WT/DS176/R
United States – Section 211 Omnibus Appropriations Act of 1998
Complaint by the
European Communities
Report of the panel
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Mr. Wade Armstrong
(chairperson)
Mr. François Dessemontet
Mr. Armand de Mestral
$B#T#R#I#P#S6(Dj!JCNE*=jM-8"$NKG0W4XO"$NB&LL$K4X$9$k6(Dj(B; Agreement on Trade-Related
Aspects of Intellectual Property Rights$B!K(B
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$B#2#0#0#0G/!!#67n#3#0F|!!%Q%M%k@_CVMW@A(B
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$BJF9qK!$N2<$G$O!"%-%e!<%P9q@R$N;d?M$,Mx1W$rM-$9$kJF9qNN0hFb$N:b;:$K4X$9$k
$B%-%e!<%P$b$7$/$O%-%e!<%P;TL1$,Mx1W$rM-$9$kFC5v!">&I8EPO?!"Cx:n8"EPO?$K$D$$$F$O!"=>Mh0lHL%i%$%;%s%9$N2<$GEPO?5Z$S99?7$,G'$a$i$l$F$$$?!#$7$+$7#1#9#8#8G/%*%`%K%P%9K!#2#1#1>r(B(a)(1)$B$O!"%-%e!<%P@/I\$K$h$C$FKW<}$5$l$?%S%8%M%9$b$7$/$O;q;:$K4XO"$7$F;H$o$l$F$$$?%^!<%/$b$7$/$O>&9f(B(marks, trade
names or commercial names)$B$HF1$8$+$b$7$/$ON`;w$7$F$$$k%^!<%/!">&9f$K4XO"$9$k
$B%Q%M%k?3::$N;~E@$G!"JF9q$,#2#1#1>r$rE,MQ$7$?%1!<%9$O!"#2#1#1>r(B(b)$B$rE,MQ$7$?%O%P%J%/%i%V!&%1!<%9(B(Havana Club Holdings, S.A. v. Galleon S.A.)$B$N$_$G$"$C$?!#(B
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(a)(1) Notwithstanding any other provision of law, no transaction or
payment shall be authorized or approved pursuant to section 515.527 of title
31, Code of Federal Regulations, as in effect on September 9, 1998, with
respect to a mark, trade name, or commercial name that is the same as or
substantially similar to a mark, trade name, or commercial name that was used
in connection with a business or assets that were confiscated unless the
original owner of the mark, trade name, or commercial name, or the bona fide
successor-in-interest has expressly consented.
(2) No
(b) No U.S. court shall recognize, enforce or otherwise validate any
assertion of treaty rights by a designated national or its
successor-in-interest under sections 44 (b) or (e) of the Trademark Act of 1946
(15 U.S.C. 1126 (b) or (e)) for a mark, trade name, or commercial name that is
the same as or substantially similar to a mark, trade name, or commercial name
that was used in connection with a business or assets that were confiscated
unless the original owner of such mark, trade name, or commercial name, or the
bona fide successor-in-interest has expressly consented.
