Pretrial evidence preservation EU China Workshop on Civil

Pre-trial evidence preservation 诉前证据保全 EU – China Workshop on Civil Procedure Law 中国-欧盟民事诉讼法研讨会 Beijing 9 -10 September 2010 北京，2010年 9月9 -10日 Jan Brinkhof The Netherlands 荷兰 1

Topics 主题 1. Introduction、介绍 – IP law in Europe、欧洲的知识产权法 – Enforcement of IP rights 、知识产权执法 • importance of enforcement in general • 执法在一般意义上的重要性 • IP Rights and enforcement • 知识产权和执法 – International framework – 国际框架 – European framework – 欧洲框架 2. Pre-trial evidence preservation in Europe – legal issues 2. 欧洲的诉前证据保全-法律问题 3. Pre-trial evidence preservation in Europe – in practice 3. 欧洲的诉前证据保全-实践 2

1. Introduction 1. 介绍 3

IP law in Europe 欧洲知识产权法 • • Each EU country has its own system of law 每个欧盟成员国有自己的法律体系 IP law in Europe is harmonized and unified by: 欧洲的知识产权法要符合： – – International conventions 国际公约 European legislation (EU Regulations and EU Directives) 欧洲立法（欧盟条例和欧盟指令） • Result: the substantive IP law is more less identical in all EU countries • 结果：实体知识产权法在所有欧盟国家或多或少是一致的 • Recently the enforcement of IP laws was Europeanized • 最近知识产权的执法被欧洲化了 • Nearly all IP Disputes are decided by national courts • 几乎所有知识产权纠纷都由国内法院决定 4

Enforcement of IP rights Importance of Enforcement (1) 知识产权执法 执法的重要性（1） • Rights and enforcement are closely linked • 权利和执法是紧密相连的 • Unenforceable rights are a contradictio in terminis (= contradiction in terms) • 不可执行的权利是自相矛盾的（拉丁语字面意思： 矛盾修辞） • Unenforceable rights are worthless • 不可执行的权利没有价值 5

Enforcement of IP rights Importance of Enforcement (2) 知识产权执法 执法的重要性（2） • Unenforceable IP rights are an obstacle to the realization of the purposes of IP legislation • 不可执行的知识产权构成知识产权立法目的实现的障碍 • Given the character of IP rights (legal monopolies) special attention should be given to: • 考虑到知识产权的特征（法律垄断性），以下问题应当被 特别关注： – – Provisional measures 临时措施 Expertise of the judges 法官的专业性 6

International Framework TRIPs Agreement(1) 国际框架 Trips 协议（1） TRIPs Agreement (1994) = Annex 1 C of Marrakesh Agreement Establishing World Trade Organization (WTO) Preamble: Trips协议（1994）=马拉喀什建立世界贸易组织协议的附件 1 C 序言： Members, 各成员， Recognizing, to this end, the need for new rules and disciplines concerning: 　承认为此目的有必要制订有关下列问题的新的规则和纪律： (…) (c) the provision of effective and appropriate means for the enforcement of trade-related intellectual property rights, taking into account differences in national legal systems; （c）关于在考虑到各国法律制度的差异，就与贸易有关的知识产权的执 7 法规定有效的和适当的方法；

International Framework TRIPs Agreement (2) 国际框架 Trips 协议 PART III — Enforcement of Intellectual Property Rights、第三部分知识产权执法 SECTION 2: CIVIL AND ADMINISTRATIVE PROCEDURES AND REMEDIES 、第二条：民事和行政程序及其救济 Article 43、第 43条 Evidence 、证据 1. The judicial authorities shall have the authority, where a party has presented reasonably available evidence sufficient to support its claims and has specified evidence relevant to substantiation of its claims which lies in the control of the opposing party, to order that this evidence be produced by the opposing party, subject in appropriate cases to conditions which ensure the protection of confidential information. 1. 若一当事方已提交了足以支持其要求的合理有效的证据，并具体指明 了由对方掌握的与证实其要求有关的证据，则司法当局应有权决定按8 照在此类案件中确保对秘密信息保护的条件，令对方出示该证据。

