II. China's intellectual property 中国的知识产权

　　1. China's laws governing the intellectual property rights 中国知识产权法律

　　China has three laws governing the protection of intellectual property, which are: Trademark Law of P.R.C.; Copyright Law of P.R.C.; Patent Law of P.R.C.

　　中国知识产权法律三大法：《商标法》、《版权法》《专利法》。

　　2. China's governmental authorities on the protection of IPR

　　中国负责知识产权的政府机构

　　The intellectual property rights (IPR) protection mainly involve the following the authorities of the Central Government in China: the State Intellectual Property Office, Trademark Office, Press and Publication Administration; General Administration of Customs; Legislative Affairs Office of the State Council; Ministry of Foreign Trade and Economic Cooperation; National Copyright Administration.

　　国家知识产权办公室、商标局、新闻出版署、海关总署、国务院法制办公室、对外贸易经济合作部、国家版权局。

　　III. Case Study about IPR--- Section 110(5) of the US Copyright Act
案例---美国版权法第110节第5段

　　Background背景介绍

　　The case originated in complaint launched by Irish Music Rights Organization (IMRO). After an investigation made by the European Commission, the EU decided to challenge the exemptions permitted in Section 110(5) of the US Copyright Act, as they were believed to cause unreasonable prejudice to composers, performers and publishers of music.

　　本案例缘起于"爱尔兰音乐权利组织"的一起上诉。在欧盟委员会调查之后，欧盟决定挑战美国版权法110节第5段所允许的例外，因为该例外被认为对音乐作者、表演者和发行人造成了不合理的侵害。

　　The core of this dispute is the Section 110(5) of the US Copyright Act, which, according to the EC, imposed more limit on the exclusive rights given to the right holders by Section 106 of US Copyright Act. #p#分页标题#e#

　　该贸易争端的核心是美国版权法110节第5段。据欧盟方面而言，该段对《美国版权法》第106节所给予权利持有人的专有权施加了更多的限制。

　　Now, let's read the Sections 106 and 110(5) of US Copyright Act 1998 to see whether some change has been made.

　　现在，我们看一下第106节和110节第5段，找一找110（5）节做了什么修改。

　　The relevant parts of the current text of Section 106 read as follows:

　　"§ 106. Exclusive rights in copyrighted works

　　Subject to sections 107 through 120, the owner of copyright under this title has the exclusive rights to do and to authorize any of the following:

　　…

　　(4) in the case of literary, musical, dramatic, and choreographic works, pantomimes, and motion pictures and other audiovisual works, to perform the copyrighted work publicly;

　　(5) in the case of literary, musical, dramatic, and choreographic works, pantomimes, and pictorial, graphic, or sculptural works, including the individual images of a motion picture or other audiovisual work, to display the copyrighted work publicly; and
…"

　　根据107至120节，版权持有人有从事以及授权以下行为的专有权：

　　…

　　（4）对于文学、音乐、戏剧和舞蹈作品，哑剧和电影以及其它视听作品，公开表现这些版权所有的作品；

　　（5）对于文学、音乐、戏剧和舞蹈作品，哑剧和绘画、书写或雕刻作品，包括电影和其它视听作品中的单独影像，公开展现版权所有的作品；以及
…"

　　The relevant parts of the current text of Section 110(5) read as follows:

　　"§ 110. Limitations on exclusive rights: Exemption of certain performances and displays

　　Notwithstanding the provisions of section 106, the following are not infringements of copyright: #p#分页标题#e#

　　…

　　(5)(A) except as provided in subparagraph (B), communication of a transmission embodying a performance or display of a work by the public reception of the transmission on a single receiving apparatus of a kind commonly used in private homes, unless -

　　(A) a direct charge is made to see or hear the transmission; or

　　(B) the transmission thus received is further transmitted to the public;

　　(B) communication by an establishment of a transmission or retransmission embodying a performance or display of a nondramatic musical work intended to be received by the general public, originated by a radio or television broadcast station licensed as such by the Federal Communications Commission, or, if an audiovisual transmission, by a cable system or satellite carrier, if-

　　(i) in the case of an establishment other than a food service or drinking establishment, either the establishment in which the communication occurs has less than 2,000 gross square feet of space (excluding space used for customer parking and for no other purpose), or the establishment in which the communication occurs has 2,000 or more gross square feet of space (excluding space used for customer parking and for no other purpose) and-

