RESTRICTED
PREPARATORY COMMITTEE PC/IPL/7/Add.1
FOR THE 25November 1994
WORLD TRADE ORGANIZATION
(94-2537)
SUB-COMMITTEE ONINSTITUTIONAL,
PROCEDURAL AND LEGAL MATTERS
INFORMAL CONTACT GROUP ONTRIPS
Report bytheChairman asapproved bytheSub-Committee
on18November
Addendum
This addendum reproduces theinformal note bytheSecretariat of19July1994, prepared for
theInformal Contact Group onTRIPS, ontheprovisions oftheTRIPS Agreement which laydown
notification obligations forMembers oftheWTO. Italsotakes account oftheaddendum tothatnote
ofthesame date.PC/IPL/7/Add.1
Page 2
TRIPS AGREEMENT: PROVISIONS ONNOTIFICATION
Note bytheSecretariat
A. TRIPS Notification Obligations notReferring toProvisions ofOther IPConventions
1. Article 63.2: National laws andregulations pertaining totheavailability, scope, acquisition,
enforcement andprevention oftheabuse ofIPRs.
2. Article 4(d): International agreements relating totheprotection ofintellectual property which
entered intoforce prior totheentry intoforce oftheWTO Agreement, onthebasis ofwhich
aMember seeks tojustify anexception tom.f.n. treatment.
3. Article 69: Contact points intheadministrations ofMembers established with aview to
cooperation intheelimination oftrade ininfringing goods.
B. Notification Obligations Explicitly Mentioned inTRIPS andReferring toProvisions ofOther
IPConventions
4. Article 1.3: Any Member making exceptions ofthesortprovided forinArticles 5(3) and
6(2) oftheRome Convention tothenormal criteria fordetermining beneficiaries entitled to
TRIPS treatment isrequired tomake anotification asforeseen inthose provisions totheTRIPS
Council. (The textoftherelevant provisions oftheRome Convention isreproduced inthe
Annex tothisNote.)
5. Article 3.1: AnyMember making exceptions totherequirement togivenational treatment
ofthesortprovided forinArticle 6oftheBerne Convention orArticle 16(1)(b) oftheRome
Convention isrequired tomake anotification asforeseen inthose provisions totheTRIPS
Council. (The texts oftherelevant provisions oftheBerne andRome Conventions are
reproduced intheAnnex.)
6. Article 63.2: TheTRIPS Council isrequired toconsider, inconnection withtheconsultations
with WIPO ontheestablishment ofacommon register oflaws andregulations, anyaction
requiredregardingnotificationspursuanttotheobligationsundertheTRIPSAgreementstemming
from theprovisions ofArticle 6teroftheParis Convention. Article 6terconcerns protection
against theuseorregistration astrademarks, without authorization, ofstate emblems, official
hallmarks andtheemblems ofintergovernmental organizations. (The textoftherelevant
provisions ofArticle 6teroftheParis Convention isreproduced intheAnnex.)
C. Other Notification Provisions ofIPConventions Incorporated byReference intotheTRIPS
Agreement, butnotExplicitly Referred toinTRIPS
7. Article 9.1: Article 9.1oftheTRIPS Agreement requires Members tocomply with
Article 14bis(2)(c) andArticle 14bis(3)oftheBerne Convention. These provisions dealwith
thesituation where there isapresumption thatauthors who have contributed tothemaking
ofacinematographic work have consented, intheabsence ofanycontract tothecontrary, to
certain ways inwhich thefilm may beexploited. Ifacountry 'slegislation requires thatthe
consent oftheauthors must have been inwriting, Article 14bis2(c)requires thatcountry toPC/IPL/7/Add.1
Page 3
notify theDirector General ofWIPO. Article 14bis(3)oftheBerne Convention requires that,
ifacountry 'slawdoes notmake thepresumption binding ontheprincipal director ofthefilm,
itmust notify theDirector General oftheWIPO. (For fulltextofrelevant Berne provision,
seeAnnex.)
