More information about this series at Max Planck Institute for Innovation and Competition

Transcription

1 More information about this series at Max Planck Institute for Innovation and Competition

2 MPI Studies on Intellectual Property and Competition Law Volume 25 Edited by Josef Drexl Reto M. Hilty Joseph Straus

3 Hanns Ullrich Reto M. Hilty Matthias Lamping Josef Drexl Editors TRIPS plus 20 From Trade Rules to Market Principles

4 Editors Hanns Ullrich Max Planck Institute for Innovation and Competition Munich Germany Matthias Lamping Max Planck Institute for Innovation and Competition Munich Germany Reto M. Hilty Max Planck Institute for Innovation and Competition Munich Germany Josef Drexl Max Planck Institute for Innovation and Competition Munich Germany ISSN ISSN (electronic) MPI Studies on Intellectual Property and Competition Law ISBN ISBN (ebook) DOI / Library of Congress Control Number: Springer Heidelberg New York Dordrecht London Springer-Verlag Berlin Heidelberg 2016 This work is subject to copyright. All rights are reserved by the Publisher, whether the whole or part of the material is concerned, specifically the rights of translation, reprinting, reuse of illustrations, recitation, broadcasting, reproduction on microfilms or in any other physical way, and transmission or information storage and retrieval, electronic adaptation, computer software, or by similar or dissimilar methodology now known or hereafter developed. The use of general descriptive names, registered names, trademarks, service marks, etc. in this publication does not imply, even in the absence of a specific statement, that such names are exempt from the relevant protective laws and regulations and therefore free for general use. The publisher, the authors and the editors are safe to assume that the advice and information in this book are believed to be true and accurate at the date of publication. Neither the publisher nor the authors or the editors give a warranty, express or implied, with respect to the material contained herein or for any errors or omissions that may have been made. Printed on acid-free paper Springer-Verlag GmbH Berlin Heidelberg is part of Springer Science+Business Media (

5 Preface On April 15, 1994, the Agreement on the Trade-Related Aspects of Intellectual Property Rights (TRIPS) has been signed in Marrakech as part of the Agreement on the Establishment of the World Trade Organization (WTO). Soon thereafter, on January 1, 2015, the WTO entered into operation. Since the Max Planck Institute for Innovation and Competition always took great academic interest in critically analyzing, first the drafting process, and then the freshly created TRIPS Agreement, 1 we felt that after 20 years of existence of the Agreement, there were reasons enough to take a fresh look at it. Within the framework, which the WTO sets for the economic and legal regulation of international trade relations, the TRIPS Agreement aims at comprehensively ensuring the international protection of intellectual property by obliging all WTO Members to provide for such adequate standards of protection as it defines in detail with respect to the substance and the enforcement of the rights flowing from the main categories of intellectual property. Over the last 20 years, the conditions have changed fundamentally, however, which had been assumed determining the operation of this international system of trade-related intellectual property rights. Due to economic globalization, markets have largely expanded beyond national borders, if not merged internationally. As a considerable number of once developing States have emerged as global and frequently enough as big players, the political weights have shifted geographically and the terms of international competition have undergone quite some modification. At the same time, progress of technologies, of transportation and of communication have had a deep impact on the choice of localization of manufacture and on the configuration of the chains of production as well as on the forms and the contents of the exchange of goods and services. Also, the exchange itself has accelerated. As a result, the need for the protection of 1 F.-K. Beier & G. Schricker (1989), GATT or WIPO New Ways in the International Protection of Intellectual Property; F.-K. Beier & G. Schricker (1996), From GATT to TRIPS The Agreement on Trade-Related Aspects of Intellectual Property Rights. v

