论TRIPS协定下商标注册制度

【作者】 杨建锋；

【导师】 张乃根；

【作者基本信息】 复旦大学 ， 国际法学， 2009， 博士

【摘要】 商标注册制度是实现商标功能价值的有效手段。商标注册制度的地域性阻碍了商标制度的价值实现,因而影响了国际贸易的不断拓展。国际经济与贸易的发展需要跨国商标注册制度能够便捷、确定与低成本。自巴黎公约以来,国际社会为此目的而不断努力,对商标跨国注册进行国际协调。本文旨在以TRIPS协定为中心,对该协定下跨国商标注册制度进行较系统的分析研究,力图从理论与实践两个方面对其进行深入理解,探究TRIPS协定下商标注册义务的实质要求。除引言和结语外,本文共分为四章。引言分析了商标注册制度的基本概念与意义。本文认为商标注册制度是实现商标区分功能的有效手段,但是,商标注册制度的地域性差异抑制了商标注册在国际贸易中的效用发挥。国际贸易的发展需要对各国商标注册制度进行国际协调,实现跨国商标注册的便捷、权利确定与成本低廉,这是商标注册国际协调的基本功能取向。在为克服商标注册制度地域性,发挥商标注册制度的功能为目的商标注册协调的运动发展过程中,TRIPS协定的出现无疑具有里程碑的意义。第一章对TRIPS协定下商标注册制度的基础理论进行了研究。第一节提出跨国商标注册国际协调制度构建与发展的法理基础是“同样”注册,按照时间发展顺序分析梳理了跨国商标注册的重要国际条约,并对其确立的两种基本的商标跨国注册协调类型——国际商标注册与商标国别注册协调制度作了比较分析。第二节对TRIPS协定下商标注册制度进行了基础性的研究分析。第一,TRIPS协定下商标注册制度产生的基础源于国际贸易发展对跨国商标注册加强协调的迫切需求,而现有的WIPO体制下跨国商标注册制度在功能与执行力上存在欠缺,同时《关税与贸易总协定》(GATT)也奠定了TRIPS协定下商标注册制度的产生与运行平台,美国作为最主要的商业国家,其特有的普通法商标制度对TRIPS协定下商标注册制度的形成也产生重要影响。第二,TRIPS协定下商标注册制度的基本制度结构。从范围上涵盖了TRIPS协定与巴黎公约的相关条款;从义务性质上包含了实体标准与程序义务要求;从义务实施上包括成员义务规则以及确保义务实施的争端解决机制。第三,TRIPS协定下商标注册制度的基本评价,一方面包括相比WIPO体制下跨国商标注册协调制度而具有的新发展,另一方面自身也存在一定的局限性。第二章对TRIPS协定下WTO成员应承担的商标注册义务进行了系统与具体的分析。首先概述了TRIPS协定下成员在商标注册方面承担义务的基本性质、特点与确定方法。其次,分述了成员所应承担的商标注册义务性质与内容:第一,从注册实体规则方面,认为基于商标的显著性提供注册保护,允许成员选择以使用为注册的条件,成员不得以商品或服务的性质拒绝商标注册。第二,从注册的程序方面,认为成员应当对商标注册进行公布,提供撤销的机会,也可以设置异议制度。同时,TRIPS协定关于知识产权权利取得与维持的一般性的程序规定以及巴黎公约所要求的优先权也应遵守。第三,从商标注册的拒绝方面,分析了成员拒绝商标注册的权利范围,以及巴黎公约与TRIPS协定中所包含的可允许的拒绝注册之具体理由。第四,从商标注册获得权利方面,分析了注册商标专用权的基本获得条件以及权利行使与限制问题,第五,驰名商标的注册保护方面,分析了TRIPS协定下驰名商标的注册保护以及驰名商标的认定问题。第六,商标注册的非歧视待遇原则方面,主要从国民待遇与最惠国待遇方面,分析了成员应承担的义务要求与例外。第三章从实证的角度,以WTO欧共体诉美国综合拨款法211节案为例,分析了TRIPS协定下在商标注册方面,成员承担义务的确定与义务履行所产生的争端解决。首先是对该案的基本介绍。其次,针对该案中所涉及的商标注册方面的重要问题,归纳分析了诉讼双方以及专家组、上诉机构的各自观点。这包括:在实体义务方面,TRIPS协定第十五条第一款商标主题的注册要求,以及巴黎公约第六条之五A(1)“同样”注册义务;在拒绝商标注册方面,TRIPS协定第十五条第二款中拒绝理由的指向范围以及所有权作为拒绝理由;在公平待遇方面,违反国民待遇的认定方法以及差别待遇的抵消问题。最后,本章对该案进行了基本评价,包括对TRIPS协定商标注册义务确定的积极意义,以及对国际商标注册协调制度的不良影响。第四章结合TRIPS协定下商标注册制度的义务要求,分析了中国的商标注册制度的基本立法与完善建议。为加入WTO,中国已经根据TRIPS协定要求,对商标注册制度进行了修改适应。通过对中国商标注册制度的立法与TRIPS协定下商标注册制度的比对分析,可以了解中国履行TRIPS协定义务的基本情况以及利弊得失。针对中国当前正在进行第三次商标法的修改活动,本章还从TRIPS协定商标注册义务履行的角度,结合中国的现实需要,对商标法修改意见稿进行了分析与评价。总之,TRIPS协定下商标注册制度在跨国商标注册协调制度发展中具有重要的里程碑意义,包含了成员对商标注册所应承担的最低标准义务。但是由于立法的局限性,此类义务规定尚不够清晰,需要对相关条文进行深入分析,WTO争端解决机制对相关义务的进一步确定与实施保障都具有重要的实践意义。中国既是WTO成员,也是跨国商标注册活动最为活跃的国家之一,以TRIPS协定商标注册义务的履行为视角也能为修订完善中国的商标注册制度提供有益的建议。更多还原

