English - international treaty on plant genetic resources for food and
Contents
1. Generate Generate information you just entered to create the agreement which meets the A 1 4 STEP 4 FINALIZING THE SMTA The information previously entered identification and addresses list of plant material etc has been inserted in the text of the SMTA if applicable Step 4 Finalizing the SMTA lt USA027FRA002 0003 STANDARD MATERIAL TRANSFER AGREEMENT PREAMBLE WHEREAS The International Treaty on Plant Genetic Resources for Food and Agriculture hereinafter referred to as the Treaty was adopted by the Thirty first session of the FAO Conference on 3 November 2001 and entered into force on 29 June 2004 The objectives of the Treaty are the conservation and sustainable use of Plant Genetic Resources for Food and Agriculture and the fair and equitable sharing of the benefits arising out of their use in harmony with the Convention on Biological Diversity for sustainable agriculture and food security The Contracting Parties to the Treaty in the exercise of their sovereign rights over their Plant Genetic 24 IT GB 3 TCIT 2 08 3 The user can also add some additional information date URL etc revise and print it before passing it for signature to the other contractors w Save The button save i lets the user saving the document in RTF format and to edit it with a word processor compatible MsWord OpenOffice Write The name of the document consists of the number of SMTA and the extension2. It is expected that available workflow management systems are evaluated and possibly incorporated to allow for greater flexibility and or easier workflow configuration The result of the workflow will be the request with attributes identifying the request items that A can be actually ordered B are on hold and why C have been dropped by whom and why The next step will further process the items that belong to Group A above The workflow will be able to specify whether requests with items in groups B or C above can be further processed or require additional validation Order metadata If according to the workflow the request can be actually converted into a contract and therefore become an order suitable metadata need to be collected according to the stipulations of the SMTA The POTK will provide built in processing procedures that will make sure that all necessary information is collected for SMTA finalization This specifically applies to e Recipient choice of alternate payment option Art 6 11 for material under development not already under such conditions e Recipient choice of signature type within those acceptable to the provider IT GB 3 TCIT 2 08 3 13 48 49 50 51 32 However while for SMTA such metadata are well identified for MTAs it will be the responsibility of the workflow to satisfy such needs as they may be specific to the provider Contract document preparation Once all information is co
3. RTF USA027FRA002 0003 RTF eg Once the user has inserted all the modifications needed he must validate the SMTA by clicking on Validate Validate modifications to finalize the document and to prevent any later A 1 5 FINAL STEP VALIDATION OF THE SMTA Validate SMTA If you click Yes this SMTA will be definitively locked No more changes will be allowed on it Validation is required for being able to export data related to this SMTA Which type of agreement is linked to this SMTA choose one Signed Shrink wrap Click wrap Orem The validation of the SMTA is related to the choice of signing the SMTA Three options are displayed on the screen you can make your choice before clicking the button Yes A 1 6 EXPORTING THE SMTA DATA The validation also activates the button Export Export which allows you to save the SMTA related information in an electronic standard to exchange it between the different parts involved in this transfer Two sizes are available for exchange XML classic IT GB 3 TCIT 2 08 3 25 LE o AELA A ARN TT super fs18 nosupersub fs22 par pard par pard li720 par pard fs24 par lt MTATxt gt lt OrgPID gt lt OrgPID gt lt OrgFULLNAME gt lt OrgFULLNAME gt lt OrgINST CODE gt FRA0O2 lt OrgINSTCODE gt lt OrgACRONYM lt OrgACRONYM gt lt OrgECPAACRONYM gt lt OrgECPAACRONYM gt lt OrgSTREET_POB gt lt OrgSTREET_POB gt lt OrgCITY_STA
4. SMITH FRAOO4USA027 0003 SMITH FRADO4USA027 0008 SMITH FRADO4USA027 0009 SMITH FRA004BGD022 0003 OBIEN 14 The management of accessions is conducted by Gene IT in nomenclature MCPD Multi Crop Passport Data The button MTA List at the bottom left displays the list of SMTA including the accession currently on the screen As in the view Contacts by making double click on a line of the list and Gene IT will show the details of the SMTA IT GB 3 TCIT 2 08 3 29 B Toolbar Info Info IT Full Text ma SMTA Text c J EAF Annex species tLe IT Web Site The toolbar Info contains four buttons to access the text of the Treaty and that of the SMTA and some additional background information on the International Treaty and its implementation 1 B 1 TEXT OF THE INTERNATIONAL TREATY Clicking on this button allows you to view in one of the six official languages of FAO and by language being used by Gene IT the full text of the International Treaty in PDF format A programme for reading this format Acrobat Foxit etc is required on your computer to take advantage of this feature B 2 TEXT OF THE SMTA This button allows you to view in one of six languages of FAO and by language being used by Gene IT the full text of the Standard Material Transfer Agreement As the previouos button you will need a programme to read PDF Acrobat Foxit etc installed on your computer B 3 LIST OF CROPS LISTED IN
5. authorised official Organization and the provider User validation 1 In the cases of A B G and B 11 validated completion of the registration process and subsequent login by the user against a secure password will be deemed to be sufficient validation Clicking order will immediately generate an order without further user validation ii In the case of B i11 an email would need to be sent to the authorized official for confirmation before the SMTA can be completed B THE PROVIDER ORDERING TOOL KIT The Provider Ordering Tool Kit POTK is addressed to users offering Material through SMTAs While SMTA management is POTK s primary focus it is designed to support transfer of other Plant Genetic Material not falling under the stipulations of the Treaty The POTK assumes the presence of an Ordering System that will allow potential recipients to identify and mark plant genetic resources they are requesting Once the recipient is satisfied with the content of the shopping cart the Ordering System will forward it to the POTK which will take over processing and recipient interaction until the order is finalized or rejected As the POTK is addressed to all providers and since it is intended to be easily adopted by them in the largest possible number it is critical that the POTK meets the following technological requirements e appropriate software technology e minimal or zero acquisition costs e low Total Cost of Owne
