User:A.Plank/Permit and Loan Terms (Handbook)
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Revision as of 09:27, 28 September 2022 by A.Plank (talk | contribs) (+technical note; ReadMe → #Introduction)
(Technical note: This is an import of the corresponding Google-Spreadsheet document, more or less translated 1:1, it will be changed by work in progress; import date 2022-09-26)
Contents
Introduction
This page informs about the contents of this file
The basis for the work in this folder are the existing GGBN Permit Types (in the table “Permit Types (GGBN)”) which we will improve.
We are creating a two tiered system for grouping permits (based on permits we personally know), at the lower level it comprises different “document types” , which are further grouped into “document categories”.
This helps getting an overview of documents relevant for holding biological specimens in collections, it may also help with filing these documents orderly in a filing cabinet or electronically.
Because documents from different countries, belonging to the same document type (sometimes even having identical document titles), may have different content with respect to permissions, duties, restrictions and prohibitions, we additionally created a “typology of contents” by compiling and listing relevant contents of permit and loan documents we know.
The “typology of contents” intends to list relevant individual actions that commonly may be permitted, required, restricted or prohibited, as well as necessary quality requirements.
The “typology of contents” also indicates the corresponding legal background. Elements of this “typology of contents” may help to flag possible uses of different collection specimens.
The following tables are active working documents, or finalised results of our work:
- Document Category - final
- Document Types w/o IPR (draft)
- Typology of Contents (draft)
The following tables show elements of our work which we do not pursue any more:
- MTA examples
- US specific permits: a very incomplete list of US permits that may apply to different actions
- EU specific permits: a very imcomplete list of supranational EU-regulated permits (does not contain permits applicable only in single member states of EU)
- (AU specific permits): without participants from Australia this topic can not be pursued within the limits of T3.3
- Document Category (for discussion): old version
- Intellectual Property Document Types (draft): we decided that intellectual property is such a wide field, we also have no legal counsel in our group, additionally considering the limited time of task 3.3, therfore we will not pursue this topic any more
https://wiki.ggbn.org/ggbn/GGBN_Data_Standard_v1#GGBN_Permit_Vocabulary
Document Category - final
| Document Categories | Definition for document category | associated document types | working remarks on definitions |
|---|---|---|---|
| Access and Benefit-Sharing Document | documents permiting the access to genetic resources for their utilisation and/or covering the terms of benefit-sharing | Mutually Agreed Terms (MAT)
|
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 | Contract (legally binding)
|
FL: or even higher level? (e.g. arrangements that have been made between governments concerning the possessing colonial collections). |
| permits for collecting/taking/posessing/using | documents by authorities or private entities allowing certain actions that are under their jurisdiction - except ABS-permits, research permits and permits related to the transport of specimens (see the relevant other document categories) | Collecting permit |
|
| Research Permission | document by an authority allowing basic and/or applied research within its territory | Research Permit | |
| material transfer agreements, stewardships & related inforrmation | documents demonstrating the will of two parties regarding |
Public law MTA (e.g. acquiring customs' seizures, stewrdship agreements, or SMTA for ITPGRFA-purposes)
|
|
| Transport Documents | permits, certificates and other documents necessary for the act of sending specimens from one place to another | (Phyto-)Sanitary/Veterinary Certificate
|
|
| Exemption Permission (alternative option: Exemption Evidence?) | certificates and other documents demonstrating that other permits are not necessary | exemptional authorisation | FL: this sounds very broad, and I wonder if exemptions are not already included in any of the above document types. |
Document Types w/o IPR (draft)
| 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 | Working remarks | Remarks | |
|---|---|---|---|---|---|---|---|---|---|---|
| Access and Benefit-Sharing Document | Term & definition approved | Mutually Agreed Terms (MAT) | A contract associated with benefit sharing in the context of Convention on Biological Diversity (CBD) including Nagoya Protocol (NP). It may be named Mutually Agreed Terms (MAT) or have another title, and contains the result of negotiations between the provider of genetic resources and users on benefits to be shared arising out of the utilization of genetic resources. | According to the Nagoya Protocol MAT is not on access, access is subject to PIC only. The term MAT rather seems to describe the process of negotiations between equal partners than a formally required title of the contract. In practice PIC and MAT may be covered in the same document, and because paragraphs representing PIC are the requirements for text representing MAT it is suggested to file such combined documents under PIC. Simple collecting permit from countries without national requirements for Access and Benefit-Sharing to/from their own genetic resources should be filed under “permits for collecting/taking/posessing/using” | Yes | Yes | Suggestion: contract according to the Nagoya Protocol’s access and benefit-sharing provisions; this contract may have a different name than Mutually Agreed Terms (MAT) and may be one part of e.g. a combined document covering PIC as well; it is a contract between a) the country providing genetic resources and users, on the benefits from the utilization of genetic resources as well as subsequent applications and commercialisation to be shared between both parties; and/or b) indigenous and local communities respectively and users, on the benefits from the utilization of traditional knowledge associated with genetic resources to be shared between them. FL: or shorter “A contractual agreement used in Article 15 CBD and the Nagoya Protocol, establishing that specific benefit-sharing conditions must be mutually agreed between providers and users of genetic resources.” | MAT is NOT on access, access is subject to PIC only; in the Nagoya Protocol MAT rather seems to describe the process of negotiations between equal partners, not formalizing the title of a contract
