Article 11.1: Purpose and Principles

第一条　目的和原则

　　　The purpose of this Chapter is to increase the benefits from trade and investment through the protection and enforcement of intellectual property rights.　The Parties recognise that:

　　本章旨在通过知识产权保护和执法，提升贸易和投资的利益。缔约双方认识到：

(a)　　establishing and maintaining transparent intellectual property systems and promoting and maintaining adequate and effective protection and enforcement of intellectual property rights provide certainty to right holders and users;

　　（一）建立和维持透明的知识产权制度、促进和维持充分有效的知识产权保护和执法为知识产权权利人和使用者提供了确定性；

(b)　　protecting and enforcing intellectual property rights should contribute to the promotion of technological innovation and to the transfer and dissemination of technology;

　　（二）知识产权保护和执法应该有助于促进技术创新及技术的转让与传播；

(c)　　intellectual property protection promotes economic and social development, and can reduce distortion and obstruction to international trade;

　　（三）知识产权保护促进经济社会发展，并能减少对国际贸易的扭曲和阻碍；

(d)　　intellectual property systems should support open, innovative and efficient markets, including through the effective creation, utilisation, protection, and enforcement of intellectual property rights, appropriate limitations and exceptions, and an appropriate balance between the legitimate interests of rights holders, users and the public interest;

　　（四）知识产权制度应该支持开放、创新和高效的市场，包括通过知识产权的有效创造、运用、保护和执法，适当限制和例外，以及权利人、使用者的正当利益和公共利益之间的适当平衡；

(e)　　intellectual property systems should not themselves become barriers to legitimate trade;

　　（五）知识产权制度本身不应该构成合法贸易的障碍；

(f)　　appropriate measures, provided they are consistent with the provisions of the TRIPS Agreement¹ and this Chapter, may be needed to prevent the abuse of intellectual property rights by right holders, or the resort to practices which unreasonably restrain trade, are anticompetitive or adversely affect the international transfer of technology; and

　　（六）可以采取适当措施，防止权利人滥用知识产权，或采取不合理地限制贸易、反竞争或对国际技术转让有不利影响的做法，只要此类措施与《与贸易有关的知识产权协定》¹及本章的规定相一致；以及

¹For greater certainty, “TRIPS Agreement” includes any amending protocol in force and any waiver made between the Parties of any provision of the TRIPS Agreement granted by WTO Members in accordance with the WTO Agreement.

¹为进一步予以明确，《与贸易有关的知识产权协定》包括任何生效的修正议定书，以及缔约双方之间已获世贸组织成员根据《世贸组织协定》批准的对《与贸易有关的知识产权协定》任何条款的豁免。

(g)　　appropriate measures to protect public health and nutrition may be adopted provided they are consistent with the TRIPS Agreement and this Chapter

　　（七）可以采取适当措施，保护公共健康和营养，只要此类措施与《与贸易有关的知识产权协定》及本章的规定相一致。

Article 11.2: Definitions

第二条　定义

　　　For the purposes of this Chapter, unless the contrary intention appears:

　　就本章而言，除非有相反的意思表示出现：

(a)　　intellectual property rights refers to copyright and related rights, rights in trade marks, geographical indications, industrial designs, patents and layout-designs (topographies) of integrated circuits, rights in plant varieties, and rights in undisclosed information, as defined and described in the TRIPS Agreement;

　　（一）知识产权是指《与贸易有关的知识产权协定》中定义和描述的版权及相关权利，以及关于商标、地理标志、工业设计、专利和集成电路布图设计（拓扑图）、植物品种和未披露信息的权利；

(b)　　national of a Party includes, in respect of the relevant right, an entity of that Party that would meet the criteria for eligibility for protection provided for in the agreements listed in Article 1.3 of the TRIPS Agreement;

　　（二）一方国民，就相关权利而言，包括该方符合《与贸易有关的知识产权协定》第1.3条所列协定规定的保护标准的实体；

(c)　　TRIPS Agreement means the Agreement on Trade-Related Aspects of Intellectual Property Rights, contained in Annex 1C to the WTO Agreement; and

　　（三）《与贸易有关的知识产权协定》是指《世贸组织协定》附件1C中的《与贸易有关的知识产权协定》；以及

(d)　　WIPO means the World Intellectual Property Organization.

