INTELLECTUAL PROPERTY 知識產權

 

The Phase One economic and trade agreement signed by the United States and China on January 15, 2020, includes a chapter on intellectual property (IP) that strengthens protection and enforcement of IP in China.  These high-standard provisions will help secure a level playing field for American companies and preserve American competitiveness.   

美國和中國於2020年1月15日簽署的第一階段經濟貿易協定包括一章關於知識產權（IP）的章節，該章加強了中國對知識產權的保護和執行。 這些高標準的規定將有助於確保美國公司的公平競爭環境，並保持美國的競爭力。

 

The IP chapter addresses numerous longstanding concerns in the areas of trade secrets, patents and pharmaceutical-related intellectual property, geographical indications, trademarks, and enforcement against pirated and counterfeit goods.  The United States and China also agreed to address additional IP issues, including with respect to data protection for pharmaceuticals, unauthorized camcording of motion pictures, and copyright protection for sporting event broadcasts, in future negotiations. 

知識產權一章涉及商業秘密，專利和與藥物相關的知識產權，地理標誌，商標以及對盜版和假冒商品的執法等領域中的許多長期關注的問題。 美國和中國還同意在未來的談判中解決其他IP問題，包括藥品數據保護，未經授權的電影攝錄以及體育賽事廣播的版權保護。

 

The IP chapter requires China to promulgate an Action Plan that will outline the structural changes that China will take to implement its obligations under this chapter.  China must also provide a public comment period of at least 45 days for all proposed implementation measures.  

知識產權一章要求中國頒布一項行動計劃，其中概述了中國為履行本章規定的義務而將要進行的結構性變化。 中國還必須為所有擬議的實施措施提供至少45天的公眾意見徵詢期。

 

Trade Secrets 商業機密

 

Trade secret theft threatens to diminish U.S. competitiveness around the globe and puts U.S. jobs at risk.  The IP chapter strengthens protections for trade secrets and enforcement against trade secret theft in China, a top priority for the United States.  In particular, the IP chapter requires China to: 

商業秘密盜竊有可能削弱美國在全球的競爭力，並使美國的工作處於危險之中。 知識產權一章加強了對商業秘密的保護，並加強了對中國商業秘密盜竊的保護，這是美國的頭等大事。 特別是，知識產權一章要求中國：

 

1. Expand the scope of civil liability for trade secret misappropriation beyond entities directly involved in the manufacture or sale of goods and services, so that trade secret owners can bring suit against any natural or legal persons, including individual former employees or cyberhackers.

1. 將商業秘密盜用的民事責任範圍擴大到直接涉及生產或銷售商品和服務的實體之外，這樣，商業秘密所有人就可以對任何自然人或法人提起訴訟，包括個人前僱員或網絡黑客。（目前中華人民共和國「反不正當競爭法」 第十條 規定「經營者不得採用下列手段侵犯商業秘密：」，侵犯商業秘密僅罰「經營者」

2.Cover acts such as electronic intrusions, breach of confidentiality, and inducement of a breach of confidentiality as prohibited acts of trade secret theft. 涵蓋諸如電子入侵，違反機密性和誘使違反機密性之類的行為，作為商業秘密盜竊的違禁行為。

 

•       Level the playing field by shifting the burden of producing evidence or burden of proof in civil cases to the defendants when trade secret owners have a reasonable indication of trade secret theft. 當商業秘密所有人有合理跡象表明商業秘密被盜時，通過將舉證責任或民事案件中的舉證責任轉移給被告人來平整競爭環境。

 

•       Make it easier for trade secret owners to obtain preliminary injunctions to prevent the use of stolen trade secrets before the trade secret has lost its value. 使商業秘密所有人更容易獲得初步禁令，以防止在商業秘密失去其價值之前使用被盜的商業秘密

 

•       Allow for the initiation of criminal investigations for trade secret theft without the need to show actual losses, which are difficult to prove before the trade secret has lost its value. 允許對商業秘密盜竊行為進行刑事調查，而無需證明實際損失，而這在商業秘密喪失其價值之前很難證明。（目前中華人民共和國「刑法」第二百一十九條「侵犯商業秘密罪」之規定，侵害商業秘密的行為，如給權利人造成「重大損失」的，可以判處3年以下有期徒刑或單處罰金；必須證明有重大損失才能成立犯罪）

 

•       Ensure that criminal enforcement is available for willful trade secret misappropriation, including a requirement for China’s system to at least cover theft, fraud, physical or electronic intrusion for an unlawful purpose, and the unauthorized or improper use of a computer system in the scope of prohibited acts. 確保可以對故意的商業秘密盜用進行刑事執法，包括要求中國的系統至少涵蓋出於非法目的的盜竊，欺詐，物理或電子入侵，以及在禁止的範圍內未經授權或不正當地使用計算機系統 行為。