8. Article9.1:Article9.1oftheTRIPSAgreementrequiresMemberstocomplywithArticle15(4)
oftheBerne Convention. This provision oftheBerne Convention isdirected attheprotection
offolklore. Itdeals with unpublished works where theidentity oftheauthor isunknown, but
where there isground topresume thatheorsheisanational ofaBerne country (under TRIPS
ofaWTO Member). Insuch asituation, thecountry concerned may designate acompetent
authority toprotect theinterests oftheauthor. Theauthority designated must benotified to
theDirector General oftheWIPO giving fullinformation.
9. Article9.1:Article9.1oftheTRIPSAgreementrequiresMemberstocomplywiththeAppendix
totheBerne Convention, which contains special provisions fordeveloping countries. The
Appendix contains anumber ofnotification procedures (fortextofrelevant provisions, see
Annex):
- Article I:Paragraph 1requires adeveloping country wishing toavail itself ofthe
possibilities provided forinArticle IIand/or Article IIIoftheAppendix todeposit a
notification ordeclaration with theDirector General ofWIPO atthetime ofratification
oraccession, oratanytime thereafter. Paragraph 2deals with theduration ofsuch
notifications andthepossibility torenew them. Paragraph 5deals with thepossibility
foracountry tomake notifications inrespect ofterritories forwhich ithasinternational
responsibility.
- Article II(3)(b): This provision deals with thesituation where adeveloping country
secures theagreement ofalldeveloped countries inwhich alanguage isingeneral use
toprovide forashorter period than theusual three years after publication forthe
application ofcompulsory licences tosubstitute fortheexclusive right oftranslation.
Theprovision requires thattheDirector General ofWIPO shall benotified ofanysuch
agreement bythegovernments which have concluded it.
- Article IV(2): This provision deals with thesituation where anapplicant fora
compulsory licence ofthetypes provided forinArticles IIandIIIcannot findtheowner
oftheright inquestion. Insuch asituation, heorshemust send acopy ofthe
application toanynational orinternational information centre which may have been
designated bythegovernment ofthecountry inwhich thepublisher ofthework
concerned isbelieved tohave hisprincipal place ofbusiness. Theparagraph provides
thatsuch information centres must have been designated inanotification deposited
with theDirector General ofWIPO bythegovernment concerned.
- Article IV(4)(c)(iv): This provision allows developing countries toexport copies of
translations made under compulsory licence, provided thatanumber ofconditions are
met: thelanguage ofthetranslation must notbeEnglish, French orSpanish; thecopies
mustbesentforteaching,scholarshiporresearchpurposes;theremustbenocommercial
purpose; andthere must beanagreement between thecountry granting thelicence
andthattowhich thecopies aresent. Theprovision requires thatsuch anagreement
shall benotified totheDirector General ofWIPO.
- Article V:This Article provides that, atthetime ofratifying oracceding totheParis
ActoftheBerne Convention, adeveloping country maychoose, bywayofadeclaration,PC/IPL/7/Add.1
Page 4
the"ten-year régime" which appeared inthe1896 ActoftheBerne Convention for
translations instead ofthecompulsory licensing system provided forinArticle IIof
theAppendix.
10. Articles 1.3,3.1and14.6: These provisions allow aTRIPS Member toavail itself ofexceptions
permitted under theRome Convention. Article 17oftheRome Convention allows astatewhich,
on26October 1961 granted protection toproducers ofphonograms solely onthebasis ofthe
criterion offixation tocontinue todoso,provided itmakes anotification tothiseffect deposited
with theSecretary-General oftheUnited Nations atthetime ofratification, acceptance or
accession. (For textofArticle 17,seeAnnex.)
11. Articles 1.3,3.1and14.6: These TRIPS provisions relate toexceptions under theRome
Convention. Article 18oftheRome Convention provides thatanystate which hasinvoked
certain ofthese exceptions bymeans ofnotifications under Articles 5(1), 6(2), 16(1) or17may,
byafurther notification deposited with theSecretary-General oftheUnited Nations, reduce
thescope oforwithdraw thenotification inquestion. (For textofrelevant provision ofRome
Convention, seeAnnex.)PC/IPL/7/Add.1
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ANNEX
PROVISIONS OFTHE ROME, BERNE AND PARIS CONVENTIONS REFERRED TO
Rome Convention
Article 5
1. Each Contracting State shall grant national treatment toproducers ofphonograms if
anyofthefollowing conditions ismet:
(a) theproducer ofthephonogram isanational ofanother Contracting State (criterion of
nationality);
(b) thefirstfixationofthesoundwasmadeinanotherContractingState(criterionoffixation);
(c) thephonogramwasfirstpublishedinanotherContractingState(criterionofpublication).
