1. CGIAR Principles on the Management of Intellectual Assets Jonathan Wadsworth Fund Council Meeting March 7-8, 2012

2. Background May 2011: CB approved Consortium IA Policy (effective since July)  As Consortium Policy  Not for inclusion in COF The Consortium created a Consortium IA WG (1 CB, 1 CO, 4 Centers) to negotiate with Fund donors (WB,USAID, BMGF, EIARD, FAO, Australia, Japan, CIDA) - 4 months of negotiation

3. Background Negotiations been a huge task –Very important and sensitive to many donors and Centers, –Quite a technical area with varying degrees of understanding on the part of those involved Challenge… but willingness to understand and there have been many compromises on all sides Fund Office believes it succeeds in reaching the best compromise possible at this stage - which balances trust and Center autonomy with accountability and transparency End of Jan 2012: Agreed a draft to be submitted for wide stakeholder review

4. Where are we now in the process? The Centers support the draft unanimously A strong majority of donors support the draft Consortium Board approved the document on March 1st Implementation Guidelines to be developed subsequently by the Consortium and Centers

5. Basic coverage of the document IPG Partnerships Farmers’ rights GRFA Sound management of IAs and IPRs Maximizing global accessibility and Impact -Prompt dissemination of research results -Limited Exclusivity Agreements: acceptable in certain cases, provided that Research and Emergency Exemptions -Restricted Use Agreements: in certain cases -Patents and PVP: acceptable if necessary to further the CGIAR Vision Fees Capacity Implementation

6. Reporting and Audit right in context of confidentiality  Annual CGIAR IA Report (high level containing general and aggregated info., developed by Consortium after consulting Centers and FC IP Group  Annual CGIAR IA Report (high level containing general and aggregated info., developed by Consortium after consulting Centers and FC IP Group Fund Council / Public CenterConsortium  Center Board annual assurance of compliance with CGIAR IA Principles  Annual Center IA Report (of confidential) containing: list and general description all Limited Exclusivity Agmts, Restricted Use Agmts and IP Applications, and their Justifications  Center Board annual assurance of compliance with CGIAR IA Principles  Annual Center IA Report (of confidential) containing: list and general description all Limited Exclusivity Agmts, Restricted Use Agmts and IP Applications, and their Justifications  Annual Consolidated IA Report (confidential) containing: Center IA Reports, any Consortium reservations  Any reports of audits conducted by the Consortium  Annual Consolidated IA Report (confidential) containing: Center IA Reports, any Consortium reservations  Any reports of audits conducted by the Consortium Right to audit Ex-post reporting FC IP Group Ex-post reporting Right to access agmts

7. Fund Council recognizes that the Consortium and Centers are committed to using their best efforts to making publicly available key information about their Limited Exclusivity Agreements and Restricted Use Agreements within a policy of transparency which is only limited by the need to protect legitimate research partner interests in proprietary technology (e.g., regulatory or non-patentable technology), trade secrets and competitively sensitive commercial terms. The Consortium agrees to maintain a publicly accessible consolidated register or platform of all publicly disclosed information on all Limited Exclusivity Agreements and Restricted Use Agreements entered into by Centers including press releases, web notices, blogs, and solicited (public) correspondence, etc. The Consortium will develop Implementation Guidelines that are coherent and fully consistent with the agreed IA/IP principles and will be shared with the Fund Council for information.

8. Suggested Way Forward 1.The Fund Council recognizes that the Consortium and Centers are committed to making everything publicly available within a policy of transparency 2.The Consortium agrees to maintain a publicly accessible consolidated register or platform of all publicly disclosed information on all IP/IA agreements emanating from the Centers 3.Fund Council adopts the CGIAR IA Principles document for an interim period of two reporting cycles to allow learning from the evidence base

9. Reporting/Public Disclosure: divergence in position Some donors would like the justifications for agreements restricting global access to be made public Centers prefer to make public disclosure in their own time and own way - in the context of each specific agreement