured, or collected as a consequence of an approved or lawful activity. | Endangered Species Act (ESA) incidental take permit; a migratory bird, their nests and/or eggs can be inadvertently harmed or disturbed as a result of an approved activiy (e.g., clearing trees and other vegetation, draining or flooding land, or using fishing gear). | |||
| permits for collecting & related/taking/possessing | Term & definition approved | Taking: Migratory Bird Treaty Act (MBTA) Special Purpose-Salvage Permit | A permit required to salvage migratory birds regulated under the US Migratory Bird Treaty Act found dead; authorizes temporary possession of the dead specimens for transport to a designated public, scientific, or educational institution. Applies to US only. | ||||
| permits for collecting & related/taking/possessing | Term & definition approved | Taking: Salvage Permit (e.g., Non-US, US federal, state, local) | Authorizes the collection of dead animals or animal parts from the wild. | ||||
| permits for collecting & related/taking/possessing | Term & definition approved | Possessing: Receiving Permit | Authorizes the acceptance - and holding - of specimens that are subject to special national regulations making possession legally restricted (or illegal) because of their properties. This is different from ABS-documents, where restrictions are based on the specimen’s origin/providing country, not on the properties. A receiving permit may also imposes certain conditions. Plese note: In contrast, a certificate of health or (phyto)sanitary certificate rules that a specimen, being legally unrestricted in general, is safe to import with regard to certain pathogen risks. | One difference between this document type and ABS documents is that ABS operates bilaterlally between countries (though in an international framework), but e.g. drugs and plant(/soil) health are national instruments prohibiting material being held and/or studied/utilised within or entering the country. | 1) “Permit to Receive Soil” issued by the USDA APHIS may authorize the importation of soil from foreign sources (except countries with sanctions or embargoes by U.S. State Department), and interstate/ domestic movement of soil for chemical/ physical analysis in a controlled laboratory environment at the named facility on the permit. 2) UK Scheduled Drug licence (e.g. cannabis herbarium specimens). | ||
| permits for collecting & related/taking/possessing | Term & definition approved | exemption evidence | Documents demonstrating that permits for collecting &related/taking/possessing are not necessary. | A letter that confirms that documentation establishes that the marine mammal parts were taken prior to the effective date of the US Marine Mammal Protection Act or US Endangered Species Act and as such, the prohibitions to sell, import, or export these items under the MMPA and ESA do not apply. | |||
| Permits for special purposes (not ABS) | Term & definition approved | Permit to reintroduce/translocate organism into the wild | A permit following national or supranational (EU) law to release one or several specimens of a species in a place where they are not yet present. | EU regulation on protective measures against pests of plants (REGULATION (EU) 2016/2031), EU regulation on the prevention and management of the introduction and spread of invasive alien species (REGULATION (EU) 1143/2014), EU regulation concerning the placing of plant protection products on the market (REGULATION (EU) 1107/2009). | |||
| Permits for special purposes (not ABS) | Term & definition approved | Data Use Agreement (DUA) | Terms and condition that govern the transfer and use of data, specifically those that are “confidential, proprietary, or otherwise considered sensitive” (https://researchdatamanagement.harvard.edu/data-use-agreements).
DUAs state the legal framework for data access, what the requestor may do with the data (e.g., scope of the study, restrictions on redistribution), security controls (i.e., obligations to safeguard the data), privacy rights, constraints on publishing and liability for harm arising from the use of the data. They might be accompanied by non-disclosure agreements to guarantee confidentiality over sensitive discussions, information, and data (cp. https://admindatahandbook.mit.edu/book/v1.0-rc4/dua.html, https://research.unc.edu/wp-content/uploads/sites/61/2013/04/CCM3_039360.pdf). |
“Data use agreements (DUA)—also referred to as data sharing agreements or data use licenses—are documents that describe what data are being shared, for what purpose, for how long, and any access restrictions or security protocols that must be followed by the recipient of the data.” (https://admindatahandbook.mit.edu/book/v1.0-rc4/dua.html).
