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Part Ⅰ Understanding TRIPS1

Chapter 1 TRIPS: Background, Principles and General Provisions&Abdulqawi A. Yusuf3

Ⅰ. Background3

A. North South Divergent Perspectives on IPRs4

B. The GATT-IPRs Connection7

Ⅱ. Objectives and Principles10

A. Objectives10

1. Preamble11

2. Article 712

B. Principles13

1. The Public Interest Principle13

2. The Prevention of Abuse15

Ⅲ. Applicability of Basic GATT Standards to IPRS16

A. National Treatment16

B. Most-Favoured-Nation Treatment18

Ⅳ. Exhaustion of Rights19

Ⅴ. The Relationship between TRIPS and the IP Conventions20

Chapter 2 Universal Minimum Standards of Intellectual Property Protection under the TRIPS Component of the WTO Agreement&Jerome H. Reichman23

Ⅰ. Preliminary Considerations23

A. Logic of the TRIPS Agreement24

B. Basic Principles26

Ⅱ. Primary Intellectual Property Regimes: Patents,Trademarks, Copyrights30

A. Patents30

1. Normative Structure30

2. Limits of the Patentee's Exclusive Rights33

a. Compulsory Licences in General33

b. New Dimensions of the Public Interest Exception36

3. Non-Traditional Subject Matter36

a. Biotechnology and Plant Varieties37

b. Computer Programs39

B. Trademarks and Geographical Indications of Origin41

1. Trademarks42

2. Geographical Indications of Origin43

C. Copyrights and Neighbouring Rights44

1. Traditional Literary and Artistic Works46

2. Neighbouring Rights48

3. Computer Programs and Electronic Information Tools50

Ⅲ. Ancillary Proprietary Regimes and Trade Regulation53

A. Integrated Circuit Designs54

B. Industrial Designs55

C. Trade Secrets and Confidential Information58

D. Trade Regulation Measures60

1. Constraints on Licensing60

2. Unfair Competition62

Ⅳ. Enforcement and Anticounterfeiting Measures63

A. The Basic Enforcement Provisions65

B. Implementing the Enforcement Provisions69

Ⅴ. Ongoing Trade-Based Initiatives74

A. Compensation as the Key to Future Concessions75

B. Uncertainties of the Dispute Settlement Process78

Chapter 3 The Application and Interpretation of the Agreement on Trade-Related Aspects of Intellectual Property Rights&Andres Moncayo von Hase83

Ⅰ. Introduction83

A. The Relationship between International Law and Domestic Law86

1. One Single Legal Order or a Plurality of Legal Systems?86

a. Theories86

b. International Practice87

B. The Incorporation of Treaties into Municipal Law88

C. Legal Status of Treaties Under Municipal Law90

Ⅱ. Trips and Domestic Law: The Case of the United States and the European Community94

A. Introduction94

B. The Case of the United States96

C. The Case of the EEC and EEC Members99

Ⅲ. The Nature and Scope of TRIPS Provisions105

A. Self-Executing and non-Self-Executing Treaties and Provisions: the Case of TRIPS105

B. The Treatment of Private Parties Under TRIPS and the Exhaustion of Local Remedies Rule112

C. Transitional Arrangements for Particular Members115

Ⅳ. The Objectives of the Agreement and the Principles that shall Guide Its Implementation and Interpretation116

Ⅴ. Conclusions122

Part Ⅱ New Standards for IPR Protection125

Chapter 4 Copyright and Related Rights&Alberto Bercovitz127

Ⅰ. The Situation before the TRIPS Agreement127

Ⅱ. Significant Changes Affecting Copyright Law128

Ⅲ. The TRIPS Agreement and Preexisting Conventions on Copyright and Related Rights130

Ⅳ. The TRIPS Provisions on Copyright132

A. General Principle132

B. Protection of Computer Programs and Compilations of Data.134

C. Rental Rights135

D. Duration of the Protection136

Ⅴ. Related Rights: The Protection of Performers, Producers of Phonograms and Broadcasting Organizations138

A. Rome Convention and Approach to Copyright138

B. Rights Attributed to Performers139

C. Rights Attributed to Producers of Phonograms140

D. Rights Attributed to Broadcasting Organizations140

Ⅵ. Limitations to Copyright and Related Rights141

Ⅶ. Exhaustion, Parallel Imports and Piracy144

Ⅷ. Future Perspectives145

Chapter 5 Intellectual Property Rules for Trademarks and Geographical Indications: Important Parts of the New World Trade Order&Jim Keon149

