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Research Museum

Compliance stories

Learning from experience: Museum

Type of institution: A research museum in Germany

Dealing with compliance: The museum has done the following to address Nagoya Protocol compliance at the institutional level:

  • Adoption of the CETAF Code of Conduct and Best Practice

 

  • Implementation of ABS workflows and updating the institution’s database

 

  • Making resources available for researchers

 

  • Awareness-raising

 

Photo: James Wainscoat on Unsplash

Adopting CETAF’s Code of Conduct & Best Practice       

The research museum is a member of the Consortium of European Taxonomic Facilities (CETAF) and as such, has committed itself to implementing the CETAF Code of Conduct & Best Practice (Best Practice).

CETAF’s Best Practice is recognized by the European Commission.

Implementation at the institutional level: The Best Practice was adapted to the needs of the institution and the researchers

Adaptations:

  • reduced length
  • use of simplified language
  • inclusion of flow charts which explain the relevant processes at the museum
  • the museum did not adopt the model Material Transfer Agreements provided in the Annex to the Best Practice, choosing to adapt their existing documents, e.g. loan agreement for museum objects used for research which is “utilization”
  • changes to workflows and the database used for sample and document management

 

Language: The guidelines are in English.

Adopted: Beginning 2020

Publicly available: No

Content: The guidelines:

  • Highlight which aspects of the museum’s work may be ABS relevant
  • Provide a tool for verifying the relevance of ABS and Regulation (EU) 511/2014
  • Provide detail on the action to be taken when collecting material, receiving material from others, using material for research and when transferring material to third parties
  • Outlines the modified document management process
  • Includes tools, like an email template for communication with national authorities in the provider country

 

What are the lessons learned?

CETAF’s Best Practice is very useful for orientation when formulating guidelines at an institutional level.

Different people at the institution, including the researchers, need to be involved in the implementation process as this increases acceptance. It can also take time for everyone involved in the process to reach an agreement.

It is important to use easily understandable language in the guidelines to aid understanding.

Graphics are useful for researchers and can help to clarify obligations and the process.

Keeping change to existing systems and workflows to a minimum can help with increasing acceptance among the researchers.

 

Implementation of ABS workflows and updating the institution’s database

The institutional approach taken by the museum makes the researchers responsible for obtaining ABS documents.

A contact person (in place since 2018) is available to answer questions and provide information on obligations and the ABS process.

What is the workflow?

Researchers should copy the Nagoya-contact-person into any communication with national authorities in the provider country.

Once the documents have been obtained, they are sent to the contact person, who assigns an individual number to the document which contains the date, country ID and permit code. This allows the documents to be linked to the correct sample. The internal identification number is written on the original document by the researcher.

The documents are scanned and uploaded to the museum’s database, which holds information about all of the museum’s specimens that have already been digitized and any relevant permits, e.g. CITES, collection, export etc. The identification number for the Nagoya documents is included in the information about a particular object. When searching the database, researchers can immediately see if there are Nagoya relevant documents for a particular specimen.

The original documents are returned to the researchers and stored in their respective departments. These documents should be stored centrally so that they can be found easily by any staff member from that Department.

Researchers add information to a database about other compliance related matters, including the benefits shared.

 

What are the lessons learned?

Having a process where copies of the documents in a centralized place is very helpful for gaining an overview and also ensuring that information can be found if needed.

The individual document number greatly improved the ability to assign documents to a specific sample.

Linking the ABS process to existing infrastructure is important to increase acceptance of new requirements and processes.

Making resources available for researchers

Support is provided for researchers by the Nagoya Protocol contact person.

In the museum’s intranet, researchers have access to not only the guidelines but also information on ABS measures in specific countries is made available in a database. This is maintained by the contact person.

 

 

What are the lessons learned?

Care needs to be taken that internal databases containing information on ABS measures are regularly updated. It can be difficult to stay on top of these, meaning that it is important to include the date when the information is added to the database and a warning that researchers may need to check whether there have been any changes to these ABS measures.

The contact person can help people within the organization to network and connect with people who have experience with ABS in certain countries. Sharing of this type of experience is valuable for Researchers.

Awareness-raising

Awareness-raising is not an explicit part of the museum’s institutional guidelines. However, when the guidelines were first adopted, a presentation was given to the staff about them.

The contact person also regularly addresses news and challenges around the Nagoya Protocol in staff meetings.

When adopting a new system, it is important to explain what the changes mean for the people implementing the system.

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The German Nagoya Protocol HuB is financed by the Federal Agency for Nature Conservation (Bundesamt für Naturschutz) with funds from the Federal Ministry for the Environment, Nature Conservation, Nuclear Safety and Consumer Protection (Bundesministerium für Umwelt, Naturschutz, nukleare Sicherheit und Verbraucherschutz)

 

 

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  • Some countries also have ABS laws even though they are NOT Party to the Nagoya Protocol. You still must comply with these laws!
  • Some countries in the EU also have specific national ABS laws.
  • If your research will involve traditional knowledge, you must take into account the national ABS rules in this regard.

