Consultative Group on International Agricultural Research

Transcription

1 Consutative Group on Internationa Agricutura Research Maiing Address: 1818 H Street, N.W., Washington, D.C , U.S.A. Office Location: th Street, N.W. Teephone (Area Code 202) Cabe AddressINTBAFRAD Fax (Area Code 202) From: The Secretariat October 5, 1994 ICW/94/17 internationa Centers Week Washinaton, D.C. October 2428, 1994 Launching the CGIAR Report of the Inteectua Property Rights Pane, September 15, 1994 The foowing connected meetings were hed in August and September in preparation for ICW94: a Study Pane on governance and finance (August 2224 and September 1 2), a Stakehoder Pane (September 13 41, a pane on Inteectua Property Rights (September 15), the Oversight and Finance Committees (September 15I 6) and the Steering Committee (September 15 6). The purpose of the meetings was to maintain the momentum for change that grew out of the 1994 MidTerm Meeting by reviewing and anayzing major issues and distiing them for discussion and decision by the Group. Reports from a these meetings wi be distributed as ICW94 documents and wi form the background for discussion of agenda items under the rubric, Launching the New CGIAR. A report from the pane on Inteectua Property Rights, chaired by Dr. M.S. Swaminathan, is attached. The pane reviewed a range of issues pertaining to patents and pant variety protection as they reate to the centers research programs and their ex situ coections. The report shoud be hepfu in discussing the CGIAR system s future reationships with the institutions that are engaged in defining the future framework for genetic resources and their improvement. Dr. Swaminathan wi present the report at ICW94. Time has been provided for a reports and suggestions concerning the aunch of the new CGIAR to be comprehensivey discussed and to be revisited on the fina day of ICW94 before decisions are reached on the next steps to be taken. Attachment Distribution: CGIAR Members Center Board Chairs Center Directors TAC Chair, Members, Secretariat Observers

2 September 30, 1994 REPORT TO THE CGIAR OF THE PANEL ON INTELLECTUAL PROPERTY RIGHTS (Washington, D.C., September 15, 1994) Executive Summaxy A Pane on Inteectua Property Rights met in Washington on September 15, 1994, at the invitation of Mr. Ismai Seragedin, Chair of the CGIAR, and under the Chairmanship of Dr. M.S. Swaminathan. The CGIAR has kept issues of IPR under review over the past decade. Two key steps have been: 1988: CGIAR Pant Genetic Resources Poicy issued. 1992: At the CGIAR meeting in Istanbu in May 1992, the CGIAR unanimousy endorsed a document which refected current CGIAR poicy and practice. This statement recognized that the CGIAR centers were concerned with a broader range of IPR issues than those reating ony to pant genetic resources. Since 1992, there have been two major deveopments which wi affect the management of pubicyfunded research in the CGIAR centers and in nationa agricutura research systems. These are the competion of: (a) the Convention on Bioogica Diversity, in effect since December 1993; and the Word Trade Agreement which was signed on Apri 15, The Pane considered that in the ight of these new deveopments, four key issues required further consideration as they reate to the work of the CGIAR Centers: (a) (b) w Cd) patents; pant variety protection in deveoping countries; germpasm coections, both exsitu and insitu; and pubication of information.

3 The Pane reached the foowing concusions: (a) On Patent Issues The Pane noted that in its 1992 statement in Istanbu, the CGIAR recognized that: Modern biotechnoogy is becoming an important too for the work of the centers and their coaborators. In a changing research environment, the centers need to coaborate with a wide range of agencies in both the pubic and private sectors which increasingy protect their inventions through hoding inteectua property. The CGIAIX agreed in Istanbu that centers: shoud not seek inteectua property protection uness it is necessary to ensure access by deveoping countries to new technoogies and products. The centers woud not seek inteectua property protection for incomegenerating pu?poses or view potentia returns from inteectua property protection as a source of operating funds. The Pane endorsed this view as continuing to be an appropriate stance for the CGIAR and its centers. The Pane then eaborated on instances where CGIAR centers may need to seek patent protection on their inventions. 0 The reasons for seeking patent protection may be to: a. prevent appropriation by others; b. ensure further product deveopment and its deivery to the farming community in deveoping countries; and C. use ownership of inteectua property to negotiate access to other proprietary technoogy for the benefit of deveoping countries. 0 When the CGIAR centers obtain patent protection on an invention, they shoud be prepared to icense such rights to deveoping countries on a nocost basis. a The choice of countries where a center woud appy for patent protection wi need to be considered on a casebycase basis.