6. no requirements have been received by the Governing Body about the kind of information that Data Store is expected to extract from the SMTA reports a minimum effort approach has been adopted which allows for maximum flexibility The Data Store prototype is at this time essentially a one table repository storing the information as exactly received by the POTK The database engine used is MySql an open Source relational database Ill Conclusions The IT modules are not intended to replace existing information systems but rather to supplement and seamlessly integrate with such existing systems in order to save for operators of such systems the effort and expenditure required by them to adapt their systems to MLS operations They are not for mandatory but only for optional use by system operators if they wish so In further developing the information technology IT modules emphasis has been put on the flexibility of use in order to cover the wide range of needs and requirements from Contracting Parties users and administrators A general architecture of online IT modules using a generic SMTA processing workflow has been envisaged as an overall model dedicated mainly to genebanks with existing accession database systems In parallel a stand alone and offline IT module Gene IT has been developed and targeted for small collections genebank material as well as breeding lines which are not inventoried into an information system In betwe
7. provider wish to use real time reporting a powerful filter interface will allow him to select which information he she wishes to send to the datastore However the POTK will maintain all information produced during its activity in its local database so that they can be e searched and browsed locally e reported in periodic batches to the Governing Body according to a configurable schedule 14 Online Application Steps in order to acquire germplasm 1 Search of material 2 Selection of material 3 Place the order message 4 Redirection to the Local PTK 5 Login register to the local PTK 6 Validation 7 Choice of benefit sharing option 8 Choice of option of signature click wrap shrink wrap signed 9 Recipient chooses an option 10 Provider is informed he she logs in 11 Validation of the order acceptance rejection 12 Optional filter on SMTA data 13 Sending of the SMTA to the provider email and filtered data to the data store 14 Notification by email 15 Login and check of the order System User POTK Recipient POTK Recipient POTK Recipient PID Recipient PID Recipient Gene bank Local PID administrator POTK Recipient POTK Recipient POTK Recipient PID Recipient POTK Provider POTK Provider POTK Provider POTK AND Provider DS POTK Provider POTK Recipient IT GB 3 TCIT 2 08 3 Comments Search criteria Choosing the material which the recipient is actually interested in order
8. the CGIAR Centres foresaw the creation of a set of web based applications whereby Providers and Recipients of plant genetic resources from the Multilateral System can meet the full range of their obligations under the SMTA It covers the following modules a the design and implementation of a Persistent Identifier PID Server designed to uniquely assign and manage PIDs to Providers and Recipients of plant genetic resources for food and agriculture under the Multilateral System b the design of a Provider Ordering Toolkit POTK linked with the PID Server and mounted on the top of each provider accession database system It handles all SMTA related activities inter alia Recipient authentication on PID Server Provider specific order processing workflow SMTA options SMTA contract preparation and signature click shrink wrap Reports to the Governing Body as necessary Sending finalised orders back to the Provider s system for shipping c the design of a Datastore DS which will receive and store SMTA reports A PID SERVER The PID Server is designed to uniquely assign and manage PIDs to Providers and Recipients of plant genetic resources for food and agriculture under the Multilateral System for use in SMTA reporting The PID Server will be available through web Services PIDs must meet the following requirements a Uniqueness Each user or provider will be recorded in the PID Server and assigned a un
9. to view and edit the contact information whether this contact is a supplier or a recipient of plant material Clicking the Exchanges lists the SMTAs containing that contact Entering MTA wrvrrvVTrTVvTYy g M q q d J q 4 d 3 q A 2 2 MANAGEMENT OF SMTA Outgoing MTA OBIEN 27 03 2008 SMITH 15 02 2008 OBIEN USA027BGD022 0002 USA027BGD022 0004 USA027BGD022 0005 USA027BGD022 0006 USA027BGD022 0007 USA027BGD022 0008 USA027BGD022 0009 02 04 2008 OBIEN 08 04 2008 OBIEN OBIEN OBIEN 10 06 2008 OBIEN 04 07 2008 OBIEN 10 10 2008 OBIEN OBIEN COTTIN 28 IT GB 3 TCIT 2 08 3 This screen allows you to manage the list of SMTAs by clicking the appropriate button located above the list you can choose to view only the SMTA incoming outgoing or all of SMTAs managed locally by Gene IT On the right of each line a green or orange icon indicates the direction of the SMTA exchange Double clicking on a line opens the window and displays the SMTA A 2 3 MANAGEMENT OF ACCESSIONS MCPD KimoJaminatra a Part 1 Part2 Part3 Remarks Accession Id 1 50 Common cropname Rice an Accession name KimoJaminatra Taxon Oryza sp Institute code AFG004 Sn Collecting number Collecting institute code AFGOO5 vj 2 mandatory information Z MTA List WLA XCNANGES Gals ec USA027BGD022 0001 OBIEN USAO27FRAD04 0002 20080317 COTTIN FRA0QO4USA027 0002
