The sui generis and intellectual property protection of expressions of folklore in Africa Enyinna Sodienye Nwauche 22364595 Thesis submitted in fulfilment of the requirements for the degree Doctor of Laws at the North-West University (Potchefstroom Campus) Promoter: Professor Doctor Andries van der Merwe (North-West University) Co-Promoter: Professor Doctor Sunelle Geyer (University of South Africa) May 2016 i INDEX Abstract x Opsomming xii Acknowledgements xiii CHAPTER 1 1 INTRODUCTION 1 1.1 Rationale and background 2 1.2 Problem statement 11 1.3 Central research question 11 1.3.1 Aims of thesis 11 1.4 Point of departure, assumptions and hypothesis 12 1.4.1 Point of departure 12 1.4.2 Assumptions 12 1.4.3 Theoretical framework 14 1.4.4 Hypothesis 14 1.5 Research methodology 15 1.6 Outline of thesis 15 CHAPTER 2 18 AN OVERVIEW OF THE PROTECTION OF EXPRESSIONS OF FOLKLORE 18 2.1 Introduction 20 2.2 Definition of expressions of folklore 20 2.3 Expressions of folklore and traditional knowledge 27 2.4 Different models for the protection of expressions of folklore 30 2.4.1 Positive protection 30 2.4.2 Negative protection 53 2.5 Conclusion 58 CHAPTER 3 59 THE PROTECTION OF EXPRESSIONS OF FOLKLORE IN AFRICA 59 ii 3.1 Introduction 61 3.2 Overview of the protection of expressions of folklore in Africa61 3.2.1 Negative protection of expressions of folklore: Vesting ownership in expressions of folklore in the state 62 3.2.2 Positive protection: African states that recognise intellectual property rights as a means of protecting expressions of folklore 64 3.2.3 States that protect performers' rights 66 3.2.4 States that protect moral rights of communities 67 3.3 Key issues and challenges in the protection of expressions of folklore in Africa 67 3.3.1 Expressions of folklore as an aspect of culture: The context of traditional culture and knowledge 67 3.3.2 Communities in African states and expressions of folklore 70 3.3.3 Individual creativity and expressions of folklore in Africa 80 3.3.4 Perpetuity of expressions of folklore 83 3.3.5 Expressions of folklore are information goods: An appropriate balance between protection of and access to expressions of folklore 84 3.3.6 Protection of the cultural heritage of African states and prevention of the misappropriation of expressions of folklore 86 3.3.7 Ensuring that communities that author expressions of folklore enjoy moral and material benefits from the protection of expressions of folklore 87 3.4 Examples of expressions of folklore in Africa: Ghana, Nigeria, Kenya and South Africa 87 3.4.1 Representative sample of expressions of folklore in Kenya, Nigeria, Ghana and South Africa 88 3.4.2 Detailed examination of selected expressions of folklore 90 3.4.3 Evaluation of the examples of expressions of folklore in Kenya, South Africa, Nigeria and Ghana 105 3.5 Conclusion 106 CHAPTER 4 107 THE NEGATIVE (SUI GENERIS) PROTECTION OF EXPRESSIONS OF FOLKLORE IN KENYA, NIGERIA, GHANA AND SOUTH AFRICA 107 4.1 Introduction 109 iii 4.2 Sui generis model for the protection of expressions of folklore in Ghana 111 4.2.1 Introduction 111 4.2.2 Definition of folklore 111 4.2.3 Ownership of expressions of folklore and term of protection 112 4.2.4 Third party use of expressions of folklore 113 4.2.5 Free use of expressions of folklore 114 4.2.6 Administration of the protection of expressions of folklore in Ghana 116 4.2.7 Overview of the sui generis protection of expressions of folklore in Ghana 122 4.3 Sui generis protection of expressions of folklore in Nigeria 122 4.3.1 Introduction 122 4.3.2 Definition of expressions of folklore 122 4.3.3 Ownership of expressions of folklore 123 4.3.4 Third party use of expressions of folklore 124 4.3.5 Free use of expressions of folklore 125 4.3.6 Protection of moral rights 126 4.3.7 Administration of the protection of expressions of folklore 126 4.4 Sui generis protection of expressions of folklore in Kenya 127 4.4.1 Introduction 127 4.4.2 Definition of expressions of folklore 127 4.4.3 Ownership of expressions of folklore 128 4.4.4 Duration of protection 128 4.4.5 Third party use of expressions of folklore 129 4.4.6 Free uses of expressions of folklore 130 4.4.7 Overview of the sui generis protection of expressions of folklore in Kenya 130 4.5 Sui generis protection of expressions of folklore in South Africa 135 4.5.1 Introduction 135 4.5.2 Definition of a national estate 136 4.5.3 South African Heritage Resources Agency 138 4.5.4 Overview of the sui generis protection of expressions of folklore in South Africa 141 iv 4.6 Overview of the sui generis protection of expressions of folklore in Ghana, Nigeria, Kenya and South Africa 141 4.6.1 Recognition of communities as owners of expressions of folklore 142 4.6.2 Administrative infrastructure for the protection