Ⅰ. The TRIPS Agreement149

Ⅱ. Trademarks151

A. Increased Trademark Protection152

B. Marks that Must be Protected152

C. Rights of Trademark Owners154

D. Protection for Internationally Well-known Marks154

E. Exceptions155

F. Length of Protection156

G. Requirements for Use156

H. Licensing and Assignment of Marks156

I. Penalties for Trademark Counterfeiting156

Ⅲ. Geographical Indications157

A. Definition157

B. Additional Protection for Wines and Spirits158

C. Exceptions160

Ⅳ. Conclusions160

Chapter 6 The Evolving Regime for Geographical Indications in WTO and in Free Trade Agreements&David Vivas-Eugui and Christoph Spennemann163

Ⅰ. Introduction163

Ⅱ. The Main Aspects of the GI Debate in the WTO164

A. Implementation of TRIPS Obligations and Implementation-Related Issues165

B. Negotiations of a Multilateral System of Notification and Registration of Wines and Spirits in the TRIPS Council of the WTO166

C. Latest Developments Regarding GIs in Other WTO Bodies: The Claw-Back Proposal168

D. The TRIPS Agreement and Regional and Bilateral Free Trade Agreements Resulting in GI Obligations169

Ⅲ. TRIPS Obligations under the GI Section and Recent WTO Jurisprudence170

A. Definition170

B. Scope of Protection171

C. Level of Protection172

1. Basic Level of Protection172

a. Generic Terms173

b. Personal Names174

c. Domestic Protection of GIs in the Country of Origin174

2. Increased Level of Protection for Wines and Spirits174

3. Limitations of Protection for Wines and Spirits175

D. Relationship with Trademark Protection175

1. The Basic Rule175

2. The Exception176

3. Time Limits for GI Enforcement177

E. GIs in Identically Named Regions177

F. International Negotiations and Review178

1. The Establishment of a Multilateral Register for Wines and Spirits178

2. The Extension of the Higher Level of Protection Available for Wines and Spirits to GIs for Other Products178

3. GI Provisions in Bilateral and Regional Free Trade Agreements179

4. The Review of the TRIPS Provisions on GIs179

G. WTO Jurisprudence Related to the TRIPS Provisions on GIs180

H. Recent EU Legislation on GIs182

Ⅳ. The Approach under European Union Bilateral Free Trade Agreements184

A. Definition, Scope and Structure186

B. Level and Means of Protection187

C. The Granting of Automatic Protection187

D. Exceptions188

E. Relationship with Trademark Protection190

F. Traditional Expressions191

G. Recapitulative Table193

Ⅴ. The Approach under United States Regional and Bilateral Free Trade Agreements.193

