1、UNU-IAS Report Benefit Sharing in ABS: Options and Elaborations,Contents,Executive Summary 執(zhí)行摘要 1. Introduction 簡介,Executive Summary,The third objective of the Convention on Biodiversity (CBD) to ensure “the fair and equitable sharing of the benefits arising out of the utilization of genetic resourc

2、es, including by appropriate access to genetic resources.” has taken centre stage now with negotiations in full swing to develop an international regime on Access and Benefit Sharing (ABS) by the year 2010. 生物多樣性公約的第三個目標確?！肮焦窒碛衫眠z傳資源而產(chǎn)生的惠益 ，包括遺傳資源的適當取得”現(xiàn)在已占據(jù)了談判舞臺的中心，談判進行地如火如荼，以期在2010年之前構建一個有關遺傳資源

3、獲取和惠益分享的國際制度。,Executive Summary,While some progress has been achieved on negotiations related to access regulations, discussions on benefit sharing are still evolving. The provisions of the CBD and its Bonn Guidelines on ABS (Guidelines on Access to Genetic Resources and Fair and Equitable Sharing o

4、f the Benefits Arising out of their Utilization) provide direction to the measures that countries may implement to achieve fair and equitable sharing of benefits among the different stakeholders. 雖然有關獲取規(guī)則的談判取得了一些進展，但是有關惠益分享的討論仍在進行。CBD和波恩準則（獲取遺傳資源與公平公正分享利用遺傳資源所產(chǎn)生惠益的準則）的規(guī)定為締約國落實有關措施提供指導，以實現(xiàn)不同利益相關者之間的公

5、平公正惠益分享。,波恩準則于2002年海牙的CBD第六次締約方大會上通過。是一個自愿性文件。準則旨在協(xié)助各國政府采取措施以管理其國家的獲取和惠益分享制度，確保提供一個透明的框架來促進獲取遺傳資源，確保公正和公平地分享通過遺傳資源的利用所產(chǎn)生的惠益。 準則針對兩個級別的遺傳資源使用者和提供者： 1.政府：制定本國的獲取和惠益分享措施 2.機構和個人：協(xié)助談判獲取和惠益分享協(xié)議，如事先知情同意和共同商定條件 內(nèi)容：準則列出了獲取和惠益分享過程中的主要步驟，包括確認事先知情同意和共同商定條件所需的基本組成部分。 準則還列出了使用者和提供者的主要角色和責任，包括由使用遺傳資源所產(chǎn)生的貨幣和非貨幣惠益清

6、單。,Executive Summary,Other international instruments, such as the Food and Agriculture Organizations (FAO) International Treaty on Plant Genetic Resources (ITPGR) and the World Intellectual Property Organization (WIPO) through its Inter-Governmental Committee on Intellectual Property and Genetic Res

7、ources, Traditional Knowledge and Folklore (IGC), also address issues related to the implementation of benefit sharing measures. 其他的國際工具，比如聯(lián)合國糧農(nóng)組織的糧食和農(nóng)業(yè)植物遺傳資源國際條約和世界知識產(chǎn)權組織的關于知識產(chǎn)權與遺傳資源、傳統(tǒng)知識及民間民間文學藝術表達政府間委員會，也解決有關落實惠益分享措施的問題。,Executive Summary,Despite developments in deliberations on benefit sharing i

8、n such fora, countries are found to be cautious to implement measures related to benefit sharing. 盡管在論壇中惠益分享磋商取得進展，但是國家仍應謹慎對待惠益分享措施的落實。,Executive Summary,Based on the experiences of implementing provisions of the international instruments and national measures, an attempt has been made to assess and

9、 analyse the issues related to benefit sharing, the entry points for discussions on the issues and the possible considerations that national implementing authorities should make before deciding on benefit sharing principles and policies. 根據(jù)國際工具和國家措施的執(zhí)行規(guī)定經(jīng)驗，報告對評估和分析惠益分享問題、問題討論的切入點和國家執(zhí)行機關在決定惠益分享原則和政策前

