《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.

导出引用管理器 EndNote|Ris|BibTeX

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

[1]	Nijar GS (2010) The Nagoya Protocol on Access and Benefit Sharing of Genetic Resources: An Analysis. pp. 1-52. Centre of Excellence for Biodiversity Law (CEBLAW), Malaysia.
[2]	Nijar GS (2011) Research Papers 36: The Nagoya Protocol on Access and Benefit Sharing of Genetic Resources: Analysis and Implantation Options for Developing Countries, pp. 1-43. South Centre, Geneva.
[3]	Qin TB (秦天宝) (2008) Legislative approaches of access to genetic resources and benefit-sharing in foreign countries and their implications for China. China Population, Resources and Environment (中国人口、资源与环境), 18(1), 202-206. (in Chinese with English abstract)
[4]	SCBD (Secretariat of Convention on Biological Diversity) (2012) Synthesis of Views and Possible Draft Elements and Options for Cooperative Procedures and Institutional Mechanisms to Promote Compliance with the Protocol and Address Cases of Non-compliance under Article 30 of the Nagoya Protocol on Access and Benefit-sharing, Note by the Executive Secretary. UNEP/CBD/ABS/EM-COMP/1/2.
[5]	SCBD (Secretariat of Convention on Biological Diversity) (2011a) X/1 Access to genetic resources and the fair and equitable sharing of benefits arising from their utilization. In: Report of the Tenth Meeting of the Conference of the Parties to the Convention on Biological Diversity, UNEP/CBD/COP/10/27, 85-110.
[6]	SCBD (Secretariat of Convention on Biological Diversity) (2011b) Cooperative Producres and Institutional Mechanisms to Promote Compliance with the Protocol and to Address Cases of Non-compliance, Note by the Executive Secretary. UNEP/CBD/ICNP/1/6/rev.
[7]	UNEP (United Nations Environmental Programme) (2006) Manual on Compliance with and Enforcement of Multilateral Environmental Agreements. UNEP Compliance Manual, 144.
[8]	Xue DY (薛达元) (2007) Access and benefit sharing of genetic resources: background, progress and challenges. Biodiversity Science (生物多样性), 15, 563-568. (in Chinese with English abstract)
[9]	Xue DY (薛达元) (2011) Analysis for the main elements and potential impacts of Nagoya Protocol. Biodiversity Science (生物多样性), 19, 113-119. (in Chinese with English abstract)
[10]	Xue DY (薛达元), Cai L (蔡蕾) (2007) Negotiation progress for the international regime on access and benefit-sharing of genetic resources. Environmental Protection (环境保护), (11B), 72-74. (in Chinese)
[11]	Zhang LR (张丽荣), Cheng WJ (成文娟), Xue DY (薛达元) (2009) Progress and trends for implementation of the Convention on Biological Diversity. Acta Ecologica Sinica (生态学报), 29, 5636-5643. (in Chinese with English abstract)
[12]	Zhao FW (赵富伟), Xue DY (薛达元) (2008) International trends of and state legislation on access and benefit sharing of genetic resources. Journal of Ecology and Rural Environment (生态与农村环境学报), 24(2), 92-96. (in Chinese with English abstract)

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

[1]	赵富伟, 李颖硕, 陈慧. 新时期我国生物多样性法制建设思考[J]. 生物多样性, 2024, 32(5): 24027-.
[2]	贾韶琦, 张巨保. 生物遗传资源获取与惠益分享专门立法的重启必要与现实回应[J]. 生物多样性, 2024, 32(11): 24383-.
[3]	张文斐, 江知禾. 育种产业化背景下生物遗传资源安全: 趋势研判、现实困境及实现机制[J]. 生物多样性, 2024, 32(11): 24274-.
[4]	陶克涛, 白东义, 图格琴, 赵若阳, 安塔娜, 铁木齐尔·阿尔腾齐米克, 宝音德力格尔, 哈斯, 芒来, 韩海格. 基于基因组SNPs对东亚家马不同群体遗传多样性的评估[J]. 生物多样性, 2022, 30(5): 21031-.
[5]	李博炎, 朱彦鹏, 刘伟玮, 李爽, 付梦娣, 任月恒, 蔡譞, 李俊生. 中国国家公园体制试点进展、问题及对策建议[J]. 生物多样性, 2021, 29(3): 283-289.
[6]	李保平, 薛达元. 《生物多样性公约》中“土著和地方社区”术语在中国的适用性和评价指标体系[J]. 生物多样性, 2021, 29(2): 193-199.
[7]	张渊媛, 钟震宇, 程志斌, 吕凤春, 蔡譞, 白加德. 主要利益相关方在履行《名古屋议定书》中的关系与义务[J]. 生物多样性, 2021, 29(2): 231-237.
[8]	陶克涛, 韩海格, 赵若阳, 图格琴, 芒来, 白东义. 家马的驯化起源与遗传演化特征[J]. 生物多样性, 2020, 28(6): 734-748.
[9]	刘振元, 孟星亮, 李正飞, 张君倩, 徐靖, 银森录, 谢志才. 南洞庭湖区软体动物物种多样性评估及保护对策[J]. 生物多样性, 2020, 28(2): 155-165.
[10]	孙工棋, 张明祥, 雷光春. 黄河流域湿地水鸟多样性保护对策[J]. 生物多样性, 2020, 28(12): 1469-1482.
[11]	张小勇. 《名古屋议定书》在微生物领域的实施: 影响、最佳做法及我国立法选择[J]. 生物多样性, 2020, 28(10): 1292-1299.
[12]	吴淼, 郝韵, 张小云, 王丽贤, 贺晶晶, 段光正. 哈萨克斯坦的生物多样性保护及中哈合作的对策建议[J]. 生物多样性, 2020, 28(10): 1276-1285.
[13]	张渊媛. 生物多样性相关传统知识的国际保护及中国应对策略[J]. 生物多样性, 2019, 27(7): 708-715.
[14]	李保平,薛达元. 遗传资源数字序列信息在生物多样性保护中的应用及对惠益分享制度的影响[J]. 生物多样性, 2019, 27(12): 1379-1385.
[15]	李一丁. “一带一路”与生物遗传资源获取和惠益分享: 关联、路径与策略[J]. 生物多样性, 2019, 27(12): 1386-1392.