 

•       When undisclosed information, trade secrets, or confidential business information is submitted to the central or sub-central levels of government, prohibit the unauthorized disclosure of such information by government personnel or third-party experts or advisors, including: 當未公開的信息，商業秘密或機密商業信息提交給中央或次中央政府時，禁止政府人員或第三方專家或顧問未經授權地披露此類信息，包括：

 

o   limiting requests for information to no more than necessary for the legitimate exercise of investigative or regulatory authority; 將對信息的要求限制在不超過合法行使調查或監管權限所必需的範圍內；

 

o   limiting access to submitted information to only government personnel necessary for the exercise of legitimate investigative or regulatory functions; 限制只有行使合法調查或監管職能所必需的政府人員才能訪問提交的信息；

 

o   ensuring that third party experts or advisors with conflicts of interest do not have access to such information; and 確保存在利益衝突的第三方專家或顧問不會訪問此類信息； 和

 

o   providing deterrent criminal, civil, and administrative penalties, including monetary fines, the suspension or termination of employment, and imprisonment, for the unauthorized disclosure of a trade secret or confidential business information. 提供威懾性的刑事，民事和行政處罰，包括罰款，因未經授權披露商業秘密或機密商業信息而中止或終止僱傭關係以及監禁。

 

Patents and Pharmaceutical-Related Intellectual Property 專利與藥品相關的知識產權

 

Robust protection of intellectual property is critical to incentivizing the development of new and innovative treatments and cures.  The IP chapter requires China to: 

強有力的知識產權保護對於激勵開發新的和創新的療法和療法至關重要。 知識產權一章要求中國：

 

•       Establish a mechanism for the early resolution of potential pharmaceutical patent disputes, including a cause of action to allow a patent holder to seek expeditious remedies before the marketing of an allegedly infringing product, so that innovative pharmaceutical companies can effectively enforce their rights in China. 建立一種機制，以儘早解決潛在的藥品專利糾紛，其中包括提起訴訟，允許專利持有人在涉嫌侵權的產品上市之前尋求迅速的補救措施，以便創新的製藥公司可以有效地在中國行使其權利。

 

•       Provide patent term extensions to compensate for unreasonable patent office and marketing approval delays that cut into the effective patent term. 提供專利期限擴展，以補償切入有效專利期限的不合理的專利局和市場批准延遲。（合約規定補償為中國提出申請之日起四年以上或申請實體審查後三年以上的不可歸責於申請人的專利延誤，調整的期限可以限制為不超過五年，有限專利期限為中國市場批准之日起不超過14年，此與美國自身的條件相同）

 

•       Permit the use of supplemental data to meet relevant patentability criteria for pharmaceutical patent applications. 允許使用補充數據來滿足藥品專利申請的相關可專利性標準。（目前中國的審查實務僅依據原始提交的說明書是否記載了具體功效實驗數據來判斷發明是否充分公開，申請日之後提交的補充數據不予考慮）

 

Trademarks and Geographical Indications 商標和地理標誌

 

The IP chapter will enhance protections for U.S. brand names and also will help address the potential for inappropriately “overprotecting” geographical indications (GIs) in ways that shut out U.S. agricultural and food producers.  The IP chapter requires China to: 

IP章節將加強對美國品牌名稱的保護，還將幫助解決以不適當的方式“過度保護”地理標誌（GI）的可能性，從而使美國農業和食品生產商不被接受。 知識產權一章要求中國：

 

•       Address longstanding concerns regarding bad-faith trademark registrations, such as by invalidating or refusing bad faith trademark applications. 解決有關惡意商標註冊的長期擔憂，例如通過使無效商標申請無效或予以拒絕。

 

•       Ensure that any GI measures taken in connection with an international agreement do not undermine market access for U.S. exports to China using trademarks and generic terms. 確保與國際協議有關的任何地理標誌措施都不會損害美國使用商標和通用術語向中國出口的市場准入。

 

•       For GIs, use relevant factors when making determinations for genericness, including usage of a term in dictionaries, newspapers, and websites, how the good referred to by a term is marketed and used in trade, and whether the term is used in relevant standards. 對於地理標誌，在確定通用性時應使用相關因素，包括在詞典，報紙和網站中使用該術語，該術語所指的商品如何在貿易中銷售和使用以及該術語是否在相關標準中使用。

 

•       Not provide GI protection to individual components of multi-component terms if the individual component is generic. 如果單個構成是通用的，則不為多構成要件中的單個構成提供GI保護。

 

•       Publicly identify which individual components are not protected when granting GI protection to multi-component terms. 向多構成要件授予地理標誌保護時，公開標識哪些要件不受保護。

 