6 vi Preface intellectual property has changed and, concomitantly, a need for protection against protection has arisen in instances, where the right to protection produces dysfunctional or other potentially harmful effects. Moreover, developments in public international law, such as the increased awareness of the vulnerability of public international goods or the broader recognition of human rights have made that ever more frequently the reach of intellectual property protection is put into question. Tensions also have made themselves felt inside the WTO. Membership has increased from 76 to 160 States, and, partly due to that increase, the WTO has run into a deep institutional and structural crisis. The rules of so many bilateral and regional (free) trade agreements, which Members have concluded during and after the Uruguay Round, tend to supersede not only the general WTO trade regime of GATT and of GATS, but also the TRIPS system of intellectual property protection (so-called TRIPS plus clauses). At the same time, the TRIPS Agreement, whilst remaining as highly controversial as ever, has been developed further, in part by some smaller, express amendment, but mainly by State practice, WTO dispute settlement, and possibly also by a rich and intense public political (and academic!) discussion of its economic and legal terms. This publication does not aim at retracing these changes and developments in any detail. Rather, it takes them as points of departure for examining whether the TRIPS Agreement should still be seen only as being part of an international trade regulation, which rests on reciprocity of trade concessions, or whether, instead, it needs to be understood as representing a generally accepted or at least a generally acceptable legal order of intellectual property, which Member States are supposed and able to transform into a functionally appropriate system of domestic intellectual property protection. The perspective, therefore, is not that of defining the terms of an outright revision of the TRIPS Agreement as such, which, politically speaking, is not to be expected. Rather, the perspective is that of an interpretative evolution, which makes the Agreement better meet the real needs of the economies concerned. In that regard, the focus is, first, on establishing a better balance between the conflicting interests of the owners of intellectual property rights and of third parties, users or competitors (many of whom may possibly hold or come to hold such property rights as well). Second, there is a constant concern about a potential need for redefining and improving the terms of protection as a matter of enhancing its macroeconomic functionality. Third, it has become ever more important to ensure the compatibility, if not convergence of intellectual property protection with the protection of other private and public goods. Last, but not least, attention must be had of risks of undue indirect or extraterritorial effects of national systems of protection on other nations systems and economies. Given the natural limitation of the number of contributors and of their possible involvement in the common research project, it has not been possible to take up all relevant issues. Therefore, some of the more prominent and already broadly discussed problem areas had to be left unattended, such as the controversial link between the protection of intellectual property and economic development in general, or, more specifically, the relationship between intellectual property

7 Preface vii protection and access to medicines at prices, which are affordable under given economic conditions. The contributions have been submitted to critical discussion at a workshop held in Munich on 14 and 15 April 2014, the anniversary of the TRIPS Agreement. We express our sincere thanks to all the invited external experts, who by their generous inputs helped us so much to refine our draft papers into the final versions, which we now present in this book. Munich, Germany April 2015 Hanns Ullrich Reto M. Hilty Matthias Lamping Josef Drexl

8 ThiS is a FM Blank Page

9 List of Journals A. J. Comp. L. The American Journal of Comparative Law ABLJ American Business Law Journal Admin. L. Rev. Administrative Law Review AIPLA Qu. J. AIPLA Quarterly Journal AJIL American Journal of International Law Akron Intell. Prop. J. Akron Intellectual Property Journal Alb. L.J. Sci. & Tech. Albany Law Journal of Science and Technology Am. Econ. Rev. The American Economic Review Am. J.L. & Med. American Journal of Law & Medicine Am. U. Int l L. Rev. American University International Law Review Amer. Econ. Rev. The American Economic Review Antitrust L.J. Antitrust Law Journal Australian J. Asian L. Australian Journal of Asian Law Australian Yb. Int l L. Australian Year Book of International Law Australian Econ. Rev. Australian Economic Review Australian L.R. Australian Law Reports B.C. L. Rev. Boston College Law Review B.U. L. Rev. Boston University Law Review Berkeley Tech. L.J. Berkeley Technology Law Journal BMM Bulletin Tijdschrift op het gebied van Merken- en Modellenrecht B.U. Int l L.J. Boston University International Law Journal Buff. L. Rev. Buffalo Law Review BYIL British Yearbook of International Law Cal. L. Rev. California Law Review Cambridge Yb. Eur. Legal Cambridge Yearbook of European Legal Studies Stud. Can. Bus. L.J. Canadian Business Law Journal Can.-U.S. L.J. Canada-United States Law Journal Cardozo A.E.L.J. Cardozo Arts & Entertainment Law Journal Case W. Res. J. Int l L. Case Western Reserve Journal of International Law ix

