Part Ⅰ Understanding TRIPS 1
Chapter 1 TRIPS: Background, Principles and General Provisions&Abdulqawi A. Yusuf 3
Ⅰ. Background 3
A. North South Divergent Perspectives on IPRs 4
B. The GATT-IPRs Connection 7
Ⅱ. Objectives and Principles 10
A. Objectives 10
1. Preamble 11
2. Article 7 12
B. Principles 13
1. The Public Interest Principle 13
2. The Prevention of Abuse 15
Ⅲ. Applicability of Basic GATT Standards to IPRS 16
A. National Treatment 16
B. Most-Favoured-Nation Treatment 18
Ⅳ. Exhaustion of Rights 19
Ⅴ. The Relationship between TRIPS and the IP Conventions 20
Chapter 2 Universal Minimum Standards of Intellectual Property Protection under the TRIPS Component of the WTO Agreement&Jerome H. Reichman 23
Ⅰ. Preliminary Considerations 23
A. Logic of the TRIPS Agreement 24
B. Basic Principles 26
Ⅱ. Primary Intellectual Property Regimes: Patents,Trademarks, Copyrights 30
A. Patents 30
1. Normative Structure 30
2. Limits of the Patentee's Exclusive Rights 33
a. Compulsory Licences in General 33
b. New Dimensions of the Public Interest Exception 36
3. Non-Traditional Subject Matter 36
a. Biotechnology and Plant Varieties 37
b. Computer Programs 39
B. Trademarks and Geographical Indications of Origin 41
1. Trademarks 42
2. Geographical Indications of Origin 43
C. Copyrights and Neighbouring Rights 44
1. Traditional Literary and Artistic Works 46
2. Neighbouring Rights 48
3. Computer Programs and Electronic Information Tools 50
Ⅲ. Ancillary Proprietary Regimes and Trade Regulation 53
A. Integrated Circuit Designs 54
B. Industrial Designs 55
C. Trade Secrets and Confidential Information 58
D. Trade Regulation Measures 60
1. Constraints on Licensing 60
2. Unfair Competition 62
Ⅳ. Enforcement and Anticounterfeiting Measures 63
A. The Basic Enforcement Provisions 65
B. Implementing the Enforcement Provisions 69
Ⅴ. Ongoing Trade-Based Initiatives 74
A. Compensation as the Key to Future Concessions 75
B. Uncertainties of the Dispute Settlement Process 78
Chapter 3 The Application and Interpretation of the Agreement on Trade-Related Aspects of Intellectual Property Rights&Andres Moncayo von Hase 83
Ⅰ. Introduction 83
A. The Relationship between International Law and Domestic Law 86
1. One Single Legal Order or a Plurality of Legal Systems? 86
a. Theories 86
b. International Practice 87
B. The Incorporation of Treaties into Municipal Law 88
C. Legal Status of Treaties Under Municipal Law 90
Ⅱ. Trips and Domestic Law: The Case of the United States and the European Community 94
A. Introduction 94
B. The Case of the United States 96
C. The Case of the EEC and EEC Members 99
Ⅲ. The Nature and Scope of TRIPS Provisions 105
A. Self-Executing and non-Self-Executing Treaties and Provisions: the Case of TRIPS 105
B. The Treatment of Private Parties Under TRIPS and the Exhaustion of Local Remedies Rule 112
C. Transitional Arrangements for Particular Members 115
Ⅳ. The Objectives of the Agreement and the Principles that shall Guide Its Implementation and Interpretation 116
Ⅴ. Conclusions 122
Part Ⅱ New Standards for IPR Protection 125
Chapter 4 Copyright and Related Rights&Alberto Bercovitz 127
Ⅰ. The Situation before the TRIPS Agreement 127
Ⅱ. Significant Changes Affecting Copyright Law 128
Ⅲ. The TRIPS Agreement and Preexisting Conventions on Copyright and Related Rights 130
Ⅳ. The TRIPS Provisions on Copyright 132
A. General Principle 132
B. Protection of Computer Programs and Compilations of Data. 134
C. Rental Rights 135
D. Duration of the Protection 136
Ⅴ. Related Rights: The Protection of Performers, Producers of Phonograms and Broadcasting Organizations 138
A. Rome Convention and Approach to Copyright 138
B. Rights Attributed to Performers 139
C. Rights Attributed to Producers of Phonograms 140
D. Rights Attributed to Broadcasting Organizations 140
Ⅵ. Limitations to Copyright and Related Rights 141
Ⅶ. Exhaustion, Parallel Imports and Piracy 144
Ⅷ. Future Perspectives 145
Chapter 5 Intellectual Property Rules for Trademarks and Geographical Indications: Important Parts of the New World Trade Order&Jim Keon 149