4 In regard to coaborative research agreements with advanced research institutes, costsharing arrangements and future sharing of IPR wi need to be agreed on a casebycase basis, 0 The CGIAR centers and their Boards of Trustees shoud become knowedgeabe on IPR issues and monitor deveopments reevant to the management of their research programs. This may require some Systemwide technica and ega common services to enabe the CGIAR centers to become responsiby as to the impications of the IPR environment and to deveop common operationa approaches. 0)) On Pant Variety Protection The Pane recognized the requirement for countries to deveop pant variety protection systems as one of their obigations as signatories to the Word Trade Agreement. The Pane strongy supports the concept that such egisation shoud incorporate provisions for farmers priviege to save and exchange seed, a research exemption as we as icensing provisions to promote the diffusion of new varieties. 0 As part of its responsibiity for deveoping nationa research capacity and pubic poicy research, the pane suggests that the CGIAR cosponsor with interested deveoping countries, a program on the deveopment of nationa systems for pant variety protection, in partnership with interested countries, and the responsibe internationa organizations and other interested parties, incuding the seed industry in deveoping countries. The purpose woud be to deveop common approaches and share experience among deveoping countries at a technica eve. A project design workshop sponsored by the CGIAR woud be a required first step for deveoping a goba initiative. w On Exsihr Germpasm Conservation The Pane commends the decision of the CGIAR and its centers to pace their designated germpasm coections under the auspices of the FAO Commission on Pant Genetic Resources and its Network of Ex Situ Coections. The Pane encourages the CGIAR to bring the agreements to cosure as quicky as possibe.

5 iv As issues on pant genetic resources are under active discussion in the FAO Commission on Pant Genetic Resources and in the Conference of the Parties to the Convention on Bioogica Diversity, the CGIAR centers need to be cognizant of these discussions and the poicy advice provided to the Internationa Network on ISSitu Coections of pant genetic resources. In considering the use of agreements, such as Materia Transfer Agreements (MTAs), for acquiring and distributing germpasm, the CGIAR shoud use procedures which continue to encourage maximizing the utiization of genetic materia and faciitating access to technoogy that benefits deveoping country farmers. On Insitu Germpasm Conservation The CGIAR shoud encourage the insitu conservation of habitats rich in genetic diversity. CGIAR centers, such as CIFOR and IPGRI coud provide technica. advice, on request, to countries deveoping insitu conservation practices. W On Pubication of Information The Pane commends the CGIAR Centers for their ongstanding record of pubication of their research resuts and encourages the centers to expore new methods of information technoogy to faciitate the eary pubic discosure and wide dissemination of research resuts. Next Steps The Pane woud wecome comments on its initia findings and stands ready to provide further advice to the CGIAR Chair, on request, on the further deveopment of inteectua property poicies within the CGIAR system.

6 September 30, 1994 REPORT TO THE CGIAR OF THE PANEL ON INTELLECTUAL PROPERTY RIGHTS Washington, D.C., September 15, 1994 INTRODUCTION The major aim of the CGIAR has been to protect and promote the interests of sma and resource poor farming famiies in deveoping countries. CGIAR s new vision paces the productivity, profitabiity, and stabiity of foodbased farming systems in the deveoping countries on an environmentay sustainabe and sociay equitabe basis as being of highest priority, A Pane on Inteectua Property rights met in Washington on 15 September 1994, at the invitation of Mr. Ismai Seragedin, Chair of the CGIAR, and under the Chairmanship of Dr M. S. Swaminathan. A ist of Pane Members is attached at Annex 1. CGIAR poicies and practices on inteectua property rights have evoved over the past decade. Through reviews by its Technica Advisory Committee (TAC), the Center Directors, and severa study groups, the CGIAR has considered on various occasions the impications of inteectua property protection for CGIARsupported research. These efforts have heped the CGIAR to harmonize the ega basis for its germpasm hodings and to estabish preiminary principes on inteectua property management. At the CGIAR MidTerm Meeting in May 1992, the CGIAR unanimousy adopted a document which refects current poicies and practices by the CGIAR centers (Annex 2). The minutes of the May, 1992 meeting state that Centers and their Boards of Trustees bear responsibiity for deveoping operationa poicies and procedures. The meeting concuded that: as the issues are the subject of consutations in various fora it is premature for the CGIAR to move toward a forma systemwide poicy at the present time. The CGIAR System wi keep the issues under active review. In June 1992, the Center Directors issued Suggested Guiding Principes of the Internationa Agricutura Research Centers on Pant Genetic Resources and Inteectua Property Right Issues in which they affirmed the CGIAR s adherence to the principe of unrestricted avaiabiity of its pant genetic resources (Annex 3). Document ICW/93/15 of October 8, 1993, issued by the Center Directors Committee on Inteectua Property Rights provides the most recent review of discussions in the CGIAR, incuding a description of poicies adopted by individua centers.