10、的可能考慮做出了嘗試。,Executive Summary,The principles are discussed under five topics in the order of a typical scheme in a bio-prospecting exercise: (i) Defining ownership over resources and related knowledge;(ii)Byproducts/Derivatives; (iii) Benefit sharing; (iv) Third Party Transfer of research results; a

11、nd (v) Intellectual Property concerns. 惠益分享原則在五個主題下進行討論（依照生物勘探活動典型計劃的次序）：(i)界定資源所有權和相關知識；(ii)衍生產(chǎn)品；(iii)惠益分享；(iv)研究結果的第三方傳輸；(v)知識產(chǎn)權問題。,Executive Summary,Issues that need to be considered under each context in addition to distinct and suitable examples have been quoted highlighting potential scenarios

12、 that national implementing agencies will be faced with. This therefore provides a framework for nations to assess their options of dealing with such issues. 在每個方面都需考慮的問題除了明顯的和適當?shù)睦樱驯灰C為各國執(zhí)行機構所面臨的突出的潛在問題。因此報告為國家評估處理此類問題的選擇提供了一個框架。,Executive Summary,It is also important to account for and reflect on

13、 the differences in benefits, costs and approaches to benefit sharing between various prominent sectors that use biological resources for their research and development ventures such as pharmaceuticals, botanicals/nutraceuticals, food and agriculture, natural personal care and cosmetic products as w

14、ell as academia. 同樣重要的是解釋和考慮利益、成本和不同突出部門的惠益分享方法的差異。突出部門是指利用生物資源進行研究和企業(yè)開發(fā)，比如制藥、植物性治療藥物/保健營養(yǎng)品、食品與農(nóng)業(yè)、天然個人保健品、化妝品和學術界。,Executive Summary,As such, any particular scenario related to ABS is specific to sectors, locations, scales and policies, which highlights the need for an integrated approach by stakeho

15、lders at various levels to ensure effective implementation of ABS provisions. 同樣地，與ABD相關的任何特殊情況特定于部門、地點、規(guī)模和政策，它強調利益相關者在不同層面確保ABS規(guī)定有效實施的綜合方法的需要。,Executive Summary,This requires the active participation of experts from multiple disciplines and different ministries at the national level to devise compr

16、ehensive policies and administrative procedures. It also necessitates appropriate and sufficient support from global mechanisms to implement the provisions of the Bonn Guidelines while strengthening efforts to adopt and implement an international regime on ABS. 這需要來自不同學科和不同部門的專家的積極參與，在國家層面上設計綜合政策和管理

17、程序。努力接受和實施ABS國際制度的同時，它也需要來自執(zhí)行波昂準則的全球機制的適當和足夠的支持。,Bcak,1. Introduction,According to various estimates, the potential value of biological diversity and genetic resources ranges anywhere between US$ 800 billion to US$ 1 trillion (Costanza et.al., 1997; ten Kate and Laird 1999; Balmford et al, 2002). Ho

18、wever, this potential is not currently available in a form for us to use directly but is based on the careful prospecting of genetic resources for products, derivatives and services. 根據(jù)各種估計，生物多樣性和遺傳資源的潛在價值在八千億美元和一萬億美元之間。然而，目前并沒有一種方式可以讓我們直接使用這種潛在價值，而是基于仔細勘探遺傳資源而制成的產(chǎn)品、衍生產(chǎn)品和服務。,1. Introduction,The use

19、and non-use values of biodiversity provide humanity with a range of options to deal with livelihood and economic securities. Humans used this variability in biological systems to their advantage over time. 生物多樣性的使用和非使用價值為人類解決生計和經(jīng)濟安全提供了一系列選擇。隨著時間推移人們利用對他們有利的生物系統(tǒng)的變異。,1. Introduction,New technologies s

20、uch as biotechnology, nanotechnology, pharmaceuticals and others add value to biodiversity and genetic resources. With the advent of novel technologies, countries face new challenges to ensure equity amidst the different stakeholders using biological resources. This has resulted in the adoption of n

