THE BIODIVERSITY CONVENTION, INTELLECTUAL PROPERTY RIGHTS, AND OWNERSHIP OF GENETIC RESOURCES: INTERNATIONAL DEVELOPMENTS PREPARED FOR: INTELLECTUAL PROPERTY POLICY DIRECTORATE INDUSTRY CANADA JANUARY, 1996 BARBARA LAINE KAGEDAN, CONSULTANT MEMBER, ONTARIO AND NEW YORK BARS 40 GENEVA STREET OTTAWA, ONTARIO K1Y 3N7 TEL.: (613) 724-3214 FAX: (613) 724-5860 E-MAIL: [email protected] This study was funded by the Intellectual Property Policy Directorate, Industry Canada. The study represents the opinions of the author who is solely responsible for its contents. It does not necessarily represent government policy. THE BIODIVERSITY CONVENTION, INTELLECTUAL PROPERTY RIGHTS, AND OWNERSHIP OF GENETIC RESOURCES: INTERNATIONAL DEVELOPMENTS TABLE OF CONTENTS EXECUTIVE SUMMARY ................................................... i ACRONYMS USED THROUGHOUT THE STUDY ............................. xi 1.0 INTRODUCTION ......................................................1 1.1 Background to the Review of International Developments ..............1 1.2 Methodology ..................................................3 1.3 Analytical Framework ...........................................4 2.0 ANALYSIS OF THE BIODIVERSITY CONVENTION: BIOTECHNOLOGY AND INTELLECTUAL PROPERTY RIGHTS (IPRs) ........................7 2.1 History and General Scope of the Biodiversity Convention .............8 2.2 The provisions concerning intellectual property rights ................10 2.2.1 Intellectual property rights on life forms ........................11 2.2.2 From common heritage to national sovereignty and common concern ..12 2.2.3 IPRs, technology transfer and access to genetic resources ..........14 2.2.4 IPRs and technology transfer: Article 16(5) .....................18 2.2.5 The recorded views of participant countries .....................20 2.2.6 Conclusions on the Convention and Intellectual Property Protection ...22 2.3 Indigenous and local community knowledge and IPRs ................23 2.4 Related activity within the Biodiversity Convention and Secretariat since 1992 ....................................................26 References .........................................................29 3.0 THE FAO AND THE GLOBAL SYSTEM FOR THE CONSERVATION AND UTILIZATION OF PLANT GENETIC RESOURCES FOR FOOD AND AGRICULTURE ......................................................32 3.1 Background ..................................................33 3.2 The 1983 FAO Undertaking .....................................35 3.3 Other Aspects of the Global System ...............................37 3.4 International Code of Conduct for Plant Germplasm Collecting and Transfer .....................................................38 3.5 Draft Code of Conduct on Biotechnology ...........................38 3.6 International Agreements on Genebanks ...........................39 Biodiversity, Biotechnology and IPRs: International Developments 3.7 Revision of the 1983 International Undertaking .....................41 3.7.1 Background .............................................41 3.7.2 Conditions of Access to Plant Genetic Resources .................43 3.7.3 The Issue of Farmers' Rights .................................45 3.7.4 Proposed Revisions to the Global Plan of Action .................48 3.8 The Keystone International Dialogue and SAREC Consultation ........49 References .........................................................50 4.0 SURVEY OF COMPARATIVE APPROACHES TO THE IPR/ BIODIVERSITY LINKAGE ............................................53 4.1 The Andean Pact: Venezuela, Colombia, Ecuador, Peru and Bolivia ....58 4.1.1 Background .............................................58 Resources ...............................................58 Intellectual Property Framework ..............................58 Other International Conventions ..............................60 4.1.2 Current Ideas, Approaches and Activities .......................60 (a) 1994 Proposal to Regulate Access to Genetic Resources ........60 (i) Introduction ...................................60 (ii) Elements of the Draft Decision .....................61 (1) Basic Principles ...........................61 (2) The Certificate of Origin .....................62 (3) Local and Indigenous Communities ............64 References ....................................................66 4.2 Costa Rica ....................................................68 4.2.1 Background .............................................68 Resources ...............................................68 Intellectual Property Framework ..............................68 Other International Conventions ..............................69 4.2.2 Current Ideas, Approaches and Activities .......................69 (a) National System of Conservation Areas (SINAC) .............69 (b) National Biodiversity Institute (INBio) .....................70 (c) Legal Framework ......................................72 (d) Terms of Access to Resources: INBio's Contracts .............74 References ....................................................77 4.3 Mexico .......................................................78 4.3.1 Background .............................................78 Resources and Context .....................................78 Intellectual Property Framework ..............................78 Other International Conventions ..............................79 4.3.2 Current Ideas, Approaches and Activities .......................79 (a) CONABIO: Establishment ...............................79 (b) CONABIO: Activities .................................79 Biodiversity, Biotechnology and IPRs: International Developments References ....................................................81 4.4 Africa .......................................................82 4.4.1 Background .............................................82 Resources ...............................................82 Intellectual Property Framework ..............................82 Other International Conventions ..............................84 4.4.2 Current Ideas, Approaches and Activities .......................84 (a) Tanzanian Experience ..................................84 (b) Cameroon Experience ..................................85 (c) The Gambia ..........................................88 (d) Adoption of an INBio-Type Model for Africa ................89 References ....................................................89 4.5 India ........................................................91 4.5.1 Background .............................................91 Resources ...............................................91 Intellectual Property Framework ..............................91 Other International Conventions ..............................93 4.5.2 Current Ideas, Approaches and Activities .......................93 (a) Proposed Block of Access ...............................93 (b) Proposed Amendments to the Patent Act ....................94 (c) Current Regime for Access to Genetic Resources ..............95 (i) 1992 Report ....................................95 (ii) Current Status ..................................96 (d) The USAID-India Agreement ............................96 (e) The Third World Network Draft Community Intellectual Rights Act ...........................................97 References ....................................................99 4.6 General: The Manila Declaration ................................100 4.7 The Philippines ..............................................100 4.7.1 Background ............................................100 Resources ..............................................100 Intellectual Property Framework .............................101 Other International Conventions .............................101 4.7.2 Current Ideas, Approaches and Activities ......................101 (a) The 1995 Philippine Executive Order ......................101 References ...................................................106 4.8 Indonesia ...................................................107 4.8.1 Background ............................................107 Resources ..............................................107 Intellectual Property Framework .............................107 Other International Conventions .............................108 4.8.2 Current Ideas, Approaches and Activities ......................108 (a) Access to Genetic Resources: LIPI Rules and Procedures .....108 Biodiversity, Biotechnology and IPRs: International Developments (b) Access to Genetic Resources: The NCI Plant Collection Program in Indonesia ..................................109 (c) Access to Genetic Resources: Lagos-Witte Recommendations ..111 References ...................................................113 4.9 Australia ....................................................115 4.9.1 Background ............................................115 Resources ..............................................115 Intellectual Property Framework .............................116 Other International Conventions .............................116 4.9.2 Current Ideas, Approaches and Activities .....................116 (a) Existing Legal Framework for Regulating Access to Genetic Resources ..........................................116 (i) Western Australia ...............................117 (ii) Victoria ......................................117 (iii) Queensland ...................................118 (iv) Northern Territory ..............................119 (v) The Coomonwealth of Australia .....................119 (b) The 1993 ANZECC