International Framework TRIPs Agreement (3) 国际框架 Trips 协议（3） SECTION 3: PROVISIONAL MEASURES、第三部分：临时措施 Article 50 、第 50条 1. The judicial authorities shall have the authority to order prompt and effective provisional measures: (a) (…) to preserve relevant evidence in regard to the alleged infringement. 　1. 司法当局应有权决定及时、有效的临时措施： (a) (…) 保护关于被指控的侵权行为的有关证据。 2. The judicial authorities shall have the authority to adopt provisional measures inaudita altera parte where appropriate, in particular where any delay is likely to cause irreparable harm to the right holder, or where there is a demonstrable risk of evidence being destroyed. 2. 在适当的情况下，特别是在任何延迟可能会给权利人带来不可弥补的损害 或证据极有毁灭危险的情况下，司法当局应有权应单方面要求，采取 9 临时措施。

European Framework (1) 欧盟框架（1） • Council Regulation No 1383/2003 “Anti – Piracy” 22 July 2003 [concerning customs action against goods suspected of infringing certain intellectual property rights and the measures to be taken against goods found to have infringed such rights] • 理事会 2003年 7月22号第 1383/2003号“反假冒”条 例【关于阻止涉嫌侵犯特定知识产权的海关行动 以及打击被发现侵犯这些知识产权的货物的措施 】 • Enforcement Directive 2004/48/EC - 29 April 2004 • 2004/48/EC执法指令-2004年 4月29号 10

European Framework (2) 欧盟框架（2） What is a Directive? 什么是指令？ A directive is a legislative act of the European Union, which requires member states to achieve a particular result without dictating the means of achieving that result 指令是欧盟的一项立法行为，要求成员国去取得某种特定结 果而不限定取得该结果之方法。 It can be distinguished from regulations which are selfexecuting and do not require any implementing measures. 它与条例（自我执行，不需要各国采取执行措施）相区别。 11

European Framework (3) 欧盟框架（3） Legal basis for the enactment of directives is Article 288 of the Treaty on the Functioning of the EU. 制定指令的法律基础是《欧盟运作条约》的第 288条 Article 288 第 288条 A directive shall be binding, as to the result to be achieved, upon each Member State to which it is addressed, but shall leave to the national authorities the choice of form and methods 就要实现的结果而言，指令对成员国具有约束力，但允许成 员国机构选择实施的形式和方法。 12

Focus on the EU Directive 聚焦欧盟指令 • The member states of the EU have implemented the Enforcement Directive in their national laws • 欧盟成员国已经在它们的国内法中实施了“执法指令” • Undoubtedly there are small differences between these national implementations • 毫无疑问，在这些国内实施中有一些细微的差别 • In the context of this workshop these differences are irrelevant • 在本会议的语境下这些差别是不相关的 • Therefore the focus is on the Directive • 因此关注的重点是指令本身 13

Enforcement Directive (1) 执法指令（1） • A new step in the process of Europeanisation of IP law • 在知识产权欧洲化进程中新的一步 • So far procedural law and enforcement were seen as national affairs • 目前程序法和执法被视为国内事务 • This Directive is the first step of the Europeanisation of procedural law and enforcement, in a special field of law with often cross-border effects. • 在一个经常出现跨境影响的特殊法律领域，指令是程序法 和执法欧洲化的第一步 14

Enforcement Directive (2) 执法指令（2） Justification for a Directive: 指令存在的正当理由 Preamble 序言 (3) (…) without effective means of enforcing intellectual property rights, innovation and creativity are discouraged and investment diminished. It is therefore necessary to ensure that the substantive law on intellectual property, which is nowadays largely part of the acquis communautaire, is applied effectively in the Community. In this respect, the means of enforcing intellectual property rights are of paramount importance for the success of the Internal Market. （3）（…）没有有效的知识产权执法途径，创新和创造性将受挫并且投 资将减少。因此有必要确保知识产权实体法（现已基本成为共同体法 的一部分）在共同体内有效适用。就这个意义而言，执行知识产权的 15 方法对于“内部市场”的成功而言具有最重要的意义。

Enforcement Directive (3) 执法指令（3） Justification for a Directive : 指令存在的正当理由： Preamble 序言 (7) It emerges from the consultations held by the Commission on this question that, in the Member States, and despite the TRIPS Agreement, there are still major disparities as regards the means of enforcing intellectual property rights. （7）欧盟委员会主持的关于此问题的咨询表明，在成员国， 尽管Trips协议的存在，关于知识产权执法方法仍然存在大 量的分歧。 16

Enforcement Directive (4) 执法指令（4） Justification for a Directive : 指令存在的正当理由 Preamble 序言 (8) The disparities between the systems of the Member States as regards the means of enforcing intellectual property rights are prejudicial to the proper functioning of the Internal Market and （8）成员国体系关于知识产权执法方法的分歧有害 于“内部市场”的适当运作以及 17

