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Protocol for collecting plant material abroad and its export and import into the Netherlands

This protocol is developed by the Hortus Botanicus in Leiden, and can serve as guidance for all collecting institututes.

• An introduction to the handling of plant material

  Rules have been laid down for the collecting, handling, transport and subsequent use of all materials. In this respect, ‘international trade’ does not only mean commercial use , but all international transport of biological material.

  All rules pertain to all use of materials, which is mainly commercial - material for scientific or educational uses may be exempt from this type of rule, but not automatically. Some tips:

  • all rules and regulations keep changing, so keep informed! Changes may occur on an international, national or even regional level
  • rules and regulations are different in different countries, although with respect to most international conventions the basis for all rules is the same for all parties concerned
  • not only plant material, but also photographs and other digital images made in a professional capacity may be subject to rules or restrictions, as are later publications based on material collected locally

  There are several grounds for the rules and regulations concerning the collecting and exchange of plant material:

  • protection of biological diversity in the countries of origin [CBD] and sustainable use of this diversity [CITES]
  • the sharing of access and benefits with those countries [CBD]
  • protection against invasive weeds and pests [IPPC]
  • taxes on material that is supposed to have commercial value

  This results in two types of rules and regulations

  1. with respect to the acquisition of material [laws and regulations in the country of origin]
  2. with respect to export and import of material, as imposed by international treaties [CBD, CITES, IPPC] and as implemented by local governments

  1. Acquisition

  All countries have laws and regulations concerning the collection of plants in their territory. These differ from country to country and are intended to regulate access to specimens and genetic resources. Some taxa may be protected under national law. It is imperative to observe these rules, because States have Sovereign Rights over their Natural Resources. In general these States will require an agreement on access and use of specimens and genetic resources, and many have regulations on benefit sharing when revenues are obtained from material collected under their jurisdiction.

2. International Treaties

• a. IPPC [International Plant Protection Convention, 1951]

  The IPPC is an international treaty relating to plant health, in order to secure a common and effective action to prevent the spread and introduction of pests of plants and plant products, and to promote appropriate measures for their control. At the moment 124 countries are adhering to this treaty.

In the Netherlands , the Plant Protection Service [Plantenziektenkundige Dienst, here referred to as PD] deals with the local plant health regulations, and with regulations in other countries in case of the export of plant material. Its goal is to prevent the import and export of all organisms harmful to plants, such as weeds, insects, fungi, bacteria and viruses. For the import of plants from many countries, a phytosanitary certificate is required. However, in certain circumstances, scientific institutes may be exempt from this requirement, if they obtain a formal exemption, and if they take additional phytosanitary measures, such as isolation in a certified quarantine greenhouse.

It is important to stick to the rules because of possible claims afterwards, in case you are suspected of importing a pest: large commercial interests may be involved. The Plant Protection Service concerns itself with ALL plant materials, both living and dead.

• b. CITES [Convention on International Trade in Endangered Species of Wild Fauna and Flora, 1975]

is an International Treaty between Governments aiming at regulating the International Trade in wild collected specimens of plants and animals, with the intention to prevent extinction or decline of [populations of] endangered species by means of a Permit System. It employs a Scientific Authority and a Management Authority; the latter issues the permits. It has 166 parties [countries]. Parties may implement stricter rules than required by CITES [see www.minlnv.nl/CITES]

The Treaty works with appendices listing species according to their survival status:

Appendix I lists species threatened with extinction and CITES generally prohibits commercial international trade in specimens of these species. However, trade may be allowed under exceptional circumstances, e.g., where trade has the sole aim of contributing towards the survival of the species. Trade may be authorized if the two institutions exchanging material both have an exemption, or by the acquisition of both an export permit [or re-export certificate] and an import permit.

Appendix II lists species that are not necessarily now threatened with extinction but that may become so unless trade is closely controlled. It also includes so-called ‘look-alike species’, i.e. species of which the specimens in trade look like those of species listed for conservation reasons. International Trade in specimens of Appendix-II species may be authorized if the two institutions exchanging material both have an exemption, or by the acquisition of both an export permit or re-export certificate; no import permit is necessary by CITES rules, but this differs between countries: in the European Union, and therefore in the Netherlands, it is required.