7 2 Current CGIAR poicies and practices are based on the principes of: (4 free avaiabiity of germpasm; (b) Cc) pubic discosure of research resuts; and rapid dissemination of research products to deveoping countries, in cose partnership with Nationa Agricutura Research Systems (NARS). The approach has resuted in the CGIAR: w Cd) (e) (0 assembing and conserving one of the word s most important coections of agricutura pant genetic resources; characterizing, evauating and cataoguing the coections; breeding a arge number of new varieties of crop pants and improved materias for evauation by nationa programs in deveoping countries; deveoping a wide variety of other inventions (e.g. farm machinery suitabe for sma hoders) ; generating and disseminating new knowedge and technoogy; and deveoping new methods for the contro of ivestock diseases for improving ivestock productivity. RECENT DEVELOPMENTS IN INTELLECTUAL PROPERTY RIGHTS The foowing two major deveopments have made it necessary to review and restate CGIAR s position in reation to inteectua property rights: (a) the Convention on Bioogica Diversity which became operationa on December 29, 1993; and 0) the Fina Act Embodying the Resuts of the Uruguay Round of Mutiatera Trade Negotiations (the Word Trade Agreement) signed at Marrakech on Apri 15, Its Agreement on Tradereated Aspects of Inteectua Property Rights, Incuding Trade in Countegeit Goods (TRIPS Code) requires signatory countries to impement minimum rues for inteectua property protection.

8 3 In addition, the UN Framework Convention on cimate change which came into force on March 21, 1994 and the Convention on Desertification, which wi be open for signature in October 1994, have impications for CGIAR s research agenda, especiay in reation to forestry and agroforestry. INTELLECTUAL PROPERTY ISSUES NEEDING CONSIDERATION The Pane considered that the foowing four areas need attention now in reation to how they affect the mission of the CGIAR: (a) (b) patents; pant variety protection in deveoping countries; (c) germpasm coections, both exsitu and insitu; and W pubication of information. A. PATENT ISSUES The CGIAR recognized in its statement in Istanbu in May, 1992 that: Modem biotechnoogy is becoming an important too for the work of the centers and their coaborators. Advances in its use offer the potentia for the centers and their coaborators to increase productivity in agricuture, forestry and fisheries in deveoping countries. In a changing research environment, the centers need to coaborate with a wide range of agencies in both the pubic and private sectors which increasingy protect their inventions through hoding inteectua property The CGIAR further agreed in Istanbu: that centers shoud not seek inteectua property protection uness it is necessary to ensure access by deveoping countries to new technoogies and products. The centers woud not seek inteectua property protection for incomegenerating purposes or view potentia returns from inteectua property protection as a source of operating funds. The Pane endorsed this view as continuing to be an appropriate stance for the CGIAR. The Pane discussed various types of products which may be eigibe for IPR protection. These incude: (a) vaccines; agricutura impements suitabe for sma farmers;