2. Ifaphonogram wasfirstpublished inanon-contracting State butifitwasalsopublished,
within thirty days ofitsfirstpublication, inaContracting State (simultaneous publication), itshall be
considered asfirstpublished intheContracting State.
3. Bymeans ofanotification deposited with theSecretary-General oftheUnited Nations,
anyContracting State may declare thatitwillnotapply thecriterion ofpublication or,alternatively,
thecriterion offixation. Such notification may bedeposited atthetime ofratification, acceptance
oraccession, oratanytime thereafter; inthelastcase, itshall become effective sixmonths after it
hasbeen deposited.
Article 6
1. Each Contracting State shall grant national treatment tobroadcasting organisations if
either ofthefollowing conditions ismet:
(a) theheadquarters ofthebroadcasting organisation issituated inanother Contracting State;
(b) thebroadcast wastransmitted from atransmitter situated inanother Contracting State.
2. Bymeans ofanotification deposited with theSecretary-General oftheUnited Nations,
anyContracting State may declare thatitwill protect broadcasts only iftheheadquarters ofthe
broadcasting organisation issituated inanother Contracting State andthebroadcast wastransmitted
from atransmitter situated inthesame Contracting State. Such notification may bedeposited atthe
time ofratification, acceptance oraccession, oratanytime thereafter; inthelastcase, itshall become
effective sixmonths after ithasbeen deposited.PC/IPL/7/Add.1
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Article 16(1) (b)and(2)
1. AnyState, upon becoming party tothisConvention, shall bebound byalltheobligations
andshall enjoy allthebenefits thereof. However, aState may atanytime, inanotification deposited
with theSecretary-General oftheUnited Nations, declare that:
(b) asregards Article 13,itwillnotapply item (d)ofthatArticle; ifaContracting State
makes such adeclaration, theother Contracting States shall notbeobliged togrant theright referred
toinArticle 13,item (d),tobroadcasting organisations whose headquarters areinthatState.
2. Ifthenotification referred toinparagraph 1ofthisArticle ismade after thedateof
thedeposit oftheinstrument ofratification, acceptance oraccession, thedeclaration willbecome effective
sixmonths after ithasbeen deposited.
[Article 13(d)
Broadcasting organisations shall enjoy theright toauthorise orprohibit:
(d) thecommunication tothepublic oftheir television broadcasts ifsuch communication
ismade inplaces accessible tothepublic against payment ofanentrance fee; itshall beamatter for
thedomestic lawoftheState where protection ofthisright isclaimed todetermine theconditions under
which itmay beexercised.]
Article 17
Any State which, onOctober 26,1961, grants protection toproducers ofphonograms solely
onthebasis ofthecriterion offixation may, byanotification deposited with theSecretary-General
oftheUnited Nations atthetime ofratification, acceptance oraccession, declare thatitwillapply,
forthepurposes ofArticle 5,thecriterion offixation alone and,forthepurposes ofparagraph 1(a)(iii)
and(iv)ofArticle 16,thecriterion offixation instead ofthecriterion ofnationality.
Article 18
Any State which hasdeposited anotification under paragraph 3ofArticle 5,paragraph 2of
Article 6,paragraph 1ofArticle 16orArticle 17,may, byafurther notification deposited with the
Secretary-General oftheUnited Nations, reduce itsscope orwithdraw it.
