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）建立和维护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水平，为知识产权的权利人和使用者提供确定性；

(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、工业品外观设计、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》（TRIPS 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。每一缔约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: Intellectual Property and Public Health

第五条　知识产权与公众健康

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

　　缔约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》。

Article 11.6: Exhaustion

第六条　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.

　　本章的任何规定都不得影响缔约双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。缔约双方同意进一步讨论专利权用尽的相关事宜。

Article 11.7: Procedures on Acquisition and Maintenance

第七条　获得和维持程序

　　　Each Party shall:

　　每一缔约方应：

(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；以及

(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 11.8: Patentable Subject Matter

第八条　可授予专利的客体

1.　　Subject to the provisions of paragraphs 2 and 3, patents shall be available for any inventions, whether products or processes, in all fields of technology, provided that they are new, involve an inventive step and are capable of industrial application.

　　一、在符合第二款和第三款的前提下，所有技术领域的任何发明，不论是产品还是方法，只要是新颖的、包含创造性并且能在产业上应用的，都可以获得专利。

2.　　Members may exclude from patentability inventions, the prevention within their territory of the commercial exploitation of which is necessary to protect ordre public or morality, including to protect human, animal or plant life or health or to avoid serious prejudice to the environment, provided that such exclusion is not made merely because the exploitation is prohibited by their law.

　　二、缔约双方为了保护公共秩序或公德，包括保护人、动物或植物的生命或健康，或者为了避免对环境造成严重损害，有必要制止某些发明在其领土内进行商业上实施的，可以将这些发明排除在可获专利之外，只要这种排除并非仅仅因为该缔约方的法律禁止其实施。

3.　　Members may also exclude from patentability:

　　三、缔约双方还可排除下列各项的可专利性：

(a)　　diagnostic, therapeutic, and surgical methods for the treatment of humans or animals; and

　　（一）医治人类或动物的诊断、治疗和外科手术方法；

(b)　　plants and animals other than micro-organisms, and essentially biological processes for the production of plants or animals other than non-biological and microbiological processes.

　　（二）植物和动物（微生物除外），和生产植物或动物的基本的生物学方法（非生物学方法和微生物学方法除外）。

Article 11.9: Amendments, Corrections and Observations on Patent Applications

第九条　专利申请的修改、更正和意见陈述

　　　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.

　　每一缔约方应根据各自法律、法规和规章，向专利申请者提供就其申请进行修改、更正和意见陈述的机会。

Article 11.10: Transparency

第十条　透明度

　　　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, trademark and geographical indication databases available on the internet.

　　为了提高知识产权制度运作的透明度，每一缔约方应使其已授权或已注册的发明专利、实用新型、工业品外观设计、植物品种、地理标志和商标数据库在互联网上可获取。

Article 11.11: Types of Signs as Trademarks

第十一条　商标的标识类型

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

　　缔约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 11.12: Well-Known Trademarks

第十二条　驰名商标

　　　The Parties shall provide protection for well-known trademarks 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.

　　缔约双方应至少根据《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》第六条之二的规定，对驰名商标提供保护。

Article 11.13: Geographical Indications

第十三条　地理标志

1.　　Each Party recognizes that geographical indications may be protected through a trade mark or sui generis system or other legal means.²

　　一、每一缔约方承认地理标志可以通过商标制度或专门制度或其它法律途径得到保护²。

²The Parties exchanged English translation of their existing legislations on geographical indications for reference.　After entry into force of any new legislation and/or amendments to the existing legislations, the Parties agree to provide reliable English translation thereof for reference.

²缔约双方交换了关于地理标志的现有法律法规的英文版本以供参考。就地理标志的任何新的法律法规开始实施和（或）对法律法规进行修订后，缔约双方同意向对方提供可靠的英文版本以供参考。

2.　　For the purposes of this Agreement, “geographical indications” are indications which identify a product as originating in the territory of a Party, or a region or a locality in that territory, where a given quality, reputation or other characteristic of the product is essentially attributable to its geographical origin.

　　二、本协定中，“地理标志”是用于明确商品原产于一方的领土，或领土内的一个区域或一个地方的标志，且该商品的特定质量、声誉或其他特性本质上归因于其地理来源。

3.　　Without prejudice to Articles 22 and 23 of the TRIPS Agreement, the Parties shall take all necessary measures, in accordance with this Agreement, to ensure mutual protection of the geographical indications referred to in paragraph 2 that are used to refer to goods originating in the territory of the Parties.　Each Party shall provide interested parties with the legal means to prevent the use of such geographical indications for identical or similar goods not originating in the place indicated by the geographical indication in question.

　　三、在不妨碍《与贸易有关的知识产权协定》第22条和第23条的情况下，缔约双方应采取所有必要措施，在符合本协定的情况下，确保对第二款所涉及的用于指示原产自缔约双方领土的商品的地理标志给予相互保护。每一缔约方应赋予利益相关方法律手段以防止这些地理标志用于并非原产自上述地理标志所指明地域的相同或类似商品。

Article 11.14: Plant Breeders' Rights

第十四条　植物育种者的权利

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

　　缔约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; and

　　（一）更好地协调双方有关植物育种者权利的监管体系，包括加强符合双方共同利益的物种的保护，进行信息交换；

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

　　（二）减少植物育种者权利审查体系间不必要的重复程序。

Article 11.15: Collective Management of Copyright

第十五条　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.

　　每一缔约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 11.16: Genetic Resources, Traditional Knowledge and Folklore

第十六条　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）缔约双方可以根据各自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 explore the possibility 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）缔约双方同意根据多边协定和各自国内法律未来的发展，探索进一步讨论遗传资源、传统知识和民间文艺的相关问题的可能性。

Article 11.17: Enforcement

第十七条　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、每一缔约方承诺实施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、每一缔约方根据《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 11.18：Cooperation – General

第十八条　一般性合作

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

　　一、应另一方要求，每一缔约方应交流以下信息：

(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，每一缔约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、缔约双方将考虑，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）开展专利审查工作共享；

(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。