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1、Enforcement mechanisms in the EU 欧盟的执法机制,Serena TierneyPandion Limited,Overview 概述,What are counterfeit goods?什么是假冒伪劣商品？What other kinds of products can be the subject of enforcement activity?还有哪些类别的产品是强制执行的对象？Customs seizures border and in transit 海关扣押边境货物与在运货物Criminal proceedings/trading standards
2、 刑事诉讼/贸易标准Patent/trade mark offices 专利局/商标局Courts 法院Mediation/arbitration 调解/仲裁Informal 非正式解决方式Domain name registries 域名注册,What are counterfeit goods?什么是假冒伪劣商品？,Goods which:以下商品是假冒伪劣商品：Are unauthorised copies of the whole or a part of the IPR owners goods未经知识产权所有人许可而复制其商品的部分或全部而形成的商品Have had a trade
3、 mark(or something that looks like it)applied to them or their packaging without the authorisation of the trade mark owner未经商标所有人许可而将商标（或类似的东西）应用于其本身或包装上的商品 Have been made by a patented process without the authorisation of the patent owner 未经专利所有人许可而利用其专利工艺生产的商品Are or include a patented product with
4、out the authorisation of the patent owner.未经专利所有人许可而生产其专利产品或包含该专利产品的产品。,Destruction of counterfeit goods 假冒伪劣商品的销毁,Destruction of counterfeit handbags,purses,watches,pens,CDs,MP3 players and other consumer goods seized in the South of France 图片为正在销毁在法国南部没收的假冒伪劣商品，包括手提包、钱包、手表、钢笔、CD、MP3播放器和其他消费品。,What
5、 other kinds of products can be the subject of enforcement activity?还有哪些类别的产品是强制执行的对象？,Genuine products that require IPR licences for components and have not paid for them:e.g.an MP3 player capability in a mobile phone requires a licence from MPLA 其中某些部件需要知识产权许可但尚未支付许可费的真正产品：如手机中的MP3功能需要得到MPLA的许可Gen
6、uine products that are being shipped into a country by or on behalf of someone who is not licensed to distribute products in that country 通过或代表某个国家没有产品分销许可的人运进该国家的真正产品Overruns products that have been made on the same machines and with the same parts as those made for the IPR owners but which are mor
7、e than the IPR owner authorised the manufacturer to make“超出许可限度”超出知识产权所有人对生产商的授权,用为知识产权所有人生产产品相同的机器生产的有着与IPR产品相同部件的产品,Customs seizures 海关扣押,Customs authorities and trading standards authorities have the right to search for suspected counterfeit products in shops,markets and in transit.海关和贸易标准主管当局有权对
8、商店、市场及运输中的可疑的假冒伪劣产品进行搜查。They may seize and impound suspect products.If they are found to be counterfeit the products will be destroyed and the person found in possession of them will be prosecuted for a criminal offence.Penalties include fines up to 150K euros and two years in prison for a first off
9、ence and double that for subsequent offences.他们可以查封并扣押可疑产品。如果他们发现这些产品就是假冒伪劣产品，那么就会将其销毁，并对持有这些假冒伪劣商品的人提出刑事控诉。处罚方式包括处以上限为150000欧元的罚金、对初犯处以两年监禁，对再犯处以四年监禁。Businesses can notify customs either generally to watch for counterfeits of their own goods or to watch out for specific consignments and seize them.
