遗传资源获取与惠益分享国际规则研究

发布时间：2018-01-05 04:23

本文关键词：遗传资源获取与惠益分享国际规则研究　出处：《吉林大学》2016年博士论文　论文类型：学位论文

【摘要】：伴随生物科学技术的进步,各国争相竞逐的天然资源越来越多,而其中竞逐最为激烈的就是生物遗传资源。从遗传资源到基因产品再到基因经济,是当今社会发展的一个新特点,也是法律所面临的一个重要课题。不过,由于遗传资源在各国的分布并不均衡,导致出现大量的生物剽窃现象,因此,国际上将遗传资源如何获取、保存和研究利用列为重点关注的问题,而有关遗传资源使用者与提供者之间的矛盾如何协调,或者说如何实现遗传资源获取与惠益分享的有效管制也成为焦点问题予以研究探讨。为了解决上述问题,本文首先以对“生物剽窃”现象的研究为突破,找到其发生的本质原因,一是由于遗传资源分布情况和自身的价值特点所决定,二是因为发达国家与发展中国家之间的利益诉求不同而导致。针对这一现象,国际社会几经努力,通过系列国际公约形成了基本的国际规则框架:1992年的生物多样性公约(Convention on Biological Diversity,以下简称CBD)明确规定了遗传资源国家主权原则,同时建立了遗传资源获取与惠益分享(Access to Genetic Resources and Benefit-sharing,ABS)的原则性规范;2001年完成了对粮食和农业植物遗传资源国际公约(International Treaty on Plant Genetic Resources for Food and Agriculture,以下简称ITPGRFA)的修订工作,ITPGRFA首次设立了农民权,承认农民在遗传资源保护和可持续使用方面的贡献,同时明确规定了农民所具有的权利,并建立了农民对于传统知识的保护,惠益分享及参与决策的权利,保障农民在现代农业技术的发展和应用的权益。同时,ITPGRFA制定了粮农植物遗传资源取得的具体规则,多边系统的惠益分享制度和国际基因库的新规则;2002年,《获取遗传资源和公平公正地分享通过利用遗传资源所产生惠益的波恩准则》(以下简称《波恩准则》)在生物多样性第六次缔约方大会上获得了批准。其在CBD三大原则的基础上对遗传资源获取与惠益分享方面作出一些具体规定,并且确定了惠益分享的基本程序;2010年10月,《生物多样性公约关于获取遗传资源和公平公正地分享其利用所产生惠益的名古屋议定书》(以下简称《名古屋议定书》)在名古屋召开的生物多样性第十次缔约方大会上获得了通过。《名古屋议定书》中所规定的惠益分享条款为原则性条款,反映了遗传资源提供国的总体诉求,重申了CBD的三大原则,能够为遗传资源提供国国内立法的完善起到一定指引的作用,同时也约束和规范了遗传资源利用者的行为,具有一定的法律效力。目前,遗传资源获取与惠益分享的国际规则主要包括事先知情同意,共同商定条件,公平合理的惠益分享和遗传资源来源披露。具体规则在实际运用当中也会遇到各种问题,如事先知情同意规则下的反公用现象的出现,遗传资源来源披露规则适度性要求的把握。通过对问题的分析来找到避免问题出现的方法,以使国际规则在具体运用中的效力能得到实现,从根本上解决遗传资源各方的利益冲突,实现各方利益的最大化。虽然国际上已经建立了遗传资源获取与惠益分享的国际规则,但是,对于规则的理解与适用仍然存有一定争议,利益博弈也非常复杂,至今也没有一个统一的解决方案。鉴于此,本文在国际法规制研究之下,通过对遗传资源获取与惠益分享现有国际规则的分析,来寻求国际规则从确立到实施,从内容到纠纷解决机制整体上体现了相对的公平与正义,是一个利益相对平衡的制度设计。通过对遗传资源国际规则的普适性考察得出尽管在遗传资源中存有利益冲突,各国也根据自己的实际情况主张不同的权益,但在规则普适性上只是存在合理性不足,而非对该规则丧失了完全的服从与尊重,规则的制定在整体上满足了各方对其的合理性期待。在已有国际规则之下,我国应该结合自己的实际情况,找准自身的角色定位,通过加强国内立法工作,将国际规则有效转化为国内法中的相关内容,同时加强执法环节和其他相关配套设施的健全来完善我国遗传资源获取与惠益分享制度的建立,在立法完善的过程中寻求并实现我国遗传资源利益的最大化。本文在论文实际写作过程中可预创新之处和遇到的难点主要体现在以下几个方面:首先,本文运用合理性与可行性及动态利益平衡为研究视角来对遗传资源获取与惠益分享的国际规则进行评析,是一点创新。其次,在探讨遗传资源获取与惠益分享问题中,关于理论深度的探讨上如何能不浮光掠影地研究,如何注重说理,增加法理学方面的论证是一项难题。再次,在遗传资源获取与惠益分享国际规制的分析与评价中,如何论证遗传资源获取与惠益分享国际规则的合法性及合理性;如何在动态利益平衡中平衡遗传资源提供者与利用者之间的利益,遗传资源提供者与社会公众的利益,遗传资源提供者之间的利益是一个难题。最后,在遗传资源获取与惠益分享的解决路径上,针对我国遗传资源保护的现状分析,如何找准遗传资源定位,找到制定我国遗传资源获取与惠益分享规则中问题存在的原因,如何将国际规则有效地转化为国内法,以确保我国遗传资源拥有者利益的最大化,相关现有资料较少,为研究增加难度。
[Abstract]:With the progress of biological science and technology, natural resources are becoming more and more countries compete, which compete for the most intense is the biological genetic resources. From genetic resources to gene to gene product economy, is a new feature of today's social development, but also an important issue faced by law. However, due to genetic resources in the distribution is not balanced, resulting in a large number of bio piracy phenomenon, therefore, how the international general access to genetic resources, preservation and research use as a key concern, and the contradiction between the users and providers of genetic resources, how to coordinate, or how to achieve effective regulation of access to genetic resources and benefit sharing has become focus to study. In order to solve the above problems, this paper begins with the research of "biopiracy" as the breakthrough, find the essence of primary students Because, one is the value of genetic resources and its distribution characteristics of the decision, two is due to the interests between developed and developing countries. Aiming at this phenomenon, the international community has several efforts, forming the basic framework of international rules by international conventions: Convention 1992 CBD (Convention on Biological Diversity, hereinafter referred to as CBD) clearly stipulates the principle of state sovereignty on genetic resources, and establish access to genetic resources and benefit sharing (Access to Genetic Resources and Benefit-sharing, ABS) norms; 2001 completed the plant genetic resources for food and agriculture (International Treaty on Plant International Convention Genetic Resources for Food and Agriculture. Hereinafter referred to as ITPGRFA) revision, ITPGRFA established the first farmers' rights, recognizing farmers in the protection of genetic resources and The sustainable use of contribution, and defined the farmers have rights, and the establishment of the farmers for the protection of traditional knowledge, benefit sharing rights and participation in decision-making, protecting farmers' rights and interests in the development and application of modern agricultural technology. At the same time, ITPGRFA has developed specific rules of plant genetic resources for food and agriculture has been the multilateral system the benefit sharing system and the new rules of international gene library; 2002, "access to genetic resources and the fair and equitable sharing of the benefits arising from the use of genetic resources of the Bonn guidelines (hereinafter referred to as the" Bonn guidelines > >) has been approved in the biological diversity of the sixth conference of the parties on the access to genetic resources in. Based on the CBD