9 4 (c) microorganisms and other bioogica products, such as biofertiizers and biopesticides; and GN biotechnoogy inventions. It was pointed out that new processes eigibe for patenting were ikey to resut from coaborative research in frontier areas of technoogy, such as biotechnoogy and information technoogy, conducted jointy with advanced institutions. Procedures deveoped under the Rice Biotechnoogy Network, sponsored and funded by the Rockefeer Foundation may serve as a usefu basis for CGIAR poicies (Annex 4). Frequenty, the precise terms woud have to be agreed with the institutions/universities/private companies invoved in the research partnership on a casebycase basis. There was considerabe discussion as to whether it may be prudent for the CGIAR Centers, committed to the cause of internationa pubic good, to seek patents on important products of appied vaue. For such cases, a poicy of icense of right with transfers on a nocost basis to NARS shoud be deveoped, in consutation with coaborating institutions. Arrangements between the Internationa Agricutura Research Centers (IARCs) and NARS shoud incude appropriate provisions for this purpose. Some Pane members aso noted that it may be usefu if the CGIAR were, in the future, to have a ega personaity, enabing the CGIAR to seek any inteectua property protection on behaf of individua centers, negotiate exchange and access to technoogies on behaf of NARS and icense on a nocost basis to deveoping countries. Recommendations on Patent Issues 0 The reasons for CGIAR centers taking patent protection on their inventions may be to: (a) prevent appropriation by others; 09 ensure further product deveopment and its deivery to the farming community in deveoping countries; and (c use ownership of inteectua property to negotiate access to other proprietary technoogy for the benefit of deveoping countries. 0 When the CGIAR centers obtain patent protection on an invention they shoud be prepared to icense such rights to deveoping countries on a nocost basis. 0 The choice of countries where a center woud appy for patent protection wi need to be considered on a casebycase basis.

10 5 a In regard to coaborative research agreements with advanced research institutes, costsharing arrangements and future sharing of IPR wi need to be agreed on a casebycase basis. The CGIAR centers and their Boards of Trustees shoud become knowedgeabe on IPR issues and monitor deveopments reevant to the management of their research programs. This may require some Systemwide technica and ega common services to enabe the CGIAR centers to become responsiby aware to the impications of the IPR environment and to deveop common operationa approaches. B. Pant Variety Protection in Deveoping Countries The Pane reviewed the impications for the centers and deveoping countries of the Word Trade Agreement. This agreement makes it obigatory for signatory countries to provide for the protection of pant varieties, through either a utiity patent system, the Internationa Convention for the Protection of New Varieties of Pants (the UPOV system) or new sui generis systems, which are taiored to suit the nationa needs of individua deveoping countries. Many countries are now preparing egisation to satisfy the TRIPS requirements of the Word Trade Agreement through one of these systems. Farmers roes were considered in two separate areas. (a) Farmercutivators who use their own seeds for raising crops and for oca exchange; and Farmerconservers who have heped to conserve and races, wid species, and other genetic materia currenty serving as sources of vauabe genes for use in both conventiona pant breeding and in genetic engineering. The roe of farmers in the conservation of pant genetic resources was recognized by the FAO Commission on Pant Genetic Resources by articuating the concept of Farmers Rights. However, methods of rewarding farmers for their contributions to the conservation of variabiity in crop pants and wid reatives are yet to be deveoped. The Pane discussed the potentia roe of the CGIAR centers in assisting deveoping countries to deveop procedures for recognizing and rewarding the contribution of farmerconservers in the in situ conservation of genetic variabiity at the species and ecosystem eve. The centers have not ony preserved vauabe germpasm but have aso added vaue to them by characterizing and evauating them. Where avaiabe, IARCs can suppy information which may hep impement the rights of farmerconservers under pant variety protection. For exampe, the detaied pedigrees of new varieties may revea the contribution of and races and fok varieties in providing genes critica to the success of the new commercia varieties.

11 6 The Pane considered that egisation for pant variety protection shoud contain provisions that emphasize the rights of farmers to pant back the seeds or panting materia they had purchased and to enter into imited exchange with their neighbors; it shoud aso provide for the right of researchers to use a protected variety in breeding programs. The rationae for the CGIAR s support for this position is (1) to recognize the economic necessity for farmers in deveoping countries to be abe to repant their seed and (2) to maintain genetic diversity. With regard to the responsibiities of the CGIAR institutes (incuding ISNAR, IFPRI, and CIFOR) in nationa institutionbuiding and pubic poicy research, the Pane considered that it woud be a usefu innovation for the CGIAR to work with interested countries and the responsibe internationa organizations in buiding nationa capacity to deveop and appy pant variety protection systems. The CGIAR shoud cosponsor a program on the deveopment of suitabe pant variety protection systems, which woud enabe the sharing of experience amongst deveoping countries and the IARCs. The program woud invove poicymakers from deveoping countries governments and IARCs representatives, together with experts from agencies such as from UPOV, WIPO, FAO, UNEP, and the future Word Trade Organization, and other interested parties, incuding the seed industry in deveoping countries. A project design workshop, possiby sponsored jointy with UNDP in reation to the Capacity21 program, woud hep to prepare a goba initiative. Recommendations on Pant Variety Protection 0 The Pane recognized the requirement for countries to deveop sui generis systems for pant variety protection under the provisions of the Word Trade Agreement. The Pane strongy supports the concept that such egisation shoud incorporate provisions for farmers priviege to save and exchange seed, a research exemption, as we as icensing provisions to promote the diffusion of new varieties. a As part of its responsibiity for deveoping nationa research capacity and pubic poicy research, the Pane suggests that the CGIAR cosponsor with interested deveoping countries, a program on the deveopment of nationa systems for pant variety protection, in partnership with interested countries, the responsibe internationa organizations and other interested parties, incuding the seed industry in deveoping countries. The purpose woud be to deveop common approaches and share experience among deveoping countries at a technica eve. A project design workshop, sponsored by the CGIAR, woud be a required first step for deveoping a goba initiative.

