Intellectual Property, Traditional Knowledge And
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INTELLECTUAL PROPERTY, TRADITIONAL KNOWLEDGE AND BIODIVERSITY IN THE GLOBAL ECONOMY: THE POTENTIAL OF GEOGRAPHICAL INDICATIONS FOR PROTECTING TRADITIONAL KNOWLEDGE-BASED AGRICULTURAL PRODUCTS By Teshager Worku Dagne Submitted in partial fulfilment of the requirements for the degree of Doctor in the Science of Law at Dalhousie University Halifax, Nova Scotia March 2012 © Copyright by Teshager Worku Dagne, 2012 DALHOUSIE UNIVERSITY Schulich School of Law The undersigned hereby certify that they have read and recommend to the Faculty of Graduate Studies for acceptance a thesis entitled “INTELLECTUAL PROPERTY, TRADITIONAL KNOWLEDGE AND BIODIVERSITY IN THE GLOBAL ECONOMY: THE POTENTIAL OF GEOGRAPHICAL INDICATIONS FOR PROTECTING TRADITIONAL KNOWLEDGE-BASED AGRICULTURAL PRODUCTS” by Teshager Worku Dagne in partial fulfilment of the requirements for the degree of Doctor in the Science of Law. Dated: March 1, 2012 External examiner: _________________________________ _________________________________ Research Supervisors: _________________________________ Examining Committee _________________________________ _________________________________ Departmental Representative: _________________________________ ii DALHOUSIE UNIVERSITY DATE: March 1, 2012 AUTHOR: Teshager Worku Dagne TITLE: INTELLECTUAL PROPERTY, TRADITIONAL KNOWLEDGE AND BIODIVERSITY IN THE GLOBAL ECONOMY: THE POTENTIAL OF GEOGRAPHICAL INDICATIONS FOR PROTECTING TRADITIONAL KNOWLEDGE-BASED AGRICULTURAL PRODUCTS DEPARTMENT OR SCHOOL: Schulich School of Law DEGREE: J.S.D. CONVOCATION: May YEAR: 2012 Permission is herewith granted to Dalhousie University to circulate and to have copied for non-commercial purposes, at its discretion, the above title upon the request of individuals or institutions. I understand that my thesis will be electronically available to the public. The author reserves other publication rights, and neither the thesis nor extensive extracts from it may be printed or otherwise reproduced without the author’s written permission. The author attests that permission has been obtained for the use of any copyrighted material appearing in the thesis (other than the brief excerpts requiring only proper acknowledgement in scholarly writing), and that all such use is clearly acknowledged. _______________________________ Signature of Author iii DEDICATION PAGE To the memory of my dearest sister: Yamrote Worku Dagne who passed away in July 2009 iv TABLE OF CONTENTS ABSTRACT ..... ......................................................................... xiii LIST OF ABBREVIATIONS USED .................................................. xiv ACKNOWLEDGEMENTS ............................................................. xvii CHAPTER 1 GENERAL INTRODUCTION ........................................... 1 1.1 THESIS INTRODUCTION ................................................................ 1 1.2 GENERAL BACKGROUND: RELATIONSHIP BETWEEN INTELLECTUAL PROPERTY, TRADITIONAL KNOWLEDGE, AND BIODIVERSITY .................................... 5 1.2.1 Intellectual Property .................................................. 5 1.2.1.1 Justifications for the Protection of Intellectual Property .................................................... 7 1.2.1.2 Historical Account ..................................... 14 1.2.2 The Global Knowledge Economy ................................ 17 1.2.3 The Increasing Attention to Traditional Knowledge and Biological Resources ................................................ 20 1.2.4 The Role of Intellectual Property in the Protection of Traditional Knowledge .............................................. 23 1.3 SCOPE OF THE STUDY ............................................................... 26 1.4 RESEARCH METHODOLOGY .......................................................... 27 1.5 THEORETICAL FRAMEWORK .......................................................... 29 1.6 THE INSTRUMENTALITY OF GEOGRAPHICAL INDICATIONS IN PROTECTING TRADITIONAL KNOWLEDGE: LITERATURE REVIEW ............................... 37 1.7 CONTRIBUTIONS OF THE THESIS ................................................... 47 1.8 RESEARCH QUESTIONS .............................................................. 49 1.9 STRUCTURE OF THE THESIS ........................................................ 51 v PART ONE: TRADITIONAL KNOWLEDGE, TRADITIONAL KNOWLEDGE-BASED AGRICULTURAL PRODUCTS AND THE SEARCH FOR PROTECTION ..................................................................... 57 CHAPTER 2 TRADITIONAL KNOWLEDGE, BIODIVERSITY, AND INTELLECTUAL PROPERTY: DEFINITION AND CONCEPTUAL BOUNDARIES ......................................................................... 57 2.1 INTRODUCTION ....................................................................... 