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Faculté de Droit Direction des bibliothèques AVIS NOTICE L’auteur a autorisé l’Université The author has given the de Montréal à reproduire et Université de Montréal diffuser, en totalité ou en partie, permission to partially or par quelque moyen que ce soit completely reproduce and et sur quelque support que ce diffuse copies of this report or soit, et exclusivement à des fins thesis in any form or by any non lucratives d’enseignement means whatsoever for strictly et de recherche, des copies de non profit educational and ce mémoire ou de cette thèse. purposes. L’auteur et les coauteurs le cas The author and the co-authors, échéant, conservent néan- if applicable, nevertheless keep moins la liberté reconnue au the acknowledged rights of a titulaire du droit d’auteur de copyright holder to com- diffuser, éditer et utiliser mercially diffuse, edit and use commercialement ou non ce this work if they choose. Long travail. Les extraits substantiels excerpts from this work may not de celui-ci ne peuvent être be printed or reproduced in imprimés ou autrement another form without reproduits sans autorisation de permission from the author. l’auteur. L’Université ne sera The University is not aucunement responsable d’une responsible for commercial, utilisation commerciale, indus- industrial or other use of this trielle ou autre du mémoire ou report or thesis by a third party, de la thèse par un tiers, y including by professors. compris les professeurs. UniversiteUniversité ,.u,rH,rU, de MontrealMontréal Universite de Montreal The Placebo Effect: International Patent Law and the Protection of Traditional Plant Medicine par Konstantia Koutouki Faculte de Droit These presentee a la Faculte des etudes superieures en vue de l'obtention du grade de Docteur en Droit (LL.D) Septembre 2007 ©Konstantia Koutouki, 2007 Universite de Montreal Faculte des etudes superieures Cette these intitulee : The Placebo Effect: International Patent Law and the Protection of Traditional Plant Medicine Presentee par Konstantia Koutouki a ete evaluee par un jury compose des personnes suivantes : Charles Gonthier-President-rapporteur Denis Magnusson-Membre du jury Muriel Paradelle-Membre du jury Markus Gehring-Examinateur externe representant du doyen de la FES In Memory of My Father 1946-2007 SOMMAIRE Une preoccupation essentielle traverse cette th~se: l'indifference systemique de la Loi internationale sur la propriete intellectuelle a l'egard des savoirs traditionnels autochtones. De mani~re generale, un ecart semble d'ailleurs croissant entre I' importance des accords internationaux sur les questions d'interet commercial et ceux de nature sociale. Les savoirs traditionnels autochtones sur les plantes medicinales sont particuli~rement desavantages dans ce syst~me dichotomique puisqu'ils sont non seulement a l'origine d'enormes profits commerciaux mais se trouvent aussi au creur de multiples croyances propres aces societes. L'Accord sur les aspects des droits de propriete intellectuelle qui touchent au commerce (ADPIC) de I' Organisation mondiale du commerce (OMC) a cristallise Ie souci de la legislation internationale a l'egard d'une protection efficace des interets commerciaux. Deux annees auparavant, la Convention sur la diversite biologique (CDB) etait signee, traduisant une preoccupation a l'egard du developpement durable, et elle devenait Ie premier accord international a tenir compte des savoirs traditionnels autochtones. On consid~re souvent que ces deux accords permettent l'equilibre du developpement commercial et durable, requis par l'economie internationale. Apr~s plus ample examen, on a plutot l'impression que l'idee d'une CDB defendant, avec succ~s et efficacite, la necessite du developpement durable et des savoirs traditionnels autochtones contre les pressions opposees de I' ADPIC et de I' OMC est, au mieux, simpliste. La th~se explore egalement la fonction de la Loi sur les brevets dans la creation d' industries, notamment pharmaceutique, et la mani~re dont ces industries influencent la legislation nationale et en particulier internationale. De meme, elle traite du role que jouent les brevets dans l'affaiblissement et la depossession des peuples autochtones dotes de savoirs traditionnels sur les plantes medicinales, conduisant a une situation ou ces savoirs sont marginalises ainsi que leurs detenteurs. La these aborde les failles institutionnelles du systeme juridique international qui permet une telle situation et indique l'urgente necessite d'examiner attentivement les inegalites economiques et sociales au Nord comme au Sud, et non seulement entre eux. Finalement, la these suggere que la legislation internationale gagnerait a s'inspirer des diverses traditions juridiques presentes a travers Ie monde et, dans