遗传资源知识产权保护问题研究
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摘要
在经济全球化趋势日益明显的形势下，知识产权保护的国际规则正面临深刻的变革。长期以来，遗传资源一直被视为人类的共同遗产，发达国家无偿地利用主要来自发展中国家的遗传资源获取了巨大的经济利益并通过知识产权制度为这一利益提供保障；另一方面，遗传资源却被排斥在知识产权保护制度之外，发展中国家不仅不能分享发达国家后续开发的收益，反而受其知识产权的制约。为了对抗发达国家在知识产权方面的明显优势，发展中国家提出了保护遗传资源的主张。
然发展中国家的主张是否具有合理正当性，又将如何来保护遗传资源呢?本文提出了遗传资源知识产权保护的观点，并论述了其正当性。这是一个涉及民族和国家利益的课题，一个可能要面对发达国家反对和抵制的敏感课题；同时这又是一个尚无国际规则和成熟实践可以借鉴的新课题，我们需要在摸索中前行。
文章先从遗传资源保护中的知识产权问题谈起，从国际和国内两个层面分析了目前发达国家与发展中国家在遗传资源保护中知识产权问题上的矛盾和分歧，分析了目前遗传资源保护探索和实践的成就与不足；第二章分别从经济学的激励理论、探矿理论和法律的公平、契约理念多个视角分析了遗传资源知识产权保护的正当性，并对传统的知识产权理论——“智力劳动成果说”进行了批判，进一步论证了遗传资源知识产权保护的正当性。第三章分析了现行知识产权制度对遗传资源的排斥或保护的不力。因此在第四章中本文主张对现行知识产权制度进行变革，将遗传资源纳入到其框架中来，最后在第五章通过分析我国遗传资源的保护现状，对我国遗传资源知识产权保护立法提出了建议，并试图从权利主体、客体、内容、权利救济等具体方面构建我国的遗传资源权制度。
With the trend of economic globalization being increasingly clear, theinternational rules of intellectual property rights (IPRs) are facingprofound changes. For a long time, genetic resources have beenconsidered as the common heritage of mankind. The developed countriesfree use genetic resources mainly from developing countries, and gainenormous economic benefits through IPRs; on the other hand, geneticresources have been excluded from the system of IPRs, so the developingcountries can not benefit from the interests from the following researchand development on genetic resources, but subject to the constraints ofIPRs. To counter the obvious advantages of developed countries in thefield of IPRs, the developing countries propose genetic resources beprotected.
However, there are still some problems: is the proposal ofdeveloping countries reasonable and legitimate? And how can we protectgenetic resources? In this thesis, in order to answer these questionsⅠputforward that genetic resources deserve protection under IPRs system, anddiscuss the legitimacy of the protection. Because this is a sensitive topicinvolving national and state interests, it may face opposition andresistance from developed countries; meanwhile, there are no maturepractices and international rules can be learnt from, we need to exploreforward.
The thesis begins with discussing IPRs problems in genetic resources'protection, and analyzing the issue of IPRs protection of genetic resourceson international and domestic levels. Then it unveils the contradictionsand divergence on protecting genetic resources between developed anddeveloping countries, and explores success and failures of the currentpractice and probes in protection of genetic resources. Based on incentiveand prospecting theory of economics, fair and lease conception of lawrespectively, the second chapter points out the reasonability onintellectual property protection for genetic resources, and critics theconception of "intellectual works", which is a prevalent theory in IPRssystem currently. Further it proves the reasonability of intellectual property protection for genetic resources. Chapter 3 analyzes theexclusion or inefficacy of current IPRs system to protect geneticresources. Therefore, in the fourth chapter, the author calls for changingthe current system of IPRs so as to protect genetic resources in itsframework. Finally, based on analyzing the conservation status ofChinese genetic resources, the author makes some suggestions forlegislation to protect genetic resources through IPRs, and tries toconstruct subject, object, relief rights and other specific aspects of theright to build our own system to protect Chinese genetic resources.