　　(I) if the performance is by audio means only, the performance is communicated by means of a total of not more than 6 loudspeakers, of which not more than 4 loudspeakers are located in any 1 room or adjoining outdoor space; or

　　(II) if the performance or display is by audiovisual means, any visual portion of the performance or display is communicated by means of a total of not more than 4 audiovisual devices, of which not more than 1 audiovisual device is located in any 1 room, and no such audiovisual device has a diagonal screen size greater than 55 inches, and any audio portion of the performance or display is communicated by means of a total of not more than 6 loudspeakers, of which not more than 4 loudspeakers are located in any 1 room or adjoining outdoor space; #p#分页标题#e#

　　(ii) in the case of a food service or drinking establishment, either the establishment in which the communication occurs has less than 3,750 gross square feet of space (excluding space used for customer parking and for no other purpose), or the establishment in which the communication occurs has 3,750 gross square feet of space or more (excluding space used for customer parking and for no other purpose) and---

　　(I) if the performance is by audio means only, the performance is communicated by means of a total of not more than 6 loudspeakers, of which not more than 4 loudspeakers are located in any 1 room or adjoining outdoor space; or

　　(II) if the performance or display is by audiovisual means, any visual portion of the performance or display is communicated by means of a total of not more than 4 audiovisual devices, of which not more than one audiovisual device is located in any 1 room, and no such audiovisual device has a diagonal screen size greater than 55 inches, and any audio portion of the performance or display is communicated by means of a total of not more than 6 loudspeakers, of which not more than 4 loudspeakers are located in any 1 room or adjoining outdoor space;

　　(iii) no direct charge is made to see or hear the transmission or retransmission;

　　(iv) the transmission or retransmission is not further transmitted beyond the establishment where it is received; and

　　(v) the transmission or retransmission is licensed by the copyright owner of the work so publicly performed or displayed; and…"

　　110（5）节的相关内容如下：

　　§ 110 对于专有权的限制：免除某些表演和展示的专有权

　　尽管有106节的规定，但如下情况不属于侵犯版权：

　　…

　　（5）（A） 不在（B）小段规定之列的，由公众在一种通常在私人家中使用的一件接收器上接收含表演或展示的作品的传播行为，除非- #p#分页标题#e#
　　（A） 对于看或听此传播进行直接收费；或
　　（B） 如此收到的传播被进一步传播给公众；
　　（B） 一个设施传播或二次传播从一个得到像联邦通讯委员会这样的机构许可的广播或电视站播放的（如果是视听传输，则通过有线系统或卫星电波来播放）、旨在让大众接收到、含非戏剧音乐作品的表演或展示的行为，如果--

　　（i）对于不是饮食场所的设施，传播发生在总面积为2000平方英尺以内（不包括顾客停车和没有其它目的空间），或者传播发生在2000平方英尺或以上（不包括顾客停车的面积和没有其它目的空间）：

　　（I）如果表演只是通过听来接收，传播只能通过最多不超过6个的扩音器，其中，在一个房间或相邻的户外空间最多只能放4个扩音器；或

　　（II）如果表演或展示是通过视听来接收，任何表演或展示的视觉接收部分的传播只能通过最多不超过4件的视听设备，其中，在任何一个房间最多只能放1件视听设备，并且这样的视听设备的屏幕对角线尺寸不得超过55英寸，任何表演或展示的听觉接收部分的传播只能通过最多不超过6个的扩音器，其中，在一个房间或相邻的户外空间最多只能放4个扩音器；

　　（ii）对于饮食场所，传播发生在总面积为3750平方英尺以内（不包括顾客停车和没有其它目的空间），或者传播发生在3750平方英尺或以上（不包括顾客停车的面积和没有其它目的空间）：

　　（I）如果表演只是通过听来接收，传播只能通过最多不超过6个的扩音器，其中，在一个房间或相邻的户外空间最多只能放4个扩音器；或

　　（II）如果表演或展示是通过视听来接收，任何表演或展示的视觉接收部分的传播只能通过最多不超过4件的视听设备，其中，在任何一个房间最多只能放1件视听设备，并且这样的视听设备的屏幕对角线尺寸不得超过55英寸，任何表演或展示的听觉接收部分的传播只能通过最多不超过6个的扩音器，其中，在一个房间或相邻的户外空间最多只能放4个扩音器； #p#分页标题#e#

　　（iii）对于看或听传播或二次传播没有直接收费；

　　（iv）传播或二次传播没有进一步传送到接收所在设施以外的场所；

　　（v）传播或二次传播得到作品版权所有人的许可，可以这样公开表演或展示；

　　Compared with the previous Section 110(5) of US Copyright Act 1976, the subparagraph (B) was inserted, which has made a big difference and brought about a trade dispute between the EU and US.

