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知识产权与传统知识

INTELLECTUAL PROPERTY AND TRADITIONAL KNOWLEDGE

3 4 1 2

相关概念

传统知识的重要性 传统知识持有人面临的挑战 传统知识的保护模式

相关概念

知识产权(intellectual property)

• 原意均为“知识财产所有权”或者 “智慧财产所有权”, 也称为智力成果权。在中国台湾,则称之为智慧财产权。 “知识产权”这一术语的广泛使用是一个在1967年世界知 识产权组织成立后,最近几年才变得常见。有学者考证, 该词最早于17世纪中叶由法国学者卡普佐夫提出,后为比 利时著名法学家皮卡第所发展,皮卡第将之定义为“一切 来自知识活动的权利”。 • 它是指“权利人对其所创作的智力劳动成果所享有的专有 权利”,一般只在有限时间期内有效。各种智力创造比如 发明、文学和艺术作品,以及在商业中使用的标志、名称、 图像以及外观设计,都可被认为是某一个人或组织所拥有 的知识产权。

历年世界知识产权日(

4.26

)主 题回顾

• 2001年:今天创造未来 • 2002年:鼓励创新 • 2003年:知识产权与我们息息相关 • 2004年:鼓励创造 • 2005年:思考、想象、创造 • 2006年:知识产权——始于构思 • 2007年:鼓励创新 • 2008年:尊重知识产权和赞美创新 • 2009年:文化、战略、发展 • 2010年:创新——将全世界联系在一起 • 2011年:设计未来

传统知识(Traditional Knowledge)

• 依据WIPO,传统知识是指“基于传统的文学、艺术或科学作品; 表演;发明;科学发现;外观设计;标记、名称和符号;未公开信 息;和所有其他在工业、科学、文学或艺术领域内产生的基于传统 的发明和创造”,并把“基于传统的”进一步解释为“知识系统、 创造、创新和文化表达一般地从一代传向下一代,通常被认为与特 别的民族和地域有关,并随着环境变化而保持起原有内涵和形式。” 它是指“权利人对其所创作的智力劳动成果所享有的专有权利”, 一般只在有限时间期内有效。各种智力创造比如发明、文学和艺术 作品,以及在商业中使用的标志、名称、图像以及外观设计,都可 被认为是某一个人或组织所拥有的知识产权。 • 《生物多样性公约》在关于传统知识的条款中,将传统知识界定 为“采用传统生活方式的本土和当地社区的与生物多样性的保护和 可持续利用相关的知识、创新和实践”,并进一步解释为该知识 “来自实践、经由数世纪而得,适应了本土文化和本土环境,经过 口头从一代传向下一代”。

传统知识的特性

• • • • •

传统知识的起源乃是集体创作的、整体的。 传统知识的起源是原住民或传统社区居民基于日常生活上与环境的互动所产 生的观念,这样所形成的知识可以说是整体的,并且经常是由观念的传递, 集体演绎而成。 传统知识之传递是基于代代口耳相传的。 原住民传统上并无文字,因此其知识的累积只能靠代代间的口语或肢体语言 传递。但是并非所有传统知识都缺乏文字记载,例如中国、印度的医学都是 经由经典的书籍而扩散、流传。 传统知识具有适应性,会因社区环境的改变而演进。 传统知识既是人类为适应环境而产生,因此在环境的变更下,传统知识并非 是静止的,而是动态的。所以,传统知识并非一定指过去的知识,而是说这 种知识的产生方式是传统的。 传统知识的创作者经常无法可考。 许多传统知识由于是长期集体的创作而产生,并且缺乏文字记载,因此常无 法确定知识的创作者。 传统知识常归属于某个特定区域的居民。 传统知识通常是创新、保存于较为封闭的局域,为特定社区的居民所共有, 或为某地区的个人或少数人所拥有。

传统知识的类别

• 传统知识分为三个基本类别,分别是:民间文学 艺术表达(expressions of folklore)、传统科技 知 识 ( t r a d i t i o n a l s c i e n t i f i c a n d t e c h n o l o g i c a l k n o w l e d g e ) 和 传 统 标 记 (traditional marks)。其中,传统科技知识可包 括传统农业知识、传统医药知识、传统生态知识 和传统生活知识等;传统标记包括传统名称、符 号和地理标志等。

传统知识术语

• 生物多样性(

Biological iversity

• 生物技术(

Biotechnology

• 遗传材料(

Genetic Material

• 遗传资源(

Genetic Resources

• 知识产权(

Intellectual property

• 食品和农业植物遗传资源 (

Plant Genetic Resources for Food and Agriculture

• 专门权

Sui generis

• 传统文化表达

folklore)

/

民间文艺表达 (

Traditional Cultural Expressions / expressions of

• 传统知识(

Traditional knowledge

《生物多 样性公约(

1992

)》第

2

条将

生 物多 样性

biological diversity

常 简写 为

biodiversity

)定 义为,所有来源的活 的生物体中的 变异性,这些来源除其他外 包括 陆地、海洋和其他水生生态系统及其 所构成的生 态综合体;这包括物种内、物 种之 间和生态系统的多样性。

《生物多 样性公约(

1992

)》第

2

条将

生 物技 术

定 义为:使用生物系统、生物体或 其衍生物的任何技 术应用,以制作或改进 特定用途的 产品或工艺过程。

《生物多 样性公约(

1992

)》第

2

条将

遗 传材料

定 义为:来自植物、动物、微生物 或其他来源的任何含有 遗传功能单位的材 料。

《生物多 样性公约(

1992

)》第

2

条将

遗 传资源

定 义为:具有现实或潜在价值的遗 传材料。

《粮食和 农业植物遗传资源国际条约》第

2

条将

粮食和 农业植物遗传资源

定 义为:任 何具有 实际或潜在食品和农业价值的源自 植物的 遗传材料。

• Sui generis

是一个拉丁 语短语,意为 “ 独特 ” 。例如,一 项

sui generis

制度是 专为满足某特定事项需求而创设的 制度。 对制定适用于传统知识保护的

sui generis

制度的 呼吁, 时有耳闻。这将意味着一项与现行知识产权制度截 然不同的新制度,或者是一 项新知识产权或类知识产权制 度。

• • Sui generis

知 识产权已有数例,诸如作物培植者权(得 自《植物新品种保 护国际公约(

1991

)》)、集成 电路 的知 识产权保护(得自《集成电路知识产权华盛顿条约 (

1989

)》)。 在 传统文化表达领域,

WIPO-UNESCO

《保 护民间文艺 表达免受 违法利用和其他损害示范法(

1982

)》 规定了 对于民间文艺表达的

sui generis

保 护。

• • •

WIPO-UNESCO

《保 护民间文艺表达免受违法利用和其他损害示 范法(

1982

)》中,

WIPO

使用 “ 传统文化表达(或民间文艺表达) ” 一 词。 该示范法第二条规定, “ 民 间文艺表达 ” 理解 为反映了一国社区的传统 艺术期望的产品,该产品是由被该社区或个人发展或保存的传统艺术 遗产的典型元素所构成的。但是该示范法仅适用于艺术遗产。 该示范法对于最为典型的民间文艺表达类型也给出了说明性列举,依 照表达形式 细分为四组如下:语言表达(口头),诸如民间传说、民 间诗歌和谜语;音乐表达(音乐),诸如民歌和民间器乐;(人类肢 体的)行 为表达,诸如民间舞蹈、戏剧和宗教仪式的艺术形式;以及 与物 质对象一体化的表达(有形表达),诸如图、绘画、雕刻、雕塑、 陶器、瓦器、 镶嵌、木工制品、金属器皿、珠宝、篮筐编织、刺绣纺 织、地毯服装、乐器、建筑形式。

