Rights to Plant Genetic Resources and Traditional Knowledge : Basic Issues and Perspectives

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ISBN: 9780851990330 | 0851990339
Cover: Hardcover
Copyright: 11/23/2006

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This book discusses the means, instruments and institutions to create incentives to promote conservation and sustainable use of traditional knowledge and plant genetic resources for food and agriculture, in the framework of the world trade order. It approaches these topics on a broad basis: it analyses in depth the option to create specific sui generis intellectual property rights of the TRIPS Agreement It then discusses the ways to support the maintenance of information which cannot be allocated to specific authors, and examines alternative concepts within the trade of traditionally generated information and related products.

Contributors

Preface and Acknowledgements

xvii

Abbreviations

xix

Introduction

xxiii

I.1 A New Regulatory Field

xiii

I.2 Goals and Basic Assumptions

xxiv

I.3 The Current Legal Status of Plant Genetic Resources

xxv

I.4 Policy Measures Submitted

xxvii

I.4.1 A multiple approach required

xxvii

I.4.2 The protection of assignable traditional knowledge (Traditional Intellectual Property Rights)

xxviii

I.4.3 Reform and novel uses of existing intellectual property rights: patents and plant breeders' rights

xxviii

I.4.4 The protection of non-assignable traditional knowledge and plant genetic resources for food and agriculture

xxix

I.4.5 Support of trade in products resulting from the use of traditional plant genetic resources for food and agriculture and traditional knowledge

xxix

I.4.6 Tariff measures facilitating the export of traditional knowledge-related products

xxx

I.5 Conclusions

xxxii

PART I GENERAL FRAMEWORK

(154)

1 Problems and Goals

(53)

Susette Biber-Klemm and Danuta Szymura Berglas

1.1 Biodiversity and Traditional Knowledge: Factual Background and Problems

(31)

1.1.1 Introduction

(1)

1.1.2 Biodiversity

(1)

Terminology

(1)

Characteristics of plant genetic resources

(1)

Distribution and origin of biological diversity

(1)

The value of biological diversity

(1)

The loss of biological diversity

(1)

Conclusions

(1)

1.1.3 Traditional knowledge

(1)

Introduction

(1)

Terminology and characteristics

(1)

Value of traditional knowledge

(1)

The loss of traditional knowledge

(1)

Conclusions

(1)

1.1.4 Conservation and sustainable use of biodiversity and traditional knowledge: the interface with trade

(1)

Introduction

(1)

Economic failure as reason for the loss of biodiversity and traditional knowledge

(1)

Supporting conservation and sustainable use of biodiversity and traditional knowledge: financial aspects

(1)

The creation of incentives: the Convention on Biodiversity discussion

(1)

Conclusions

(1)

1.2 Goals of Instruments and Measures to Protect Traditional Knowledge and Plant Genetic Resources: Basic Principles and Ethical Reflections

(17)

1.2.1 Introduction

(1)

In general

(1)

Goals as laid down in international legal instruments concerning genetic resources and traditional knowledge

(1)

1.2.2 Equity and fairness

(1)

Introduction

(1)

Legal sources in the biodiversity context: conventions and soft law

(1)

Equity

(1)

Fairness

(1)

Conclusions

(1)

1.2.3 Sustainability

(1)

General: term and interpretation

(1)

The particulars of biological diversity and traditional knowledge with a view to sustainable use and development

(1)

1.2.4 Food security and basic health care

(1)

In general: theoretical background

(1)

Food security

(1)

Health care, medicinal care, traditional medicine

(1)

1.2.5 Conclusions

(1)

Bibliography

(5)

2 The Current Law of Plant Genetic Resources and Traditional Knowledge

(56)

Susette Biber-Klemm, Thomas Cottier, Philippe Gullet and Danuta Szymura Berglas

2.1 Introduction

(1)

2.2 Permanent Sovereignty over Plant Genetic Resources

(2)

2.3 International Agreements and Institutions

(23)

2.3.1 The Convention on Biological Diversity

(4)

2.3.2 The International Treaty on Plant Genetic Resources for Food and Agriculture

(5)

2.3.3 The law and policy in the World Trade Organization

(1)

From GATT to the WTO

(1)

From tariffs to farm support levels and intellectual property protection

(1)

International dispute settlement and enforcement

(1)

The Agreement on Agriculture

(1)

