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.
綜上，美國(guó)版權(quán)法110節(jié)第5段與美國(guó)在包括《TRIPS協(xié)定》第9.1條但不限于9.1條下所承諾的義務(wù)不符。
美國(guó)觀點(diǎn)
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.
美國(guó)主張，其版權(quán)法110節(jié)第5段完全與其在《TRIPS協(xié)定》下所承諾的義務(wù)相符。該協(xié)定融合了《伯爾尼公約》中的實(shí)體條款，允許成員對(duì)版權(quán)持有人的權(quán)利進(jìn)行稍微的(minor)的限制?！禩RIPS協(xié)定》第13條提供了判斷限制或例外適用性的標(biāo)準(zhǔn)（第13條：各成員對(duì)專有做出的任何限制或例外規(guī)定僅限于某些特殊情況，且與作品的正常利用不相沖突，也不得無(wú)理?yè)p害權(quán)利持有人的合法權(quán)益）。在美國(guó)版權(quán)法110節(jié)第5段中含有的例外符合《TRIPS協(xié)定》第13條的標(biāo)準(zhǔn)。
判決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.
由于兩方都認(rèn)為自己是對(duì)的，不愿意妥協(xié)，他們最終求助于WTO的爭(zhēng)端解決機(jī)構(gòu)。對(duì)此，WTO成立了一個(gè)委員會(huì)，歷時(shí)很久，做出了臨時(shí)判定。下面是結(jié)果：
The WTO disputes procedure found in favor of the EU. The US decided to accept the ruling.
WTO爭(zhēng)端程序站在歐盟一邊。美國(guó)決定接受判定。
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".
最后引用一下歐盟委員會(huì)貿(mào)易委員帕斯卡爾？拉米在歐盟方得勝后的一番話：（本案極其結(jié)果）是一個(gè)很好的榜樣，展示了我們?nèi)绾卧诶斡浳覀兊膰?guó)際義務(wù)和承諾的同時(shí)，以一種合作的方式處理我們的問(wèn)題。該裁定將特別令愛爾蘭人喜上眉梢。
IV. TRIPS issues to be discussed in the new round of WTO negotiations
新一輪WTO談判所涉及的知識(shí)產(chǎn)權(quán)議題
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.
根據(jù)在多哈舉行的WTO第四屆部長(zhǎng)會(huì)議發(fā)表的《部長(zhǎng)宣言》，新多邊知識(shí)產(chǎn)權(quán)談判將主要集中于公眾健康議題和建立一個(gè)葡萄酒和烈性酒地理標(biāo)識(shí)的多邊通報(bào)和登記體系。其中，倍受艾滋病、肺結(jié)核、瘧疾和其它流行病折磨的發(fā)展中國(guó)家和最不發(fā)達(dá)國(guó)家以及擁有治療上述流行病方法專利權(quán)的發(fā)達(dá)國(guó)家對(duì)公眾健康議題非常重視。因此，此次部長(zhǎng)會(huì)議出臺(tái)了一個(gè)有關(guān)于此的單獨(dú)宣言：
DECLARATION ON THE TRIPS AGREEMENT AND PUBLIC HEALTH
Adopted on 14 November 2001
與貿(mào)易有關(guān)的知識(shí)產(chǎn)權(quán)協(xié)定和公眾健康宣言
2001年11月14日通過(guò)
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.
我們認(rèn)識(shí)到影響許多發(fā)展中國(guó)家和最不發(fā)達(dá)國(guó)家的，特別是那些緣于艾滋病、肺結(jié)核、瘧疾和其它流行病的公眾健康問(wèn)題的嚴(yán)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.
我們強(qiáng)調(diào)，需要將《與貿(mào)易有關(guān)的知識(shí)產(chǎn)權(quán)協(xié)定》作為更廣泛的旨在解決這些問(wèn)題的國(guó)內(nèi)和國(guó)際行動(dòng)的組成部分。
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.
我們認(rèn)識(shí)到知識(shí)產(chǎn)權(quán)保護(hù)對(duì)于發(fā)展新藥的重要性。我們也認(rèn)識(shí)到對(duì)于藥價(jià)所產(chǎn)生效果的關(guān)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.
