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| 美国海关总署对知识产权的边境执法措施 |
| 出处： 作者：（转载） 翻译中国 2004-7-9 11:14:54 |
如需转载，请注明来自：翻译中国 http;//www.FanE.cn
U.S. Customs Border Enforcement Measures for Intellectual Property Rights
美国海关总署对知识产权的边境执法措施
I. The Goal 目标
Trade (Industry) and Customs work together to identify and stop infringing articles from entering or transiting the country.
贸易（工业）界与海关携手合作，发现及阻止侵权物资入境或过境。
TRIPS requires an enforcement mechanism must be effective, that is not a barrier to legitimate commerce. It also offers remedies that effectively deter future violations.
TRIPS要求建立一个执法机制该机制应该有效，而且不是合法商务的障碍，能够采取补救措施以阻吓今后的违法行为。
II. Why is IPR enforcement important 知识产权（IPR）执法的重要性
IPR violations IPR违法行为
Threaten public health and safety 威胁公共健康与安全
Damage markets for legitimate goods 破坏合法物资的市场
Are responsible for corporate revenue loss 导致公司损失营业额
Are responsible for lost revenue to the government 造成政府损失收入
Curb development of technology 阻碍技术发展
Fund domestic and international organized crime and terrorism 为国内和国际有组织犯罪及恐怖活动提供资金
Make a country attractive for violators 使一个国家变为违法者向往的天堂
Denigrate a country's reputation among trading nations 玷污国家在国际贸易中的声誉
Effective IPR enforcement 有效的IPR执法
Is a requirement under TRIPS 有效性是TRIPS的一项要求
Fosters foreign investment in manufacturing facilities 扶植制造业中的国外投资
Encourages international trade in goods and technology 鼓励货物和技术的国际贸易
Avoids trade sanctions 避免贸易制裁
III. U.S. Customs and IPR Protection 美国海关与保护知识产权（IPR）
Provide protection for federally registered copyrights and trademarks recorded with the Agency
为在海关备案的联邦注册版权和商标提供保护
Enforce U.S. International Trade Commission exclusion orders ( usually involving patent infringement)
执行美国国际贸易委员会的禁止入境令（通常涉及专利侵权）
Enforcement of Exclusion orders
执行禁止入境令
Evaluate similarities/differences between suspect and authentic to determine whether it is covered within the scope of the exclusion order.
评价涉嫌物资和正牌产品的异同之处，以确定涉嫌物资是否在禁止入境令涵盖范围内。
Examples 例子
Disposable Cameras 一次性照相机
Miniature Flashlights 微型闪光灯
IV. Working with Private Industry 与私人企业的合作
Rights holders 知识产权持有人
Trade associations - representatives of rights holders 贸易协会--权利持有人的代表
Private investigators 私人调查员
Corporate counsel 公司法律顾问
many IPR violations are initially referred to Customs and other law enforcement agencies by industry
许多IPR违法行为最初由工业界向海关及其它执法单位检举
IP Owners May Request Enforcement 知识产权持有人可要求采取执法行动
By written "Application" 通过书面“申请”
Under TRIPS must be available for protection against COUNTERFEIT and PIRATICAL goods
根据TRIPS必须能够针对仿冒品和盗版品采取执法保护行为
How Rights Holders Can Help 知识产权持有人怎样协助
Conduct investigation 进行调查
identify counterfeit goods in the market 辨识市场上的仿冒品
identify organizations responsible 找出应该对仿冒品负责的组织
Assist Law Enforcement 协助执法
provide investigative leads, samples of goods purchased 提供调查线索及买到的样品
provide forensic examiners 提供法学鉴定人
calculations of loss 计算损失
testimony at trial 出庭作证
V. IPR Database IPR 资料库
As a prerequisite to enforcement, U.S. Customs requires IPR owners to provide information regarding their IPR and to pay a recordation fee.
作为进行执法的前提，美国海关总署要求IPR持有人提供其IPR的资料并交纳登记费。
This information is maintained in a database available to all Customs Officers at all ports of entry.
这些资料存放在一个资料库中，供所有入境口岸的海关官员查用。
U.S. Customs will enforce other federally registered IPR "so long as the sound administration of Customs laws is not compromised."
美国海关总署“在不违反海关法严格实施的条件下”将对其它联邦注册的IPR提供执法保护
VI. Typical U.S. Customs IPR Investigation 典型的美国海关IPR调查程序
Imported merchandise arrives at a port of entry (land border, seaport or airport).