12 7 C. Exsitu and Insitu Germpasm Conservation (3 Exsitu Germpasm Conservation The internationa centers conserve goba germpasm coections for their mandate crops. The purposes of the genebanks are to conserve the germpasm in a safe manner, to hod it in trust for the word community and to use it in breeding programs. The CGIAR coections heped to conserve a representative sampe of genetic variabiity in food crops, which otherwise might have become extinct due to civi strife, as, for exampe, in the case of rice in Cambodia and beans in Rwanda. There are three major categories of genetic materia either maintained or generated by IARCs (as defined in the CGIAR Poicy on Pant Genetic Resources, 1989): Cc) germpasm coections; advanced generation and segregating genetic materia derived from hybridization, distributed among NARS for seection and further breeding; and nove genetic combinations arising from biotechnoogica research. In order to ensure that this unique genetic weath remains avaiabe for promoting food and iveihood security in deveoping countries, the CGIAR centers have decided to pace designated germpasm coections under the auspices of the FAO Commission on Pant Genetic Resources as part of the Internationa Network of Ex Situ Coections, through agreements with FAO. The Pane encourages the CGIAR to bring these agreements to cosure as quicky as possibe. There was spirited discussion as to the possibe future use of contractua agreements, such as Materia Transfer Agreements (MTAs), to cover the exchange of germpasm between the IARCs and their coaborators, in both deveoping and industria countries, especiay in the ight of the provisions of the Convention on Bioogica Diversity. Some considered that it may become necessary to use MTAs in order to ensure the continuing exchange, recognition of origin, and utiization of germpasm for research purposes and the pubic avaiabiity of research products. Other Pane members considered that it may be premature for the IARCs to take the ead in promoting Materia Transfer Agreements. The effect of MTAs upon access to sampes of genetic resources by pant breeders needs to be expored further by a countries. Countries are presenty deaing with terms of access at the FAO Commission on Pant Genetic Resources and the CGIAR shoud be guided by the consensus that emerges there. It was aso noted that specia efforts shoud be made to strengthen phytosanitary faciities both in IARCs and NARS in order to compy with the provisions of the Word Trade Agreement.

13 8 Recommendations on Earsitu Germpasm Conservation The Pane commends the decision of the CGIAR and its centers to pace their designated germpasm coections under the auspices of the FAO Commission on Pant Genetic Resources. The Pane encourages the CGIAR and FAO to bring these agreements to cosure as quicky as possibe. As issues on pant genetic resources are under active discussion in the FAO Commission on Pant Genetic Resources and in the Conference of the Parties to the Convention on Bioogica Diversity, the CGIAR and its centers need to be cognizant of these discussions and the poicy advice provided to the Internationa Network on Exsitu Coections of pant genetic resources. 0 In considering the use of agreements, such as Materia Transfer Agreements (MTAs) for acquiring and distributing germpasm, the CGIAR centers shoud use procedures which continue to encourage maximizing the utiization of genetic materia and faciitate access to technoogies that benefit deveoping country farmers. (ii) InSihr Germpasm Conservation Insitu conservation is essentia for the conservation of and races, fok strains and wid species and for the conservation of interspecific variabiity. It is aso important in the protection of certain habitats which are rich in biodiversity. Insitu conservation is a reativey new area for the CGIAR, but one which is ikey to become increasing important. Recommendations on InSitu Conservation 0 The CGIAR shoud encourage the insitu conservation of habitats rich in genetic diversity. CGIAR Centers, such as CIFOR and IPGRI coud provide technica advice, on request, to countries deveoping insitu conservation practices. D. Pubication of Information The preferred means of dissemination of CGIAR research resuts is through pubic discosure. IARCs pubish detaied information on both germpasm coections and geneticay enhanced materia as we as on other scientific research of appied vaue. Such research pubications prevent any unauthorized acquisition of ITR on the resuts of the centers work. Data bases on germpasm maintained by the centers aso hep to protect the rights of farmerconservers. The CGIAR centers aso pubish research resuts in other areas such as Geographic Information Systems (GIS), in order to put this information into the pubic domain.