我們同意《與貿(mào)易有關(guān)的知識(shí)產(chǎn)權(quán)協(xié)定》不會(huì)也不應(yīng)當(dāng)阻止成員采取措施保護(hù)公眾健康。據(jù)此，在重申我們對(duì)《與貿(mào)易有關(guān)的知識(shí)產(chǎn)權(quán)協(xié)定》承諾的同時(shí)，我們確認(rèn)，對(duì)于本協(xié)定的解釋和執(zhí)行能夠也應(yīng)當(dāng)支持成員保護(hù)公眾健康，特別是促進(jìn)所有成員獲得藥品準(zhǔn)入的權(quán)利。
有鑒于此，我們重申WTO成員有百分之一百使用《與貿(mào)易有關(guān)的知識(shí)產(chǎn)權(quán)協(xié)定》中為實(shí)現(xiàn)此目的而提供靈活性的條款。
5. Accordingly and in the light of paragraph 4 above, while maintaining our commitments in the TRIPS Agreement, we recognize that these flexibilities include:
據(jù)此并考慮到上述第4段，在保持我們?cè)凇杜c貿(mào)易有關(guān)的知識(shí)產(chǎn)權(quán)協(xié)定》中所做承諾的同時(shí)，我們認(rèn)識(shí)到這些靈活性包括：
(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.
在應(yīng)用解釋國(guó)際公法的慣例時(shí)，《與貿(mào)易有關(guān)的知識(shí)產(chǎn)權(quán)協(xié)定》中的每一條款的解讀都應(yīng)當(dāng)考慮到協(xié)定所表述的對(duì)象和目的，特別是其目標(biāo)和原則。
(b) Each Member has the right to grant compulsory licences and the freedom to determine the grounds upon which such licences are granted.
每一成員都有權(quán)準(zhǔn)予強(qiáng)制許可并可自由決定準(zhǔn)予該強(qiáng)制許可的理由。
(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.
每一成員都有權(quán)決定什么是全國(guó)性的緊急狀態(tài)或其它極端緊急的情況，成員都知道公眾健康危機(jī)，包括與艾滋病、肺結(jié)核和其它流行病有關(guān)的公眾健康危機(jī)能被視為全國(guó)性的緊急狀態(tài)或其它極端緊急的情況。
(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.
《與貿(mào)易有關(guān)的知識(shí)產(chǎn)權(quán)協(xié)定》中與知識(shí)產(chǎn)權(quán)用盡有關(guān)的條款的效果就是讓每個(gè)成員根據(jù)本協(xié)定第3條國(guó)民待遇和第4條最惠國(guó)待遇條款，不受挑戰(zhàn)的自由建立關(guān)于知識(shí)產(chǎn)權(quán)用盡的體制。
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.
我們認(rèn)識(shí)到那些在醫(yī)藥領(lǐng)域沒(méi)有或沒(méi)有足夠生產(chǎn)能力的WTO成員在有效使用《與貿(mào)易有關(guān)的知識(shí)產(chǎn)權(quán)協(xié)定》中規(guī)定的強(qiáng)制許可時(shí)，可能遇到困難。我們指示與貿(mào)易有關(guān)的知識(shí)產(chǎn)權(quán)理事會(huì)迅速找到解決辦法，并在2002年底報(bào)告總理事會(huì)。
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.
根據(jù)第66.2條，我們重申發(fā)達(dá)國(guó)家成員向其本國(guó)企業(yè)和機(jī)構(gòu)提供優(yōu)惠措施來(lái)促進(jìn)和鼓勵(lì)向最不發(fā)達(dá)國(guó)家成員進(jìn)行技術(shù)轉(zhuǎn)讓的承諾。我們也同意在醫(yī)藥產(chǎn)品方面，在2016年1月1日前，最不發(fā)達(dá)國(guó)家成員沒(méi)有義務(wù)執(zhí)行或適用《與貿(mào)易有關(guān)的知識(shí)產(chǎn)權(quán)協(xié)定》第二部分第5、7節(jié)或執(zhí)行這些節(jié)規(guī)定的權(quán)利，并且不侵害最不發(fā)達(dá)國(guó)家成員根據(jù)此協(xié)定第66.2條尋求延長(zhǎng)過(guò)渡期的權(quán)利。我們指示知識(shí)產(chǎn)權(quán)總理事會(huì)根據(jù)此協(xié)定第66.2條采取必要行動(dòng)落實(shí)上述內(nèi)容。
綜上，美國(guó)版權(quán)法110節(jié)第5段與美國(guó)在包括《TRIPS協(xié)定》第9.1條但不限于9.1條下所承諾的義務(wù)不符。
美國(guó)觀點(diǎn)
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.
