《反假冒贸易协定》（ACTA）解析：标准之变与体制之争

发布时间：2018-06-10 13:35

本文选题：《反假冒贸易协定》 + TRIPS　；参考：《吉林大学》2013年博士论文

【摘要】：知识产权既为权利人带来经济收益，又是推动一国经济发展的重要力量。然而，知识产权侵权行为的频发，特别是假冒与盗版活动在全球范围内的泛滥，日益减损着国内立法在知识产权保护方面的效能。为了维护其在全球经济中的竞争优势，各知识产权输出国（主要是发达国家）积极推动知识产权国际保护体制的建立，从《保护工业产权巴黎公约》的制定到世界知识产权组织（WIPO）的建立，从《与贸易有关的知识产权协议》（TRIPS协议）的缔结到为数众多的双边自由贸易协定（FTA）的出现，都可以看到发达国家活跃的身影。《反假冒贸易协定》（ACTA）的制定是发达国家积极推进知识产权国际保护立法的最新进展。本文对ACTA进行了分析与评价，题目为“《反假冒贸易协定》解析：标准之变与体制之争”，分为六章进行阐述。第一章为绪论，以知识产权国际保护的发展进程为线索，将ACTA所蕴含与引发的学术问题呈现在一个广阔的学术背景上。通过对国内外研究状况的综述，发现其在此问题上研究的不足，从而指出本文的主要贡献与创新。第二章阐述了知识产权国际保护体制的变迁过程。知识产权以一国领土为限的地域性以及作为国家发展战略的重要性，催生了知识产权国际保护制度。发达国家意图提高知识产权保护标准的动机推动了知识产权国际保护体制的转变。从知识产权国际联合局（BIRPI）到WIPO的过渡，标志着知识产权多边保护体制的正式建立；从WIPO到WTO/TRIPS的转变，代表着知识产权保护与多边贸易体制的联合。知识产权保护标准在多边贸易体制中遭遇发展瓶颈，发达国家在以自由贸易协定（FTA）为代表的双边体制中推行TRIPS-plus标准，表明其试图消解知识产权多边保护体制的困局，导致知识产权国际保护体制开始由多边向双边转向。这一过程中，出现了以美国“特别301”条款为代表的单边主义趋向。在多边体制与双边体制的分分合合中，复边体制以其独具的优势为知识产权国际保护开辟出了“第三条道路”。ACTA即是“第三条道路”上的先遣队，它的出现使知识产权国际保护的体制之争更为复杂。第三章对ACTA的制定程序进行了深度透视。ACTA的制定程序明显受到其选择的复边体制的影响，“秘密”与“封闭”构成了ACTA制定程序的主要特点。为了将社会公众排除在外，ACTA采取了秘密谈判的方式。这一作法遭到了社会公众的强烈质疑，最终导致ACTA在欧盟的批准进程被否决。虽然谈判方强调了秘密谈判的必要性，但这些理由显然不能成立，其不过是谈判方为了逃避国内民主程序的审查而采取的“政策洗白”策略。此外，为了摆脱发展中国家的牵制，ACTA在谈判成员组成上采取了封闭的“大国俱乐部”作法。ACTA秘密与封闭的立法过程损害了协议本身的合法性与正当性、影响正常的国际贸易秩序、侵害了发展中国家的利益、破坏了多边体制的平衡。第四章对ACTA的规范内容进行了解析。ACTA共六章四十五条，主要规定了知识产权执法框架、执法实践、国际合作及机构安排等问题。从具体条文上看，ACTA在民事执法、边境执法以及刑事执法等领域，全面发展了TRIPS协议的相关规定，ACTA数字环境执法措施继承和突破了《国际互联网公约》的相关规定。ACTA在TRIPS协议下的合法性虽然可以得到基本确认，但ACTA对TRIPS-plus标准的追求却与其反假冒与反盗版的初衷相悖，发展中国家执法能力的提升，与发达国家的密切合作，才是有效阻止假冒与盗版的必由之路。ACTA背后隐藏的是将立法问题与执法问题人为割裂的“议题分离”策略。这一策略的实施，破坏了知识产品生产者与使用者之间的利益平衡，加重了ACTA成员国的执法负担，甚至威胁到一国的立法自主权。第五章是ACTA的“复活”与“升级”。ACTA在欧盟的否决可能导致ACTA最终无法生效，但并不意味着ACTA不能够通过间接方式对知识产权国际保护的立法进程产生影响。正在谈判中的《加拿大——欧盟全面经济贸易协议》（CETA）复制并发展了ACTA的知识产权执法规范，使ACTA在CETA中被全面“复活”。《跨太平洋伙伴关系协议》（TPP）继承并超越了ACTA的主要规范，使TPP以“ACTA2.0”的形式实现了对ACTA的“升级”。ACTA对CETA与TPP的辐射与渗透，表明其对未来国际知识产权立法的潜在影响是绝对不可忽视的。第六章探讨了ACTA的本质、影响以及发展中国家应采取的应对策略。ACTA立法是知识产权国际保护“体制转换”的必然结果，发达国家内的利益集团对知识产权国际保护标准的积极推动，是“体制转换”的政治动因。“体制转换”的结果是多边体制、双边体制、复边体制等的互相叠加，，最终形成“体制交错”的格局，使发达国家可能借助于ACTA实现“连横合纵”的效果。ACTA的“连横合纵”损害了发展中国家民众的公共健康权利，抑制了TRIPS协议赋予发展中成员国的“弹性”，造成了国际知识产权体系的进一步“碎片化”。在后ACTA时代，发展中国家应当积极采取应对策略，坚持多边主义、注重能力建设、强调促进竞争及维护公有领域。
[Abstract]:Intellectual property rights not only bring economic benefits to the rights holders, but also an important force to promote the economic development of a country. However, the frequent occurrence of intellectual property rights infringement, especially the spread of counterfeit and piracy activities around the world, has increasingly detracts the effectiveness of domestic legislation in the protection of intellectual property. Advantages, all intellectual property exporting countries (mainly developed countries) actively promote the establishment of the international protection system for intellectual property rights, from the formulation of the Paris Convention on the protection of industrial property to