CL: this is correct as a formal distinction. However, in practice, particularly for non-commercial uses, PIC and MAT may be covered in the same document. For the purposes of collection management, the label 'MAT' might be applicable to a simple collecting permit because it contains contractual elements with the provider country. | ||
| Access and Benefit-Sharing Document | under review | 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 | 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 approved, check definition | Prior Informed Consent (PIC) | with reference to the remark in cell I5 I suggest the following wording: 1) A written permission given by a government authority of a provider country to a user prior to accessing genetic resources for their utilization most often based on the national legal implementation of Convention on Biological Diversity (CBD) including Nagoya Protocol (NP), |
Suggestion: A) a permission by a competent national authority of a provider country to a user of genetic resources (GR), granting access to GR for utilization or giving evidence that applicable access requirements for GR have been met (e.g. approval and involvement of indigenous and local communities) - the permission will specify what can be done with the GR and may be one part of e.g. a combined document covering MAT as well. B) for traditional knowledge associated with genetic resources, “PIC” is a written statement that indigenous and local communities have been informed on the user’s intentions for their traditional knowledge, that they gave their consent or approval for it, and have been involved in accessing the knowledge (where applicable, that their community protocols and customary laws have been followed). If domestic law, customary law and community protocols do not schedule a formal written statement, the user is encouraged to log the process of getting Prior Informed Consent. | ||||||
| Access and Benefit-Sharing Document | Term approved, check definition | other ABS document (e.g. biomedical, BBNJ) | Formal agreement with an individual, legal person or government containing terms and conditions related to access to, use of, and benefits arising from, biological resources, outside the mandate of the CBD. | This refers to documents outside the CBD. These are documents |
CL: This refers to documents outside the CBD. These are documents (i) issued by countries or others under other instruments, such as the plant treaty or PIP framework; (ii) under international treeaty for areas outside national jurisdication, e.g. under the Antarctic treaty or the BBNJ instrument when agreed; (iii) covering biomedical samples, where ABS applies to the individual donor.
FL: also mention areas beyond national jurisdiction, such as international waters and the deep sea (https://doi.org/10.1080/09644016.2021.1911442)? |
countries that are not parties to the NP may also have ABS legislation and related documents. This raises two questions: First, do we want to use the document types “MAT” and “PIC” exclusively for documents issued in the legal framework of the Nagoya Protocol, or do we want to use it for a mixture of non-NP-documents and NP-documents if they have the same intention (permit for utilization, and benefit-sharing-agreement respectively), Second, do we have examples of ABS-documents from countries outside the legal NP-framework?
CL: There should be no distinction between ABS documents issued by countries for biodiversity under their sovereign rights and in the context of the CBD according to whether they were parties to the NP or not. These all have the same properties and should be treated as the same. This section should be reserved for documents (i) issued by countries or others under other instruments, such as the plant treaty or PIP framework; (ii) under international treeaty for areas outside national jurisdication, e.g. under the Antarctic treaty or the BBNJ instrument when agreed; (iii) covering biomedical samples, where ABS applies to the individual donor. | ||||
| High Level Arrangements | Term & definition approved | Contract (legally binding) | formal and legally binding agreement signed between parties (for contracts on “benefit-sharing” use the ABS-document “Mutually Agreed Terms”; for contracts on transferring (collection) objects use a document in the category “Material Transfer Agreement, etc.”) | for MAT use the dedicated term | ||||||
| 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. MOC und MOU may be understood differently by different organisations. | The terms MoC and MoU seem to be understood differently by different orgalisations and definition providers. The MoC my 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. | what is the difference between MOU and “MOC” - is there a widely accepted explanation why a “MOC” is not the same as MOU? | The terms seem to be understood differently by different orgalisations and definition providers. I suggest that in both cases (and we should keep the two terms since organisations may use either), we should indicate that they are not legally binding documents. CL | ||||
| 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 | The terms MoU and MoC seem to be understood differently by different orgalisations 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. | Wikipedia: “A memorandum of understanding (MoU) is a type of agreement between two (bilateral) or more (multilateral) parties. It expresses a convergence of will between the parties, indicating an intended common line of action. It is often used either in cases where parties do not imply a legal commitment or in situations where the parties cannot create a legally enforceable agreement. It is a more formal alternative to a gentlemen's agreement.” (https://en.wikipedia.org/wiki/Memorandum_of_understanding) | MoC versus MoU: The agreement (MoC) is a document in which two or more parties agreed upon to work together for a common objective, whereas the Memorandum of Understanding (MoU) is a written document which describes the terms of an agreement. | ||||
| will be removed | Material Transfer Agreement (MTA) | governs the transfer of tangible materials between two parties (e.g., an agreement between two institutions that outlines the terms and conditions for transferring specimens or samples) | Standard Material Transfer Agreement (FAO), deed of transfer/gift (private donations); see separate sheet | Suggestion: terms and conditions for transfering tangible materials (e.g. specimens or samples) between two legal or natural persons | ||||||
