E WIPO/GRTKF/IC/4/8 ORIGINAL: English WIPO DATE: September30,2002 WORLDINTELLECTUALPROPERTYORGANIZATION GENEVA INTERGOVERNMENTALCO MMITTEEON INTELLECTUALPROPERT YANDGENETICRESOUR CES, TRADITIONALKNOWLEDG EANDFOLKLORE FourthSession Gen eva,December9to17,2002 ELEMENTSOFA SUI GENERIS SYSTEMFORTHEPROT ECTIONOF TRADITIONALKNOWLEDG E DocumentpreparedbytheSecretariat WIPO/GRTKF/IC/4/8 page 2 I.OVERVIEW 1. ThisdocumentisanupdatedversionofdocumentWIPO/GRTKF/IC/3/8,adiscussion ofth eelementsofapossible suigeneris intellectualproperty(IP)systemfortheprotectionof traditionalknowledge(TK).Itreviewsthebackgroundtothedebateonsuigenerisprotection ofTK,andconsiderssomeofthefactorsthatmaymakeitdifficult atthisstagetodefine preciselyalegalregimeforTKprotection.Itdiscussesthenotionof suigeneris protectionof TK,andpointsoutthatthisneednotentailanentirelyneworstand-alonelegalsystem,but couldalsoincludeadaptedorextendedsuigeneris elementsoftheexistingIPframework. ThedocumentthendiscussesthenatureofIPprotectioningeneral,andonthisbasis, considersthekindofrationalesthatmayberelevantforIPprotectionofTK.Ithighlightsthat legalmechanismsfo rTKprotectionaredistinctfromtheTKassuch,andmaynevercapture thefullholisticnatureoftheTK –giventhattheirfunctionisessentiallytorestrainthird partiesfromundertakingunauthorizedactsinrelationtothesubjectmatter,ratherthanto expresstheTKfullyandcomprehensively.Drawingonageneraldiscussionofthenatureof TKsubjectmatter,thedocumentthenconsidersinturnsomeofthekeycharacteristicsofa suigeneris systemforTKprotection,inparticularthegeneralleg alframework,thepolicy objectives,thesubjectmatter,andthecriteriatodefineprotectedsubjectmatter,aswellas ownership,nature,acquisition,administrationandenforcementofrights.Thepaperis intendedtofacilitatedebateanddiscussion,ratherthantopre -emptanypolicydecisiononthe desirabilityorotherwiseof suigeneris approachestoprotectingTK. II.BACKGROUND 2. PreparedattherequestoftheIntergovernmentalCommitteeonIntellectualPropertyand GeneticResource s,TraditionalKnowledgeandFolklore(“theCommittee”), 1WIPO documentWIPO/GRTKF/IC/3/8discussedtheelementsthatmightformpartofadistinct suigeneris legalsystemdefinedspecificallytoprotectTK.TheCommitteediscussedthis documentextensivelyatitsthirdsessioninJune2002,2anddecidedthatitshouldbe updated andrevisedtoformthebasisoffurtherdiscussion.Thepresentpaperistheupdated versionof documentWIPO/GRTKF/IC/3/8requestedbytheCommittee .Thediscussion remains atanexploratoryphase,yetthegeneralapproachtotheissuestakeninthe earlierdocumentwasreceivedagenerallypositivereception.Anumberof delegationsindicatedthatdomesticconsultationsontheearlierdocumentwerestill underway.Tofac ilitateongoingdiscussionsandconsultations,therevisedpaper followstheearlierversionclosely,withupdatesaimedattakingaccountofparticular issueshighlightedindiscussionandatmaking thedocumentmoresystematicanduseful. Thisdocument shouldbereadinconjunctionwithdocumentsWIPO/GRTKF/IC/3/9and4/9, whichdiscusspossibleapproachestothe definitionof‘traditionalknowledge.’ 1 Forbackground,seedocument WIPO/GRTKF/IC/3/8,ElementsOfASuiGenerisSystemFor TheProtectionOfTraditionalKnowledge,paragraphs1-3. 