然发展中国家的主张是否具有合理正当性，又将如何来保护遗传资源呢?本文提出了遗传资源知识产权保护的观点，并论述了其正当性。这是一个涉及民族和国家利益的课题，一个可能要面对发达国家反对和抵制的敏感课题；同时这又是一个尚无国际规则和成熟实践可以借鉴的新课题，我们需要在摸索中前行。
文章先从遗传资源保护中的知识产权问题谈起，从国际和国内两个层面分析了目前发达国家与发展中国家在遗传资源保护中知识产权问题上的矛盾和分歧，分析了目前遗传资源保护探索和实践的成就与不足；第二章分别从经济学的激励理论、探矿理论和法律的公平、契约理念多个视角分析了遗传资源知识产权保护的正当性，并对传统的知识产权理论——“智力劳动成果说”进行了批判，进一步论证了遗传资源知识产权保护的正当性。第三章分析了现行知识产权制度对遗传资源的排斥或保护的不力。因此在第四章中本文主张对现行知识产权制度进行变革，将遗传资源纳入到其框架中来，最后在第五章通过分析我国遗传资源的保护现状，对我国遗传资源知识产权保护立法提出了建议，并试图从权利主体、客体、内容、权利救济等具体方面构建我国的遗传资源权制度。
With the trend of economic globalization being increasingly clear, theinternational rules of intellectual property rights (IPRs) are facingprofound changes. For a long time, genetic resources have beenconsidered as the common heritage of mankind. The developed countriesfree use genetic resources mainly from developing countries, and gainenormous economic benefits through IPRs; on the other hand, geneticresources have been excluded from the system of IPRs, so the developingcountries can not benefit from the interests from the following researchand development on genetic resources, but subject to the constraints ofIPRs. To counter the obvious advantages of developed countries in thefield of IPRs, the developing countries propose genetic resources beprotected.
However, there are still some problems: is the proposal ofdeveloping countries reasonable and legitimate? And how can we protectgenetic resources? In this thesis, in order to answer these questionsⅠputforward that genetic resources deserve protection under IPRs system, anddiscuss the legitimacy of the protection. Because this is a sensitive topicinvolving national and state interests, it may face opposition andresistance from developed countries; meanwhile, there are no maturepractices and international rules can be learnt from, we need to exploreforward.
The thesis begins with discussing IPRs problems in genetic resources'protection, and analyzing the issue of IPRs protection of genetic resourceson international and domestic levels. Then it unveils the contradictionsand divergence on protecting genetic resources between developed anddeveloping countries, and explores success and failures of the currentpractice and probes in protection of genetic resources. Based on incentiveand prospecting theory of economics, fair and lease conception of lawrespectively, the second chapter points out the reasonability onintellectual property protection for genetic resources, and critics theconception of "intellectual works", which is a prevalent theory in IPRssystem currently. Further it proves the reasonability of intellectual property protection for genetic resources. Chapter 3 analyzes theexclusion or inefficacy of current IPRs system to protect geneticresources. Therefore, in the fourth chapter, the author calls for changingthe current system of IPRs so as to protect genetic resources in itsframework. Finally, based on analyzing the conservation status ofChinese genetic resources, the author makes some suggestions forlegislation to protect genetic resources through IPRs, and tries toconstruct subject, object, relief rights and other specific aspects of theright to build our own system to protect Chinese genetic resources.
引文
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① 金瑞林．环境与资源保护法学[M]．北京：北京大学出版社，2000：471
② CBD第2条
③ CBD第2条
④ CBD第2条
① WIPO. Intellectual Property Right and Genetic Resources_An Overview, WIPO/IP/GR/00/2
① 参见世界与中国生物多样性．http://www.stcsm.gov.cn/learning/lesson/shengwu/20030910/lesson-2.asp
② 同上
