过境货物知识产权边境措施的应然与实然适用分析——以上海自由贸易区(港)发展为落脚

The Application of Border Measures of Intellectual Property on Transit Goods in Theory and Reality: Shanghai Pilot Free Trade Zone (Port) as a Perspective

《关税与贸易总协定》第5条和《与贸易有关的知识产权协议》(TRIPS)第3部分第4节确立了世界贸易组织(WTO)成员知识产权边境措施义务。在此基础上,欧盟(EU)通过区域和国家立法形式发展出了过境货物知识产权边境措施适用的一系列规则。从应然看,该措施能够增长贸易量和贸易利益、保障知识产权权属以及促进自由化便利化。从实然看,GATT第5条和TRIPS第3部分第4节不能作为措施适用的依据,也无法证明措施违背WTO条款。欧盟的过境货物知识产权边境措施适用于非共同体过境货物,并将认定货物存在进入欧盟和侵权商业使用行为作为适用前提。上海自贸区的该类措施适用既需要协调《海关法》、《知识产权海关保护条例》等上下位法律的效力、弥合措施适用范围界定的疏漏,还要扬弃地借鉴WTO有关规定和欧盟实践做法来缓解措施适用与贸易便利化和知识产权地域性保护之间的矛盾,并顺应建设上海自由贸易港的发展趋势,在措施适用广度、适用方式、适用主体上持续探索和创新。

There are obligations on Border Measures of Intellectual Property for WTO members in GArfT Article V and TRIPS Part III Section IV, and EU has developed rules relating to the application of border measures of intellectual property on transit goods. In theory, such measures are good for trade incomes, intellectual property protection as well as facilitation. In reality, there are no specific measures on transit goods in WTO rules. EU rules are aimed at non-community transit goods, with proofs or signs to demonstrate goods can be transferred into EU and be in actual infringement. Shanghai Pilot Free Trade Zone not only need to define existing rules in China customs law by enlarging interpretation , but also resort to WTO and EU rules along with practices. To distinguish situation and ease conflict, it will give China greater border measures of intellectual property on transit goods. In line with the development trend of building Shanghai Pilot Free Trade Zone （Port）, continuous exploration and innovation are indispensable in the scope, mode and subject of application of the measures.