【Abstract】 Trademark registration system is one of the effective measures to realize trademark functional value; however, its territory character has hindered the realization of its value and furthermore affected the expansion of international trade. The development of international economy and trade requires trademark registration system to be convenient, assured and with low cost. Therefore, for a long time the international society has attempted to coordinate trademark international registration. The purpose of this dissertation is to explore the international trademark registration system in the context of TRIPS Agreement Apart from introduction and conclusion, this dissertation includes four chapters.In introduction, basic concepts and functional value of trademark registration system have been analyzed. Trademark registration system is an effective measure to realize trademark economic function, however, the difference of its territory has hindered its realization in international trade. The expansion of international trade requires a consistent trademark registration system. The" patchwork-quilt-blanket" theory of IP international protection shows that in a short term the unification of trademark international registration system is unrealized. Currently, the realistic way is to narrow the difference of trademark registration system among different countries in the way of international coordination. The aim of such coordination is to create an international trademark registration system which is to be convenient, assured and with low cost.In chapter one, fundamental theories of trademark registration system under TRIPS Agreement have been studied. Firstly, basic international legal documents governing international trademark registration have been briefly introduced and analyzed from two aspects. Meanwhile, two basic international trademark registration coordination system, international trademark registration and national trademark registration coordination system, which were established by such legal documents have been compared and analyzed. Secondly, further study has been carried out on trademark registration system under TRIPS Agreement. The origin of trademark registration system under TRIPS Agreement is the development of international trade. Considering the deficiency of the international trademark registration system under WIPO, GATT establishes a platform for the development of trademark registration system under TRIPS Agreement. As the most important commercial country, the United States has established its special trademark system with significant influence on trademark registration system under TRIPS Agreement. Trademark registration system under TRIPS Agreement includes relevant clauses of TRIPS Agreement and Paris Convention (1967). Compared to international trademark registration system, trademark registration system under TRIPS Agreement has achieved new development, while it has its limitation at the same time.In chapter two, under TRIPS Agreement, trademark registration obligations born by WTO Members have been analyzed. Firstly, under TRIPS Agreement, the basic characteristics and identifiable measures of such obligations have been generally addressed. Secondly, the said obligations have been further discussed from six aspects: (i) considering the obviousness of trademark, Members are allowed to select usage as one condition of registration. Members can not reject trademark registration because of the character of goods of service; (ii) Members should publicize their trademark registration and provide withdraw and demurral system; (iii) in some situations, Members are allowed to reject trademark registration under Paris Convention and TRIPS Agreement; (iv) acquirement, usage and limitation on the proprietary right of trademark registration have been studied; (v) protection and identification on famous trademark under TRIPS Agreement have been discussed; and (vi) Members should undertake some obligations and exceptions in the context of national treatment and the most favorite treatment.In chapter three, demonstration measures have been applied to further discuss the trademark registration system under TRIPS Agreement. In the first place, a brief introduction has been carried out on United States-section 211 Omnibus Appropriate Act of 1998. Secondly, several opinions of parties and of the panel as well as the Appellate Body have been summed up and analyzed. Such opinions include registration requirement on trademark subject under TRIPS Agreement and Paris Convention, the scope of rejection of trademark registration under TRIPS Agreement, rationality of using proprietary as one excuse of rejection and identification of breach of national treatment and how to counteract different treatment. Lastly, it is stated that this case has positive influence on trademark registration obligations under TRIPS Agreement, while at the same time has negative effects on coordination of international trademark registration system.In chapter four, suggestions on legislation of our trademark registration system have been discussed. With a view to becoming a WTO Member, China has made some amendments on its trademark registration system in accordance with the requirements of TRIPS Agreement. A better understanding on the status of fulfilling TRIPS Agreement obligations can be achieved by comparing the trademark registration legislations of China and TRIPS Agreement. Currently, China is undergoing its third trademark law modification. Several analysis and opinions on the drafts of amendment drafts have been put forwarded after considering trademark registration obligation under TRIPS Agreement and our realistic demand.To sum up, trademark registration system under TRIPS Agreement is very significant for the development of coordination of international trademark registration because it includes the minimum obligation born by Members. However, due to the limitation of international treaty-making, such obligations are not clear enough and require thorough analysis. As a WTO Member and one of the most active countries in international trademark registration, China should continuously improve its trademark registration system in accordance line with the development of TRIPS Agreement in respect of trademark registration system.更多还原