| permits for collecting/taking/possessing/using | Term approved, check definition | 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 |
Brazilian SISBIO system which issues collecting permits, especially in protected áreas (https://www.icmbio.gov.br/cpb/index.php/sisbio http://www.icmbio.gov.br/sisbio) | Suggestion: 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 in an ABS-permit/PIC; note: this document category includes Hunt/Fish/Trap licenses, salvage may be included | it might be better to change “ABS-legislation” to “ABS-permit/PIC” because ABS-legislation may cover only one of two necessary permits (the one for access to GR), the other may be covered by conservation legislation, e.g. on killing or harassing protected species | ||||
| permits for collecting/taking/possessing/using | Term approved, check definition | Taking: “incidental take” permit | permit required when a protected species is harassed, harmed, pursued, hunted, shot, wounded, killed, trapped, captured, or collected as a consequencce 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) | Only US? Restricted to animals, or does it also include plants, fungi and other eurkaryotes? | |||||
| permits for collecting/taking/possessing/using | Term & definition approved | Taking: Migratory Bird Treaty Act (MBTA) Special Purpose, Salvage Permit | 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 (?) | Might apply to bird remains from aeroplane engines ('Snarge')? | Applies to US only | |||||
| permits for collecting/taking/possessing/using | 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 | remove the examples to make it global | ||||||
| permits for collecting/taking/possessing/using | Term & definition approved | Posessing: Receiving Permit | authorizes the acceptance - and holding - of specimens that are subject to special national regulations because a government considered the specimen to be legally restricted (or even illegal) in one way or the other because of their properties (this separates a “receiving permit” from ABS-documents, the latter apply to specimens restricted because of their providing country) |
One difference between this document type and ABS documents is that ABS opperates bilaterlaly 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. | For example, a “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. Other examples: UK Scheduled Drug licence (e.g. cannabis herbarium specimens). UK Animal and Plant Health Licence. | maybe consider extending the definition: what kind of specimens? does this apply only to living specimens and unprocessed products, e.g. fruits? Does this also apply to material preserved in ethanol or fixed with formaldehyde? What is the difference to certificate of health or (phyto)sanitary certificate?; e.g. Foreign Receiving Permit, US Receiving Permit, USDoA Permit to Receive Soil (PPQ 525-A)
IN the CETAF ABS Best Practice there is an MTA that is available for the receiving institution to agree with a donor, and which 'carries' the other necessary documents and declares the right to transfer. Would this fit here, or is it a different concept? |
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| permits for collecting/taking/possessing/using | Term & definition approved | Use: Ethical oversight document | research review and approval documentation generated by group formally designated to review and monitor research involving e.g. animals (Animal Welfare) | both wildlife and lab animals, similar to institutional review board (IRB) and also known as an independent ethics committee (IEC) for humans | both wildlife and lab animals, similar to institutional review board (IRB) and also known as an independent ethics committee (IEC) for humans; Todo: check EU or AU for examples | Applies to US only | ||||
| permits for collecting/taking/possessing/using | Term approved, check definition | Use: 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 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) |
usually restricted to a project
I am not sure if all examples (e.g. placing plant protection products on the market) are relevant. In my understanding this document type is about releasing of species in the wild (reintroductions, population reinforcement). |
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| permits for collecting/taking/possessing/using | Term approved, check definition | Data Use Agreement (DUA) | 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. |
“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.” ( ] While data licenses are often applicable to openly accessible data, data use agreements are often applicable to data, which access is restricted. A Data Use Agreement (DUA) can be used to set conditions for sharing one's data (see“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” ( |
Data Use Agreement Guidance with lists of topics to consider and flow diagrams for decision processes: With a focus on data protection: Data Use Ontology (DUO) with standardized terms for different uses of genomic data: A list of aspects to be considered: |
I would think a DUA concerns any type of data, not only data that is “confidential, proprietary, or otherwise considered sensitive”. For example, a DUA can state that data is in the public domain, or under some kind of open access or restricted licence
JuB: see the changes in green to account for this remark |
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| permits for collecting/taking/possessing/using | Term approved, check definition | Use: bioprospecting permit | UNDP described bioprospecting as follows (https://www1.undp.org/content/dam/sdfinance/doc/Bioprospecting%20_%20UNDP.pdf): “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” 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. a bioprocpecting permit allows collecting for scientific research. | 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 |
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. a bioprocpecting permit allows collecting for scientific research | ||||
| permits for collecting/taking/possessing/using | Term & definition approved | Use: Landowner letter | signed document that indicates that a researcher has authorization to enter private property and conduct research and/or remove specimens | |||||||