　　（四）世界知识产权组织（WIPO）是指世界知识产权组织。

Article 11.3: Obligations are Minimum Obligations

第三条　义务为最低要求

　　　Each Party shall, at a minimum, give effect to the provisions of this Chapter.　A Party may, but shall not be obliged to, provide more extensive protection for, and enforcement of, intellectual property rights than this Chapter requires, provided that this additional protection and enforcement is not inconsistent with the provisions of this Agreement.　Each Party shall be free to determine the appropriate method of implementing the provisions of this Chapter within its own legal system and practice.

　　每一缔约方应至少使本章的规定生效。一方可以，但无义务，提供比本章要求更为广泛的知识产权保护和执法，只要此种额外保护和执法不违反本协定的规定。各方应享有在其自身法律制度和实践中以适当方式执行本章规定的自由。

Article 11.4: International Agreements

第四条　国际协定

　　　Each Party affirms its commitment to the TRIPS Agreement and any other multilateral agreement relating to intellectual property to which both Parties are party.

　　每一缔约方确认对《与贸易有关的知识产权协定》以及其他双方均为缔约方的关于知识产权的多边协定的承诺。

Article 11.5: National Treatment

第五条　国民待遇

1.　　In respect of intellectual property rights covered in this Chapter, each Party shall accord to nationals of the other Party treatment no less favourable than it accords to its own nationals with regard to the protection of such intellectual property rights, subject to the exceptions provided under the TRIPS Agreement and those multilateral agreements concluded under the auspices of WIPO to which the Parties are party.

　　一、对于本章中所涵盖的知识产权，各方在知识产权保护方面给予另一方国民的待遇不得低于其给予本国国民的待遇，但符合《与贸易有关的知识产权协定》和世界知识产权组织主持制定的双方均为缔约方的多边协定中例外的除外。

2.　　For the purposes of this Article, “protection” includes matters affecting the availability, acquisition, scope, maintenance and enforcement of intellectual property rights, as well as those matters affecting the use of intellectual property rights covered by this Chapter.

　　二、就本条而言，“保护”包括影响知识产权的可获得性、取得、范围、维持和实施的事项，以及本章涵盖的影响知识产权使用的事项。

3.　　A Party may derogate from paragraph 1 in relation to its judicial and administrative procedures, including requiring a national of the other Party to designate an address for service in its territory, or to appoint an agent in its territory, provided that such derogation is:

　　三、一方在司法和行政程序方面可以减损本条第一款的规定，包括要求另一方国民在其领土内指定服务地址，或在其领土内指定代理，只要此类减损：

(a)　　necessary to secure compliance with laws and regulations that are not inconsistent with this Chapter; and

　　（一）为确保与符合本章的法律法规相一致所必须；并且

(b)　　not applied in a manner that would constitute a disguised restriction on trade.

　　（二）不以对国际贸易构成变相限制的方式实施。

4.　　Paragraph 1 shall not apply to procedures provided in multilateral agreements to which either Party is a party concluded under the auspices of the WIPO in relation to the acquisition or maintenance of intellectual property rights.

　　四、本条第一款不适用于世界知识产权组织主持制定的有关知识产权取得和维持的、双方为缔约方的多边协定中的程序规定。

Article 11.6: Transparency

第六条　透明度

1.　　To assist with the transparency of the operation of its intellectual property system, each Party shall make its granted or registered patent for invention, utility model, industrial design, plant variety protection, geographical indication and trade mark databases available on the internet.

　　一、为提升知识产权制度运作的透明度，各方应使其已授权或已注册的发明专利、实用新型、工业设计、植物品种保护、地理标识和商标数据库在互联网上可获得。

2.　　In addition, each Party shall endeavour to publish and make available on the internet patent for invention, trade mark, plant variety protection and geographical indication applications.