14 9 Recommendations on Pubication of information a The Pane commends the CGIAR centers for their ongstanding record of pubication of their research resuts and encourages the centers to expore new methods of information technoogy to faciitate the eary pubic discosure and wide dissemination of research resuts. CONCLUSION The foregoing steps are designed to ensure that the primary purpose for which donors provide funds to the CGIAR, namey promoting sustainabe food security and iveihoods among the word s economicay and ecoogicay disadvantaged women, men and chidren is achieved under the emerging goba trade environment. The Word Trade Agreement excudes investment on scientific research from the cacuation of subsidies. Thus, support for scientific research especiay in reation to agricuture, occupies a privieged position in subsidy aw under the Word Trade Agreement. An effective method of safeguarding and strengthening food security at the househod eve in deveoping countries woud be greater investment in research and training and continued conservation and sharing of genetic materia and of products and processes of vaue in achieving sustainabe advances in farming systems intensification and diversification. NEXT STEPS The Pane wecomes comments on its initia findings and stands ready to provide further advice to the CGIAR Chair, on request, on the further deveopment of inteectua property poicies within the CGIAR system.

15 & Pan+ mmaddress, Teephone and Fax Numbers ANNEX 1 Professor John Barton Stanford Law Schoo Standford University Pao Ato, CA TEL: FAX: Dr. Ade EBetagy Board Chairman Agricutura Research Center Ministry of Agricuture E Nour Street Dokky, Cairo, Egypt TEL: FAX: Professor Bo M. Bengtsson Department of Crop Production Science Swedish University of Agricutura Sciences P.O. Box 7043 S750 Uppsaa, Sweden TEL: FAX: Dr. Simon G. Best Chief Executive Officer and Managing Director Zeneca A.V.P. P.O. Box 751 Wimington, DE TEL: FAX: Dr. Lukas Brader Director Genera IITA P.M.B 5320 Ibadan, Nigeria TEL: FAX: Dr. Caros M. Correa Director Universidad de Buenos Aires Centro de Esrudios Avanzados Buenos Aires Argentina TEL: FAX: (541) Dr. Jack Doye Deputy Research Director ILRAD P.O. Box Nairobi, Kenya TEL: (254 2) FAX: (254 2) Dr. Donad N. Duvick 6837 NW Beaver Drive Johnston, IA FAX: _ Dr. Usha Menon Nationa Institute of Science, Technoogy and Deveopment Studies New Dehi India TEL: FAX: Dr. Maria Jose de Oiveira Zimmermann EMBRAPACNPAF caixa Posta Goiania Gaas, Brazi TEL: TEL: FAX: FAX: Dr. JoseMaria Esquinas ACaZ~ Secretary, FAO Commission on PIant Genetic Resources United Nations Food and Agricutura Organization Dr. MS. Swaminathan M.S. Swaminathan Foundation 3rd Cross Road, Ta.ramani Institutiona Area Madras , India Viae dee Texme di Caracaa Rome, Itay TEL: FAX: TEL: FAX: Dr. Brad Fraeigh Agricuture, Canada Biodiversity Convention Office Wm. Saunders Buiding Ottawa, Ontario KA OC6 Canada TEL: FAX: Dr. Caestous Juma African Centre for Technoogy Studies (ACTS) P.O. Box Nairobi, Kenya TEL: Dr. Jan Enges. Director Internationa Pant Genetic Resources Institute (IPGRJ) Rome TEL: FAX: Dr. Gabriee Persey Word Bank Washington, DC. TEL: (202) FAX: (202) Dr. Wofgang Siebeck CGIAR Secretariat Washington, D.C. TEL: (202) FAX: (202)

