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研究生: 陳勇智
Chen, Yung-chih
論文名稱: 生物多樣性公約架構下遺傳資源取得規範之研究-以利益分享機制為核心
Research on the Regulations of Access to Genetic Resources under the Framework of Convention on Biological Diversity-Focus on Benefit-Sharing Mechanism
指導教授: 牛惠之
Niu, Huei-chih
口試委員:
學位類別: 碩士
Master
系所名稱: 科技管理學院 - 科技法律研究所
Institute of Law for Science and Technology
論文出版年: 2007
畢業學年度: 95
語文別: 中文
論文頁數: 106
中文關鍵詞: 遺傳資源生物多樣性公約遺傳資源取得與利益分享遺傳資源法
外文關鍵詞: genetic resources, Convention on Biological Diversity(CBD), Access to Genetic Resources and Benefit-sharing(ABS), Genetic Resources Law
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  • 隨著生物科技之進步,生物遺傳資源已成各國爭相競逐的新興天然資源;不過,由於遺傳資源於地表上的分佈並不平均,因此許多爭議亦隨之而起;從十九世紀起,層出不窮的生物剽竊案例便是遺傳資源爭議之顯例。
    為了解決遺傳資源分佈不均所致生之爭議,1992年聯合國通過的生物多樣性公約(Convention on Biological Diversity, CBD)便明確規定生物遺傳資源受國家主權管轄,並且建立了遺傳資源取得與利益分享(Access to Genetic Resources and Benefit-sharing, ABS)之原則性規範;此後,世界各國紛紛援引生物多樣性公約規定,制訂其國內ABS制度之規定。
    本文首先將以遺傳資源議題之歷史脈絡、CBD制訂背景以及CBD架構下遺傳資源與ABS制度之發展為主軸進行介紹,並且探討ABS制度中所應包含之基本原則,包括永續發展原則、實體正義原則、程序正義與多元參與原則以及遺傳資源法定、透明管理與便利取用原則。
    本文並介紹CBD通過後哥斯大黎加、菲律賓、安地斯共同體與哥倫比亞以及馬來西亞實踐ABS制度的經驗;藉由上述國家ABS法規與相關個案之整理便可以發現,在立法層次上各國ABS規範十分類似,然而在個案經驗中,各國實踐ABS之成效上則呈現分歧的結果。細究其原因,各國對於利益分享之實踐策略係為影響ABS制度成效之主要因素。
    為了釐清利益分享手段與ABS成效間之關連性,本文針對哥斯大黎加、菲律賓、安地斯共同體與哥倫比亞以及馬來西亞所採取之利益分享手段進行整理且將其類型化,並以ABS制度之基本原則檢視不同之利益分享類型,並配合個案實踐之經驗,試圖找出國家落實利益分享之最適策略。最後,再將歸納所得之利益分享最適策略與我國遺傳資源法草案進行比較,並對我國相關之立法工作提出建言。


    With the improvement of Biotechnology, genetic resources have become one of the important resources in the world. However, there are many disputes occurred due to the unbalanced distribution of genetic resources in the world, such as the biopiracy cases in the early 19th century.
    To solve the disputes incurred by the unbalanced distribution of genetic resources, international society passed the Convention on Biological Diversity (CBD) in 1992 which recognized the national sovereignty over the genetic resources, and raised the concept of Access to Genetic Resources and Benefit-sharing (ABS). Hereafter, many states began to develop the domestic ABS legislation according to CBD.
    This article begins with the history of genetic resources controversy, the background of CBD enactment, and ABS regulations under the framework of CBD. Through the analysis of information mentioned above, several basic principles of ABS, including sustainable development, justice, public participation, legal certainty, and access facilitation, are identified.
    Moreover, this article introduces the ABS implement experiences of Costa Rica, Philippines, Andean Community/Columbia, and Malaysia, including both the domestic legislation and ABS practical cases. Based on the domestic legislation, the ABS legislation of those countries is quite similar. However, the effects of ABS in those countries are very different according to the ABS practical cases. The author thought the different benefit-sharing stratedgy is the major factor that affects the effect of ABS practical cases.
    To clarify the relevance between the benefit-sharing requirement and effects of ABS regime, this article analyzes the benefit-sharing measures adopted by Costa Rica, Philippines, Andean Community/Columbia, and Malaysia, and classifies those measures. Then, we can examine different classification of benefit-sharing measures with basic principles of ABS and effects of ABS practical cases to find out the best benefit-sharing strategy of the state.
    At last, this article compares the best benefit-sharing strategy of the state with the strategy of Taiwan based on the draft of the Genetic Resources Law, and trys to make some suggestions to the draft.