10. A 1 1 STEP 1 PARTIES TO THE AGREEMENT This screen allows the user to enter the identification and contact details of both the provider and the recipient of the genetic resources The user has to click on a top tab to change the view from one screen to the other SA Step 1 Parties to the agreement A gt USA027FRA002 0017 provider Recipient Contact COTTIN Organisation ICIRAD D partement des Cultures Annuelles TA 40 03 Avenue Agropolis mest Montpellier Cedex 5 a ig France The unique identification number of the SMTA is automatically assigned by the software NB the name of the provider is accessible only through the configuration screen button Config located on the toolbar Tools see B 5 Once the mandatory information is provided the user has to click on Next Next gt which closes the window saves user s configuration and goes to the next screen on the legal status of the material to be transferred A 1 2 STEP 2 MATERIAL TRANSFERRED AND BENEFIT SHARING At this stage the user must answer a number of questions to determine what is the type of standard agreement suitable for the particular situation IT GB 3 TCIT 2 08 3 21 Sg f Step 2 Characteristics of the material and benefit sharing option sv ka Annex pant genetic resources T M Research breeding and training for food and agriculture utilisation purposes Benefit sharing optio
11. IT GB 3 TCIT 2 08 3 November 2008 SA The International Treaty FW E V7 ON PLANT GENETIC RESOURCES FOR FOOD AND AGRICULTURE INTERNATIONAL TREATY ON PLANT GENETIC RESOURCES FOR FOOD AND AGRICULTURE SECOND TECHNICAL CONSULTATION ON INFORMATION TECHNOLOGY SUPPORT FOR THE IMPLEMENTATION OF THE MULTILATERAL SYSTEM OF ACCESS AND BENEFIT SHARING OF THE INTERNATIONAL TREATY Rome 2 3 December 2008 PROGRESS REPORT ON THE OFFLINE AND ONLINE INFORMATION TECHNOLOGY MODULES I The offline Information Technology modules Gene IT 2 11 II The online Information Technology modules 12 53 A PID server 14 26 B The Provider Ordering Tool Kit 27 50 C The Data Store 51 53 IHI Conclusions 54 62 2 IT GB 3 TCIT 2 08 3 1 Building on the work of the nterim Secretariat and on the prototype of the Information Technology modules showcased at the Second Session of the Governing Body of the International Treaty the Secretariat has pursued collaboration and partnership for the development and testing of those modules particularly in developing the linkages with other information systems on plant genetic resources already in place I The offline Information Technology modules Gene IT 2 Gene IT is a functional tool based on a module developed and used since 2005 by the International Cooperation Centre of Agricultural Research for Development CIRAD and called GENE PI This first module was conceived by researchers from CIRAD Elise Perset Mar
12. MqwADgGRVxuDgiESqmyDs4xsYalqnArskOvOPmRwKMPVxvtEZR9s a zoqSbuwwlQU86v AtPn 6 QuxaULAs4tM nRcR4XKLiwUEI8AwS10j 24EQql1jHVT yGUpOgpQwCLJ417B This format has the advantage of guaranteeing a good privacy level in the electronic exchange A 1 7 EDITION OF A MTA In the case where an SMTA is not applicable Gene IT offers a MTA editor 26 IT GB 3 TCIT 2 08 3 MTA Editor Sg ie J A a aeee E a a Ay DnMes Projets Gene IT_3 Exe ML rtf i a Load aaa Insert Legal provider C Check orthography The text editor included in Gene IT enables you to write or load a RTF document which meets the requirements of the MTA A toolbar enables you to change the text bold underline font etc and to adjust the layout of the document in accordance with your preferences A 2 MANAGEMENT OF MTA RELATED INFORMATION The second button on the main menu gives you access to a submenu to manage the SMTA information and the required references Manage SMTA information Accessions IT GB 3 TCIT 2 08 3 27 Three management options are possible by contact by SMTA or by accessions managed by the software A 2 1 MANAGEMENT OF CONTACTS AND ORGANISATIONS d Name Manage Contact information Roland COTTIN 33467615846 33467517537 Email roland cottin cirad fr Contact PID fABCDEFGH 1234 5678 9012 ABCDEFGHIJKL Organisation USA027FRAO02 0003 USA027FRA002 0004 USA027FRA002 0005 19 This screen allows you
13. SSyIFizZB AuhebfkbPtz Z QGoqptY 6 Dzp wTh SuXqNWHFS82AZqZ4zUBY3EbA2 RweOepEvZgNnfzJvKurKIAYdOPSdbqLS4iVr JmxMQs SEW2 IxnXMsqfqEj5 Z0gs0yVtkpw6rS9IzQBo NZgdhapuoZhUCkrCZ8 OMQnceo3I7Ai MtMcnSMwH8nYig 6 R2T4AK7HiochdD2 8 jMilHmBIGiqssMoCoQ OH dGyQVYnuRizGTF7XrNUPTNaU16SXerl2 F 477AnveSC6Q5InigAiUZkxlcCbj SNbGoFIGLIRgGh4Z H7 FLE t2d iliIpmzfimlNyuGs 9ip GLPidWidjvxXA 4eQulafCo9JSsxX9Htck908BCpAEm wikbWi3my93 ThRICGHPYDECGAAuXMi Zxkj pbaiPAmboygaolyj iJdJuRwdD6ZVHremkv2 FYaW2tOcOSp8isKRQpJDIBgMz HzFb XexGWyvSsZ45cc3IgtotaeFk7AVuDGakFraohwl 7Hw7KVdeAbx aZRiHT KQJ4AbeAhhdKb 3N AG1 mSeJ5 sqYmF3jef2k8cnUkerZWSeH9ZTL11S5f 0wPhbgoZkPhDxLEwWSwWD2bacP5S78 5 KSsydp9M 13 SuTyLhzeijOIF4 KRAGMB amp SpCCG LisOVUXASB G3Vj cPAZGHxZSpMRKSGITIwziZm i88kwuEjlkr d6 Lpk87PDzJcpb1zYPbUXCatVZigRTIYLFjixdnF3wSpaEkaBiVWoizdOJRLZXt31lEeSwiz0L 6 46aFCo xWbby hhjA08872 yWBZ7 IBeUSH9560 1sxEYZ1k 9KB qzdFig8dJj1 wSEdq907QN1A rxej zCRGR6 XpQZiFvqd gq Wul0l1l064dZeLryj fo 401L1C PorkxSEQSQONnZzB3M2NRQKedMXN4NnXOBOGSWLUNRCL 6Zbu4nEJCAyULVFwwMsOBJUkIxhWzvWNZEJUuKJ1 1im SzCMSS1LOI4I xSHRyUUHSS3 pvu28f9Gy31RM TkI65bBUgcAmZ8 ISqobiNQbrosayVR4 6LXej 2 PxoP3wSzjehrVrwtUeLhnAbOipdBEmxsMji4sdHIB49q eHLoJIWPtvf jaqsPVoW3tKDeCsXLsR7vngB xDj zGyFiEbx8UAiDDyj P2NsGniazOluCxASJoEbO9VzZ WUT qoxXwtWWi orkOukAvydFJUsH37AaRxXEZ4EQS5 EtUuswWNj iryMI yexXRr9xOEwPSNRVzZSFSiA78MZj HSAsSEWTewOah3wewHHQAAFqzj PxwKnu2 PiSx6QivJo 281WE0c7g IfhWh jONW2i7kZ8dp7ECqJe ki CmXw4ZDLWeTdVbULiEvPwGp nSkgqR
14. TE gt lt OrgCITY_STATE gt lt OrgZIP_CODE gt lt OrgZIP_CODE gt lt OrgCountry gt France lt OrgCountry gt lt OrgURL gt lt OrgURL gt lt OrgLbl_Director gt lt OrgLbl_Director gt lt DestSurname gt COTTIN lt DestSurname gt lt DestName gt Roland lt DestName gt lt DestPhone gt 33467615846 lt DestPhone gt lt DestFax gt 33467517537 lt DestFax gt lt DestEmail gt roland cottin cirad fr lt DestEmail gt lt MCPDId gt e lt MCPDACCNAME gt Azucena lt MCPDACCNAME gt lt MCPDACCENUM lt MCPDACCENUM gt lt MCPDINSTCODE lt MCPDINSTCODE gt lt MCPDCOLLNUMB gt 5 lt MCPDCOLLNUMB gt lt MCPDCOLLCODE gt lt MCPDCOLLCODE gt i lt MCPDACCQDATE gt lt MCPDACCQDATE gt lt MCPDORIGCTY gt lt MCPDORIGCTY gt lt MCPDCOLLSITE gt lt MCPDCOLLSITE gt lt MCPDLATITUDES lt MCPDLATITUDE gt x An encrypted XML XMTA is automatically decoded by Gene IT OCYGAOtHsRoZGEXMSzpJUZ3EvZxLaylbMSk6 dTMv7b 87tioTWhSaocTnMCSQRkcmfHj IrZXFhrOvGXMRh mSNCXbJSj 1W 98CELKQVNuqkhHExM4W7z0jBqaS R61FmG3RfeJZ5dek31xXbwvIMGOg3zuWihv x3Ae q4YB3ABdmi j pAKr 6QhxSe2 IBiyxCCTQq2XvDn3S 42tRQe4m nAPUmIwj iD7dsOTZifRnP3PUdLT7eRd kEf Phj DZDH2doMEXLTOalPvo NOVzut DabH2 kE 41LkE3J0CZ7zwpbbEQd3GgwpZoegZMj 4Fio 6 zDAPiH QWYoa3nthXwW72z1U HtS3kMPDZM6CPE8Zk11lySOsMqA8Cak1Y4qp3PL9T2kVM3j z4mFj O6VdGREBktISA jxGd feLte4qkNvXEOt PrdBgE04SUUZJOLE SwCetxNIu EViudujXi37Q33h2vihboqFK59ibiScaAlj Db2 316XdS4RFSAvVO
