《遗传资源获取与惠益分享的名古屋议定书》遵约机制的谈判进展与对策

doi:10.3724/SP.J.1003.2012.05070

摘要/Abstract

摘要：

《名古屋议定书》通过后, 建立国际层面的遵约机制成为利益相关方的关注焦点。遗传资源使用国和提供国根据本国立场, 提出了《名古屋议定书》遵约机制的要点和备选办法, 并进行了讨论和磋商。现有谈判进程表明, 双方在遵约机制的目标、性质、机构设置及促进遵约和解决不遵约情事的措施等重点问题上存在差异。本文在梳理谈判进程的基础上, 分析了遗传资源使用国和提供国针对遵约机制关键要点提出的备选办法, 包括遵约机制是否具有法律约束力, 是否强调共同但有区别责任原则, 是否建立常设的、具有较强监测和审查功能的遵约委员会, 以及是否为不遵约情事制定惩罚性措施等。分析了遵约机制谈判的前景, 认为遵约机制的强制力将成为下一轮谈判的核心问题。该问题决定着《名古屋议定书》的影响力, 但相应争端的解决最终仍有赖于缔约方国内立法。最后, 本文基于我国遗传资源国内立法现状, 从以下3个方面提出了我国的应对措施建议: (1)制订遗传资源专门法律, 健全相应法律体系; (2)明确遗传资源监管范围, 堵住遗传资源流失渠道; (3)规范我国利用他国遗传资源的相关活动。

关键词: 名古屋议定书, 遗传资源, 遵约机制, 谈判进展, 对策

Abstract

The establishment of compliance mechanisms at the international level becomes the focus of stakeholders after the adoption of the Nagoya Protocol. The user and provider countries raise the elements and options on compliance mechanisms of the Nagoya Protocol according to the countries’ positions. Current negotiation processes indicate the differences on key issues of objectives, nature, compliance body settings, and the measures to promote compliance and address cases of non-compliance. This article analyzes options for core elements of compliance mechanisms raised by the user and provider countries, including whether mechanisms will be binding, common but differentiated principle will be stressed, a standing compliance committee with a strong monitor and review function will be established, and punitive measures for non-compliance will be established. Negotiation prospects point out that the mandatory nature of the compliance mechanism will be the core issue of the next round of negotiations. However, the settlement of disputes is ultimately dependent on the domestic legislation of parties. Finally, we provide three proposed countermeasures as follows: (1) elaborating special laws of genetic resources and improving relevant legal systems; (2) clarifying the supervising role in the scope of genetic resources and block the loss of genetic resource channels; and (3) regulating the utilization activities of other countries’ genetic resources.

Key words: Nagoya Protocol, genetic resources, compliance mechanisms, negotiation progress, countermeasures

徐靖, 李俊生, 薛达元 (2012) 《遗传资源获取与惠益分享的名古屋议定书》遵约机制的谈判进展与对策. 生物多样性, 20, 779-783. DOI: 10.3724/SP.J.1003.2012.05070.

Jing Xu, Junsheng Li, Dayuan Xue (2012) Negotiation progress of the Nagoya Protocol on the access of genetic resources and benefit-sharing and countermeasures. Biodiversity Science, 20, 779-783. DOI: 10.3724/SP.J.1003.2012.05070.

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链接本文: https://www.biodiversity-science.net/CN/10.3724/SP.J.1003.2012.05070

