Prosecuting Intellectual Property Crimes in the United States 在美国如何检控知识产权犯罪

在美国如何检控知识产权犯罪  Prosecuting Intellectual Property Crimes in the United States I. Who Protects Intellectual Property Rights in the U.S.? 在美国由谁来保护知识产权 The vast majority of intellectual property cases in the U.S. are civil cases brought by the intellectual property owner. There is no involvement by the U.S. Government. In a civil case, the intellectual property owner must prove that his rights have been infringed. If he proves his case, he can collect monetary damages, which may include attorneys fees and three times his actual losses, as well as an injunction against future violations. 在美国绝大多数知识产权案件是由产权所有人提出的民事诉讼。美国政府一般不参与，在民事诉讼中，产权所有人必须证明其权利受到了侵犯。如果控告成立，他可以获得金钱补偿，包括律师费和三倍于其实际损失的赔偿，以及禁止对方将来的侵权行为。 When is civil enforcement inadequate or ineffective? 在什么情况下，无法充分或有效地进行民事执法？ When the violator does not respond to civil judgments and orders. Two trends are leading to a greater need for criminal enforcement. That were globalization and Internet. 如果违法者不理睬法庭裁决及法庭命令的时候就无法充分有效地进行民事执法。全球化和互联网这两个趋势越来越多地需要刑事执法干预。 Who investigates intellectual property crimes in the U.S.? 在美国谁负责调查知识产权犯罪 U.S. Investigative Agencies with jurisdiction over IPR investigations: FBI, Customs 有权调查知识产权犯罪的联邦机构为：FBI 和海关 Who prosecutes intellectual property crimes in the U.S.? 在美国谁负责检控知识产权犯罪？ Prosecutors: 检察官 CCIPS: Department of Justice － headquarters in Washington, D.C. CCIPS( Computer Crime and Intellectual Property Section) 司法部（总部在华盛顿特区）下属的计算机犯罪及知识产权处 －－ includes prosecutors with special expertise in intellectual property crimes 包括在检控知识产权犯罪方面具有专长的检察官 －－ website: www.cybercrime.gov 网站地址：www.cybercrime.gov －－ 94 U.S. Attorney Offices － each office includes at least one prosecutor with special training in intellectual property crimes 在全国设立有94个检察官办公室，每个办公室至少有一名经过知识产权犯罪方面专门训练的检察官。 II. Charging considerations in IPR cases 知识产权案件在提出控告时的考虑因素 1. Federal Interest 联邦政府的关注程度 IPR is a U.S. law enforcement priority 保护知识产权是美国执法机制中的优先事项 More and more criminal prosecutions 趋势：刑事检控越来越多 2. Seriousness of the offense conduct 违法行为的严重性 Scale of infringing activity 侵权活动的规模 level of criminal intent 犯罪的意图 Harm to the victim 对受害人造成的损害 Potential harm to health and safety 对健康和安全的潜在危害 3. Sufficiency of the evidence and likelihood of a conviction 证据的充分程度及定罪的可能性 4. Adequacy of a civil remedy 民事赔偿是否足以解决此案 III. Specific IPR crimes under U.S. law 根据美国法律定义的知识产权犯罪行为 1. Criminal copyright violations 版权刑事侵权 Misdemeanor 轻罪 a. Elements 要素 valid copyright 有效版权 infringement 侵权 willfulness 蓄意 for commercial purpose or private financial gain 为商业或者经济目的 the defendant made at least 1 copy of 1 or more copyrighted works with a total retail value $1,000 within a 180 day period 被告在180天内制作了一件或以上受版权保护作品的至少一份拷贝，总零售价值为1，000美元。 b. Misdemeanor copyright violation 轻度版权侵权 Penalty: Up to one year in jail; $100,000 fine, restitution 处罚：最高入狱一年；罚款100，000美元；赔偿 Felony 重罪 a. Elements 要素 a valid copyright exists 存在有效版权 the defendant infringed it by reproducing or distributing the copyrighted work 被告通过复制或经销受版权保护的作品而侵犯了版权。 the defendant acted willfully 被告之行为属明知故犯 the defendant made at least 10 or more copies of 1 or more copyrighted works with a total retail value of $2,500 within a 180 day period 被告在180天内制作了一件或一件以上受版权保护的作品的至少十份或十份以上的拷贝，总零售价值为2，500美元。 b. Punishment 处罚 Maximum: 3 years in jail, $250,000 fine 最高入狱三年，罚款250，000美元 if the prosecution can prove that the defendant acted for purpose of commercial advantage or private financial gain the maximum sentence is 5 years in jail. 如果控方能够证明被告的行为系“以商业利益或私人谋利为目的”，则最高可头判处入狱五年。 The No Electronic Theft Act “不以电子盗窃论处”法案 a. In December 1997, the U.S. passed the NET (No Electronic Theft Act), a new law eliminating the commercial purpose requirement for criminal prosecution. 