15. THE ANNEX I OF THE INTERNATIONAL TREATY Clicking the Annex I button displays a window with the species listed in the Annex I of the International Treaty 30 IT GB 3 TCIT 2 08 3 coronarium Sp sp Sp sp cicera Vetchlings odoratus Sweet Pea hirsutus Hairy Vetchling sativus ochrus Lepidium Pepper Grasses Lespedeza Bush clover m s Print Click on genre to see any comments on it Use the side bar on the right side of the list to scroll it In order to obtain a hard copy or PDF format click on Print L Then you will preview the file Seiki TBP PHY lt lt 77 gt g wa POF ag Email Species listed in Annex of the International Treaty PGRFA Click on to create a PDF file from the preview which could be use for example with Acrobat Reader IT GB 3 TCIT 2 08 3 31 Once the consultation is completed click on the OK button to close the window and to return to the screen on the legal characteristics of the genetic resources transferred B 4 WEB SITE OF THE INTERNATIONAL TREATY If you have an active Internet connection this button lets you to start Internet Explorer and to visit the homepage of the International Treaty in English French or Spanish http www planttreaty org b C Toolbar tools Tools A Include U Material in MLS y 2 Import MCPD A Import SMTA i Analysis Config Exit This toolbar allows you t
16. This functionality is also necessary for all transactions occurred offline Therefore all concepts presented in this document must be taken as preliminary and open to discussion with the experts to the Consultation More specifically technical feedback is requested from the experts on inter alia the following points e The functionalities and the interface of Gene IT e The online IT modules PID server POTK DS e The generic online SMTA operation workflow e The next steps and the deployment strategy IT GB 3 TCIT 2 08 3 17 Annex 1 Gene IT Users Manual Table of contents 1 1 Identification Screen 1 2 Welcome Screen 1 3 Main Screen A Main Menu A 1 Creating a SMTA A 1 1 Step 1 Parties to the agreement A 1 2 Step 2 Material transferred and benefit sharing A 1 3 Step 3 Lists the material provided and generates the SMTA A 1 4 Step 4 Finalizing the SMTA A 1 5 Final Step Validation of the SMTA A 1 6 Exporting the SMTA data A 1 7 Edition of aMTA A 2 Management of MTA related information A 2 1 Management of contacts and organisations A 2 2 Management of SMTA A 2 3 Management of accessions MCPD B Toolbar Info B 1 Text of the International Treaty B 2 Text of the SMTA B 3 List of crops listed in the Annex I of the International Treaty B 4 Web site of the International Treaty C Toolbar tools C 1 Standard Letter to notify the inclusion of genetic material in the MLS C 2 Import of accession re
17. dy carried this task out and proceeds to the next step Otherwise a login page is presented to the recipient whereby he is invited to identify himself The information entered in the login form is passed to the PID Server in a system to system transaction If the login is successful the POTK receives from the PID Server the necessary recipient information creates a lt recipient gt element as described above and adds it to the request This step is completed and the request moves on to the next phase If the login information is not correct an error message is displayed so that the recipient can try again Request processing This phase is the most complex and likely to be customized by providers because it directly implements specific provider s policies A generic SMTA operation workflow is provided in Table 1 p 14 of this document Request partitioning The first step partitions the request element in groups identified according to the following major categories and subcategories 1 MLS Material a Material available without restriction b Material under development 2 Non MLS material The need for the above partitioning is related to the different treatment that each group will be requiring In particular Multilateral System MLS Material will be included into the SMTA contract template while non MLS material will be included in a provider specific MTA template to be provided to the POTK According to the group the request proces
18. en those two extremes a full spectrum of options is envisaged the general architecture and the IT modules could be adapted in such a way that they can fit with a wide range of different users requirements For instance with some adjustments of the general architecture the full package could be mounted on a nursery database to allow the provider to exert his discretion on the access to 16 62 63 64 65 IT GB 3 TCIT 2 08 3 its material while continuing to use the ordering facilities and the connection with the PID server and the Data Store Likewise with few adjustments of the SMTA operation workflow the full package of IT modules could be equally adapted to a single provider database or a multiple provider database i e regional databases multiple genebank database like SINGER or the future Global Accession Level System to be implemented under the Global Information on Germplasm project as refered in IT GB 3 TITC 2 08 Inf 2 Besides when ordering systems already exist at the provider level whether curator or breeder the full IT online package is no longer necessary and users may decide to simply synchronise or connect through an application to application secure login with the PID server and or the Data Store Eventually if no ordering system is needed or wanted by the user an upload function allows providers to report about SMTAs entered into in periodic batches to the Data Store according to a desired schedule
19. ernal systems will access the PID Server using widely available standard A2A Application to Application interoperability protocols and technologies such as Web Services Access to the PID Server will be controlled by an Access Control Manager and using secure communication protocols as necessary HTTPS and Secure Sockets Layer SSL The Graphical User Interface GUI manager will provide HTML pages in multiple languages as well as context sensitive help as required The PID Manager layer will be responsible of PID assignment enforcing uniqueness and permanence while the User Account Manager will allow users to maintain their own accounts and contact information Permanent storage of PIDs has been implemented through the open source relational database management system RDBMS of MySQL Appropriate redundancy and backup procedures will be adopted to ensure maximum availability compatible with budget considerations reliability and availability of the PID Server can be obtained through appropriate design options such as multiple servers being kept by database replication or other measures This can be considered as required Existing users of a provider system would be allocated PIDs generated from the central PID Server When the user signs in to the local PID server at the distributed POTK the POTK would validate the user credentials through the central PID server The PID server classifies users into two main types A Individual users who ac