| permits for collecting/taking/possessing/using | Term & definition approved | Use: Public property use permit | legal document such as a permit, term permit, lease, or easement, which allows occupancy, use, rights, or privileges of land; authorization is granted for a specific use of the land for a specific period of time | does this permit type exclusively refer to public land use? If so, consider renaming it to “public land use permit” | MAT, data use permits, landowner letter and maybe other documents types from this list are at the same time “use permits” to avoid ambiguity, consider deleting or modifying “use permit” // Remark by SE on August 19th, 2022: this remark refers to the time prior to renaming this document type into “public property use permit” | |||||
| Research Permission | Term & definition approved | Research Permit | authorizes researcher to engage in scientific activity; may specify type of activity or not (collecting, etc.) maybe also place where research will occur, or benefit-sharing obligations; covers a certain time period. Additional permits may be necessary, e,g, for collecting. Important: Research permits could be directed to show compliance with national Access & Benefit-Sharing legislation, these 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/), |
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| material transfer agreements, stewardships & related inforrmation | Review in progress | 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 & related inforrmation | will be removed | Confiscated material documentation | e.g. notfication letter from customs | |||||||
| material transfer agreements, stewardships & related inforrmation | Review in progress | 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 | loans, permanent loans, consumable loans | ||||||
| material transfer agreements, stewardships & related inforrmation | Review in progress | 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 | private gifts, private permanent loans | This is also an institutional MTA, and could be combined. | |||||
| material transfer agreements, stewardships & related inforrmation | will be removed | Stewardship Documentation | document that outline the conditions of agreed curation where ownership is not transferred to the institution curating the material | is it possible to differentiate “stewardship” from “permanent loan” by saying that stewardship is assigned by a public authority?
SE21Sept2022: added this to the category type definition | ||||||
| material transfer agreements, stewardships & related inforrmation | Term & definition approved | Provenance Evidence | documentation that establishes how or when a specimen may have been transferred to the museum, indicating provenance but itself does not transfer ownership; not a legal document | the document category chosen for this specific document type may be misleading; usually no documentation available this document summarises existing knowledge. // Remark by SE on August 19th, 2022: the document type “provenance evidence” initially was in the document category “transfer of ownership” | what about a new document category “posession history”? | |||||
| 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 | e.g. “plant passport”; does this apply only to living specimens and unprocessed products? Does this also apply to material preserved in ethanol or fixed with formaldehyde? | |||||
| Transport Document | will be deleted | Certificate of Health | agricultural certificate that indicates that specimens are in accordance with any regulations regarding health | |||||||
| Transport Document | will be deleted | Veterinary Permit to Transport | USDA permit allowing transport of material across state lines. In GB, EU such permits may be necessary in times of an yet uncontrolled outbreak of veterinary dieseases | |||||||
| Transport Documents | Term approved, check definition | Permit to move across boundaries | document that allows the movement of regulated species across boundaries within and between countries. | e.g. injurious wildlife, biological control organisms, invasive and/or pest species | e.g. injurious wildlife, biological control organisms, invasive and/or pest species | |||||
| Transport Documents | Review in progress | 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 | CL: there appear to be more permits than we have listed - see |
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| Transport Documents | Review in progress | CITES import permits | CITES import permits allow importing specimens of a species included in CITES-Appendix I | |||||||
| Transport Documents | Review in progress | CITES certificates of scientific exchange (COSE) | 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 | Review in progress | other CITES documents | CITES documents different from: export/re-export/import/COSE. Among these 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 acquisition 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; | |
Edmund Schiller (6.10.2021): is a CITES export permit valid only in connection with an equivalent CITES import permit? In that case I would not unify it with other export permits that do NOT require equivalent import permits, but create a separate document category “CITES” which could contain CITES export permits, CITES import permits, CITES certificates of scientific exchange, and material transfer agreements for acquiring customs' seizures (from situations where customs transfers previously seized CITES material to a museum); initial export from country of origin to institution at time of collection | |||||
| 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.; | |
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| Transport Documents | Term & definition approved | Original Import Permit | initial import to the institution at time of collection; | e.g. Centers for Disease Control (CDC) Import Permit; |
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| Transport Documents | Term & definition approved | Import Permit | import permit for material already belonging to natural history museums or bot. gardens, e.g. institutional exchange, loans etc.; Frederiks example | |
Including permits to transport illegal material (drugs, ivory, …) | |||||
| Exemption Permission (alternative option: Exemption Evidence?) | Term approved, check definition | Exemptional Authorization | authorizes that an action does not require specific permits or documentation | Letter that confirrms 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 |
Declaration might work better?