　　将98版美国版权法案第110节第5段与76版一比较，我们发现新插入了（B）小段，这就产生了很大的不同，并导致了欧盟与美国之间的贸易争端。

　　欧盟的论点

　　Arguments from the European Commission

　　Section 110(5) of the United States Copyright Act, as amended by the "Fairness in Music Licensing Act" enacted on 27 October 1998, exempts, under certain conditions, the communication or transmission embodying a performance or display of a work by the public reception of the transmission on a single receiving apparatus of a kind commonly used in private homes (sub-paragraph A, referred to as "homestyle exemption") and, also under certain conditions, communication by an establishment of a transmission or retransmission embodying a performance or display of a non-dramatic musical work intended to be received by the general public (subparagraph B, often referred to as "business exemption") from obtaining an authorization to do so by the respective right holder. In practice this means that Section 110(5) of the US Copyright Act permits under certain circumstances, the playing of radio and television music in public places (such as bars, shops, restaurants etc.) without the payment of a royalty fee.

　　美国版权法110节第5段经1998年10月27日颁布的《音乐许可公平法案》修正，规定了，在一定条件下，传播或传送含有公众可以在一种在私人家庭中经常使用的单一接收装置上接收到的一件作品的表演或展示（A小段称为"家庭免除）；以及在一定条件下，一个设施传送或二次传送旨在让公众接收的含有非戏剧音乐作品的表演或展示，可以不必获得分别的版权持有人的授权。在实践中，这意味着美国版权法110节第5段允许在一定情况下，在公众场所（例如酒吧、商店、饭店等）播放广播及电视中的音乐，不必交版权费。 #p#分页标题#e#

　　However, Article (9)1 of the WTO Agreement on Trade-Related Aspects of Intellectual Property Rights contained in Annex 1C to the Agreement Establishing the World Trade Organization (hereafter the "TRIPS Agreement") obliges WTO Members to comply with Articles 1 to 21 of the Berne Convention for the Protection of Literary and Artistic Works (hereafter the "Berne Convention").

　　但是《WTO与贸易有关的知识产权协定》（以下简称《TRIPS协定》）第9.1条责成WTO成员遵守《保护文学和艺术作品的伯尔尼公约》（以下简称《伯尔尼公约》）的第1至21条。

　　Article 11bis(1) of the Berne Convention grants the authors of literary and artistic works, including musical works, the exclusive right of authorizing not only the broadcasting and other wireless communication of their works, but also the public communication of a broadcast of their works by loudspeaker or any other analogous instrument. Article 11(1) of the same Convention grants the authors of musical works the exclusive right of authorizing the public performance of their works, including such public performance by any means or process, and any communication to the public of the performance of their works.

　　《伯尔尼公约》第11条之二的第一点给予文学和艺术作品（包括音乐作品）的作者在以下方面有专有权：授权广播或其它类无线播放他们的作品，以及通过扩音器或其它模拟设备公开播放他们的作品。该公约第11.1条给予音乐作品的作者对于公开表演他们作品（包括通过任何方式或途径，以及对他们作品的任何组合向公众播放）进行授权的专有权。

　　As a consequence of the above, Section 110(5) of the United States Copyright Act appears to be inconsistent with the United States' obligations under the TRIPS Agreement, including, but not limited to, Article 9(1) of the TRIPS Agreement.

　　综上，美国版权法110节第5段与美国在包括《TRIPS协定》第9.1条但不限于9.1条下所承诺的义务不符。 #p#分页标题#e#

　　美国观点

　　Argument from the US side

　　The United States contends that Section 110(5) of the US Copyright Act is fully consistent with its obligations under the TRIPS Agreement. The Agreement, incorporating the substantive provisions of the Berne Convention (1971), allows Members to place minor limitations on the exclusive rights of copyright owners. Article 13 of the TRIPS Agreement (Article 13: Members shall confine limitations or exceptions to exclusive rights to certain special cases which do not conflict with a normal exploitation of the work and do not unreasonably prejudice the legitimate interests of the right holder) provides the standard by which to judge the appropriateness of such limitations or exceptions. The exemptions embodied in Section 110(5) fall within the Article 13 standard.