16 CGIAR, Istanbu May 1992 ANNEX 2 Annex 3 CGIAR Working Document on Genetic Resources and Inteectua Property The working document adopted by the Group foows: This document reiterates the commitment of the Consutative Group on Internationa Agricutura Research (CGIAR) to the conservation and use of genetic resources, and to the dissemination of its discoveries and products to the deveoping word in an expeditious and costeffective manner. Estabished in 1971, the CGIAR is an association of countries, internationa and regiona organizations and private foundations dedicated to supporting internationa research. It currenty sponsors 18 autonomous internationa research centers invoved in research on probems reated to production in agricuture, forestry and fisheries. The purpose of the CGIARsponsored research is to improve the quantity and quaity of production in a sustainabe manner. The centers have made substantia contributions toward these goas for the benefit of producers and consumers in deveoping countries. These contributions have resuted from the work of scientists at the centers, in cose coaboration with scientists in the nationa research systems and in pubic institutions, universities and private companies throughout the word. In this connection the vaue of bioogica resources is becoming increasingy recognized by the word community. The centers are contributing to the conservation of bioogica diversity through: (1) the coection, characterization, exsitu maintenance and wordwide distribution of pant genetic resources; and (2) germpasm enhancement for subsequent breeding and adaptation to oca agroecoogica conditions by nationa research systems. The CGIAR recognizes both Pant Breeders Rights and the concept of Farmers Rights, in accordance with the agreed interpretation of the Internationa Undertaking on Pant Genetic Resources. Moreover, conservation of genetic resources by the centers, and research on their use is contributing to the goas of the convention on bioogica diversity presenty in preparation. A fundamenta objective of the CGIAR is to ensure access to knowedge, technoogy and materias in the interests of the deveoping countries. The CGIAR reaffirms that the genetic resources maintained in the genebanks of the centers are hed in trust for the word community. Materia from the genebanks at the centers wi continue to be freey avaiabe, in accordance with the 1989 CGIAR Poicy on Pant Genetic Resources. Modem biotechnoogy is becoming an important too for the work of the centers and their coaborators. Advances in its use offer the potentia for the centers and their coaborators to increase productivity in agricuture, forestry and fisheries in deveoping countries. In a changing research environment, the centers need to coaborate with a wide range of agencies in both the pubic and private sectors which increasingy protect their inventions through hoding inteectua property. Centers do not seek inteectua property protection uness it is absoutey necessary to ensure access by deveoping countries to new technoogies and products. The centers wi not seek inteectua property protection for incomegenerating purposes and wi not view potentia retums from inteectua property protection as a source of operating funds. Shoud exceptiona cases arise where a center might receive a financia return, an appropriate means wi be used to ensure that such funds are used for the conservation of genetic resources and reated research. On a casebycase basis, the centers carefuy consider the advantages and disadvantages, and the costs and benefits before deeming it necessary to seek and maintain any form of inteectua property protection on their inventions. A center s decision refects its own priorities and concerns as we as those of its coaborators and the nations with which it works. Such decisions are motivated by the need to: (1) estabish coaborative research with advanced aboratories: (2) ensure product deveopment and distribution: or (3) foresta preemptive protection by others of CGIARgenerated technoogy. Any inteectua property rights acquired by a center are exercised without compromising in any manner whatsoever the fundamenta position of the CGIAR regarding the free access by deveoping countries to knowedge, technoogy, materias and pant genetic resources. printed on recyced pap

17 ANNEX 3 SUGGESTED GUIDING PRINCIPLES OF THE INTERNATIONAL AGRICULTURAL RESEARCH CENTERS ON PLANT GENETIC RESOURCES AND RELATED INTELLECTUAL PROPERTY RIGHT ISSUE!3 = Recognizing that poicies reated to pant genetic resources, inteectua property rights and biosafety are of considerabe and increasing internationa interest and concern, the Directors Genera of the Internationa Agricutura Research Centers (IARCs) associated with the CGIAR System propose that the Centers woud operate on the foowing broad principes: That the pant genetic resources maintained in the genebanks of the IARCs are hed in trust for the word community; That the IARCs adhere to the principe genetic resources they hod in trust; of unrestricted accessibiity to the pant That the IARCs recognize both Pant Breeders Rights and the concept of Farmers Rights, in accordance with the agreed interpretation of the Internationa Undertaking on Pant Genetic Resources; That the IARCs consider that naturay occurring genes are common property. Therefore the IARCs wi not seek patent protection of such genes; That the IARCs, in respect of nove biotechnoogica techniques, processes and other inventions deveoped by them, wi consider seeking inteectua property protection, ony in those exceptiona cases where necessary to ensure access to these technoogies by deveoping country partners; That the IARCs do not see the protection of inteectua property as a mechanism for securing financia return for their research efforts. If an IARC seeks inteectua property protection on an invention, any financia returns stemmin g from commerciaization by others, wi be used to further the conservation and use of genetic resources in deveoping countries; That the IARCs wi continue to foow host country guideines concerning biosafety where they exist. Where this is not the case internationay recognized guideines wi be foowed; That the IARCs wi ensure that their poicies are consistent with the artices of the Convention on Bioogica Diversity adopted by the UN Conference on the Environment and Deveopment (UNCED) in Brazi in June * As amended at the Center Directors Meeting hed in Nairobi, June (GUIDPRLN)