$B%Q%M%k7hDj$NJ,@O(B$B!J(B()$BFb$N?t;z$OCJMnHV9f!K(B
r$NBP>]HO0O(B>$B#1!%@h7hLdBj(B(Preliminary
Matters)
$B%Q%M%k$O!"#D#S#U!JJ6Ah2r7hN;2r!K#1#3>r$K4p$E$-#W#I#P#O(B(World
Intellectual Property Organization)$B$K%Q%j>rLs$K4X$9$k4XO">pJs$J$I$r5a$a$?(B(8.11-8.13)$B!#(B
$B%Q%M%k$O!"(BUS – Gasoline$B>e5i0QJs9p$K4p$E$-%&%#!<%s>rLsK!>rLs#3#1>r!"#3#2>r$K4p$E$/2r
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$B%Q%M%k$O!"&9f$O#T#R#I#P#S6(Dj$NBP>]$G$O$J$/!"$7$?$,$C$FK\7o%Q%M%k$O>&I8$K$D$$$F$N$_?3::$9$k$H=R$Y$?!#-!#T#R#I#P#S6(Dj#1!%#2>r$O!"K\6(Dj$N!VCNE*=jM-8"!W$,Bh#2It$NBh#1@a$+$iBh#7@a$^$G$N5,Dj$NBP>]$H$J$k$9$Y$F$N
$B#2!%#2#1#1>r(B(a)(1)$B$N#T#R#I#P#S6(Dj#1#5!%#1>r@09g@-(B(Consistency of Section 211(a)(1) with Article 15.1
of the TRIPS Agreement)
$B!!#E#C$O!"#T#R#I#P#S6(Dj#1#5!%#1>r$O#T#R#I#P#S6(Dj5Z$S%Q%j>rLs!J#1#9#6#7G/!K$NL@<(E*5,Dj$K4p$E$/Nc30$N$_$rG'$a$F$*$j!"$=$N$h$&$JL@<(E*5,Dj$K4p$E$+$:$K>&I8$NEPO?!&99?7$r;veK8$2$k#2#1#1>r(B(a)(1)$B$O#T#R#I#P#S6(Dj#1#5!%#1>r$K0cH?$7$F$$$k!"$H
$B!!%Q%M%k$Or(B(a)(1)$B$O!"#T#R#I#P#S6(Dj#1#5!%#2>r$GG'$a$i$l$F$$$k!VB>$NM}M3!W$K$h$k5q@d$G$"$j!"#T#R#I#P#S6(Dj#1#5!%#1>r$K0cH?$7$J$$$H7kO@$7$?!#-!#T#R#I#P#S6(Dj#1#5!%#1>r5Z$S#1#5!%#2>r$K$h$l$P!"$"$kA
$B#3!%(B$B#2#1#1>r(B(a)(1)$B$N#T#R#I#P#S6(Dj#2!%#1>r5Z$S%Q%j>rLs#6$N#5#A!J#1!K@09g@-(B(Consistency of
Section 211(a)(1) with Article 2.1 of the TRIPS Agreement in conjunction with
Article 6quinquies A(1) of the Paris Convention (1967))
$B!!#E#C$O!"#2#1#1>r(B(a)(1)$B$OJL$N#W#T#O2CLA9q$G>&I8$rEPO?$7$?8"Mx
$B!!%Q%M%k$OrLs!J#1#9#6#7G/!K#6>r$N#5#A!J#1!K$K$h$jJ]8n$5$l$k$?$a$K$O!"(B(i)$B>&I8$,!V@55,$KEPO?$5$l$?(B(duly registered)$B!W$3$H$H(B(ii)$B>&I8$,!VK\9q$G(B(in the country
of origin)$B!WEPO?$5$l$?$3$H$H$N#2$D$N>r7o$rK~$?$9I,MW$,$"$k(B(8.75)$B!"-"!V$=$N$^$^(B(as is)$B!W$H$$$&J88@!"$H$j$o$1%U%i%s%98l$N5,Dj(B($B!H(Btelle quelle$B!I(B, $B!H(Bmarque de fabrique ou de commerce$B!I(B)$B$OF1>r$,>&I8$N7ABV(B(form)$B$N$_$rBP>]$H$7$F$$$k$3$H$r<(:6$7$F$$$k(B(8.77)$B!"-#$3$N2rr$NJ8L.!J%Q%j>rLs!J#1#9#6#7G/!K#6>r$N#5(BC$B!J#2!K!"#6!%#1>r5Z$S#6!%#3>r!"#2>r!K$+$i$b;Y;}$5$l$k(B(8.78-8.80)$B!"-##W#I#P#O$N#1#9#5#8G/%j%9%\%s2q5D$N;qNA$+$i$b!">&I8$N7ABV$N$_$rBP>]$H$7$F$$$k$H$$$&2r(8.82)$B!"-$#E#C$N$=$NB>$N
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$BK\9q$K$*$$$F@55,$KEPO?$5$l$?>&I8$O!"$3$N>r$GFC$K5,Dj$9$k>l9g$r=|$/$[$+!"B>$NF1LA9q$K$*$$$F$b!"$=$N$^$^$=$NEPO?$rG'$a$i$l$+$DJ]8n$5$l$k!#Ev3:B>$NF1LA9q$O!"3NDjE*$JEPO?$r$9$kA0$K!"K\9q$K$*$1$kEPO?$N>ZL@=q$G8"8B$N$"$kEv6I$,8rIU$7$?$b$N$rDs=P$5$;$k$3$H$,$G$-$k!#$=$N>ZL@=q$K$O!"$$$+$J$k8x>Z$r$bI,MW$H$7$J$$!#(B
