I. CONTEXT

In recent years there have been dramatic developments in the field of intellectual property rights as applied to biological materials. Patent protection has been extended to crop varieties and their components in many countries. As a publicly-funded international research institute, CIMMYT regards its research products as international public goods. Yet, in the current political and legal environment, producing and keeping the products of its research in the public domain, free for use and development both by scientists and farmers, have become increasingly problematic. It is in this context that CIMMYT has examined, and will continue to examine, its policies and practices in regards to intellectual property rights. CIMMYT’s commitment to the resource-poor remains as strong and passionate as ever. As a direct consequence of this commitment, CIMMYT has a responsibility to be alert to changes in the political, legal and market environments. When necessary, CIMMYT must also be ready to adopt new tools and strategies in order to keep faith with its mission. Pursuing any other course would neither be responsible, nor would it serve the interests of those CIMMYT is charged to help.

II. PREAMBLE

1. The International Maize and Wheat Improvement Center (hereafter CIMMYT) is an autonomous, not-for-profit, international scientific organization operating under the aegis of the Consultative Group on International Agricultural Research (CGIAR). More specifically its mission is:

To encourage, support and undertake activities to improve the productivity, profitability, and sustainability of maize and wheat systems in the interest of the resource poor in developing countries.

2. CIMMYT’s Policy on Intellectual Property has been developed to assist CIMMYT in achieving its objectives, in particular by providing:
1. clear objectives and principles of conduct in the management of intellectual property;
2. guidelines as to how and when intellectual property protection will be sought and exercised; and
3. mechanisms concerning the use of intellectual property and protected material by recipients to ensure that this use is consistent with furthering CIMMYT’s mission.

III. GENERAL PRINCIPLES

1. CIMMYT abides by all relevant international laws and treaties concerning intellectual property rights and genetic resources. As a matter of principle and practice, CIMMYT adheres to national laws in the States in which it operates.
2. CIMMYT reaffirms its continuing commitment to the principles of its 1994 agreement with the Food and Agriculture Organization of the United Nations (FAO), under which CIMMYT holds designated germplasm in trust for the benefit of the international community, in particular the developing countries. CIMMYT encourages germplasm donors to permit the designation of material pursuant to this 1994 agreement.
3. CIMMYT endorses the CGIAR’s "Ethical Principles Relating to Genetic Resources."

IV. OBJECTIVES AND OPERATING POLICIES

1. CIMMYT will manage intellectual property issues with:
1. integrity;
2. equity;
3. responsibility; and
4. accountability.
2. In the pursuit and management of intellectual property rights, CIMMYT will be guided by:
1. its mission; and
2. its special responsibilities to the resource poor arising from its role as a provider of germplasm, technologies, and information.
3. CIMMYT will consider whether to acquire, and how to manage, the intellectual-property-rights associated with all of the products of its research.
4. On occasion, CIMMYT may enter into contracts that provide for the acquisition and management of confidential materials. CIMMYT may also seek to protect the products of its research by obtaining intellectual property protection through patents, plant breeders’ rights, copyrights, trademarks, statutory invention registrations or their equivalent, and/or trade secrets to serve the resource poor in the following kinds of situations:
1. to support public and private partnerships which pursue mission-based research or which develop and apply research results;
2. to assure ready access by others to research products developed or funded by CIMMYT;
3. to avoid possible restrictions arising from "blocking" patents and to ensure CIMMYT’s ability to pursue its research without undue hindrance;
4. to facilitate the transfer of technology, research products and other benefits to the resource poor including, where appropriate, through commercialization or utilization of research products; and/or
5. to facilitate the negotiation and conclusion of agreements for access to proprietary technologies of use to CIMMYT’s research and in furtherance of its mission.
5. CIMMYT will adopt procedures and employ practices such as DNA fingerprinting, the keeping of appropriate laboratory notebooks, and controls over the release of certain information in order to safeguard its intellectual property.
6. In matters related to intellectual property rights, CIMMYT will exercise its judgment in determining what action to take, if any, on a case-by-case basis in accordance with this Policy and in furtherance of its mission. This Policy will also apply to CIMMYT’s activities as a broker of arrangements between third parties that involve intellectual property rights, and in this latter regard, CIMMYT will seek to influence such arrangements so that they accord with this Policy.
7. In all intellectual property decisions, CIMMYT will act in a fair and equitable manner.
8. In seeking intellectual property rights, CIMMYT will be guided by its commitment to serve the resource poor, rather than by opportunities to obtain recurring revenues. To the extent that financial returns are generated via intellectual property, they will be used by CIMMYT to support its efforts to implement the FAO Global Plan for the Conservation and Sustainable Utilization of Plant Genetic Resources for Food and Agriculture, adopted by 150 countries in 1996.
9. All arrangements with third parties associated with the access, joint creation, use or exploitation of intellectual property protected materials will be appropriately documented.

V. ACCESS TO AND USE OF PROPRIETARY TECHNOLOGY

1. Proprietary technology (technology owned and protected by intellectual property rights by others), when properly acquired may be used by CIMMYT to enable CIMMYT to make important advances necessary to further its mission.
2. Prior to the use and application of such technology, CIMMYT will make best efforts to identify any restraints associated with its use or with the distribution of products or processes incorporating the proprietary technology. CIMMYT will endeavor to produce and distribute research products that are "free and clear" of restrictions imposed by third party intellectual property rights. If not "free and clear," CIMMYT will make best efforts to disclose any outstanding restrictions that might apply to these products.