    謝 誌 i 摘 要 ii 目 錄 iv 圖表目錄 vi 縮寫對照表 vii 第一章、 緒論 - 1 - 1.1 研究動機 - 1 - 1.2 研究方法與流程 - 3 - 1.3 研究範圍與限制 - 4 - 1.3.1 遺傳資源之定義 - 4 - 1.3.2 研究範圍 - 5 - 1.3.3 研究限制 - 6 - 1.4 本文架構 - 7 - 第二章、 國際遺傳資源之歷史演進與ABS制度現況 - 8 - 2.1 國際遺傳資源之歷史演進 - 8 - 2.1.1 人類共同遺產時期 - 8 - 2.1.2 智慧財產權擴張時期 - 11 - 2.1.3 種子戰爭 - 12 - 2.1.4 遺傳資源主權歸屬 - 15 - 2.2 國際遺傳資源議題之現況-以CBD下之ABS制度為核心 - 15 - 2.2.1 第一、二次跨國專家小組會議 - 16 - 2.2.2 第六次締約國大會與波昂準則(Bonn Guideline) - 20 - 2.2.3 遺傳資源取得與利益分享國際制度 - 22 - 2.3 小結 - 23 - 第三章、 國際遺傳資源管制模式轉變之原因與ABS制度之原理 - 25 - 3.1 國際遺傳資源管制模式轉變之背景 - 25 - 3.1.1 工業化國家對於CHM之誤解 - 25 - 3.1.2 工業化國家忽略遺傳資源提供國於維養工作之貢獻 - 26 - 3.1.3 開發中國家對於智慧財產權制度之疑慮 - 27 - 3.1.4 環境意識的抬頭 - 28 - 3.1.5 小結 - 29 - 3.2 ABS國際法制之基本原理 - 29 - 3.2.1 永續發展原則 - 30 - 3.2.2 正義原則 - 32 - 3.2.3 多元參與原則 - 35 - 3.2.4 法定、透明管理原則與便利取用原則 - 36 - 3.3 小結 - 37 - 第四章、 ABS機制之國家實踐與個案研究 - 39 - 4.1 哥斯大黎加 - 39 - 4.1.1 背景 - 39 - 4.1.2 生物多樣性法立法歷程 - 40 - 4.1.3 生物多樣性法 - 41 - 4.1.4 小結 - 46 - 4.2 菲律賓 - 47 - 4.2.1 背景 - 47 - 4.2.2 立法歷程 - 47 - 4.2.3 EO 247與DAO 96-20 - 48 - 4.2.4 個案研究:猶他大學商業研究協議案 - 53 - 4.2.5 小結 - 54 - 4.3 安地斯共同體與哥倫比亞 - 55 - 4.3.1 背景 - 55 - 4.3.2 立法歷程 - 55 - 4.3.3 Decision 391 - 56 - 4.3.4 個案研究:哥倫比亞BioAndes案 - 59 - 4.3.5 小結 - 61 - 4.4 馬來西亞 Calophyllum案 - 62 - 4.4.1 背景 - 62 - 4.4.2 個案研究:Calophyllum開發案 - 63 - 4.4.3 Calophyllum案後馬來西亞ABS規範之發展 - 66 - 4.4.4 小結 - 66 - 4.5 各國立法與實踐之比較 - 67 - 4.5.1 各國法例之比較分析 - 67 - 4.5.2 實踐個案之比較 - 68 - 4.5.3 小結 - 69 - 第五章、 ABS制度利益分享機制之評析:以利益分享手段為核心 - 75 - 5.1 利益分享機制之手段與類型 - 75 - 5.1.1 利益分享之手段 - 75 - 5.1.2 利益分享之類型 - 79 - 5.2 利益分享機制落實之評析 - 80 - 5.2.1 由永續發展原則檢視利益分享手段 - 81 - 5.2.2 由分配正義之觀點檢視利益分享手段 - 84 - 5.2.3 由便利取用原則檢視利益分享手段 - 85 - 5.2.4 小結:國家實踐利益分享之較適策略 - 87 - 5.3 小結 - 88 - 第六章、 我國ABS制度立法工作之介紹 - 89 - 6.1 與遺傳資源取用相關規範現況 - 89 - 6.2 遺傳資源法草案內容 - 90 - 6.2.1 範圍 - 90 - 6.2.2 取用程序 - 90 - 6.2.3 利益分享 - 93 - 6.3 我國遺傳資源法草案與各國立法例之比較與評析 - 93 - 6.3.1 我國遺傳資源法草案與各國立法例比較 - 93 - 6.3.2 我國遺傳資源法之特色與評析 - 97 - 6.4 小結:對於我國遺傳資源法草案之一點建言 - 100 - 第七章、 研究結論與建議 - 102 - 7.1 研究結論 - 102 - 7.2 立法建議 - 104 - 參考文獻 I 附錄:台灣遺傳資源法草案條文第二稿(學者版) VIII

