WTO – Trade-Related Aspects of Intellectual Property Rights Max Planck Commentaries on World Trade Law Editors Rüdiger Wolfrum and Peter-Tobias Stoll VOLUME 7 WTO – Trade-Related Aspects of Intellectual Property Rights Edited by Peter-Tobias Stoll Jan Busche and Katrin Arend Max Planck Institute for Comparative Public Law and International Law MARTINUS NIJHOFF PUBLISHERS LEIDEN • BOSTON 2009 German version: TRIPs – Internationales und europäisches Recht des geistigen Eigentums. Copyright 2006 Carl Heymanns Verlag KG, Germany. All rights reserved. This book is printed on acid-free paper. Library of Congress Cataloging-in-Publication Data WTO—trade-related aspects of intellectual property rights / edited by Peter-Tobias Stoll, Jan Busche, Katrin Arend. p. cm. — (Max Planck Institute for comparative public law and international law ; 7) Includes bibliographical references and index. ISBN 978-90-04-14567-2 (hardback : alk. paper) 1. Agreement on Trade-Related Aspects of Intellectual Property Rights (1994) 2. Foreign trade regulation. 3. Intellectual property (International law) 4. World Trade Organization. I. Stoll, Peter-Tobias. II. Busche, Jan, 1961– III. Arend, Katrin. IV. Title. V. Series. K1401.A41994W86 2008 346.04’8—dc22 2008032535 ISSN 1574-907X ISBN 978-90-04-14567-2 Copyright 2009 by Koninklijke Brill NV, Leiden, The Netherlands. Koninklijke Brill NV incorporates the imprints Brill, Hotei Publishing, IDC Publishers, Martinus Nijhoff Publishers and VSP. All rights reserved. No part of this publication may be reproduced, translated, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying, recording or otherwise, without prior written permission from the publisher. 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Fees are subject to change. printed in the netherlands CONTENTS Preface to the Series ........................................................................ ix Preface to this Volume .................................................................... xi Source Guide to IP Conventions .................................................... xiii List of Contributors ......................................................................... xvii Table of Abbreviations and Acronyms ........................................... xxi General Bibliography ...................................................................... xxxi Agreement on Trade-Related Aspects of Intellectual Property Rights ................................................................ 1 Introduction I (Stoll) ..................................................................... 1 Introduction II (Busche) ................................................................ 12 Introduction III (Kaiser) ................................................................ 33 Preamble (Keßler) .......................................................................... 63 Part I General Provisions and Basic Principles ........... 75 Article 1 (Elfring & Arend) ............................................................ 75 Article 2 (Brand) ........................................................................... 95 Article 3 (Elfring) ........................................................................... 150 Article 4 (Elfring & Arend) ............................................................ 159 Article 5 (Elfring) ........................................................................... 168 Article 6 (Keßler) ............................................................................ 169 Article 7 (Keßler) ............................................................................ 179 Article 8 (Brand) ........................................................................... 188 Part II Standards Concerning the Availability, Scope and Use of Intellectual Property Rights ....................... 205 Section 1: Copyright and Related Rights ........................ 205 Article 9.1 (Brand) ........................................................................ 205 Article 9.2 (Füller) ......................................................................... 250 Article 10 (Klopmeier & Arend) ...................................................... 253 Article 11 (Klopmeier & Arend) ...................................................... 268 Article 12 (Füller) .......................................................................... 273 Article 13 (Füller) .......................................................................... 277 Article 14 (Füller) .......................................................................... 285 vi contents Section 2: Trademarks ....................................................... 303 Before Articles 15–21 (Schmidt-Pfi tzner) ........................................ 303 Article 15 (Schmidt-Pfi tzner) ........................................................... 306 Article 16 (Schmidt-Pfi tzner) ........................................................... 316 Article 17 (Peter) ............................................................................ 331 Article 18 (Schmidt-Pfi tzner) ........................................................... 340 Article 19 (Schmidt-Pfi tzner) ........................................................... 341 Article 20 (Schmidt-Pfi tzner) ........................................................... 344 Article 21 (Schmidt-Pfi tzner) ........................................................... 349 Section 3: Geographical Indications ................................. 351 Before Articles 22–24 (Strauch & Arend) ...................................... 351 Article 22.1 (Strauch & Arend) ...................................................... 385 Article 22.2 (Peter & Arend) .......................................................... 391 Article 22.3–4 (Strauch & Arend) .................................................. 401 Article 23 (Strauch & Arend) ......................................................... 407 Article 24 (Strauch & Arend) ......................................................... 418 Section 4: Industrial Designs ............................................ 433 Before Article 25 (Peter) ................................................................ 433 Article 25 (Peter) ............................................................................ 445 Article 26 (Peter) ............................................................................ 458 Section 5: Patents ............................................................... 469 Article 27.1 (Neef & Reyes-Knoche) ................................................. 469 Article 27.2–3 (Reyes-Knoche) ......................................................... 489 Article 28 (Reyes-Knoche) ................................................................ 514 Article 29 (Reyes-Knoche) ................................................................ 521 Article 30 (Reyes-Knoche) ................................................................ 534 Article 31 (Eikermann) ................................................................... 