传统知识的重要性

 维持和保护传统社区自然环境和人文环境 所必不可少的一部分

 文化多元化和可持续发展的关键

 直接或间接使社会受益

文化特征的组成部分 对于土 著和地 方社区 对于他们的美好未来、实现可持续 发展以及保持文化活力至关重要

t

世界观的一个部分,与他们的生活方式、文

Add your text

• •

保存、保 保存和促 护或 “ 拯救 ” 传统文化,避免灭绝之虞,保护文化多样性。 这一点,如果从人类社会的角度来看,是为了尽量多地维持、维护、 进一种传统文化或民族文化的存在和发展,使之不消失或避 免 灭绝之虞(如避免民间艺人或秘方传人 “ 人亡 艺绝、后继无人 ” 的 现 象 发生,例如,据报道,曾被誉为中国四大名锦之一的 “ 蜀 锦 ” 正面 临 其 传统生产工艺后继乏人的危机),以保存人类的文化多样性,促进 人 化 类社会的健康发展;如果从本土居民的角度来看,本目的则可理解 为维持和保护其生存的文化环境和自然环境,使之能够享有基本的文 权利和生存权利。 开 发利用传统知识,以增加本土居民在现代社会中的竞争力,促进传 统知识自身的发展。这有两方面的含义:一方面是防止他人未经许可 的、不合理的使用如非法占有或盗用,另一方面是增 强本土居民的 竞 争力,加 强其 竞争优势,保证其参与正常的竞争活动。随着经济、文 化和科技的全球化,法律或法治也正走向全球化,在此 过程中,本土 居民与 传统文化不可避免地要卷入进来,因此加强对传统知识的保护, 就可 为本土居民争取更好的生存条件,同时也可能促进传统知识对现 代社会的适 应和发展。

• • •

萨摩亚(

Samoa

)的医 疗人员从他们的

mamala tree

传统知识中获取了治疗艾滋 病方面的 药物 加拿大土著居民所掌握的 值 传统的生态学知 识在环境规划和资源管理方面具有很大价 在一些社区, 传统知识为当地的社会、文 化和 经济发展提供了一种新的路径。

传统知识持有人面临的挑战

 适用 现有的知识产权制度保护传统知识 存在 诸多疑问

传统知识开发利用未经持有人的事先知情 同意

传统知识开发利用所得惠益分配不合理

知识产权制度与传统社区的利益与价值 是否相容?或者它是否在社区的集体 利益之上赋予个人以特权? 知识产权制度能否加强土著和地方社区的 文化特性,并在如何管理和利用传统知 识上赋予其更多的发言权、决策权? 知识产权制度是否已经被用作剽窃传 统知识的工具,进而无法保护土著 和地方社区的利益? 如何完善知识产权制度,使其更好 地致力于传统社区利益的保护? 

WIPO

直接听 取持有人的想法 和需求,并以此 来指导自身的工 作。 

WIPO

成立关 于“

IGC

”的政

府间委员会

知 识产权与遗传资源、传统知识和民间文 艺的政府间委员会

Intergovernmental Committee on Intellectual property and Genetic Resources, Traditional Knowledge and Folklore

传统知识的保护模式

积极保护:以既有知识产权体系保护

消极(防御式)保 护:

防止直接利用传统知识申请知识产权 • 修改WIPO现行的专利制度

What are the challenges confronting TK holders?

传统知识的持有者要面对哪些挑战

?

TK holders face various difficulties. In some cases, the very survival of the knowledge is at stake, as the cultural survival of communities is under threat.

传统知识的持有者面临着各种各样的困难。 在某些情况下,由于社区文化的保存受到 威胁,传统知识的保存岌岌可危。

External social and environmental pressures, migration, the encroachment of modern lifestyles and the disruption of traditional ways of life can all weaken the traditional means of maintaining or passing knowledge on to future generations.

和传统生活方式的分崩离析,这三方面削弱了 对传统方式的维持同时也削弱了知识传承下去 的力量。

There may be a risk of losing the very language that gives the primary voice to a knowledge tradition and the spiritual world-view that sustains this tradition.

语言本身也可能有灭绝的危险,而语言又是 知识传统和支撑这一传统的精神世界观的基 本表达形式。

Either through acculturation or diffusion, many traditional practices and associated beliefs and knowledge have been irretrievably lost.

在文化互渗和文化流传过程当中,许多的传 统习俗、信念和知识都已经不可挽回地消失 了。

Thus, a primary need is to preserve the knowledge that is held by elders and communities throughout the world.

因此,保护传统知识最基本的需就是保护全 世界范围内的老一辈人和传统社区所持有的 知识。

Another difficulty facing TK holders is the lack of respect and appreciation for such knowledge.

传统知识持有者面临的另一个困难是外界对于 其持有的传统知识缺乏应有的尊重以及欣赏。

For example, when a traditional healer provides a mixture of herbs to cure a sickness, the healer may not isolate and describe certain chemical compounds and describe their effect on the body in the terms of modern biochemistry, but the healer has, in effect, based this medical treatment upon generations of clinical trials undertaken by healers in the past, and on a solid empirical understanding of the interaction between the mixture and human physiology.

提取并描述某些化学成分以及描述其对人体的作用,但实际上,他的治疗是根据过去 一代代人的临床试验以及对制剂和人体生理学相互作用的坚实经验的理解而得来的。

Thus, sometimes the true understanding of the value of TK may be overlooked if its scientific and technical qualities are considered from a narrow cultural perspective.

因此,如果从狭隘的文化角度看待传统知识的 科学和技术质量,就会不能真正理解其价值。

In fact, many consumers in Western countries are turning to treatments based on TK, on the understanding that such “alternative” or “complementary” systems are soundly based on empirical observation over many generations.

“与现代医学互补的”体系有所理解的情况下,许多的西方消费者现在越 来越倾向于基于传统知识的疗法。

Yet another problem confronting TK holders is the commercial exploitation of their knowledge by others, which raises questions of legal protection of TK against misuse, the role of prior informed consent, and the need for equitable benefit sharing.

这个问题的出现针对传统知识的滥用、优先知情同意的作用以及公平的 惠益分享的必要性三方面内容提出了法律保护问题。

Informed Consent

知情同意:

指在与当事人确立咨询关系之前,咨询师有责任向当事人说明自己 的专业资格、理论取向、工作经验、咨询或治疗过程、治疗的潜在 风险、目标及技术的运用以及保密原则与咨询收费等,以利于当事 人自由决定是否接受咨询或治疗。 (属于药品临床试验专业词汇)

Cases involving natural products all bear evidence to the value of TK in the modern economy.

涉及天然产品的案件全都证明了传统知识 在现代经济中的价值。

A lack of experience with existing formal systems, limited economic resources, cultural factors, lack of a unified voice, and, in many cases, a lack of clear national policy concerning the utilization and protection of TK, results in these populations often being placed at a decided disadvantage in using existing IP mechanisms.

对于现有的正式体制缺乏经验、缺少经济资源、文化要素、缺乏一致性以及许 多情况下没有关于传统知识利用和保护的明确国家政策等,这些人口在利用现 有知识产权机制方面经常处于极为不利的地位。

At the same time, the lack of understanding and clear rules concerning the appropriate use of TK creates areas of uncertainty for those seeking to use TK in research and development of new products.

同时,缺乏对适当使用传统知识的理解和明确的 规则,这使得对于在使用传统知识研究和开发新 产品的过程中产生了许多不确定的领域。

There is a common need for well-established, culturally appropriate and predictable rules both for the holders and legitimate users of TK.

因此无论对传统知识持有人还 是其合法使用者,都需要制订 公认的、文化上恰当的而且能 够预测的规则。

A further challenge is to address the international dimension of the protection of TK and benefit sharing for associated genetic resources, while learning from existing national experiences.

另一项挑战是在研究各国经验的同时,解决 传统知识保护和有关遗传资源惠益分享国际 层面的问题。

Only through the participation of communities and countries from all regions can this work go forward to produce effective and equitable outcomes that are acceptable to all stakeholders.

只有通过各地区各部族社会和国家的参加,这 项工作才能继续开展,才能产生被所有的利益 相关者所接受的,有效的和公平的结果。

These challenges are diverse and far-reaching, and involve many areas of law and policy, reaching well beyond even the most expansive view of intellectual property.

这些挑战多种多样的并且广泛深远,并涉 及许多领域的法律和政策,远远超出知识 产权制度最广泛的考虑。

Many international agencies and processes are engaged on these and related issues. But responses to these problems should be coordinated and consistent, and need to provide mutual support for broader objectives.

许多国际机构和工作程序是处理这些问题及 相关问题的。但这些问题的解决方法应该是 协调一致,需要为更大的目标提供相互支持。

For instance, IP protection of TK should recognize the objectives of the CBD concerning conservation, sustainable use and equitable benefit-sharing of genetic resources.

例如,传统知识的知识产权保护应该承认 《生物多样性公约》关于保护,可持续利用 和公平分享遗传资源的目标。

In general, the preservation and protection against loss and degradation of TK should work hand-in-hand with the protection of TK against misuse and misappropriation.

总之,保护传统知识使之不会丧失和退化 应和保护传统知识不被滥用或不正当使用 结合进行。

So when TK is recorded or documented with a view to preserving it for future generations, care needs to be taken to ensure that this act of preservation doesn’t inadvertently facilitate the misappropriation or illegitimate use of the knowledge.