　　美国主张，其版权法110节第5段完全与其在《TRIPS协定》下所承诺的义务相符。该协定融合了《伯尔尼公约》中的实体条款，允许成员对版权持有人的权利进行稍微的(minor)的限制。《TRIPS协定》第13条提供了判断限制或例外适用性的标准（第13条：各成员对专有做出的任何限制或例外规定仅限于某些特殊情况，且与作品的正常利用不相冲突，也不得无理损害权利持有人的合法权益）。在美国版权法110节第5段中含有的例外符合《TRIPS协定》第13条的标准。

　　判决Ruling

　　Since both sides believed that they were on the right side and made no compromise, they finally resorted to the Dispute Settlement Body of the WTO (DSB). In this connection, the WTO established a panel, which took a long time to judge this case and made a provisional ruling. Next is the provisional ruling.

　　由于两方都认为自己是对的，不愿意妥协，他们最终求助于WTO的争端解决机构。对此，WTO成立了一个委员会，历时很久，做出了临时判定。下面是结果： #p#分页标题#e#

　　The WTO disputes procedure found in favor of the EU. The US decided to accept the ruling.

　　WTO争端程序站在欧盟一边。美国决定接受判定。

　　Let's conclude the briefing of this copyright dispute case by quoting the remark made by the EC Trade Commissioner Pascal Lamy as saying, "(the case and its result) this is a good example of how we can manage our problems in a co-operative manner, while keeping in mind our international obligations and commitments. It will bring a smile to Irish eyes in particular".

　　最后引用一下欧盟委员会贸易委员帕斯卡尔？拉米在欧盟方得胜后的一番话：（本案极其结果）是一个很好的榜样，展示了我们如何在牢记我们的国际义务和承诺的同时，以一种合作的方式处理我们的问题。该裁定将特别令爱尔兰人喜上眉梢。

　　IV. TRIPS issues to be discussed in the new round of WTO negotiations

　　新一轮WTO谈判所涉及的知识产权议题

　　According to the Ministerial Declaration of the 4th WTO Ministerial Meeting held in Doha, the new multilateral talks on intellectual property rights will mainly focus on public health and the establishment of a multilateral system of notification and registration of geographical indications for wines and spirits, among which, the issue of public health has been given great attention by many developing countries and least-developed countries heavily afflicted with HIV/AIDS, tuberculosis, malaria and other epidemics, and the developed countries in possession of the patents directly related to the treatment of the above-mentioned epidemics. In this connection, this Ministerial Meeting issued a separate Declaration.

　　根据在多哈举行的WTO第四届部长会议发表的《部长宣言》，新多边知识产权谈判将主要集中于公众健康议题和建立一个葡萄酒和烈性酒地理标识的多边通报和登记体系。其中，倍受艾滋病、肺结核、疟疾和其它流行病折磨的发展中国家和最不发达国家以及拥有治疗上述流行病方法专利权的发达国家对公众健康议题非常重视。因此，此次部长会议出台了一个有关于此的单独宣言： #p#分页标题#e#
DECLARATION ON THE TRIPS AGREEMENT AND PUBLIC HEALTH

Adopted on 14 November 2001

与贸易有关的知识产权协定和公众健康宣言
2001年11月14日通过


　　1. We recognize the gravity of the public health problems afflicting many developing and least-developed countries, especially those resulting from HIV/AIDS, tuberculosis, malaria and other epidemics.
　　我们认识到影响许多发展中国家和最不发达国家的，特别是那些缘于艾滋病、肺结核、疟疾和其它流行病的公众健康问题的严重性。

　　2. We stress the need for the WTO Agreement on Trade-Related Aspects of Intellectual Property Rights (TRIPS Agreement) to be part of the wider national and international action to address these problems.
　　我们强调，需要将《与贸易有关的知识产权协定》作为更广泛的旨在解决这些问题的国内和国际行动的组成部分。

　　3. We recognize that intellectual property protection is important for the development of new medicines. We also recognize the concerns about its effects on prices.
　　我们认识到知识产权保护对于发展新药的重要性。我们也认识到对于药价所产生效果的关注。

　　4. We agree that the TRIPS Agreement does not and should not prevent Members from taking measures to protect public health. Accordingly, while reiterating our commitment to the TRIPS Agreement, we affirm that the Agreement can and should be interpreted and implemented in a manner supportive of WTO Members' right to protect public health and, in particular, to promote access to medicines for all.

