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Part Ⅰ. Introduction&Silke von Lewinski 1

Part Ⅱ. Indigenous Peoples, Indigenous Knowledge and Indigenous Resources in International Law&Peter-Tobias Stoll and Anja von Hahn 7

Section 1. Indigenous Peoples in International Law 7

Section 2. Indigenous Peoples: Definition Issues 10

Ⅰ. The Term 'Indigenous': An Approximation 11

Ⅱ. The Recognition of Indigenous Peoples as 'Peoples' 15

Section 3. Some Essential Characteristics of Indigenous Cultures 17

Ⅰ. Collective Rights 17

Ⅱ. Indigenous Peoples and Their Land 18

Ⅲ. Indigenous Heritage: Indigenous and Traditional Resources 19

Section 4. Relevant Human Rights Norms in the Context of Indigenous Knowledge and Indigenous Resources 21

Ⅰ. General Human Rights Norms Relevant to the Protection of Indigenous Knowledge and Indigenous Resources 21

1. Human Rights Standards for the Protection of Intellectual Property 21

2. Other Relevant Standards in the Context of Indigenous Resources and Traditional Knowledge 23

Ⅱ. Specific Human Rights Instruments for the Protection of Indigenous Peoples 24

1. ILO Convention No. 169 25

2. Draft Declaration on the Rights of Indigenous Peoples 26

3. The Proposed American Declaration 29

Section 5. Indigenous Peoples in International Environmental Law 30

Ⅰ. The Convention on Biological Diversity 31

1. 'Indigenous and Local Communities' 32

2. The General Concept 32

(a) Dependence of Indigenous and Local Communities on Biological Resources 32

(b) The Concept of Benefit-Sharing 32

3. Art. 8(j) of the CBD as the Key Operative Provision 33

(a) Art. 8(j) in Context: in situ Conservation of Biological Diversity as a State Obligation and the National Law Limitation 34

(b) Subject and Contents 34

Section 6. Ongoing Discussions: Recent Developments in International Forums Regarding Indigenous Resources and Traditional Knowledge 35

Ⅰ. The World Intellectual Property Organization 36

Ⅱ. Traditional Knowledge in the Context of the WTO 37

Ⅲ. The Convention on Biological Diversity 38

Ⅳ. The Food and Agriculture Organization of the United Nations: The International Undertaking on Plant Genetic Resources and the Concept of Farmers' Rights 41

1. 'Farmers' Rights' and Indigenous Peoples 42

2. The Concept of Farmers' Rights 43

3. Farmers' Rights, Traditional Knowledge and Intellectual Property 43

Ⅴ. The United Nations Conference on Trade and Development 44

Ⅵ. The World Health Organization 45

Section 7. Recent Developments at the Regional and National Levels with Regard to the Protection of Indigenous Resources and Traditional Knowledge 45

Section 8. Statements, Declarations, Charters, Resolutions, and Recommendations by Indigenous Peoples 49

Section 9. Conclusion 52

Bibliography 52

Part Ⅲ. Analysis of Different Areas of Indigenous Resources 59

Section 1. Traditional Knowledge&Antony Taubman and Matthias Leistner 59

I. Findings at the Factual Level 59

1. Recognizing the Characteristics of Traditional Knowledge 59

2. Sources of Factual Information 64

3. Terms and Definitions 68

(a) Choice of Terminology 69

(aa) General 69

(bb) Addressing Indigenous Knowledge in Particular 69

(b) Subject Matter to be Covered: Characterizing Traditional Knowledge 71

(aa) Holistic Approach 71

(bb) Diversity 72

(cc) Self-Referential Aspect of Defining TK 73

(dd) The Role of a Definition of TK 74

(ee) Linkage with Traditional Community and Dynamic, Intergenerational Quality 77

(c) Scope of Legally Protected TK 78

4. TK and IP Protection in an Holistic Context 81

5. Needs and Expectations for the Protection of Traditional Knowledge 82

(a) Positive Protection 83

(b) Defensive Protection 85

6. The Focus on the Point of Access 87

(a) General 87

(b) Initiatives for Documentation Measures Advantages and Disadvantages 87

7. The Role of Customary Law 89

8. Use of Certification and Collective Marks and Geographical Indications 90

Ⅱ. Existing Legal Provisions Regarding the Protection of Traditional Knowledge 92