因此,在记录整理传统知识以便将其保存备子孙 后代使用时,要注意这种保护行为不会因疏忽而 造成这些知识的不正当或不合法的使用。

Oryza longistaminata grows in the marshes and river banks of Mali.

Oryza longistaminata

米,生长在马里的河岸和沼泽。

Oryza longistaminata is a wild rice growing in Mali . Local farmers considered it a weed, but the migrant community developed detailed knowledge of its agricultural value. The Bela community developed systematic understanding of the distinct properties of this and other kinds of rice, and recognized that plants.

Bela oryza longistaminata has stronger resistance to diseases such as rice blight than many other local kinds of rice. Guided by this traditional knowledge, researchers subsequently isolated and cloned a gene named Xa21, which conferred this resistance in rice Oryza longistaminata

是生长在马里的野生水稻。当地农民认为它是野草,但 游移的

Bela

部族却具有关于其农业价值的详细知识。

Bela

部族系统地了解了这 种水稻和其它水稻的不同特征,认识到与其它水稻品种相比,

Oryza longistaminata

对水稻枯萎病等疾病具有更强的抵抗能力。依据这种传统知识, 研究人员随即分离并克隆了基因

Xa21

,使水稻具有了这种抵抗能力。(长雄蕊 水稻,基因克隆技术)

传统知识持有者所面临的重要挑战:

• • • • 传统社区文化受到威胁

外界

对传统知识缺乏应有的重视

不当的商

业开发

际维度下对传统知识和遗传资源的惠益分享

的保

护力度有待完善

应如何回应挑战: • • 国际机构为实现更大目标应协调一致相互支持 不要因疏忽致使传统知识被不正当不合法利用

Key Concepts

Definitions and use of terms

Traditional Knowledge and Traditional CulturalExpressions

TCE

/Folklore

The

tradition

in TK

1.

是否能

够对多样化的传统知识作

出一个定

义?

2.

如何保

护传统知识?

1.No single definition would fully do justice to the diverse forms of knowledge that are held by traditional communities 2.the complex social and legal systems that sustain TK within the original communities

the application of laws to prevent unauthorized or inappropriate use of TK by third parties beyond the traditional circle.

refocus existing legal laws or to create new ones to clarify and strengthen the legal constraints against various forms of misuse or misappropriation of TK.

返回

1.

传统知识和传统文化表达形式的

类与关系:

a,

传统知识的形式包括传统技能、 创新、实践做法、以及农业、环境

和医

疗知识等。

b,

传统文化表达形式的种类包括歌

曲、圣歌、故事、

图案、设计等。

1,Thai traditional healers use plao-noi to treat ulcers

(泰国的 传统医疗者运用

plao-noi

治 疗溃 疡);

2

The San people use hoodia cactus to stave off hunger while out hunting

(桑人外出打 猎时利用

hoodia

仙人掌充 饥);

3

Sustainable irrigation is maintained through traditional water systems such as the aflaj in Oman and Yemen, and the qanat in Iran

(通 过传统水利体系保留可持续灌溉,如阿曼和也门的

aflaj

水利灌 溉系统和伊朗的卡纳特暗渠灌溉系统)

4

Cree and Inuit maintain unique bodies of knowledge of seasonal migration patterns of particular species in the Hudson Bay region

(克里人和因 纽特人对哈德逊湾地区某些物种季节性迁徙 情况具有特殊知 识)

5

Indigenous healers in the western Amazon use the Ayahuasca vine to prepare various medicines, imbued with sacred properties. (

西 亚马孙地区土著医疗者 使用藤蔓制作各种 药物,这些药物具有神圣的色彩

)

c,

传统知识与传统文化表达形式的关系

——

不可分离的整体 (

Thismeans that for many communities TK and its form of expression are seen as an inseperable whole.for example

A traditional tool may embody TK but also may be seen as a cultural expression in itself by virtue of its design and ornamentation

。)

2.

对传统知识和传统文化表达形式的保护方式:

a,

一部

综合性的法律一并保护。( the same body of customary law is likely to apply to both TK and TCEs

the two aspects are protected under the one comprehensive law

b,

不同的法律机制保

护。( Protection of TCEs also touches directly on other policy areas, such as cultural and artistic policy.It is a policy and legal domain that is in practice distinct from,but related to, protection of TK

返回

1,

何 为 “ 传统 ” 知 识

—TK created in the past environment.

or spiritual identity.

dynamic or evolved TK as individuals and communities respond to the challenges posed by their social A community might see TK as part of their cultural

2,

保 护

TK

应考虑的要点

—principally benefit the holders of the knowledge

Representatives of these communities often stress that the approach to protection should take account of their customary laws and practices

their needs and expectations.

3

,保

TK

的意

与保

护生物的

样性具有紧密的联系。(

with plants Some TK is closely associated and other biological resources,So the protection of TK is often closely linked to protection of biodiversity

In South India the medicinal knowledge of the Kani tribes led to thedevelopment of a sports drug named Jeevani, an anti-stress and anti-fatigue agent, based on the herbal medicinal plant arogyapaacha. Indian scientists at the Tropical Botanic Garden and Research Institute (TBGRI) used the tribal know-how to develop the drug.The knowledge was divulged by three tribal members, while the customary rights to the practice and transfer of certain traditional medicinal knowledge within the Kani tribes are held by tribal healers, known as Plathis.

The scientists isolated 12 active compounds from arogyapaacha, developed the drug Jeevani, and filed two patent applications on the drug. The technology was then licensed to the Arya Vaidya Pharmacy, Ltd., an Indian pharmaceutical manufacturer pursuing the commercialization of Ayurvedic herbal formulations. A trust fund was established to share the benefits arising from the commercialization of theTK-based drug.

例子:在南印度由卡尼部落所掌握的

传统医疗知识使得

吉瓦尼(

JEEVANI

这种抗压抗疲劳的运动员用药得以 发展,与草本医疗植物相关的该传统医疗知识是通过卡尼

部落的三个成

员所泄露(在该部落只有部落首领有着使用

转让传统医疗知识的习惯性权利)而由热带植物园研究

院的科学家利用后

发明了药物,并就此药物申请了两项专

利。之后,圣凡迪

亚药房(一个致力于使中草药配方商业

化的印度公司)

获得使用该项技术的许可。建立了一个信

托公司来分享利用

传统知识制作的药物所产生的利益。

Positive Protection – Recognition of IP Rights in TK

积极保护机制

——

传统知识的知识产权确认

abstract 1. Use of existing intellectual property laws 2. Adaptations of existing IP through sui generis measures

摘要 1.现有知识产权保护模式 2.通过专门措施改良的知识产权模式

Diversity is the very essence of TK system precisely because they are so closely intertwined with the cultural identity of many diverse communities. It is therefore not surprising that practical experience so far with the protection of TK has shown that no single template or comprehensive“one-size-fits-all” solution is likely to suit all the national priorities and legal environments, let alone the needs of traditional communities in all countries. 多样性恰恰是传统知识体系的本质,因为它们与许多不同社 区的文化身份紧密联系。因此不足为奇地,到目前为止的传统知 识保护的实践经验表明不存在单一模板或者综合的千篇一律的解 决方案能够适合所有国家优先权和法律环境,更不用说满足所有 国家的传统社区的需要。

Instead, effective protection may be found in a coordinated “menu” of different options for protection. This could perhaps be underpinned by an internationally agreed set of common objectives and core principles that could form part of the international legal framework.

相反有效的保护方法可能会在不同保护选择的协调“菜 单”中找到。它由共同目标和核心原则的国际共识支持, 这些构成国际法律框架的一部分。

The key is to provide TK holders with an appropriate choice of forms of protection, to empower them to assess their interests and choose their own directions for the protection and use of their TK, and to ensure there is adequate capacity to carry through protection strategies.