(Every trademark duly registered in the country of origin shall be
accepted for filing and protected as is in the other countries of the
$B"(;29M!'%Q%j>rLs!J#1#9#6#7G/!K#2#9!%#1>r(B(1)(c)$B$K$h$l$P!"J88@$N0UL#$K$D$$$F0c$$$,$"$k>l9g$K$O%U%i%s%98l$N5,Dj$,M%@h$9$k$H$5$l$F$$$k!#(B
$B#4!%#2#1#1>r(B(a)(2)$B$N#T#R#I#P#S6(Dj#4#2>r!"#1#6!%#1>r@09g@-(B(Consistency of
Section 211(a)(2) with Articles 42 and 16.1 of the TRIPS Agreement)
$B!!#E#C$O!"#2#1#1>r(B(a)(2)$B$K$h$j:[H==j$rDL$8$F8"Mx$r<99T$9$k$3$H$,$G$-$J$C$F$$$k$3$H$O!"#T#R#I#P#S6(Dj#4#2>rBh#1J8!"#1#6!%#1>r$K0cH?$9$k$H
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are entitled under Article 42 to have access to judicial procedures which are
effective in terms of bringing about the enforcement of their rights covered by
the Agreement when this is warranted)(8.95)$B!"-"#4#2>rBh#4J8$N!VN"IU$1$k(B(substantiate)$B!W$NDL>o$N0UL#$h$j!"Ev;v(8.97)$B!"-$#4#2>rBh#1J8$NCm$O!"CNE*=jM-8"$N8"Mx
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Section 211(a)(2) with Article 2.1 of the TRIPS Agreement in conjunction with
Article 6bis(1) of the Paris Convention (1967))
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to refuse or cancel registrations in certain cases)$B$,!"#2#1#1>r$OEPO?$N5q@d$dL58z$K4X$9$k5,Dj$G$O$J$$(B(8.116)$B!"-"%Q%j>rLs!J#1#9#6#7G/!K$O$"$k>u67$K$*$$$F9-$/G'<1$5$l$F$$$k>&I8$N;HMQ$r6X;_$7$F$$$k$,!"#2#1#1>r(B(a)(2)$B$O:[H==j$,9-$/G'<1$5$l$F$$$k>&I8$NE,@Z$J8"Mx
$B"(;29M!'%Q%j>rLs!J#1#9#6#7G/!K#6>r$N#2!J#1!K(B
$BF1LA9q$O!"0l$N>&I8$,!"B>$N0l$N>&I8$G$3$N>rLs$NMx1W$r&I8$H$7$F$+$DF10l
(The countries of
the Union undertake, ex officio if their legislation so permits, or at the
request of an interested party, to refuse or to cancel the registration, and to
prohibit the use, of a trademark which constitutes a reproduction, an
imitation, or a translation, liable to create confusion, of a mark considered
by the competent authority of the country of registration or use to be well
known in that country as being already the mark of a person entitled to the
benefits of this Convention and used for identical or similar goods. These
provisions shall also apply when the essential part of the mark constitutes a
reproduction of any such well‑known mark or an imitation liable to create
confusion therewith.)