In the context of natural science collections data use agreements sometimes are called “data management plan” (DMP), see e.g. the DMP of Brazil’s Virtual Herbarium https://riojournal.com/articles.php?id=14675. While data licenses are often applicable to openly accessible data, data use agreements are often applicable to data to which access is restricted. A Data Use Agreement (DUA) can be used to set conditions for sharing one's data (see https://www.ru.nl/rdm/vm/licenses-data-use-agreements/). These conditions do not only apply to data publishing, but also can set rules for how data needs to be handled, eg. some data should not be transferred to a different server, discussed with/made available to other members of a working group, or what type of analyses can be performed (eg. any method resulting in de-anonymization might not be allowed). “Depending on the data provider, other forms of documentation can be used. Examples include memoranda of understanding (MOU), data use agreements, and data exchange letters. These have different structures and levels of detail, but all of these instruments will state the legal framework for data access, what the requestor may do with the data (e.g., scope of the study, restrictions on redistribution), security controls, and constraints on publishing. The data requestor should always prepare some form of documentation for data access, even if the data provider does not require it” (https://admindatahandbook.mit.edu/book/v1.0-rc4/dua.html). |
Data Use Agreement Guidance with lists of topics to consider and flow diagrams for decision processes: https://research.unc.edu/wp-content/uploads/sites/61/2020/06/osr-ic-Data-Use-Agreement-Guidance.pdf
With a focus on data protection: https://www.eui.eu/documents/servicesadmin/deanofstudies/researchethics/guide-data-protection-research.pdf Data Use Ontology (DUO) with standardized terms for different uses of genomic data: https://github.com/EBISPOT/DUO A list of aspects to be considered: https://www.ru.nl/rdm/vm/licenses-data-use-agreements/ |
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| permits for collecting & related/taking/possessing | Term & definition approved | Use: bioprospecting permit | A document authorising bioprospecting activities. We follow the UNDP definition of bioprospecting, i.e.: “Biodiversity prospecting or bioprospecting is the systematic search for biochemical and genetic information in nature in order to develop commercially-valuable products for pharmaceutical, agricultural, cosmetic and other applications. Bioprospecting activities must comply with the definition of utilization of genetic resources of the Nagoya Protocol or as stated in the national law or policy. The Nagoya Protocol applies to the utilization of genetic resources and their derivatives” (https://www1.undp.org/content/dam/sdfinance/doc/Bioprospecting%20_%20UNDP.pdf, https://de.scribd.com/document/505930765/Bioprospecting-UNDP). Existing bioprospecting permits may go beyond the scope of the UNDP description. | Bioprospecting permits may comprise very different elements, e.g. in South Africa a bioprospecting permit allows to export indigenous biological resources for the purpose of research, and/or allows within South Africa commercialisation of research on indigenous biological resources; in Vanuatu a bioprospecting permit allows collecting, and/or export, and/or import of genetic resources, derivatives and associated traditional knowledge; in Australia/Northern Terr. “collecting any kind of biological resource for scientific research or commercial use is called bioprospecting”. | https://www.dffe.gov.za/sites/default/files/legislations/guide_complete_permitapplication.pdf
https://tradeportal.gov.vu/media/EPC_Act_2002_(consolidated_version_incl_2011_amends).pdf https://nt.gov.au/environment/native-plants/collecting-animal-materials-for-scientific-research |
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| Permits for Research | Term & definition approved | Research Permit | Authorizes researcher to engage in scientific activity; may or may not specify type of activity (sometimes specifying the research, sometimes including activities for which other countries require permits of their own such as collecting) may also indicate where research will occur, and a certain time period. Additional permits may be necessary, e.g. for collecting. Please note: If research permits are directed to show compliance with national Access & Benefit-Sharing legislation, they belong to the document type “Prior Informed Consent”, within the document category “Access and Benefit-Sharing document”. | Indonesian Foreign Research Permit (https://frp.brin.go.id/), Botswana Research Permit (http://www.botswanaembassy.org/page/guidelines-for-completing-research-permit-application), |
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| Permits for Research | Term & definition approved | Ethical oversight document | Research review and approval documentation generated by group formally designated to review and monitor research involving e.g. animals (Animal Welfare) | For both wildlife and lab animals, similar to institutional review board (IRB) and also known as an independent ethics committee (IEC) for humans. | |||
| Permits for Research | Term & definition approved | exemption evidence | Certificates and other documents demonstrating that permits for research are not necessary . | ||||