21、ew rules in the game of who gains access to such resources, how such access is made available, what benefits will accrue to the providers and users of the resources, and how the benefits will be shared. 新技術比如生物技術、納米技術、制藥以及其他技術增加了生物多樣性和遺傳資源的價值。隨著新技術的出現(xiàn)，國家面臨著確保不同利益相關者公平利用生物資源的挑戰(zhàn)。這導致了采用新的游戲規(guī)則“誰取得了資源，怎樣

22、的獲取是有效的，什么利益會分配給資源的提供者和使用者以及利益如何分享”。,1. Introduction,The Convention on Biological Diversity (CBD) is an almost universally accepted international agreement (with 191 countries Parties to the Convention as of October 2008) that provides countries with a set of principles, obligations and responsibili

23、ties on how access to genetic resources be provided and benefits arising from use of such resources be shared. CBD是一個被廣泛接受的國際協(xié)定（截至2008年10月有191個公約締約國），它為各國提供了有關如何獲取遺傳資源應以及如何分享利用資源所產(chǎn)生的惠益的一系列準則、義務和責任。,Executive Summary,The third objective of the CBD seeks to ensure “the fair and equitable sharing of th

24、e benefits arising out of the utilization of genetic resources, including by appropriate access to genetic resources and by appropriate transfer of relevant technologies, taking into account all rights over those resources and to technologies, and by appropriate funding.” CBD的第三個目標是確?！肮秃侠淼胤窒砝眠z傳資源

25、所產(chǎn)生的惠益，實施手段包括遺傳資源的適當取得及有關技術的適當轉讓，但需顧及對這些資源和技術的一切權利，以及提供適當資金”。（CBD的第一條）,1. Introduction,In an era that facilitates privatization of knowledge and resources, governments have the sovereign right over exploitation of their natural resources and accordingly must decide how access is given to people to p

26、rospect and use genetic resources and how benefits are shared based on a set of agreed norms and principles derived from ethics and equity. 在促進知識和資源私有化的時代，政府對開發(fā)其自然資源擁有主權權利，因此必須由政府決定人們?nèi)绾稳〉眠z傳資源以進行勘探和利用以及根據(jù)來源于道德準則和公平理論的一套商定規(guī)范和原則來決定惠益如何分享。,1. Introduction,The CBD attempts to facilitate such access and b

27、enefit sharing mechanisms and does not provide for restrictive scenarios. However, in the absence of clear principles of what constitutes a fair benefit sharing deal and how one can foresee the potential of genetic resources in realising benefits, countries are concerned about the entire provision o

28、f access and benefit sharing (ABS) within the CBD. CBD試圖促進獲取和惠益分享機制并且沒有規(guī)定限定情況。然而，由于缺少清晰的原則來確定一個公平惠益分享交易由什么構成以及一個人如何能預見遺傳資源實現(xiàn)其利益的潛能，因此各國關注CBD內(nèi)獲取與利益分享的全部條款。,1. Introduction,Owing to the lack of clarity, many countries have found it challenging to implement relevant provisions of the CBD. Some countrie

29、s, such as India, introduced strategic national instruments such as the National Biodiversity Act (2000) to provide policy guidance on issues of ABS. However, much needs to be done to operationalise the principles surrounding ABS. 由于規(guī)定不清楚，許多國家發(fā)現(xiàn)執(zhí)行CBD的有關規(guī)定是具有挑戰(zhàn)性的。一些國家比如印度引入了國家戰(zhàn)略工具（如國家生物多樣性法案）為ABS問題提供

30、政策指導。然而，實施ABS周圍的準則是非常需要的。,1. Introduction,The Guidelines on Access to Genetic Resources and Fair and Equitable Sharing of the Benefits Arising out of their Utilization (Bonn Guidelines) that were adopted by the Parties to the CBD in 2002 to provide a voluntary set of guidelines and principles, inclu

31、ding some clear mandates, are not being effectively implemented. 獲取遺傳資源與公平公正分享利用遺傳資源所產(chǎn)生惠益的準則（波恩準則）在2002年被CBD締約方大會通過，它提供了一套自愿的指導和原則，包括一些清楚的指令，但是沒有被有效執(zhí)行。,1. Introduction,Some reasons for poor implementation include the voluntary nature of the Guidelines, unclear legislation, asymmetries in market info