https://www.biodiversity-science.net/CN/Y2012/V20/I6/779

图/表 2

参考文献 12

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要点 Elements	备选办法 Options
目标 Objective	促进《议定书》遵约, 处理不遵约情事 To promote compliance with the provisions of the Protocol and to address cases of non-compliance
性质 Nature	不具法律约束力、具有法律约束力、非对抗性、非司法性、合作、简单、咨询性、有促进作用的、灵活、预防性、节约成本、支持性、不冲突、透明 Legally non-binding, legally binding, non-adversarial, non-judicial, cooperative, simple, advisory, facilitative, flexible, preventive, cost-effective, supportive, non-confrontational, transparent
原则 Principles	公正、法治、灵活、非对抗、合乎情理、透明、问责、可预测、连续、诚信、支持、节约成本、成效和迅捷、承认发展中国家和经济转型期国家缔约方的特殊需要、承认共同但有区别的原则、认识到所有义务同等适用于所有缔约方 Fairness, rule of law, flexibility, non-confrontation, reasonableness, transparency, accountability, predictability, consistency, good faith, supportiveness, cost-effectiveness, effectiveness and expeditiousness, recognizing the special needs of developing country Parties and Parties with economies in transition, recognizing the common but differentiated responsibilities of Parties, recognizing that all obligations apply equally to all Parties
体制机制 Institutional mechanisms	遵约机构性质、机构规模、成员身份、选择标准、选举程序、成员更替、会议周期 The nature of compliance body, size, status of members, selection criteria, selection procedure, rotation of members, Periodicity of meetings
遵约机构职能 Functions of the compliance body	接收关于遵约情况的呈件; 在与遵约相关的事项上提供咨询意见以及/或者援助; 寻求并审议与呈件相关的信息; 查明事实以及不履约的可能原因; 应邀在境内收集信息; 审查缔约方遵约MEA义务的一般问题; 酌情采取措施或向理事机构提出建议; 酌情寻求专家的帮助; 编写关于履约情况的报告; 向理事机构报告; 履行理事机构可能指定的任何其他职能 Receiving submissions regarding compliance, offering advice and/or facilitate assistance on matters relating to compliance, seeking and considering information related to the submissions, identifying the facts and possible causes of non-compliance, undertaking, upon invitation, information gathering in the territory, reviewing general issues of compliance by Parties with their obligations under the MEA, taking measures or make recommendations to the governing body as appropriate, seeking the service of experts as appropriate, preparing reports on compliance, reporting to the governing body, carrying out any other functions as may be assigned by the governing body
程序 Procedures	发起程序、处理呈件的程序、缔约方的参与方式 Triggering the procedure, processing the submissions, participation of the party concerned in the process
信息和磋商 Information and consultation	遵约机构的信息来源, 保密和利益冲突的规则 The information source of compliance body, the rules on confidentiality and conflicts of interest
促进遵约和解决不遵约情事的措施Measures to promote compliance and address cases of non-compliance	促进遵约的措施; 解决不遵约情事的措施 Measures to promote compliance and measures to address cases of non-compliance

要点 Elements	备选办法 Options
目标 Objective	促进《议定书》遵约, 处理不遵约情事 To promote compliance with the provisions of the Protocol and to address cases of non-compliance
性质 Nature	不具法律约束力、具有法律约束力、非对抗性、非司法性、合作、简单、咨询性、有促进作用的、灵活、预防性、节约成本、支持性、不冲突、透明 Legally non-binding, legally binding, non-adversarial, non-judicial, cooperative, simple, advisory, facilitative, flexible, preventive, cost-effective, supportive, non-confrontational, transparent
原则 Principles	公正、法治、灵活、非对抗、合乎情理、透明、问责、可预测、连续、诚信、支持、节约成本、成效和迅捷、承认发展中国家和经济转型期国家缔约方的特殊需要、承认共同但有区别的原则、认识到所有义务同等适用于所有缔约方 Fairness, rule of law, flexibility, non-confrontation, reasonableness, transparency, accountability, predictability, consistency, good faith, supportiveness, cost-effectiveness, effectiveness and expeditiousness, recognizing the special needs of developing country Parties and Parties with economies in transition, recognizing the common but differentiated responsibilities of Parties, recognizing that all obligations apply equally to all Parties
体制机制 Institutional mechanisms	遵约机构性质、机构规模、成员身份、选择标准、选举程序、成员更替、会议周期 The nature of compliance body, size, status of members, selection criteria, selection procedure, rotation of members, Periodicity of meetings
遵约机构职能 Functions of the compliance body	接收关于遵约情况的呈件; 在与遵约相关的事项上提供咨询意见以及/或者援助; 寻求并审议与呈件相关的信息; 查明事实以及不履约的可能原因; 应邀在境内收集信息; 审查缔约方遵约MEA义务的一般问题; 酌情采取措施或向理事机构提出建议; 酌情寻求专家的帮助; 编写关于履约情况的报告; 向理事机构报告; 履行理事机构可能指定的任何其他职能 Receiving submissions regarding compliance, offering advice and/or facilitate assistance on matters relating to compliance, seeking and considering information related to the submissions, identifying the facts and possible causes of non-compliance, undertaking, upon invitation, information gathering in the territory, reviewing general issues of compliance by Parties with their obligations under the MEA, taking measures or make recommendations to the governing body as appropriate, seeking the service of experts as appropriate, preparing reports on compliance, reporting to the governing body, carrying out any other functions as may be assigned by the governing body
程序 Procedures	发起程序、处理呈件的程序、缔约方的参与方式 Triggering the procedure, processing the submissions, participation of the party concerned in the process
信息和磋商 Information and consultation	遵约机构的信息来源, 保密和利益冲突的规则 The information source of compliance body, the rules on confidentiality and conflicts of interest
促进遵约和解决不遵约情事的措施Measures to promote compliance and address cases of non-compliance	促进遵约的措施; 解决不遵约情事的措施 Measures to promote compliance and measures to address cases of non-compliance

