Below are the references used to for writing the checkpoints, and are good resource starting points. Please also see the resource hub for more resources.
Convention on Biological Diversity (n.d.). ABS Factsheet: Frequently Asked Questions. Available at: https://www.cbd.int/doc/programmes/abs/factsheets/abs-factsheet-faqs-en.pdf
Consortium of European Taxonomic Facilities (CETAF) ( 2019). Code of Conduct & Best Practice for Access and Benefit‑Sharing [Leaflet]. Available at: https://www.cetaf.org/wp-content/uploads/
Consortium of European Taxonomic Facilities (CETAF) (2019). CETAF Code of Conduct and Best Practices. Available at: https://cetaf.org/wp-content/uploads/CETAF_Code-of-Conduct-and-Best-Practices_UK-final-version.pdf
de Mestier, A.H., et al. (2023). Policies Handbook on Using Molecular Collections. Research Ideas and Outcomes, 9: e102908. Available at: https://riojournal.com/article/102908/
European Parliament and Council of the European Union (2014). Regulation (EU) No 511/2014 of 16 April 2014 on compliance measures for users under the Nagoya Protocol (text with EEA relevance) [Regulation]. Official Journal of the European Union L 150, pp. 59–71. Available at: https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:32014R0511 (Accessed: 28 August 2025).
European Commission (2014). Nagoya Protocol: Questions and Answers [Press Release]. Available at: https://ec.europa.eu/commission/presscorner/detail/en/memo_14_411
European Commission (2021). Guidance document on the scope of application and core obligations of Regulation (EU) No 511/2014 of the European Parliament and of the Council on the compliance measures for users from the Nagoya Protocol on Access to Genetic Resources and the Fair and Equitable Sharing of Benefits Arising from their Utilisation in the Union (2021/C 13/01). Official Journal of the European Union C 13, pp. 1–22. Available at: https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=uriserv%3AOJ.C_.2021.013.01.0001.01.ENG&toc=OJ%3AC%3A2021%3A013%3ATOC
Nagoya Protocol Compliance Self-Assessment Tool (n.d.). Self-Assessment Tool for ABS Compliance in Organizations. Available at: https://nagoyaprotocol.myspecies.info/content/self-assessment-tool-abs-compliance-organizations
Nagoya Protocol Hub (n.d.). Homepage. Available at: https://nagoyaprotocol-hub.de/
Rochette, N.C., et al. (2023). Global survey of biodiversity access and benefit sharing awareness and capacity. bioRxiv. Available at: https://www.biorxiv.org/content/10.1101/2023.06.28.546652v4
Scarlett Sett & Dirk Neumann (2023). Biodiversity Genomics workshop on ABS Training Materials: Training Videos (1 & 2) and Presentations [Videos 1, Video 2 and presentation slides]. BGE Project.
Secretariat of the Convention on Biological Diversity (2010). Introduction to Access and Benefit‑Sharing (ABS) [Brochure]. Available at: https://www.cbd.int/abs/infokit/brochure-en.pdf (Accessed: 28 August 2025).
Before conducting your field sampling you should check to see if you need to comply with the Nagoya Protocol/ABS regulations. Non-Compliance could lead to penalties, and the inability to publish or use research results. Please be aware of sampling outside the EU as regulations may differ
It is strongly advised that you also look at the ABS guidance for fresh terrestrial sampling, fresh marine sampling, or sampling in ex-situ collections (depending on how you obtained the genetic resources) to determine if you need to comply with ABS and how to do so.
ABS stands for Access and Benefit - Sharing. Access means requesting a permit to collect and utilise genetic resources (in-situ and ex-situ resources), and Benefits-Sharing means giving something back to the country where the material comes from.
The Convention on Biological Diversity (CBD), entered into force in December 1993. The CBD recognises that countries have sovereign rights over their natural resources, and its ‘third’ objective is the fair and equitable sharing of benefits arising from the utilisation of genetic resources, it means, between the users of genetic resources (commercial and non-commercial) and the countries providing those resources.
The Nagoya Protocol, which entered into force on the 12th October 2014, is a further supplementary agreement that aims to provide a clear, transparent and non-arbitrary international framework to implement the ‘third’ objective of the CBD. In other words, the Nagoya Protocol is the international framework for ABS and compliance. In the Annex of the Protocol, you can find examples of non-monetary and monetary benefits that could be shared from the utilisation of genetic resources and/or traditional knowledge of indigenous people and local communities associated with genetic resources. The ABS measures may cover genetic resources that are acquired in situ (from their natural origin in a country) and ex situ (meaning genetic resources that may be stored in an institute that is not in the country where it originally came from, or even if you buy them in the store).