10、The latter often happens where there are genuine goods but where a licence fee for some IPR in the product has not been paid for:MPLA often uses this technique.公司可通知海关一般性地注意其自己的产品有无假冒伪劣产品，或者通知海关注意特定的一批货并予以查封。后者经常发生在货物是真的但该货物上的一些知识产权许可费尚未支付的情形：MPLA就经常使用这招。This method of enforcement is popular with bu
11、siness as the costs are met by the authorities and criminal sanctions are available.这种强制执行方式比较受公司欢迎，因为费用由有关当局承担，而且又能够给予刑事制裁。,Customs seizures border and internally 海关扣押 边境或境内,New mobile scanners on the autoroute through France from Italy to Spain.A lorry can be scanned in 14 seconds and counterfeit
12、items as small as a single cigarette will be discovered.The authorities are now able to do far more searches than before.在从意大利到西班牙之间的法国设有新型移动扫描仪，可在14秒内扫描一辆卡车，能扫描出小至一支香烟大小的假冒伪劣物品。相比以前，有关当局现在的搜查能力可增加多了。,Criminal sanctions 刑事制裁,Apart from seizure by customs or trading standards authorities,the police a
13、lso have a right to search any property for and seize counterfeit products.They then bring criminal prosecutions in the same manner.除了由海关或贸易标准主管当局实施扣押外，警察还有权搜查所有财产并扣押所发现的假冒伪劣产品。他们可以同种方式提起刑事控诉。It is also open to an IPR owner to start criminal proceedings for IPR infringement as well as suing in the c
14、ivil courts.知识产权所有人就知识产权侵权既可以提起刑事诉讼，也可以提起民事诉讼。In either case,the same criminal sanctions apply.在两者中的任一情况下，都会适用相同的刑事制裁。,Criminal penalties 刑事处罚,Police raid a lorry and find 1025 scarves,polo shirts and t-shirts that are fake All Black rugby team kit.警察们在搜查卡车，发现了假冒伪劣的“All Black”橄榄球队的成套用品，包括领带、polo衬衫、T
15、恤，共计1025件。,Civil Courts 民事法庭,In the EU each country has its own court system.It consists of three layers of courts:the lower court;the high court;and a court of appeal.在欧盟，每个国家都有自己的法院系统，它包括三级法院：初级法院、高级法院和上诉法院。The laws of trade marks,design and patent have been harmonised by the EU so the same law ap
16、plies in each country.Appeals on matters of Community law can be made to the European Court of Justice.商标法、外观设计法和专利法已经在欧盟已得到“协调”，因此各成员国适用同样的法律。对涉及欧盟法的事项提起上诉的，可向欧洲法院提起。Cases relating to the Community Trade Mark may be brought before the national courts of the European Court of First Instance.有关欧盟商标的案
17、件可向欧洲初审法院国家法庭提起诉讼。,Civil courts jurisdiction 民事法庭管辖,Civil courts can hear claims relating to the infringement of any kind of intellectual property right.民事法庭可以审理与任何类型的知识产权侵权有关的诉讼If the defence of a case includes a claim that a patent or trade mark is invalid and there are already proceedings challen
18、ging that validity in a patent or trade mark office then the court has the right to suspend the case until the outcome of the invalidity proceedings and any appeals.This can mean that cases drag on for several years.如果在案件中一方辩称涉案专利或商标无效，并且已在专利局或商标局就该专利或商标的有效性提出质疑，则法院有权中止案件审理，直到专利/商标无效的诉求或其他诉求出来结果。这就意
19、味着此类案件可拖上几年之长。,Civil courts sanctions民事法庭 制裁(1/2),The courts can order a wide variety of sanctions for IPR infringement:法院可对知识产权侵权做出一系列的制裁：Injunction this is often the main remedy that the IPR owner wants because it will stop any further damage to the IPR.禁令 这通常是知识产权所有人想要的主要救济方式，因为这可以使侵权人停止进一步侵犯知识产权
20、。An emergency injunction can be granted on the application of the IPR owner without the infringer knowing that the hearing is taking place(an ex parte hearing).If that happens,the infringer must comply with the order immediately even if he thinks it should not have been granted.He can then go back t
21、o the court and challenge the order.在侵权人不知道开庭审理的情况下（“一方当事人到庭”的审理），经知识产权所有人申请，法院可批准紧急禁令。如果发生这样情况，侵权人必须立即服从法院禁令，即使他认为法院不该批准该禁令。不过接下来他可以向法院就该禁令提出质疑。Pan-European injunction where a Community Trade Mark is infringed,the courts in any one state have the power to order infringement to cease in all EU membe
22、r states and the order will be effective across the entire EU.There have also been some attempts to order injunctions in several member states for patent infringement but the better view currently is that such orders are not valid.Once there is a Community Patent such orders will be possible.泛欧盟禁令 当
23、欧盟商标被侵犯时，任何一成员国的法院都有权发出禁令以中止在所有欧盟成员国中的侵权行为，并且该禁令在整个欧盟有效。曾有法院试图发出在几个成员国有效的专利侵权禁令，但目前多数意见认为此类禁令无效。一旦有了欧盟专利，此类禁令就有可能实施了。,Civil courts sanctions民事法庭 制裁(2/2),Damages where there have been substantial sales of infringing products or there has been substantial damage to the reputation of the IPR owner,the
