ILRI Research Contract Template 1: Global Access Strategy November 2016 Project Title: [Insert Title] Project Lead: The International Livestock Research Institute (ILRI) Nairobi, Kenya P.O Box 30709-00100 Uthiru, Old Naivasha Road and co-hosted by the Government of Ethiopia in Addis Ababa P.O Box 5689, Addis Ababa ILRI works with partners worldwide to enhance the roles that livestock play in food security and poverty alleviation, principally in Africa and Asia and is a CGIAR Research Center. Dated 06 March 2017 BACKGROUND: [Insert brief description of the project +expected research outputs/outcomes as detailed in the funded proposal] PROJECT MANAGEMENT STRUCTURE: The lead institute for the Project is the International Livestock Research Institute (ILRI), led by the ILRI Principal Investigator(s) [Insert name(s)]. Project Partner(s): [insert details from the funded proposal] Project meetings/communication management: [insert details from the funded proposal] Communication with responsible program officer: [provide details of how the PI will correspond/engage with the Foundation program officer] GLOBAL ACCESS STRATEGY REQUIREMENTS: Global Access Strategy ILRI is committed to the principles of global accessibility of its research outputs as international public goods (IPG) and as a general means to achieve impact. To meet the Global Access objectives of the Project, ILRI and the partner(s) will conduct and manage the project research, technologies and information in a manner that enables (a) the knowledge gained during the Project to be promptly and broadly disseminated and (b) the intended product(s) to be made available and accessible at reasonable cost to people most in need within developing countries. The outputs will also be available to the Parties, NARS, extension services, small scale farmers, and other users, across national boundaries including all CGIAR member Centers in keeping with the CGIAR Principles on the Management of Intellectual Assets (CGIAR IA Principles and ILRI IA Policy) and any additional donor requirements. ILRIs IP management strategy aligns with the six essential components critical for achieving Global Access. These strategies are elaborated in the ILRI IA Policy and guidelines and relevant research templates including the ILRI Sub Grant Agreement Template to be executed by and binding upon the project partner(s). Excerpts of clauses from the agreement template are elaborated as follows below:- Background IP Rights: Background IP Due Diligence: ILRI and its Partner(s) will be required to complete a Background IP Due Diligence Inventory Form, annexed to the Partner Sub Grant Agreement. The Form requires the Partner(s) to (a) identify and record their Background IP prior to commencement of project activities (b) identify any restrictions or encumbrances that may hinder the global access objectives of the project e.g. licenses, ownership rights and if so, identify measures to secure the required rights or licenses to use the Background IP in the project. [Insert brief description and ownership of Background IP each Party is contributing to the Project] Ownership of Background IP: The sub grant agreement to be signed by the Partner(s) provides: - Each Party (and where applicable, it’s approved subcontractor) retains ownership of its Background IP and agrees to allow royalty-free access to and use of its Background IP to the other Party (and where applicable, it’s approved subcontractor) for purposes of implementing the Project only. Where Background IP contains restrictions that may prevent its incorporation into, or use for the purposes of the partnership, the party introducing the same shall inform the other party prior to the start of the project activities or immediately after this is known by the said Party. [Insert details on restrictions (e.g. third party IAs) over use of Background IP and measures to secure all necessary rights to achieve long term Global Access objectives] Funded Developments (Project IP) Identification: Project IP Inventory: ILRI and its partner(s) will be required to complete and keep updated a Project IP Inventory Form for tracking and recording project IP during the course of the Project, under the oversight of the ILRI PI. Partner(s) will be required to promptly report to the ILRI PI any material discovery or invention generated in the course of the Project, through an ILRI Invention Disclosure Form. All Project IP will be reported to the Foundation as required. Lab Notebooks: ILRI and its partner (s) will be required to routinely record output data in Lab notebooks to keep complete and accurate research records. IP Protection and Management: Funded Developments (Project IP) created by a single institution. The ILRI sub grant agreement template provides that: In the event that Project IP is created solely by a Partner (or where applicable, its subcontractor) in undertaking the Project, then such Project IP shall vest solely in that Partner. That Partner shall grant ILRI an automatic, perpetual, worldwide, non-exclusive, sub-licensable, royalty-free license to use and make use of such IP for the purposes of Global Access. [Describe Project IP to be developed solely by the Partner(s)/ indicate Project IP will be developed jointly] Funded Developments (Project IP) created by multiple institutions. The ILRI sub grant agreement template provides that: In the event that the Partners are jointly responsible for generating Project IP (“Joint IP”), this shall vest jointly and equally as Joint Owners. Each Joint Owner shall have an automatic, perpetual world-wide, non-exclusive, royalty-free license including the right to sub-license, in and to the Joint IP, during and after the project while ensuring Global Access. [Describe all Project IP to be developed jointly by the Parties] Strategy for Securing & Managing IP Rights and Allocating ownership The ILRI sub grant agreement template provides that: In the event of patentable Joint IP, the Joint Owners will in deciding whether to protect such Joint IP (e.g. as incentives for potential private sector participation) evaluate whether such protection is necessary to ensure: - continued availability of the Joint IP (or product thereof) to poor farmers; delivery of improved products and technologies; or necessary to negotiate access to other proprietary rights and technologies required for product