Table Of ContentThe General Exception Clauses
of the TRIPS Agreement
PromotingSustainableDevelopment
The general exception clauses of the TRIPS Agreement of the World
Trade Organization permit exceptions to copyrights and to the rights
conferredbytrademarks,industrialdesignsandpatents.Theseclauses
areintendedtofacilitateaccesstodiverseformsofproprietaryknowl-
edge and therefore foster the interdependent pillars of sustainable
development: economic progress, realization of human rights and the
conservationoftheenvironment.
In this book Edson Beas Rodrigues Jr. argues that the TRIPS
Agreement,initscurrentconfiguration,doesnothindertheestablish-
ment of exceptions to intellectual property rights, devised to promote
vital socio-economic interests such as the freedom to carry out cre-
ativeandinventiveactivities,freedomofexpression,thestrengthening
of free competition and increased access to educational materials by
underprivilegedstudentsandtotechnicalknowledgeforhumanitarian
purposes.
edson beas rodrigues jr. is a lawyer based in Brazil. Between
2004and2010,hewasaResearchFellowattheInstitutodeDireitodo
Come´rcioInternacionaleDesenvolvimento,inSa˜oPaulo,Brazil.
The General Exception Clauses
of the TRIPS Agreement
Promoting Sustainable Development
Edson Beas Rodrigues Jr.
cambridge university press
Cambridge,NewYork,Melbourne,Madrid,CapeTown,
Singapore,Sa˜oPaulo,Delhi,MexicoCity
CambridgeUniversityPress
TheEdinburghBuilding,CambridgeCB28RU,UK
PublishedintheUnitedStatesofAmericabyCambridgeUniversityPress,
NewYork
www.cambridge.org
Informationonthistitle:www.cambridge.org/9781107017481
(cid:2)C EdsonBeasRodriguesJr.2012
Thispublicationisincopyright.Subjecttostatutoryexception
andtotheprovisionsofrelevantcollectivelicensingagreements,
noreproductionofanypartmaytakeplacewithoutthewritten
permissionofCambridgeUniversityPress.
Firstpublished2012
PrintedintheUnitedKingdomattheUniversityPress,Cambridge
AcataloguerecordforthispublicationisavailablefromtheBritishLibrary
LibraryofCongressCataloguinginPublicationdata
RodriguesJr.,EdsonBeas(RodriguesJunior)
ThegeneralexceptionclausesoftheTRIPSagreement:promotingsustainable
development/EdsonBeasRodriguesJr.
p. cm.
ISBN978-1-107-01748-1(hardback)
1.AgreementonTrade-RelatedAspectsofIntellectualPropertyRights
(1994) 2.Intellectualproperty(Internationallaw) 3.Foreigntrade
regulation. 4.Sustainabledevelopment–Lawandlegislation. I.Title.
K1401.R63 2012
346.04(cid:3)8–dc23 2012002688
ISBN978-1-107-01748-1Hardback
CambridgeUniversityPresshasnoresponsibilityforthepersistenceor
accuracyofURLsforexternalorthird-partyinternetwebsitesreferredto
inthispublication,anddoesnotguaranteethatanycontentonsuch
websitesis,orwillremain,accurateorappropriate.
To my grandmother, Elisa,
my mother, Cida, and
my sister, Keila
for their selfless
and constant support
Isolatedknowledgeisalamptonoavail;however,whenmovingfrom
braintobrain,itturnsintoscienceandculture.
EmmanuelandFranciscoCaˆndidoXavier
AhundredtimeseverydayItellmyselfthatmyinnerandouterlifeare
basedonthelaborsofothermen,livinganddead,andthatImustexert
myselfinordertogiveinthesamemeasureasIhavereceived.
AlbertEinstein
Contents
Listoftables pagexii
Acknowledgements xiii
Tableofcases xiv
ListofTreaties,DeclarationsandResolutions xxii
ListofStatutes xxvi
Listofabbreviations xxxi
1 Introduction 1
1.1 Relationshipbetweensustainabledevelopmentandaccess
toknowledge 1
1.2 Roleofintellectualpropertyrightsinrestrictingaccess
toknowledge 12
1.3 Purposeandplanofthework 15
1.4 Methodologicalapproach 24
PartI Determiningthenormativemeaningofthe
generalexceptionclausesoftheTRIPSAgreement 27
2 Thecustomaryrulesoftreatyinterpretationandthe
elementsinlightofwhichthegeneralexceptionclauses
ofTRIPSshouldbeinterpreted 29
Introduction 29
2.1 Ordinarymeaningattributabletothetermsofthetreaty 32
2.2 Principleofgoodfaith 33
2.2.1 Principleofeffectivenessintheinterpretationoftreaties 34
2.2.2 Doctrineofabuseofrights 36
2.3 ObjectandpurposesoftheWTOsystemandtheTRIPS
Agreement 39
2.3.1 GeneralobjectivesoftheWTOsystem 41
2.3.2 SpecificobjectivesoftheTRIPSAgreement 42
2.3.3 Article8oftheTRIPSAgreementandtheguiding
principlesofthegeneralexceptionclauses 44
2.3.3.1 ObjectivespursuedbytheexceptionstoIPRs 45
2.3.3.2 Thenecessitystandard 46
2.3.3.2.1Thetransformationofthenecessity
standardintoaproportionalitytest 54
vii
viii Contents
2.3.3.2.2Thenecessitystandardinthecontextof
art.8oftheTRIPSAgreement 61
2.3.3.3 Theconsistencystandardofart.8oftheTRIPS
Agreement 63
2.3.3.3.1Additionalobligationsthatshallbe
observedbycopyrightexceptions 64
2.3.3.3.2Additionalobligationsthatshallbe
observedbytheexceptionstotherights
conferredbytrademarks 66
2.3.3.3.3Additionalobligationsthatshallbe
observedbytheexceptionstotherights
conferredbyprotectedindustrialdesigns 66
2.3.3.3.4Additionalobligationsthatshallbe
observedbytheexceptionstothe
exclusiverightsconferredbyapatent 67
2.3.3.3.4.1 Guaranteeofprotectiontoall
categoriesofinventionsthat
shallbeprotectedbyallWTO
Members 67
2.3.3.3.4.2 Minimumtermofprotection
ofpatents 68
2.3.3.3.4.3 Respectfortheareaoccupied
bytheTRIPScompulsory
licensingsystem 68
2.3.3.3.4.4 Non-discriminationbasedon
nationalorigins,thefieldof
technologyandthemannerof
exploitationoftheinvention 70
2.4 ContextofthegeneralexceptionclausesoftheTRIPSAgreement 74
2.4.1 InterpretativeagreementsandsubsequentStatepractices 75
2.4.2 Rulesofinternationallawapplicableintherelations
betweentheparties 78
2.4.2.1 Principleofproportionality 82
2.5 Supplementarymeansofinterpretation 87
3 Determiningthenormativemeaningofarts.17,26(2)
and30oftheTRIPSAgreement 90
3.1 Introduction 90
3.2 Art.30ofTRIPSaccordingtoCanada–PharmaceuticalPatents 90
3.2.1 Thefirststepofthetestofart.30 91
3.2.2 Thesecondstepofthetestofart.30 93
3.2.3 Thethirdstepofthetestofart.30 95
3.2.4 ObstaclescreatedbyCanada–PharmaceuticalPatents 96
3.3 Reframingthemeaningofart.30inthelightofthetreaty
interpretationrulesoftheVCLT 97
3.3.1 Thefirststepofthetest 97
3.3.2 Thesecondstepofthetest 100
3.3.3 Thethirdstepofthetest 103