1997年12月，美国通过了“不以电子盗窃论处”（NET）法案，免除了刑事起诉中关于商业目的的要求。 b. The NET Act was passed in response to a court decision in United States v. LaMacchia, 871 F. Supp. 535 (D.Mass.1994), in which a court held that it was not a crime for someone to post copyrighted software on the internet and permit others to copy it for free.  NET法令之通过基于法庭对U.S.vs LaMacchia，871 F.Supp，535(D.Mass,1994)一案的决定。法庭在审理该案中认为将受版权保护的软件登载到互联网上并让其他人免费复制，不是犯罪。 2. Criminal trademark infringement 商标刑事侵权 Trademark: Anti－Counterfeiting efforts 商标：反假冒 Trademarks/branding helps (1) mark holders (2) customers (3) 3rd parties (4) commerce; esp. in information economy 商标/品牌有助于（1）商标持有人、（2）消费者、（3）第三方、（4）商业界；尤其是在信息经济中 Criminal sanctions are appropriate: 适用刑事制裁 Mark holders cannot protect themselves against theft; 商标持有人无法保护自己的商标不被盗用 Consumers cannot protect against fraud; 消费者无法保护不受欺骗 3rd parties rely on others & standards 第三方依赖于其他方及标准 Commerce needs basic rules enforced 商业界需要基本规则的约束 18 USC 2320 elements 18 USC 2320的要素 a. The defendant 被告 intentionally; 故意行为 trafficked in goods or services, or attempted to; 从事或者企图从事货物或者服务交易 used a counterfeit mark on or in connections with such goods or services; and 在这些货物或服务上或与其有关的行为中使用了“假冒商标” knew mark so used was counterfeit 对假冒商标明知故用 b. Counterfeit Mark 伪造商标 a spurious mark: used in connection w/trafficking in goods or services;用于货物或服务的交易中 Substantially indistinguishable from a mark in use and registered for those goods or services in the Patent & Trademark Office 与这些货物或服务在正在使用的经专利与商标局注册的商标很难区别 use of which is likely to cause confusion, to cause mistake, or to deceive 采用这些伪造商标可能造成混淆、错误或欺骗 c. Defenses to 2320 Overrun good exemption 对2320的辩护－－“泛滥商品”豁免 Gray market goods not covered by the statute 本条例不适用于“灰色市场商品” Lanham Act defenses apply, but not usually applicable 可援引法令进行辩护，但通常并不适用 － Abandonment, Registration Fraud, Fair use 商标放弃、注册欺诈、公平使用 d. Penalties for Counterfeiting 对假冒行为的处罚 Felony 重罪 － Up to 10 years in prison 最高入狱十年 － Fines of up to $2,000,000 最高罚款200万美元 Forfeiture permits destruction of the counterfeit articles 被查没的假冒物品可予以销毁 3. How do we investigate IP crimes? 我们如何调查知识产权犯罪行为？ －－ If the conduct is over we conduct a historical investigation 如果该犯罪行为系在过去发生，我们可进行历史追查 Use of Grand Jury subpoenas to compel the production of records 利用大陪审团传讯来强制产生记录 Use of Grand Jury subpoenas to compel testimony 利用大陪审团传讯来强制举行听证 － Privilege against self－incrimination 被传唤人享有免除自认犯罪的特权 － Immunity orders and compulsion orders 豁免令与强制令 － Cooperation agreements 合作协议 －－ If the conduct is ongoing we may also conduct a proactive, or undercover investigation 如果该犯罪行为正在发生中，我们也可以主动出击或暗中调查 A. Investigative Phase 调查阶段 Search warrants 搜查令 － Require court approval 要求法庭批准 － Upon showing of probable cause 提出合理根据 Some exceptions 一些例外情况 － Exigent circumstances 紧急情况 － Consent 获得同意 － Border inspections 边境检查 B. Proactive 主动出击 Undercover investigations 暗中调查 － Confidential informants 秘密检举人 － Undercover police officers 便衣警官 － Advantages 优点 * Catch the criminal in the Act 当场抓获罪犯 * Preserve the evidence of the commission of the crime on audiotape and/or videotape 通过录音和/或录像保存犯罪行为的证据 Entrapment 诱捕 － Did the police present a criminal with an opportunity to commit a crime? or 警方是否给罪犯提供了犯罪的机会，或者 － Did they overcome the will of an innocent person? 他们是否压制了一个无辜者的意愿？ － Predisposition 是否诱发及利用了一般人的天性？ － Lawfulness of police tactics 警方策略的合法性 － Was the defendant's will overcome? 被告的意愿是否被压制？ － Jury question 陪审团提问 Charging Decision －－ Grand Jury System 指控的决定 －－ 大陪审团制度 － Under the U.S. Constitution, every defendant charged with a felony has a right to insist upon being charged by the Grand Jury 根据美国宪法，每一个被控犯有重罪的被告都有权坚持要求交由大陪审团审理 － U.S. prosecutors have discretion to decide whether to present matter to the Grand Jury 美国的检察官有权决定是否将案件提交大陪审团 － At this stage the prosecutor must revisit the charging considerations 在此阶段，检察官必须重新考虑涉及指控的各方面问题 Pre－Trial Discovery 审判前的证据展示 － The prosecutor must disclose to the defense all of the evidences he or she intends to use at trial 检察官必须向被告披露他（她）拟在审判时使用的所有证据 － The prosecutor must also disclose all evidences favorable to the accused 检察官还必须披露所有对被告有利的证据 * Including evidence of all agreements between the prosecution and its witnesses 包括检方通过与其他证人达成协议而获得的所有证据 * The criminal record of its witness 检方证人的刑事案底 Pre－trial Motions 审前动议 － Before trial the defendant may move to dismiss the case on the ground that the facts alleged do not constitute a crime 审判前，被告一方可基于所指控事实不构成犯罪而提出动议，要求撤销案件 － The defendant may also move to: 被告还可提出动议要求： * Suppress evidence obtained during a search 不采用在某次搜查中获得的证据 * Suppress statements of the defendant 不采用被告的陈述 － The Judge decides pre－trial motions and if necessary holds evidentiary hearings 由法官决定是否采纳审判前提出的动议；若有必要，法官可召集听证会。 Adjudication 裁决 A Defendant may choose:被告可选择 － Plea Bargain 认罪交易 * If evidence is strong 如果证据确凿 * Defendant may receive some benefit in return 被告可因认罪而得到某些有利的处置 － Trial 开庭审判 * Facts are usually decides by a Jury 事实通常需要由陪审团来决定 * Witnesses must testify in person and be subject to cross－examination 证人必须亲自出庭作证并接受双方讯问 * Proof must be beyond a reasonable doubt 证据必须能够不使人产生合理的怀疑 * Unanimous verdict 陪审团必须达成一致意见 Sentencing 判刑 － Statutory maximum 法定上限 － U.S. sentencing guidelines 美国的判刑准则 * Limit the discretion of federal judges in sentencing 限制联邦法官在判刑时的自由酌处的尺度 * The guidelines assign values to characteristics of the offense conduct such as the scope of the criminal activity 准则强调犯罪行为的特点，如犯罪活动的范围 * For example: the amount of drugs in a drug case, the amount of loss in a fraud case, the retail value of legitimate products in an IPR case 例如：贩毒案件所涉及的毒品数量、诈骗案件所涉及的损失款额、知识产权案件中合法产品的零售价值 * The guidelines also assign values to the defendant's background, including any criminal record 准则还强调被告的背景，包括有无犯罪记录 Sentencing Guidelines 判刑准则 － The sentencing guidelines take into account all relevant factors and result in a determination of a guideline range 判刑准则考虑所有的有关因素，以确定量刑范围 － The Judge may sentence the defendant to any sentence within the range 法官可在量刑范围内判处被告任何刑期 Departures from the Sentencing Guidelines 偏离判刑准则 － If the Judge departs from the sentencing guideline range the Judge must have a lawful reason for such a departure 法官必须有合法的理由方可偏离根据判刑准则所确定的量刑范围 － One lawful reason for a downward departure is the cooperation of the defendant 减少刑期的合法理由之一是被告的合作 Sentencing Factors in IPR Cases－Section 2b5.3 知识产权案件的判刑依据 － 第2b5.3节 － Base offense level － 8 (the same as all fraud offenses) 基本犯法等级为8级（与所有期诈罪属同一等级） － The infringement amount 侵权涉及的款额数量 － The manufacture, importation or uploading of infringing制造、进口或上网经销侵权产品，罪加二级，至少这12级 － If not for commercial advantage, decrease 2 levels but not below 8 如果侵权的目的不在于商业牟利，则罪降二级，但不得低于8级 － Conscious or reckless disregard of serious bodily injury; or possession of a dangerous weapon － increase 2 levels to at least level 12 故意或肆意漠视严重的人身伤害，或拥有危险性武器，罪加二级，至少为12级 － If decryption used, increase 2 levels 如果涉及破码行为，罪加二级 Infringement Amount 侵权涉及的款额数量 － Most cases: the retail value of the infringed item 大多数案件，被侵权物品的零售价值 * If the infringing item is substantially identical or is a digital or electronic reproduction; or 如果侵权物品非常相似，或为数字或电子复制品；或者 * The price of the counterfeit is at least 75% of the legitimate product;假冒物品价格为合法产品的至少75% Upward Departure Considerations 加长刑期的考虑因素 － The sentence of a defendant may, in the discretion of the court, be enhanced to a sentence above the guideline range if 被告所判的刑期可由法庭自行酌定加长而超过准则所规定的量刑范围，如果： * There is substantial harm to the reputation of the copyright or trademark owner; or 侵权对版权或商标持有人的声誉造成了重大伤害；或者 * The offense was part of the criminal activities of a national or international organized criminal enterprise 该违法行为是全国性或者国际性有组织犯罪集团犯罪行为的一部分