1. TK as Subject Matter for Intellectual Property Rights 92

(a) International Level 92

(aa) Patents 93

(1) Positive Protection of TK Innovations through the Patent System 95

(ⅰ) TK as Inherent Subject Matter for Patent Protection 95

(ⅱ) Cultural and Legal Constraints on Use of Patent System by TK Holders 97

(ⅲ) Inventorship in a Traditional Context 97

(ⅳ) Application of Patentability Standards in the Context of TK Systems 100

(2) Defensive Protection in the Patent System: the PCT and IPC 104

(ⅰ) Recognition of TK in the Patent System 104

(ⅱ) Internationa] Patent Classification 104

(ⅲ) Patent Cooperation Treaty 104

(ⅳ) WIPO Recommendations on the Recognition of TK 105

(ⅴ) The Dilemma of Pyrrhic Protection 106

(bb) Geographical Indications and Certification Marks 107

(cc) Suppression of Unfair Competition 109

(dd) Sui Generis Protection 111

(b) Regional Level 113

(aa) Andean Community 113

(bb) European Patent Convention 114

(1) Novelty and Inventive Step under the EPC 114

(2) Cases on Patenting TK-Related Inventions 115

(cc) Regional Models for Protection 120

(dd) Bilateral Agreements 120

(c) National Level 121

(aa) Patent Law 121

(1) General Considerations and Some Cases: TK under National Patent Law 121

(2) Positive Protection of TK under National Law 123

(3) Defensive Protection of TK against Illegitimate Patenting 124

(ⅰ) Per se Exclusions of TK from Patentability under National Law 124

(ⅱ) Enhanced Disclosure Mechanisms under National Law 126

(bb) Trademarks, Public Certification Systems and Geographical Indications 127

(1) Collective Marks and Certification Marks (Annette Kur) 127

(2) Public Certification Systems (Annette Kur) 129

(3) Geographical Indications (Roland Knaak) 130

(4) Conclusions (Annette Kur) 131

(5) Related Regulation 132

(cc) Trade Secrets and Confidential Information 132

(dd) Recognition of Customary Law in National IP Laws 134

(ee) Sui Generis Protection of TK under National Law 136

(1) General 136

(2) Objectives of Sui Generis Protection 138

(3) Legal Basis for Protection 140

(4) Forms of Knowledge Protected 141

(5) Beneficiaries of Protection 143

(6) Manner of Protection 144

(ⅰ) Prior Informed Consent 144

(ⅱ) Exclusive Rights 145

(ⅲ) Domaine Public Pay ant 147

(7) Registration 148

(8) Recognition of Customary Law 149

2. Forms of Legal Protection beyond Intellectual Property at the International Level 151

(a) Convention on Biological Diversity 151

(b) FAO International Treaty 154

(c) International Covenant on Economic, Social and Cultural Rights 155

Ⅲ. Draft Laws and Other Models 156

1. International Level 156

(a) WIPO Draft Sui Generis Protection against Misuse and Misappropriation of TK and Related WIPO Developments 156

(aa) Draft Provisions 156

(b) Related Developments 159

(c) Convention on Biological Diversity 162

(d) WTO TRIPS Council 165

(e) Customary Law in International Instruments 169

(f) UN Declaration on the Rights of Indigenous Peoples 171

2. Draft Sui Generis Models at the Regional Level 172

Ⅳ. Conclusions 173

Section 2. Genetic Resources&Antony Taubman 181

Ⅰ. Introduction 181

1. Unity in Biological Diversity? The Challenges of Regulating Genetic Resources 181

2. The New Legal and Policy Environment for Genetic Resources 185

3. Valuing Genetic Resources 187

(a) Genetic Resources as a Public Good 187

(b) Diverse Value Systems and Genetic Resources 188

(c) Biotechnology Patents as Means of Realizing Value 190

Ⅱ. Findings at the Factual Level 192

1. The Framework for Factual Findings: Genetic Diversity and Modern Biotechnology 192

(a) The Empirical Framework for Review of Genetic Resources 192

(b) Genetic Diversity and a Common Technology Platform 193

(c) Innovation through Transgressing Species Boundaries 194

(d) The Policy Implications of Genetic Diversity 196

2. Unity and Diversity in the Regulation of Genetic Resources 198

(a) Mapping Regulatory Regimes to Forms of Genetic Resources 198

(b) The Distinctness of the Human Genome 201

3. The Interface between Intellectual Property and Genetic Resources 205

Ⅲ. Existing Legal Provisions Relevant to Genetic Resources 217

1. Genetic Resources as the Subject of Intellectual Property 217

2. Overview of Current Questions 221

3. Intellectual Property Instruments 222

(a) International Level 222

(aa) International IP Law in Context 222

(bb) The TRIPS Agreement 225

(cc) The Budapest Treaty 229

(dd) Plant Breeders' Rights 230

(b) Regional and National Levels 236

(aa) The Distinction between 'Naturally Occurring' and 'Isolated' Genetic Material 236

(bb) Valuing the Pathway from the Genetic Resource to the Product or Valuing the Product? 238

(cc) Overview of the Issues in Patenting Genetic Material 240

(dd) Defensive Measures in National and Regional Patent Law 242

(1) A Priori Exclusions 243

(2) Conditional Exclusions 245

4. Non-intellectual Property Instruments 249

(a) International Level 249

(aa) Genetic Resources as National Property and the Eclipse of the Common Heritage 249