The Agreement on the Application of Sanitary and Phytosanitary Measures

(1)

The Agreement on Trade-related Aspects of Intellectual Property Rights

(1)

WTO law and genetic resources

(1)

2.3.4 The International Union for the Protection of New Varieties of Plants (UPOV)

(2)

2.4 Selected Regional and National Legal Frameworks

(28)

2.4.1 Developing countries

(1)

The African continent: the OAU Model Legislation

(1)

Andean region

(1)

India

(3)

2.4.2 Developed countries

(1)

Europe

(1)

USA

(1)

Australia

(14)

Bibliography

110

(2)

3 Intellectual Property Rights, Plant Genetic Resources and Traditional Knowledge

112

(43)

Philippe Gullet, Christophe Germann, Andrea Nascimento Müller and Gloria Pasadilla

3.1 Introduction

112

(3)

3.1.1 Overview

112

(1)

3.1.2 Forms of intellectual property protection

113

(1)

3.1.3 The functions of intellectual property rights

114

(1)

3.2 The Protection of TK Related to Plant Genetic Resources

115

(19)

3.2.1 Definitions

115

(1)

3.2.2 Patent protection

116

(1)

Introduction

116

(1)

The rationale of patent protection

119

(1)

The concepts of invention and the protection of plant varieties

121

(1)

Protective criteria

125

(1)

Scope and limitations of patent protection

127

(1)

Preliminary conclusions on patent protection for holders of traditional knowledge

128

(2)

3.2.3 Plant breeders' rights

130

(1)

Background

130

(1)

What are PBRs?

131

(1)

Content and limitation of PBRs

131

(1)

3.2.4 Sui generis protection systems

132

(1)

Rationale of sui generis protection

132

(1)

Country examples of sui generis protection

133

(1)

3.3 Impacts on Existing PGR, Landraces and TK

134

(17)

3.3.1 Case studies

135

(1)

The turmeric patent

135

(1)

The neem patents

136

(1)

The kava case

137

(1)

3.3.2 Proposed solutions

137

(1)

Biodiversity registers

137

(1)

Benefit-sharing

138

(1)

Local innovation

139

(1)

3.3.3 Problem analysis

140

(1)

3.3.4 Impacts on PGR diversity

141

(1)

3.3.5 Impacts on TK

142

(1)

3.3.6 Tension between IPR and competition

142

(1)

Contract arrangement among sequential innovators

143

(1)

Some basic principles for IPR and competition policy

145

(6)

3.4 Conclusions

151

(1)

Bibliography

151

(4)

PART II TOWARDS SUI GENERIS RIGHTS

155

(126)

4 Origin and Allocation of Traditional Knowledge and Landraces

157

(46)

Part 1: Origin and Allocation of Traditional Knowledge and Traditional PGRFA: Basic Questions

157

(16)

Susette Biber-Klemm

4.1 Introduction

157

(1)

4.2 Origin and Allocation of Traditional Knowledge

158

(1)

4.2.1 Introduction

158

(1)

Definition and relevant characteristics

158

(1)

Shortcomings of the formal IP system

159

(1)

4.2.2 Types of traditional knowledge

160

(1)

4.2.3 Degree of publicity: the 'public domain' discussion

161

(1)

4.2.4 The question of ownership and origin

161

(1)

Origin

161

(1)

4.2.5 Summary

162

(1)

4.3 The Concept of Origin of PGRFA

162

(1)

4.3.1 Background and terminology

162

(1)

Plant genetic resources for food and agriculture

163

(1)

In situ on-farm conservation

164

(1)

4.3.2 Origin

165

(1)

The scientific understanding of origin

165

(1)

Country of origin according to the CBD

165

(1)

Country of origin in the International Treaty on PGRFA

166

(1)

Discussion

166

(1)

Conclusions

168

(1)

4.3.3 A functional interpretation of origin

168

(1)

In general

168

(1)

The criterion of distinctness

169

(1)

Uniformity and identifiability

170

(1)

The element of time

171

(1)

4.3.4 Conclusion

171

(1)

4.3.5 Questions for further research

171

(2)

Part 2: Farmers, Landraces and Property Rights: Challenges to Allocating Sui Generis Intellectual Property Rights to Communities over their Varieties

173

(30)

M. Halewood, J.J. Cherfas, J.M.M. Engels, Th. Hazekamp, T. Hodgkin and J. Robinson

4.4 Introduction

173

(1)