20. he box if so or uncheck it in the opposite case Whatever your choice is you can proceed to Step No 5 Click on Next at the bottom right corner of the window e Then you have two benefit sharing options Either under Article 6 7 Either under Article 6 11 The choices are mutually exclusive ie only one can be choseen at a time Whatever your choice is you can skip to validate the data your entered by clicking on Next The buttons at the bottom right to navigate between windows redisplays the previous screen closes the current window and displays the windows on the next steps A 1 3 STEP 3 LISTS THE MATERIAL PROVIDED AND GENERATES THE SMTA The last informative step is uses to indicate the characteristics of plant material transferred For this you have a selection list of varieties available on your site The drop down list located at the top right of the list of varieties available allows you to limit the list to the varieties beginning with the letter chosen IT GB 3 TCIT 2 08 3 23 Step 3 List of material provided by Plant Introduction Office USDA ARS Available Fitter 2 sent IR 8 IR 8 288 3 IRTP 195 Azucena KimoJaminatra 150 SADRI IRGC 32379 SRA 58 546767 Test 1 1 Ti Punch 59 SMTA USAD27FRA002 0017 If you want to review the legal characteristics of the plant material click on the Back button and the software will take you back to the previous screen Otherwise click on
21. ing Screen Message to the user indicating that order steps are completed User has to check out Login event User uses PID as username and the password which is based on user input User validated through local PTK on Central PID server Recipient can choose Art 6 7 or Art 6 11 benefit sharing options In either signature type he can save locally and print it At this stage order is completed Notification sent to the provider by email Validation on Central PID Server The provider has to validate the orders Provider can choose which information to transmit to the DS can be customized to specific providers policy Recipient logs in and sees whether the request sent was accepted or rejected Table 1 The Generic SMTA operation workflow IT GB 3 TCIT 2 08 3 15 53 54 gt 56 57 58 59 60 61 C THE DATA STORE As some of the information contained in the SMTA reports is potentially confidential security measures have been taken into consideration when developing the SMTA report repository At this time as no requirements have been received by the Governing Body about the kind of information that DataStore is expected to receive from SMTA reports a minimum effort approach has been adopted that allows for maximum flexibility The flexibility is so high that any relevant decisions taken by the GB in this regard can be accommodated without major additional costs At this time as
22. ique PID identifier b Permanence PIDs permanently identify individual users either as Providers or Recipients Particular attention has been paid to ensuring optimal compatibility with existing international codes and standards such as the FAO Institute Codes in use within the World Information and Early Warning System on Plant Genetic Resources WIEWS The PID Server has the following functionalities now available a offers a simple web user interface in English and this interface will be also made available in all the UN official languages b offers context sensitive help and guidance throughout the registration process c manages access control to privileged functions through username and password d allows users to register and receive a PID Apache Tomcat Access Control Manager 19 20 21 22 IT GB 3 TCIT 2 08 3 e allows PID holders to update their contact information f allows authorized systems to access user information with appropriate access protocols g genebank managers can add new users through the PID server interface provided to them h user management module available in the POTK and central OTK are now connected with the PID server General Architecture 18 The general architecture of the PID Server is described in the following flow chart Web Users will access the system through Web browsers such as Microsoft Internet Explorer Firefox plus other popular browsers Ext
23. lated information C 3 Import of SMTA related information C 4 Analyses of Exchanges C 5 Configuration of Gene IT C 6 Exit Gene IT 18 IT GB 3 TCIT 2 08 3 1 1 Identification Screen Welcome to Gene IT_3 Enter your name and password Name GUEST X Password coocoo G English Cancel This identification screen allows secure access to data managed by Gene IT There are several user profiles available ranging from account guest with limited rights to the Administrator with complete control of the software 1 2 Welcome Screen This is the first screen that appears to launch the program It displays the information of the version of this tool Version 3 00Dm SMTA module under the Multilateral System of the International Treaty of Plant Genetic Resources A click on closes the welcome screen and displays the next window on the contractors Note after 15 seconds if the user takes no action this window will close automatically Clicking on will open a window on the conditions of use of this software IT GB 3 TCIT 2 08 3 19 1 3 Main Screen N Gene IT v 3 00Dm The International Treaty ON PLANT GENETIC RESOURCES FOR FOOD AND AGRICULTURE Gene IT is a Standard Material Transfer Agreement SMTA application created under the Multilateral System of the International Treaty of Plant Genetic Resources It s an easy to use and useful tool that provides good and reliable assista
24. llected the actual SMTA s can be prepared The resulting PDF documents will be made available by the POTK for download and printing by the recipient regardless of the signature type This is important so that recipients are given all opportunities to understand and agree to the contract terms before final acceptance In the case of personal signature provider staff will be informed that the SMTA is ready and can be printed and mailed to the recipient for signature Further processing of the request will be put on hold until the signed copy is received and the workflow is manually resumed Order finalization Once all the above steps have been completed the last thing to do is to present a final acceptance form to the recipient at least in the case of click wrap or shrink wrap signatures so that the recipient has a final chance to abort ordering Order forwarding to Provider system Once the order is finalized it is sent to the provider s system for shipment preparation The full request starting with the request details and enriched with all other information collected during the previous steps is forwarded to the provider system which will take the necessary steps to satisfy the order Reporting to the Governing Body The final step in order processing is reporting about finalized SMTA contracts back to the Governing Body as required by the Treaty Reporting will occur according to the schedule set by the Governing Body However should the