A. Definition and Scope200

B. Legal Means of Protection201

C. Relationship with Trademarks203

D. Exceptions204

E. Some Procedural Features204

F. Links with Market Access Rules205

G. Recapitulative Table205

Ⅵ. Concluding Remarks209

A. Some Lessons from the Multilateral Debate on GIs209

B. Some Lessons from GIs Protection in Regional and Bilateral Agreements210

Chapter 7 Industrial Designs and TRIPS&Jeremy Phillips215

Ⅰ. Are Industrial Designs of any Significance?215

Ⅱ. Do Design Rights Distort International Trade?218

Ⅲ. Background to the TRIPS Industrial Design Provisions220

Ⅳ. The TRIPS Provisions on Industrial Designs222

Ⅴ. Concluding Comments226

Chapter 8 Patent Rights&Carlos M. Correa227

Ⅰ. Introduction227

Ⅱ. Relationship with the Paris Convention227

A. What is Patentable?229

B. Exclusions from Patentability230

1. Ordre Public and Morality230

2. Methods for Treatment of Humans and Animals231

3. Plants and Animals231

4. Processes232

5. Non-biological Processes233

6. Microbiological Processes233

7. Plant Varieties233

8. Early Review235

C. Concept of Invention235

1. Biotechnology-related Inventions235

2. Software-related Inventions236

D. Criteria of Patentability237

1. Known Product, New Use238

2. Known Process, New Products238

E. Discrimination239

F. Rights Conferred240

1. Product Patents240

2. Process Patents241

3. Interpretation of Claims242

G. Assignment and Transfer of Rights242

H. Disclosure242

I. Best Mode Requirement243

J. Foreign Applications and Grants243

K. Exceptions to Exclusive Rights244

L. Compulsory Licensing245

1. General Framework245

2. Grounds for Compulsory Licences247

3. Conditions for Granting249

a. Individual Cases249

b. Prior Request250

c. Scope and Duration250

d. Non-exclusivity - Non-assignability250

e. Markets250

f. Termination251

g. Remuneration251

h. Review252

M. Revocation or Forfeiture252

N. Term of Protection252

O. Reversal of the Burden of Proof252

P. Transitional Periods253

1. General Rule253

2. Developing Countries and Economies in Transition253

3. Least-Developed Countries254

4. Automatic Application254

5. Non-Degradation255

Q. Existing Subject Matter255

R. Conversion of Applications256

S. Pharmaceuticals and Agrochemicals256

Chapter 9 Layout Designs of Integrated Circuits&Carlos M. Correa259

Ⅰ. Introduction259

Ⅱ. Definitions260

Ⅲ.Requirements260

Ⅳ.Form of Protection261

A. National Treatment263

B. Acts Requiring Authorization263

C. Compulsory Licences263

Ⅴ.Industrial Products264

Ⅵ.Exhaustion of Rights265

Ⅶ.Reverse Engineering265

Ⅷ. Bona Fide Acquirer265

Ⅸ.Term of Protection266

Ⅹ.Conditions for Granting Protection267

Ⅺ.Patenting Integrated Circuits267

Ⅻ.Final Remarks268

Chapter 10 Protection of Trade Secrets and Confidential Information&Francois Dessemontet271

Ⅰ. Introduction271

Ⅱ. Theory of Protection276

A. Contractual Obligation276

B. Fiduciary Relationship277

C. Unjust Enrichment and Misappropriation277

Ⅲ. Secrecy279

A. Economic Value280

B. Secrecy281

1. Objective Secrecy282

2. Relative Secrecy283

C. Mosaic of Knowledge Irrelevant284

D. Reasonable Steps284

E. Duration of Protection285

1. Injunctions against Employees285

2. Licensing Agreements286

Ⅳ. Honest Commercial Practices286

A. International Standards287

B. Rights of Employers vs. Rights of Employees287

C. Third Party's Liability288

Ⅴ. Administration and Trade Secrets289

Ⅵ. Conclusion291 References291

Chapter 11 Control of Anti-competitive Practices in Contractual Licences under the TRIPS Agreement&Pedro Roffe and Christoph Spennemann293

Ⅰ. Introduction293

Ⅱ. The Treatment of Abusive Practices at the Domestic Level298

A. United States298

B. Competition Policies in the Context of the European Community301

C. Japan304

D. Other Countries305

Ⅲ. Earlier International Attempts: The UNCTAD Draft Code308

Ⅳ. The TRIPS Agreement311

A. General Considerations311

B. Relevant Provisions of the TRIPS Agreement on the Control of Anti-competitive Practices313

1. Basic Principles313

2. Control of Anti-Competitive Practices in Non-Voluntary Licences314

3. Control of Anti-Competitive Practices in Contractual Licences315

a. The Restraint on Competition Test317

b. The Rule of Reason317

c. The Domestic Control of Restrictive Practices318

d. Consultation Procedures among Members318

4. Restrictive Practices Referred to in the TRIPS Agreement320

Ⅴ. The Implementation of the TRIPS Provisions on Anti-competitive Practices322

Ⅵ. Concluding Remarks326

Chapter 12 TRIPS Dispute Settlement and Developing Country Interests&Mohamed Omar Gad331

Ⅰ. Introduction331

Ⅱ. A Short History of TRIPS Dispute Settlement Trends333

Ⅲ. Dispute Settlement and TRIPS Implementation341

A. India Disputes344

B. Argentina Consultations349

C. Brazil Consultations350

Ⅳ. Dispute Settlement and TRIPS Interpretation352

A. Methodology of Interpretation355

1. General Rules of Interpretation355

2. Deference to National Law vs. Judicial Activism359

B. Interpreting TRIPS Exceptions364

1. Nature of the Exceptions Cases and Legal Issues Raised364

2. Legal Reasoning and the Interpretative Exercise367

Ⅴ. TRIPS Dispute Settlement in Context374

A. The Evolving TRIPS Regime and DC Interests375

B. Legal Lacunae and Diplomatic Solutions376

Ⅵ. Conclusion382

Part Ⅲ Special Issues385

Chapter 13 Human Rights and Intellectual Property Rights&Xavier Seuba387

Ⅰ. Introduction387

A. A Delayed Meeting387

B. Basis and Scope of Intellectual Property Rights389

Ⅱ. Reactions to the Tension Between Intellectual Property Rights and Human Rights392