32、rmation and resultant uncertainty over the likelihood of receipt of benefits commensurate with the costs of regulation and the complexity of dealing with sub-national bodies such as states and local communities and private landowners. 執(zhí)行差的原因包括準則的自愿性質、立法不明確、市場信息不對稱、得到與監(jiān)管成本相當?shù)睦婵赡苄缘慕Y果不確定以及應付地方主體諸如州、地方

33、社區(qū)和私人土地所有者的復雜性。,1. Introduction,The World Summit on Sustainable Development (WSSD) in 2000 called on nations to negotiate an international regime to promote and safeguard fair and equitable sharing of benefits arising out of utilization of genetic resources under the auspices of the CBD. 2000年可持續(xù)發(fā)展世

34、界首腦會議呼吁各國談判一個國際制度，在CBD框架下促進和保障公平公正分享利用遺傳資源所產(chǎn)生的惠益。,1. Introduction,The eighth Conference of Parties (COP) of the CBD through its decision (VIII/ 4) mandated Parties to complete the negotiations for an international regime in time for its tenth meeting of the Conference of Parties in 2010. 生物多樣性公約第八次締

35、約方大會通過其決議(VIII/ 4)授權締約方完成國際制度談判以應對2010年的第十次締約方大會。,1. Introduction,In order to progress on ABS issues, it is important for countries to gain more experience on how to operationalise the principles of ABS at national levels without waiting for the perfect system to be designed. These can be sui-generi

36、s systems but discussions under the international regime are to provide some operational principles. 為了在ABS問題上取得進展，獲得更多有關如何在國家層面實施ABS原則的經(jīng)驗對國家是很重要的，而不用等待設計出“完美”制度。這些可能是專門制度，但是國際制度的討論能提供一些實施原則。,1. Introduction,Nevertheless, a comparison of the different benefit sharing measures within the ABS provisio

37、ns of a sample of countries, based on their legislation (in Appendix), shows that while all the countries have fulfilled the minimum requirement for ensuring fair and equitable benefits, adequate laws providing minimum principles to be adhered to during negotiations are either absent or not fully co

38、herent in several cases. 然而，基于其立法（在附錄中），對一些國家的ABS規(guī)定中不同惠益分享措施的比較，表明雖然所有國家完成了確保公平公正利益的最低要求，但是談判期間所贊成的規(guī)定最低原則的足夠法律在一些情況下或者缺席或者不完全一致。,1. Introduction,Benefit Sharing: Need for specific guidelines 利益分享：需要具體的指導 Provider countries are faced with the task of making decisions related to benefit sharing during

39、 any ABS activity. 提供者國家擔負在各種ABS活動中做出利益分享決定的任務。,1. Introduction,By focusing on issues related to benefit sharing, this paper provides a framework set of principles and options to facilitate fair and equitable benefit sharing. The paper also briefly highlights sectoral differences in product developm

40、ent, the resultant costs, benefits accrued and feasible shares between the stakeholders. 聚焦于有關利益分享問題，本文提供了一套框架性的原則和選擇，以促進公平公正地分享惠益。本文也簡略地強調了在產(chǎn)品開發(fā)、結果成本、獲取的利益以及利益相關者間可行的分享方面的部門差異。,1. Introduction,It also seeks to address the gap between policy and practice through the elaboration of major issues of co

41、ncern in benefit sharing negotiations and what principles may be followed to address them. In this sense, it aims to facilitate discussions on the international regime (IR) on ABS. 它還試圖解決政策與實踐之間的差距，通過闡述利益分享談判關注的主要問題以及遵守什么原則則來解決他們。在這個意義上，它旨在于促進ABS國際制度的討論。,1. Introduction,The following section discuss

42、es the global policy framework and the guiding principles for implementation of ABS provisions with an emphasis on the CBD, Food and Agriculture (FAO) and World Intellectual Property Organization (WIPO) processes. 下一部分談論的是著重于CBD、FAO、WIPO進程下的ABS條款執(zhí)行的全球政策框架和指導原則。,1. Introduction,Section 3 discusses va