18 SEP ($iOu) f6:o ANNEX 4 RICE BIOTECHNOLOGY QUARTERLY Voume 8,1QQ1 THE ROCKEFELLER FOUNDATION TO: RF Rice Biotechndogy Grantees. FFKIM: Gary Toenniessen SUBJECT: Poicy Statement on Coaboration and Inteectua P Property Rights. The rice biotechnoogy network has made substantia progress due to the inteigence and hard work of scientists invoved. and their wiingness to coaborate Rjce biotechnoogy is now suiikienty deveoped to aow the productton of potentiay usefu products A poicy statement foows which we hope carifies what the Foundation expects of grantees with regard to coaboration and the sharing of materias. Our consideration of requests for financia support wi increasingy be based on tie degree to which grantees contribute to this chain d coaboratians as we as the scientific quaity of rheir research... POLICY STATEMENT ON RESEARCH COLLABORATION AND PROPRIETARY RIGHTS. The goa of the RocketeW Founciati.on s Internationa Program on Rice Biotechndogy is to appy advanc& bioogica technoogies fo rice production in deveoping counrries for the bendit of ow income rice producers and consumers. The research supported is expected to contribute, through a series OF coopemt*ke projecrs and transfers of tecnnc&gy, to the production of improved seed and other materias used by farmers. A primary criterion for evauation oi rice biotechnoogy grantees wi be the contribtiions they make to this chain of research coaborations stretching from the basic 10 the appied. Mechanisms are in pace, coordinated by the Inremationa Rice Research Institute (IRRI) and the Centro Intemaciona de AgricutUra Tropica (CIAT). which faciitate rhe free exchange and distribution of rice breeding ines Improved varieties utimatey reach the deveopingword farmer ejther through pubic sector distribution or through commercia varieties distributed in the deveoping word. In genera, the deveoping word fanner shoud have access to varieties at rhe owest possibe price and shoud pay no royaws, or at most nomina royaties. If rhere is excusivity at this eve. it shoud be ony to faciitate effective diiibution. It is expected that Rockefeer Foundation rice biotechnoogy grantees wi share materias and techndogy resuiting from Foundationsupported research with coopemting researchers at zero royaty for use in deveoping countries Grantees shoud not enter into agreements that confict with this obigation. If such agreements are aready in pace, the Foundation shoud be so informed. This poicy covers intermediate steps sucn as research resuts, transformation procedures and rights under materia transfer agreements as we as fina products and rights under patents or other forms of inteectua worry. At the Same time, it is recot@sd that grantees may wish co pursue ntekcrua property righk on their discoveries and their improved materias in order to obtain economic return in deveoped countries for the supporr of further research and 10 maintain a strong bargaining position in the event of any inteectua property disputes. For purposes of thii poicy deveiaping nations incude a the nal0n.s of Cenrra and South America incuding Mexico, a rhe nations of Asia except Japan and the Soviet Union, a the nations ot Africa, and the nations OF Oceania except Austraia and New Zeaand. A other nations are considered deveoped. Coaboration and the free exchange of rarch materias are hamarks of the rice biotechnoogy network and contribute much to its success. In inany cases materias are shared and technoogies transferred prior to pubication. It is expected that Foundation grantees wi pubish their research resuts and fdowing pubication egitimate requests for materias from others in the ndwork shaud be honored. A government reguations and restrictions concerning the exchange and handing of bioogicat materias shoud be observed and appropriate biosafety procedures shoud be practiced at a time. The Foundation shoud be informed of any exchanges invdving a significant bio.s&ty risk. September e RBQ page 56