A is for access
Each country decides if they regulate access to their genetic resources and how.
NOT implemented at EU Level – each Member State has the right to decide
Provider countries may request a prior informed consent (PIC) – it means asking for permission first.
The ABS National Focal Points should provide information on the country’s ABS rules and procedures.
B is for benefit-sharing
Benefit-sharing is based on mutually agreed terms (MAT) between the provider country and the user. Benefits could be monetary or non-monetary.
C is for compliance
Measures to control that the material, utilised within its jurisdiction, have been accessed legally.
Compliance obligations are determined at the EU level though the Regulation (EU) No 511/2014. It establishes the framework for member states on obligations for users of genetic resources within the EU.
The EU Regulation 511/2014 on compliance measures for users of genetic resources and associated traditional knowledge, establishes rules governing compliance with ABS in accordance with the provisions of the Nagoya Protocol.The EU ABS Regulations defines “utilisation” as conducting research and development on the genetic and/or biochemical composition of genetic resources.
To determine whether you have compliance obligations under the EU ABS Regulation, these are the elements that need to be considered.
EU member states may have additional and stricter laws on access to genetic resources than what is stated in the EU Regulation on ABS.
Before checking your ABS responsibilities, it helps to understand these commonly used terms:
Prior Informed Consent (PIC)
Permission from the provider country (usually through a national authority) to access its genetic resources. This must be obtained before collecting or using the material.
Mutually Agreed Terms (MAT)
A legally binding agreement between the user and the provider country, outlining how the material may be used and how benefits will be shared (e.g. co-authorship, sharing results, royalties).
Material Transfer Agreement (MTA)
Material Transfer Agreements (MTAs) are legal documents that set the terms for transferring biological materials—such as specimens or genetic samples—between organizations. They define the rights, responsibilities, and conditions related to the material’s use, including legal, ethical, and institutional obligations.
MTAs are essential for:
Ensuring proper credit and acknowledgment in research outcomes
Protecting ownership, intellectual property, and access to benefits
Defining the nature and conditions of the transfer
Clarifying liability and responsibility in case of misuse or loss
Complying with legal, ethical, and funding requirements (e.g., BGE project standards)
Digital Sequence Information (DSI)
Refers to digital genetic data such as DNA, RNA, or protein sequences. DSI is not currently regulated under the EU ABS Regulation, but some provider countries do consider it part of their ABS requirements. Always check local rules via the ABS Clearing-House.
DECLARE
The EU’s online platform for submitting due diligence declarations under the ABS Regulation, required when conducting research on ABS regulated genetic material, especially if using EU funding.
For in-situ and ex-situ genetic resources that are within scope of ABS: Within the Mutually Agreed Term (MAT) it should clearly state that the resources are allowed to be transferred to third-parties plus associated terms and conditons.
If the MAT states that you are allowed to transfer to third-parties then please proceed to checkpoint 3.
If the MAT does not allow for the transfer to third-party countries then you will have to ask for a modification of the current MAT or re-negotiate a new MAT with the provider country prior to transferring the material. You can find the National Focal Points in the ABS clearing house (https://absch.cbd.int/en/).
Prior to shipping the material to another institution or individual you will have to create a Material Transfer Agreement (MTA) between you or your institution and the institution that you wish to transfer the genetic resources to. A MTA is a legal document that sets out the terms and conditions under which the biological material may be acquired, used and supplied and resulting benefits shared (CETAF code of conduct). It also should explicitly mention whether it is a temporary transfer or a permanent transfer of ownership. The MTA may acquire, along with it, copies of Mutually Agreed Terms (MATS) and Prior informed consent (PIC). Please see the resources below which include best practices for creating MTA’s and templates.
You should keep a copy of the signed MTA and should be stored securely and centrally in your institution.
Researchers and institutions must track the use and movement of genetic resources and associated traditional knowledge throughout the research process and beyond, to ensure legal compliance, accountability, and traceability.
A centralised and secure institutional database should be used to record all relevant information, rather than relying on individual or ad hoc systems. This ensures consistency, long-term data preservation, and accessibility during audits or project reviews.