Ⅰ. The TRIPS Agreement 149
Ⅱ. Trademarks 151
A. Increased Trademark Protection 152
B. Marks that Must be Protected 152
C. Rights of Trademark Owners 154
D. Protection for Internationally Well-known Marks 154
E. Exceptions 155
F. Length of Protection 156
G. Requirements for Use 156
H. Licensing and Assignment of Marks 156
I. Penalties for Trademark Counterfeiting 156
Ⅲ. Geographical Indications 157
A. Definition 157
B. Additional Protection for Wines and Spirits 158
C. Exceptions 160
Ⅳ. Conclusions 160
Chapter 6 The Evolving Regime for Geographical Indications in WTO and in Free Trade Agreements&David Vivas-Eugui and Christoph Spennemann 163
Ⅰ. Introduction 163
Ⅱ. The Main Aspects of the GI Debate in the WTO 164
A. Implementation of TRIPS Obligations and Implementation-Related Issues 165
B. Negotiations of a Multilateral System of Notification and Registration of Wines and Spirits in the TRIPS Council of the WTO 166
C. Latest Developments Regarding GIs in Other WTO Bodies: The Claw-Back Proposal 168
D. The TRIPS Agreement and Regional and Bilateral Free Trade Agreements Resulting in GI Obligations 169
Ⅲ. TRIPS Obligations under the GI Section and Recent WTO Jurisprudence 170
A. Definition 170
B. Scope of Protection 171
C. Level of Protection 172
1. Basic Level of Protection 172
a. Generic Terms 173
b. Personal Names 174
c. Domestic Protection of GIs in the Country of Origin 174
2. Increased Level of Protection for Wines and Spirits 174
3. Limitations of Protection for Wines and Spirits 175
D. Relationship with Trademark Protection 175
1. The Basic Rule 175
2. The Exception 176
3. Time Limits for GI Enforcement 177
E. GIs in Identically Named Regions 177
F. International Negotiations and Review 178
1. The Establishment of a Multilateral Register for Wines and Spirits 178
2. The Extension of the Higher Level of Protection Available for Wines and Spirits to GIs for Other Products 178
3. GI Provisions in Bilateral and Regional Free Trade Agreements 179
4. The Review of the TRIPS Provisions on GIs 179
G. WTO Jurisprudence Related to the TRIPS Provisions on GIs 180
H. Recent EU Legislation on GIs 182
Ⅳ. The Approach under European Union Bilateral Free Trade Agreements 184
A. Definition, Scope and Structure 186
B. Level and Means of Protection 187
C. The Granting of Automatic Protection 187
D. Exceptions 188
E. Relationship with Trademark Protection 190
F. Traditional Expressions 191
G. Recapitulative Table 193
Ⅴ. The Approach under United States Regional and Bilateral Free Trade Agreements. 193
A. Definition and Scope 200
B. Legal Means of Protection 201
C. Relationship with Trademarks 203
D. Exceptions 204
E. Some Procedural Features 204
F. Links with Market Access Rules 205
G. Recapitulative Table 205
Ⅵ. Concluding Remarks 209
A. Some Lessons from the Multilateral Debate on GIs 209
B. Some Lessons from GIs Protection in Regional and Bilateral Agreements 210
Chapter 7 Industrial Designs and TRIPS&Jeremy Phillips 215
Ⅰ. Are Industrial Designs of any Significance? 215
Ⅱ. Do Design Rights Distort International Trade? 218
Ⅲ. Background to the TRIPS Industrial Design Provisions 220
Ⅳ. The TRIPS Provisions on Industrial Designs 222
Ⅴ. Concluding Comments 226
Chapter 8 Patent Rights&Carlos M. Correa 227
Ⅰ. Introduction 227
Ⅱ. Relationship with the Paris Convention 227
A. What is Patentable? 229
B. Exclusions from Patentability 230
1. Ordre Public and Morality 230
2. Methods for Treatment of Humans and Animals 231
3. Plants and Animals 231
4. Processes 232
5. Non-biological Processes 233
6. Microbiological Processes 233
7. Plant Varieties 233
8. Early Review 235
C. Concept of Invention 235
1. Biotechnology-related Inventions 235
2. Software-related Inventions 236
D. Criteria of Patentability 237
1. Known Product, New Use 238
2. Known Process, New Products 238
E. Discrimination 239
F. Rights Conferred 240
1. Product Patents 240
2. Process Patents 241
3. Interpretation of Claims 242
G. Assignment and Transfer of Rights 242