    ◎ 中文文獻(依照作者姓氏筆畫排列)
    期刊
    1. 李紅曦,荷蘭、美國及澳洲植物新品種保護制度概況,台灣之種苗,2000年1-2月號(2000)。可至網站:http://seed.agron.ntu.edu.tw/IPR/hhlee/system.htm下載。
    2. 李紅曦,植物新品種國際保護聯盟簡介,台灣花卉園藝月刊,第147期(1999)。可至網站:http://seed.agron.ntu.edu.tw/IPR/hhlee/upov.htm下載。
    3. 黃居正,無主物、共同遺產與公有物─遺傳與生物資源公約中的財產意識,政大法學評論,第二十九期(2006)。
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    學位論文
    1. 孟繁榮,遺傳資源取得和利益分享之管制原則,東華大學碩士論文 (2004)。
    2. 張裕德,羅爾斯正義理論的「康德式詮釋」之研究,國立中央大學哲學研究所碩士論文(1993)

    專書論文
    1. 郭華仁,原住民的植物遺傳資源權與傳統知識權,生物多樣性與台灣原住民發展研討會論文集(蔡中涵編,2000)。

    專書
    1. 秦天寶,遺傳資源獲取與惠益分享的法律問題研究,武漢大學出版社,2006年。
    2. 葉俊榮,全球環境議題-台灣觀點,巨流出版,1999年。
    3. 遺傳資源法規研擬小組,遺傳資源的取得與利益分享,台灣大學農藝系出版,2005年。

    研究報告
    1. 沈瑞琛,台灣特有生物遺傳資源之管理現況,請參照網頁:http://www.cc.nctu.edu.tw/~kjni/files/NSC/Biotech/Genetic/Countries/Taiwan/5-遺傳資源法相關資料.doc
    2. 倪貴榮,與貿易有關之貿易財產權協定與生物多樣性公約之衝突與調和:以生物遺傳資源取得與利益分享為探討中心,行政院國科會九十年度專題研究計畫補助

    譯著
    1. Robert Cooter & Thomas Ulen著,溫麗琪譯,法律經濟學,華泰出版社(2003)
    2. 苗力田、徐開來譯,亞里斯多德倫理學,知書房出版社(2001)。
    3. Aristotle著,廖申白譯註,尼各馬可倫理學,一版,商務印書管(2003)。

    網路資源
    1. 台大園藝系種子實驗室 http://seed.agron.ntu.edu.tw/
    2. 遺傳資源法 http://seed.agron.ntu.edu.tw/agra.htm
    3. 植物預種史 http://seed.agron.ntu.edu.tw/civilisation/PlantHistory/breedmain.htm