554 Article 31bis (Quirin) ..................................................................... 579 Article 32 (Gülland & Werner) ....................................................... 598 Article 33 (Neef & Arend) .............................................................. 607 Article 34 (Neef & Arend) .............................................................. 610 Section 6: Layout-Designs (Topographies) of Integrated Circuits .............................................................................. 614 Article 35 (Klopmeier) ..................................................................... 614 Article 36 (Klopmeier) ..................................................................... 624 Article 37 (Klopmeier) ..................................................................... 626 Article 38 (Klopmeier) ..................................................................... 630 contents vii Section 7: Protection of Undisclosed Information .......... 631 Article 39.1–2 (Peter & Michaelis) ................................................. 631 Article 39.3 (Strauch & Michaelis) ................................................. 647 Section 8: Control of Anti-Competitive Practices in Contractual Licences ....................................................... 656 Article 40 (Brand & Lehmann) ....................................................... 656 Part III Enforcement of Intellectual Property Rights ... 677 Before Articles 41–61 (Vander) ..................................................... 677 Section 1: General Obligations ......................................... 687 Article 41 (Vander) ........................................................................ 687 Section 2: Civil and Administrative Procedures and Remedies .......................................................................... 701 Before Articles 42–49 (Vander) ..................................................... 701 Article 42 (Vander) ........................................................................ 702 Article 43 (Vander) ........................................................................ 708 Article 44 (Vander) ........................................................................ 715 Article 45 (Vander) ........................................................................ 719 Article 46 (Vander) ........................................................................ 724 Article 47 (Vander) ........................................................................ 729 Article 48 (Vander) ........................................................................ 732 Article 49 (Vander) ........................................................................ 737 Section 3: Provisional Measures ....................................... 738 Article 50 (Vander) ........................................................................ 738 Section 4: Special Requirements Related to Border Measures .............................................................. 751 Before Articles 51–61 (Vander) ..................................................... 751 Article 51 (Vander) ........................................................................ 754 Article 52 (Vander) ........................................................................ 759 Article 53 (Vander) ........................................................................ 762 Article 54 (Vander) ........................................................................ 766 Article 55 (Vander) ........................................................................ 767 Article 56 (Vander) ........................................................................ 769 Article 57 (Vander) ........................................................................ 771 Article 58 (Vander) ........................................................................ 774 Article 59 (Vander) ........................................................................ 777 Article 60 (Vander) ........................................................................ 779 viii contents Section 5: Criminal Procedures ........................................ 781 Article 61 (Vander) ........................................................................ 781 Part IV Acquisation and Maintenance of Intellectual Property Rights and Related Inter-Partes Procedures 787 Article 62 (Anzellotti) ..................................................................... 787 Part V Dispute Prevention and Settlement ................... 791 Article 63 (Kaiser) .......................................................................... 791 Article 64 (Kaiser) .......................................................................... 798 Part VI Transitional Arrangements ................................ 816 Article 65 (Anzellotti) ..................................................................... 816 Article 66 (Anzellotti) ..................................................................... 820 Article 67 (Anzellotti) ..................................................................... 826 Part VII Institutional Arrangements; Final Provisions 831 Article 68 (Kaiser) .......................................................................... 831 Article 69 (Kaiser) .......................................................................... 841 Article 70 (Elfring) ......................................................................... 842 Article 71 (Elfring) ......................................................................... 851 Article 72 (Elfring) ......................................................................... 853 Article 73 (Elfring) ......................................................................... 854 Appendix .......................................................................................... 857 Index ................................................................................................ 867 PREFACE TO THE SERIES The idea behind the Max Planck Commentaries on World Trade Law is to explain the whole range of WTO law in authoritative and practical article-by-article type commentaries. The purpose is to give the reader a comprehensive and concise insight into the meaning of each rule by combining information on its legislative history, its economic and political rationale, its interpretation, existing case law and proposals for reform. Issues which are not explicitly mentioned in the rules but which are relevant for their application, like e.g. the question of direct applicability, are also addressed. As far as possible, reference is also made to similar rules of universal and regional economic regimes. The format of a commentary dates back to the classical period of Roman legal science. Such commentaries were meant to collect together the relevant legal material and to provide assistance for its understanding by referring to relevant case law and by offering interpretations. Such format is well established in the German legal tradition but seems to be less so in the US legal tradition where the closest correlation may be the Restatements. Rüdiger Wolfrum Peter-Tobias Stoll