the establishment of the World Intellectual Property Organization (WIPO), from the conclusion of the trade related intellectual property agreement (TRIPS agreement) to a large number of bilateral free trade agreements ( The emergence of FTA can see the active figure of the developed countries. The formulation of the anti counterfeiting trade agreement (ACTA) is the latest progress of the developed countries to actively promote the international protection legislation of intellectual property rights.
In this paper, ACTA is analyzed and evaluated, entitled "analysis of the anti counterfeiting trade agreement: the change of standards and the system", which is divided into six chapters.
The first chapter is the introduction, taking the development process of the international protection of intellectual property as the clue, and presenting the academic problems contained in ACTA in a broad academic background. Through the review of the research situation at home and abroad, we find out the lack of research on this problem, and then point out the main contribution and innovation of this article.
The second chapter expounds the change process of the international protection system of intellectual property. The regional nature of intellectual property rights limited by one country and the importance of the national development strategy have brought about the international protection system of intellectual property rights. The motive of the developed countries' intention to improve the protection of intellectual property rights has pushed the transformation of the international protection system of intellectual property. The transition from IPR (BIRPI) to WIPO signifies the formal establishment of a multilateral protection system for intellectual property rights; the transition from WIPO to WTO/TRIPS represents the combination of intellectual property protection and the multilateral trading system. The intellectual property protection standard has encountered development bottlenecks in the multilateral trading system, and the developed countries are in the free trade association. The implementation of the TRIPS-plus standard in the bilateral system represented by FTA indicates that it tries to eliminate the dilemma of the multilateral protection system of intellectual property rights, leading to the beginning of the international protection system of intellectual property right from multilateral to bilateral. In this process, the trend of unilateralism, represented by the "Special 301" clause in the United States, has emerged. In the system of separation and integration, the complex edge system has opened up the "Third Road".ACTA, which is the "Third Road", with its unique advantages for the international protection of intellectual property rights. Its emergence makes the dispute over the international protection of intellectual property more complex.