关键是为传统知识持有者提供一个保护方式的适当选择, 以授权他们评估自己的利益、选择他们自己的保护和使用 传统知识的方向以及确保具有贯彻保护策略的足够能力。

The way in which a protection system is shaped and defined will depend to a large extent on the objectives it is intended to serve. Protection of TK, like protection of IP in general, is not undertaken as an end in itself, but as a means to broader policy goals. 保护系统形成和确定的方法在很大程度上依赖于它意图达到 的目标。传统知识的保护一般而言就像知识产权的保护,保护 并不是最终目的,它是作为一种拓宽政策目标的手段。

The kind of objectives that TK protection is intended to serve include:  Recognition of value and promotion of respect for traditional knowledge systems  Responsiveness to the actual needs of holders of TK  Repression of misappropriation of TK and other unfair and inequitable uses  Protection of tradition-based creativity and innovation  Support of TK systems and empowerment of TK holders  Promotion of equitable benefit-sharing from use of TK  Promotion of the use of TK for a bottom-up approach to development 传统知识意图达到的目标的种类包括:  承认传统知识的价值以及促进对它的尊重  反应传统知识持有者的实际需要  阻遏对传统知识的不当占用和其他不公平、不公正使用  保护基于传统的创造和创新  支持知识产权制度和持有者许可制度  促进传统知识使用的公平利益分享  促进对传统知识的使用以实现自下而上的发展

The diversity of already existing TK protection systems and the diversity of the needs of TK holders require a degree of flexibility in how the objectives are implemented at the national level. A similar situation prevails in other branches of IP law as existing IP instruments give countries flexibility in how they make protection available.

现存传统知识保护体系的多样性和传统知识持有者需求的 多样性要求这些目标在国家层面的贯彻具有一定灵活性。由于 现存的知识产权保护工具使国家如何做出有效保护具有灵活性, 因此相似的情形存在于知识产权保护法律的其他分支中。

The options for positive protection include existing IP laws and legal systems (including the law of unfair competition), extended or adapted IP rights specifically focussed on TK (sui generis aspects of IP laws), and new, stand-alone sui generis systems which give rights in TK as such. 积极保护方式包括现有的知识产权保护法律和法律体系 (包括不公平竞争法)、扩展的、改良的明确侧重于传统知识 的知识产权(是指知识产权法律的专门制度)和同样给予传统 知识以权利的新的、独立的专门体系。

Other non-IP options can form part of the overall menu, including trade practices and labeling laws, the law of civil liability, the use of contracts, customary and indigenous laws and protocols, regulation of access to genetic resources and associated TK, and remedies based on such torts as unjust enrichment, rights of publicity, and blasphemy.

其他的非知识产权保护模式构成了总体菜单的一部分,它包 括贸易惯例与标签法、民事责任法、合同的使用、习惯法、 本土法律、获得遗传资源和相关传统知识的协议、规则以及 针对不当得利、公开权、诽谤之类的侵权行为的救济方法。

Each of these has aspects of TK – some examples of the use of IP rights are discussed in the WIPO publication “Consolidated analysis of the legal protection of traditional knowledge”. For a brief practical introduction to trade marks and designs, see “Making a Mark”, WIPO publication No. 900E and “Looking Good”, WIPO publication No. 498E. Future guides in this same series will cover patents and copyright.

它们中每种方式都是针对传统知识的几个方面。在世界 知识产权组织出版物“传统知识法律保护的综合分析” 中讨论了使用知识产权模式的一些例子。关于商标和外 观设计的简要实务介绍请看 WIPO 编号为 900E 的出版物 “做一个标记”和 WIPO 编号为 498E 的出版物“看起来更 好”。同一系列的未来指南将会包括专利和版权。

On the ground, TK holders already use an array of legal tools to safeguard their interests, drawing on IP laws and other areas of law as needed. This requires access to skills and resources. A number of NGOs are stepping in to support local communities in contractual negotiations and IP strategies (including on TK) concerning access to genetic resources and traditional knowledge. For example, the Centre for Research-Information-Action in Africa - Southern Africa Development and Consulting (CRIAA SADC) assists local communities in Namibia in the sustainable exploitation of natural 依据所需的知识产权保护法律和其他领域的法律,传统知识 持有者实地使用一系列法律工具保护他们的利益。这需要技巧和 财力。许多非政府组织支持本地社区通过介入合同谈判和关于遗 传资源和传统知识获得的知识产权策略(包括关于传统知识的) 比如,南部非洲发展与咨询组织的南部非洲问题研究资料联合会 帮助纳米比亚的本地社区可持续地开发自然资源。

1. Use of existing intellectual property laws 现有知识产权保护模式

The policy debate about TK and the IP system has underlined the limitations of existing IP laws in meeting all the needs and expectations of TK holders. Even so, existing IP laws have been successfully used to protect against some forms of misuse and misappropriation of TK, including through the laws of patents, trademarks, geographical indications, industrial designs, and trade secrets. 关于传统知识和知识产权体系的政策讨论强调了现存知识产 权法律的局限,不能满足传统知识持有者的所有需要和期待。尽 管如此,现存知识产权法律能够成功防止某些形式的传统知识不 当使用和不当占用,包括通过专利法律、商标法律、地理标志法 律、工业设计法律、商业秘密法律。

However, certain adaptations or modifications to IP law may be needed to make it work better. For example, TK is often held collectively by communities, rather than by individual owners – this is often cited as a drawback in protecting TK. Yet it is possible to form associations, community corporations or similar legal bodies to act on behalf of the community. In some countries, government agencies take an active role acting in trust for the community. Some forms of protection, such as remedies against unfair competition and breach of confidence, do not require specific right holders. 然而,为了更好地发挥作用,知识产权法律需要一些改制和修 改。比如,传统知识一般为社区共同持有,而不是个人拥有, 这经常作为传统知识保护的一个缺陷。但是通过组建协会、社 区公司或者相似的法律机构来代表社区是可能的。在一些国家, 政府机构在管理社区行动中扮演了积极角色。有些形式的保护 比如对不公平竞争和泄露机密的救济方法并不需要特定的权利 持有者。

Communities’ concerns about TK typically span generations, a much longer timeframe than the duration of most IP rights. But some IP rights, especially those that rely on a distinctive reputation, can continue indefinitely. There are also concerns that the cost of using the IP system is a particular obstacle for TK holders.

社区对传统知识的保护通常跨越好几代,它比大多数知识产权 的持续时间长。但是一些知识产权特别是依赖特别名誉的那些, 也可以无限期地持续下去。会有这样的担忧,使用知识产权体 系对于传统知识持有者是一个特定的障碍。

This has led some to explore capacity building, evolution of legal concepts to take greater account of TK perspectives, the use of alternative dispute resolution, and a more active role for government agencies and other players.

这导致了加强能力建设、改变法律观念以更多考虑传统知识 的前景、使用替代争端解决、政府机构和其他参与者扮演更 积极地角色。

Existing IP rights have been used in the following ways: 现有知识产权保护模式包括以下方法: Unfair competition and trade practices laws 不公平竞争法和贸易习惯法 Patents 专利 Distinctive signs (trade marks, collective marks, certification marks, geographical indications) 独特的标志(商标、集体商标、证明商标、地理标志) The law of confidentiality and trade secrets 保密与商业秘密法律

–Unfair competition and trade practices laws: these allow for action to be taken against false or misleading claims that a product is authentically indigenous, or has been produced or endorsed by, or otherwise associated with, a particular traditional community. — 不公平竞争法和贸易习惯法:允许对虚假或误导性 的宣称采取行动,这些宣称是指“产品确实是土著的、 产品由特定的传统社区生产或批注或者与传统社区有 关联”。

For instance, a company has been legally barred from describing various hand-painted products as “certified authentic” and “Aboriginal art” when they were not painted by Aboriginal people and had not undergone any certification process.

例如,当在手绘产品不是由原住民描绘和未经过任何 认证程序的情况下,可以基于“真实注册”和“原住 民艺术”合法地禁止一个公司描述各种手绘产品。

–Patents: when practitioners innovate within the traditional framework, they have been able to use the patent system to protect their innovations.

— 专利:当实践者在传统框架内作出创新时,能够用 专利制度来保护他们的创新。

For example, in 2001 China granted 3300 patents for innovations within the field of Traditional Chinese Medicine (see box on p.19). Equally, systems have been developed to ensure that illegitimate patent rights are not granted over TK subject matter that is not a true invention (see “defensive protection” below).

比如,中国在 2001 年为传统中医药领域的创新授予了 3300 项专利。同样地,这个制度也可以确保不授予超 出传统知识主旨的不合法专利权利,因为这里的创新 并不是真正的发明创造(请看下面的“防御性保 护”)。

An international application under the Patent Cooperation Treaty (PCT), No. 2004/052382 A 1, on the use of traditional chinese medicine (TCM) to reduce blood-fat, which claims an invention that combines teaching of TCM with modern medicine 专利合作条约下的一个关于传统中药降低血脂的国 际专利申请,主张作为一个结合传统中医方法和现 代医学的发明创造 看小册子上的举例

P21

–Distinctive signs (trade marks, collective marks, certification marks, geographical indications): traditional signs, symbols and terms associated with TK have been protected as marks, and have been safeguarded against third parties’ claims of trade mark rights.