    ◎ 英文文獻(依照作者英文姓氏排列)
    期刊論文
    1. Aoki, Keith, Althus, Mendel, and Monsato: Intellectual Property and the Law Politics of Global Food Supply: an Introduction, 19 J. ENVTL. L. & LITIG. 397(2004)
    2. Aseby, Edgar J. & Kempenaar, Jill D., Biodiversity Prospecting: Fulfilling the Mandate of the Biodiversity Convention, 28 VAND. J. TRANSNAT’L L. 703(1995)
    3. Bosselmann, Klaus, Plant and Politics: The International Legal Regime Concerning Biotechnology and Biodiversity, 7 COLO. J. INT’L ENVTL. L. & POL’Y 111(1996)
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    5. Carlson, Jonathan C., Strengthening the Property-rights Regime for Plant Genetic Resources: The Role of World Bank, 6 TRANSNAT’L L. & CONTEMP. PROBS. 91(1997)
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    7. Dunn, Sara M., From Flav’r Sav’r to Environmental Saver? Biotechnology and the Future of Agriculture, International Trade, and the Environment, 9 COLO. J. INT'L ENVTL. L. & POL'Y 145(1998)
    8. Haapala, John E., Jr., Farmers’ Rights, 19 J. ENVTL. L. & LITIG. 467(2004)
    9. Jeffery, Michael I Q.C, Bioprospecting: Access to Genetic Resources and Benefit-sharing under the Convention on Biodiversity and the Bonn Guidelines, 6 SING. J. INT'L & COMP. L. 747(2002)
    10. Jonge, Bram de & Korthals, Michiel, Vicissitudes of Benefit Sharing of Crop Genetic Resources: Downstream and Upstream, 6 DEVELOPING WORLD BIOETHICS 144 (2006)
    11. Joyner, Christopher C., Legal Implications of the Concept of common Heritage of Mankind, 35 THE INTERNATIONAL AND COMPARATIVE LAW QUARTERLY 190(1986).
    12. Kushan, Jeffrey P., Biodiversity: Opportunities and Obligations, 28 VAND. J. TRANSNAT'L L. 755(1995)
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    14. Nelson, Amy, Is There an International Solution to Intellectual Property Protection For Plants?, 37 GEO. WASH. INT'L L. REV. 997(2005)
    15. Ntambirweki, John, Biotechnology and International Law within the North-South Context, 14 TRANSNAT'L LAW 103(2001)
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    22. Smagadi, Aphrodite, Analysis of the Objectives of the Convention on Biological Diversity: Their Interrelation and Implementation and Guidance for Access and Benefit Sharing, 31 COLUM. J. ENVTL. L. 243(2006)
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    研討會論文
    1. Kuo, Warren H. J., Chen, Jau-Hua el at, Legalizing the Acquisition of Genetic Resources in Chinese Taipei: A proposal(2006), published at The 2006 APEC-ATCWG Workshop on Interaction of CBD and TRIPs Related Issues on the Plant Genetic Resources.

    專書論文
    1. Benavidez, Paz J. II, Philippines: Evolving Access and Benefit-Sharing Regulations in ACCESSING BIODIVERSITY AND SHARING THE BENEFITS: LESSONS FROM IMPLEMENTING THE CONVENTION ON BIOLOGICAL DIVERSITY (Santiago Carrizasa et al ed., 2004)
    2. Blais, François, The Fair and Equitable Sharing of Benefits from the Exploitation of Genetic Resources: A Difficult Transition from Principles to Reality in GOVERNING GLOBAL BIODIVERSITY : THE EVOLUTION AND IMPLEMENTATION OF THE CONVENTION ON BIOLOGICAL DIVERSITY (GLOBAL ENVIRONMENTAL GOVERNANCE) (Philippe G. Le Prestre ed., 2002)
    3. Brush, Stephen B. & Carrizosa, Santiago, Implementation Pathways in ACCESSING BIODIVERSITY AND SHARING THE BENEFITS: LESSONS FROM IMPLEMENTING THE CONVENTION ON BIOLOGICAL DIVERSITY (Santiago Carrizasa et al ed., 2004)
    4. Cabrera-Medgalia, Jorge, Costa Rica: Legal Framework and Public Policy in ACCESSING BIODIVERSITY AND SHARING THE BENEFITS: LESSONS FROM IMPLEMENTING THE CONVENTION ON BIOLOGICAL DIVERSITY (Santiago Carrizasa et al ed., 2004)
    5. Cabrera-Medgalia, Jorge, Costa Rica in CASE STUDIES ON ACCESS AND BENEFIT-SHARING (Robert J. Lewis-Lettington & Sarah Mwanyki eds., 2006)
    6. Carrizosa, Santiago, Diversity of Policy in Place and in Process in ACCESSING BIODIVERSITY AND SHARING THE BENEFITS: LESSONS FROM IMPLEMENTING THE CONVENTION ON BIOLOGICAL DIVERSITY (Santiago Carrizasa et al ed., 2004)
    7. Ferreira-Miani, Paola, Colombia: Access and Exchange of Genetic Resource in ACCESSING BIODIVERSITY AND SHARING THE BENEFITS: LESSONS FROM IMPLEMENTING THE CONVENTION ON BIOLOGICAL DIVERSITY (Santiago Carrizasa et al ed., 2004)
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    14. Osman, Mohamad Bin & Zakri, Ahmad H., Malaysia’s Approach to Access and Benefit Sharing in ACCESS TO GENETIC RESOURCES AND TRADITIONAL KNOWLEDGE: LESSONS FROM SOUTH AND SOUTHEAST ASIA (Lyle Glowka el al Ed. 1998)
    15. Osman, Mohamad, Malaysia: Recent initiatives to Development Access and Benefit-Sharing Regulations in ACCESSING BIODIVERSITY AND SHARING THE BENEFITS: LESSONS FROM IMPLEMENTING THE CONVENTION ON BIOLOGICAL DIVERSITY (Santiago Carrizasa et al ed., 2004)
    16. Sittenfeld, Ana & Gámez, Rodrigo, Biodiversity Prospecting in BIODIVERSITY PROSPECTING(A WORLD RESOURCES INSTITUTE BOOK, 1993)