4.5 Historical Evolution of the Concept of Landrace

174

(1)

4.5.1 From nature to nurture: the anthropologization of the landrace

174

(1)

Case study 4.1: Farmers' key role in selecting and perpetuating maize landrace traits

176

(1)

4.5.2 Details of farmers' innovation: improving landraces' contribution to livelihoods is not necessarily linked to promoting their distinctness, stability and uniformity

177

(3)

4.6 How the Interplay of Plant Reproduction Systems, Human Uses and the Environment Affect the Incidence and Duration of Distinctions between Landraces

180

(1)

4.6.1 In-breeders

180

(1)

Case study 4.2: Gene flow between in-breeders; a case study of sorghum

182

(1)

4.6.2 Out-breeders

182

(1)

4.6.3 Clones

183

(2)

4.7 Assessing Potential Intellectual Property Policy Responses

185

(1)

4.7.1 Challenges

185

(1)

4.7.2 Hypothetical case

190

(1)

4.7.3 Cautionary note regarding perverse incentives

191

(1)

4.7.4 Converse situations: when sui generis protections could be feasible

192

(1)

4.8 Mining Data for Connections between Communities and Ex Situ Collections

193

(1)

4.8.1 Data selection

194

(1)

4.8.2 Results

194

(1)

4.8.3 Data-mining conclusions

195

(1)

4.8.4 Collecting forms, ethnobotanical descriptors

195

(2)

4.9 Assessing Possible Policy Responses to the Database Analyses

197

(1)

4.10 Conclusion

198

(1)

Bibliography

199

(4)

5 A New Generation of IPR for the Protection of Traditional Knowledge in PGR for Food, Agricultural and Pharmaceutical Uses

203

(36)

Thomas Cottier and Marion Panizzon

5.1 Introduction

203

(1)

5.2 The Strategic Case for Intellectual Property Protection

204

(3)

5.2.1 The legitimacy and rebalancing of the IPR system

204

(1)

5.2.2 The need to clarify the connection between traditional knowledge and existing IPR

205

(1)

5.2.3 Competing interests and conflicting legal concepts

205

(1)

The structure of the seed industry

206

(1)

PGRFA in the public domain

206

(1)

Linkages to global public goods

206

(1)

5.3 Current State of the Law and Efforts Made to Date

207

(9)

5.3.1 International instruments

207

(1)

Convention on Biological Diversity (CBD) and benefit sharing

207

(1)

Plant Variety Protection (UPOV)

207

(1)

International Treaty on Plant Genetic Resources for Food and Agriculture (ITPGRFA)

208

(1)

The WTO Agreement on Trade-Related Aspects of Intellectual Property Rights (TRIPS Agreement) and the Paris Convention for the Protection of Industrial Property

208

(1)

World Intellectual Property Organization (WIPO)

210

(4)

5.3.2 Recommendations by international bodies and national legislation

214

(1)

Model laws

214

(1)

Domestic legislation

214

(1)

5.3.3 Conclusions

215

(1)

5.4 Basic Objections to IPR Protection

216

(4)

5.4.1 Innovation vs traditions

216

(1)

5.4.2 Assignable resources and communitarian rights

217

(2)

5.4.3 Free flow and crop exchange

219

(1)

5.4.4 Destruction of traditional ways of life

219

(1)

5.4.5 Conclusion

220

(1)

5.5 A New IP Right in Traditional Knowledge

220

(8)

5.5.1 Subject matter

220

(1)

5.5.2 Right holders

221

(1)

5.5.3 Conditions, content and scope of rights

222

(1)

Intellectual activity

223

(1)

The object and content of the right

223

(1)

Rights conferred

225

(2)

5.5.4 Duration of rights

227

(1)

5.6 The Creation and Registration of Rights

228

(3)

5.6.1 Registration requirements

228

(2)

5.6.2 Opposition procedures and judicial review

230

(1)

5.7 The Interface with Other IP Rights

231

(2)

5.7.1 The complementary function of geographical indications

231

(1)

5.7.2 Relation to plant breeders' rights

232

(1)

5.8 The Fora for Future Negotiations

233

(1)

5.9 Conclusions

233

(2)

Bibliography

235

(4)

6 Flanking Policies in National and International Law

239

(42)

Susette Biber-Klemm, Philippe Cullet, Christophe Germann, Andrea Nascimento Müller and Jonathan Curci