　　二、另外，各方应努力公开发明专利、商标、植物品种保护和地理标识申请，并使其在互联网上可获得。

Article 11.7: Intellectual Property and Public Health

第七条　知识产权与公众健康

1.　　The Parties recognise the principles established in the Declaration on the TRIPS Agreement and Public Health adopted on 14 November 2001 (hereinafter referred to as the “Doha Declaration”) by the Ministerial Conference of the WTO and confirm that the provisions of this Chapter are without prejudice to the Doha Declaration.

　　一、双方认识到世贸组织部长级会议于2001年11月14日通过的《〈与贸易有关的知识产权协定〉与公共健康宣言》（以下简称《多哈宣言》）中确立的原则，并确认本章的规定不影响《多哈宣言》。

2.　　The Parties reaffirm their commitment to contribute to the international efforts to the implementation of the Decision of the WTO General Council of 30 August 2003 on the implementation of paragraph 6 of the Doha Declaration, as well as the Protocol amending the TRIPS Agreement, done at Geneva on 6 December 2005.

　　二、双方重申在落实2003年8月30日世贸组织总理事会关于实施《多哈宣言》第6段的决定以及2005年12月6日订于日内瓦的《修改〈与贸易有关的知识产权协定〉议定书》的国际努力中做出贡献的承诺。

Article 11.8: Exhaustion

第八条　权利用尽

　　　Nothing in this Chapter shall affect the freedom of the Parties to determine whether, and under what conditions, the exhaustion of intellectual property rights applies.　The Parties agree to further discuss relevant issues relating to the exhaustion of patent rights.

　　本章的任何规定都不得影响各方就是否允许以及在何种条件下允许知识产权权利用尽做出决定的自由。双方同意进一步讨论专利权用尽的相关事宜。

Article 11.9: Procedures on Acquisition and Maintenance

第九条　获得和维持程序

　　　Each Party shall:

　　各方应：

(a)　　continue to work to enhance its examination and registration systems, including through improving examination procedures and quality systems;

　　（一）继续加强知识产权的审查和注册制度，包括完善审查程序和质量体系；

(b)　　provide applicants with a communication in writing of the reasons for any refusal to grant or register an intellectual property right;

　　（二）向申请人提供书面通知，说明拒绝授予或者注册知识产权的理由；

(c)　　provide an opportunity for interested parties to oppose the grant or registration of an intellectual property right, or to seek either revocation, cancellation or invalidation of an existing intellectual property right;

　　（三）向利益相关方提供对授予或注册知识产权提出异议、或者对既有知识产权提出撤销、取消或者无效的机会；

(d)　　require that opposition, revocation, cancellation, or invalidation decisions be reasoned and in writing; and

　　（四）要求对上述关于异议或者撤销、取消和无效的决定以书面形式说明理由；并且

(e)　　for the purposes of this Article, “writing” and “communication in writing” may include writing and communications in an electronic form.

　　（五）就本条而言，“书面”和“书面通知”包括电子形式。

Article 11.10: Amendments, Corrections and Observations on Patent Applications

第十条　专利申请的修改、更正及意见陈述

　　　Each Party shall provide patent applicants with opportunities to make amendments, corrections and observations in connection with their applications in accordance with each Party’s laws, regulations and rules.

　　各方应根据各自国内的法律、法规和规章，向专利申请人提供就其申请进行修改、更正和意见陈述的机会。

Article 11.11: 18 Month Publication

第十一条　18个月公布

　　　Each Party shall publish, and make available online, any patent for invention application promptly after the expiry of 18 months from its filing date or from its earliest priority date, if priority has been claimed, unless the application has been published earlier or has been withdrawn, abandoned or refused.

　　发明专利申请自申请日起满 18 个月后，有优先权日的自最早优先权日起满18个月后，各方应立即公布并且通过互联网向公众提供该申请，除非该申请已经提前公布或者已撤回、放弃或被驳回。

Article 11.12: Types of Signs as Trade Marks

第十二条　作为商标的标识类型

　　　The Parties agree to cooperate on the means to protect types of signs as trade marks, including visual and sound signs.