— 独特的标志(商标、集体商标、证明商标、地理标 志):与传统知识有关的传统标志、符号和术语作为商 标进行保护,并且防止第三方对它的商标权利要求。

For instance, the Seri people of Mexico, faced with competition from mass production, registered the Arte Seri trademark to protect authentic ironwood products that are produced by traditional methods from the Olneya tesota tree. 比如,墨西哥的塞里人面对批量生产的竞争,他们 注册了 Arte Seri 商标来保护真正的铁木产品,这些铁 木产品取材于 Olneya tesota 树,以传统方法造成。

Conservation of this unique species of tree was also a factor in protecting the trademark.Also in Mexico, the appellations of origin olinalá and tequila are used to protect lacquered wooden products and the traditional spirit derived from the blue agave plant, both products of traditional knowledge that derive their unique characteristics also from the indigenous genetic resources of these localities.

对稀有树木的保育也是保护商标的因素之一。也是在墨 西哥, olinalá 和龙舌兰酒的原产地名称被用来保护漆木 制品和以蓝色龙舌兰为原料的传统烈酒。这两种传统知 识产品的独特性源自这些地区的本土遗传资源。

–The law of confidentiality and trade secrets: this has been used to protect non-disclosed TK, including secret and sacred TK. Customary laws of communities often require that certain knowledge be disclosed only to certain recipients. Courts have awarded remedies for breach of confidence when such customary laws are violated. — 保密与商业秘密法律:保护的是非公开的传统知识, 包括秘密的和神圣的传统知识。社区习惯法通常要求 特定知识只对特定接受者公开。当这些习惯法被违反 时,法院判定对泄密作出赔偿。

A group of North American indigenous communities, the Tulalip Tribes, have developed Storybase, a digital collection of their TK. Some of the TK may be disclosed for patent review. Community leaders identify other information as for use exclusively within the Tulalip community, according to customary law; the latter is protected as undisclosed information. Digital repatriation projects that involve the restoration of indigenous knowledge to original communities often need to apply confidentiality carefully to comply with customary law constraints on access to the knowledge.

Tulalip 部落,一组北美土著社区,建立了“ Storybase” 数据库, 实现传统知识收集数字化。其中一些传统知识可能经过专利审 查才能公开。根据习惯法,至于在 Tulalip 社区内的排他使用, 社区领导者需要识别其他信息;后者作为未公开的信息进行保 护。包含有原始社区本地知识复原的数字遣返项目常常需小心 翼翼地使用秘密,以遵守习惯法对传统知识使用的约束。

Case Study from “Stopping the Rip-offs”, Australian Attorney-

General’s Department at

www.ag.gov.au

Publication of sacred-secret materials has been successfully prevented using a breach of confidence action. In Foster v Mountford members of the Pitjantjatjara Council obtained an interlocutory injunction, on the basis of breach of confidence, to restrain the publication of a book entitled Nomads of the Australian Desert. 澳大利亚司法部的“停止盗窃”项目中的一个案例研究 神圣 秘密资料的出版有效的阻止利用泄密行为。在 Foster 诉 Mountford 案中皮坚加加拉委员会的成员获得了一项中间禁 令来制止一本名为“澳大利亚沙漠中的游牧民族”的书的出版, 由于它违反了保密责任。

The plaintiffs successfully argued that the book contained information that could only have been supplied and exposed in confidence to the anthropologist Dr Mountford, thirty-five years ago. The plaintiffs also successfully argued that the “revelation of the secrets contained in the book to their women, children and uninitiated men may undermine the social and religious stability of their hard-pressed community”.

35 年前,原告成功地辩解道这本书所包含的内容只能以秘密 的方式向人类学家 Mountford 教授提供和揭露。原告又成功地 辩解道“向妇女、儿童以及不知情的人揭露本书中所包含的 秘密会破坏他们处于困境的社区的社会和宗教稳定性”

2. Adaptations of existing IP through sui generis measures 通过专门措施改良的知识产权模式

A number of countries have adapted existing intellectual property systems to the needs of TK holders through sui generis measures for TK protection. These take different forms. 一些国家通过传统知识保护的专门措施来修改现存 的知识产权体系以满足传统知识持有者的需要。它 们采取不同形式修改。

A Database of Official Insignia of Native American Tribes prevents others from registering these insignia as trademarks in the United States of America. New Zealand’s trade mark law has been amended to exclude trademarks that cause offence, and this applies especially to Indigenous Maori symbols. India’s Patent Act has been amended to clarify the status of TK within patent law. The Chinese State Intellectual Property Office has a team of patent examiners specializing in traditional chinese medicine.

印第安那人部落的官方标记数据库阻止别人把这些标记在 美国注册为商标。新西兰州的商标法律已被修改来排除违 法的商标,这特别适合于土著毛利人符号的保护。印度的 专利法案在专利法框架内做出修改来阐明传统知识的地位。 中国国家知识产权局拥有一组专门从事传统中医药的专利 审查员。

summary The practical experience so far has shown that no single template or comprehensive“one-size-fits-all” solution is likely to suit the protection of TK . The key is to provide TK holders with an appropriate choice of forms of protection. The options for positive protection include existing IP laws and legal systems , Adaptations of existing IP through sui generis measures, and new, stand-alone sui generis systems. Despite the limitations of existing IP laws ,they have been successfully used to protect against some forms of misuse and misappropriation of TK, including through the laws of patents, trademarks, geographical indications, industrial designs, and trade secrets. Existing intellectual property systems have been adapted to meet the needs of TK holders through sui generis measures for TK protection. These take different forms.

What kind of legal protection for TK?

• The protection of TK is important for • communities in all countries, particularly in • developing and least developed countries.

• •

传统知识的保护对于社会各界都很重要,特别是 对于 发展中国家 和 最不 发达国家 。

First

, TK plays an important role in the economic and social life of those countries.

Placing value on such knowledge helps strengthen cultural identity and the enhanced use of such knowledge to achieve social and development goals , such as sustainable agriculture, affordable and appropriate public health, and conservation of biodiversity A 加强文化认同

Second

, developing and least developed countries are implementing international agreements that may affect how knowledge associated with the use of genetic resources is protected and disseminated , and thus how their national interests are safeguarded . 发展中国家和最不发达国家正在执行国际条约,这会影响到与 遗传资源有关的知识怎样得以保护和传播,以及他们的国家利 益如何得到保护 。

international coordination and cooperation

Patterns of ownership of TK

,

cultural, scientific and commercial interest in TK

,

the possibilities for beneficial partnerships in research and development

, and

the risk of the misuse of TK

, are not neatly confined with in national boundaries, so that some degree of international coordination and cooperation is essential to achieve the goals of 可能性的研究和发展,滥用传统知识的风险,这些都不应受到国界的限制。所以某 TK protection.

A comprehensive strategy for protecting TK should therefore consider the

community

, national , regional and international dimensions.

一个保护传统知识的通盘战略应该包括社会团体、国 家、区域和国际等方面。 The stronger the integration and coordination between each level, the more likely the overall effectiveness .

每一层面的协调综合性越强,越容易获得整体效应。

• Current situation • Many communities, countries and regional • organizations are working to address these • levels respectively . National laws are • currently the prime mechanism for achieving

• protection and practical benefits for TK

• holders. 许多社会团体、国家和区域性组织都在单独地从事这些 层面的事务。 对于传统知识的拥有者,国内法也是目前保护传统知和 获得实际利益的主要机制。

• For instance, Brazil, Costa Rica, • India, Peru, Panama, the Philippines, • Portugal, Thailand and the United States of • America have all adopted sui generis laws • that protect at least some aspect of TK

• A WIPO background paper entitled“Consolidated analysis of the legal protection of traditional knowledge”analyses these laws in more detail.

世界知识产权组织的一份题为“综合分析传统知识的法律 保护”的背景文件更加细致地分析了这些立法。

• In addition, a number of regional organizations , such as in the South Pacific and in Africa, have been working on defining the specific rights in TK and how to administer them. 另外,一些区域性组织,比如南太平洋和非洲,已经在 从事界定这些特殊权利以及如何管理它们。

protections

• Some common elements • Effective participation by TK holders • international legal framework • Other important international instruments

some common elements • While there are diverse national and regional approaches to protection, reflecting the diversity of TK itself and its social context, some common elements arise in policy debate. 一些共同因素在政策争论中 的地位上升 •

For instance

, it is stressed that protection should reflect the aspirations and expectations of TK holders and should promote respect for indigenous • and customary practices, protocols and laws as far as possible. 强调保护措施应该反映出传统知识拥有者的愿望和期待, 并应该尽可能地促进对本土的习惯做法、协议、法律的尊重

Effective participation by TK holders • Economic aspects of development need to be addressed and the effective participation by TK holders is also important, in line with the principle of prior informed consent. TK protection should also be affordable, understandable and accessible to TK holders.