$B#6!%#2#1#1>r(B(a)(2)$B$N#T#R#I#P#S6(Dj#2!%#1>r5Z$S%Q%j>rLs!J#1#9#6#7G/!K#8>r$H$N@09g@-(B(Consistency of
Section 211(a)(2) with Article 2.1 of the TRIPS Agreement in conjunction with
Article 8 of the Paris Convention(1967))
$B!!%Q%M%k$O!"@h$K>&9f$O#T#R#I#P#S6(Dj$NBP>]$K4^$^$l$J$$$HG'Dj$7$?$3$H$+$i!"#2#1#1>r(B(a)(2)$B$N#T#R#I#P#S6(Dj#2!%#1>r5Z$S%Q%j>rLs!J#1#9#6#7G/!K#8>r@09g@-$r?3::$7$J$+$C$?!#(B
$B#7!%#2#1#1>r(B(a)(2)$B$N#T#R#I#P#S6(Dj#3!%#1>r!"#T#R#I#P#S6(Dj#2!%#1>r5Z$S%Q%j>rLs!J#1#9#6#7G/!K#2!%#1>r$H$N@09g@-(B(Consistency of
Section 211(a)(2) with Article 3.1 of the TRIPS Agreement and 2.1 of the TRIPS
Agreement in conjunction with Article 2.1 of the Paris Convention (1967))
$B!!#E#C$O!"(B(i)$B#2#1#1>r(B(a)(2)$B$O;XDj$5$l$?9qL1!"$9$J$o$A%-%e!<%P5Z$S%-%e!<%P9qL1$KE,MQ$5$l$k(B(the provision applies
in respect of $B!H(Bdesignated nationals$B!I(B which are basically comprised of Cuba and
Cuban nationals)$B!"(B(ii)$B#2#1#1>r(B(a)(2)$B$O309q@R$NMx1W$N>57Q?M$KBP$7$F$N$_@)8B$r2]$7$F$*$jJF9q?M$K$OF1MM$N@)8B$r2]$7$F$$$J$$(B(at the level of
successors-in-interest, the statutory language refers only to nationals of a foreign
country without referring to US nationals)$B$H$7$F!"F1>r$N#T#R#I#P#S6(Dj#3!%#1>r0cH?$r
$B!!%Q%M%k$Or0cH?$r>ZL@$9$k$K$O!"(B(i)$B!VCNE*=jM-8"$N
$B#8!%#2#1#1>r(B(a)(2)$B$N#T#R#I#P#S6(Dj#4>r$H$N@09g@-(B(Consistency of
Section 211(a)(2) with Article 4 of the TRIPS Agreement)
$B!!#E#C$O!"#2#1#1>r(B(a)(2)$B$O%-%e!<%P9qL1$HJF9qL1!"$^$?%-%e!<%P!&%-%e!<%P9qL1$HJF9q0J30$N$=$NB>$N9qL1$H$r:9JL$7$F$*$j!"#T#R#I#P#S6(Dj#4>r$K0cH?$9$k$H
$B%Q%M%k$O!"r$O!"%-%e!<%P$NKW<}$K4X$7$F!"KW<}
$B#9!%#2#1#1>r(B(b)$B$N#T#R#I#P#S6(Dj@09g@-(B(Consistency of
Section 211(b) with the TRIPS Agreement)