Each institution or project should designate an authoritative team member (e.g., an ABS compliance officer or project lead) responsible for:
Maintaining accurate and up-to-date records
Ensuring that documentation and compliance measures are followed
Coordinating with legal or ethics offices when needed
The tracking database should include:
Date and source of acquisition of each genetic resource
Copies of the Prior Informed Consent (PIC), Mutually Agreed Terms (MAT), and Material Transfer Agreement (MTA)
Project or study title for which the genetic resource is used
Details of any transfers or changes in location or use of the material
Well-maintained records are essential not only for compliance with Access and Benefit-Sharing (ABS) obligations but also for ensuring ethical research practices and the reproducibility of results.
DECLARE is a web based application(DECLARE). It requires a login. When you get to this point you have done most of the work, as the due diligence obligation exercise is quite easy.. It is five questions and is simply entering in the information that you have already accumulated (permits and permissions etc), and so it is a five min process. You should safely store all documents so if genetic materials obtained are transferred to a third party they are accompanied with these documents.. However, prior to any third party transfer you must ensure this is allowed within the conditions of the MAT. Even if allowable, you still must have a paper track of the transfer. Finally, if you are receiving material from an external party you should always ask where the material was obtained from.
CITES (website) is regulated through the issue and control of export and import permits for a number of clearly defined species listed in three appendices I, II, and III. You can find these appendices on the CITES website (Appendices page) and also the EU Commission Wildlife trade law webpage.. The different appendices require different levels of permissions for export and import. Each nation state who is a party to CITES is responsible for the implementation of CITES in their own legal framework and therefore party’s may have stricter regulations than is codified by CITES. All parties have at least one management authority and one scientific authority.
Point of action:
Check if the species that you wish to ship is on one of the three the CITES appendices I, II, III using the CITES checklist.
If you are:
Exporting samples from the EU (Appendix I,II, III) then you need an Export Permit (from the national CITES authority of the country you are exporting from.
If you are importing to the EU (Appendix I, II, III) you will need an Import Permit and Export Permit from the origin country (their national CITES authority.
Shipping within the EU (Species in Appendix I) you will need a Intra-EU Certificate or transfer permit.
Shipping within the EU (Species in Appendix II, III) there is usually no permit needed but you may need proof of legal origin.
The EU may have stricter implementation of CITES via EU Wildlife Trade Regulations so please check (website)
Some national laws may also impose additional requirements.
This applies to any biological/genomic specimens shipped by air into the EU, regardless of the policy component (e.g., CITES, Plant Health, ABS). It is not needed for shipping by air within the EU.
From 1 March 2023, the Import Control System 2 (ICS2) requires all goods entering the EU by air to be electronically pre-declared using an Entry Summary Declaration (ENS). This ensures customs can assess the shipment before arrival, even for non-commercial scientific materials.
Action points
Use a compliant courier (e.g. DHL, FedEx) that handles ICS2 Entry Summary Declarations (ENS).
Gather and provide key information to the courier:
Recipient’s EORI number (EU institution)
Correct HS code (9705 22 00 for CITES-listed/endangered species) see website - for numbers
Full scientific description of contents
Purpose: "Non-commercial scientific research
Applies To:
All specimens shipped into the EU by air, including:
CITES-listed specimens
Plant or soil material under Plant Health rules
Genetic resources under ABS/Nagoya requirements.
Do NOT include a commercial invoice or manufacturer's declaration, as this implies a commercial transaction and may trigger customs duties or delays.
Instead, use a pro forma invoice and/or loan/transfer letter clearly stating that the material is for research purposes.
Below are the references used to for writing the checkpoints, and are good resource starting points. Please also see the resource hub for more resources.
CITES Secretariat (n.d.). Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES) Homepage. Available at: https://cites.org/eng
de Mestier, A.H., et al. (2023). Policies Handbook on Using Molecular Collections. Research Ideas and Outcomes, 9: e102908. Available at: https://riojournal.com/article/102908/
European Commission (n.d.). Wildlife Trade. Available at: https://environment.ec.europa.eu/topics/nature-and-biodiversity/wildlife-trade_en
Scarlett Sett & Dirk Neumann (2023). Biodiversity Genomics workshop on ABS Training Materials: Training Videos (1 & 2) and Presentations [Videos 1, Video 2 and presentation slides]. BGE Project.
The IAS regulation (Regulation (EU) No 1143/2014) mainly refers to live specimens of Invasive species, subspecies or lower taxon of animals, plants. Fungi or micro-organisms introduced outside its natural range. It can also refer to dead or preserved specimens that still have reproducible parts like seeds or spores. The regulation outlines the definitions, restrictions, permits, authorisations etc. It also mentions a list of IAS called the list of invasive alien species of Union Concern.