development. If a Joint Owner does not wish to seek protection of the Joint IP, the Partner wishing to file for protection may bear the costs associated with filing the application and will be entitled to an assignation of the interest in such Joint IP from that Partner who did not wish to protect such Joint IP on terms and conditions to be agreed (all Partners acting reasonably).Notwithstanding this, the Joint Owners agree to grant each other on fair and reasonable conditions, the Right of Exploitation to the patentable new knowledge (even where a Partner has elected not to be involved in an IPR application in respect of the same). Regardless of ownership or patent protection, Global Access will apply to that Joint IP and patentable new knowledge. Commercialization of Project IP ILRI and its research partners are committed to the principle of global accessibility of their research outputs as international pubic goods (IPG) and as a general means to achieve impact. It is also recognized that achieving multiple levels of impact may require restrictions to global accessibility. ILRI will strive to reach a balance between maintaining global accessibility to research outputs and proactively achieving targeted impacts through prudent management of IP and creative strategies and licensing through appropriate public, public-private or other product development partnerships. The following principles derived from the ILRI IP policy and guidelines govern the acquisition, production, management and dissemination of research outputs and innovations. International public goods – at the centre of all research activities. IPR protection – ILRI will carefully consider whether to register/ apply for (or allow third parties to register/apply for) IP rights over its intellectual assets in order to: Ensure continued availability of germplasm, vaccines, technology, inventions and innovations to poor farmers and prevent the mis-appropriation of its outputs by third parties for profit making. Ensure the delivery of improved products and technologies in developing countries Negotiate access to other proprietary rights and technologies required for product development. Public-private partnerships (PPPs) – ILRI recognizes that product development partnerships may be necessary to achieve impact. In compliance with global access, any licences, limited exclusivity licenses (LEAs) and restricted use agreements (RUAs) entered into with third parties shall comply with the following mandatory conditions when licensing Project IP:- i) Limited Exclusivity Agreements: ILRI may grant limited exclusivity (“Limited Exclusive Licence”) for commercialization of its Intellectual Assets when such exclusivity is: a) necessary for the further improvement of such Intellectual Assets or to enhance the scale or scope of impact on target beneficiaries and b) as limited as possible in duration, territory and/or field of use, AND provided that the Limited Exclusivity Agreements provide that the Intellectual Assets remain available in all countries: c) for non-commercial research conducted by public sector organizations (“Research Exemption”), and d) in the event of a national or regional Food Security Emergency for the duration of the emergency (“Emergency Exemption”). ii) Restricted Use License Agreements (RUAs): ILRI may obtain restricted licences (eg. to obtain assays for evaluating efficacy of a vaccine) from third parties only if: to the best of knowledge, equivalent IAs from other sources cannot be acquired under no/less restrictive conditions the products/services that are intended to result from the use of such third party IAs will further global access objectives in target countries that such third party IAs are only used in relation to and not incorporated into, such intended products/services. Maximizing global accessibility and impact – ensuring that all intellectual products of the project are Findable, Accessible, Interoperable and Re-usable. [Outline Project specific strategies to ensure Project outputs achieve global accessibility & impact] Materials and Data Sharing: Incoming Materials from Third Parties: Material obtained from a third party must be accompanied by a fully signed Material Transfer Agreement paying particular attention to negotiate appropriately any restrictions to global accessibility. [Indicate source of Material to be used under the Project] Exchange of materials among Lead and Subgrantees: The ILRI sub grant agreement template provides that: Material Transfer Agreements will be executed for transfer of biological materials and accompanying Data among the Partners. On regulatory approvals, the template requires that all institutional (eg. Research Ethics Committee, Animal Care and Use Committee and Biosafety Committee) and national regulatory approvals required for the conduct of regulated research activities be obtained prior to their commencement, including respect for local laws on access to and use of traditional knowledge or genetic resources. Exchange of Data among Lead and Subgrantees The ILRI sub grant agreement template covers open access on information products, data management and quality, publications, attribution and acknowledgement and confidentiality as follows:- On data management and quality: ILRI and the Partner(s) will establish a data management protocol to ensure data quality in collection, storage, submission, data entry, processing, cleaning, versioning, auditing, security and backup, accessibility and analysis etc. ILRI shall use its best efforts to ensure Partner complies with the protocol and may take over the data management activities including the associated budget to ensure compliance with the ILRI Research Data management and Sharing: Implementation Guidelines. Raw datasets incorporating research participant identification and/or confidential information may only be shared with a Third Party upon execution of a Non-Disclosure Data Sharing Agreement. The Parties shall respect the non-disclosure conditions of the consent obtained from research participants and shall NOT disclose such confidential data to any third party. Metadata: All information products shall be accompanied with minimum metadata. Output Data will be routinely recorded in laboratory notebooks and subsequently published in scientific articles. Open Access of Information Products: ILRI is committed to global accessibility