25. n E article 6 7 ka C Additional conditions B Article 6 11 iw a The figures on a black background tell you the steps to follow before you click the button next Next gt The number of steps varies from 2 to 5 according to your answers For example Ed located beside a question indicates that you must answer it before moving on to the fifth stage If amp is located above the next button and you ve responded to questions 1 2 and 3 you can go to the next screen You must describe in a maximum of 5 steps the genetic resources holds by your organization by checking the box next to the various information characterizing the response and if the answer is Yes or by unchecking it otherwise a Does the genetic resources belongs to the species listed in Annex I of the International Treaty To help you you can click on the Annex I located at the information toolbar which will display a list of these species see paragraph B 3 below b Is this material being transferred for research training or breeding for food or agricultural use c Is the material under development 22 IT GB 3 TCIT 2 08 3 If the answer is yes the question regarding the acquisition will be activated see d If the answer is No box unchecked the option on the type of benefit sharing will be activated see e In both cases this is question No 4 d Are there any restrictions for the transfer of the material Check t
26. nce in drafting SMTA in a semi automatic way including a systematic tool to record transfer of material on a local database that helps providers to manage the material transfer agreements related to their germplasm collection A Generate SMTA for germplasm transfer Manage SMTA information This screen allows you to access all features of Gene IT through two types of menus e The main menu which displays two buttons e Two floating bars respectively for accessing tools or complementary information A Main Menu Gene IT is a Standard Material Transfer Agreement SMTA application created under the Muitilateral System of the International Treaty of Plant Genetic Resources It s an easy to use and useful tool that provides good and reliable assistance in drafting SMTA in a semi automatic way including a systematic tool to record transfer of material on a local database that helps providers to manage the material transfer agreements related to their germplasm collection Generate SMTA for germplasm transfer Ne Manage SMTA information 20 IT GB 3 TCIT 2 08 3 This screen allows access to two main features of Gene IT some basic indications on how to generate an SMTA adapted to the exchange of plant genetic resources and access to that function and a button to access all the files necessary references for the generation of the text A 1 CREATING A SMTA Generate SMTA for germplasm transfer
27. nish 34 IT GB 3 TCIT 2 08 3 OTroOpatbh KONOHEM of BblpezaTe ail CKONMpOBAaTh CTpoKy il Ece CKONMpPOBaTb J Copier la ligne ll Tout copier cone 2E Exporter la table vers Excel BE EER E Exel wW Exporter la table wers Word wW FHR E Word ie Exporter la table vers XML Wal FH EML Historique Gl EB CTaBMTb 4 JKCNOPTHPOBAaTS TaABAMuy B Excel Ww JAKCNOPTHPOBAaTh TabnMuy Word al Exporter la table vers XML Fy pHa French Chinese Russian It is also through this screen that the choice of the identity of the supplier is archived There are other tools to physically maintain re indexing repair etc to the local database and to manage the image library used to illustrate some screens of Gene IT Note 1 Changing the language of the interface will restart the software to implement the changes Note 2 The choice of the language will only affect the software interface not the data exchanged which will be available only in English C 6 EXIT GENE IT E x This button lets you close the program and end your session A new use will require you to log in again to enjoy access rights associated with your account see 3 1
28. o access features available in Gene IT but also to quit the software C 1 STANDARD LETTER TO NOTIFY THE INCLUSION OF GENETIC MATERIAL IN THE MLS This button allows you to get into your word processor using the RTF format to write a letter to notify the inclusion of genetic material in the Multilateral System This document can be adapted to your own needs C 2 IMPORT OF ACCESSION RELATED INFORMATION With this button is possible to import the characteristics of the accessions according to the format MCPD The export of such data from third party software is not part of this project 32 IT GB 3 TCIT 2 08 3 C 3 IMPORT OF SMTA RELATED INFORMATION Import SMTA File C Documents and Settings All Users App FRAO02BGD022 0001 XMTA ss i Load gt FRA002BGD022 0001 accessions 7 SMTA Date yop KimoJaminatra _ ae IR 8 IR 8 288 3 Recipient Organisation IRRI y MTA text Import Cancel If your counterpart also uses Gene IT you can import all the information related to the SMTA with this button For that you need to get through your choice of the swap file exported from your ISP s genetic materials see A 1 6 Export the SMTA Once the file is loaded clicking on the button Import to include all the information related to the SMTA in your local database C 4 ANALYSES OF EXCHANGES Analysis tools Start Date 07 11 2007 H Wednesday EndDate 06 11 2008 H Country Thursday E Preset Peri
29. ocess of development may include the distribution of PGRFA under development to a network of collaborating breeders In this case two levels of user validation are needed validation by the PID server and validation against the subset of PIDs that are also network members The online ordering system would enable dual validation with a single login so prospective recipients should not have to login separately to the PID server and to the network before placing an order This can be achieved by logging into a locally cached subset of the PID table on the provider s server synchronized with the central PID table but containing only data on the PIDs that are also user members Request of material The first step in POTK operation is the acquisition of the request for material 1 e the acquisition of the shopping cart coming from the provider s system This acquisition occurs through a message sent from the provider s system The message contains all information required by the POTK to take over processing and management of the order such as Request identifiers and metadata o Provider PID Recipient PID and contact information 1f available Accession numbers and passport data of the material being requested Quantities of material being requested Status of under development or available without restriction where required ID of SMTAs through which any material under development was received req
