4. IA Management eReport Tab for the Center IA Focal Point Users

Clicking the “IAeReport” shows a list of submitted reports opens. The table shows the information on the ID, reporting year, organization, the person who added the report and the date when the report was added. If the report was modified, the table will also include the modification date and the person who has modified the report.  

Screenshot 49: The list of submitted reports and their details in IA Management eReport Tab

4.1.            Actions in Center IA Report Table

First action available is the “View” button for each report. Upon clicking, a new tab opens that shows the previously filled details of the report page.

Screenshot 50: “View” button opens to the corresponding report and within the report, it is possible to click on “View Record” button to see the details while accessing a submitted report

The “Export as PDF” button opens to a window to arrange the settings of the export, by selecting the sections, preferences on modifications, preferences on seeing the comments and responses, and preferences on section 3. It is possible to export all the items in section 3, or if necessary, unique items can also be exported. Reviewer feedback can be added to the export if necessary, and a selection of the following user types is possible: SMO to Center, Center feedback and Final Review. In case there are updates by a Center after submission as final, the modifications will appear as marked-up text so any modifications are clear in the exported file.

If the report has not been submitted yet, or if the report has been sent back to Center, then Center IP Focal Point will see “Edit”, “Replicate”, “Delete” and “Add New” buttons.

Screenshot 51: The “Export as PDF” button opens to a window to set the visible information that will be exported

When the preferences are configurated, clicking on the “Generate export link” button will create another “Download” button on the right. Upon clicking on “Download”, the PDF version of the report will be seen in a new tab. The name of the file includes (ex: ICARDA_IA_Report_2009_2021-01-23_12_21_08.pdf) the name of the organization, the type of the report, the date of the export and the time of the export in hours, minutes and seconds.

The button “Export Section 3 as Excel” opens to a page with the “Download” button. When clicked, an excel file with three tabs: “LEA”, “RUA” and “IP Application”. The items under each category can be found within these tabs.

Screenshot 52: The outlook of the Excel sheet export after clicking on the “Export Section 3 as Excel” button

4.2.            Add New Button

Add New button in the “IA Management eReport” tab opens the link blank form for Center IP Focal Point user to fill a new form.

Screenshot 53: Add New button opens a new blank form to be filled by the Center IP Focal Point

4.3.            IA Reporting Form

The form includes two buttons at the bottom “Save as draft” and “submit”. Saving as draft will save the information that Center IP Focal point has entered and (s)he will be able to find the draft in the “IAeReport” tab. Center IP Focal point can continue filling information without losing any entered data.  While “Submit” button will send the report to SMO for review. The form also includes a ‘report a bug’ button at the bottom left-hand corner in case of any unexpected bug in the system, while it refers to the ia-reporting@cgiar.org email address for questions on the content of the report.

4.4.            Section 1: General Center Information

The first section of the form asks the general information about the center and report. The information mandatory to enter here is

Reporting year: Through selection from the calendar.

Supplementary information: Through uploading file if relevant with the allowed formats. Since only one file upload is possible, all the supplementary information needs to be consolidated into a single PDF or Work file.

Center Point(s) of contact: From a drop-down menu, typing a person’s name will give the results. It is possible to select only one person as a Center point of contact, nevertheless, by clicking on “Add authorized users”, additional people can be added as authorized. In case the person is not in the MEL database, it is possible to add through the “Plus” button and adding the person’s information to MEL’s user database.

Screenshot 54: Adding Center Point(s) of Contact

Center Capacity Related to IA Management section includes two mandatory text boxes and a question to fill. The third question (1.2.c) is a radio button to select Yes/No answer to whether the Center considers its capacity related to the management of IA to be sufficient for its needs during the reporting cycle. Selecting “No” will open a new box required to fill in the explanation of the answer.

Screenshot 55: Section 1.2 consists of three main questions

Center policies and other resources related to the IA Management section consists of two sub-sections.

Screenshot 56: Section 1.4 consists of two main questions

The first section (question 1.4.a) shows a table of the IA management related official policies related to Intellectual Assets management which have been communicated to the System Organization. In case there is any change or addition during the current reporting cycle, Center IP Focal Point will click on “Add New” to report the changes. The button opens a window that asks for mandatory information on the Name of the official policy with a text box. Next, to select the “Status”, select the option from the drop-down list:

  • Draft

  • Under the development or consideration for adoption

  • Adopted

  • Revoked/Superseded

The category of the policy should be selected from the dropdown list with the following options:

  • General IP

  • Open access & data management

  • Ethics/IRB

  • Private sector

  • ABS/TK related

  • Biotech/Biosafety

  • Other related to IA Principles

  • Research ethics related

The date of approval can be selected from the calendar.