进口货物抵达入境口岸（陆地边境、海港或机场）
Customs Officers review the associated documents 海关官员审查有关文件
"entry documents" identify merchandise, its manufacturer, country of origin, and importer
“进口文件”说明商品内容、制造厂商、原产国及进口商
commercial invoice (usually from the manufacturer) 商业发票（通常由制造厂商开具）
shipper's manufest 运输公司的货单
bill of lading, delivery instructions 提单、交付指示
Information for most entries is available to Customs Officers only electronically
大部分进口物资的资料完全以电子文件的方式报关
Customs Officers "select" merchandise for examination 海关官员“选择”要检查的货物
Merchandises arrives in the United States by: 货物抵达美国的方式：
Conveyance 交通工具
Land 陆运
Sea 海运
Air 空运
Passengers 旅客携带
International mail 国际邮递
INTERNET 互联网
Selectivity (Targeting) 选择（待查目标）
ACS (Automated Commercial System) ACS（自动商务系统）
Contains information provided by IP owners 系统中存有知识产权持有人提供的资料
document Review 审阅文件
Warehouse "sweeps" “突击检查”仓库
Border Search Authority 边境搜查授权
Unique to United States Customs Service 只有美国海关才能享有的权力
Purpose is to protect the revenue of the United States. 旨在保护美国的国家收入
A well recognized exception to the probable cause and warrant requirements of the Fourth Amendment.
虽然宪法第四修正案规定搜查需要充分理由及搜查证，但边境检查是公认的例外情况。
The search must be reasonable. 搜查必须合理。
Individuals have a reduced expectation of privacy at the border. 个人在边境上不能享受正常的隐私权
The government is searching for imported merchandise subject to duty.
政府搜查的是需要缴纳关税的进口货物。
National self-protection. 国家的自我保护措施。
Dangerous or restricted articles including narcotics, munitions, cultural properties and currency.
危险或限制的物品包括毒品、军火、文化财产和货币。
VII. Examination Process 检查流程
Customs inspectors examine the merchandise 海关检查员检查货物
Infringing articles are often concealed (similar to narcotics) 侵权物件往往是隐藏着的（跟毒品的情况相似）
If inspectors determine that merchandise bears a counterfeit mark or is clearly piratical they seize the merchandise.
如果检察员确定货物带有仿冒商标或明显是盗版产品，就没收这批货物。
If more information is required they may detain the merchandise for 30 days.
如果需要进一步资料，检察员可以将货物扣留30天
must issue a notice to importer stating reason for detention 必须向进口商发出通知，说明扣留原因。
Customs inspectors may take samples for further forensic examination海关检察院可取样，以便做进一步的法学鉴定
When merchandise is seized Criminal investigators (Special Agents) are notified.
货物没收后，即通知刑事调查员（特工）。
a notice of seizure is sent to the importer and other "interested parties" within 30 days.
在30天内向进口商及其他“有关方面”发出没收通知。
Criminal Investigators evaluate the case and after consulting with U.S. Attorney's Office determine whether criminal prosecution is warranted.
刑事调查员评价案情，并在与美国检察官办公室协商后决定是否要提出刑事起诉。
Smaller violations are generally handled administratively and referred to the Office of Fines, Penalties & Forfeitures. 较小的违法行为一般只作行政处理，交由罚款、处罚和没收办公室处理
assess fines / penalties upon the importer 向进口商征收罚金/处罚
initiate administrative forfeiture proceedings 启动行政没收程序
VIII Administrative Process 行政流程
Counterfeit merchandise is subject to seizure and forfeiture 仿冒货物应予以查封和没收
Counterfeit goods are generally destroyed 仿冒商品通常销毁
Alternate disposition available with consent of IP owner 经知识产权持有人同意可采用其它处理办法
Piratical merchandise is subject to seizure and forfeiture 盗版货物应予以查封和没收
Piratical goods are destroyed 盗版商品予以销毁
IP holder is notified and information is provided 通知知识产权持有人并提供资料
Initial seizure penalty equal to 10% of entered value, used to offset storage and destruction costs.
初步罚金相当于报关价格的10%，用于偿付储存及销毁费用
Total fines and penalties vary based upon culpability and if there are repetitive violations
总的罚金和处罚视严重程度而定，同时还要看是否累犯
19 USC 1595(a) -- Allows for seizure and forfeiture of vehicles, vessels, aircraft and other articles used to aid or facilitate importation of volatized merchandise.
19 USC 1595（a） --允许查封和没收用于协助或从事进口违法货物的车辆、船只及其它物件
IX Criminal Investigation 刑事调查
Customs Special Agents take control of the merchandise and initiate a criminal investigation.
由海关特工接管货物并开始刑事调查
Coordinate with Assistant U.S. Attorney. 与美国检察官协调
Investigation focuses initially on the importer, shipper and consignee.