Enforcement Directive (5) 执法指令（5） Justification for a Directive : 指令存在的正当理由 Preamble 序言 … and make it impossible to ensure that intellectual property rights enjoy an equivalent level of protection throughout the Community. …使得无法确保知识产权在整个共同体享有同等水 平的保护 18

2. Pre-triale evidence preservation in Europe 2. 欧洲的诉前证据保全 Legal issues 法律问题 19

Pre-trial evidence preservation in Europe 欧洲的诉前证据保全 • Preamble of the Enforcement Directive • “执法指令”的序言 • Article 7 Enforcement Directive • 执法指令第 7条 20

Pre-trial evidence preservation Preamble Enforcement Directive 诉前证据保全 执法指令序言 Evidence 证据 (20) Given that evidence is an element of paramount importance for establishing the infringement of intellectual property rights, it is appropriate to ensure that effective means of presenting, obtaining and preserving evidence are available. The procedures should have regard to the rights of the defence and provide the necessary guarantees, including the protection of confidential information. （20）考虑到证据是证明知识产权侵权的重要的元素，确保 有效的提交、取得和保全证据的方法是适当的。程序应当 考虑辩护权并提供必要保障，包括对秘密信息的保护。 21

Pre-trial evidence preservation Article 7 Enforcement Directive (1) 诉前证据保全 执法指令第 7条（1） Article 7 第 7条 Measures for preserving evidence 保全证据的措施 1. Member States shall ensure that, even before the commencement of proceedings on the merits of the case, the competent judicial authorities may, on application by a party who has presented reasonably available evidence to support his/her claims that his/her intellectual property right has been infringed or is about to be infringed, order prompt and effective provisional measures to preserve relevant evidence in respect of the alleged infringement, subject to the protection of confidential information. 1. 成员方应当确保，即使在有关案件实质的程序开始之前，主管司法机 构可以依据当事人申请（该当事人已提出合理可用证据支持其知识产 权被侵权或即将被侵权的主张），在保护秘密信息的前提下，责令快 速和有效的临时措施，以保全与被指控侵权相关的证据。 22

Pre-trial evidence preservation Article 7 Enforcement Directive (2) 诉前证据保全 执法指令第 7条（2） Article 7 (cont. ) 第 7条（续） Such measures may include the detailed description, with or without the taking of samples, or the physical seizure of the infringing goods, and, in appropriate cases, the materials and implements used in the production and/or distribution of these goods and the documents relating thereto. 该种措施可以包括带有或不带取样的具体描述，或者对侵权 货物的物理扣押，以及，在适当案件中，用于制造和/或 销售这些货物的材料和 具和与这些相关的文件。 23

Pre-trial evidence preservation Article 7 Enforcement Directive (3) 诉前证据保全 执法指令第 7条（3） Article 7 (cont. ) /第 7条（续） Those measures [preserving evidence] shall be taken, if necessary without the other party having been heard, in particular where any delay is likely to cause irreparable harm to the rightholder or where there is a demonstrable risk of evidence being destroyed. 这些措施如果必要【保全证据】应当被采用，无 需听取另一方意见，尤其是任何延迟可能或导致 对权利人难以弥补的损害或者证据有明显被毁灭 的危险时。 24

Pre-trial evidence preservation Article 7 Enforcement Directive (4) 诉前证据保全 执法指令第 7条（4） Art. 7 (cont. ) 第 7条（续） Where measures to preserve evidence are adopted without the other party having been heard, the parties affected shall be given notice, without delay after the execution of the measures at the latest. A review, including a right to be heard, shall take place upon request of the parties affected with a view to deciding, within a reasonable period after the notification of the measures, whether the measures shall be modified, revoked or confirmed. 在另一方不知情而采取证据保全措施的情况下，应当在保全措施 采取后，即可通知受影响的当事人。受影响当事人要求复议的， 应当在告知保全措施之后的合理时间内举行复议，以决定证据 保全措施是否应当修正、撤销或维持。 25

Pre-trial evidence preservation Article 7 Enforcement Directive (5) 诉前证据保全 执法指令第 7条（5） Art. 7 (cont. ) 第 7条（续） 2. Member States shall ensure that the measures to preserve evidence may be subject to the lodging by the applicant of adequate security or an equivalent assurance intended to ensure compensation for any prejudice suffered by the defendant as provided for in paragraph 4. 2. 成员国应当确保证据保全的措施实施前，申请人 提供适当担保或同等保证，确保补偿第 4款中规定 的被告可能遭受到的任何损害。 26