In cases of non-compliance the National Authority (BfN) can:

  • confiscate the material.
  • prohibit further use and transfer of the material for research.
  • prohibit the publication or sharing of any results of utilization.
  • issue a fine of up to 50,000 EUR.

Check out more about the implications of non-compliance.

How do I check?

  • Start with the country profile in the ABS Clearing House (ABSCH).
  • Check out the legislative, administrative or policy measures section. If no measures can be found here, the interim reports might also contain relevant information. Tip! filter by country.
  • Be careful though. This information is not always complete or up to date. Some countries have ABS laws but they are not listed in the ABSCH.

To play safe and ensure legal clarity, always contact the ABS national focal point and/or the competent national authority. Tip! filter by country.

No answer?

  • Try contacting the national focal point of the Convention on Biological Diversity (CBD).
  • Ask collaboration partners in the country for help – easier for them to contact the authorities in their own country and language!
  • Ask colleagues who have worked in that country before.
  • Use the internet to find resources.
  • Contact the German Federal Agency for Nature Conservation (BfN). They have information about ABS and may be able to assist.

For research done in Germany, the German Federal Agency for Nature Conservation recommends using the DECLARE portal.

An account is required. Check with your institution as it may already have one.

This video and the user guide are very useful to start!

Starting your project before ABS permits have been granted is a violation of the EU Regulation and can get you in trouble if your institute is being checked by the German National Authority (BfN)!

In this regard, you have obligations under the EU ABS Regulation if:

  • You collected the material…
  • The collaborator who gave you the material collected it…
  • The material obtained from a collection was originally collected…
  • The shop or company where you bought the material collected it…

on or after 12 October 2014

This date is key because it is when the Nagoya Protocol entered into force.

When you obtain material from a collaborator, collection or trader, it is important to verify if there are benefit-sharing obligations linked to it.

For example: research on specific genetic or biochemical properties, gene function, gene expression, genetic modification, genome editing, breeding based on traits and their associated genes, among others.

The EU Regulation does not apply when research does not involve the study of the genetic or biochemical composition, e.g. storing biological materials in a collection, mere culturing of organisms, taxonomic identification, morphological or anatomical characterization, among others.

See the guidance document for more information and examples on “utilisation”.

Also check our FAQs section on it.

ABS obligations may or may not apply depending on the type of research. There could be exemptions for non-commercial or basic research.

Keep in mind that exemptions for local researchers may not apply if they conduct their research abroad (e.g. guest researchers bring material from their home country to study it in Germany).

Within the European Union, obligations stem from Regulation (EU) No 511/2014.

The EU Guidance Document contains information on scope, obligations and understanding whether your material/research is covered, including many practical examples. It is available in all EU languages and is a must-have resource.

Not all countries that are Party to the Nagoya Protocol regulate access, e.g. Germany. In such cases, you are free to use the genetic resources obtained from these countries without getting ABS permits.

You are obliged by the EU and German law to support user checks by the German Federal Agency for Nature Conservation.

Failure to support a user check is an administrative offence.

When you transfer the material to another person or institution:

  • Search if there are ABS documents relating to the material you have.
  • Check if the transfer to third parties is permitted.
  • Transfer also the information, e.g. a copy of the ABS permit or the number of the internationally recognized certificate of compliance (IRCC) published on the ABS Clearing House.

Having a good documentation system will save you headaches in the future.

Read the documents and understand your obligations as well as any conditions and restrictions on use of the material.

Keep in mind your commitments on benefit-sharing!

The due diligence declaration informs the competent authority in Germany that your research and material is Nagoya Protocol relevant and that you have complied with your ABS obligations.

Check out more about it!

“Derivative” means a naturally occurring biochemical compound resulting from the genetic expression or metabolism of biological or genetic resources, even if it does not contain functional units of heredity.

Some examples are: RNA, proteins (including enzymes), lipids, organic compounds (e.g. essential oils or resins) and other products of metabolism.

Also check our FAQs section on it.

In this regard, you have obligations in the EU if the country where the material comes from was a Party to the Nagoya Protocol and had ABS regulations at the time of access.

Why is ABS important?

Access and Benefit Sharing (ABS) measures ensure that research results support provider countries to:

  • Make informed decisions on conservation, sustainable use and management of their biodiversity.
  • Implement innovative solutions for productive activities, contributing to sustainable development.
  • Build capacities for national research.
  • Other benefits as agreed.

Even if ABS does not apply to your research project, you must be able to provide the German Federal Agency for Nature Conservation with the documentation that supports your conclusion. This will speed up possible compliance checks. Tip! save email correspondence with the provider country authorities on this regard.

For some countries, this can be determined by checking the date of entry into force of the national ABS legislation and compare it with when the material was collected in the field.  If you collected before the legislation went into force, you could be out of scope. However, in some countries “access” can also mean receiving material from an ex-situ collection or even when you start to use it (even if it was collected and left the provider country long ago). Keep this in mind!

Some laws only cover certain types of organisms or organisms collected in certain areas.

Check when:

  • you collect material outside of Germany
  • a collaborator gives you material from another country
  • you get material from a collection in Germany
  • you buy material from a shop or a company
  • traditional knowledge from indigenous peoples or local communities will be used for your research