起初调查重点是进口商、运输公司和收货人
May conduct a controlled delivery of the shipment. 可进行货物监控交付
Objectives in Combating Larger and More Complex IPR Violations 与大规模复杂IPR违法行为作斗争的目标
Identify the scope of the operation both domestically and foreign 确定在国内外的作业范畴
Identify the source of funds used to facilitate smuggling and the methods by which proceeds are laundered and transported out of the United States.
确定用于从事走私活动的资金来源以及洗钱和把钱运出美国的方法
Successful prosecution of violators and recovery/ forfeiture of proceeds and other assets utilized to facilitate the criminal activity.
成功地起诉违法人员并回收/没收用于从事刑事犯罪活动的资金及其它资产
Investigative Techniques for Criminal Investigation of IPR Violations
对IPR违法行为进行刑事调查的调查技术
Border search authority 边境搜查授权
Traditional investigative techniques 传统调查技术
Electronic intercepts 电子截听
Search warrants 搜查证
Confidential informants 秘密线民
Experts in the Field, Private Industry 现场专家，私人工业
Forensic Laboratories 法学实验室
Undercover operations 便衣行动
Controlled Deliveries 监控交付
Most often associated with narcotics investigations 最常用于毒品调查
More and more frequently utilized in commercial fraud and IPR investigations 越来越常用于商业诈骗和IPR调查
In order to identify the ultimate recipients of prohibited merchandise 目的是为了发现违禁货物的最终收货人
Undercover Operations 便衣行动
Example -- Licensed Customshouse broker operation/licensed freight forwarder
例子： 有执照的报送行作业/有执照的货运代理
Office/warehouse premises - wired for video/sound 在办公室/仓库现场--秘密录像/录音监视
Undercover agents as employees 便衣特工充当员工
Conduct long-term operations targeting IPR violators 针对IPR违法者进行长期调查行动
Established accounts at int'l financial institution 在国际金融机构设立账户
Potential Criminal Charges 可能采取的刑事控告
18 USC 545 Smuggling goods into the United States 走私货物进入美国
18 USC 542 Entry by false statements谎报入关
18 USC 371 Conspiracy 同谋
18 USC 2320 Trafficking in counterfeit goods 偷运仿冒商品
18 USC 1956 Money Laundering 洗钱
X. Major Problem in Copyright Enforcement is Piratical Copies of Media
版权执法中的主要问题是媒体盗版
Some Examples: 例子
Computer software / firmware 计算机软件/固件
Video games 电视游戏
Music / video CD's 音乐/录像光碟
DVD DVD
Why laboratory testing is necessary 为什么实验室测试是必要的
In many cases intellectual property which is inherent in the product is not apparent from physical examination (i.e., computer programs, electronic games).
在很多案件中，产品固有的知识产权从外观上检查并不明显（如计算机程序、电子游戏）
Laboratory testing is necessary to characterize the merchandise and identify IPR issues.
有必要通过实验室测试来确定货物特点并发现IPR问题
Laboratory testing supports the admissibility, detention or seizure of the importation.
实验室测试支持对进口货物的放行、扣留或没收决定
Laboratories 实验室
test merchandise samples against standards provided by IP owners to verify authenticity
根据知识产权持有人提供的标准鉴定货物以证实其真实性
perform 'side by side' evaluations of products to verify authenticity
对产品进行“实物对比”评价以证实其真实性
XI Major Problem in Trademark Enforcement is Counterfeit Products 商标执法中的主要问题是仿冒产品
Some examples 若干例子：
Computer Microprocessors 计算机微处理器
Titanium Golf clubs 钛金属高尔夫球杆
Wearing Apparel / Textile logos衣饰/纺织品标牌
Pharmaceuticals 药品
Perfumes 香水
Forensic examinations may be conducted by scientists to detect counterfeits and reproductions of trademarked products
可由科学家进行法学鉴定，以侦查注册商标产品是仿冒品和复制品
XII National Intellectual Property Rights Coordination Center 全国知识产权协调中心
Multi-Agency Law Enforcement unit designed to coordinate a unified U.S. government response to the threat posed by IPR crime 由多个执法单位组成，旨在协调美国政府对IPR犯罪威胁的统一行动
Staffed by U.S. Customs and FBI investigative personnel 由美国海关总署和联邦调查局（FBI）的调查人员组成
Primary law enforcement agency participation 主要执法单位参加
domestic and international 国内和国际
The Internet and IPR 互联网和IPR
Music 音乐（MP3）
Motion Picture 电影（DVD/VCD）
Business/Interactive game software 商业/互动游戏软件
Traditional merchandise 传统商品（销售）
C3 Customs Cyber Smuggling Center（海关反信息空间走私中心）
Focuses on criminal activity conducted on or facilitated by the Internet
专注在互联网络上或通过互联网进行的犯罪活动
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