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① International Seminar on Systems for the Protection and Commercialization of Traditional knowledge, in particular traditional medicines, 3-5 April, 2002, New Delhi, http://www.unctad.org/trade_env/testl/meetings/delhi/statedebateTK.doc
② WT/MIN (01) /DEC/1, 14 Nov., 2001, Doha.http://www.wto.org/english/thewto_e/minist_e/min01_e/mindecl_e.doc
③ CBD第15条
① IUPGR决议5/89. http://www.mtnforum.org/resources/library/iupgrgla.htm
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① ITPGR第9条第2款
② 有些国家已经有这方面的立法实例，如印度专利法(2002年第二次修正)第10章(说明书内容)规定，专利申请人必须在其说明书中公开涉及的任何生物物质的来源和地理起源。修正后的第25章(对专利授权的异议)规定，允许以“整个说明书没有公开或不正确地提及发明所用生物材料的来源或地理起源”为由，对专利提出异议；哥斯达黎加《生物多样性法》第80条(事先协商的义务)规定：“在对包含生物多样性成分的发明创造授予知识或者工业产权保护之前，国家种子局以及知识与工业产权局都必须与专为管理生物多样性而设立的技术办公室协商。他们必须提供由该办公室签发的产地证明以及事先知情同意证明。该办公室提出的合理异议将阻止专利权的授予。”在上述情况下，不提供必要的信息将导致驳回专利申请或者宣告专利权无效。
③ IGC第十次会议于2006年11月30日—12月8日在日内瓦召开，下次将于2007年7月3日—12日召开
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① 金瑞林．环境与资源保护法学[M]．北京：北京大学出版社，2000：471
② CBD第2条
③ CBD第2条
④ CBD第2条
① WIPO. Intellectual Property Right and Genetic Resources_An Overview, WIPO/IP/GR/00/2
① 参见世界与中国生物多样性．http://www.stcsm.gov.cn/learning/lesson/shengwu/20030910/lesson-2.asp
② 同上
③ WHO Fact Sheet No．271，2002年6月，http://www.who.int/medicines/organization/trm/factsheet271.doc
① 国家环境保护总局．中国生物多样性国情研究报告[M]．北京：中国环境科学出版社，1998：122
② 秦天宝．遗传资源获取与惠益分享的法律问题研究．[博士论文]．武汉：武汉大学，2005：13
① International Seminar on Systems for the Protection and Commercialization of Traditional knowledge, in particular traditional medicines, 3-5 April, 2002, New Delhi, http://www.unctad.org/trade_env/testl/meetings/delhi/statedebateTK.doc
② WT/MIN (01) /DEC/1, 14 Nov., 2001, Doha.http://www.wto.org/english/thewto_e/minist_e/min01_e/mindecl_e.doc
③ CBD第15条
① IUPGR决议5/89. http://www.mtnforum.org/resources/library/iupgrgla.htm
② Michael Halewood. Indigenous and Local Knowledge Law: A preface to Sui Generis Intellectual Property Protection, December, 1994, 44, McGill L. J. 953
③ 唐广良．遗传资源、传统知识及民间文学艺术国际保护概述[C]．载：郑成思．知识产权文丛．第8卷．北京：中国方正出版社，2002：40
① ITPGR第9条第2款
② 有些国家已经有这方面的立法实例，如印度专利法(2002年第二次修正)第10章(说明书内容)规定，专利申请人必须在其说明书中公开涉及的任何生物物质的来源和地理起源。修正后的第25章(对专利授权的异议)规定，允许以“整个说明书没有公开或不正确地提及发明所用生物材料的来源或地理起源”为由，对专利提出异议；哥斯达黎加《生物多样性法》第80条(事先协商的义务)规定：“在对包含生物多样性成分的发明创造授予知识或者工业产权保护之前，国家种子局以及知识与工业产权局都必须与专为管理生物多样性而设立的技术办公室协商。他们必须提供由该办公室签发的产地证明以及事先知情同意证明。该办公室提出的合理异议将阻止专利权的授予。”在上述情况下，不提供必要的信息将导致驳回专利申请或者宣告专利权无效。
③ IGC第十次会议于2006年11月30日—12月8日在日内瓦召开，下次将于2007年7月3日—12日召开
① 秦天宝．遗传资源获取与惠益分享的法律问题研究．[博士论文]．武汉：武汉大学，2005
① Graham Dutfield. Developing and Implementing National Systems for Protecting Traditional Knowledge: A Review of Experience in Selected Developing Countries, UNCTAD Expert Meeting on Systems and Natiohal Systems for Protecting Traditional Knowledge, Innovations and Practices, Geneva, 30 October-1 November, 2000
① 严永和．论传统知识的知识产权保护[M]．北京：法律出版社，2006：119—120
② ITPGR第18条第5款
③ WIPO/GRTKF/IC/2/15, http://www.wipo.org/eng/meetings/2001/igc/doc/grtkfic2_15.doc
① 如WIPO、WTO、FAO、WHO、CBD—COP、联合国贸发会议、联合国人权高官委员会等
② WTO. Review of article 27.3(b) of the TRIPS agreement, and the relationship between the TRIPS agreement and the convention on biological diversity (CBD) and the protection of traditional knowledge and folklore, 2003, http://www.wto.org/english/tratop_e/trips_e/art27_3b_background_e.htm
③ Wend B. Wendland. Intellectual Property, Traditional Knowledge and Folklore: WIPO's Exploratory Program [J]. IIC, 2002, (4):490-491
④ Law Introducing a Protection Regime for the Collective Knowledge of Indigenous Peoples Derived From Biological Resources, LAW N° 27811 (published in the Official Journal "El Peruano" on August 10, 2002