Appendix III is a list of species included at the request of a Party that already regulates trade in the species and that needs the cooperation of other countries to prevent unsustainable or illegal exploitation. International trade in specimens of species listed in this Appendix is allowed only on presentation of the appropriate permits or certificates. For countries belonging to the European Union, such as The Netherlands, a slightly different set of Appendices is valid: the Bijlagen A-D, see www.minlnv.nl/CITES.

• c. The CBD [Convention on Biological Diversity, 1992]

is both a global International Treaty between Governments and an institutional framework for the development of legal, political and scientific initiatives pertaining to the preservation of Biological Diversity [www.biodiv.org]. It covers all components of this subject, from ecosystems and habitats, populations and species, to genomes and genes. The CBD specifically addresses access to genetic resources and benefit sharing. It has 188 parties [countries] of which 168 have signed. It overrules other treaties in case of conflict.

The objectives are:

‘the conservation of biological diversity, the sustainable use of its components and the fair and equitable sharing of the benefits arising out of the utilization of genetic resources, including by appropriate access to genetic resources and by appropriate transfer of relevant technologies, taking into account all rights over those resources and to technologies, and by appropriate funding’ [Article 1]’

As yet this convention has not been laid down in rules and laws. However, botanic gardens all over the world are developing internal rules to implement this convention. The Royal Botanic Gardens in Kew have taken the lead by developing an extremely tight set of rules with which it is very difficult to undertake any collecting activities, and is followed by a number of gardens [see the list on the Kew website]. Other botanic gardens are establishing a network [IPEN: International Plant Exchange Network], in which they are trying to implement free exchange of material between these gardens, and to lay down rules for the acquisition of material from other sources, e.g. wild-collected. The Hortus botanicus Leiden has signed these IPEN rules and is now developing a protocol in order to incorporate these into a daily routine.

• Practical matters

• Responsibility
• everyone is supposed to know the laws and regulations, and is punishable by law in case of offence; this means all participants in a plant exchange project have to sign the protocol, thus declaring that they know the rules and will act according to these rules; this protocol will serve as the standard contract
• as the rules and regulations pertaining to collecting and exchanging material are rather complicated [see below], responsibilities should be agreed upon; these have to be laid down per project
  • 1. a staff member is responsible for checking the rules and protocols, and keeping them up to date
  • 2. a staff member is responsible for explaining the rules and protocols to the parties involved
  • 3. a staff member is responsible for supervision of observance of the rules and protocols
• whenever things go wrong, in practice, the consequences are graver and the final responsibility lies higher up in the hierarchy of an institution, depending on the gravity of the breach of the law
• it is necessary to agree on who takes responsibility if the responsible person is not able to do this, e.g., in case of illness; so: for each institution and each expedition a hierarchy of responsibilities and persons responsible has to be set up.

 

• Planning of a project
  • formulate the reasons why you need to collect material in the wild
  • propose a program, which should be written together with or at the least be approved by the relevant foreign counterparts; you may arrange to collect for a foreign sister institution and get duplicate material for our own collections
  • organise the financial side

• Collecting material
  • make a list of all contact addresses / phone and fax numbers / e-mail addresses, so that all parties involved may be contacted at any time – and leave a copy at home!
  • make a list of stake holders in the country where you want to collect: Science Council, government departments, botanical/scientific institutions, land owners, and local native groups with traditional rights [e.g., Aboriginals in Australia ]
  • check rules & regulations at the Embassy [in The Netherlands, or in Brussels ], botanical institutes in the country where you want to collect, and with people who recently visited the country
  • obtain an official collecting / research permit, which usually covers only a certain period, specified areas and/or plant groups
  • obtain an export license from the country of origin; this is not always covered by a research permit [see above]
  • arrange a written agreement, preferably with a local botanical institute that may provide a counterpart
  • contact a local person who knows his or her way around in the field [e.g., the best season and localities for collecting material] and who has enough standing to intermediate between you and the local land owners
  • obtain permission to collect, preferably in writing, of land owners and, where applicable, from local indigenous groups with traditional rights
  • keep written records of all collections, giving separate accession numbers to all accessions, and to all different types of material [living, herbarium, alcohol, silica-gel]; devise a system in which it is possible to trace all material collected from one plant!

 

• Convention on International Trade in Endangered Species of Wild Fauna and Flora [CITES, and click on appendices, this leads you to an explanation and the lists].