Berne Convention
Article 6
(1) Where anycountry outside theUnion failstoprotect inanadequate manner theworks
ofauthors who arenationals ofoneofthecountries oftheUnion, thelatter country may restrict the
protection given totheworks ofauthors who are,atthedateofthefirstpublication thereof, nationals
oftheother country andarenothabitually resident inoneofthecountries oftheUnion. Ifthecountry
offirstpublication avails itself ofthisright, theother countries oftheUnion shall notberequired toPC/IPL/7/Add.1
Page 7
grant toworks thussubjected tospecial treatment awider protection than thatgranted tothem inthe
country offirstpublication.
(2) Norestrictions introduced byvirtue ofthepreceding paragraph shall affect therights
which anauthor may have acquired inrespect ofawork published inacountry oftheUnion before
such restrictions were putintoforce.
(3) Thecountries oftheUnion which restrict thegrant ofcopyright inaccordance with
thisArticle shall give notice thereof totheDirector General oftheWorld Intellectual Property
Organization (hereinafter designated as"theDirector General") byawritten declaration specifying
thecountries inregard towhich protection isrestricted, andtherestrictions towhich rights ofauthors
whoarenationals ofthose countries aresubjected. TheDirector General shall immediately communicate
thisdeclaration toallthecountries oftheUnion.
Article 14bis
(1) Without prejudice tothecopyright inanywork which may have been adapted or
reproduced, acinematographic work shall beprotected asanoriginal work. Theowner ofcopyright
inacinematographic work shall enjoy thesame rights astheauthor ofanoriginal work, including the
rights referred tointhepreceding Article.
(2)(a) Ownership ofcopyright inacinematographic work shall beamatter forlegislation
inthecountry where protection isclaimed.
(b) However, inthecountries oftheUnion which, bylegislation, include among theowners
ofcopyright inacinematographic work authors who have brought contributions tothemaking ofthe
work, such authors, ifthey have undertaken tobring such contributions, may not,intheabsence of
anycontrary orspecial stipulation, object tothereproduction, distribution, public performance,
communication tothepublic bywire, broadcasting oranyother communication tothepublic, orto
thesubtitling ordubbing oftexts, ofthework.
(c) Thequestion whether ornottheform oftheundertaking referred toabove should, for
theapplication ofthepreceding subparagraph (b),beinawritten agreement orawritten actofthesame
effect shall beamatter forthelegislation ofthecountry where themaker ofthecinematographic work
hashisheadquarters orhabitual residence. However, itshall beamatter forthelegislation ofthecountry
oftheUnion where protection isclaimed toprovide thatthesaidundertaking shall beinawritten
agreement orawritten actofthesame effect. Thecountries whose legislation soprovides shall notify
theDirector General bymeans ofawritten declaration ,which willbeimmediately communicated
byhimtoalltheother countries oftheUnion.
(d) By"contrary orspecial stipulation" ismeant anyrestrictive condition which isrelevant
totheaforesaid undertaking.
(3) Unlessthenationallegislationprovidestothecontrary,theprovisionsofparagraph(2)(b)
above shall notbeapplicable toauthors ofscenarios, dialogues andmusical works created forthemaking
ofthecinematographic work, ortotheprincipal director thereof. However, those countries oftheUnion
whose legislation does notcontain rules providing fortheapplication ofthesaidparagraph (2)(b)to
such director shall notify theDirector General bymeans ofawritten declaration ,which willbe
immediately communicated byhimtoalltheother countries oftheUnion.PC/IPL/7/Add.1
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Article 15(4)
(4)(a)Inthecaseofunpublished works where theidentity oftheauthor isunknown, butwhere
there isevery ground topresume thatheisanational ofacountry oftheUnion, itshall beamatter
forlegislation inthatcountry todesignate thecompetent authority which shall represent theauthor and
shall beentitled toprotect andenforce hisrights inthecountries oftheUnion.
(b)Countries oftheUnion which make such designation under theterms ofthisprovision
shall notify theDirector General bymeans ofawritten declaration giving fullinformation concerning
theauthority thusdesignated. TheDirector General shall atonce communicate thisdeclaration toall
other countries oftheUnion.