Enforcement against Pirated and Counterfeit Goods 對盜版和假冒商品的執法

 

According to OECD studies, China continues to be the top source for pirated and counterfeit goods in international trade.  In its most pernicious forms, IP infringement endangers the public, such as through exposure to health and safety risks from counterfeit products such as semiconductors, automobile parts, apparel, footwear, toys, cosmetics, and medicines.  To address these issues, the IP chapter obligates China to: 

根據經合組織的研究，中國仍然是國際貿易中盜版和假冒商品的最大來源。 知識產權侵權以最有害的形式危害公眾，例如通過暴露於半導體，汽車零部件，服裝，鞋類，玩具，化妝品和藥品等假冒產品所帶來的健康和安全風險。 為了解決這些問題，知識產權一章規定中國有義務：

 

•       Provide effective and expeditious action against infringement in the online environment, including requiring expeditious takedowns and ensuring the validity of notices and counternotices. 

針對網路環境中的侵權行為提供有效，迅速的行動，包括要求迅速下架並確保通知和反通知的有效性。

 

•       Take effective action against e-commerce platforms that fail to take necessary measures against infringement. 對未能採取必要措施打擊侵權的電子商務平台採取有效措施。（合約規定對屢屢未能遏制假冒或盜版商品銷售的電子商務平台撤銷經營執照）

 

•       Take effective enforcement action against counterfeit pharmaceuticals and related products, including active pharmaceutical ingredients.   對假冒藥品和相關產品（包括活性藥物成分）採取有效的執法措施。

 

•       Significantly increase actions to stop the manufacture and distribution of counterfeits with significant health or safety risks. 大量採取行動，制止具有重大健康或安全風險的假冒產品的生產和分銷。

 

•       Provide that its judicial authorities shall order the forfeiture and destruction of pirated and counterfeit goods, as well as the materials and implements predominantly used in their manufacture. 規定其司法機關應責令沒收和銷毀盜版和假冒產品以及主要用於製造的材料和工具。

 

•       Significantly increase the number of enforcement actions against pirated and counterfeit goods at physical markets in China and that are exported or in transit. 大幅增加了針對中國有形市場以及出口或過境的盜版和假冒商品的執法行動數量。

 

•       Ensure, including through third party audits, that government agencies and SOEs only use licensed software. 確保（包括通過第三方審核）確保政府機構和國有企業僅使用許可的軟件。

 

Deterrent-Level Remedies and Penalties and Issues in the Judicial System 司法系統中威懾級別的補救措施和處罰及問題

 

The levels of remedies and penalties have not been sufficient to deter the significant volume of IP theft in China.  In addition, certain procedures or other aspects of China’s judicial system have created barriers with respect to the ability of U.S. IP owners to effectively enforce their rights.  To address these issues, the IP chapter includes obligations for China to: 

補救和懲罰的程度不足以阻止中國大量的知識產權盜竊。 此外，中國司法制度的某些程序或其他方面也對美國知識產權所有人有效行使其權利的能力造成了障礙。 為了解決這些問題，知識產權一章規定了中國的義務：

 

•       Provide deterrent-level civil remedies and criminal penalties for IP theft, including increasing the range of minimum and maximum pre-established damages, sentences of imprisonment, and monetary fines. 為知識產權盜竊提供威懾級別的民事補救措施和刑事處罰，包括擴大最低和最高的預先確定的賠償範圍，監禁和罰款。

 

•       Require the transfer of cases from administrative authorities to criminal authorities when there is a reasonable suspicion of a criminal violation. 在合理懷疑犯罪行為時，要求將案件從行政機關移交給刑事機關。

 

•       Ensure expeditious enforcement of judgments for violations of intellectual property rights. 確保迅速執行侵犯知識產權的判決。

 

•       Provide legal presumptions of copyright ownership and waiving certain other requirements for bringing copyright infringement claims. 提供版權擁有權的法律推定，並放棄提出版權侵權索賠的某些其他要求。（規定法律上的推定，即在沒有相反證據的情況下，該人其名稱被標明為該作品，表演或錄音製品的作者，生產者，表演者或出版者的名稱，是該作品，表演或錄音製品的指定權利持有者）

 

•       Eliminate or streamline requirements for foreign litigants to authenticate evidence for use in Chinese courts. 消除或簡化了外國訴訟人對供中國法院使用的證據進行認證的要求。（在民事司法程序中，對於可通過當事人之間認可，或以接受偽證處罰為前提的證人證言來引入或確認真實性的證據，則雙方不得提出證據確認的形式要求，包含要求領事官員蓋章或蓋印等）

 

•       Provide a reasonable opportunity to present witnesses and to crossexamine opposing witnesses in civil proceedings.在民事訴訟中給予當事方在案件中邀請證人和盤問對方證人的合理機會