SE21Sept2022: personally, I like that better, but the suggested “exemption evidence” at the beginning seems the best to me |
Typology of Contents (draft)
| Catchphrase | List different contents, i.e. specific actions that may be subject to a permit or loan | Status term | Refers to document contents | Refers to specific rights and conditions applying to specimens / research (e.g. MAT conditions) | quality statement? Y/n | under national (or supranational, e.g. EU) legislation | (N)
not subject to nat./supranat. legislation Y/n |
required by loan agreement Y/n | Comments | suggested improvements | ||||||||||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| (d)
refers to individually granted permission? Y/n |
(d)
refers to individually assigned obligation (duty or restriction)? Y/n |
(d)
refers to individually assigned prohibition Y/n |
(L)
refers to permission in written law Y/n |
(L)
refers to obligation (duty or restriction) in written law Y/n |
(L)
refers to prohibition in written law Y/n |
An individually granted permission/obligation/prohibition is based on a document issued to a specific person or legal entity, often after examination of a specific project; in contrast to permissions/obligations/prohibitions based on written law without individualised documents, the law however can be referenced. Neither is present where something is not subject to national/supranational (e.g. EU) legislation, which means that depending on the applicable legal system it is allowed (based the principle that everything is allowed unless expressly prohibited) or forbidden (principle that everything is prohibited unless expressly allowed) | ||||||||||||||||||||||||||||||
| info not processed | information on permissions, obligations or prohibitions for this specimen is available, but has not been digitally processed yet | under review | n | Y | n | Y | Y | Y | Y | Y | Y | Y | Y | |||||||||||||||||||||||
| no ties | neither are further official permissions necessary, nor do official obligations or prohibitions exist for working/using/exhibiting (with) this specimen | under review | n | Y | n | n | n | n | n | n | n | Y | n | JuB: is that a permission? | ||||||||||||||||||||||
| free of further permissions | apart from the already existing permission, no further official permissions necessary for this specimen, but obligations may have been set (e.g. reporting) | under review | n | y | n | Y | n | Y | n | SE: shall we specify “necessary for working/exhibiting” in the contents description? | ||||||||||||||||||||||||||
| free science & education | no obligations are set for working scientifically/exhibiting (with) this specimen, certain actions (e.g. commercialisation) may require additional permits | replaced | n | Y | n | n | n | Y | SE: does “working/using/exhibiting” comprise everything that might be done with our specimens? FL: I think scientific use will have to be specified, for example in a number of broad categories (also relate to definition of genetic resources in Nagoya protocol). These categories could be: (1) Material is available for identification, taxonomic, morphological and anatomical studies. (2) Material is available for DNA sequencing and chemical analysis. (3) Material /TK is available of ethnobotanical, enthomycological and enthnozoological research, (4) Material is available seed research such as germination testing, moisture relationship testing and diagnostic characterization (everything about living organisms) | |||||||||||||||||||||||||||
| ok: exhibition (d) (L) (N) (LN) | exhibiting this specimen is permitted without further obligations either by (d) an individual document, or by (L) witten law, or (N) based on missing legal provisions. If no individual document is necessary for a permission, without evidence whether it's permitted based on written law or missing legal provisions, this is indicated by (LN) | under review | n | Y | n | Y | n | n | Y | n | n | Y | ||||||||||||||||||||||||
| obligations: exhibition (d) (L) | exhibiting this specimen is permitted but specific obligations apply, either by (d) an individual document, or by (L) witten law | under review | n | Y | n | Y | Y | n | Y | Y | n | n | ||||||||||||||||||||||||
| NO exhibition (d) (L) | exhibiting this specimen is prohibited | under review | n | Y | n | n | n | Y | n | n | Y | n | ||||||||||||||||||||||||
| no obligations are set for identification, taxonomic, morphological and anatomical studies | under review | n | Y | n | n | n | n | n | n | n | Y | SE: are we sure that we want to include“identification” here? Do we accept specimens if identification is forbidden or obligations are attached to identification? Would it be a different meaning if we said “no obligations set for physical analysis”? Also compare this with row 11 “free taxonomy” | line 8 and 12 can probably be combined | |||||||||||||||||||||||