Article I(1), (2),(5)oftheAppendix
(1) Anycountryregardedasadevelopingcountryinconformitywiththeestablishedpractice
oftheGeneral Assembly oftheUnited Nations which ratifies oraccedes tothisAct, ofwhich this
Appendix forms anintegral part, andwhich, having regard toitseconomic situation anditssocial or
cultural needs, does notconsider itself immediately inaposition tomake provision fortheprotection
ofalltherights asprovided forinthisAct,may, byanotification deposited with theDirector General
atthetime ofdepositing itsinstrument ofratification oraccession or,subject toArticle V(1)(c),atany
time thereafter, declare thatitwillavail itself ofthefaculty provided forinArticle II,orofthefaculty
provided forinArticle III,orofboth ofthose faculties. Itmay, instead ofavailing itself ofthefaculty
provided forinArticle II,make adeclaration according toArticle V(1)(a).
(2)(a)Any declaration under paragraph (1)notified before theexpiration oftheperiod often
years from theentry intoforce ofArticles 1to21andthisAppendix according toArticle 28(2) shall
beeffective until theexpiration ofthesaidperiod. Any such declaration may berenewed inwhole
orinpartforperiods oftenyears each byanotification deposited with theDirector General notmore
than fifteen months andnotlessthan three months before theexpiration oftheten-year period then
running.
(b)Anydeclaration under paragraph (1)notified after theexpiration oftheperiod oftenyears
from theentry intoforce ofArticles 1to21andthisAppendix according toArticle 28(2) shall be
effective until theexpiration oftheten-year period thenrunning. Anysuch declaration mayberenewed
asprovided forinthesecond sentence ofsubparagraph (a).
(5) Any country which isbound bytheprovisions ofthisActandwhich hasdeposited a
declaration oranotification inaccordance with Article 31(1) with respect totheapplication ofthisAct
toaparticular territory, thesituation ofwhich canberegarded asanalogous tothatofthecountries
referred toinparagraph (1),may, inrespect ofsuch territory, make thedeclaration referred toin
paragraph (1)andthenotification ofrenewal referred toinparagraph (2).Aslong assuch declaration
ornotification remains ineffect, theprovisions ofthisAppendix shall beapplicable totheterritory
inrespect ofwhich itwasmade.
Article II(3)(b)oftheAppendix
(3)(b)Any country referred toinparagraph (1)may, with theunanimous agreement ofthe
developed countries which aremembers oftheUnion andinwhich thesame language isingeneral
use,substitute, inthecase oftranslations intothatlanguage, fortheperiod ofthree years referred toPC/IPL/7/Add.1
Page 9
inparagraph (2)(a)ashorter period asdetermined bysuch agreement butnotlessthan oneyear.
However, theprovisions oftheforegoing sentence shall notapply where thelanguage inquestion is
English, French orSpanish. TheDirector General shall benotified ofanysuch agreement bythe
Governments which have concluded it.
Article IV(2) oftheAppendix
(2) Iftheowner oftheright cannot befound, theapplicant foralicense shall send, by
registered airmail, copies ofhisapplication, submitted totheauthority competent togrant thelicense,
tothepublisher whose name appears onthework andtoanynational orinternational information center
which may have been designated, inanotification tothateffect deposited with theDirector General,
bytheGovernment ofthecountry inwhich thepublisher isbelieved tohave hisprincipal place of
business.
Article IV(4)( c)(iv) oftheAppendix
(c) Where agovernment orother public entity ofacountry which hasgranted alicense tomake
atranslation under Article IIintoalanguage other than English, French orSpanish sends copies of
atranslation published under such license toanother country, such sending ofcopies shall not,forthe
purposes ofsubparagraph (a),beconsidered toconstitute export ifallofthefollowing conditions are
met:
(iv) thecountry towhich thecopies have been senthasagreed with thecountry whose
competent authority hasgranted thelicense toallow thereceipt, ordistribution, orboth,
andtheDirector General hasbeen notified oftheagreement bytheGovernment of
thecountry inwhich thelicense hasbeen granted.