43、rious principles on benefit sharing that need to be taken into account and different scenarios that national policies should anticipate to chart guidelines for implementation of ABS provisions. 第三部分討論需要考慮的利益分享的不同原則和國家政策預期的各種情況，以為執(zhí)行ABS規(guī)定設計指導原則。,1. Introduction,Section 4 examines the rationale for fix

44、ing benefit sharing norms in ABS discussions, including modes and amounts of payment, arguing for a sectoral estimation of potential value of benefits. Care is taken to identify elements of the sections that are in tune with the ongoing discussions under the international regime. 第四部分審查ABS討論中固定惠益分享規(guī)

45、范的原理，包括支付的方法和數(shù)額，來論證惠益的潛在價值的部門估計。仔細識別與正在進行的國際制度討論相一致的各部分內(nèi)容。,小結 據(jù)估計，生物多樣性和遺傳資源的潛在價值非常大，但是目前沒有一種方式可以讓我們直接利用。隨著新技術的出現(xiàn)，增加了遺傳資源的價值，但同時也使國家面臨著確保不同利益相關者公平各種利用生物資源的挑戰(zhàn)。 現(xiàn)有的ABS國際保護制度有: CBD 首次作出規(guī)定并被廣泛接受，第一條（第三個目標）和第十五條。但比較粗糙，缺乏具體規(guī)定，導致各國執(zhí)行困難。 波恩準則 對ABS作出了具體規(guī)定，指導國際及各國的相關立法和實踐。但由于其自愿性、現(xiàn)實情況復雜等種種原因，導致執(zhí)行差。 其他努力有，2000

46、年可持續(xù)發(fā)展世界首腦會議呼吁各國建立一個在CBD框架下促進和保障ABS的國際制度。生物多樣性公約第八次締約方大會通過決議授權締約方完成國際制度談判以應對2010年的第十次締約方大會。,小結 要在ABS問題上取得進展，各國應通過討論獲得ABS如何在國家層面實施的經(jīng)驗，而不是設計完美制度。 報告的主要內(nèi)容是： 聚焦于有關利益分享問題，本文提供了一套框架性的原則和選擇，以促進公平公正地分享惠益。本文也簡略地強調了在產(chǎn)品開發(fā)、結果成本、獲取的利益以及利益相關者間可行的分享方面的部門差異。 下一部分談論的是著重于CBD、FAO、WIPO進程下的ABS條款執(zhí)行的全球政策框架和指導原則。 第三部分討論需要考

47、慮的利益分享的不同原則和國家政策預期的各種情況，以為執(zhí)行ABS規(guī)定設計指導原則。 第四部分審查ABS討論中固定惠益分享規(guī)范的原理，包括支付的方法和數(shù)額，來論證惠益的潛在價值的部門估計。,Global Policy Framework for ABS Implementation,執(zhí)行（遺傳資源）獲取以及惠益分享的全球政策框架,Intergovernmental,global processes determine the policy direction that individual countries shall take to deal withimplementation at loc

48、al levels.政府間的、全球的進程決定了單個國家處理地區(qū)層面執(zhí)行問題的政策方向。,In the case of access to biodiversity, use of the resources and sharing the benefits of such use, three major processes influence country level implementation.在獲取生物多樣性、資源的使用、以及通過使用資源所得的惠益分享情況下，三個主要進程影響國家層面執(zhí)行水平的。,These are the Convention on Biological Diver

49、sity (CBD), the International Treaty on Plant Genetic Resources for Food and Agriculture (ITPGRFA) and the Inter-Governmental Committee on Intellectual Property and Genetic Resources, Traditional Knowledge and Folklore (IGC) of the World Intellectual Property Office (WIPO) that deals with ownership

50、and intellectual property rights issues related to genetic resources and traditional knowledge.這三個主要進程是生物多樣性公約，糧食和農(nóng)業(yè)植物遺傳資源國際條約，處理與遺傳資源和傳統(tǒng)知識相關的所有權和知識產(chǎn)權問題的世界知識產(chǎn)權組織的知識產(chǎn)權、遺傳資源、傳統(tǒng)知識以及民間文藝政府間委員會,1 Benefit Sharing within the Convention on Biological Diversity生物多樣性公約內(nèi)的惠益分享,2 Benefit Sharing within the FAO I