The third chapter makes a deep perspective on the formulation of the ACTA procedure. The process of making.ACTA is obviously influenced by the complex border system of its choice. "Secret" and "closed" constitute the main characteristics of the ACTA formulation process. In order to exclude the public from the public, the ACTA has adopted the formula of secret negotiation. This practice has been strongly influenced by the public. Questioning, eventually leading to the rejection of ACTA's approval process in the European Union. Although the negotiators stressed the necessity of secret negotiations, these reasons are clearly ineffective, but the "policy whitening" strategy adopted by the negotiators in order to escape the review of democratic procedures in the country. In addition, the ACTA is negotiating to get rid of the constraints of the developing countries. The secret and closed legislative process of a closed "big country club" method.ACTA has damaged the legitimacy and legitimacy of the agreement itself, affected the normal international trade order, violated the interests of the developing countries and undermined the balance of the multilateral system.
In the fourth chapter, the standard content of ACTA is analyzed in a total of six chapters and forty-five sections. The main provisions are the framework of the law enforcement of intellectual property, the practice of law enforcement, international cooperation and institutional arrangements. From the specific provisions, ACTA has developed the relevant provisions of the TRIPS agreement in the fields of civil law enforcement, border enforcement and criminal law enforcement, and the ACTA figures Environmental law enforcement measures inherit and break through the relevant provisions of the International Convention on Internet, although the legitimacy of.ACTA under the TRIPS agreement can be basically confirmed, but the pursuit of TRIPS-plus standards by ACTA is contrary to the original intention of anti counterfeiting and anti piracy. The promotion of law enforcement ability in developing countries and close cooperation with developed countries are the only ones. The only way to prevent counterfeiting and piracy.ACTA is hidden behind the "separation of issues" strategy that separates legislative issues and law enforcement issues. The implementation of this strategy undermines the balance of interests between producers and users of knowledge products, aggravates the law enforcement burden of ACTA members, and even threatens the legislative autonomy of a country.
The fifth chapter is the "Resurrection" and "upgrade" of ACTA. The rejection of.ACTA in the EU may lead to the eventual failure of ACTA, but it does not mean that ACTA can not affect the legislative process of international protection of intellectual property through indirect ways. The negotiation of the Canadian EU full economic and trade agreement (CETA) replicate and develop AC TA's intellectual property law enforcement specification makes ACTA fully "resurrected" in CETA. The trans Pacific Partnership Agreement (TPP) inherits and transcends the main specifications of ACTA, enabling TPP to "upgrade".ACTA's radiation and penetration of CETA and TPP on ACTA in the form of "ACTA2.0", indicating its potential for future international intellectual property legislation. Ringing is absolutely not to be ignored.
The sixth chapter discusses the essence of the ACTA, the influence and the countermeasures that the developing countries should adopt, the.ACTA legislation is the inevitable result of the "institutional transformation" of the international protection of intellectual property rights. The positive impetus of the interest groups in the developed countries on the international protection standards of intellectual property rights is the political motivation of "institutional change". The result of "system transformation" It is the superposition of the multilateral system, the bilateral system, the complex border system and so on. Finally, the pattern of "system interlocking" is formed, so that the developed countries may have the help of the ACTA to realize the "joint and vertical" effect of.ACTA, which has damaged the public health rights of the people of the developing countries, and restrained the "bomb" given by the TRIPS agreement to the developing member countries. In the post ACTA era, developing countries should actively adopt coping strategies, adhere to multilateralism, focus on capacity-building, and emphasize the promotion of competition and the maintenance of public areas in the post ACTA era.
【学位授予单位】：吉林大学
【学位级别】：博士
【学位授予年份】：2013
【分类号】：D996.1;D997.1

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