$B!!#E#C$O!"#2#1#1>r(B(b)$B$N!V@53N$JBP>]$O$"$$$^$$$G$"$k(B(precise scope is obscure)$B!W$b$N$N!"BP>]$O#2#1#1>r(B(a)(2)$B$H!V%Q%i%l%k(B(parallel)$B!W$G$"$k$H9M$($i$l!"$^$?%O%P%J%/%i%V!&%1!<%9$G$O#2#1#1>r(B(b)$B$NBP>]$,9-$/2rr(B(a)(2)$B$K4X$9$k
$B!!%Q%M%k$O!"#2#1#1>r$,#T#R#I#P#S6(Dj#1#6!%#1>r$K0cH?$7$F$$$k$H$N#E#C$N
$B!!%Q%M%k$O!"#2#1#1>r(B(b)$B$,#T#R#I#P#S6(Dj#4#2>r$K0cH?$7$F$$$k$H$N#E#C$N
$B!!%Q%M(B$B%k$O!"#2#1#1>r(B(b)$B$,#T#R#I#P#S6(Dj#2!%#1>r5Z$S%Q%j>rLs!J#1#9#6#7G/!K#6>r$N#2$K0cH?$7$F$$$k$H$N#E#C$N
$B!!%Q%M%k$O!"#2#1#1>r(B(b)$B$,#T#R#I#P#S6(Dj#2!%#1>r5Z$S%Q%j>rLs!J#1#9#6#7G/!K#8>r$K0cH?$7$F$$$k$H$N#E#C$N
$B!!%Q%M%k$O!"#2#1#1>r(B(b)$B$,#T#R#I#P#S6(Dj#3!%#1>r!"#T#R#I#P#S6(Dj#2!%#1>r5Z$S%Q%j>rLs!J#1#9#6#7G/!K#2!%#1>r$K0cH?$7$F$$$k$H$N#E#C$N
$B!!%Q%M%k$O!"#2#1#1>r(B(b)$B$,#T#R#I#P#S6(Dj#4>r$K0cH?$7$F$$$k$H$N#E#C$N
$B!!0J>e$h$j!"%Q%M%k$O
(a)
$B#2#1#1>r(B(a)(1)$B$O!"#T#R#I#P#S6(Dj#1#5!%#1>r$K0cH?$7$F$$$J$$!#(B
(b)
$B#2#1#1>r(B(a)(1)$B$O!"#T#R#I#P#S6(Dj#2!%#1>r5Z$S%Q%j>rLs!J#1#9#6#7G/!K#6>r$N#5#A!J#1!K$K0cH?$7$F$$$J$$!#(B
(c)
$B#2#1#1>r(B(a)(2)$B$,#T#R#I#P#S6(Dj#1#6!%#1>r$K0cH?$7$F$$$k$H$O>ZL@$5$l$F$$$J$$!#(B
(d)
$B#2#1#1>r(B(a)(2)$B$O!"#T#R#I#P#S6(Dj#4#2>r$K0cH?$7$F$$$k!#(B
(e)
$B#2#1#1>r(B(a)(2)$B$O!"#T#R#I#P#S6(Dj#2!%#1>r5Z$S%Q%j>rLs!J#1#9#6#7G/!K#6>r$N#2$K0cH?$7$F$$$J$$!#(B
(f)
$B#2#1#1>r(B(a)(2)$B$O!"#T#R#I#P#S6(Dj#2!%#1>r5Z$S%Q%j>rLs#8>r$K0cH?$7$F$$$J$$!#(B
(g)
$B#2#1#1>r(B(a)(2)$B$O!"#T#R#I#P#S6(Dj#3!%#1>r!"#T#R#I#P#S6(Dj#2!%#1>r5Z$S%Q%j>rLs!J#1#9#6#7G/!K#2!%#1>r$K0cH?$7$F$$$J$$!#(B
(h)
$B#2#1#1>r(B(a)(2)$B$O!"#T#R#I#P#S6(Dj#4>r$K0cH?$7$F$$$J$$!#(B
(i)
$B#2#1#1>r(B(b)$B$,#T#R#I#P#S6(Dj#1#6!%#1>r$K0cH?$7$F$$$k$H$O>ZL@$5$l$F$$$J$$!#(B
(j) $B#2#1#1>r(B(b)