10 x List of Journals Case W. Res. L. Rev. Case Western Reserve Law Review Chi.-Kent L. Rev. Chicago Kent Law Review CLP Current Legal Problems CML Rev. Common Market Law Review Colum. J. Envtl. L. Columbia Journal of Environmental Law Colum. J. Eur. L. Columbia Journal of European Law Colum. J. Transnat l L. Columbia Journal of Transnational Law Colum. J.L. & Arts Columbia Journal of Law & the Arts Colum. L. Rev. Columbia Law Review Colum. Sci. & Tech. L. Rev. Columbia Science and Technology Law Review Colum.-VLA J.L. & Arts Columbia VLA Journal of Law & the Arts Conn. L. Rev. Connecticut Law Review Constit. Polit. Econ. Constitutional Political Economy Cornell L. Rev. Cornell Law Review Currents Currents International Trade Law Journal Duke J. Comp. & Int l L. Duke Journal of Comparative & International Law Duke L.J. Duke Law Journal EIPR European Intellectual Property Review EJIL European Journal of International Law ELJ European Law Journal Emory Int l L. Rev. Emory International Law Review EuR Europarecht Eur. J. Human Genetics European Journal of Human Genetics Euro. Comp. J. European Competition Journal EuZW Europäische Zeitschrift für Wirtschaftsrecht Fed. Circuit B.J. Federal Circuit Bar Journal Fla. L. Rev. Florida Law Review Fordham Int l L.J. Fordham International Law Journal Fordham Intell. Prop. Media & Ent. L.J. Fordham Intellectual Property, Media & Entertainment Law Journal Fordham L. Rev. Fordham Law Review Ga. St. U. L. Rev. Georgia State University Law Review Geo. Int l Envtl. L. Rev. Georgetown International Environmental Law Review Geo. J. Int l L. Georgia Journal of International and Comparative Law Geo. L.J. Georgetown Law Journal Geo. Wash. Int l L. Rev. The George Washington International Law Review GRUR Gewerblicher Rechtsschutz und Urheberrecht GRUR Int. Gewerblicher Rechtsschutz und Urheberrecht Internationaler Teil Harv. J.L. & Tech. Harvard Journal of Law & Technology Harv. L. Rev. Harvard Law Review

11 List of Journals xi Hastings Bus. L.J. Hastings Comm. & Ent. L.J. Hastings L.J. Hous. J. Int l L. Hous. L. Rev. HRQ IDEA IIC ILR Ind. J. Global Legal Stud. Ind. J.L. Tech. Ind. L.J. Ind. L. Rev. Int l & Comp. L.Q. Int l J. Hum. Rts. Hastings Business Law Journal Hastings Communications and Entertainment Law Journal Hastings Law Journal Houston Journal of International Law Houston Law Review Human Rights Quarterly IDEA: The Intellectual Property Law Review International Review of Intellectual Property and Competition Law International Law Research Indiana Journal of Global Legal Studies The Indian Journal of Law and Technology Indiana Law Journal Indiana Law Review International and Comparative Law Quarterly International Journal of Human Rights (and Constitutional Studies) International Legal Material International and Comparative Law Quarterly Intellectual Property Quarterly Journal of Business, Entrepreneurship & the Law Int l Leg. Mat. Int l & Comp. L.Q. IPQ J. Bus. Entrepreneurship &L. J. Competition L. & Econ. Journal of Competition Law and Economics J. Crim. Law Criminol. Journal of Criminal Law and Criminology J. Econ. Hist. Journal of Economic History J. Econ. Persp. Journal of Economic Perspectives J. Hum. Rts. Journal of Human Rights J. Int l Dispute Settlement Journal of International Dispute Settlement J. Int l Econ. L. Journal of International Economic Law J. Int l Econ. Journal of International Economics J. Int l Media & Ent. L. Journal of International Media & Entertainment Law J. Int l. Dispute Settlement Journal of International Dispute Settlement J. Intell. Prop. L. & Practice Journal of Intellectual Property Law & Practice J. Intell. Prop. L. Journal of Intellectual Property Law J.L. & Econ. Journal of Law & Economics J. Marshall Rev. Intell. John Marshall Review of Intellectual Property Law Prop. L. J. Polit. Econ. Journal of Political Economy J. Transnat l L. & Pol y Journal of Transnational Law and Policy Spring J. W. Intell. Prop. Journal of World Intellectual Property J.L. & Com. J.L. & Econ. Journal of Law and Commerce Journal of Law & Economics