　　双方同意就可作为商标的标识类型的保护方式开展合作，包括视觉和声音标识。

Article 11.13: Certification and Collective Trade Marks

第十三条　证明商标和集体商标

　　　Each Party shall provide for the protection of both collective and certification trade marks.

　　各方应对集体商标和证明商标提供保护。

Article 11.14: Well-Known Trademarks

第十四条　驰名商标

　　　The Parties shall provide protection for well-known trade marks at least in accordance with Article 16.2 and 16.3 of the TRIPS Agreement and Article 6 bis of the Paris Convention for the Protection of Industrial Property, done at Paris on 20 March 1883.

　　双方应至少根据《与贸易有关的知识产权协定》第16.2条和第16.3条以及1883年3月20日订于巴黎的《保护工业产权巴黎公约》第6条之二的规定，对驰名商标提供保护。

Article 11.15: Geographical Indications

第十五条　地理标识

　　　Each Party recognises that geographical indications may be protected through a trade mark or sui generis system or other legal means.

　　各方承认地理标识可以通过商标制度或专门制度或其它法律途径得到保护。

Article 11.16: Plant Breeders' Rights

第十六条　植物育种者权利

　　　The Parties, through their competent agencies, shall cooperate to encourage and facilitate the protection and development of plant breeders’ rights with a view to:

　　双方应通过其主管部门进行合作，鼓励和便利对植物育种者权利的保护和开发，以期：

(a)　　better harmonising the plant breeders’ rights administrative systems of both Parties, including enhancing the protection of species of mutual interest and exchanging information;

　　（一）更好地协调双方有关植物育种者权利的监管体系，包括加强对共同关注物种的保护，进行信息交换；

(b)　　reducing unnecessary duplicative procedures between their respective plant breeders’ rights examination systems; and

　　（二）减少植物育种者权利审查体系间不必要的重复程序；并且

(c)　　contributing to the reform and further development of the international plant breeders’ rights laws, standards and practices, including within the South East Asian region.

　　（三）推动改革和进一步完善国际间有关植物育种者权利的法律、标准和实践，包括在东南亚地区内。

Article 11.17: Genetic Resources, Traditional Knowledge and Folklore

第十七条　遗传资源、传统知识和民间文艺

1.　　Subject to each Party’s international obligations and its laws, the Parties may establish appropriate measures to protect genetic resources, traditional knowledge and folklore.

　　一、双方可以根据其国际义务和国内法律，采取适当措施保护遗传资源、传统知识和民间文艺。

2.　　The Parties agree to further discuss relevant issues concerning genetic resources, traditional knowledge and folklore, taking into account future developments in their respective laws and in multilateral agreements.

　　二、双方同意根据多边协定和各自国内法律未来的发展，进一步讨论遗传资源、传统知识和民间文艺的相关问题。

Article 11.18: Protection of Undisclosed Information²

第十八条　未披露信息的保护²

²It is understood that, consistent with the TRIPS Agreement, protection of undisclosed information includes protection of confidential information that is otherwise undisclosed and provided in commercial situations, such as architectural drawings or proprietary commercial-in-confidence information.

²根据《与贸易有关的知识产权协定》，对未披露信息的保护包括对商业情况下未披露或未提供的秘密信息的保护，例如建筑图纸或专有的商业秘密信息。

1.　　In the course of ensuring effective protection against unfair competition, each Party shall protect undisclosed information in accordance with paragraph 2.

　　一、在保证进行有效保护、反对不正当竞争的过程中，各方应根据本条第二款对未披露信息给予保护。

2.　　Natural and legal persons shall have the possibility of preventing information lawfully within their control from being disclosed to, acquired by, or used by others without their consent in a manner contrary to honest commercial practices³, so long as such information:

　　二、自然人和法人应有可能防止其合法控制的信息在未经其同意的情况下以违反诚实商业行为³的方式向他人披露，或被他人取得或使用，只要此类信息：

³For the purposes of this provision, “a manner contrary to honest commercial practices” shall mean, at least, practices such as breach of contract, breach of confidence and inducement to breach, and includes the acquisition of undisclosed information by third parties who knew, or were grossly negligent in failing to know, that such practices were involved in the acquisition.