24、court can award damages.In the case of deliberate or repeated infringements,the damages can be increased.For sales,the damages are usually calculated on the basis of a reasonable royalty.赔偿金 当有大量侵权产品被销售或知识产权所有人的名誉收到严重损害时，法院可以判令侵权人支付赔偿金。在故意侵权或重复侵权的情况下，法院可判决更高的赔偿金。对于销售侵权产品的，侵权损失通常根据合理的许可费进行计算。Account
25、of profits where the IPR owner thinks that damages will not be a sufficient remedy,perhaps because the infringer has made more money than a reasonable royalty,he may choose instead to have the infringer pay all the profits that the infringer has made.利益计算 当知识产权所有人认为赔偿金不足以补偿其损失时也许是因为侵权人通过侵权赚取了远远高于合理许
26、可使用费的钱财，那么他可以选择让侵权人支付所有侵权所得利润。Provision of information where the court has found infringement but the IPR owner does not know the extent of the infringing acts,the court can order the infringer to provide all the necessary information to the IPR owner 信息提供 当法院发现存在侵权行为而知识产权所有人并不知道侵权行为涉及的范围时，法院可命令侵权人向
27、知识产权所有人提供所有必要的信息。Delivery-up and destruction of infringing items where infringing items are still in existence,the court may order them to be delivered up to the IPR owner or destroyed and proof of destruction provided to the court.侵权物品的提交与销毁 当侵权物品仍存在时，法院可命令侵权人将其提交给知识产权所有人，或将其销毁并向法院提交销毁证明。,Alcatels
28、infringement Alcatel的侵权情况,In May 2001 Mr Waldman obtained registered design protection for a mobile phone equipped with a mirror2001年5月，Waldman先生就装有镜子的手机取得了外观设计注册保护In February 2002 he proposed his design to Alcatel which responded by saying that it was not interested 2002年2月，他将他的设计提请Alcatel考虑，但Alcat
29、el回复说它对此不感兴趣2 years later Alcatel launched a mobile phone equipped with a mirror.2年后，Alcatel推出了一款装有镜子的手机Mr Waldman sued Alcatel for infringement of his design right Waldman起诉Alcatel，称Alcatel侵犯了他的外观设计权Alcatel defended the case saying that the design was not novel or original enough to obtain the regi
30、stered design protectionAlcatel辨称该外观设计既不够新颖，也没有原创性，因此本不应得到外观设计的注册保护The court disagreed and ordered Alcatel to pay Mr Waldman 100K euros法院没有支持Alcatel的说法，判决Alcatel向Waldman支付100,000欧元Mr Waldman is now using that money to pursue other mobile phone manufacturersWaldman先生现在用那些钱去追赶其他手机生产商,Alcatels infringe
31、ment the phone,Informal 非正式解决方式,Disputes about infringement of IPR can be resolved between the parties without using the court or other outside body.知识产权侵权争端双方可不通过法院或其他机构而自行解决争端。It is common practice for the owner of IPR that is being infringed to send a letter to the infringer asking them to stop i
32、nfringing and to agree not to infringe again(a cease&desist letter).通常的做法是被侵权的知识产权所有人发信给侵权人，让其停止侵权并让其同意不再侵权（“停止并终止侵权信”）。If the parties cannot agree on an informal resolution,then the next step is often to start court proceedings.如果争端双方不能达成非正式解决方案，则下一步通常是启动法院诉讼程序。Courts usually require this sort of l
33、etter to be sent before starting proceedings and so it is sometimes called a letter before action法院通常要求在启动诉讼程序之前发送此类信件，所以有时此类信件被成为“诉前信”。There are provisions in EU law that prohibit the sending of a warning letter unless the IPR owner has a valid right and evidence that it is being infringed.If he do
34、es not meet those conditions,you can apply to the court for an order that he does not continue to threaten you with court action.If you are thinking of sending such a letter,it is essential to take legal advice first.欧盟法律规定，除非知识产权所有人有有效的权利和正被侵权的证明，否则禁止其发送这样的警告信。如果他不符合发送警告信的条件，你可向法院申请命令其不再继续以到法院起诉威胁你
35、。如果你正计划发送警告信，应先进行法律咨询，这至关重要。,Mediation and arbitration 调解与仲裁,These are alternatives to court proceedings that are often preferable if you will have an ongoing relationship with the other party e.g.distributors,manufacturers or licensees.Both take place in private but the results can be enforced by t
36、he courts.这些程序是法院诉讼外的争端解决方式，如果你和向对方有持续的往来关系，如与分销商、生产商或被许可人，那么这些程序通常更受欢迎。两种程序都是以不公开的形式进行的，但调解结果或仲裁裁决都可由法院强制执行。Mediation is an informal process facilitated by an experienced mediator which aims to help the parties reach their own resolution to the dispute.调解是非正式程序，由一位经验丰富的调解人主持，目的是帮助双方当事人、让他们自己达成解决争端的
