DISPUTE SETTLEMENT REPORTS 2009 VOLUME 5PDF电子书下载

Ⅰ. INTRODUCTION 2109

Ⅱ. FACTUAL ASPECTS 2110

A. Measures at Issue 2110

1. Thresholds for criminal procedures and penalties 2110

2. Disposal of goods confiscated by customs authorities that infringe intellectual property rights 2111

3. Denial of copyright and related rights protection and enforcement to works that have not been authorized for publication or distribution within China 2111

B. Procedural History 2112

1. Translations 2112

2. Request for factual information from the International Bureau of WIPO 2113

Ⅲ. PARTIES’ REQUESTS FOR FINDINGS AND RECOMMENDATIONS 2114

A. United States 2114

B. China 2114

Ⅳ.ARGUMENTS OF THE PARTIES 2114

Ⅴ. ARGUMENTS OF THE THIRD PARTIES 2115

Ⅵ.INTERIM REVIEW 2115

1. Copyright Law 2115

2. Customs measures 2117

3. Criminal thresholds 2119

Ⅶ. FINDINGS 2120

A. Copyright Law 2120

1. Description of the measure at issue 2120

2. Claim under Article 2（6） of the Berne Convention （1971）， as incorporated by Article 9.1 of the TRIPS Agreement 2120

3. Claim under Article 5（1） of the Berne Convention （1971）， as incorporated by Article 9.1 of the TRIPS Agreement 2123

（a） Main arguments of the parties 2123

（b） Main arguments of third parties 2126

（c） Consideration by the Panel 2127

（i） Construction of the measure at issue 2127

（ii） Criteria for prohibited works 2136

（iii） Procedure for determination that a work is prohibited for the purposes of Article 4（1） 2139

（iv） Article 5（1） of the Berne Convention （1971）， as incorporated by Article 9.1 of the TRIPS Agreement 2144

（v） Article 17 of the Berne Convention （1971） as incorporated by Article 9.1 of the TRIPS Agreement 2148

（vi） Procedural issue 2152

4. Claim under Article 5（2） of the Berne Convention （1971）， as incorporated by Article 9.1 of the TRIPS Agreement 2153

（a） Main arguments of the parties 2153

（b） Main arguments of third parties 2154

（c） Consideration by the Panel 2155

5. Submission regarding Article 14 of the TRIPS Agreement 2155

（a） Description of relevant provisions of the Copyright Law 2155

（b） Main arguments of the parties 2155

（c） Main arguments of third parties 2156

（d） Consideration by the Panel 2156

6. Claim under Article 41.1 of the TRIPS Agreement 2157

（a） Main arguments of the parties 2157

（b） Main arguments of third parties 2157

（c） Consideration by the Panel 2158

7. Claims under Article 61 of the TRIPS Agreement 2161

（a） Main arguments of the parties 2161

（b） Main arguments of third parties 2161

（c） Consideration by the Panel 2161

8. National treatment claims 2162

（a） List of relevant measures at issue 2162

（b） Arguments of the parties 2162

（c） Consideration by the Panel 2163

9. Conclusions with respect to the Copyright Law 2163

B. Customs Measures 2163

1. Description of the measures at issue 2163

2. Claim under Article 59 of the TRIPS Agreement 2165

（a） Main arguments of the parties 2165

（b） Main arguments of third parties 2167

（c） Consideration by the Panel 2170

（i） Introduction 2170

（ii） Border measures 2170

（iii） “infringing goods” 2171

（iv） “shall have the authority ” 2174

（v） “the principles set out in Article 46” 2181

（vi） “outside the channels of commerce in such a manner as to avoid any harm caused to the right holder” 2187

（vii） Donation to social welfare bodies 2189

（bb） - Defective goods 2189

（cc） - Harm to reputation 2191

（dd） - Later sales of donated goods 2192

（viii） Sale to the right holder 2199

（ix） Auction and authority to order the destruction of infringing goods 2200

（x） Auction and ”simple removal of the trademark unlawfully affixed” 2207

（aa） - Procedural issue 2207

（bb） - Simple removal of the trademark unlawfully affixed 2209

3. Conclusions with respect to the Customs measures 2216

C. Criminal Thresholds 2216

1. Description of the measures at issue 2216

（a） Introduction 2216

（b） Trademark provisions 2217

（i） Use of a counterfeit trademark 2217

（ii） Selling counterfeit trademark commodities 2218

（iii） Forgery of trademarks and sale of forged trademarks 2219

（c） Copyright provisions 2220

（i） Criminal copyright infringement 2220

（ii） Selling copyright-infringing reproductions 2222

（d） Crimes of infringing intellectual propertyrights committed by a unit 2223

2. Construction of the measures at issue 2223

（a） Introduction 2223

（b） Normative effect of the Judicial Interpretations 2223

（c） Thresholds under the Criminal Law in general 2225

（d） Thresholds for conviction or aggravation 2226

（e） General provisions on inchoate crimes 2227

（f） General provisions on joint crimes 2228

（g） Specific features of the thresholds for crimes of infringing intellectual property rights 2230

（i） Profit-making purpose 2230

（ii） Alternative thresholds 2231

（iii） Cumulative calculation over time 2232

（iv） Calculation of illegal business operation volume - goods 2233

（v） Calculation of illegal business operation volume - price 2234

（vi） Number of goods and prices 2234

（vii） Residual thresholds 2235

（viii） Administrative enforcement 2236

（h） Conclusion regarding construction of the measures at issue 2236

3. Claim under the first sentence of Article 61 of the TRIPS Agreement 2237

（a） Main arguments of the parties 2237

（b） Main arguments of third parties 2238

（c） Consideration by the Panel 2241

（i） Nature of the claim 2241

（ii） Procedural issues 2242

（iii） Nature of the obligation 2243

（iv） Scope of the obligation 2246

（v） “on a commercial scale” 2250

（vi） Subsequent practice 2262

（vii） Supplementary means of interpretation 2262

（viii） Article 41.5 of the TRIPS Agreement 2264

（ix） Conformity of the measures at issue with respect to the level of the thresholds 2266

（x） Other indicia - physical evidence 2274

（xi） Other indicia - impact on the commercial marketplace 2279

（xii） Miscellaneous factors 2281

（xiii） Conclusion with respect to the claim under the first sentence of Article 61 2282

4. Claim under the second sentence of Article 61 of the TRIPS Agreement 2283

（a） Main arguments of the parties 2283

（b） Main arguments of third parties 2283

（c） Consideration by the Panel 2284

5. Claim under Article 41.1 of the TRIPS Agreement 2284

（a） Main arguments of the parties 2284

（b） Main arguments of third parties 2284

（c） Consideration by the Panel 2285

6. Conclusions with respect to the criminal thresholds 2285

Ⅷ. CONCLUSIONS AND RECOMMENDATION 2285