Biopiracy in Peru: Tracing Biopiracies, Theft, Loss & Traditional Knowledge Jodie Chapell, BSc First Class Honours, MA Submitted for the degree of Doctor of Philosophy September, 2011 Department of Sociology Lancaster University ProQuest Number: 11003690 All rights reserved INFORMATION TO ALL USERS The quality of this reproduction is dependent upon the quality of the copy submitted. In the unlikely event that the author did not send a com plete manuscript and there are missing pages, these will be noted. Also, if material had to be removed, a note will indicate the deletion. uest ProQuest 11003690 Published by ProQuest LLC(2018). Copyright of the Dissertation is held by the Author. All rights reserved. This work is protected against unauthorized copying under Title 17, United States C ode Microform Edition © ProQuest LLC. ProQuest LLC. 789 East Eisenhower Parkway P.O. Box 1346 Ann Arbor, Ml 48106- 1346 'Biopiracy in Peru: Tracing Biopiracies, Theft, Loss & Traditional Knowledge' Jodie Chapell, BSc First Class Honours, MA Submitted for the degree of Doctor of Philosophy September, 2011, Department of Sociology, Lancaster University Abstract This thesis concerns the different ideas, and relationships -to people, plants and knowledge - that -'biopiracy' brings together in Peru. Through assessing different concerns over the use of 'traditional knowledge', the thesis examines the multiple meanings of biopiracy which emerge through particular bundles of relationships. Contribution is made to existing literature concerning indigenous peoples and biodiversity by illustrating the complexity and multiplicity of understandings of 'biopiracy'. The thesis identifies contested meanings of 'biopiracy' and produces a typology of 'biopiracies' through an application of Tsing's (2005) concept of 'friction', and also an analysis of 'biopiracy' as an empirical subject of enquiry in the patent system. In Part One I consider 'biopiracy' and 'traditional knowledge' in international debates, and so establish the main ideological concepts that frame 'global' biopiracy. The thesis explores the plurality of biopiracy by providing nuanced accounts of 'biopirates' and 'traditional knowledge'. Part Two, is an analysis of the work of the Peruvian National Commission Against Biopiracy. This section examines the role of patent searches and of knowledge registers in producing accounts of biopiracy that: reify traditional knowledge, fracture connections with indigenous communities, and that represent the economic interests of the state. The thesis presents a quantitative account of original patent research into 'biopiracy', with an accompanying qualitative analysis that highlights the connections produced - and denied - through 'biopiracy work'. The final section presents ethnographic data from two Amazonian communities - San Francisco de Yarinacocha, and Callena. This data indicates that particular forms of relationships to people, plants, and knowledge are privileged, as well as cast aside in the mobilisation of 'biopiracy'. Chapter Six presents an analysis of two distinct 'biopiracies': 'Biopiracies of theft' and 'biopiracies of economic opportunity'. These in turn characterise the different, contingent features of 'biopiracy' in Peru. Keywords: Biopiracy, bioprospecting, Peru, traditional knowledge, Friction, traditional knowledge registers, Access and Benefit-Sharing. I herewith declare that this thesis is my own work, and that it has not been submitted in substantially the same form for the award of a higher degree elsewhere. Signed, iv Acknowledgments Beginning at the beginning, I would like to thank my parents - Julie and Steve Chapell - for their lifelong support. Secondly, I have promised to thank my long suffering partner, Darrell Patton. In all the little (and big) ways I would not have made it - or this - without you. I acknowledge the patient support and perseverance of my supervisors, Paul Oldham and Rebecca Ellis, to whom I express a depth of gratitude. My gratitude also goes to Sofia Strid for her cherished 'administrative' support. I am grateful for the assistance of INDECOPI, and of Andres Valladolid and Aurora Ortega in particular. Finally, I wish to dedicate this work to the communities of San Francisco and Calleria, to Alegria, Anastasia and Sr. Tito, and particularly to the Saldana Inuma family. Thank you Ada, Andres, Florinda, Erica and all your relatives. Huetsa tita, huetsa.jema: katiriki jatibi eara cai itaijoribanosh. lraque! Metsarate v List of Acronyms ABS Access and Benefit Sharing AIDER Association for Integrated Research and Development [Asociacion para la Investigacion y Desarrollo Integral] CAH Aguaruna Huambisa Council [Consejo Aguaruna Huambisa] CESAGEN Centre for the Economic and Social Aspects of Genomics CBD