Before shipping, confirm is listed on the list of invasive alien species of Union concern. Here you can consult the IAS list (EU IAS webpage)
This includes:
Live specimens
Preserved material with viable parts (e.g. seeds, spores, tissue with reproductive capacity)
It is generally prohibited to import or export to another EU member state listed IAS species in the EU. Exceptions may be made for scientific research but you must ask permission from the national competent authorities. You need to do the following:
1: A permit is granted by the national competent authority and
2: The specimens are stored properly with measures to prevent escape or spread.
As part of your permit application, you must submit a contingency plan, including an eradication plan, which must be approved by the competent authority. Within the regulation it makes it explicit that contained holding must meet various strict conditions, including that waste handling, maintenance protocols, removal, destruction or disposal must not allow spread, reproduction or escape outside the holding.
Some member state national competent authorities are listed in the European Alien Species Information Network (link)
Exceptions to collect, keep or study IAS do not override other regulations like CITES, ABS, or conservation laws. Please check these regulations for this activity in the tool. Also go to see the Genomic resource shipping activity.
Custom officers may inspect shipments to verify compliance with IAS rules. To ease clearance:
Include permit copies in the documentation
Clearly label contents and scientific purpose
If shipping from outside the EU: also check import requirements and coordinate with the border control authorities of the destination country.
The EU Plant Health Passports and imports regulations only apply if you are importing plants from non-EU countries, including the UK. Switzerland is exempt from the EU law (see here).
If you are importing within the EU to another EU country then you do not need to comply with this regulation.
Action points for importing plants from a non-EU country to the EU:
You should still check both countries import and export laws, in case there are any restrictions specific to those countries.
This is only needed if you are shipping material to the EU from a non-EU country.
Action points:
Define what you are shipping:
Live plants
Plant parts
Soil or growing medium
Herbarium specimens or dried plant material
In vitro cultures
Wood, bark
The more “alive” or perishable the material, the more likely it needs a certificate.
Please consult your National Plant Protection Organisation or equivalent authority or contact the EU importing institution to see if you need a certificate.
Some NPPOs may only accept applications from registered exporters, so individuals may need to work through their institution.
abel all material clearly with scientific name, non-commercial use, and “for research only”.
If required, schedule an inspection before shipment to obtain the PC.
Include the original PC with your shipment — the EU requires the physical certificate for customs clearance.
Please see the following resources to find out what plants are within scope and to apply for a plant passport:
add resources
This applies to any biological/genomic specimens shipped by air into the EU, regardless of the policy component (e.g., CITES, Plant Health, ABS). It is not needed for shipping by air within the EU.
From 1 March 2023, the Import Control System 2 (ICS2) requires all goods entering the EU by air to be electronically pre-declared using an Entry Summary Declaration (ENS). This ensures customs can assess the shipment before arrival, even for non-commercial scientific materials.
Action points:
Use a compliant courier (e.g. DHL, FedEx) that handles ICS2 Entry Summary Declarations (ENS).
Gather and provide key information to the courier:
Recipient’s EORI number (EU institution)
Correct HS code (e.g. 0602.90 for plants)
Full scientific description of contents
Purpose: "Non-commercial scientific research
Prepare necessary documents:
Include a pro forma invoice (not commercial)
Add a cover letter or statement of purpose
Label shipment accurately:
Scientific name
Quantity
Research use (e.g. "for molecular analysis")
Avoid customs triggers
No commercial invoice
No manufacturer’s declaration
European Commission (n.d.). Trade in Plants and Plant Products within the EU. Available at: https://food.ec.europa.eu/plants/plant-health-and-biosecurity/trade-plants-and-plant-products-within-eu_en
Federal Office for Agriculture (Switzerland) (n.d.). Homepage. Available at: https://www.blw.admin.ch/de
Department for Environment, Food & Rural Affairs (DEFRA) (n.d.). Export Narrative for Regulated Plants and Plant Products (Exports to the EU). Available at: https://planthealthportal.defra.gov.uk/trade/exports/exports-to-the-eu/export-narrative-for-regulated-plants-and-plant-products/
de Mestier, A.H., et al. (2023). Policies Handbook on Using Molecular Collections. Research Ideas and Outcomes, 9: e102908. Available at: https://riojournal.com/article/102908/
Scarlett Sett & Dirk Neumann (2023). Biodiversity Genomics workshop on ABS Training Materials: Training Videos (1 & 2) and Presentations [Videos 1, Video 2 and presentation slides]. BGE Project.