The view is widely voiced that holders of TK should be entitled to fair and equitable sharing of benefits arising from the use of their knowledge.

传统知识的保护对于传统知识拥有者来说应该是负担得起的、可以理解的、容易 得到的。这一观点广泛地表达了传统知识拥有者应该被赋予公平合理地享有利用 他们的知识所得惠益的权利。

The international legal framework

• The international legal framework, within and beyond the IP system, is also an important consideration. Where TK is associated with genetic resources, the distribution of benefits should be consistent with measures established in accordance with the Convention on Biological Diversity (CBD), providing for sharing of benefits arising form the utilization of the genetic resources. 在知识产权体系内外的国际法律框架也是一个重要的因素。当传统知识是与遗传 资源有关的,利益分配机制就应该与生物多样性公约所确立的分配方法一致,提 供一种分享由利用遗传资源而产生的惠益的机制。

Other important international instruments • the International Treaty on Plant Genetic Resources for Food and Agriculture of the Food and Agriculture Organization (FAO) 粮食和农业植物遗传资源国际公约、联合国粮农组织 • the International Union for the Protection of New Varieties of Plants (UPOV) 国际植物新品种保护联盟 • the UN Convention to Combat Desertification (UNCCD

)

联合国防治荒漠化公约

Other areas of international law , notably human rights and cultural policy , are also part of the context for protection of TK.

其他领域的国际法律,尤其是人权和文化政策,也是保护传统知识的 领域的一部分。

Forms of protection

• positive protection : giving TK holders the right to take action or seek remedies against certain forms of misuse of TK; 给予传统知识拥有者权利以采取行动或者寻求补救措施以应对特 定形式的滥用传统知识的权利。

• defensive protection : safeguarding against illegitimate IP rights taken out by others over TK subject matter.

防止他人从传统知识项目中取得非法的知识产权。

• Stakeholders have stressed that these two • approaches should be undertaken in a complementary way . A comprehensive • approach to protection in the interests of • TK holders is unlikely to rely totally on one

• form or the other.

利益相关者强调这两种方法应该相互补充实施。一个保护传统知 识拥有者利益的全面保护措施不太可能完全靠其中一种或另外一 种。

The international policy framework

Environment Health Trade and Development Food and Agriculture Indigenous Rights Intellectual Property

Environment

• The United Nations Environment Programme (UNEP) 联合国环境规划署 • Convention on Biological Diversity (CBD) 生物 多样性公约 • the UN Convention to Combat Desertification (UNCCD) 联合国防治荒漠化公约

UNEP

• UNEP provides leadership and encourages partnerships in caring for the environment by inspiring , informing and enabling nations and people to improve their quality of life without compromising that of future generations.

联合国环境规划署在保护环境方面提供了领导力并且鼓励合作, 通过鼓励,报告和授予国家和个人提高他们的生活质量的权利, 同时又不损害后代人的权利。

UNEP

In the framework of its Capacity-building Initiative, UNEP works to observe, monitor and assess the state of the global environment , and improve the scientific understanding of how environmental change occur, and how such change can be managed by action-oriented national policies and international agreements.

在它的能力建设行动中,联合国环境规划署致力于观察、监督和 评估全球环境的情况,提高关于环境变化是如何产生的科学理解, 以及如何通过导向性的国家政策和国际协议来解决这些变化。

CBD

• Provisions on the respect and recognition of TK are a key element of the CBD , and important work is under way within the CBD framework to implement these provisions 尊重和承认传统知识的条款是生物多样性公约的一项关键内容,并 且在生物多样性框架公约下,一些重要的工作正在执行这些条款。

UNCCD

• UNCCD provided for the protection of traditional knowledge in the ecological environment as well as the sharing of benefits arising from any commercial utilization of this TK

联合国防治荒漠化公约提出了在生态环境中保护传统知识,以及对传 统知识的商业利用获得的收益的分享机制。

Health (WHO)

In 1978, the World Health Organization (WHO) first recognized the relevance of traditional medicine as a source of primary health care in the Primary Health Care Declaration of Alma Ata . The topic has been addressed since 1976 by the WHO Traditional Medicine Team, including through the development of the WHO Traditional Medicine Strategy.

1978 年,世界卫生组织首次在 初级卫生保健阿拉木图宣言 中承认了传统医药作为一种 初级卫生保健来源。这一议题自从 1976 年被 WHO 传统医药组确定,它包括了 WHO 的 传统医疗策略的全部发展。

Trade and Development

• TRIPS

与贸易有关的知识产权协定

• the United Nations Conference on Development (UNCTAD)

联合国贸易和发展会议

• The United Nations Development Programme (UNDP)

联合国开发计划署

TRIPS

• While TRIPS has no specific provisions on the issue of traditional knowledge, the relationship between TK and TRIPS standards has been a subject of active debate and a number of proposals. The Doha Declaration adopted, at the Doha WTO Ministerial Conference, in 2001, instructed the TRIPS Council to examine inter alia the protection of TK and folklore TRIPS没有关于传统知识的特别条款,因此传统知识和TRIPS标准的关系成为 激烈争论的主题和一些建议书的主要内容。2011年多哈部长级会议提出的多 哈宣言指示TRIPS理事会特别检验传统知识和民间文学艺术的保护措施

UNCTAD

• In 2000, UNCTAD in its Plan of Action stressed the importance of studying ways to protect traditional knowledge , innovations and practices of local and indigenous communities and enhance cooperation on research and development on technologies associated with the sustainable use of biological resources.

2000年,联合国贸易和发展会议在它的行动计划中强调学习保护传统知识的 方法的重要性,土著和地方社区的创新和实践的重要性,提高关于可持续利 用生物资源技术的研发的合作。

UNCTAD

At its Eleventh Session, in 2004, UNCTAD adopted the Sao Paolo Consensus , which referred to “lack of recognition of intellectual property rights for the protection of traditional knowledge” as an issue in assuring development gains for the international trading system and trade negotiations.

在它的第十一次会议中,联合国贸易与发展会议通过了圣保罗共 识,该共识涉及到将“缺少对传统知识的知识产权保护的承认” 作为一项事务,以确保国际贸易体系和贸易磋商的发展利益。

UNDP

• UNDP conducts extensive capacity building work on TK, including on aspects of legal protection and quitable benefit- sharing

.

联合国开发计划署进行了大量的能力建设工作,包括法律保护和惠益 共享方面。

Food and Agriculture

(FAO)

International Undertaking on Plant Genetic Resources (IUPGR)

国际植物遗传资源承诺

• International Treaty on Plant Genetic Resources for Food and Agriculture

粮食和农业植物遗传资源国际条约

• In 1983 the UN Food and Agriculture Organization (FAO) adopted the International Undertaking on Plant Genetic Resources (IUPGR), as a non-binding instrument to ensure that plant genetic resources for food and in order agriculture will be for preserved , explored and plant breeding and scientific purposes.

made available • 1983年联合国粮食与农业组织通过了国际植物遗传资源承诺,作 为一项无约束力的手段,确保粮食和农业植物遗传资源得以保存, 开发,并被植物育种和科学目标所利用。

• 1989 the FAO Conference recognized Farmers’ Rights and in 1991 it agreed that Farmer’s Right would be implemented through an international fund for plant genetic resources • 1989年FAO会议承认了农民权益, 1991年,FAO会议同 意农民权益应通过一项国际基金来执行。

• 1993, the FAO Conference decided to renegotiate the International Undertaking as a binding international instrument in harmony with the CBD and for the realization of Farmers Rights.

• 1993年,FAO会议决定重新商议国际承诺作为 一项有约束力的国际方法,与CBD一致并且用 来实现农民权益。

• After seven years of negotiations, the FAO Conference dopted the International Treaty on Plant Genetic Resources for ations , the FAO Conference adopted the International Treaty on Plant Genetic Resources for Food and Agriculture which provides in Part III for the recognition of farmers’ rights, including “the protection of traditional knowledge relevant to plant genetic resources for food and agriculture.