2 See IntergovernmentalCommitteeonIntellectualPropertyandGeneticResources,Traditional KnowledgeandFolklore,SecondSession,Report,adoptedbytheCommittee,WIPOdocument WIPO/GRTKF/IC/3/17 WIPO/GRTKF/IC/4/8 page 3 III. INTRODUCTION 3. Thereareseveralreasonswhyitmayyetbeprematuretoidentifyina definitivewaythe precisecharacteristicsofalegalframeworkespeciallyadaptedtothecharacteristicsofTK, especiallyifthisistobecapableofbroadapplicationinternationally.Firstly,althoughthe internationaldebateontheneedforthedeve lopmentofmechanismsfortheprotectionofTK startedmorethantwodecadesago,3notenoughexperiencehasyetbeenacquired,bothatthe nationalandtheinternationallevels,toensurethatthefullscopeofoptionsforaworkable andeffectivesystem areavailable.Inpractice,a‘top-down’orapre -emptiveapproachto defining suigeneris protectionataninternationallevelislesslikelytosucceedifitisshaped withoutreferencetotheexperiencegainedfromoperationalnationalsystemsthatpro vide practicalmodelsforfunctioningTKprotection,whetherthroughsuigeneris protectionor applicationofexistingIPsystemstoTKsubjectmatter. 4 4. Secondly,anumberofCommitteeMembershavecalledfortheconsiderationofhow exist ingmechanismsofIPcanbemoreeffectivelyusedtoprotectTK. 5Foratleastthose Members,therefore,thereseemstobeaneedforafullerarticulationofhowexistingsystems canbeproperlyappliedtoTKsubjectmatter.Thismayalsobeausefulgu idetodefiningthe specificareaofneedforanynew,suigeneris system.Itmayalsobeusefulindetermining howa suigeneris systeminteractswiththoseelementsofotherIPsystemswhicharerelevant toTKprotection.Someconcernshavebeenexpres sedinthisregardaboutthepossibilityof doubleprotectionofthesameunderlyingTKmaterialthroughgeneralIPsystemsandthrough suigeneris TKrights,althoughinothercontextsitisnotunusualforoverlappingIPrightsto co -exist. 5. Thirdly,Membersmuststilldecidewhether,ifafuture suigeneris systemweretobe developed,suchasystemwouldcoverallmanifestationsandexpressionsofTKinabroad sense, 6orwhethertheyshouldpursuetwodifferentlegaltracks:ononetrac k,theefforts wouldbeaimedatdevelopingasystemdulyadaptedtothecharacteristicsofexpressionsof folklore(throughthedevelopmentofsuigenerisprovisions,possiblyusingthe WIPO/UNESCOModelProvisionsasastartingpoint);ontheothertrac k,Memberswould lookintoa suigeneris systemcompatiblewiththeparticularfeaturesoftechnicalTK,in particularofbiodiversity -associatedTK.TheverydiversityofconceptionsofTK,embracing technicalTKandexpressionsoffolklore,mightdilute theclarityandeffectivenessofany sui generis system;putanotherway,themorecomprehensivethescopeofTK(coveringall conceptionsoftechnicalTKandTKrelatedtobiodiversity,aswellasexpressionsof 3 TheapprovaloftheWIPO/UNESCOModelProvisions forNationalLawsontheProtectionof ExpressionsofFolkloreagainstIllicitExploitationandotherPrejudicialActions,of1982,bya CommitteeofExperts,andtheestablishment ofth eConventiononBiologicalDiversity,of 1992,aretwomajorlandmarksofthedebateontheprotectionoftraditionalknowledge. 4 See ReviewofExistingIntellectualPropertyProtectionofTraditionalKnowledge, document WIPO/GRTKF/IC/3/7,ofMay6,2002. 