of expressions of folklore 142 4.6.3 Moral rights of communities 143 4.6.4 Free use of expressions of folklore 144 4.6.5 Preferential treatment of nationals 144 4.6.6 Intervention in the grant of intellectual property rights 145 4.6.7 Economic benefits of third party use of expressions of folklore 145 4.6.8 Challenge of the Swakopumund Protocol 145 4.7 Conclusion 146 CHAPTER 5 147 THE POSITIVE PROTECTION OF EXPRESSIONS OF FOLKLORE IN AFRICA: PROTECTING EXPRESSIONS OF FOLKLORE BY INTELLECTUAL PROPERTY RIGHTS 147 5.1 Introduction 151 5.2 Protection of expressions of folklore by intellectual property rights in South Africa 153 5.2.1 Introduction 153 5.2.2 Merchandise Marks Act 155 5.2.3 IPLAA 2013 158 5.2.4 Wilmot Bill 186 5.2.5 Evaluation of IPLAA 2013 in the protection of expressions of folklore 190 5.3 Protection of expressions of folklore by intellectual property rights in Ghana 215 5.3.1 Introduction 215 5.3.2 Copyright 216 5.3.3 Trademarks 216 5.3.4 Geographical indications 217 5.3.5 Performers' rights 220 5.3.6 Industrial design rights 222 v 5.3.7 Evaluation of the protection of expressions of folklore by intellectual property in Ghana 222 5.4 Protection of expressions of folklore by intellectual property rights in Nigeria 222 5.4.1 Introduction 222 5.4.2 Copyright 223 5.4.3 Trademarks 223 5.4.4 Design rights 223 5.4.5 Performers' rights 224 5.4.6 Evaluation of the protection of expressions of folklore by intellectual property in Nigeria 225 5.5 Protection of expressions of folklore by intellectual property rights in Kenya 225 5.5.1 Introduction 225 5.5.2 Copyright 225 5.5.3 Trade marks 225 5.5.4 Design rights 227 5.5.5 Geographical indications 227 5.5.6 Performers' rights 229 5.5.7 Evaluation of the protection of expressions of folklore by intellectual property rights in Kenya 229 5.6 Conclusion: An overview of the protection of expressions of folklore by intellectual property rights in South Africa, Ghana, Nigeria and Kenya 231 CHAPTER 6 233 REGIONAL PROTECTION AND INTERNATIONAL PERSPECTIVES OF EXPRESSIONS OF FOLKLORE IN AFRICA 233 6.1 Introduction 235 6.2 Application of international law in Kenya, Ghana, Nigeria and South Africa 236 6.3 Regional protection of expressions of folklore in Africa 239 6.3.1 Protection of expressions of folklore by regional intellectual property organisations 239 6.3.2 Regional integration in Africa and the protection of expressions of folklore 259 vi 6.4 International perspectives in the protection of expressions of folklore 262 6.4.1 Introduction 262 6.4.2 Protection of expressions of folklore by the treaties managed by the World Intellectual Property Organisation (WIPO) 263 6.4.3 WTO TRIPS Agreement and the international protection of expressions of folklore 276 6.4.4 Protection of expressions of folklore at the United Nations Educational Social and Cultural Organisation (UNESCO) 283 6.5 Conclusion: An assessment of regional and international protection of expressions of folklore 290 CHAPTER 7 294 A FUNDAMENTAL HUMAN RIGHTS FRAMEWORK FOR THE PROTECTION OF EXPRESSIONS OF FOLKLORE IN AFRICA: KENYA, SOUTH AFRICA, GHANA AND NIGERIA 294 7.1 Introduction 295 7.2 Fundamental human rights and the protection of expressions of folklore 296 7.3 Collective rights and the protection of expressions of folklore297 7.4 Specific fundamental human rights and the protection of expressions of folklore 305 7.4.1 Right to property 306 7.4.2 Right to life 308 7.4.3 Right to dignity 309 7.4.4 Right to privacy 310 7.5 Enforcement, limitation, and balancing of rights 311 7.6 Remedies 319 7.7 Conclusion: An evaluation of human rights in the protection of expressions of folklore 321 CHAPTER 8 323 PEOPLES' RIGHTS AND THE PROTECTION OF EXPRESSIONS OF FOLKLORE IN AFRICA: KENYA, SOUTH AFRICA, GHANA AND NIGERIA323 8.1 Introduction 324 vii 8.2 Peoples' right and the protection of expressions of folklore 327 8.3 Peoples' right to expressions of folklore 327 8.4 Customary law as a manifestation of a peoples' right to expressions of folklore 332 8.4.1 Customary law and the protection of a peoples' right to expressions of folklore in Kenya 333 8.4.2 Customary law and the peoples' right to expressions of folklore in South Africa 335 8.4.3 Customary law and the peoples' right to expressions of folklore in Ghana 341 8.4.4 Customary law and the peoples' right to expressions of folklore in Nigeria 343 8.5 Do 'other' communities qualify to bear the peoples' right to expressions of folklore 347 8.6 Content of the peoples' right to expressions of folklore 350 8.7 Balancing the peoples' right to expressions of folklore and other human rights 351 8.8 Conclusion: An assessment of the protection of expressions of folklore by a peoples' right framework 353 CHAPTER 9 359 AN OPTIMUM FRAMEWORK FOR THE PROTECTION OF EXPRESSIONS