6.1 Introduction

239

(1)

6.2 Existing Intellectual Property Rights: Avenues for Further Development

239

(14)

6.2.1 Novel uses of the patent model

240

(1)

Prior art, disclosure and prior informed consent

240

(1)

Joint inventorship

244

(1)

Traditional knowledge and existing conditions for patentability

245

(2)

6.2.2 Adaptation of the conditions for granting of plant breeders' rights

247

(1)

6.2.3 Geographical indications

248

(1)

Geographical indications and trademarks

249

(1)

Further development of geographical indications

250

(1)

Geographical indications and traditional knowledge

250

(1)

Case study: Potential benefits of geographical indications: the kava case n the South Pacific

253

(1)

6.3 Management and Enforcement of IPR and Traditional PGR: Institutional Design

253

(25)

6.3.1 Documentation and registration

254

(1)

Introduction and questions

254

(1)

Definitions and terminology

256

(1)

Current discussions

257

(1)

Different emphasis: examples

259

(1)

Registration as a marketing tool?

263

(1)

6.3.2 Collecting societies

264

(1)

General considerations

264

(1)

Collecting societies as a possible model

266

(1)

Domaine Public Payant

268

(1)

Further considerations

268

(1)

6.3.3 Clearing house mechanisms

269

(1)

What is a clearing house mechanism?

270

(1)

CHMs in the realm of TK management: the CBD CHM and the WIPO Platform

270

(1)

CHMs to facilitate trade in TK: examples

272

(1)

Analysis

275

(1)

Conclusions

277

(1)

Bibliography

278

(3)

PART III OPTIONS FOR COLLECTIVE AND TRADE POLICY MEASURES

281

(112)

7 New Collective Policies

283

(41)

Susette Biber-Klemm, Philippe Gullet and Katharina Kummer Peiry

7.1 Introduction

283

(1)

7.2 Farmers' Rights

283

(5)

7.2.1 Farmers' rights under the International Undertaking

284

(1)

7.2.2 Farmers' rights under the International Treaty on PGRFA

285

(1)

7.2.3 Farmers' rights as a means to protect traditional knowledge

286

(2)

7.3 Reviewing Access Legislation

288

(13)

7.3.1 Introduction

288

(1)

7.3.2 Legal background

289

(1)

In general

289

(1)

The regulation of the CBD

290

(1)

The regulation of ABS by the ITPGRFA

291

(1)

Conclusions and discussion

294

(1)

7.3.3 The ABS system at the interface with markets: issues to consider

295

(1)

Introduction

295

(1)

Value of PGRFA and TK and the creation of markets

296

(1)

Marketing and access legislation

297

(1)

Control on the side of the users of the information

298

(1)

The designation and integration of holders of TK, including capacity-building

299

(1)

7.3.4 Conclusions

300

(1)

7.4 Financial Mechanisms for Compensation of Non-assignable Traditional Plant Genetic Resources and Traditional Knowledge

301

(20)

7.4.1 The role of a future financial mechanism in the context of access to genetic resources

301

(1)

Aims and functions of a future financial mechanism

301

(1)

Elements of a future financial mechanism

302

(2)

7.4.2 Analysis of existing mechanisms as possible models

304

(1)

Financial mechanisms aiming at the provision of assistance to developing and transitional countries ('assistance funds')

304

(1)

Financial mechanisms forming part of a treaty system on civil liability for environmental damage caused by potentially hazardous activities ('compensation funds')

309

(1)

Mechanisms to provide incentives for implementation under the Kyoto Protocol

313

(1)

Relevant work in the framework of the FAO

317

(1)

7.4.3 Options for a financial mechanism in the context of access to genetic resources

318

(1)

Structure, organization and legal personality

318

(1)

Generation of funds: contributors

319

(1)

Disbursement of funds: claimants

320

(1)

7.4.4 Conclusions and recommendations

320

(1)

Bibliography

321

(3)

8 International Trade Regulation for Plant Genetic Resources and Related Products

324

(69)

Part 1: The Impact of Agricultural Subsidies

324

(33)

Susette Biber-Klemm and Michael Burkard

8.1 Introduction

324

(1)

8.1.1 General questions

324

(1)

8.1.2 Marrakesh Agreements: cross-cutting issues and recent developments

325

(1)

Relevance of topics: environment and development

325

(1)