To define if the policy is CRP/Platform-specific, select Yes or No from the radio button options. Selecting yes will create a mandatory box to define the CRP/Platform from a drop-down list of CRPs.

The effective date shall also be selected from the calendar. The question mark near the date of approval and the effective date opens pop-up information on the explanations.

Marking “Yes” to the “Publicly available” question will create a mandatory box asking the public URL.

Availability within CGIAR is a mandatory question to select among the following options:

  • Public

  • Internal – unavailable

  • Internal – available on request

  • Internal – willing to upload to the restricted CLIPNet repository on a non-distribution basis

The comment box is optional to fill.

Screenshot 57: Form questions for section 1.4.a

The second part asks the other resources and the same information box shall be filled in case of reporting other resources. The window asking for information at 1.4.a and 1.4.b are the same, except the table of 1.4.b asks the type of the other IA management related documents to be selected from the options below:

  • Directives

  • Guidelines

  • Explanatory Notes

  • Templates

  • Tools

  • Position/Statement

  • Other

 Screenshot 58: Form questions for section 1.4.b

Section 1.5

Center IA Portfolio of registered IP consists of three main sections: Patents, PVPs and Trademarks. Therefore, clicking on the “Add new” button will open a window and the first mandatory question is to select the type of the document among the options:

  • Patent

  • PVP (Plant Variety Protection)

  • Trademark

Depending on the selection, the visible questions on the details will show differences.

Type of the document: Patent

1.5.a.2 “CRP/Platform Specific?”: select Yes or No from the radio button options. Selecting yes will create a mandatory box to define the CRP/Platform from a drop-down list of CRPs.

1.5.a.3 Applicant(s) / Owner(s): Selection of the organization from a drop-down menu of partners.

1.5.a.4- 5 Patent Title: it is possible to select a name from the drop-box or define a new name by typing into the text box and adding this name.

1.5.a.6 Type of filing -1: To select among the options:

  • Provisional

  • Non-Provisional

1.5.a.7 Type of Filing – 2: To select among the options:

  • National (direct)

  • Multi-territory (e.g. PCT, EPO, ARIPO, OAPI)

  • National (designated under multi-territory application)

If the option “National (direct) is selected, then it is possible to select multiple countries. After selecting each country, a box appears to set the status for each specified country.

1.5.a.9 Status: To select among the options below:

  • Filed

  • Discontinued

  • Registered

1.5.a.10 Application / Registration #: is an open box to enter the corresponding number.

1.5.a.11 External link or PDF of published application/registration: a non-mandatory box asking the URL.

1.5.a.12 Year of Filing is a mandatory question of date to select from the calendar, while (1.5.a.13) Year of Registration and (1.5.a.14) Year of Expiry/Renewal are optional fields.

1.5.a.15 Comment box is optional to fill.

Type of the document: PVP

If the type of the document is selected as PVP, then the questions will ask the following information:

1.5.b.2 CRP/Platform Specific? Select Yes or No from the radio button options. Selecting yes will create a mandatory box to define the CRP/Platform from a drop-down list of CRPs.

1.5.b.3 Applicant(s) / Owner(s)

1.5.b.4 Variety Full Name & 1.5.b.5 Variety Short Name: Variety full name and variety short name: Open text boxes to write the names.

1.5.b.6 Status:  To select among the options below:

  • Filed

  • Discontinued

  • Registered

1.5.b.7 Country: To select from a drop-down list of countries.

1.5.b.8 Application / Registration # : is an open box to enter the corresponding number.

1.5.b.9 Crop(s): This mandatory question asks to select a crop from the alphabetically ordered list of crops.

1.5.b.10 Year of Filing: This is a mandatory question of date to select from the calendar, while (1.5.b.11 )year of registration and (1.5.b.12) year of renewal/expiry are optional fields.

1.5.b.13 Comments: is optional to fill.

Screenshot 59: Section 1.5 asks the type of the document and the following questions change accordingly

Type of the document: Trademark

The window will display the following questions:

1.5.c.2 CRP/Platform Specific?: Select Yes or No from the radio button options. Selecting yes will create a mandatory box to define the CRP/Platform from a drop-down list of CRPs.