³就本规定而言，“违反诚实商业行为的方式”应至少是指违反合同、违反保密和诱导违反的行为，包括通过第三方取得未披露的信息，而该第三方知道或因严重疏忽未能知道未披露信息的取得涉及此类行为。

(a)　　is secret, in that it is not, as a body or in the precise configuration and assembly of its components, generally known among or readily accessible to persons within the circles that normally deal with the kind of information in question;

　　（一）是秘密的，即作为一个整体或就其各部分的精确排列和组合而言，该信息尚不为通常处理此类信息的人群范围所普遍知晓，或不易为其获得；

(b)　　has commercial value because it is secret; and

　　（二）因其秘密而具有商业价值；并且

(c)　　has been subject to reasonable steps under the circumstances, taken by the person lawfully in control of the information, to keep it secret.

　　（三）在此种情况下，已由其合法控制人采取合理措施以保持其秘密性。

Article 11.19: Collective Management of Copyright

第十九条　著作权集体管理

　　　Each Party shall foster the establishment of appropriate bodies for the collective management of copyright and shall encourage such bodies to operate in a manner that is efficient, publicly transparent and accountable to their members.

　　各方应促进建立适当的著作权集体管理组织，并且鼓励其以高效、公开透明和对其成员负责的方式进行运作。

Article 11.20: Service Provider Liability

第二十条　服务提供商责任

　　　Each Party may take appropriate measures to limit the liability of, or remedies available against, internet service providers for copyright infringement by the users of their online services or facilities, where the internet service providers take action to prevent access to the materials infringing copyright in accordance with the laws and regulations of the Party.

　　各方可以采取适当措施，在互联网服务提供商根据其法律法规采取行动防止访问版权侵权材料的情况下，限制互联网服务提供商因其用户使用其服务或设施而为发生的版权侵权承担侵权责任，或针对这种情况的可用救济进行限制。

Article 11.21: Enforcement

第二十一条　执法

1.　　Each Party commits to implementing effective intellectual property enforcement systems with a view to eliminating trade in goods and services infringing intellectual property rights.

　　一、各方承诺采取有效的知识产权执法体系，以消除侵犯知识产权的货物贸易和服务贸易。

2.　　Each Party shall provide for criminal procedures and penalties in accordance with the TRIPS Agreement to be applied at least in cases of wilful trademark counterfeiting or copyright piracy on a commercial scale.　Remedies available shall include imprisonment and/or monetary fines sufficient to provide a deterrent, and consistent with the level of penalties applied for crimes of a corresponding gravity.

　　二、各方根据《与贸易有关的知识产权协定》，至少应对具有商业规模的恶意假冒商标或版权盗版行为规定刑事程序和处罚。可使用的救济应包括足以起到威慑作用的监禁和（或）罚金，并应与适用于同等严重犯罪所受到的处罚水平一致。

Article 11.22: Border Measures

第二十二条　边境措施

1.　　Each Party shall ensure that the requirements necessary for a right holder to initiate procedures to suspend the release of goods suspected of being counterfeit trade mark or pirated copyright goods shall not unreasonably deter recourse to these procedures.

　　一、各方应确保对于权利人启动中止放行涉嫌使用假冒商标的商品或盗版商品的程序要求不得不合理地妨碍使用这些程序。

2.　　Where its competent authorities have made a determination that goods are counterfeit trade mark or pirated copyright goods (or have detained such suspected goods), each Party shall provide that its competent authorities have the authority to inform the right holder of at least the names and addresses of the consignor and the consignee, and of the quantity of the goods in question.