5 Ibid. 6 AtthesecondsessionoftheCommitteethedelegationofEgypt“notedthatnodistinction shouldbemadebetweenexpressionsoffolkloreandtraditionalknowledge;bothconceptswere interrelatedtotheextentthatanyattemptatseparatingonefromtheotherwouldbehighly difficult.”Report ,note2supra ,atparagraph167.AndthedelegationofIndia“stateditwasof theviewthatexpressionsoffolkloreshouldbegivensimilartreatmentlikeanyotherformof traditionalknowled ge.”Id.atparagraph171. WIPO/GRTKF/IC/4/8 page 4 traditionalculture),themoregeneralan dunclearwouldbethelegalsystemestablishedto protectit,andthemoreuncertainthepurposeandfocusofprotectionafforded. 6. Finally,andrelatedtotheprecedingpoint,thereaquestionofdefinitionand terminology,discussedindocu mentWIPO/GRTKF/IC/3/9:evenifnoconclusiveor exhaustivedefinitionissettledon,somegeneralworkingconsensusontheoperationalscope oftheterm‘traditionalknowledge’wouldfacilitatediscussionsonappropriatewaysof protectingthissubjectmatter .Moreover,asdiscussedinthesamedocument,theapproach takentodefiningthesubjectmatter,particularlyprotectablesubjectmatter,isnecessarily linkedtotheformandobjectivesofthedesiredTKprotection. 7. Accordingly,anye ffortstodefineanew,suigeneris systemattheinternationallevel priortoclarifyingtheseissuesmayproveprematureandthusineffectual,ormayactually servetodelaytheestablishmentofpracticallyeffectivesystemsofTKprotectionwithan internationalcharacter.Nonetheless,theneedforexplorationofthepossibleelementsofsuch asystemhasbeenclearlyidentifiedduringtheworkoftheCommittee,andthismayhelp elucidatetheissuesanddefinetheoperationalenvironmentforTKprotect ion.Thepresent documentaccordinglydoesnotseektopre -emptthedebateovertheneedfora suigeneris systemfortheprotectionofTK,butratheridentifiessomeelementsthatmightbetakeninto accountshouldtherebeconsensusontheneedforwork onthedevelopmentofa suigeneris system. 8. Arelatedquestionisthemannerinwhichthisissuewouldbedealtwithbythe Committee,shouldthatconsensusbereached.Forthepresent,theCommitteecancontinueto exchangeviewsandpract icalexperienceontherelationshipbetweenIPandaccesstogenetic resources,TKandexpressionsoffolklore,withaparticularfocusontasksthatdonotrequire thedevelopmentofnewconceptsorlegalmechanisms —suchasdiscussionsonTKasprior ar tandthemeanstomakeitavailableforpatentexaminers;contractualclausesonaccessto geneticresources;andnationalexperiencesandviewsontheprotectionofTKand expressionsoffolklore. 9. But,shouldaconsensusbereachedthat workshouldproceedtowardsthedevelopment ofamechanismfortheprotectionofTK,thequestionremainswhatformthatoutcomewould take.TheCommitteecouldengageinthisworkwithaviewtodevelopingsoftlaw,thatis, non-bindingguidelinesand/o rrecommendationstobeadoptedorappliedatthenationallevel, leadingtoa defacto developmentofminimumharmonizedstandardsforprotectionofTK. Suggestionscouldalsobedevelopedwithaviewtotheadoptionofinternationalstandards that,byundertakingaharmonizedapproach,couldenhanceinternationalprotection,avoid freeridingandmisappropriation,andreducedistortionsandimpedimentstointernational tradeofproductsandservicesincorporatingTK.Equally,developmentof,andexperie nce with,non-bindingguidelinesorrecommendationstoguidenationalsystemsmayleadtoa greatersharpeningofunderstandingoftheessentialelementsofasuccessful,workableand effectivenationalsystem,thatmayinturnfeedintotheidentificationofinternational standards. 10. Evenseekingtoidentifyelementsofpossible