12 xii J.L. Tech. & Pol y J.W.T. JCRED JEL JIPITEC JIPR JITE JLME JNPÖ JuS JZ Kansas L. Rev. Law & Lit. Law & Contemp. Probs. Law & Pol y Int l Bus. Leg. Iss. Eur. Integr. Legal Iss. Econ. Integr. Loy. L.A. L. Rev. Marquette Intell. Prop. L. Rev. MdP Mich. J. Int l L. Mich. L. Rev. Mich. St. L. Rev. Mich. Telecomm. Tech. L. Rev. Minn. J.L. Sc. & Tech. Minn. J. Int l L. Minn. L. Rev. MIT SMR MMR Mod. L. Rev. N.C.L. Rev. N.Y.L. Sch. L. Rev. N.Y.U. J. Legis. & Pub. Pol y Nat. Rev. Genet. Neb. L. Rev. New Eng. Econ. Rev. NJCM-Bull. NJW Nord. Envtl. L.J. List of Journals Journal of Law, Technology & Policy Journal of World Trade Journal of Civil Rights and Economic Development Journal of Economic Literature Journal of Intellectual Property, Information Technology, and Electronic Commerce Law Journal of Intellectual Property Rights Journal of Institutional and Theoretical Economics Journal of Law, Medicine & Ethics Jahrbuch für Neue Politische Ökonomie Juristische Schulung Juristenzeitung Kansas Law Review Law and Literature Law and Contemporary Problems Law and Policy in International Business Legal Issues of European Integration Legal Issues of Economic Integration Loyola of Los Angeles Law Review Marquette Intellectual Property Law Review Mitteilungen der deutschen Patentanwälte Michigan Journal of International Law Michigan Law Review Michigan State Law Review Michigan Telecommunications and Technology Law Review Minnesota Journal of Law, Science & Technology Minnesota Journal of International Law Minnesota Law Review MIT Sloan Management Review MultiMedia und Recht Modern Law Review North Carolina Law Review New York Law School Law Review New York University Journal of Legislation and Public Policy Nature Reviews Genetics Nebraska Law Review New England Economic Review Nederlands Juristen Comité voor de Mensenrechte Bulletin Neue Juristische Wochenschrift Nordic Environmental Law Journal

13 List of Journals xiii Nw. J. Int l L. & Bus. Northwestern Journal of International Law & Business Nw. J. Tech. & Intell. Prop. Northwestern Journal of Technology and Intellectual Property NYU J. Int. l L. Pol. New York University Journal of International Law and Politics Or. L. Rev. Oregon Law Review Oxford Rev. Econ. Pol y Oxford Review of Economic Policy Pac. Rim L. & Pol y J. Pacific Rim Law & Policy Journal Prometheus Prometheus Critical Studies in Innovation Q.J. Aus. Econ. Quarterly Journal of Austrian Economics R.I.D.E. Revue Internationale de Droit Économique RAND J. Econ. The RAND Journal of Economics Rev. Econ. Stat. Review of Economics and Statistics ReWir Recklinghäuser Beiträge zu Recht und Wirtschaft S. Cal. L. Rev. Southern California Law Review Santa Clara Comp. & High Tech. L.J. Santa Clara Computer & High Technology Law Journal SMU L. Rev. SMU Law Review Stanford L. Rev. Stanford Law Review Tex. Int l L.J. Texas International Law Journal TMR The Trademark Reporter Trade L. & Dev. Trade, Law and Development Tul. Envtl. L.J. Tulane Environmental Law Review Tul. L. Rev. Tulane Law Review U. Chi. L. Rev. University of Chicago Law Review U. Ottawa L. & Tech. J. University of Ottawa Law & Technology Journal UC Davis L. Rev. UC Davis Law Review UC Irvine L. Rev. UC Irvine Law Review UCLA J. Int l L. & Foreign Aff. UCLA Journal of International Law and Foreign Affairs UNSW L. J. University of New South Wales Law Journal Va. J. Int l L. Virginia Journal of International Law Va. J.L. & Tech. Virginia Journal of Law and Technology Va. L. Rev. Virginia Law Review Vand. J. Transnat l L. Vanderbilt Journal of Transnational Law Vand. L. Rev. Vanderbilt Law Review Vill. L. Rev. Villanova Law Review W. New Eng. L. Rev. Western New England Law Review Wash. & Lee L. Rev. Washington and Lee Law Review WIPO J. WIPO Journal Wis. L. Rev. Wisconsin Law Review World Comp. L. Rev. World Competition Law Review World Econ. The World Economy