1.5.c.3 Applicant(s) / Owner(s): Selection of the organization from a drop-down menu of partners.

1.5.c.4 TradeMark Type: Trademark type: To select among the options below:

  • Word

  • Logo

  • Word and logo

To select among the options:

  • National (direct)

  • Multi-territory (e.g. PCT, EPO, ARIPO, OAPI)

  • National (designated under multi-territory application)

If the option “National (direct) is selected, then it is possible to select multiple countries in 1.5.c.7. After selecting each country, a box appears to set the status for each specified country.

1.5.c.8 Application / Registration #: is an open box to enter the corresponding number.

1.5.c.9 Subject/Description of trademark: Optional open text box.

1.5.c.10 Year of Filing: Year of Filing is a mandatory question of date to select from the calendar, while (1.5.c.11) year of registration and (1.5.c.12 ) year of renewal/expiry are optional fields.

1.5.c.13 Comments: box is optional to fill.

 Last four questions of section 1

The last four questions of section 1 (1.6, 1.7, 1.8, and 1.9) are non-mandatory open text-box questions.

Screenshot 60: Last four questions of section 1 are non-mandatory open text questions

Section 2 consists of four sub-sections. First sub-section includes two questions (2.1.a, 2.1.b) with radio buttons. The answer options are: “Yes”, “No” and “Not applicable as there have been no transfers of MLS materials”. If the Center IP Focal point answers these questions as “No”, then mandatory comment boxes appear asking for the explanation.

Screenshot 61: Questions in section 2

Sub-section 2.2 consists of one question with a Yes/No radio button options, and independently from the response there is a non-mandatory comment box for explanation.

Subsection 2.3 and 2.4 are non-mandatory text boxes for information on farmers’ rights or additional information, respectively.

4.6.            The workflow of Center IP Focal Point for Section 3

While filling the IA Report form, Center IP Focal Point will see the “Add New” button to add items to the report. If the report has not been saved, a message will appear that the report should be saved as a draft before adding an item to section 3.

Screenshot 62: The report should be saved as draft before adding an item to Section 3

Section 3 consists of two different review workflows for sub-section 3.1 and 3.2. Both workflows are done independently, nevertheless, the process is the same: Center IP Focal Point fills content for section 3 and submits this item to SMO. SMO reviews and grades the submission and depending on the decision, SMO can return the submission to the center, pass the submission to ABS or SCIPG Reviewer and ask for their feedback. ABS or SCIPG users review the information and send it back to SMO. Then, SMO can submit it as final or send it back to the center for change. Final submission is only done by SMO users and the communication between reviewers is at the SMO level, which means ABS or SCIPG users do not directly connect with the Center IP Focal Point.

Screenshot 63: Section 3  tables include the ID, year, title, review status, and actions, with “Add New”

Reporting section 3.1: Reporting of Limited Exclusivity Agreements, Restricted Use Agreements, and IP Applications

In Section 3, Center IP Focal Point sees some previous entries (if any) and a button “Add new”. Upon clicking on this button, the first question (3.1.1) asks the type of the restricted arrangement to report concerning RUAs, LEAs, or IP Applications. The radio button has two options for selection:

  • LEA

  • RUA

  • IP Application

Depending on the chosen response, the rest of the questions show some changes. 

The questions shown in the window are below. As an observation, it is possible to say that the questions under the “Justification showing that the requirements of Article 6.2 are met” title show differences depending on the selected type.

General Information- Type selected as “LEA”

3.1.3 Title of agreement: An open text box, mandatory to fill.

3.1.8 Name of parties: Selection of partners from MEL Partners database by typing the organization name and selecting from the drop-down list. Selection of multiple partners is possible. In case a partner could not be found, it is possible to add through the “Plus” icon.

3.1.9- 3.1.10 Agreement effective date and Agreement end date: Mandatory fields to select the corresponding dates from the calendar.

3.1.15      Description of project/collaboration to which the agreement relates, including: 

  • the development challenges/objectives that are being addressed

  • description of the IA/technology involved and how these addresses the development challenges/objectives)

  • target beneficiaries including who they are, where they are (geographies) and how they will be reached

3.1.16      General description of the arrangements conferring exclusivity for commercialization

Justification showing that the requirements of Article 6.2 are met - Type selected as “LEA”

3.1.21 Explain, in the specific context of the project/collaboration, why the exclusivity is necessary for the further improvement of the Intellectual Assets produced, in furtherance of the CGIAR Vision” and/or to “enhance the scale or scope of impact on target beneficiaries, in furtherance of the CGIAR Vision”.