H. Disclosure 242
I. Best Mode Requirement 243
J. Foreign Applications and Grants 243
K. Exceptions to Exclusive Rights 244
L. Compulsory Licensing 245
1. General Framework 245
2. Grounds for Compulsory Licences 247
3. Conditions for Granting 249
a. Individual Cases 249
b. Prior Request 250
c. Scope and Duration 250
d. Non-exclusivity - Non-assignability 250
e. Markets 250
f. Termination 251
g. Remuneration 251
h. Review 252
M. Revocation or Forfeiture 252
N. Term of Protection 252
O. Reversal of the Burden of Proof 252
P. Transitional Periods 253
1. General Rule 253
2. Developing Countries and Economies in Transition 253
3. Least-Developed Countries 254
4. Automatic Application 254
5. Non-Degradation 255
Q. Existing Subject Matter 255
R. Conversion of Applications 256
S. Pharmaceuticals and Agrochemicals 256
Chapter 9 Layout Designs of Integrated Circuits&Carlos M. Correa 259
Ⅰ. Introduction 259
Ⅱ. Definitions 260
Ⅲ. Requirements 260
Ⅳ. Form of Protection 261
A. National Treatment 263
B. Acts Requiring Authorization 263
C. Compulsory Licences 263
Ⅴ. Industrial Products 264
Ⅵ. Exhaustion of Rights 265
Ⅶ. Reverse Engineering 265
Ⅷ. Bona Fide Acquirer 265
Ⅸ. Term of Protection 266
Ⅹ. Conditions for Granting Protection 267
Ⅺ. Patenting Integrated Circuits 267
Ⅻ. Final Remarks 268
Chapter 10 Protection of Trade Secrets and Confidential Information&Francois Dessemontet 271
Ⅰ. Introduction 271
Ⅱ. Theory of Protection 276
A. Contractual Obligation 276
B. Fiduciary Relationship 277
C. Unjust Enrichment and Misappropriation 277
Ⅲ. Secrecy 279
A. Economic Value 280
B. Secrecy 281
1. Objective Secrecy 282
2. Relative Secrecy 283
C. Mosaic of Knowledge Irrelevant 284
D. Reasonable Steps 284
E. Duration of Protection 285
1. Injunctions against Employees 285
2. Licensing Agreements 286
Ⅳ. Honest Commercial Practices 286
A. International Standards 287
B. Rights of Employers vs. Rights of Employees 287
C. Third Party's Liability 288
Ⅴ. Administration and Trade Secrets 289
Ⅵ. Conclusion291 References 291
Chapter 11 Control of Anti-competitive Practices in Contractual Licences under the TRIPS Agreement&Pedro Roffe and Christoph Spennemann 293
Ⅰ. Introduction 293
Ⅱ. The Treatment of Abusive Practices at the Domestic Level 298
A. United States 298
B. Competition Policies in the Context of the European Community 301
C. Japan 304
D. Other Countries 305
Ⅲ. Earlier International Attempts: The UNCTAD Draft Code 308
Ⅳ. The TRIPS Agreement 311
A. General Considerations 311
B. Relevant Provisions of the TRIPS Agreement on the Control of Anti-competitive Practices 313
1. Basic Principles 313
2. Control of Anti-Competitive Practices in Non-Voluntary Licences 314
3. Control of Anti-Competitive Practices in Contractual Licences 315
a. The Restraint on Competition Test 317
b. The Rule of Reason 317
c. The Domestic Control of Restrictive Practices 318
d. Consultation Procedures among Members 318
4. Restrictive Practices Referred to in the TRIPS Agreement 320
Ⅴ. The Implementation of the TRIPS Provisions on Anti-competitive Practices 322
Ⅵ. Concluding Remarks 326
Chapter 12 TRIPS Dispute Settlement and Developing Country Interests&Mohamed Omar Gad 331
Ⅰ. Introduction 331
Ⅱ. A Short History of TRIPS Dispute Settlement Trends 333
Ⅲ. Dispute Settlement and TRIPS Implementation 341
A. India Disputes 344
B. Argentina Consultations 349
C. Brazil Consultations 350
Ⅳ. Dispute Settlement and TRIPS Interpretation 352
A. Methodology of Interpretation 355
1. General Rules of Interpretation 355
2. Deference to National Law vs. Judicial Activism 359
B. Interpreting TRIPS Exceptions 364
1. Nature of the Exceptions Cases and Legal Issues Raised 364
2. Legal Reasoning and the Interpretative Exercise 367
Ⅴ. TRIPS Dispute Settlement in Context 374
A. The Evolving TRIPS Regime and DC Interests 375
B. Legal Lacunae and Diplomatic Solutions 376
Ⅵ. Conclusion 382
Part Ⅲ Special Issues 385
Chapter 13 Human Rights and Intellectual Property Rights&Xavier Seuba 387
Ⅰ. Introduction 387
A. A Delayed Meeting 387