14 xiv List of Journals World Trade Rev. WuW Yale J. Int l L. Yale L.J. ZWeR World Trade Review Wirtschaft und Wettbewerb Yale Journal of International Law Yale Law Journal Zeitschrift für Wettbewerbsrecht

15 Contents Part I Revisiting the Policy Rationale of TRIPS The Origins and Structure of the TRIPS Agreement... 3 William Cornish and Kathleen Liddell The Concept of Trade-Relatedness of Intellectual Property Rights in Times of Post-TRIPS Bilateralism Josef Drexl The Political Foundations of TRIPS Revisited Hanns Ullrich Part II TRIPS as a Legal Framework: Which Geometry? From Minimum Standards to Maximum Rules Annette Kur IP and Trade in a Post-TRIPS Environment Henning Grosse Ruse-Khan Ways Out of the Trap of Article 1(1) TRIPS Reto M. Hilty Part III Systems Challenges The Proportionality Principle in the TRIPS Agreement Max Wallot The Commodification of Internet Intermediary Safe Harbors: Avoiding Premature Harmonization Around a Suboptimal Standard Seth Ericsson xv

16 xvi Contents Regulatory Innovation and the Institutional Design of the TRIPS Agreement Rupprecht Podszun and Benjamin Franz Intellectual Property Harmonization in the Name of Trade Matthias Lamping Part IV TRIPS and Countervailing Principles Revisiting the Principle of Technological Neutrality in Patent Protection in the Age of 3D Printing Technology and Cloud Computing Nari Lee Article 27(3)(b) TRIPS and Plant Variety Protection in Developing Countries Christoph Antons TRIPS and Climate Change in the International Economic Order Agnieszka A. Machnicka Establishing Conformity Between TRIPS and Human Rights: Hierarchy in International Law, Human Rights Obligations of the WTO and Extraterritorial State Obligations Under the International Covenant on Economic, Social and Cultural Rights Klaus D. Beiter Part V Exclusivity, Access and Innovation From Transfer of Technology to Innovation Through Access Peter Picht TRIPS and Competition Rules: From Transfer of Technology to Innovation Policy Mor Bakhoum and Beatriz Conde Gallego How Public Is the Public Domain? The Perpetual Protection of Inventions, Designs and Works by Trademarks Kaya K oklü and Sylvie Nérisson Dependent Patents Under Art. 31 TRIPS: Lessons from Copyright Law Matthias Leistner Part VI From Enforcing to Enhancing TRIPS The WTO/TRIPS Dispute Settlement Mechanism: Experiences and Perspectives Silke von Lewinski

17 Contents xvii Merging ACTA into TRIPS: Does TRIPS-Based IP Enforcement Need Reform? Thomas Jaeger Towards a Balanced International Legal Framework for Criminal Enforcement of Intellectual Property Rights Christophe Geiger TRIPS and Consumer Protection Ansgar Ohly TRIPS and Corporate Social Responsibility: Unethical Equals Unfair Business Practices? Frauke Henning-Bodewig Enhancing TRIPS: Trade Secrets and Reverse Engineering Gintarė Surblytė