of its Publications, data, audiovisual materials and all information products as international public goods (IPGs) in line with CGIAR and ILRI open access policies ALWAYS subject to the legal rights and legitimate interests of stakeholders and third parties including IPRs, confidentiality, sensitivity (including price and politically-sensitive information), farmers’ rights, privacy and research ethics; as follows:- publishing under creative commons licenses or open access journals or depositing non-data research in the ILRI Open access repository CGSpace; and publishing video, photographs and other multimedia through appropriate other platforms or depositing data in the ILRI data portal depositing software and source code in GitHub The Partner may use their own repository which must comply with minimum standards of online accessibility, discovery and interoperability. Otherwise the ILRI Repositories at (B) above will be used. The Parties agree that complete Information Products will be deposited promptly as follows: Peer-reviewed journal articles: in a suitable repository and made OA as soon as possible, ideally at the time of publication, and no later than 6 months from the date of publication OR if in a closed access journal, self-archiving in an OA repository a digital version of the final accepted manuscript (the “postprint” version) Reports, conference papers, policy briefs, working papers: in suitable repositories and made OA as soon as possible or within 3 months of completion. Books and book chapters: full digital version shall be made OA as soon as possible after publication and in any event within 6 months, through self-archiving or other suitable arrangement. Data and databases: including any relevant data collection and analysis tools shall, subject to any additional donor requirements, in a suitable repository and made OA as soon as possible or within 12 months of completion of the data collection or appropriate project milestone, or within 6 months of publication of the information products underpinned by that data, whichever is sooner. Video, audio and images: Complete final digital versions must be stored appropriately and made OA within 3 months of their completion. Computer software: if developed internally, the associated source code must be deposited in a free/open software archive upon completion and access granted under appropriate cc license. Metadata: in a suitable repository before or on publication of the information product. Where an information product is not deposited in a suitable repository, the deposited metadata must include a link to the information. On publication of confidential data, ILRI requires that any information or datasets containing confidential information including personal data be anonymised as required by ILRIs research ethic and conduct policy. [Describe in detail how Project Data will be collected, stored and accessed by Partner(s)] Request for Materials from Third Parties Material Transfer Agreements and licenses as the case may be, will be negotiated and executed for access to third party materials and any accompanying data, paying particular attention to negotiate appropriately any restrictions to global accessibility. [List agreements/ licenses to acquire any materials/Data from third parties] Publications attribution and acknowledgement: The ILRI sub grant template provides that: Parties agree that the Project results will be jointly published under a suitable open access license preferably CC version 4.0 license (https://creativecommons.org/licenses/by-nc/4.0/) which encourages unrestricted re-use and adaptation of content. The Parties undertake not to submit for publication any manuscripts that would pre-empt either Party’s or the Project’s IPRs or divulge either Party’s confidential information. The publishing party shall provide an advance manuscript at least sixty (60) days in advance of any written submission (abstract or paper) or at least 10 days in advance for oral presentation for review and comment. Attribution & Acknowledgement: The Parties will comply with scientific custom for attribution of authorship and acknowledgement as appropriate on all published material. In compliance with research ethics, personal data shall be anonymized in all publications. As required by the Foundation, ILRI and the Partner(s) will not make any statements or otherwise imply to donors, investors, media or the general public that the Foundation directly funds the Project. In addition, use of the name or logo of the Foundation in any publicity, advertising or news release will require prior written consent. [Insert project specific measures to ensure Project outputs are made public] Post-Project Development: The following principles derived from the ILRI IP policy and guidelines govern ILRI’s strategy on Public Private Partnerships for impact and global access. ILRI recognizes that partnerships including product development partners or private sector partners; are critical to ensuring access to the best knowledge and innovation, harnessing efficiencies in product development, and achieving maximum impact through effective delivery and deployment, and may require incentives that must be innovatively designed, carefully managed and diligently monitored. ILRI recognises that it may need to form partnerships with the private sector to ensure continued availability and delivery of research products, information, technology and innovations. In order to promote delivery of product, where necessary, ILRI will establish linkages with the private sector in the early stages of development of products. All such partnerships will be governed by appropriate governing agreements including confidentiality and material transfer agreements to clearly define access to and use of information and materials between ILRI and the private sector. [Describe how Funded Developments (Project IP) will be incorporated into products or services (as appropriate) and manufactured, commercialized, distributed and used in order to fulfill GA objectives. Please consider necessary licenses to Background IP, Project IP and Third-Party IP (as well as the impact of licensing on the affordability or accessibility of the end product)] Appendices follow:- Appendix 1: List of sub grantee(s) Appendix 2: IP Reporting periods and dates [see schedule in the Grant Agreement] Page 7 of 7