| material transfer agreements, stewardships & ownership-related information | Term & definition approved | Public law MTA (e.g. acquiring customs' seizures/confiscated material, stewardship agreements) | A (often standardised) contract on transferring tangible materials (e.g. specimens or samples) to an institution (rarely an individual), in which a given public authority rules on all (major) terms and conditions. | stewardship agreement, acquiring customs' seizures | |||
| material transfer agreements, stewardships & ownership-related information | Term & definition approved | Institutional MTA (e.g. loans) | Terms and conditions for transferring tangible materials (e.g. specimens or samples) between two legal entities, including permanent/indefinite loans and material to be consumed (e.g. in DNA-analysis). | Institutional MTA may be complemented by documents from the document category “transport documents” | |||
| material transfer agreements, stewardships & ownership-related information | Term & definition approved | Individual deeds of transfer (e.g. private gifts) | Terms and conditions for transferring tangible materials (e.g. specimens or samples) between two individuals or from an individual to an institution, including private permanent/indefinite loans. | Deeds of transfer may be complemented by documents from the document category “transport documents”. | private gifts, private permanent loans | ||
| material transfer agreements, stewardships & ownership-related information | Term & definition approved | Provenance Evidence | Documentation that establishes from where, how and/or when a specimen may have been transferred to the museum, indicating provenance but itself does not transfer ownership; not a legal document. | ||||
| Transport Document | Term & definition approved | (Phyto-)Sanitary/Veterinary Certificate | certificate that confirms that an inspection and/or test has been performed and the plant/animal specimens or products are free from regulated diseases or pests. | e. g. cetificate of health, veterinary permit to transport | |||
| Transport Documents | Term & definition approved | Permit to move across boundaries | document that allows the movement of regulated species across boundaries within countries. | e.g. injurious wildlife, biological control organisms, invasive and/or pest species | |||
| Transport Documents | Term & definition approved | CITES export permits & re-export certificates | CITES export permits allow the export of specimens of a species included in CITES-Appendices I, II, or III; re-export certificates apply to corresponding specimens that have previously been imported. | ||||
| Transport Documents | Term & definition approved | CITES import permits | CITES import permits allow importing specimens of a species included in CITES-Appendix I. | ||||
| Transport Documents | Term & definition approved | CITES certificates of scientific exchange (COSE) | A certificate for institutions registered by a Management Authority of their state, and therefore entitled to the CITES-exemption (article VII, para 6) for non-commercial loans, donations or exchanges between scientists or scientific institutions. (non-registered institutions need permits for export, import, re-export and certificates of origin). | ||||
| Transport Documents | Term & definition approved | other CITES documents | This refers to CITES documents different from: export/re-export/import/COSE. Among “other CITES documents” are 1) “Certificates of Origin” for specimens of species included in CITES Appendix III, 2) certificates for the “Introduction from the sea” of specimens of a species included in Appedices I or II, 3) “Pre-Convention certificates” for acquisitions before CITES applied, 4) “Travelling exhibition certificates”, or 5) certificates for specimen of an animal species bred in captivity / specimen of a plant species artificially propagated. | ||||
| Transport Documents | Term & definition approved | Original Export Permit | Authorizes exporting specimens abroad from provider country. | Trophy Export Certificate | |||
| Transport Documents | Term & definition approved | Export Permit | An export permit for material already belonging to natural history museums or bot. gardens, e.g. institutional exchange, loans etc. | An export permit is an additional document (may be required by national legislation), complementing the institutional material transfer agreement. | US Fish & Wildlife Form 3-177 based on the Endangered Species Act (ESA) | ||
| Transport Documents | Term & definition approved | Original Import Permit | For initial import to the institution at time of collection. Please note: (Phyto-)Sanitary/Veterinary Certificates are a Document Type of its own. | e.g. Centers for Disease Control (CDC) Import Permit; US Fish & Wildlife Form 3-177 | |||
| Transport Documents | Term & definition approved | Import Permit | An import permit for material already belonging to natural history museums or bot. gardens, e.g. institutional exchange, loans etc.; special types of import permits may be needed in particular cases (e.g. illegal products such as herbarium specimens of drug plants, human remains). | An import permit is an additional document (may be required by national legislation), complementing the institutional material transfer agreement. | US Fish & Wildlife Form 3-177 based on the Endangered Species Act (ESA); | ||
| Transport Documents | Term & definition approved | exemption evidence | Certificates and other documents demonstrating that transport documents are not necessary | ||||
| Transport Documents | Term & definition approved | other transport documents | Any transport document not belonging to other transport document types (e.g. carrier contracts) |