B. Basis and Scope of Intellectual Property Rights 389
Ⅱ. Reactions to the Tension Between Intellectual Property Rights and Human Rights 392
A. The United Nations Organs of Protection of Human Rights Before the TRIPS Agreement 392
B. Matters Affected by the Protection of Intellectual Property 394
Ⅲ. Introducing Human Rights into Intellectual Property Law 397
A. Rights Affected 397
B. The Right to Culture as a Framework of Analysis 399
Ⅳ. Design and Management of a System of Protection of Intellectual Property Consistent with Human Rights Obligations 403
A. Development of the Objectives and Principles of the TRIPS Agreement 403
B. A Vision Consistent with Human Rights Obligations 405
Ⅴ. Human Rights and International Trade 410
A. The Multilateral Trade System 410
B. Bilateral and Regional Agreements: TRIPS-plus 414
Ⅵ. Conclusions 417
Chapter 14 The TRIPS Agreement and Public Health&Sisule F. Musungu 421
Ⅰ. Introduction 421
Ⅱ. The TRIPS Agreement, Access to Essential Medicines, and Innovation in the Pharmaceutical Sector 423
A. The Preamble to the TRIPS Agreement 425
B. Nature and Scope of Obligations under the Agreement 426
C. National Treatment and Most-Favoured-Nation Treatment 428
D. Exhaustion of Rights 428
E. The Objectives for the Protection and Enforcement of IPRs 429
F. Principles Guiding the Formulation and Amendment of Implementing Laws and Regulations 430
G. Patentable Subject Matter and Patentability Criteria 431
H. Rights Conferred by Patents 432
I. Conditions on Patent Applicants 433
J. Exceptions to Patents Rights 434
K. Other Use without the Authorization of the Right Holder: Compulsory Licenses 436
L. Forfeiture or Revocation of a Patent 438
M. Term of Protection 438
N. Burden of Proof in Infringement Actions Relating to Process Patents 439
O. Protection of Undisclosed Information 440
P. Control of Anti-competitive Practices in Contractual Licenses 441
Q. Enforcement Provisions 442
R. Provisions on Dispute Settlement and Prevention 442
S. Transitional Arrangements 444
T. Transfer of Technology 445
U. Review and Amendment Provisions 446
Ⅲ. Doha Declaration on the TRIPS Agreement and Public Health 446
A. Interpretation of Public Health-Related Flexibilities in the TRIPS Agreement 447
B. Import Mechanism for Countries with insufficient or no Manufacturing Capacity 450
1. The General Council Decision 450
a. The Product and Disease Coverage 451
b. Eligibility of Members to Import or Export 452
c. The Terms of the Waiver to Article 31(f) and the Conditions Attached 453
d. The Terms of the Waiver to Article 31(h) 454
e. Safeguard Measures 454
f. Special Rules for Re-Export 455
g. Transfer of Technology 456
h. Annual Review 456
i. The Relationship Between the Decision and Existing Rights, Obligations and Flexibilities 457
j. Dispute Settlement 457
k. Relationship Between the Decision and the Permanent Solution (Amendment) 458
l. Determination of Lack of Manufacturing Capacity 459
m. The Legal Status of the Chairman's Statement 460
2. The Amendment to the TRIPS Agreement 461
a. Structure of the Amendment 463
b. Differences Between the Terms of the Amendment and the Decision 463
c. Entry into Force 464
C. Special Provisions for LDCs in Respect of Pharmaceutical Patenting 464
Ⅳ. Final Remarks: The Future of TRIPS and Public Health Issues 465
A. Innovation and R＆D in the Pharmaceutical Sector especially for Diseases that Predominantly Affect Developing Countries 466
B. The Implications of FTAs and other Non-WTO Post-TRIPS Standards for Public Health: Relevant Provisions under TRIPS 468
Appendices 471
Appendix Ⅰ. Declaration on the TRIPS Agreement and Public Health Adopted on 14 November 2001 by the 4th WTO Ministerial Conference 471
Appendix Ⅱ: Decision of the General Council of 30 August 2003 473
Appendix Ⅲ: Annex 481
Appendix Ⅳ: Annex to the Protocol Amending the TRIPS Agreement Adopted by the General Council (Decision of 6 December 2005) 484
Appendix Ⅴ: Annex to the TRIPS Agreement 485
Appendix Ⅵ: Appendix to the Annex to the TRIPS Agreement 487
Index 489