要点 Elements	遗传资源使用国 Provider countries	遗传资源提供国 User countries
性质 Nature	不具法律约束力、非司法性、有促进作用的、节约成本、不冲突、不具备争端解决功能 Legally non-binding, non-judicial, facilitative, cost-effective, non-confliction, without dispute settlement function	具有法律约束力、有促进作用的、预防性、透明、具备争端解决功能 Legally binding, facilitative, preventive, transparent, with dispute settlement function
原则 Principles	认识到所有义务同等适用于所有缔约方 Recognizing that all obligations apply equally to all Parties	承认发展中国家和经济转型期国家缔约方的特殊需要、承认共同但有区别的原则 Recognizing the special needs of developing country Parties and Parties with economies in transition, recognizing the common but differentiated responsibilities of Parties
遵约机构 Compliance body	特设的遵约机构 An Ad hoc compliance body	常设的遵约委员会 A standing compliance committee
促进遵约和解决不遵约情事的措施 Measures to promote compliance and address cases of non-compliance	非司法性或促进性措施, 不同意设立强制性及惩罚性措施 Non-judicial or facilitative measures, disagree to set up punitive measures	需要设立惩罚性措施, 部分国家认为需要设立司法措施 Punitive measures is required, some countries proposed to set up judicial measures

要点 Elements	遗传资源使用国 Provider countries	遗传资源提供国 User countries
性质 Nature	不具法律约束力、非司法性、有促进作用的、节约成本、不冲突、不具备争端解决功能 Legally non-binding, non-judicial, facilitative, cost-effective, non-confliction, without dispute settlement function	具有法律约束力、有促进作用的、预防性、透明、具备争端解决功能 Legally binding, facilitative, preventive, transparent, with dispute settlement function
原则 Principles	认识到所有义务同等适用于所有缔约方 Recognizing that all obligations apply equally to all Parties	承认发展中国家和经济转型期国家缔约方的特殊需要、承认共同但有区别的原则 Recognizing the special needs of developing country Parties and Parties with economies in transition, recognizing the common but differentiated responsibilities of Parties
遵约机构 Compliance body	特设的遵约机构 An Ad hoc compliance body	常设的遵约委员会 A standing compliance committee
促进遵约和解决不遵约情事的措施 Measures to promote compliance and address cases of non-compliance	非司法性或促进性措施, 不同意设立强制性及惩罚性措施 Non-judicial or facilitative measures, disagree to set up punitive measures	需要设立惩罚性措施, 部分国家认为需要设立司法措施 Punitive measures is required, some countries proposed to set up judicial measures

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