经过

7

年的磋商,

FAO

会议通过了粮食和农业植物遗传资源国际 条约,该条约在第三部分承认了农民权益

,

包括了保护与粮食和农 业植物遗传资源有关的传统知识

Indigenous Rights

• the Declaration on the Rights of Indigenous Peoples 联 合国原住民权利宣言 • • The draft refers to the entitlement of indigenous peoples in relation to their cultural and intellectual property.

该草案涉及原住民的文化和知识产权

Intellectual Property

• fact-finding missions 真相调查团

• WIPO Intergovernmental Committee on Intellectual Property and Genetic Resources , Traditional Knowledge and Folklore 传统知识和民间文学艺术政府间委员会 • International Union for the Protection of New Varieties of Plants (UPOV) 国际植物新品种保护公约

fact-finding missions

• During 1998 and 1999 WIPO conducted fact finding missions in 28 countries in order to identify the IP- related needs and expectations of traditional knowledge holders • The results of the missions were published by WIPO in a report entitled “Intellectual Property Needs and Expectations of Traditional Knowledge Holders: WIPO Report on Fact-finding Missions (1998- 1999)” (FFM Report).

1998年至1999年,世界知识产权组织在28个国家组建了的真相调查团以确定与 知识产权相关的传统知识拥有者的需求和愿望。结果被WIPO出版在一份题为 “传统知识拥有者的知识产权需求和愿望—WIPO的真相调查团报告”中。

WIPO Intergovernmental Committee on Intellectual Property and Genetic Resources, in addressing both policy and practical linkages between the IP system and the concerns of practitioners and custodians of traditional knowledge.

• 该委员会已经在解决政策和实践的联系中取得了实质性进 步,这种联系是在知识产权体系与传统知识的实践者、管 理者间的。

WIPO Intergovernmental Committee on Intellectual Property and Genetic Resources, international policy debate and assisted in the development of practical tools. Drawing on this diverse experience, the Committee is moving towards an international understanding of the shared objectives and principles that should guide the protection of TK

.

• • 各种研究已经形成了正在进行的国际政策讨论的基础,并有助于实用 工具的发展。依据这个不同的经验,该委员会正在接近共同的宗旨原 则的国际性理解,这可以用来指导传统知识的保护。

UPOV

• UPOV Convention provides a sui generis form of IP protection specifically adapted for plant breeding , with the aim of encouraging the development of new plant varieties.

国际植物新品种保护公约提出了一项知识产权保护的专门法,特别是 适用于植物育种,旨在促进植物新品种的发展

UPOV • This system of protection provides for a “ breeder’s exemption society. ”: no restriction applies to acts done for the purpose of breeding other varieties, so as to maximize the availability of genetic resources for plant breeders and thereby maximize breeding progress for the benefit of

该系统为“育种者的豁免”提供保护:培育其他品种不再有限制, 因此最大化了植物育种者对植物遗传资源的利用,从而最大化了 植物育种的社会效益。

UPOV

• This provides a legal basis for defensive protection in relation to existing plant varieties. Under the UPOV system, only the person, who may for example be a farmer, who breeds a new plant variety can claim protection for that variety.

• 这提供了与现存植物品种相关的防御性保护措施的法 律基础。在UPOV系统下,只有培育了新植物品种的人, 比如农民,才能对该品种声明保护。

• Work on traditional knowledge protection is also continuing elsewhere in the United Nations system. For instance, the United Nations University has issued a report on “The Role of Registers and Databases in the Protection of TK”.

传统知识的保护工作也在联合国系统的别处也有体现。比如,联 合国大学发布了一份报告关于“登记制度和数据库在保护传统知 识中的作用”。

Summary 1.The protection of TK is important for communities in all countries.

2.Some degree of international coordination and cooperation is essential to achieve the goals of TK protection.

3. While there are diverse national and regional approaches to protection, reflecting the diversity of TK itself and its social context, some common elements arise in policy debate. 4. positive protection& defensive protection 5. The international policy framework : Environment, Health ,Trade and Development, Food and Agriculture, Indigenous Rights, Intellectual Property

INTELLECTUAL PROPERTY AND TRADITIONAL KNOWLEDGE

Use of sui generis exclusive rights 使用独占权专门保护

In some communities and countries, the judgement has been made that even adaptations of existing IP rights systems are not sufficient to cater to the holistic and unique character of TK subject matter. 在一些社区和国家,人们判判断即使已经改进现有的知 识产权体系,对于满足自成一体的、独一无二的传统知 识标的物保护仍然是不够的。 This has led to the decision to protect TK through sui generis rights. 这就导致了人们决定通过专门保护方式保护传统知识。

What makes an IP system a sui generis one is the modification of some of its features so as to properly accommodate the special characteristics of its subject matter, and the specific policy needs which led to the establishment of a distinct system.

使知识产权体系成为一个专门保护的体系的是 对它的一些特征的修改,以使之适应适当认可 一些标的物的特殊特性的需要,以及确立一个 不同的体系的特殊政策需要。

Here are a few national experiences in using

sui generis

IP rights for protecting TK:

下面是一些国家运用 专门知识产权保护 传统知识的经验:

– The sui generis regime of Peru was established by Law No. 27, 811 of 2002, whose objectives are to protect TK, to promote fair and equitable distribution of benefits, to ensure that the use of the knowledge takes place with the prior informed consent of the indigenous peoples, and to prevent misappropriation.

–秘鲁专门的制度是制定2002年第27, 811号法案,该 法案旨在保护传统知识,提升公平的惠益分享,确保 对传统知识使用是在对土著居民事情知情同意的情况 下进行,并且阻止不当使用。

Protection is afforded to collective knowledge of indigenous peoples associated to biological resources. 给予那些与生物资源相关的土著居民的集体知识以保护。 The law grants indigenous peoples the right to consent to the use of TK. 法律赋予土著居民同意其传统知识使用的权利。

The law also foresees the payment of equitable compensation for the use of certain types of TK into a national Fund for Indigenous Development or directly to the TK holders.

该法同时还预见到对特定类型的传统知识的使用所 应支付的平等的补偿,会转变成为支持土著居民发 展或者直接针对传统知识持有者的全国性基金

– The Biodiversity Law No. 7788 of Costa Rica aims at regulating access to TK.

哥斯达黎加第7788号生物多样性法案旨在规范获得传统 知识的渠道。 It provides for the equitable distribution to TK holders of the benefits arising from the use of TK. 该法案为传统知识持有者获得由该传统知识所获利益的 公平分配提供保障。 Two scopes of subject matter are defined in the Law: first, TK to which the Law regulates access, and, second, TK for which the Law provides exclusive rights. 该法案定义了所保护的标的的两个范围:第一,传统知 识获得渠道,第二保护传统知识的独占权。

What will be the term and scope of sui generis community intellectual rights and who will be the title holder is determined by a participatory process with indigenous and small farmer communities to be defined by the National Commission for the Management of Biodiversity.

什么是专门社区知识性权利的期限和范围,谁是权利 人,都将由一个与本地的和小规模的农民社区相关的 参与程序决定,全国生物多样性管理委员会会对什么 是本地的和小规模的农民社区进行定义。

– The objective of Portugal’s sui generis Decree-Law No. 118, of April 20, 2002 is the registration, conservation and legal custody of genetic resources and TK.

–葡萄牙2002年4月20日颁布的第118号专门政府法令的目标是对遗传 资源和传统知识进行登记、保育和法律监督。 The Law provides protection against the “commercial or industrial reproduction and/or use” of TK developed by local communities, collectively or individually.

由本地社区的集体或者个人发展的传统知识,收到该法令支持,限制 生产并或利用这些传统知识的商业或工业行为。

– The Act on Protection and Promotion of Traditional Thai Medicinal Intelligence, B. E. 2542 protects “formulas” of traditional Thai drugs and “texts on traditional Thai medicine”.

泰国保护和推进传统药品信息法案,B. E. 2542, 泰国传统药物构成的“分子式”和“文本”。

In general, “traditional Thai medicinal intelligence” means “the basic knowledge and capability concerned with traditional Thai medicine”. 总之,“泰国传统药品信息”就是指“泰国传统药品的基础知识信 息和药物功效”。 The Act confers the right holder – “those who have registered their intellectual property rights on traditional Thai medical intelligence under the Act” – “the sole ownership on the production of the drug and research and development”.