| ok: genetic & biochemical (d) (L) (N) (LN) | utilizing this specimen for any kind of research and development on it's genetic and/or biochemical composition is permitted without further obligations, either by (d) an individual document, or by (L) witten law, or (N) based on missing legal provisions. If no individual document is necessary for a permission, without evidence whether it's permitted based on written law or missing legal provisions, this is indicated by (LN) | under review | n | Y | n | Y | n | n | Y | n | n | Y | SE: microbiology may have situations where taxonomy relies predominantly or solely on chemical analysis. How do we include this? | |||||||||||||||||||||||
| obligations: genetic & biochemical (d) (L) | utilizing this specimen for research and development on it's genetic and/or biochemical composition is permitted, but specific obligations apply, either by (d) an individual document, or by (L) witten law | under review | n | Y | n | Y | Y | n | Y | Y | n | n | ||||||||||||||||||||||||
| NO genetic & biochemical (d) (L) | utilizing this specimen for research and development on it's genetic and/or biochemical composition is prohibited | under review | n | n | n | Y | n | n | Y | n | n | |||||||||||||||||||||||||
| ok: physical analysis (d) (L) | using this specimen for physical analysis, such as morphology or anatomy, is permitted, no further obligations apply | under review | n | Y | n | Y | n | n | Y | n | n | n | ||||||||||||||||||||||||
| ok: taxonomy (d) (L) (N) (LN) | taxonomic work with this specimen is permitted without further obligations (other anatomical/morphological/chemical work may not be covered), either by (d) an individual document, or by (L) witten law, or (N) based on missing legal provisions. If no individual document is necessary for a permission, without evidence whether it's permitted based on written law or missing legal provisions, this is indicated by (LN) | under review | n | Y | Y | n | Y | n | n | Y | ||||||||||||||||||||||||||
| obligations: taxonomy (d) (L) | using this specimen for taxonomy is permitted, but specific obligations apply | under review | n | Y | n | Y | Y | n | Y | Y | n | n | ||||||||||||||||||||||||
| ok: TK-utilisation (d) (L) (N) (LN) | utilizing traditional knowledge (sensu Nagoya Protocol) associated with genetic resources is permitted without further obligations in ethnobotanical, enthomycological and enthnozoological research and development on the genetic and/or biochemical properties, either by (d) an individual document, or by (L) witten law, or (N) based on missing legal provisions. If no individual document is necessary for a permission, without evidence whether it's permitted based on written law or missing legal provisions, this is indicated by (LN) | under review | n | y | n | Y | n | n | Y | n | n | Y | ||||||||||||||||||||||||
| obligations: TK utilization (d) (L) | utilizing this specimen's associated traditional knowledge (sensu Nagoya Protocol) in ethnobotanical, enthomycological or enthnozoological research and development on the genetic and/or biochemical composition is permitted, but specific obligations apply, either by (d) an individual document, or by (L) witten law | under review | n | Y | n | Y | Y | n | Y | Y | n | n | ||||||||||||||||||||||||
| ok: seed research (d) (L) (N) (LN) | seed research such as germination testing, moisture relationship testing and diagnostic characterization (everything about living organisms) is permitted without further obligations in ethnobotanical, enthomycological and enthnozoological research and development on the genetic and/or biochemical properties, either by (d) an individual document, or by (L) witten law, or (N) based on missing legal provisions. If no individual document is necessary for a permission, without evidence whether it's permitted based on written law or missing legal provisions, this is indicated by (LN) | under review | n | y | n | Y | n | n | Y | n | n | Y | SE: the examples only refer to analysis, not advancing to research in the meaning of finding unprecedented knowledge or applications. Does this make it possible to change the name to “no obligations for seed analysis”? | |||||||||||||||||||||||
| obligations: seed research (d) (L) | seed research such as germination testing, moisture relationship testing and diagnostic characterization (everything about living organisms) is permitted, but specific obligations apply | under review | n | Y | n | Y | Y | n | Y | Y | n | n | ||||||||||||||||||||||||
| Permission to use (conditions) | replaced | y | n | n | Y | n | n | Y | n | n | n | FL: specify “use” (taxonomic use, use of genetic resource, …) | ||||||||||||||||||||||||
| no quality statements necessary for holding this specimen | under review | n | y | Y | Y | n | n | n | n | n | Y | SE: mabe not relevant?(we are already holding it, so any necessary quality statement should alreaady be present) JuB: it sounds like a confirmation that no restrictions or obligations applie | ||||||||||||||||||||||||
| Ethical statement | under review | y | n | Y | n | n | n | CL: Might also include ethical approval (e.g. from departmental ethics committee) SE: we might need to split this into e.g. ethical collecting (if this is an issue), ethical holding, ethical working. Is ethical approval issued by a legislative body on the premise of a positive ethical statement (then the ethical statement would be a quality statement alone), or is the ethical approval issued by the departmental ethics committee (then the ethical statement would be a permission and we could rename it “ethical permission”) | ||||||||||||||||||||||||||||