37、方案。Arbitration is a private hearing in front of a qualified arbitrator who will make a decision about which party wins in a similar manner to a judge in court.仲裁是由一个有资质的仲裁员进行的不公开审理，像法院的法官一样，仲裁员要决定哪一方胜诉。,Patent office proceedings 1 专利局诉讼1,Challenging patents 质疑专利If someone claims that you infringe th
38、eir patent and you think the patent is not valid or should not have been granted or someone claims to own a patent that you think that you own,you can challenge their claim in the relevant patent office rather than waiting to be sued.In some EU countries(notably Germany)validity proceedings MUST be
39、brought in the patent office and cannot be heard by the courts.如果有人声称你侵犯了其专利权而你认为该专利根本无效或原本不应批准，或你认为某人声称为其所有的一项专利是你的专利的，你可以向有关专利局就其专利权主张提出质疑，而不是默默等待被起诉。在一些欧盟国家（特别是德国），有关有效性的诉讼必须在专利局提出，而不能到诉诸法院。Patent office proceedings often cost less and are quicker than court proceedings because they have less for
40、mal procedures but fully-fought invalidity actions tend to take at least as long and cost at least as much as court proceedings.与法院诉讼相比，专利局诉讼通常花费较少，速度较快，这是因为专利局的程序没有那么正式。但是，涉及专利有效性（无效性）的诉讼通常与在法院提起诉讼花费的时间和费用一样多。You may also make written observations on a patent application while it is under considera
41、tion by the patent office-this is helpful where someone has applied for a patent and you think that it ought not to be granted because the claimed invention does not meet the standards for patentability你可以就专利局正在考虑的某项专利申请写书面评论当有人已申请了某项专利，而你认为其声称的发明因不符合专利权申请标准而不应被批准时，这样做是有帮助的。,Patent office proceeding
42、s 2 专利局诉讼2,The sorts of dispute that are suitable for patent office proceedings are:适合在专利局提起诉讼的争端有：Ownership/Entitlement if you dispute who owns a patent or is entitled to own a patent 所有权/权利 如果你们对专利归谁所有或谁有权拥有某项专利有争议Revocation if you think a patent should not have been granted and want to have it ca
43、ncelled 撤回 如果你认为专利原本不应被批准并想取消该专利Declarations of non-infringement you can apply for confirmation that your activity does not or would not infringe a particular patent.This can be a useful pre-emptive tool if you cannot reach agreement with the person who claims that you are infringing their patent未侵权
44、声明 你可以申请确认你的行为没有或不会侵犯某项特定的专利。如果你与声称你侵犯了其专利权的人达不成协议，则此举可谓一个先发制人的可用手段。Infringement if you would prefer not to use the court 侵权 如果你不希望诉诸法院Applications to decide the terms of licences which can be given under a patent-where the owner of the patent and the person who wants a licence cannot agree terms 申请
45、确定专利许可条款 当专利所有权人与想得到专利许可的人不能就许可条款达成一致时Applications for a compulsory licence under a patent under certain circumstances,the patent owner can be forced to grant a licence申请强制专利许可 在一定情况下，专利所有权人会被强制给予许可,Trade mark office actions 商标局诉讼,Challenging trade marks 质疑商标 If someone claims that you infringe thei
46、r trade mark you can challenge their mark in the relevant trade mark office rather than waiting to be sued in the courts.There are two options:如果有人声称你侵犯了其商标权，你可以向有关商标局就其商标提出质疑，而不是默默等待被起诉。你有两种选择：Revocation where you believe that the mark should not have been granted because it does not fulfil the cri
47、teria in the trade mark legislation 撤回 你认为其商标由于不符合商标法规定的标准而原本就不该批准Invalidity-where you believe that the mark is not valid,usually because it has not been used for over five years 无效 你认为其商标无效，通常是因为其商标尚未使用满五年 Trade mark office proceedings often cost less and are quicker than court proceedings because
48、they have less formal procedures.It can also give you an advantage to be the person bringing the proceedings rather than defending them 与法院诉讼相比，商标局诉讼通常花费较少，速度较快，这是因为商标局诉讼没有那么正式。而且，你还有这样一个优势：主动提起诉讼，而非被动抗辩。Opposing a trade mark application 反对商标申请In many countries,where someone has made an application
49、to register a trade mark,you can oppose their application.This is useful where you have a mark yourself and you believe that the application would damage your rights in your own mark.如果有人在许多国家提交商标注册申请，你可以对他们的申请提出反对意见。在你有自己的商标并相信他人的申请会损害你对你的商标拥有的权益时这样做是有帮助的。,Domain name registries 域名注册处,Every domain
50、name registry has a domain name dispute procedure.This is an alternative to court action.It is usually a written procedure.Depending on the registry,it can be quicker than the courts and is generally cheaper.每个域名注册处都有域名争端诉讼。该程序是法院诉讼外的另一种争端解决方式，它通常是一种书面程序。每个注册处的情况各有不同，有些注册处解决争端的速度比法院会更快，而且费用通常也更低。You