57 2.2 DEFINING TRADITIONAL KNOWLEDGE ............................................. 58 2.2.1 Choice of Terminology ............................................. 59 2.2.2 Identification of The Knowledge Holders: Indigenous Peoples and Local Communities ................................. 64 2.2.3 Subject Matter of Traditional Knowledge ..................... 71 2.2.4 Essential Characteristics of Traditional Knowledge ........ 75 2.2.5 Categories of Traditional Knowledge .......................... 81 2.3 GENETIC RESOURCES, BIODIVERSITY AND TRADITIONAL KNOWLEDGE ........ 87 2.4 TRADITIONAL AGRICULTURAL KNOWLEDGE AND AGRO-BIODIVERSITY ........ 90 2.5 PLANT GENETIC RESOURCES FOR FOOD AND AGRICULTURE, CULTIVARS AND GENETICALLY MODIFIED ORGANISMS ........................................ 97 2.6 TRADITIONAL KNOWLEDGE-BASED AGRICULTURAL PRODUCTS ................. 99 2.6.1 Primary Products: Landraces, Wild Species, and Farmers’ Varieties .................................................. 101 2.6.2 Handicrafts ........................................................... 106 2.7 GEOGRAPHICAL INDICATIONS DEFINED .......................................... 108 2.8 THE LINK BETWEEN GEOGRAPHICAL INDICATIONS AND TRADITIONAL KNOWLEDGE ......................................................................... 128 2.9 WHAT IS “PROTECTION?” .......................................................... 133 2.10 THE GLOBAL ECONOMY ........................................................... 136 vi 2.11 CONCLUSION ....................................................................... 140 CHAPTER 3 PROTECTING TRADITIONAL KNOWLEDGE: IMPERATIVES AND CHALLENGES ............................................... 142 3.1 INTRODUCTION ..................................................................... 142 3.2 JUSTIFYING THE PROTECTION OF TRADITIONAL KNOWLEDGE.................. 144 3.2.1 The Value and Importance of Traditional Knowledge ... 145 3.2.1.1 Cultural Significance ................................. 145 3.2.1.2 Contribution to Biological Diversity and Ecological Integrity .................................... 147 3.2.1.3 Contribution to Scientific Discovery and Biotechnology Development ....................... 149 3.2.1.4 Improving and Preserving Socio-Economic Conditions .............................................. 151 3.2.2 Threats and Challenges to Traditional Knowledge........ 156 3.2.2.1 Biopiracy ................................................ 157 3.2.2.2 Intellectual Property Challenges to Traditional Knowledge .................................... 166 3.3 TECHNOLOGY-DRIVEN TRANSFORMATION IN AGRICULTURE .................... 170 3.3.1 Economic Impacts of the Transformation of Agricultural Production ............................................ 174 3.3.2 Impacts on Biological Diversity ................................ 177 3.3.2.1 Genetic Uniformity ................................... 178 3.3.2.2 Unintended Consequences of Genetically Modified Organisms ........................................ 181 3.3.3 Challenges to Food Security and the Need for Food Sovereignty ........................................................... 183 3.3.4 The Threat of Cultural Homogenization ...................... 191 vii 3.4 TRADITIONAL KNOWLEDGE-BASED AGRICULTURAL PRODUCTS IN GLOBAL MARKETS ............................................................................. 194 3.4.1 The Consolidation of Agricultural Markets .................. 195 3.4.2 Diminishing Income in International Market ............... 196 3.5 RECOGNIZING THE VALUE OF TRADITIONAL KNOWLEDGE-BASED AGRICULTURAL PRODUCTS ......................................................... 200 3.6 DIFFERENTIATION STRATEGIES IN TRADITIONAL KNOWLEDGE-BASED AGRICULTURAL PRODUCTS ......................................................... 205 3.6.1 Quality Schemes .................................................... 208 3.6.2 Fair Trade Initiatives .............................................. 209 3.6.3 Green Labeling and Eco-Certification Schemes ........... 212 3.7 CHALLENGES AND IMPACTS OF DIFFERENTIATION SCHEMES .................. 215 3.8 CONCLUSION ........................................................................ 221 CHAPTER 4 TRADITIONAL KNOWLEDGE IN INTERNATIONAL LEGAL REGIMES ………… ...................................................................... 224 4.1 INTRODUCTION ...................................................................... 224 4.2 LEGAL NORMS IN TRADITIONAL KNOWLEDGE AND BIODIVERSITY ............. 226 4.3 TRADITIONAL KNOWLEDGE IN INTERNATIONAL LEGAL FRAMEWORKS ......... 234 4.3.1 The International Trade Regime ............................... 234 4.3.2 Traditional Knowledge in the World Intellectual Property Organization ............................................. 245 4.3.3 The Protection of Traditional