　　In this connection, we reaffirm the right of WTO Members to use, to the full, the provisions in the TRIPS Agreement, which provide flexibility for this purpose.
　　我们同意《与贸易有关的知识产权协定》不会也不应当阻止成员采取措施保护公众健康。据此，在重申我们对《与贸易有关的知识产权协定》承诺的同时，我们确认，对于本协定的解释和执行能够也应当支持成员保护公众健康，特别是促进所有成员获得药品准入的权利。 #p#分页标题#e#

　　有鉴于此，我们重申WTO成员有百分之一百使用《与贸易有关的知识产权协定》中为实现此目的而提供灵活性的条款。

　　5. Accordingly and in the light of paragraph 4 above, while maintaining our commitments in the TRIPS Agreement, we recognize that these flexibilities include:
　　据此并考虑到上述第4段，在保持我们在《与贸易有关的知识产权协定》中所做承诺的同时，我们认识到这些灵活性包括：

　　(a) In applying the customary rules of interpretation of public international law, each provision of the TRIPS Agreement shall be read in the light of the object and purpose of the Agreement as expressed, in particular, in its objectives and principles.

　　在应用解释国际公法的惯例时，《与贸易有关的知识产权协定》中的每一条款的解读都应当考虑到协定所表述的对象和目的，特别是其目标和原则。

　　(b) Each Member has the right to grant compulsory licences and the freedom to determine the grounds upon which such licences are granted.

　　每一成员都有权准予强制许可并可自由决定准予该强制许可的理由。

　　(c) Each Member has the right to determine what constitutes a national emergency or other circumstances of extreme urgency, it being understood that public health crises, including those relating to HIV/AIDS, tuberculosis, malaria and other epidemics, can represent a national emergency or other circumstances of extreme urgency.

　　每一成员都有权决定什么是全国性的紧急状态或其它极端紧急的情况，成员都知道公众健康危机，包括与艾滋病、肺结核和其它流行病有关的公众健康危机能被视为全国性的紧急状态或其它极端紧急的情况。

　　(d) The effect of the provisions in the TRIPS Agreement that are relevant to the exhaustion of intellectual property rights is to leave each Member free to establish its own regime for such exhaustion without challenge, subject to the MFN and national treatment provisions of Articles 3 and 4. #p#分页标题#e#

　　《与贸易有关的知识产权协定》中与知识产权用尽有关的条款的效果就是让每个成员根据本协定第3条国民待遇和第4条最惠国待遇条款，不受挑战的自由建立关于知识产权用尽的体制。

　　6. We recognize that WTO Members with insufficient or no manufacturing capacities in the pharmaceutical sector could face difficulties in making effective use of compulsory licensing under the TRIPS Agreement. We instruct the Council for TRIPS to find an expeditious solution to this problem and to report to the General Council before the end of 2002.

　　我们认识到那些在医药领域没有或没有足够生产能力的WTO成员在有效使用
《与贸易有关的知识产权协定》中规定的强制许可时，可能遇到困难。我们指示
与贸易有关的知识产权理事会迅速找到解决办法，并在2002年底报告总理事会。

　　7. We reaffirm the commitment of developed-country Members to provide incentives to their enterprises and institutions to promote and encourage technology transfer to least-developed country Members pursuant to Article 66.2. We also agree that the least-developed country Members will not be obliged, with respect to pharmaceutical products, to implement or apply Sections 5 and 7 of Part II of the TRIPS Agreement or to enforce rights provided for under these Sections until 1 January 2016, without prejudice to the right of least-developed country Members to seek other extensions of the transition periods as provided for in Article 66.1 of the TRIPS Agreement. We instruct the Council for TRIPS to take the necessary action to give effect to this pursuant to Article 66.1 of the TRIPS Agreement.

　　根据第66.2条，我们重申发达国家成员向其本国企业和机构提供优惠措施来促进和鼓励向最不发达国家成员进行技术转让的承诺。我们也同意在医药产品方面，在2016年1月1日前，最不发达国家成员没有义务执行或适用《与贸易有关的知识产权协定》第二部分第5、7节或执行这些节规定的权利，并且不侵害最不发达国家成员根据此协定第66.2条寻求延长过渡期的权利。我们指示知识产权总理事会根据此协定第66.2条采取必要行动落实上述内容。 #p#分页标题#e#