51、nternational Treaty on Plant Genetic Resources for Food and Agriculture (ITPGRFA ) 糧農(nóng)組織糧食和農(nóng)業(yè)植物遺傳資源國際條約 內(nèi)的惠益分享,The Bonn Guidelines on Access to Genetic Resources and Fair and Equitable Sharing of the Benefits Arising out of their Utilization that were adopted by the COP of the CBD in 2002 were develo

52、ped to serve as guidelines for contracts and other arrangements under mutually agreed terms for access and benefit-sharing。在2002年生物多樣性公約締約方大會通過的有關遺傳資源獲取，公正、公平分享利用資源所得惠益的波恩準則成為獲取和惠益分享合同以及根據(jù)共同商定條件訂立協(xié)議的指導原則,With ABS debates based on issues of Prior Informed Consent (PIC), Mutually Agreed Terms (MATs) a

53、nd Material Transfer Agreement (MTA), it isworthwhile to revisit how these issues are being addressed within the Bonn Guidelines.基于事先知情同意，共同商定條件，材料轉讓協(xié)議問題的獲取和惠益分享探討，有必要重新審視這些問題在波恩準則內(nèi)如何被解決。,The Bonn Guidelines indicate that mutually agreed terms should be set out in a written agreement withguiding par

54、ameters in contractual agreements and provide an indicative list of typical mutually agreed terms which may be applicable in contracts regarding access to genetic resources.波恩準則表明用“合同式協(xié)議指導參數(shù)”使共同商定的條件以書面形式列明并且提供典型的有關遺傳資源獲取合同可能適用的“共同商定的條件指示性清單”,They provide basic requirements inthe development of MATs

55、 for ABS, including legal certainty,awareness, institutional mechanisms, and an indicative list of elements that could be included as MATs。波恩準則在共同商定條件的制定過程中為獲取和惠益分享提供基本需求，包括法律的確定性、提高意識、制度機制、以及作為共同商定條件應當包含的指示性的組成部分。,These elements range fromresources that can be accessed to issues of ownership over t

56、he final product, terms to use and transfer the material and benefit sharing.這些組成部分包括能夠被獲取的資源、最終產(chǎn)品的所有權問題、使用和轉讓材料與惠益分享的條件,A separate section on benefit sharinghighlights what could be covered under the terms including type (monetary types and non-monetary types of benefits), timing (short-term, mediu

57、m or long-term benefits) and distribution mechanisms among the different stakeholders (including government, indigenous and local communities,industry, etc.) to ensure that the sharing process is fair and equitable。有關惠益分享的單獨部分強調共同商定條件應當涵蓋什么以確保分享的過程是公正公平的，包括惠益類型（貨幣或非貨幣的利益形式），享受時間（短期、中期或長期利益）以及不同利益相關者

58、的分配機制（包括政府、土著以及地方社區(qū)、產(chǎn)業(yè)等）,The ABS Management Tool provides practical guidance for users of genetic resources to be compliant with the Bonn Guidelines,including best practices that may be followed in the implementation of the different provisions such as PIC, MAT, benefit sharing, traditional knowledg

59、e, conservation and sustainable use.獲取和惠益分享管理工具為遺傳資源的使用者成為波恩準則的遵守者提供實踐指導，包括執(zhí)行不同條款（例如，事先知情同意、共同商定條件、惠益分享、傳統(tǒng)知識、保護和可持續(xù)使用）應當采取的最佳做法,Specifically, the Management Tool clearly highlights that fair and equitable benefit sharing is required to ensure compliance with the third objective of the CBD具體地說，管理工具明確強調公正公平的惠益分享是確保遵守生物多樣性公約第三個目標（公平公正的惠益分享）的必然需求。,it is provided based on the stages of value addition and should involve different stakeholders who may have contributed to the“resourcemanagement, scientific and commercial processes”。管理工具以在遺傳資源增值階段被提供為基礎，且應當涉及可能對“資源管理，科學和商業(yè)過程”做出貢獻的不同利益相關者,Given the