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論文名稱 Title |
中國與國際智慧財產權貿易建制:對建制遵守的探討 China and Trade-Related Aspects of Intellectual Property Rights: An Inquiry on Regime Compliance |
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系所名稱 Department |
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畢業學年期 Year, semester |
語文別 Language |
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學位類別 Degree |
頁數 Number of pages |
330 |
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研究生 Author |
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指導教授 Advisor |
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召集委員 Convenor |
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口試委員 Advisory Committee |
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口試日期 Date of Exam |
2008-06-18 |
繳交日期 Date of Submission |
2008-09-09 |
關鍵字 Keywords |
智慧財產權、承諾、社會制度、貿易 Compliance, Regime, Intellectual Property Rights, Trade-Related |
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統計 Statistics |
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中文摘要 |
本研究探討中國於加入世界貿易組織之前和之後,其在遵守世貿組織「貿易相關智慧財產權協定」上的表現。 本文對中國加入世貿組織前所做的研究重點為中國本身在「貿易相關智慧財產權協定」相關的專利權、版權、和商標權的法規制定。 這包括中國為了加強智慧財產權法的執行,對其憲法、行政法、刑法、民法、司法等專業法規和程序所做的採用、修改、和增訂。 研究顯示,中國為了配合「貿易相關智慧財產權協定」而做的這些行動,確實對私有財產權和法令制定的發展有很大的貢獻。 這個結果顯示,雖然中國在加入世貿組織之前就已經開始遵守「貿易相關智慧財產權協定」,不過,哪些違規行為算是犯罪行為,中國的法律在這方面卻仍有一些缺失。 這個問題,在加入世貿組織後,就更清楚地顯現出來了。 至於對中國在加入世貿組織後的研究,主要針對2001年後中國在遵守「貿易相關智慧財產權協定」義務上的表現。 評估的重點為違規案例,提送世貿組織爭端解決機制對中國的控訴案件,以及對中國加入世貿組織後其在法律和執行力努力上的多邊和雙邊審核。 結果顯示,中國在面對國內違規事件時,過度依賴行政法而不採取司法補救措施,以至於在抑制違規方面的表現不甚理想。 此外,本研究也發現,在智慧財產權的執行上,以美國為首的外國貿易夥伴不再依靠中國內部的執法,轉而採取境外的法律途徑。 本研究結果顯示,在加入世貿組織後,中國不斷地改善智慧財產權法、民法、刑法、和行政法以確實找出外界對中國在財產權執行上的問題,顯示中國遵循國際規則的意願。 在中國的改革尚未完成之前,世貿組織的「貿易相關智慧財產權協定」機制應足以處理中國的違規事件;更重要的是,中國以正面的態度來回應這個協定。 |
Abstract |
This is a study on the compliance of China to the World Trade Organization’s (WTO) Agreement on Trade-Related Aspects of Intellectual Property Rights (TRIPS) before and after China’s accession to WTO. The study on pre-accession period focuses on the enactment of China’s patent, copyright and trademark laws in the light of the provisions of the TRIPS Agreement. It also focuses China’s adoption, revisions and amendments of the constitution, administrative, criminal, civil, judicial, and legal professional laws and procedures to make enforcements of the intellectual property rights law effective. It likewise shows how the enactment of these laws consistent with the TRIPS Agreement is contributing to the development of the institutions of private property and the rule of law. The result shows that while the pre-accession to WTO would indicate China’s substantial compliance to the TRIPS Agreement, it also focuses on some weaknesses in the laws on the determination of what violation would constitute a criminal act. This problem would manifest later after accession. The post-accession period sharply focuses on the performance of China in the enforcement of their obligations under the TRIPS regime after 2001. The assessment of China’s performance in enforcement focuses on the infringement cases, the complaints filed against China before the dispute settlement mechanisms of WTO, and the multilateral and bilateral reviews on China’s laws and enforcement effort after its accession to WTO. The result shows the over-reliance of China on the administrative rather than the judicial remedies in its internal enforcement effort which resulted in the weak performance of infringement deterrence. The result also notes the shift from the reliance on internal to external measures in the enforcement of intellectual property rights by the trading partners headed by US. The result of the study which shows continuing reforms in the intellectual, civil, criminal and administrative laws after WTO accession to precisely address the issues raised against China in its enforcement effort is an indication of China’s willingness to play by the international rules. While the reforms have not been met with optimism, the WTO’s TRIPS regime provides a sufficient mechanism to deal with China’s TRIPS violations, and more importantly China is positively responding to it. |
目次 Table of Contents |