| Contractual agreement | removed | y | n | n | a contractual agreement may rather be a specific way of addressing a certain contents (different from e.g. an official order), but not a content itself SE: suggest to remove this FL: yes, I agree that a contract includes content, but is not content itself | |||||||||||||||||||||||||||||||
| Exemption statement | removed | y | n | n | maybe too general, does not refer to a specific action SE: suggest to remove this FL: agreed to remove this | |||||||||||||||||||||||||||||||
| Intellectual property right | removed | y | y | n | maybe too general, does not refer to a specific action SE: suggest to remove this FL: agreed to remove this | |||||||||||||||||||||||||||||||
| free of familiar pests | Confirmation of non-hazardous Health, phytosanitary etc status | under review | y | n | Y | n | n | n | AP also used for import as an action, SE: I understand taht an import permission may be based on a quality statement confirming non-hazardous healt status, but from my knowledge the import permission is a separate thing - see row “import approved” below. What is your opinion? | |||||||||||||||||||||||||||
| Official record | removed | y | n | ? | maybe too general, does not refer to a specific action SE: suggest to remove this FL: can someone remind me what the meaning is 'official record'. I don't seem to find it back in the document types. | |||||||||||||||||||||||||||||||
| import approved (d) | Permission to bring physical material into country, based on a public administration's decision in a document addressed to a specific person or legal entity | under review | y | n | n | Y | n | n | ||||||||||||||||||||||||||||
| Permission to carry out research | under review | y | n | n | Y | n | n | shall we differentiate morphological, chemical and genetic research? SE: shall we also differentiate whether the permit is for one project or unlimited? | ||||||||||||||||||||||||||||
| Permission to collect information / physical material | under review | y | n | n | Y | n | n | SE: maybe separate both, they may require different permits | ||||||||||||||||||||||||||||
| export approved (d) | Permission to export physical material from country, based on a public administration's decision in a document addressed to a specific person or legal entity | under review | y | n | n | Y | n | n | ||||||||||||||||||||||||||||
| holding approved (d) | Permission to hold physical material, based on a public administration's decision in a document addressed to a specific person or legal entity | under review | y | n | Y | n | n | |||||||||||||||||||||||||||||
| Permission to move physical material within country, based on a public administration's decision in a document addressed to a specific person or legal entity | under review | y | n | n | Y | n | n | SE: shall we differentiate whether the permit is for a specific time or unlimited? | ||||||||||||||||||||||||||||
| Permission to receive information / physical material, based on a public administration's decision in a document addressed to a specific person or legal entity | under review | y | n | n | Y | n | n | maybe separate both, they may require different permits | ||||||||||||||||||||||||||||
| setting free - ok (d) | Permission to release living organisms int the wild, based on a public administration's decision in a document addressed to a specific person or legal entity | under review | y | y | n | Y | n | n | when organsims are released, this usually happens with a specific background. It might be valuable to discriminate different backgrounds for releasing organisms, e.g. reintroduce/translocate organisms for fostering locally endangered populations; eradicate a species, especially an invasieve alien species, with biological control organisms; releasing genetically modified organisms (agricultural production, pest control); etc. | |||||||||||||||||||||||||||
| Provenance | under review | y | y | n | maybe too general, does not refer to a specific action | |||||||||||||||||||||||||||||||
| Public record | under review | y | n | ? | maybe too general, does not refer to a specific action; what is the difference to “official record” above? | |||||||||||||||||||||||||||||||
| Transfer of physical material | under review | n | ||||||||||||||||||||||||||||||||||
| Transfer of information / physical material | under review | y | n | n | ||||||||||||||||||||||||||||||||
| Transfer of title to physical material | under review | n | ||||||||||||||||||||||||||||||||||
| Transfer of title to information / physical material | under review | y | n | n | ||||||||||||||||||||||||||||||||
| Under national law | under review | y | n | n | “under national law” may rather be a specific way of adressing a certain contents, but not a content itself | |||||||||||||||||||||||||||||||
| entering permitted (d) | permission to enter a certain location/area, based on a written decision addressed to a specific person or legal entity, or a verbal decision directed to a specific person who created a written record | under review | y | n | Y | n | n | SE: this may be relevant for collecting/hunting/fishing specimens, but for future use of specimens incorporated in a collection the note may be sufficient “collecting/hunting/fishing conditions fulfilled” | ||||||||||||||||||||||||||||