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① 严永和．论传统知识的知识产权保护[M]．北京：法律出版社，2006：88
① 吕世伦．法哲学论[M]．北京：中国人民大学出版社，1999：494
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③ 刘春田．《知识产权法》[M]．北京：中国人民大学出版社，2002：6
① 刘春田．《知识产权法》[M]．北京：中国人民大学出版社，2002：6
② 郑成思．《知识产权法详论》[M]．北京：法律出版社，1998：71
③ 刘春田．《知识产权法》[M]．北京：中国人民大学出版社，2002：46
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⑤ Brad Sherman, Lionle Bently. The Making of Modern Intellectual Property Law: The British Bxperience, 1760—1911. Cambridge University Press, 1999:171—172
① 上述观点参考了李琛．论知识产权法的体系化[M]．北京：北京大学出版社．2005
② Brad Sherman, Lionle Bently. The Making of Modern Intellectual Property Law: The British Experience, 1760—1911. Cambridge University Press, 1999:20—24
① Brad Sherman, Lionle Bently. The Making of Modern Intellectual Property Law: The British Experience, 1760—1911. Cambridge University Press, 1999:174
② Brad Sherman, Lionle Bently. The Making of Modern Intellectual Property Law: The British Experience, 1760—1911. Cambridge University Press, 1999:200
① Diamond V. Chakrabarty, 447 U.S. 303, 309(180). See Sheldon W. Halpern Craig A. Nard, Kenneth L. Port. Fundamentals of United States Intellectual Property Law: Copyright, Patent and Trademark, Kluwer Law International, 1999:227
② 《专利法》第二十二条第4款
① Gelvina Rodriguez Stevenson. Trade Secrets: The Secret To Protecting Indigenous Ethno-biological(Medicinal) Knowledge. New York University Journal of International Law and Politics, No. 32, 2000:1161
① David R. Downes. How IP could be a tool to protect TK, Columbia Journal of Environmental Law, 2000:8
② Environmental Law Institute(ELI). Protecting Biodiversity: Legal Mechanisms Concerning Access to and Compensation for the use of Genetic Resources in the United States of America, Environmental Law Institute Research Report, 1998.
① Karin Timmermans. Intellectual property rights and traditional medicine: policy dilemmas at the interface, Social Science & Medicine 57 (2003) 745-756
① Phanesh Koneru. An analysis ofthe current utility standards of pharmaceutical products and biotechnological research tools, http://www.idea.fplc.edu/Articles/38
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② 《欧洲专利条约》第56条
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① Manual of Patent Examining Procedure (Seven Edition, July 1998, PTO, USA), 2142 Legal Concept of Prima Facie Obviousness, http://patent.Ame.Nd.Edu/mpep/
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③ Karen I. Boyd. Non-obviousness and the Biotechnology Industry: A Proposal for a Doctrine of Economic Non-obviousness [J]. High Technology Law Journal, Volume 12, Issue 2 (Fall 1997):38
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① Bhagwati．J．(2000)“如何使发展中国家进入新一轮回合的多边贸易谈判”，纽约，哥伦比亚大学，P21，http://www.dfait-maeci.qc.ca/eet/02-e.pdf
② WTO. Review of article 27.3(b) of the TRIPS agreement, and the relationship between the TRIPS agreement and the convention on biological diversity (CBD) and the protection of traditional knowledge and folklore, 2003
① http://www.chinabiodiversity.com/iucn/17-18/007.htm(2004/3/25)
① 世界知识产权组织WIPO／GA／30／7ADD．1．关于与遗传资源和传统知识有关的公开要求问题的技术研究报告草案[R]．
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① 2000年《种子法》第10条
① 1989年《野生动物保护法》第3条第1款
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① 詹映、朱雪忠．国际法视野下的农民权问题初探[J]．法学，2003(8)：25
② WIPO／GRTKF／IC／8／5(传统知识保护：目标和原则修订本)，http//www.wipo.int/
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