three principles of sharing and benefit to make some specific provisions, and established the basic program of benefit sharing; October 2010, "Convention on biological diversity on access to genetic resources The source of fair and equitable sharing of benefits arising from their utilization of the Nagoya Protocol "(hereinafter referred to as the" Nagoya Protocol ") held in Nagoya, the biological diversity at the Tenth Conference of the parties was required by the Nagoya protocol." benefit sharing in terms of principles, reflect the genetic resources to provide overall demands in China, reiterated that the three principles of CBD, can provide the perfect domestic legislation plays a certain role for the guidance of genetic resources, but also restrict and regulate the behavior of the utilization of genetic resources, has certain legal effect. At present, access to genetic resources and benefit sharing of the international rules including prior informed consent and the agreed terms, disclosure of fair and reasonable benefit sharing of genetic resources and sources. The specific rules will encounter various problems in practice, such as prior informed consent under the rules The anti common phenomenon, the origin of the genetic resources disclosure rules of moderate requirements grasp. Through the analysis of the problem to find ways to avoid the problems, so that the effectiveness of international rules in practical application can be realized, the parties to resolve the conflict of interest of genetic resources fundamentally, realize the maximization of the interests of all parties. Although international has already set up access to genetic resources and benefit sharing of the international rules, but for the understanding and application of the rules are still controversial, the interests of the game is also very complicated, is still not a unified solution. In view of this, this article under the regulation of international research, through the acquisition and analysis of existing international rules and benefit sharing the benefits of genetic resources, to seek international rules from the establishment, from the content to the dispute settlement mechanism on the whole reflects the relative fairness and justice, is a relative interest The balance of system design. Based on the international rules of the genetic resources of the universality of the investigation concluded that although there is a conflict of interest in genetic resources in the world, also according to their actual situation that different interests, but the rules of universal rationality only insufficient, rather than the rules of lost complete obedience and respect. The formulation of the rules on the whole to meet the rationality of expectations of their parties. Under the existing international rules, China should combine their own actual situation, identify their role, through the strengthening of domestic legislation and the international rules of the effective transformation of relevant content in domestic law, and strengthen law enforcement and other related the perfect facilities to improve our establishment of the access to genetic resources and benefit sharing system, seeking to maximize genetic resources and realize the interests of our country's legislation in the process in this paper. The actual writing process can be pre innovations and the difficulties mainly reflected in the following aspects: first, the rationality and feasibility of dynamic balance of interests as the research perspective on access to genetic resources and benefit sharing of the international rules of assessment, is an innovation. Secondly, on access to genetic resources and sharing benefit, on the depth of the theory on how to study how to pay attention to skimming over the surface, reasoning, increase jurisprudence argument is a difficult problem. Thirdly, in the access to genetic resources sharing analysis and evaluation of international regulation and benefit, how to verify the access to genetic resources and benefit sharing of the international rules and legitimacy rationality; how to balance and utilization of genetic resources providers interests in the dynamic balance of interests, the providers of genetic resources and the interests of the public, the genetic resources provided For the interests between a problem. Finally, in the access to genetic resources and benefit sharing solutions, according to the analysis of the status quo of the protection of genetic resources in our country, how to identify the genetic resource location, find the reason in our country to make access to genetic resources and benefit sharing rules in the problems existing in the international rules effectively into domestic law, to maximize the genetic resources of our country have the benefit of existing data is less, increase the difficulty for the study.

【学位授予单位】：吉林大学
【学位级别】：博士
【学位授予年份】：2016
【分类号】：D996.9

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