30. od Rows Ej Organisatic Country SMTA Columns Crops Genus This button allows you to create several tables to give you an overview of your exchange activities under the International Treaty IT GB 3 TCIT 2 08 3 33 By clicking on the appropriate buttons you select the type of information organizations country SMTA which should be in the row of the table while the columns will be filled with information on varieties or genre taxonomy Clicking on the Print will let you to preview print and export in various formats this general overview table C 5 CONFIGURATION OF GENE IT fo Configuration Languages O ipl English Espa ol Fran ais p Pycckuii Contact SMITH Organisation Plant Introduction Office USDA ARS ls Pictures E About itt Repair iS Cancel x The button Configuration allows the setup of the Gene IT software environment particularly the customization of the interface language You can select to use one of the six official languages of FAO Select columns oe Cut Jd Copy the line il Copy all lel Paste y Export table to Excel taal gall si EEE wW Export table to Word Export table to XML History English Seleccionar las columnas f of Cortar a Copiar la linea Pr Copiar todo lel Pegar Exportar la tabla a Excel wW Exportar la tabla a Word Exportar la tabla XML Historial Spa
31. our details name address shipping address email phone fax Preliminary registration PID server sends email requesting user to confirm User replies to email to confirm b on behalf of an organization Please give your details name position organization type of organization address shipping address email phone fax Verification Against FAO institutes database Are you the authorized legal representative of said organization Registration completed PID server send email to user to confirm No Please give the name and email address of your organization s authorized representative In what way does your organization recognize your authority to enter into SMTAs on behalf of your organization Type of SMTA Your authorized legal Your authorized legal agreement representative authorizes you representative requires you to to enter into SMTAs on behalf seek his her authorization for of your organization each germplasm transfer Send request for authorization by email to authorized representative Register after authorized representative sends approval IT GB 3 TCIT 2 08 3 o y Oa Entering into a new instance of germplasm transfer between two existing users 25 Parties to the agreement 26 2i 28 29 a In the case of individual users the SMTA would be between the individual recipient him herself and the provider b Inthe case of corporate users the SMTA would be between the
32. r high speed connection are provided the user of Gene IT can choose the most appropriate method for sending information depending on a given situation 9 Eventually this module has an additional multilingual interface and some links with Treaty information are available 1 e e The list species of Annex I of the International Treaty print and export to PDF e The text of the International Treaty e The text of the SMTA e An URL link to the Web site of the International Treaty 10 A draft user s manual of this software is reproduced in Annex 1 of this document 11 This module is not intended to replace other existing tools It can be a starting point to allow a smooth integration with existing tools and procedures if users wish so IT GB 3 TCIT 2 08 3 Gene IT Project v 3 X V1 1 Check PID Manual or Semi automatic PID Server Data Warehouse processing Server SMTA Recipient A r SMTA SMTA Legend QY Analvical Local computer as Exchange using tools physical media CD ROM letter fax or by manual input wy an Internet exchange Provider permanent or temporary link Diagram I Integration of Gene IT project in the information system related to the International Treaty IT GB 3 TCIT 2 08 3 II The online information technology modules 12 Cooperation between the Secretariat of the International Treaty and Bioversity 13 14 15 16 hs International on behalf of
33. rship e low system requirements e easiness of customization as per any providers needs and requirements This overall mechanism needs to allow for customizable multilingual user interface so that the Recipient sees little or no change from the familiar provider s system environment See paras 21 22 10 30 31 32 33 34 35 36 IT GB 3 TCIT 2 08 3 Moreover as the Governing Body will likely be unable to offer high volume of technical assistance it is critical that the POTK is as robust and trouble free as possible A good candidate to meet all of the above requirements is a combination of php Java XML XSL SQL technologies which are by far the most widely used in multiplatiform solutions They are also readily available in the open source environment robust and popular among developers Coupled with the appropriate design and documentation these attributes will simplify the acquisition of POTK by providers while at the same time minimize requests for support to the Governing Body Also it is necessary that different requests and order management procedures can be implemented in order to accurately match the provider s policies These requirements can be adequately satisfied by carefully designed and flexible system architecture Though it is important to note that there is an important margin of flexibility about each function according to the needs of the specific provider For instance the pr