(bb) Convention on Biological Diversity 252

(1) Central Principles 252

(2) The CBD Objectives and Intellectual Property 254

(ⅰ) Sovereignty over Genetic Resources 255

(ⅱ) Retroactivity 256

(ⅲ) Diffusion of Genetic Resources and Scop of Sovereignty 257

(ⅳ) Prior Informed Consent 257

(ⅴ) Equitable Benefit Sharing 259

(ⅵ) Transfer of Technology 262

(3) Food and Agricultural Organization: International Treaty 269

(b) National and Regional Levels 273

Ⅳ. Draft Laws and Other Models 277

1. Tailored Patent Disclosure Mechanisms for Genetic Resources 277

2. CBD Bonn Guidelines 281

3. CBD International Regime 283

4. FAO: Standard Material Transfer Agreement 284

5. WIPO - Guidelines on Access and Benefit-sharing 286

V. Conclusions 288

Section 3. Protection of Traditional Names and Designations&Annette Kur and Roland Knaak 293

Ⅰ. Findings at the Factual Level 293

Ⅱ. Existing Legal Provisions Regarding the Protection of Traditional Names and Designations 296

1. Intellectual Property Rights 296

(a) International Level 296

(aa) Trademarks 296

(1) Overview 296

(bb) Geographical Indications 301

(cc) Unfair Competition 308

(b) Regional Level 308

(aa) Trademarks 308

(1) The Community Trademark System 308

(2) Other Regional Systems 310

(bb) Geographical Indications 310

(1) EC Regulation 2081/92 310

(2) Georgraphical Community Collective Marks 312

(c) National Level 313

(aa) Trademarks 313

(1) Absolute Grounds for Refusal 314

(ⅰ) Lack of Distinctive Character 314

(ⅱ) Deceptive Marks 316

(ⅲ) Offensive Marks 317

(ⅳ) Registration in Bad Faith 320

(ⅴ) Signs Excluded from Registration 321

(2) Relative Grounds for Refusal 322

(3) Rights in the Case of Successful Registration 323

(4) Domain Names 324

(5) Misrepresentation 327

(bb) Geographical Indications 328

(1) Registration System 328

(2) Authorizing Procedures 328

(3) No Formalities 329

(4) Trademark Law - Grounds for Refusal 330

(5) Geographical Collective or Certification Marks 331

2. Outside Intellectual Property 332

Ⅲ. Draft Laws and Other Models 332

Ⅳ. Conclusions 332

1. General Remarks 332

2. Solutions for Improved Protection 333

(a) Exemptions from the Country of Protection Principle 333

(b) Need for Improvement of Informational Infrastructure 334

(c) Measures at the National Level 334

(d) Prior Rights 335

Bibliography 335

Section 4. Folklore&Agnes Lucas-Schloetter 339

Ⅰ. Findings at the Factual Level 339

1. The Commercial Value of Folklore 340

2. The Different Forms of Exploitation of Folklore 341

3. The Expectations of Indigenous Peoples with Respect to their Folklore 343

4. The Definition of Folklore 344

Ⅱ. Existing Legal Regimes Regarding the Protection of Folklore 350

1. Intellectual Property Rights 350

(a) International Level 350

(aa) Copyright 350

(1) The Berne Convention 350

(2) The TRIPS Agreement and the WCT 353

(bb) Neighbouring Rights 354

(1) The Performer's Neighbouring Rights 354

(2) The Neighbouring Right of the Producer of Phonograms 356

(cc) The International Conventions concerning Industrial Property and Unfair Competition 357

(b) Regional Level 359

(aa) Europe 359

(1) The European Directives in the Field of Copyright and Neighbouring Rights 359

(2) The European Directives in the Field of Industial Property 361

(bb) The Americas 361

(1) The North American Free Trade Agreement 361

(2) The Cartagena Agreement 361

(3) MERCOSUR 363

(4) The Central American Convention on the Protection of Industrial Property 364

(cc) Africa 364

(1) Annex Ⅶ concerning Copyright 365

(ⅰ) Annex Ⅶ in the 1977 Version 365

(ⅱ) Annex Ⅶ in the 1999 Version 367

(2) The Annexes concerning Industrial Property 368

(dd) Pacific Islands 369

(c) National Level 370

(aa) Protection on the Basis of Copyright 370

(1) Classification of National Copyright Legislation 371

(ⅰ) National Legislation with no Reference to Folklore 371

(ⅱ) National Legislation Expressly Excluding Folklore from its Scope of Application 372