　　二、当其主管部门认定货物为假冒商标商品或盗版商品（或者已扣留可疑货物），各方应规定其主管部门有权至少将发货人、收货人的姓名、地址、以及涉案货物数量告知权利人。

3.　　Each Party shall provide that its customs authorities may initiate border measures ex officio with respect to imported or exported goods suspected of being counterfeit trade mark or pirated copyright goods.

　　三、各方应规定其海关对于进口或出口的涉嫌假冒商标的商品或盗版商品可依职权启动边境措施。

4.　　Each Party shall ensure that its laws, regulations or policies permit relevant competent authorities, on receipt of information or complaints, to take measures in accordance with its laws to prevent the export of counterfeit trademark or pirated copyright goods.

　　四、各方应确保其法律、法规或政策允许相关主管部门在接到信息或投诉时根据其法律采取措施，防止假冒商标商品或盗版商品出口。

5.　　The Parties may exclude from the application of this Article the importation or exportation of small quantities of goods which are considered to be of a non-commercial nature.

　　五、对于少量非商业性货物的进出口，双方可排除适用本条。

Article 11.23: Cooperation – General

第二十三条　一般性合作

1.　　Each Party shall, on request of the other Party, exchange information:

　　一、应另一方要求，各方应交流以下信息：

(a)　　relating to intellectual property policies in their respective administrations;

　　（一）各自政府有关知识产权政策的信息；

(b)　　on changes to, and developments in the implementation of, their national intellectual property systems; and

　　（二）国家知识产权制度的变化及实施情况的信息；以及

(c)　　on the administration and enforcement of intellectual property rights.

　　（三）有关知识产权管理和执法的信息。

2.　　Each Party shall, on request of the other Party, consider intellectual property rights issues and questions of interest to private stakeholders.

　　二、应另一方要求，各方应考虑私营利益相关方感兴趣的知识产权问题。

3.　　The Parties will consider opportunities for continuing cooperation under established arrangements in areas of mutual interest that aim to improve the operation of the intellectual property rights system, including administrative processes, in each other’s jurisdictions.　This cooperation could include, but is not necessarily limited to:

　　三、双方将考虑，在已建立的合作框架下就共同感兴趣的领域继续合作，以在彼此管辖范围内改善知识产权制度的运作，包括行政程序。合作内容可以包括，但不一定限于：

(a)　　work sharing in patent examination;

　　（一）分享开展专利审查工作；

(b)　　enforcement of intellectual property rights;

　　（二）知识产权执法；

(c)　　raising public awareness on intellectual property issues;

　　（三）提高公众的知识产权意识；

(d)　　improvement of patent examination quality and efficiency; and

　　（四）提高专利审查质量和效率；以及

(e)　　reducing the complexity and cost of obtaining the grant of a patent.

　　（五）降低获得专利授权的复杂性和成本。

4.　　Each Party will consider requests for assistance from the other Party in a public health crisis in accordance with Article 11.7.

　　四、各方将根据本章第七条考虑另一方在公共健康危机时提出的帮助请求。

Article 11.24: Consultative Mechanism: Committee on Intellectual Property

第二十四条　协商机制－知识产权委员会

1.　　For the purposes of the effective implementation and operation of this Chapter, the Parties hereby establish a Committee on Intellectual Property (“the Committee”).

　　一、就本章的有效执行和实施而言，双方特此设立知识产权委员会（以下简称“委员会”）。

2.　　The functions of the Committee shall be to:

　　二、委员会的职能应为：

(a)　　review and monitor the implementation and operation of this Chapter;

　　（一）审查和监督本章的执行和实施；

(b)　　discuss any issues related to intellectual property covered by this Chapter; and

　　（二）讨论与本章涵盖的知识产权相关的任何问题；以及

(c)　　report its findings to the FTA Joint Commission.

　　（三）向自贸协定联合委员会报告其调查结果。

3.　　The Committee shall be composed of representatives of each Party.

　　三、委员会应由各方代表组成。

4.　　The Committee shall meet at such venues and times and by such means as may be agreed by the Parties.

　　四、委员会应按双方商定的时间、地点和形式举行会议。