美國(guó)主張，其版權(quán)法110節(jié)第5段完全與其在《TRIPS協(xié)定》下所承諾的義務(wù)相符。該協(xié)定融合了《伯爾尼公約》中的實(shí)體條款，允許成員對(duì)版權(quán)持有人的權(quán)利進(jìn)行稍微的(minor)的限制?！禩RIPS協(xié)定》第13條提供了判斷限制或例外適用性的標(biāo)準(zhǔn)（第13條：各成員對(duì)專有做出的任何限制或例外規(guī)定僅限于某些特殊情況，且與作品的正常利用不相沖突，也不得無(wú)理?yè)p害權(quán)利持有人的合法權(quán)益）。在美國(guó)版權(quán)法110節(jié)第5段中含有的例外符合《TRIPS協(xié)定》第13條的標(biāo)準(zhǔn)。
判決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.
由于兩方都認(rèn)為自己是對(duì)的，不愿意妥協(xié)，他們最終求助于WTO的爭(zhēng)端解決機(jī)構(gòu)。對(duì)此，WTO成立了一個(gè)委員會(huì)，歷時(shí)很久，做出了臨時(shí)判定。下面是結(jié)果：
The WTO disputes procedure found in favor of the EU. The US decided to accept the ruling.
WTO爭(zhēng)端程序站在歐盟一邊。美國(guó)決定接受判定。
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".
最后引用一下歐盟委員會(huì)貿(mào)易委員帕斯卡爾？拉米在歐盟方得勝后的一番話：（本案極其結(jié)果）是一個(gè)很好的榜樣，展示了我們?nèi)绾卧诶斡浳覀兊膰?guó)際義務(wù)和承諾的同時(shí)，以一種合作的方式處理我們的問(wèn)題。該裁定將特別令愛爾蘭人喜上眉梢。
IV. TRIPS issues to be discussed in the new round of WTO negotiations
新一輪WTO談判所涉及的知識(shí)產(chǎn)權(quán)議題
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.
根據(jù)在多哈舉行的WTO第四屆部長(zhǎng)會(huì)議發(fā)表的《部長(zhǎng)宣言》，新多邊知識(shí)產(chǎn)權(quán)談判將主要集中于公眾健康議題和建立一個(gè)葡萄酒和烈性酒地理標(biāo)識(shí)的多邊通報(bào)和登記體系。其中，倍受艾滋病、肺結(jié)核、瘧疾和其它流行病折磨的發(fā)展中國(guó)家和最不發(fā)達(dá)國(guó)家以及擁有治療上述流行病方法專利權(quán)的發(fā)達(dá)國(guó)家對(duì)公眾健康議題非常重視。因此，此次部長(zhǎng)會(huì)議出臺(tái)了一個(gè)有關(guān)于此的單獨(dú)宣言：
DECLARATION ON THE TRIPS AGREEMENT AND PUBLIC HEALTH
Adopted on 14 November 2001
與貿(mào)易有關(guān)的知識(shí)產(chǎn)權(quán)協(xié)定和公眾健康宣言
2001年11月14日通過(guò)
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.
我們認(rèn)識(shí)到影響許多發(fā)展中國(guó)家和最不發(fā)達(dá)國(guó)家的，特別是那些緣于艾滋病、肺結(jié)核、瘧疾和其它流行病的公眾健康問(wèn)題的嚴(yán)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.
我們強(qiáng)調(diào)，需要將《與貿(mào)易有關(guān)的知識(shí)產(chǎn)權(quán)協(xié)定》作為更廣泛的旨在解決這些問(wèn)題的國(guó)內(nèi)和國(guó)際行動(dòng)的組成部分。
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.
我們認(rèn)識(shí)到知識(shí)產(chǎn)權(quán)保護(hù)對(duì)于發(fā)展新藥的重要性。我們也認(rèn)識(shí)到對(duì)于藥價(jià)所產(chǎn)生效果的關(guān)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.