3.1.22 Explain how the exclusivity is “as limited as possible” (in duration, territory and/or field of use). 

3.1.24 Confirm that the agreement contains an Emergency Exemption and explain how the Intellectual Assets remain available, free of charge (except for actual costs or reasonable processing fees) or at a reasonable cost, in all countries, in the event of a national or regional Food Security Emergency for the duration of the emergency. Alternatively, if the agreement does not contain an Emergency Exemption, please include the request for deviation and the approval by the System Organization of such deviation under Article 6.2.2., or provide particulars concerning the third-party restrictions permitted under Article 6.2.3.

General Information- Type selected as “RUA”

3.1.3 Title of agreement: An open text box, mandatory to fill.

3.1.8 Name of parties: Selection of partners from MEL Partners database by typing the organization name and selecting from the drop-down list. Selection of multiple partners is possible. In case a partner could not be found, it is possible to add through the “Plus” icon.

3.1.9- 3.1.10 Agreement effective date and Agreement end date: Mandatory fields to select the corresponding dates from the calendar.

3.1.15      Description of project/collaboration to which the agreement relates, including: 

  • the development challenges/objectives that are being addressed

  • description of the IA/technology involved and how these addresses the development challenges/objectives)

  • target beneficiaries including who they are, where they are (geographies) and how they will be reached

3.1.17 Description of third-party IA that are acquired and how they are to be used under the agreement, including the downstream restrictions to the global accessibility of the products/services resulting from their use.

Justification showing that the requirements of Article 6.2 are met

3.1.25 Describe why, to the best of the Center’s knowledge, no equivalent Intellectual Assets were available from other sources under no or less restrictive conditions.

3.1.26 Explain how “the products/ services that are intended to result from the use of such third-party Intellectual Assets will further the CGIAR Vision in the countries where they can be made available”.

3.1.27 Describe any measures taken to ensure that the third-party Intellectual Assets are only used about, or incorporated into, such intended products/services.

General Information- Type selected as “IP Application”

3.1.2 IP type 

3.1.3 Title of application for protection

3.1.4 Relevant application that is being reported in this reporting cycle (as per the unique identifier in section 1.5.a or 1.5.b) 

3.1.5 Type of Filing – 1

3.1.6 Type of Filing - 2 

3.1.7 Country

3.1.9 Application date

3.1.11 Name of applicant and inventors/breeders

3.1.12 The approximate costs involved

3.1.18 Description of protected subject matter

3.1.19 Description of the project to which the application relates 

3.1.20 Why is the intellectual asset useful? How does it contribute to advance the Center and CGIAR mission?

3.1.28 Please describe the current status of the application and progress of prosecution. 

Justification showing that the requirements of Article 6.4 are met

3.1.29 Explain how the IP Application was “necessary for the further improvement of the Intellectual Assets or to enhance the scale or scope of impact on target beneficiaries, in furtherance of the CGIAR Vision”.

3.1.30 Describe the dissemination strategy including how the Center will promote accessibility and use of the innovation by third-parties (including smallholder farmers and public research organizations).

3.1.31 Describe the Center’s plan to respect applicable SMTA related obligations including monetary benefit-sharing obligations, if the asset is derived from PGRFA received from the MLS.

Question 3.1.13

For all types, (LEA, RUA and IP Application) the question 3.1.13 ask if the remaining information is identical to another reported LEA, RUA, or IP Application. If “Yes” is selected, a new drop-down box will appear as question 3.1.14, asking the corresponding “Reported LEA, RUA or IP Application”. The options of this box will show the existing entries of LEA, since the first question was answered as “LEA”, and it will be possible to choose LEA items from this list. After the selection, all the pages will be automatically pre-filled and the information of the selected LEA item will be copied. The same rule applies for RUA and IP Application, that if the current entry is linked with another one, the questions related with MLS / ITPGRFA, CBD / Nagoya Protocol and Dissemination strategy/plan. If the question 3.1.13 is answered as “No”, then there will not be any box to choose an item and all the remaining questions need to be answered manually.