Convention on Biological Diversity CGEN Brazilian Council for the Management of Genetic Patrimony [Conselho de Gestao do Patrimonio Genetico] CIEL Center for Environmental Law CIP International Potato Centre [Centro Internacional de la Papa] COICA Coordination of Indigenous Organizations of the Amazon Basin [Coordinadora de las Organizaciones Indigenas de la Cuenca Amazonica] CONAP Confederation of Amazonian Nationalities of Peru [Confederation de Nacionalidades Amazonicos del Peru] EPO European Patent Office FTA Free T rade Agreement FSC Forest Stewardship Council GATT General Agreement on Tariffs and Trade IARC International Agricultural Research Centre ICBG International Cooperative Biodiversity Groups IDRC International Development Research Centre IGC The World Intellectual Property Organisation’s Intergovernmental Committee on Intellectual Property and Genetic Resources, traditional knowledge and Folklore INDECOPI Peruvian National Institute for the Defence of Competition and the Protection of Intellectual Property [Instituto Nacional de Defensa de la Competencia y de la Protection de la Propiedad Intelectual] INDEPA Peruvian National Commission for the Andean, Amazonian and Afro-Peruvian Peoples [Instituto Nacional de Desarrollo de Pueblos Andinos, Amazonicos y Afroperuanos] 1NIA Peruvian National Institute of Agricultural Research [Instituto Nacional de Investigacion Agraria] INRENA Peruvian National Institute of Natural Resources [Instituto Nacional de Recursos Naturales] IPR Intellectual Property Rights ITPGRFA International Treaty on Plant Genetic Resources for Food and Agriculture JPO Japanese Patent Office MINAM Peruvian Environment Ministry [Ministerio del Ambiente] NCAB Peruvian National Commission against Biopiracy [Comision Nacional Contra la Biopirateria] NGO Non Governmental Organisation NRCC Peruvian National Registers of Collective Knowledge OCCAAM Organization Central de Comunidades Aguarunas del Alto Maranon OINT Office of Inventions and New Technologies [Oficina de Invenciones y Nuevas Tecnologias] PIC Prior Informed Consent PRONARGEB Peruvian National Programme of Genetic Resources and Biotechnology [Programa Nacional de Recursos Geneticos y Biotecnologia] SIL Summer Institute of Linguistics SPDA Peruvian Society for Environmental Law [Sociedad Peruana de Derecho Ambiental] SPO Spanish Patent Office [Oficina Espanola de Patentes y Marcas] TK Traditional Knowledge TRIPS Agreement on the Trade Related Aspects of Intellectual Property Rights UNAM National Autonomous University of Mexico [Universidad Nacional Autonoma de Mexico] USPTO United States Patent and Trademark Office WIPO World Intellectual Property Organisation WTO_____________World Trade Organisation ________________________________________________ List of Figures Figure One_______________Box One: Regional Legislation___________ 105 Figure Two Box Two: Plant Breeders' Rights & 106 Biodiversity Figure Three Box Three: Peruvian Legislation: 107 'Collective Knowledge' & 'Biological Resources' Figure Four Box Four: Patents 126 Figure Five Box Five: Cases of Biopiracy 129 Figure Six US Patent 7323195 - 'Enteric 162 Formulations of Proanthocyanidin Polymer Antidiarrheal Compositions' (Rozhom et al, 2008) Figure Seven A Schema 171 Figure Eight Map Locating Pucallpa 220 Figure Nine Map of Calleria 285 List of Tables & Charts Species Prioritised by the NCAB ______ 372 Biopiracy Patents, Challenges Brought 375 by NCAB & Outcomes to Date ________ Levels of Data _____________________ 157 International Patent Classification 166 Sections __________________________ Areas of the IPC Relevant for 168 Biodiversity _______________________ Missing Species ____________________ 174 Data Problems_____________________ 177 Level Two, Three, & Four Data _______ 183 Exceptions ________________________ 184 Reasons for non-Selection ___________ 406 Selected Patents 407 Biodiversity Patents by Common Name 396 Main IPC Codes Indicated in Biodiversity 397 Patents_____________________________ IPC Subclass (1st) - Camote (Ipomoea 398 batatas)____________________________ IPC Class (1st) - Cassava/Manioc (Only) 399 IPC Subclass (1st) - Papa Comun_______ 400 IPC Subclass (1st) - Agouti _____________ 401 IPC Subclass (1st) - Aji (C. baccatum & C. 402 annum)_____________________________ IPC Class (1st) - Zea mays_____________ 403 Camote (Ipomoea batatas)____________ 404 Cassava/Manioc (Only) _______________ 404 Papa Comun_________________________ 405 Agouti______________________________ 405 Aji (C. baccatum & C. annum) __________ 406 Zea mays___________________________ 406 Relevant Patents by Common Name 407 Selected Patents by Common Name 190 TABLE OF CONTENTS Abstract ii Declaration iv Acknowledgements v List of Acronyms Vi List of Figures V ii List of Tables & Charts