Article VoftheAppendix
(1)(a)Anycountry entitled tomake adeclaration thatitwillavail itself ofthefaculty provided
forinArticle IImay, instead, atthetime ofratifying oracceding tothisAct:
(i) ifitisacountry towhich Article 30(2) (a)applies, make adeclaration under that
provision asfarastheright oftranslation isconcerned;
(ii) ifitisacountry towhich Article 30(2) (a)does notapply, andeven ifitisnotacountry
outside theUnion, make adeclaration asprovided forinArticle 30(2) (b),firstsentence.
(b) Inthecaseofacountry which ceases toberegarded asadeveloping country asreferred
toinArticle I(1), adeclaration made according tothisparagraph shall beeffective until thedate on
which theperiod applicable under Article I(3)expires.
(c) Any country which hasmade adeclaration according tothisparagraph may not
subsequently avail itself ofthefaculty provided forinArticle IIeven ifitwithdraws thesaiddeclaration.
(2) Subject toparagraph (3),anycountry which hasavailed itself ofthefaculty provided
forinArticle IImay notsubsequently make adeclaration according toparagraph (1).PC/IPL/7/Add.1
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(3) Any country which hasceased toberegarded asadeveloping country asreferred to
inArticle I(1)may, notlater than twoyears prior totheexpiration oftheperiod applicable under
Article I(3), make adeclaration totheeffect provided forinArticle 30(2) (b),first sentence,
notwithstanding thefactthatitisnotacountry outside theUnion. Such declaration shall takeeffect
atthedate onwhich theperiod applicable under Article I(3)expires.
[Article 30(2) (a)and(b)
(2)(a) Anycountry oftheUnion ratifying oracceding tothisActmay, subject toArticle V(2)
oftheAppendix, retain thebenefit ofthereservations ithaspreviously formulated oncondition that
itmakes adeclaration tothateffect atthetimeofthedeposit ofitsinstrument ofratification oraccession.
(b) Anycountry outside theUnion maydeclare, inacceding tothisConvention andsubject
toArticle V(2) oftheAppendix, thatitintends tosubstitute, temporarily atleast, forArticle 8ofthis
Actconcerning theright oftranslation, theprovisions ofArticle 5oftheUnion Convention of1886,
ascompleted atParis in1896, ontheclear understanding thatthesaidprovisions areapplicable only
totranslations intoalanguage ingeneral useinthesaidcountry. Subject toArticle I(6)(b)ofthe
Appendix, anycountry hastheright toapply, inrelation totheright oftranslation ofworks whose
country oforigin isacountry availing itself ofsuch areservation, aprotection which isequivalent to
theprotection granted bythelatter country.]
Paris Convention
Article 6ter(3)-(6)
(3)(a) Fortheapplication ofthese provisions, thecountries oftheUnion agree tocommunicate
reciprocally, through theintermediary oftheInternational Bureau, thelistofState emblems, andofficial
signs andhallmarks indicating control andwarranty, which theydesire, ormayhereafter desire, toplace
wholly orwithin certain limits under theprotection ofthisArticle, andallsubsequent modifications
ofsuch list. Each country oftheUnion shall induecourse make available tothepublic thelistsso
communicated.
Nevertheless such communication isnotobligatory inrespect offlags ofStates.
(b) Theprovisions ofsubparagraph (b)ofparagraph (1)ofthisArticle shall apply only
tosuch armorial bearings, flags, other emblems, abbreviations, and names, ofinternational
intergovernmental organizations asthelatter have communicated tothecountries oftheUnion through
theintermediary oftheInternational Bureau.
(4) Any country oftheUnion may, within aperiod oftwelve months from thereceipt of
thenotification, transmit itsobjections, ifany, through theintermediary oftheInternational Bureau,
tothecountry orinternational intergovernmental organization concerned.
(5) InthecaseofState flags, themeasures prescribed byparagraph (1),above, shall apply
solely tomarks registered after November 6,1925.
(6) Inthecase ofState emblems other than flags, andofofficial signs andhallmarks of
thecountries oftheUnion, andinthecase ofarmorial bearings, flags, other emblems, abbreviations,
andnames, ofinternational intergovernmental organizations, these provisions shall apply only tomarks
registered more thantwomonths after receipt ofthecommunication provided forinparagraph (3),above.