ABS

In the case of question 3.1.13 was selected as “No” and the rest of the form will be filled manually, the “ABS” section consists of two questions for all types (LEA, RUA and IP Application). The answers given to these questions also determine the questions that will appear. For example, the first question in this sub-section is a Yes/No type. The question asks “Does the intellectual asset incorporate any level of germplasm obtained from in trust collections or under the SMTA used for transferring plant genetic resources under the International Treaty on Plant Genetic Resources for Food and Agriculture?” If answered as “Yes”, two more questions appear:

1.A Please explain if the licensee or a downstream entity commercializing the intellectual assets (or derivatives) will be bound by the benefit-sharing requirements under the SMTA.

1.A.1 In case the licensee or a downstream entity commercializing the intellectual asset (or derivatives) will not be bound by the benefit-sharing requirements under the SMTA, have you considered some form of voluntary monetary benefit-sharing (either by your Center or your licensees)?  NB: given continued tensions around monetary benefit-sharing, Centers may want to consider this option to demonstrate good citizenship under the Plant Treaty. The SCIP Group recommended that Centers consider this approach in their independent section of the 2018 CGIAR IA Management Report.

Note: These questions are open-box comment questions to be responded to.

While, if the answer to the first question was selected as “No”, then the visible question will be:

1.B Have you considered some form of voluntary monetary benefit-sharing (either by your Center or your licensees)?  NB: given continued tensions around monetary benefit-sharing, Centers may want to consider this option to demonstrate good citizenship under the Plant Treaty. The SCIP group recommended that Centers consider this approach in their independent section of the 2018 CGIAR IA Management Report.

Independent from the first one, the second question is “Question 2. Has the intellectual asset been developed utilizing biological resources (including genetic resources) that were not obtained from an in trust collection or under the SMTA? (NB: utilization includes incorporation and other possible uses of biological resources in developing the intellectual asset)”. This is a Yes/No type of question. If “No” is selected, there is not an extra appearing question, while if the answer “Yes” is selected:

2.A Is your utilization of the biological resources subject to access and benefit-sharing (ABS)obligations? This is also a Yes/No question and if “Yes” is selected, the question that appears is:  

      2.A.1 Please describe the measures you have adopted to ensure compliance with applicable ABS obligations (open text-box question)

If the question 2.A is answered as “No”, then the question appearing is:

     2.A.2 Please describe the measures you followed to ascertain that no ABS obligations apply

1.6.1.      Public disclosures associated with Limited Exclusivity Agreements, Restricted Use Agreements, and IP Applications

Type: LEA

Once an item is added to sub-section 3.1, this will also reflect 3.2 and open an item. Since sub-section 3.1 is about reporting Limited Exclusivity Agreements, Restricted Use Agreements, and IP Applications and 3.2 is about the public disclosure associated with them. Nevertheless, their workflows are implemented separately as each justification and  public disclosure is evaluated independently.

The addition of type LEA will also open a row in the table of section 3.2 with the following possible actions:

  • Edit

  • Replicate

  • Delete

Clicking on “Edit” opens a window to edit the public disclosures related to restricted arrangements. The first question (3.2.1) is to choose an option from the drop-down menu. By default, the drop-down option will be selected as the entry in which the Center Focal Point clicked the “Edit” button.

The next question (3.2.2) is a tick-box question that asks if any public disclosure was issued or not. The next questions will depend if this box is ticked or not. In case the box is ticked, then question 3.2.3 will appear asking the explanation in an open comment box. The questions remaining visible will be 3.2.7 (mandatory to select an option) and 3.2.9 (non-mandatory comment box).

Screenshot 64: Section 3.2 Questions

If the Center IP Focal Point does not tick question 3.2.2, then question 3.2.3 will be invisible while 3.2.4 and 3.2.5 appear. 3.2.4 is an upload function to upload a file or to paste the URL link of the public disclosure. 3.2.5 is a mandatory radio button “Yes/No” question asking if this public disclosure has been provided to the SMO for inclusion on the IA Management website. Selecting the option “No” will make question 3.2.6 visible, which asks about the explanation of the answer in an open text.

Screenshot 65: Section 3.2 questions change if question 3.2.2 (No public disclosure issued) box is not ticked

The “Duplicate” button opens a row with the same information while the “Delete” button deletes the entry from the table.

Type: RUA

Once an item is added to sub-section 3.1 as the type “RUA”, this will also reflect 3.2 and open a row referring to the entry done in 3.1. with the following possible actions:

  • Edit

  • Replicate

  • Delete

Clicking on “Edit” opens a window to edit the public disclosures related to restricted arrangements.