Pre-trial evidence preservation Article 7 Enforcement Directive (6) 诉前证据保全 执法指令第 7条（6） Art. 7 (cont. ) 第 7条（续） 3. Member States shall ensure that the measures to preserve evidence are revoked or otherwise cease to have effect, upon request of the defendant, without prejudice to the damages which may be claimed, if the applicant does not institute, within a reasonable period, proceedings leading to a decision on the merits of the case before the competent judicial authority, the period to be determined by the judicial authority ordering the measures where the law of a Member State so permits or, in the absence of such determination, within a period not exceeding 20 working days or 31 calendar days, whichever is the longer. [Compare TRIPs Art. 50(6)] 3. 成员国应当确保，在不损害可能主张的损失的情况下，证据保全措施可依被告 的请求被撤销或者停止生效，前提是申请人未在合理期间内向主管司法机构 启动就案件实质问题作出决定的程序。该期间由责令采取措施的司法机构决 定，如果一成员国的法律允许如此的话，或者在缺少这样的决定时，不超过 20个 作日或 31个日历天，取较长的期间【与Trips第 50条之（6）比较】 27

Pre-trial evidence preservation Article 7 Enforcement Directive (7) 诉前证据保全 执法指令第 7条（7） Art. 7 (cont. ) 第 7条（续） 4. Where the measures to preserve evidence are revoked, or where they lapse due to any act or omission by the applicant, or where it is subsequently found that there has been no infringement or threat of infringement of an intellectual property right, the judicial authorities shall have the authority to order the applicant, upon request of the defendant, to provide the defendant appropriate compensation for any injury caused by those measures. 4. 在证据保全措施被撤销，或者由于申请人的任何行为或不 作为而失效，或者后来发现知识产权没有受到侵害或威胁， 司法机构应当有权依被告的请求，责令申请人向被告提供 28 由这些措施造成的任何损害的赔偿。

3. Pre-trial evidence preservation in Europe 3. 欧洲诉前证据保全 – in practice 实践 29

An example 一个例子 1. Patent holder P has a patent for a process 1. 专利持有人P有一项方法专利 2. P has strong indications that the products of his competitor C are manufactured according to the patented process 2. P有强有力的迹象表明他的竞争者C在依照其专利方法制 造产品 3. P turns to his lawyer who studies the case 3. P 咨询他研究该案件的律师 4. On behalf of P the lawyer draws up a request to the court 30 4. 律师代表P起草了提交法庭的请求

An example (cont. ) 一个例子（续） 5. In the request the lawyer sets out: 5. 在请求中，律师指出： (i) P has a patent (the patent is added) （1）P有一项专利（附加专利证书） (ii) the strong allegations that C’s products are manufactured according to P’s patent (an expert report is added) （2）强烈的断言C的产品是依照P的专利方法制造的（附加一份专家报告） (iii) P’s need for a detailed description of the process applied by C in order to determine whether or not C infringes P’s patent （3）P需要一份C所应用方法的详细描述以确认C是否侵犯了P的专利权 (iv) the request to allow a bailiff accompanied by an independent patent attorney to enter C’s factory, to describe the process and to make copies of the manuals （4）请求允许一名法警在一个独立专利代理人的陪同下进入C 的 厂，描述其 方法并复制其手册 31

An example (cont. ) 一个例子（续） 6. The court decides within one or two days 6. 法庭在 1或 2天内作出决定 7. The bailiff and the patent attorney go to C’s factory and show the order of the court 7. 法警和专利代理人进入C的 厂并出示了法庭的命令 8. The bailiff draws up a description with the help of the patent attorney and seizes the manuals 8. 法警在专利代理人的协助下起草了描述并收缴了手册 9. C can challenge the order within a period (about a week) 9. C可以在一定时期内挑战该命令（大约 1周） 32

An example (cont. ) 一个例子（续） 10. If the court declines C’s objections, P initiates infringement proceedings 10. 如果法庭驳回了C的反对，P启动侵权诉讼 11. P request the court to allow him to look into the description and the seized manuals 11. P请求法庭允许他阅读描述和收缴的手册 33

Critical issues 关键问题 • • • the necessity of the seizure 收缴的必要性 preventing fishing expeditions 防止“远洋钓鱼”（浑水摸鱼，刺探情报） the protection of C’s confidential information • C的秘密信息的保护 34

Final remarks 最终评价 • A new instrument in many countries • 在许多国家的一项新 具 • The lawyers and judges have to learn from the decisions in other countries • 律师和法官们需要从其他国家的决定中吸 取经验 35