LIST OF TABLES Table 1: Overview of China’s reforms and WTO Negotiations 9 Table 2: Share in World Exports In percentage of Total (1970-2003) 12 Table 3: Imports from China In percent of total Imports (1970-2003) 12 Table 4: Exports of Selected Countries to China In percent of their total exports 13 (1980-2003) Table 5: Direct Foreign Investment in China in US$ B (1985-2004) 14 Table 6: Foreign Direct Investment in China In percent (1979-1999) 15 Table 7: Exports and Imports of Foreign Funded Enterprises (FFE) 1985-2000 (Billion of US dollars) 16 Table 8: China’s Tariff In percent (1982-2002) 18 Table 9: Change in ownership Distribution for 123 Listed Companies in percent 21 Table 10: WTO’s IPR Provisions and China’s Laws, Rules and Regulations 146 Table 11: Patent Disputes (2001-2004) 174 Table 12 Disputes in Copyright (2001-2004) 224 Table 13 Disputes in Trademark (2001-2004) 229 Table 14 Illustrative Cases 235 Table 15 TRIPS Agreement and China’s Violation 281 Table 16 Patents Applied and Granted 289 Table 17 Enforcement of Intellectual Property rights 293 Table 18 China’s IPR Offices and Functions 295 LIST OF WTO CASES Case 1 U.S.-Steel Safeguard Case 276 Case 2 U.S- Preliminary Anti-Dumping and Countervailing Duty Determination of Coated Sheet Paper from China 277 Case 3 China-Intellectual Property Rights 279 Case 4 China — Certain Measures Granting Refunds, Reductions or Exemptions from Taxes and Other Payments 282 LIST OF FIGURE Figure 1 The Structure of IPR Administration and Enforcement 290 ABBREVIATION ABM Anti-Ballistic Missiles AQSIQ Administration of Quality Supervision, Inspection and Quarantine DSB Dispute Settlement Board DSU Dispute Settlement Understanding GAC General Administration of Customs GATT General Agreement on Tariffs and Trade ICCPR International Convention on Civil and Political Rights ICESCR International Convention on Economic, social and Cultural Rights IEA International Atomic Energy IMF International Monetary Fund IPR Intellectual Property Rights ISDP International Swaps and Derivative Association MOFCOM Ministry of Commerce MOFTEC Ministry of Foreign Trade and Economic Cooperation NATO North Atlantic Treaty Organization NCA National Copyright Administration NIE Newly Industrializing Economies NPT Non-Proliferation Treaty OCR Out of Cycle Review OECD Organization of Economic Cooperation and Development OPEC Organization of Petroleum Producing Countries PEB Patent Re-examination Board SAIC Sate Administration on Industry and Commerce SCC Standing Consultative Commission SCM Subsidies and Countervailing Measures SDA State Drug Administration SDI Strategic Defense Initiative SIPO State Intellectual Property Office SJE State Judicial Exam TPR Trade Policy Review TPRB Trade Policy Review Body TPRM Trade Policy Review Mechanism TRIPS Trade Related Aspects of Intellectual Property Tights UN United Nations UNCTAD United Conference on Trade and Development UNEP United Nations Environmental Program USTR United Sates Trade Representative WIPO World Intellectual Property Organization WTO World Trade Organization TABLE OF CONTENTS Page TITLE PAGE i DEFENSE PANEL APPROVAL ii DEDICATION iii ACKNOWLEGEMENT iv ABSTRACT v LIST OF TABLES viii LIST OF WTO CASES ix LIST OF FIGURE ix ABBREVIATION x I. INTRODUCTION Statement of the Problem 1 Motivation of the Study 3 Purpose of the Study 3 Subject of the Study 5 Research Questions 25 II. THEORETICAL FRAMEWORK 26 Power-based perspective 27 Structure-based perspective 31 Norm-based perspective 59 Knowledge-based perspective 85 Learning-based perspective 90 Preference-based perspective 125 Institution-based perspective 128 Conclusion and synthesis 137 III. RESEARCH METHOD 140 IV TRIPS REGIME and CHINA INTELLECTUAL PROPERTY LAWS 148 Analytical Perspective 148 TRIPS Regime 148 Impact of TRIPS Regime on Patent Law 160 Impact of TRIPS Regime on Copyright Law 178 Impact of TRIPS Regime on Trademark Law 189 V TRIPS REGIME and CHINA’S LEGAL INSTITUTIONS 199 Private Property and TRIPS Regime 199 Patent as Private Property 200 Trademark as Private Property 200 Copyright as Private Property 201 Contracting under TRIPS 203 Assignment and Licensing of Trademark 206 Compulsory Licensing as Human Rights 209 Copyright and Education 215 Dispute settlement Mechanism 219 Conclusion 230 VI TRIPS REGIME and INTERNAL ENFORCEMENT 231 Court and Jurisdiction in China 231 Legal personnel Development 243 Judge Law 244 Lawyers’ law 246 Administrative Law 249 Customs and Border Control 256 Private Agency for Collective Administration 258 VII TRIPS REGIME and EXTERNAL ENFORCEMENT 260 Rules and Procedures in Settling Dispute 262 Consultation 263 Good offices, Conciliation and Mediation 264 Establishment of Panel 265 Appellate Body 269 Compensation and Suspension of Concession 273 China and Dispute Settlement 276 Trade Policy Review Mechanism and China 285 USTR Review 299 VIII CONCLUSION 303 IX BIBLIOGRAPHY 307 |
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