    專書
    1. BASLAR, KEMAL, THE COPCEPT OF THE COMMON HERITAGE OF MANKIND IN INTERNATIONAL LAW (1998)
    2. CROSBY, ALFRED W., JR., THE COLUMBIAN EXCHANGE: BIOLOGICAL AND CULTURAL CONSEQUENCES OF 1492(2003)
    3. DUTFIELD, GRAHAM, INTELLECTUAL PROPERTY RIGHTS, TRADE AND BIODIVERSITY (2000)
    4. GURUSWAMY, LAKSHMAN D., INTERNATIONAL ENVIRONMENTAL LAW 2ND ED.(2003)
    5. IWU, MAURICE M. & LAIRD, SARAH A., THE INTERNATIONAL COOPERATIVE BIODIVERSITY GROUP DRUG DEVELOPMENT AND BIODIVERSITY CONSERVATION IN AFRICA(1998)
    6. KATE, KERRY TEN & WELLS, ADRIAN, THE ACCESS AND BENEFIT-SHARING POLICIES OF THE UNITED STATES NATIONAL CANCER INSTITUTE: A COMPARATIVE ACCOUNT OF THE DISCOVERY AND DEVELOPMENT THE DRUGS CALANOLIDE AND TOPOTECAN (1998)
    7. KLOPPENBURG, JACK R., JR., FIRST SEED: THE POLITICAL ECONOMY OF PLANT BIOTECHNOLOGY 1492-2000(1988)
    8. LIEBIG, KLAUS ET AL, GOVERNING BIODIVERSITY: ACCESS TO GENETIC RESOURCES AND APPROACHES TO OBTAINING BENEFITS FROM THEIR USE: THE CASE OF THE PHILIPPINES (2002)
    9. MARIN, PATRICIA LUCIA CANTUÁRIA, PROVIDING PROTECTION FOR PLANT GENETIC RESOURCES – PANTE, SUI GENERIS SYSTEMS, AND BIOPROSPECTING (2002)
    10. ROSENTHAL, JOSHUA P., THE INTERNATIONAL COOPERATIVE BIODIVERSITY GROUPS (ICBG) PROGRAM: A BENEFIT-SHARING CASE STUDY FOR THE CONFERENCE OF PARTIES TO CONVENTION ON BIOLOGICAL DIVERSITY (1998)
    11. SEILER, ACHIM & DUTFIELD, GRAHAM, REGULATING ACCESS AND BENEFIT SHARING: BASIC ISSUES, LEGAL INSTRUMENTS, POLICY PROPOSAL (2001)
    12. SHAW, MALCOLM N., INTERNATIONAL LAW(2003)
    13. SWIDERSKA, KRYSTYNA ET AL, DEVELOPING THE PHILIPPINES’ EXECUTIVE ORDER NO. 247 ON ACCESS TO GENETIC RESOURCES (2001)
    14. PORZECANSKI, ANA L. ET AL, ACCESS TO GENETIC RESOURCES: AN EVALUATION OF THE DEVELOPMENT AND IMPLEMENTATION OF RECENT REGULATION AND ACCESS AGREEMENTS (1999)

    研究報告
    1. PROTECTED AREAS AND WILDLIFE BUREAU, DENR, REPUBLIC OF PHILIPPINES, THE FIRST PHILIPPINE NATIONAL REPORT ON THE CONVENTION ON BIOLOGICAL DIVERSITY(1998)
    2. WORLD COMMISSION ON ENVIRONMENT AND DEVELOPMENT, OUR COMMON FUTURE (1987)

    網路資源
    1. CBD http://www.biodiv.org/default.shtml
    2. FAO http://www.fao.org
    3. International Expert Workshop on Access to Gentic Resources and Benefit-Sharing, Canada-Mexico Workshop http://www.canmexworkshop.com/
    4. UNEP http://www.unep.org
    5. Biodiversity Hot Spot http://www.biodiversityhotspots.org

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