34. sing 12 43 44 45 46 47 IT GB 3 TCIT 2 08 3 can take different routes as specified in the provider specific workflow For instance while MLS material available without restriction would only require checks against stock availability other groups especially non MLS material may require additional checks and authorizations before the order can actually be finalized At this stage it is however important to note that only MLS material is handled Generalization to non MLS material could be implemented later on if the Contracting Party the administrators and the users so wish Workflow processing The next step is to perform the checks described in the workflow configured by the Provider By definition such checks cannot be accurately described here but the general idea revolves around a set of building blocks allowing the POTK to e send email messages for instance to o notify the curator that a request has been received o ask the genebank manager to confirm material availability o notify the recipient that his request needs further input e present forms whereby provider staff annotates the request for instance explaining what problems are encountered in providing some material or whereby the recipient decides if he agrees to drop some problematic material from the request e take decisions on the results of these actions These basic tools allow for the definition of quite sophisticated workflow processes
35. t as providers or recipients in their own name and B Corporate users who act as providers or recipients in the name of an organization Corporate users would be classified into several subtypes depending on their authority to enter into an SMTA in the name of the organization They may be 1 The organization s legal authority In this case no further user validation 1s needed but there would probably need to be some validation of the user s claim to be the organization s legal authority 11 Users with authority delegated generically by user 1 at the time of user registration to enter into SMTAs on behalf of an organization In this case user IT GB 3 TCYT 2 08 3 o O7 validation is needed at the time of user registration but no further user validation is needed to execute an SMTA 11 Users who must be specifically authorised by user i for each instance of germplasm transfer with SMTAs In this case validation is needed each time the user places an order 23 There are two processes to be considered 1 Registering a new user 2 Entering into a new instance of germplasm transfer between two existing users 8 IT GB 3 TCIT 2 08 3 Registering a new user 24 The workflow for registering a new user is When you provide or receive PGRFA with SMTA will you be agreeing to the terms and conditions a in your own right or b on behalf of an organization a in your own right Please give y
36. uired by Art 6 5b Indication of the material received through SMTAs by providers who selected the Art 6 11 Alternate Payment Option Links to non proprietary information related to material where applicable IT GB 3 TCIT 2 08 3 11 37 38 39 40 4l 42 Applicable fees Additional conditions for material under development The POTK provides the flexible and speedy means of configuring the workflows linked with provider database and the PID server registered users or new user to be registered It also sends the data to the data store on a transaction by transaction basis with the facility of the provider making such a choice within the application The POTK is easily configurable with any existing provider database This is important when the POTK is used in coordination with a portal such as the One Stop Ordering System being developed by the CGIAR System These portals will make possible that for different providers to be involved in satisfying the same material request In these cases it is assumed that the portal performs an initial partitioning of the request so that subrequests are produced and redirected to the respective Provider Recipient identification The first step in processing the request would be ensuring that the recipient is properly identified If recipient identification information is passed in the request element lt recipient gt the POTK assumes that the provider system has alrea
37. xchange of plant genetic resources for Food and Agriculture PGRFA like passport data date recipient MTA etc with an import feature This version was registred at the Agency Protection Program in France in September 2005 under number IDDN 05 400035 000 The software is compatible with all versions of windows issued after Windows 98 98 2000 XP Vista IT GB 3 TCYT 2 08 3 o y o adding a database of plant genetic resources exchanges based on the Multi Crop Passport Data MCPD format and data on exchange Identification contract ID contract identification provider ID provider etc Importing existing MCPD data This feature will be present but the realization of export routines specific to each provider system is outside the scope of this project for the moment Editing statistical reports dashboards for the manager of the collection in the form of tables and lists 7 Besides user interface has been enhanced to allow the following functions e Secure access to local data user profiles e Data Encryption of locally stored data e Encryption of information electronically exchanged e Features to export local data XML TXT PDF XLS etc to the manager e Change history e Context sensitive help e URL links of interest e Import data function on entering SMTA 8 In addition three methods of information exchange based on the type of connection available at the provider level no connection low o
38. y Savagner Henry Feyt and Roland Cottin and developed by Roland Cottin to help them to cope with the international access and benefit sharing agreements under the Convention on Biological Diversity CBD and the International Treaty 3 Based on this initial software a bilingual prototype English and French was developed taking into account only the specificities of the resources included in Annex I of the Treaty and presented during the Second Session of the Governing Body in 2007 4 The aim of this software is not to draft the agreements but to simplify the task of generating the Standard Material Transfer Agreement SMTA for the transfer of Annex I material according to the choices of the Parties of the agreement and the characteristics of the material exchanged 5 A maximum of five sets of questions are required to complete the process of generating the SMTA document which can be directly edited with a word processor 1 Does the material belong to Annex I of the Treaty 2 Is it used for research purposes breeding or training for food and agriculture 3 Is the material under development 4 If yes are there any additional conditions attached to the SMTA 5 Which option of benefit sharing models Article 6 7 or Article 6 11 6 Additional functionalities have been added which relate to the local management of the exchanges of plant genetic resources by adding a local database to assist in data entry related to the e
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