ce cas particulier, peut etre les detenteurs des connaissances traditionnelles concernant les plantes medicinales seront mieux servi par Ie droit des obligations. Mots cles : Loi internationale sur la propriete intellectuelle; Accord sur les aspects des droits de propriete intellectuelle qui touchent au commerce; Convention sur la diversite biologique; savoirs traditionnels autochtones; industrie pharmaceutique; plantes medicinales; mondialisation; droit des obligations SUMMARY The underlying theme of this thesis is the systemic indifference that exists within international intellectual property law towards Indigenous traditional knowledge. In general, there appears to be a widening gap between the importance international law accords to matters of commercial interest and those of a social nature. Indigenous traditional knowledge of medicinal plants is especially disadvantaged in this dichotomous system since it is not only representative of enormous commercial profits but it is also the core of many Indigenous belief and social systems. The crystallization of international law's preoccupation with the effective protection of commercial interests came in the form of the Trade Related Intellectual Property Rights (TRIPS) agreement incorporated into the World Trade Organization (WTO). Two years previously, the Convention on Biological Diversity (CBD) was signed, reflecting international law's perceived dedication to sustainable development and became the first international treaty to address Indigenous traditional knowledge. These two pieces of international law are often seen as balancing the commercial and sustainable development needs of the international economy. Upon further examination however, one is left the impression that the idea of the CBD effectively and successfully defending the needs of sustainable development and Indigenous traditional knowledge against pressure to the contrary from TRIPS and the WTO is simplistic at best. The thesis also explore the role patent law plays in the creation of modern industries, such as the pharmaceutical industry, and how these industries are able, through the power gained via patent law, to influence national and especially international legislation. Equally, it deals with the role patents play in disempowering peoples with Indigenous traditional knowledge of medicinal plants leading to a situation where such knowledge is marginalized along with its bearers. The thesis addresses the institutional shortcomings of the international legal system that allows such a situation to exist and suggests an urgent need to closely examine the social and economic inequalities within the North and South and not just between them. Finally the thesis suggests that international law needs to be guided by the many legal traditions available worldwide and in this particular case perhaps contract law is better suited to the needs of Indigenous traditional knowledge holders. Key words: International Intellectual Property Law; Trade-Related Aspects of Intellectual property; Convention on Biological Diversity; Indigenous Traditional Knowledge; Pharmaceutical Industry; Medicinal Plants; Globalization;Contract Law List of Abbreviations ABS = Access and Benefit Sharing ACTN = Advisory Committee on Trade Negotiations CBD = Convention on Biological Diversity FDA = Food and Drug Administration GATT = General Agreement on Tariffs and Trade GM = Genetically Modified GNP = Gross National Product GSP = Generalised System of Preferences HGP Human Genome Project IGC = Intergovernmental Committee on Genetic Resources, Traditional Knowledge and Folklore IMF = International Monetary Fund InBio = Instituto Nacional de Biodivesidad IPC = Intellectual Property Committee IPR = Intellectual property Right Keidanren = Japanese Federation of Economic Organisations MFN = Most-Favoured Nation NGO = Non-Governmental Organizations NIH = National Institute of Health TRIPS = Trade-Related Intellectual property Rights UNEP = United Nations Environment Program UNICE = Union des Industries de la Communaute europeenne USPTO = United Stated Patent and Trademark Office USTR = United States Trade Representative WIPO = World Intellectual Property Organization WTO = World Trade Organization TABLE OF CONTENTS INTRODUCTION. 3 THEORETICAL BASIS 17 PROPRIETARIANISM 17 NARRATIVE THEORY 24 THESIS CONTEXT 35 FORM AND STRUCTURE 40 PART I 44 INDIGENOUS TRADITIONAL KNOWLEDGE 44 INTRODUCTION 44 WORLDVIEW INFLUENCES 50 BIOLOGICAL AND CULTURAL DIVERSITY 60 SOCIAL INEQUALITIES IN THE SOUTH 70 THE CONVENTION ON BIOLOGICAL DIVERSITY 84 INTRODUCTION 84 PREAMBLE 85 ARTICLE 3: SOVEREIGNTY OVER RESOURCES 86 ARTICLE 8: IN-SITU CONSERVATION 89 ARTICLE 9: EX-SITU CONSERVATION 90 ARTICLE 8(J): INDIGENOUS TRADITIONAL KNOWLEDGE 92 ARTICLE 14: IMPACT ASSESSMENT AND MINIMIZING