| equipment permitted (d) | permission to use certain equipment, based on a written decision addressed to a specific person or legal entity, or a verbal decision directed to a specific person who created a written record | under review | y | n | Y | n | n | SE: this may be relevant for collecting/hunting/fishing specimens, but for future use of specimens incorporated in a collection the note may be sufficient “collecting/hunting/fishing conditions fulfilled” | ||||||||||||||||||||||||||||
| tagging permitted (d) | permission to tag animals, based on a written decision addressed to a specific person or legal entity, or a verbal decision directed to a specific person who created a written record | under review | y | n | Y | n | n | SE: this may be relevant for collecting/hunting/fishing specimens, but for future use of specimens incorporated in a collection the note may be sufficient “collecting/hunting/fishing conditions fulfilled” | ||||||||||||||||||||||||||||
| requirement of having temporary resident status | under review | y | n | n | Y | n | ||||||||||||||||||||||||||||||
| requirement of having temporary stay visa for researchers | under review | y | n | n | Y | n | ||||||||||||||||||||||||||||||
| requirement of obtaining “exit permit” at the end of research | under review | y | n | n | Y | n | ||||||||||||||||||||||||||||||
| providing training for local staff or students | under review | y | n | n | Y | n | ||||||||||||||||||||||||||||||
| regular progress reports | under review | y | n | n | Y | n | ||||||||||||||||||||||||||||||
| interim report upon leaving the country | under review | y | n | n | Y | n | ||||||||||||||||||||||||||||||
| security cash deposit | under review | y | n | n | Y | n | ||||||||||||||||||||||||||||||
| copies of publication | under review | y | n | n | Y | n | ||||||||||||||||||||||||||||||
| compliance with national sectoral guidelines | under review | y | n | n | Y | n | ||||||||||||||||||||||||||||||
| under review | ||||||||||||||||||||||||||||||||||||
| provide sample list to providing country | under review | n | y | n | n | Y | n | |||||||||||||||||||||||||||||
| use provider country's unique identifier | under review | n | y | n | n | Y | n | |||||||||||||||||||||||||||||
| hold genetic resource indefined location only | under review | n | y | n | n | Y | ? | |||||||||||||||||||||||||||||
| conduct work in provider country | under review | n | y | n | n | Y | n | |||||||||||||||||||||||||||||
| restrictions on third party transfer | under review | n | y | n | n | Y | n | |||||||||||||||||||||||||||||
| present permit requires uses to be non-commercial | under review | n | y | n | n | Y | n | |||||||||||||||||||||||||||||
| obligations for commercial use | under review | n | y | n | n | Y | n | |||||||||||||||||||||||||||||
| only for research lacking economic benefits | under review | n | y | n | n | Y | n | |||||||||||||||||||||||||||||
| upfront payment required | under review | n | y | n | n | Y | n | |||||||||||||||||||||||||||||
| a certain methodology is required | under review | n | y | n | n | Y | n | |||||||||||||||||||||||||||||
| only a specific research plan is allowed | under review | n | y | n | n | Y | n | |||||||||||||||||||||||||||||
| provisions for sample duplicates | under review | n | y | n | n | Y | n | |||||||||||||||||||||||||||||
| aTK provisions | under review | y | y | n | n | Y | n | |||||||||||||||||||||||||||||
| general reporting duties | under review | y | n | n | n | Y | n | |||||||||||||||||||||||||||||
| the providing country retains ownership | under review | n | y | n | n | Y | n | |||||||||||||||||||||||||||||
| provisions for left-over material | under review | n | y | n | n | Y | n | |||||||||||||||||||||||||||||
| material may be used for other projects | under review | n | y | n | n | Y | n | |||||||||||||||||||||||||||||
| provisions fpr “digital sequence information” | under review | n | y | n | n | Y | n | |||||||||||||||||||||||||||||
| provisions for use in synthetic biology | under review | n | y | n | n | Y | n | |||||||||||||||||||||||||||||
| provisions for obtaining intellectual property rights | under review | y | y | n | n | Y | n | |||||||||||||||||||||||||||||
| liability provisions are present | under review | y | n | n | Y | n | ||||||||||||||||||||||||||||||
| permission for taxonomic research | under review | n | y | n | Y | n | n | |||||||||||||||||||||||||||||
| fragile | too fragile to be loaned | under review | n | y | Y | n | n | n | n | n | n | n | Y | |||||||||||||||||||||||
| no destructive sampling | a loan is possible, but destructive sampling is not by any means acceptable | under review | n | n | n | n | n | n | n | Y | ||||||||||||||||||||||||||
| destructive sampling restricted | destructive sampling requires prior consultation with the lending institution and a separate permission | under review | n | n | n | n | n | n | n | Y | ||||||||||||||||||||||||||