A. The United Nations Organs of Protection of Human Rights Before the TRIPS Agreement392

B. Matters Affected by the Protection of Intellectual Property394

Ⅲ. Introducing Human Rights into Intellectual Property Law397

A. Rights Affected397

B. The Right to Culture as a Framework of Analysis399

Ⅳ. Design and Management of a System of Protection of Intellectual Property Consistent with Human Rights Obligations403

A. Development of the Objectives and Principles of the TRIPS Agreement403

B. A Vision Consistent with Human Rights Obligations405

Ⅴ. Human Rights and International Trade410

A. The Multilateral Trade System410

B. Bilateral and Regional Agreements: TRIPS-plus414

Ⅵ. Conclusions417

Chapter 14 The TRIPS Agreement and Public Health&Sisule F. Musungu421

Ⅰ. Introduction421

Ⅱ. The TRIPS Agreement, Access to Essential Medicines, and Innovation in the Pharmaceutical Sector423

A. The Preamble to the TRIPS Agreement425

B. Nature and Scope of Obligations under the Agreement426

C. National Treatment and Most-Favoured-Nation Treatment428

D. Exhaustion of Rights428

E. The Objectives for the Protection and Enforcement of IPRs429

F. Principles Guiding the Formulation and Amendment of Implementing Laws and Regulations430

G. Patentable Subject Matter and Patentability Criteria431

H. Rights Conferred by Patents432

I. Conditions on Patent Applicants433

J. Exceptions to Patents Rights434

K. Other Use without the Authorization of the Right Holder: Compulsory Licenses436

L. Forfeiture or Revocation of a Patent438

M. Term of Protection438

N. Burden of Proof in Infringement Actions Relating to Process Patents439

O. Protection of Undisclosed Information440

P. Control of Anti-competitive Practices in Contractual Licenses441

Q. Enforcement Provisions442

R. Provisions on Dispute Settlement and Prevention442

S. Transitional Arrangements444

T. Transfer of Technology445

U. Review and Amendment Provisions446

Ⅲ. Doha Declaration on the TRIPS Agreement and Public Health446

A. Interpretation of Public Health-Related Flexibilities in the TRIPS Agreement447

B. Import Mechanism for Countries with insufficient or no Manufacturing Capacity450

1. The General Council Decision450

a. The Product and Disease Coverage451

b. Eligibility of Members to Import or Export452

c. The Terms of the Waiver to Article 31(f) and the Conditions Attached453

d. The Terms of the Waiver to Article 31(h)454

e. Safeguard Measures454

f. Special Rules for Re-Export455

g. Transfer of Technology456

h. Annual Review456

i. The Relationship Between the Decision and Existing Rights, Obligations and Flexibilities457

j. Dispute Settlement457

k. Relationship Between the Decision and the Permanent Solution (Amendment)458

l. Determination of Lack of Manufacturing Capacity459

m. The Legal Status of the Chairman's Statement460

2. The Amendment to the TRIPS Agreement461

a. Structure of the Amendment463

b. Differences Between the Terms of the Amendment and the Decision463

c. Entry into Force464

C. Special Provisions for LDCs in Respect of Pharmaceutical Patenting464

Ⅳ. Final Remarks: The Future of TRIPS and Public Health Issues465

A. Innovation and R＆D in the Pharmaceutical Sector especially for Diseases that Predominantly Affect Developing Countries466

B. The Implications of FTAs and other Non-WTO Post-TRIPS Standards for Public Health: Relevant Provisions under TRIPS468

Appendices471

Appendix Ⅰ. Declaration on the TRIPS Agreement and Public Health Adopted on 14 November 2001 by the 4th WTO Ministerial Conference471

Appendix Ⅱ: Decision of the General Council of 30 August 2003473

Appendix Ⅲ: Annex481

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 Agreement485

Appendix Ⅵ: Appendix to the Annex to the TRIPS Agreement487

Index489