(ⅲ) National Copyright Legislation Granting Direct Protection to Folklore 373

(2) Direct Protection of Folklore via Copyright 383

(ⅰ) The Obstacles to Protection of Folklore via Copyright 383

(ⅱ) Assessment of the Protection of Folklore by Means of Copyright 390

(3) Indirect Protection of Folklore on the Basis of the Rules concerning Collections and Adaptations 393

(ⅰ) Collections 393

(ⅱ) Adaptations 394

(4) Indirect Protection of Folklore on the Basis of Neighbouring Rights 397

(ⅰ) The Producer's Neighbouring Right 397

(ⅱ) The Performer's Neighbouring Right 398

(bb) Protection on the Basis of Industrial Property 399

(1) Design Law 399

(2) Trademark Law 400

(3) Geographical Indications 406

(4) Unfair Competition 407

(cc) Sui Generis Intellectual Property Right 411

(1) Panama 411

(2) Other Examples 413

2. Legal Protection of Folklore outside Intellectual Property 413

(a) Customary Law 413

(b) Cultural Heritage Legislation 420

(aa) International Level 420

(1) The 1972 World Heritage Convention and the 2003 Intangible Cultural Heritage Convention 420

(2) The 1970 Unesco Convention on Cultural Property 422

(3) The 1995 Unidroit Convention 424

(bb) Regional Level 425

(1) On the Continent of Europe 425

(2) On the Continent of the Americas 425

(3) On the Continent of Africa 426

(cc) National Level 428

(c) The Legal Instruments in the Field of Human Rights and the Rights of Indigenous Peoples 434

(aa) The Legal Instrument in the Field of Human Rights 434

(bb) The Legal Instruments in the Field of Indigenous Peoples' Rights 439

(ⅰ) ILO Convention No. 169 439

(ⅱ) The United Nations Human Rights Commission 441

Ⅲ. Draft Laws and Other Models 445

1. The Tunis Model Law on Copyright (WIPO/UNESCO, 1976) 445

2. The Model Provisions for National Laws on the Protection of the Expressions of Folklore against Illicit Exploitation and Other Prejudicial Actions (WIPO/UNESCO, 1982) 447

3. Draft Treaty for the Protection of Expressions of Folklore against Illicit Exploitation and Other Prejudicial Actions (WIPO/UNESCO, 1984) 451

4. Draft Declarations in the Field of Indigenous Peoples' Rights 453

(a) The Draft Declaration on the Rights of Indigenous Peoples 453

(b) Draft Principles and Guidelines on the Heritage of Indigenous Peoples 456

(c) Draft Regional Declarations on the Rights of Indigenous Peoples 458

5. Draft National Legislation 459

6. WIPO Intergovernmental Committee on Intellectual Property and Genetic Resources, Traditional Knowledge and Folklore - Revised Provisions for the Protection of Expressions of Folklore: Policy Objectives and Core Principles 460

7. OAPI/ARIPO Draft Legal Instrument on the Protection of Expressions of Folklore 467

8. The Initiatives of Various Semi-Official and Unofficial Groups in the Field of the Protection of Folklore 469

(a) International Level 469

(b) Regional Level 474

(c) National Level: The Example of Australia 476

(aa) Report of the Working Party on the Protection of Aboriginal Folklore (1981) 476

(bb) Report of the Committee of the Inquiry into Folklife in Australia (1987) 477

(cc) Stopping the Rip-offs (1994) 478

(dd) Our Culture, Our Future (1997) 478

Ⅳ. Conclusions 480

Bibliography 485

Part Ⅳ. Final Considerations&Silke von Lewinski 507

Section 1. Preliminary Remarks 507

Section 2. The Needs as Expressed by Indigenous Peoples 508

Section 3. Protection by Existing Intellectual Property Regimes 509

Ⅰ. Protection of Genetic Resources, Traditional Knowledge and Folklore Per Se 509

Ⅱ. Protection of 'Derivates' 512

1. 'Derivates' Produced by Indigenous Peoples 513

2. 'Derivates' Produced by Outsiders 513

(a) Opposition to Intellectual Property Rights of Outsiders of Indigenous Communities 513

(b) Possible Responses to Claims for Defensive Protection 514

Section 4. Protection of Genetic Resources, Traditional Knowledge and Folklore by Legal Regimes beyond Classical Intellectual Property 515

Ⅰ. Customary Law 516

1. Problematic Issues 516

2. Basic Approaches 517

Ⅱ. Sui Generis Protection as a Means to Respond to Specific Needs 518

1. Holders of Rights 519

2. Object of Protection and Uses Covered 520

3. Other Issues 521

4. Objections to Sui Generis Protection: Public Domain 521

5. Selected Practical Aspects of Legal Protection: Databases and Collecting Societies 524

(a) Databases 524

(b) Collecting Societies 525

Section 5. The Level of Legal Measures 526

Section 6. Additional Instruments 527

Section 7. Practical Measures 528

Bibliography 528

Index 531