VI. GERMPLASM DISTRIBUTION

On 16 October 2006, all Centres of the CGIAR System holding collections of Plant Genetic Resources for Food and Agriculture (PGRFA) signed Agreements with the Governing Body of the International Treaty on Plant Genetic Resources for Food and Agriculture (the Treaty) placing their in trust collections of PGRFA within the purview of the Treaty.

In accordance with this Agreement, CIMMYT makes, as from 15 January 2007, all shipments of PGRFA of crops listed in Annex 1 to the Treaty (shipments of PGRFA under the Multilateral System) with the terms and conditions of the Standard Material Transfer Agreement (SMTA) adopted by the Governing Body of the Treaty at it’s First Session in June 2006. Any future shipments of PGRFA under the Multilateral System will be accompanied by the SMTA and that recipient’s acceptance and use of the Material will constitute acceptance of the terms and conditions of the SMTA. For further information on germplasm request and distribution:

http://www.cimmyt.org/english/wps/obtain_seed/smtaandcimmyt-en.htm

VII. PUBLICATIONS (PRINTED AND ELECTRONIC), DATABASES, REPORTS, TRAINING MATERIAL, PUBLIC AWARENESS MATERIAL, ARTWORK, AUDIO-VISUAL MATERIAL

1. CIMMYT encourages the wide dissemination of its publications (printed and electronic) including databases, reports, training material, public awareness material, artwork and audio-visual material, and desires that such materials be used to maximum public benefit.
2. In creating such materials CIMMYT will:
1. only use the copyright material of others within "fair use" limitations or with the consent of the copyright owner; and
2. will properly attribute the source of the material.
3. CIMMYT publications (printed and electronic) will normally carry standard copyright convention signs, indicating CIMMYT as the copyright owner of the compilation, published edition and/or the material published (as appropriate) together with the year of publication.
4. CIMMYT will incorporate in its publications (printed and electronic) standard copyright notification statements:
1. permitting, especially in the case of NARS, the making of a reasonable number of copies of CIMMYT copyright material for non–commercial purposes;
2. requiring attribution where CIMMYT copyright material is reproduced in other publications;
3. prohibiting interference or tampering with the material without the express consent of CIMMYT; and
4. addressing any other issues relevant to the best use being made of the material, such as procedures for the dissemination and recall of material subject to updating.
5. CIMMYT may, to the extent available in national laws, enforce its copyright in CIMMYT publications (printed and electronic) and protect them from unfair competition in order to:
1. respond to a breach of the above terms;
2. prevent misappropriation of such material for commercial purposes; and/or
3. protect the fidelity of such material.
6. CIMMYT will cooperate in the development of databases that assist the resource-poor and will make best efforts to keep these databases in the public domain.

VIII. TRADEMARKS

1. CIMMYT has registered the "CIMMYT" name and logo and may register other distinctive marks as trademarks in order to protect the goodwill and reputation associated with the exclusive use of these marks by CIMMYT.

IX. CONFIDENTIALITY AND OWNERSHIP

1. CIMMYT personnel (management and staff) and CIMMYT trustees are required to sign a confidentiality agreement. In addition, visiting scientists, researchers, and partners will also be required to sign appropriate agreements as a condition of their association with CIMMYT.
2. Any rights (intellectual or technical property) in research products, publications and other works created or contributed to by CIMMYT personnel in the course of their normal and assigned professional duties will be vested in CIMMYT and this will be reflected in all employment contracts.
3. Any rights (intellectual or technical property) in research products, publications and other works commissioned by CIMMYT will be assigned to and vested in CIMMYT as a right holder.
4. CIMMYT staff and others affiliated with CIMMYT are required to provide an enabling disclosure for all innovations arrived at during the course of their employment or affiliation with CIMMYT.
5. Collaborative research or research funded by CIMMYT will be on the basis that CIMMYT will either:
1. own or share ownership of any rights (intellectual or technical property) in the research products, including copyright in any research reports or papers; or
2. have the discretion to control the publication of such research reports and papers and to require the collaborator to seek permission from CIMMYT before applying for any intellectual property protection in the research products.
6. Where collaborative research products or works are to be owned jointly, ownership and/or the use to which the product is put will be negotiated by the partners. From CIMMYT’s view, this will be done in furtherance of its mission.

X. IMPLEMENTATION

1. This Policy will apply to all of CIMMYT’s activities, programs and offices and accordingly, all references to CIMMYT in this Policy will be construed to include references to these entities.
2. Responsibility for implementing this Policy rests with the Director General of CIMMYT.

XI. EFFECTIVE DATE

1. This Policy is effective from 15 January 2007, and will remain in force until superseded, canceled or suspended in writing by the authority of the Board of Trustees.
2. In the context of an evolving legal and political environment, the CIMMYT Board of Trustees will regularly review this Policy and its implementation in order to ensure that CIMMYT is well positioned to carry out its mission.

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