Doha Declaration and Doha Work Programme

325

(1)

Recent developments: the July package

326

(1)

8.2 The Agreement of Agriculture and the Maintenance of TK and PGRFA

327

(1)

8.2.1 Introduction

327

(1)

8.2.2 Legal background

327

(1)

The AoA in general

327

(1)

Coverage

328

(1)

8.2.3 Reform programme: mandates and current stage

329

(1)

The negotiation mandates

329

(1)

Doha Declaration and Doha Work Programme: agriculture

330

(3)

8.3 The Structure of Agriculture in Developing Countries

333

(1)

8.3.1 Terminology

333

(1)

8.3.2 Economics of subsistence farming

333

(1)

8.3.3 Rural–urban migration

335

(1)

8.3.4 Structures of agriculture

337

(1)

8.3.5 Agriculture and genetic erosion in PGRFA

338

(1)

8.4 The Impact of Agricultural Export Subsidies and Food Aid on Agrobiodiversity

339

(1)

8.4.1 Introduction

339

(1)

8.4.2 Economics of agricultural export subsidies and food aid

340

(1)

Economics of agricultural export subsidies

340

(1)

Economic effects of food aid

341

(1)

Economic effects of a removal of agricultural export subsidies

341

(1)

8.4.3 Impact of agricultural export subsidies and food aid on agrobiodiversity: the PLA model

342

(1)

8.4.4 Impact of food aid on agrobiodiversity

344

(1)

8.4.5 Conclusions

344

(1)

8.4.6 Summary and outlook

346

(1)

Agricultural export subsidies

346

(1)

Food aid

346

(1)

Outlook: an integrated approach towards global multifunctionality

346

(1)

8.5 Direct Payments

347

(1)

8.5.1 Introduction

347

(1)

8.5.2 WTO regulation of domestic support: overview

348

(1)

8.5.3 The 'Green Box' measures

348

(1)

8.5.4 The development programmes

349

(1)

8.5.5 Assessment in view of support of agrobiodiversity

350

(1)

8.5.6 The debates

351

(1)

Critique of the present state in general

351

(1)

The multifunctionality vs food security debate

352

(2)

8.5.7 Discussion and conclusions

354

(3)

Part 2: Enhancing Market Access

357

(31)

Thomas Cottier and Marion Panizzon

8.7 Introduction

357

(4)

8.8 Market Access for Developing Countries in PGR Products

361

(1)

8.8.1 Tariffication of trade barriers and the prospects of tariff reductions

361

(1)

8.8.2 Impact on traditional knowledge-based products

364

(1)

8.9 The Prospects of Differential Tariffs for Traditional Knowledge-based Products

364

(1)

8.9.1 Special and differential treatment

364

(1)

8.9.2 The case of special and differential treatment for TK-based products

365

(1)

Recourse to the General System of Preferences (GSP)

366

(1)

Adjusting tariff schedules and the Harmonized System

368

(1)

Limiting recourse to trade remedies against TK-based products

372

(1)

Labelling requirements

374

(1)

8.10 TK and the TBT and the SPS Agreements

375

(1)

8.10.1 Agreement on Technical Barriers to Trade (TBT Agreement)

375

(1)

Product standards

375

(1)

Product Process Methods (PPMs)

376

(1)

8.10.2 The Agreement on the Application of Sanitary and Phytosanitary Measures (SPS Agreement)

377

(1)

Product standards

377

(1)

Product Process Methods (PPMs)

378

(1)

8.11 The Need for Joint Standard-setting Operations

379

(1)

8.12 Non-discrimination Principles of GATT 1994 and Traditional Knowledge

380

(1)

8.12.1 Introduction

380

(1)

8.12.2 Legal issues

381

(1)

8.13 The Impact of MFN

382

(1)

8.14 The Impact of National Treatment

382

(1)

8.14.1 The narrow definition of likeness for purposes of taxation

383

(1)

8.14.2 The broader definition for regulatory purposes

384

(1)

8.14.3 Assessment

384

(1)

8.15 Product Process Methods (PPMs) in GATT 1994

385

(1)

8.15.1 The state of affairs

385

(1)

8.15.2 Towards a new deal on PPMs

387

(1)

8.16 Conclusions

387

(1)

Bibliography

388

(5)

Index

393

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Rights to Plant Genetic Resources and Traditional Knowledge : Basic Issues and Perspectives

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