我們同意《與貿(mào)易有關(guān)的知識(shí)產(chǎn)權(quán)協(xié)定》不會(huì)也不應(yīng)當(dāng)阻止成員采取措施保護(hù)公眾健康。據(jù)此，在重申我們對(duì)《與貿(mào)易有關(guān)的知識(shí)產(chǎn)權(quán)協(xié)定》承諾的同時(shí)，我們確認(rèn)，對(duì)于本協(xié)定的解釋和執(zhí)行能夠也應(yīng)當(dāng)支持成員保護(hù)公眾健康，特別是促進(jìn)所有成員獲得藥品準(zhǔn)入的權(quán)利。
有鑒于此，我們重申WTO成員有百分之一百使用《與貿(mào)易有關(guān)的知識(shí)產(chǎn)權(quán)協(xié)定》中為實(shí)現(xiàn)此目的而提供靈活性的條款。
5. Accordingly and in the light of paragraph 4 above, while maintaining our commitments in the TRIPS Agreement, we recognize that these flexibilities include:
據(jù)此并考慮到上述第4段，在保持我們?cè)凇杜c貿(mào)易有關(guān)的知識(shí)產(chǎn)權(quán)協(xié)定》中所做承諾的同時(shí)，我們認(rèn)識(shí)到這些靈活性包括：
(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.
在應(yīng)用解釋國(guó)際公法的慣例時(shí)，《與貿(mào)易有關(guān)的知識(shí)產(chǎn)權(quán)協(xié)定》中的每一條款的解讀都應(yīng)當(dāng)考慮到協(xié)定所表述的對(duì)象和目的，特別是其目標(biāo)和原則。
(b) Each Member has the right to grant compulsory licences and the freedom to determine the grounds upon which such licences are granted.
每一成員都有權(quán)準(zhǔn)予強(qiáng)制許可并可自由決定準(zhǔn)予該強(qiáng)制許可的理由。
(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.
每一成員都有權(quán)決定什么是全國(guó)性的緊急狀態(tài)或其它極端緊急的情況，成員都知道公眾健康危機(jī)，包括與艾滋病、肺結(jié)核和其它流行病有關(guān)的公眾健康危機(jī)能被視為全國(guó)性的緊急狀態(tài)或其它極端緊急的情況。
(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.
《與貿(mào)易有關(guān)的知識(shí)產(chǎn)權(quán)協(xié)定》中與知識(shí)產(chǎn)權(quán)用盡有關(guān)的條款的效果就是讓每個(gè)成員根據(jù)本協(xié)定第3條國(guó)民待遇和第4條最惠國(guó)待遇條款，不受挑戰(zhàn)的自由建立關(guān)于知識(shí)產(chǎn)權(quán)用盡的體制。
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.
我們認(rèn)識(shí)到那些在醫(yī)藥領(lǐng)域沒(méi)有或沒(méi)有足夠生產(chǎn)能力的WTO成員在有效使用《與貿(mào)易有關(guān)的知識(shí)產(chǎn)權(quán)協(xié)定》中規(guī)定的強(qiáng)制許可時(shí)，可能遇到困難。我們指示與貿(mào)易有關(guān)的知識(shí)產(chǎn)權(quán)理事會(huì)迅速找到解決辦法，并在2002年底報(bào)告總理事會(huì)。
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.
根據(jù)第66.2條，我們重申發(fā)達(dá)國(guó)家成員向其本國(guó)企業(yè)和機(jī)構(gòu)提供優(yōu)惠措施來(lái)促進(jìn)和鼓勵(lì)向最不發(fā)達(dá)國(guó)家成員進(jìn)行技術(shù)轉(zhuǎn)讓的承諾。我們也同意在醫(yī)藥產(chǎn)品方面，在2016年1月1日前，最不發(fā)達(dá)國(guó)家成員沒(méi)有義務(wù)執(zhí)行或適用《與貿(mào)易有關(guān)的知識(shí)產(chǎn)權(quán)協(xié)定》第二部分第5、7節(jié)或執(zhí)行這些節(jié)規(guī)定的權(quán)利，并且不侵害最不發(fā)達(dá)國(guó)家成員根據(jù)此協(xié)定第66.2條尋求延長(zhǎng)過(guò)渡期的權(quán)利。我們指示知識(shí)產(chǎn)權(quán)總理事會(huì)根據(jù)此協(xié)定第66.2條采取必要行動(dòng)落實(shí)上述內(nèi)容。