  This convention has legal status in our country [see www.minlnv.nl/CITES/ ]. The expedition dossier needs to incorporate import- and export documents, or a form for the exchange of material between registered scientific institutes with a CITES exemption; in all EU countries, an export document from the country of origin has to be present BEFORE an import document can be applied for!

  Our contacts

  1. Bureau Dienst Regelingen regio zuidwest: cites@laser/agro.nl Burg. de Raadtsingel 59, 3311 JG Dordrecht Postbus 1191 3300 BD Dordrecht, tel. 078-6395395 en 0800-2233322; fax: 078-6395360
  2. info-desk of the AID [Algemene Inspectie Dienst], for questions concerning legislation and inspection: AID-Groendesk, tel. 030-6692640
  3. in case of an emergency: LASER contact for botanic gardens: Ben Groen [home: 0318-415293, mobile phone: 06-50996256]

  • the convention pertains to all dead and living material of plants and animals on one of the appendices; check these appendices before you start making plans, as well as which annotations are relevant for the material to be collected and / or transported; it will be extremely difficult to get a permit for the import of plants mentioned on appendix I .

  There are two possibilities:

  1. exchange of this type of material is permitted between scientific institutions that are registered with CITES as having a CITES exemption [see lists on CITES website]; one part of the form is sent to the local MA [Management Authority], the rest goes with the material; labeling has to be according to the rules; for legislation in The Netherlands, see artikel 18 of the Regeling Vrijstelling Beschermde Dier- en Plantensoorten Flora- en Faunawet [art. 7, lid 4, van de Basisverordening = Verordening EG nr. 339/97, and art. 22 of the Uitvoeringsverordening = Verordening EG br. 1808/2001 – which will be changed in October, 2004!]
  2. OTHERWISE, for each transport of material both an export license from the country of origin, and an import license for The Netherlands are necessary

  SO TAKE THE FOLLOWING STEPS:

  • often it is not possible to get more than one CITES permit per expedition, which means that all material collected has to be sent or taken out of the country at the same moment, and that when the application is in progress, no collections can be added any more
  • an export permit has to be applied for, and the material checked by the local CITES authorities; with this export permit an exact list of the accessions is required
  • an import permit can only be applied for if and when an export permit has been granted by the exporting country
  • list of material:
    1. each appendix should have its own list
    2. the number of accessions, plants and plant parts on this list should be exactly the same as the number on the import license
    3. all specimens should be mentioned separately: living, herbarium, alcohol, silica-gel and other specimens
  • number of ‘specimens’ in one accession: this is open to different interpretations; the strictest one [thus the safest one to apply] is that one accession contains separately indicated plants or plant parts [‘cuttings’], and that each of these plants or plant parts should be a separate item on the list; this may also pertain to herbarium specimens
  • the export permit should be sent [or e-mailed, or faxed] to The Netherlands – here an import permit should be applied for in Dordrecht, which can usually be collected within a few days; this import permit is an extra document required by EU law, the rules here are more stringent than CITES rules impose.

• Plant Protection service [Plantenziektenkundige Dienst or PD].

  At the site you can download and read: 'handleiding bij de invoer van planten en plantaardige producten / summary of the plant health regulations of the Netherlands'

  • check the most recent versions of regulations!!
  • check whether you need a phytosanitary certificate. If you are not sure, ask the PD-helpdesk [phone 0317-496647, fax 0317-426094]
  • if you need one, investigate before you leave how to get one locally
  • if you cannot get a certificate, or if import into The Netherlands is prohibited, contact Jaap Bakker [0317-496632]; you may be able to get dispensation, but you may then need an official quarantine facility
  • in that case, check whether you have an official quarantine facility at your disposal, or seek one
  • a phytosanitary certificate usually concerns material that has been raised in a nursery – wild collected material cannot be imported with such a certificate, but an import license is necessary; a request for an import license should be made before starting the collecting trip!
  • because of the risk of importing pests and subsequent claims in case you may have been involved in the introduction of a pest, it is vital to stick to the rules; it must be clear that no exception can be made for material used for scientific purposes
  • the Phytosanitary Service is concerned with ALL plant materials: living plants, corms, cuttings, seeds, and any conserved plant material [dried, or in alcohol or silica-gel], as this may also carry pests such as nematodes, insects, fungi, bacteria and viruses
  • in the case of non-living material for scientific study, it is vital to ensure that
    • the plant material stays within the closed circuit of scientific museum collections
    • it is not infected with any pest
    • it cannot be used any more to generate living plants [thus excluding seeds and in vitro cultures]
    • there is an adequate registration system; otherwise, the Phytosanitary Service has to give explicit permission to import this material

  we propose the following protocol for non-living material:

  • herbarium material may be dried locally and then frozen [without opening the boxes] as soon as it arrives in the Herbarium; or, when drying locally is no option, the material may be conserved with 70% alcohol [Schweinfurth]; after transport, it is either dried in the Herbarium, and, if necessary, frozen; ‘Schweinfurthing’ all material is no option, as the material is of less value for certain types of analysis after treatment with alcohol.
  • small amounts of material for DNA-research conserved on silica-gel are frozen on arrival, and undergo the first chemical treatment in a closed laboratory
  • we are only concerned with material for scientific purposes that is not taken out of scientific institutions; but: even for exchange of material with other scientific institutions these rules do apply
  • it is not allowed to import small amounts for scientific research of whatever plant material without the necessary papers [this is in some cases allowed for personal use, but NOT for professional purposes]
  • it is not allowed to import living plants with adhering soil, unless there is a phytosanitary certificate present
  • if necessary, a phytosanitary certificate has to be applied for locally
  • so check what are the requirements to get a phytosanitary certificate locally [check the internet]
  • there are high-security plant groups [e.g., Poaceae, Rosaceae, Solanaceae] and high-risk areas – check this for each and every collecting trip [see the PD-website]
  • high-risk material needs a plant passport [see PD-website] for transport within the EU; from outside the EU a phytosanitary certificate or a dispensation [see form 95-44]; such a dispensation may be granted after inspection of the premises [separate quarantine room, wiping feet, washing hands, separate waste removal]; check the list of plant material for which a plant passport is needed for transport within the EU [see p.30-31 of the Dutch version]
  • forbidden material: for this type of material an import license is needed, which is an accompanying document for each transport [model 9, to be acquired at Customs], plus a quarantine facility: an enclosed space that has been adapted for the isolation of this type of material; arrival of the shipment at the quarantine site has to be reported to the local PD-station in order to have an import inspection of the material and the quarantine facilities, while the PD determines the duration of the quarantine period; check the list of plant material [other than correctly treated herbarium material, see above] that is forbidden to import from outside the European Community [see p.12-16 of the Dutch version]; this also includes some seeds and wood samples!
  • quarantine greenhouses are present in the Botanic Garden in Delft [contact Bob Ursem 015-2789396 or Hans van Loon 015-2782356], in PPO [proefstation] Naaldwijk [contact Gerben Messelink 0174-636875], and with Unifarm Wageningen; the Hortus botanicus Leiden is planning to adapt a greenhouse for this purpose; different pests require different quarantine circumstances, and it is up to the PD to approve or disapprove of a quarantine greenhouse for each shipment

• Customs , arrival at Schiphol Airport

Rules for the import of material [CITES, PD, taxes] apply to all material, whether sent by post or other carriers, or imported as hand luggage, so before you leave check with customs what their rules are for the import of material by post / other carriers / as hand luggage before you leave; the fact that Customs never asked for a certain document does not mean that such a document is not required: regulations keep changing, and Customs are not obliged to check everything anyway

By post [small packages]: usually not a problem, but customs are entitled to inspect all packages and check for the necessary papers

Clearance form = commercial invoice= inklaringsformulier = eur-1-form. Value assessment for import duties may save a lot of money; this should be done locally, so it is wise to take the proper forms with you; if things go wrong, this may be done afterwards and the paid taxes will then be refunded; taxes are due on any material that is supposed to have commercial value, so before you leave, check with customs whether you need a clearance form for the type of material you intend to import

Addresses and phone numbers:

Schiphol:

Road Air Fresh, Sonja Kauffman, Snipweg 101, 1118 DP Schiphol P.O. Box 75515 , 1118 ZN Schiphol Tel. 31-20-3165566 Fax: 31-20-3165460

Custom’s counter: 020-4068573

Aeroground [counter, identity papers obligatory!]: Pelikaanweg 1 [020-6032430]

This protocol should be accompanied by:

• form for the exchange of material between institutions with a CITES exemption
• CITES export permit
• CITES import permit
• Eur-1-form [exemption from taxes]