该法案授予权利人——“也就是那些依据本法案针对其传统药品信 息注册知识产权的人”——成为“拥有和生产该药物,进行研究和 改进的唯一所有权人”。

When policymakers seek to develop a sui generis system for the protection of TK, they generally need to consider the following key issues: 当一个决策者想要发展专门保护制度体系 来保护传统知识,他们大体上需要考虑一 下关键点:

– what is the (policy) objective of the protection?

什么是保护政策制定的目标? – what subject matter should be protected?

哪些标的需要保护? – what criteria should this subject matter meet to be protected?

确认一个标的需要保护的标准是什么? – who are the beneficiaries of protection?

谁是保护受益人? – what are the rights?

他们的权利什么? – how are the rights acquired?

如何取得这些权利? – how are the rights administered and enforced?

这些权利如何管理和执行? – how are the rights lost or how do they expire?

这些权利如何会丧失或者失效?

For more detailed information on these key issues, please refer to WIPO publication analysis of the legal protection of traditional knowledge” . “Consolidated 如需更多关于这些关键点详尽的信息,请参照世界知识产权组 织出版的《传统知识法律保护综合分析》。 The IGC has worked extensively on both the protection of TK through existing IP systems, and the development and application of sui generis systems.

政府间委员会在通过知识产权体系保护传统知识以及专门保护 体系发展与使用方面做了大量的工作。 See IGC working documents such as WIPO/GRTKF/ IC/5/8, WIPO/GRTKF/IC/5/INF/2 and INF/4, WIPO/GRTKF/IC/6/4, WIPO/GRTKF/IC/7/5 and WIPO/GRTKF/IC/7/6.

参见政府间委员会文件,如。。。。。。

Other legal concepts for the protection of TK 保护传统知识的其他法律概念

When policymakers explore suitable legal mechanisms to protect TK against misappropriation, they consider a broader range of legal concepts apart from the kind of exclusive rights used in most forms of IP law. 当决策者们寻求合适的法律机制来保护传统知识防止其受 到不当使用时,除了在大多数的知识产权法律中使用的独 占权这个概念,他们考虑一个更为宽泛的法律概念。

Several of these alternative concepts are briefly described here: 这里简要介绍一些供选择的概念: Prior Informed Consent (PIC) 事先知情同意 According to the principle of prior informed consent (PIC), TK holders should be fully consulted before their knowledge is accessed or used by third parties and an agreement should be reached on appropriate terms; they should also be fully informed about the consequences of the intended use.

根据事先知情同意原则,传统知识持有者应当在他们所有的传统知识被 第三方取得或使用之前得到全面的咨询,并且达成合理的协议;他们同 时应当被全面告知使用者所欲使用的后果。

The agreed scope of use may be set out in contracts, licenses or agreements, which would also specify how benefits arising from the use of the TK should be shared. 达成合意的使用范围应当以合同、许可或者协议的形式确定下来, 其中应当突出强调通过使用传统知识获得的利益双方应如何分享。 The principle of PIC concerning access to genetic resources is one of the cornerstones of the CBD (see text box p.12).

获得遗传资源的事先知情同意原则是生物多样性公约的基石之一。 (见文本框第21页)(这里的文本框指的是什么?) Given the close relationship between genetic resources and some forms of TK, this same principle is also used in a number of national laws concerning access to and use of TK.

考虑到遗传资源与传统知识一些形式具有相近的关联,在一些国家 的法律中采用了相同的原则来调整对传统知识的获得与使用。

Equitable benefit-sharing 公平的惠益分享 The idea of an equitable balancing of interests is common to many legal systems.

在许多法律体系中常见衡平的利益观念。 In IP law, this is often phrased in terms of a balancing of the interests of right holders and the general public. 在知识产权法律中,常常被表述成权利人与公众的利益平衡。 The fair and equitable sharing of benefits from the use of genetic resources is one of the objectives of the CBD, and the CBD also encourages equitable sharing of benefits from the use of certain forms of TK.

公正而平等的共享遗传资源惠益是生物多样性公约的目标之一, 同时多样性公约鼓励在特定形式的传统知识方面的惠益分享。

Thus the principle of equitable benefit-sharing is found in a number of national laws governing access and use of TK, especially when TK is associated with genetic resources。 因此,当考虑到规范传统知识的获取和使用行为时,平等惠益分享原则被 许多国家的法律所青睐,尤其在传统知识与遗传资源相关联时。 According to this principle, the TK holders would receive an equitable share of the benefits that arise from the use of the TK, which may be expressed in terms of a compensatory payment, or other non-monetary benefits.

根据该项原则,传统知识所有者应当公平分享由使用传统知识所获得的利 益,这些利益可以以补偿金或者其他非金钱利益的形式表现。 An entitlement to equitable benefit-sharing may be particularly appropriate in situations where exclusive property rights are considered inappropriate.

或许在人们认为独占财产权不能适当保护传统知识时,才能特别地为知识 持有者授权平等的惠益分享。

Benefit-sharing and TK in Samoa 萨摩亚的惠益分享和传统知识 Traditional healers of Samoa were recently acknowledged in a benefit-sharing agreement concerning the development of prostratin, an anti-AIDS compound derived from the Samoan native mamala tree ( homalanthus nutans ).

萨摩亚的传统治疗师最近确认了与一种名叫prostratin的物质相 关的惠益分享协议,这是一种在萨摩亚当地生长的一种名为 mamala的树上提炼出来的,具有抗艾滋成分的物质。 Prostratin forces the HIV out of reservoirs in the body, thus allowing anti-retroviral drugs to attack it. 这种名叫prostratin的物质可以迫使隐藏在细胞内的HIV病毒跑出 来,由此让抗艾滋药物攻击它们。

The bark of the mamala has been used by traditional healers to treat hepatitis, among other medicinal uses of the tree.

传统治疗师们用mamala的树皮来治疗肝炎,这是这种树的其中一 种药物用途。 This traditional knowledge guided researchers in their search for valuable therapeutic compounds. 这项传统知识知道研究人员们发现了有价值的资料药物的成分。 Reportedly, revenues from the development of prostratin will be shared with the village where the compound was found and with the families of the healers who helped discover it.

据报告,由研发prostratin获得的收益将与该成分被发现的村庄 以及帮助发现它的治疗师的家庭一起分享。

Revenues will also be applied to further HIV/AIDS research.

同时这些收入还会用于进一步的艾滋病研究。 It is also proposed to license the prostratin research to drug makers so that the resultant drugs are made available to developing countries for free, at cost, or at a nominal profit.

有人提出将prostratin研究权许可给药物生产商, 这样他们生产出来的药品就可以向发展中国家免费 提供,或者是按成本价出售,或者获得一点象征性 的收益。

Benefit-sharing and TK in Mali 马里的惠益分享和传统知识

The traditional agricultural knowledge that led to the identification of the valuable qualities of Oryza longistaminata also facilitated the identification of the gene that conferred disease resistance (see text box on p. 9).

传统农业知识帮助人们认识到Oryza longistaminata的 宝贵价值,同时促进了对抗病基因的识别。 When this gene was isolated and patented by the University of California at Davis, an agreement was struck to provide for benefit-sharing with the source country. 当这个基因被分离出来,并且由加利福尼亚大学戴维斯 分校获得了专利时,一项向信息来源国提供惠益分享的 协议也达成了。

A Genetic Resource Recognition Fund (GRRF) was established to share with the stakeholders in Mali and other developing countries the benefits arising from the commercial utilization of the patented gene.

他们建立了一个遗传资源识别基金,与马里利益相关人 以及其他的发展中国家一同分享所得惠益,该惠益是通 过商业开发该享有专利权的基因获得的。 The user of technology is required to pay a certain percentage of sales of products into the GRRF for a specified number of years. 该项技术的使用者被要求在一个明确规定的时期内,将 产品销售所得的一定比例投入该遗传资源识别基金中。

The Fund is intended to provide fellowships to agriculture students and researchers from Mali and other countries where the wild rice is found, so as to build capacity in the country providing the resource.

该基金的目的是向来自马里或者其他发现野生水稻 的国家的学生和学者们提供奖学金,以帮助这些提 供资源的国家进行能力建设。

WIPO consulted with the Bela and the farming communities for a case study on this use of TK: see “WIPO-UNEP Study on the role of intellectual property rights in the sharing of benefits arising from the use of biological resources and associated traditional knowledge” (WIPO Publication No. 769E).

世界知识产权组织与贝拉族和当地农业社区商量将该项传统知 识的使用作成案例研究:见《世界知识产权组织与联合国环境 规划署关于知识产权在共享利用生物资源所产生的惠益和相关 传统知识方面的作用》。