Transcript 중재⋅조정을 통한 지식재산 분쟁의 해결 세계지식재산기구 (WIPO

WIPO Alternative Dispute Resolution Services
세계지식재산기구 (WIPO) 중재조정센터
Geneva
2013년 2월
박은아, WIPO 중재조정센터
박은아, WIPO 중재조정센터
Source: The Guardian and New York Times
WIPO Arbitration and Mediation Center
Established in October 1994 as part of the World
Intellectual Property Organization (WIPO)
Headquarters in Geneva, and a branch office in
Singapore
Center facilitates the cost and time efficient resolution of
commercial disputes between private parties involving
intellectual property and technology, through procedures
other than court litigation (alternative dispute resolution)
박은아, WIPO 중재조정센터
Patent Litigation in Courts
Country
Characteristic of Legal System
Average Length
Average Costs
France
- Civil Law
- Unified Litigation
- No specialized courts
First Instance: 12-24months
Appeal: 18-24 months
€ 80,000-150,000 (1st Inst.)
Germany
- Civil Law
- Bifurcated Litigation
- Specialized courts
First Instance: 12 months
Appeal: 15-18 months
€ 50,000 (1st Inst.)
€ 70,000 (App.)
Italy
- Civil Law
- Unified Litigation
- Specialized courts
First Instance: Few months
– 24 months
Appeal: 18-24 months
€ 50,000-150,000 (1st Inst.)
€ 30,000-70,000 (App.)
Spain
- Civil Law
- Unified Litigation
- Commercial courts
First Instance: 12 months
Appeal: 12-24 months
€ 100,000 (1st Inst.)
€ 50,000 (App.)
UK
- Common Law
- Unified Litigation
- Specialized courts
- Mediation promoted
First Instance: 12 months
Court of Appeal: 12 months
Supreme Court: 24 months
€ 550,000-1,500,000 (1st Inst.)
€ 150,000-1,500,000 (App.)
€ 150,000-1,500,000 (Supreme Court)
China
- Civil Law
- Bifurcated Litigation
- Specialized courts
First Instance: 6 months
Appeal: 3 months
USD 150,000 (1st Inst.)
USD 50,000 (App.)
Japan
- Civil Law
- Bifurcated Litigation
- Specialized courts
First Instance: 14 months
Appeal: 9 months
USD 300,000 (1st Inst.)
USD 100,000 (App.)
USA
- Common Law
- Unified Litigation
- Specialized court of appeals (CAFC)
- Jury trial available
- Mediation promoted
First Instance: up to 24
months
Appeal: 12+ months
USD 650,000-5,000,000* (1st Inst.)
USD 150,000-250,000 (App.)
Source: This chart is based on figures provided in Patent Litigation - Jurisdictional Comparisons, Thierry Calame,
Massimo Sterpi (ed.), The European Lawyer Ltd, London 2006.
* Report of the Economic Survey, Prepared Under the Direction of Law Practice Management Committee, AIPLA, Arlington 2011.
박은아, WIPO 중재조정센터
Trademark Litigation in Courts
Country
Characteristic of Legal System
Average Length
Average Costs
France
- Civil Law
- No specialized courts (but
specialized chambers)
First Instance: 9-12 months
Appeal: 18-24 months
€ 10,000-100,000 (1st Inst.)
€ 10,000-100,000 (App.)
Germany
- Civil Law
- Specialized courts
First Instance: 8 months
Appeal: 15-18 months
€ 4,600-80,400 (1st Inst.)
€ 8,000-98,700 (App.)
Italy
- Civil Law
- Specialized courts
First Instance: Few months
– 24 months
Appeal: 12-18 months
€ 15,000-40,000 (1st Inst.)
€ 15,000-25,000 (App.)
Spain
- Civil Law
- Commercial courts
First Instance: 12 months
Appeal: 18-24 months
–
UK
- Common Law
- No specialized courts
First Instance: 10-12 months
Court of Appeal: 12 months
Supreme Court: 24 months
£ 100,000-500,000 (1st Inst.)
£ 50,000-250,000 (App.)
China
- Civil Law
- No specialized courts (but
specialized tribunals)
First Instance: 6 months
Appeal: 3 months
Based on the amount of
damages
RMB 500-1000 where no
claim for monetary amount
(1st Inst. and App.)
Japan
- Civil Law
- Specialized courts
First Instance: 14 months
Appeal: 9 months
–
USA
- Common Law
- No specialized courts
First Instance: 2-5 years
Appeal: 1-2 years
USD 350,000-1,500,000*
(1st Inst.)
Source: This chart is based on figures provided in Patent Litigation - Jurisdictional Comparisons, Thierry Calame,
Massimo Sterpi (ed.), The European Lawyer Ltd, London 2006.
* Report of the Economic Survey, Prepared Under the Direction of Law Practice Management Committee, AIPLA, Arlington 2011.
박은아, WIPO 중재조정센터
Copyright Litigation
Country
Characteristic of Legal System
France
- Civil Law
- No specialized courts
First Instance: 12-18 months
Appeal: 12-24 months
€ 5,000-50,000 (1st Inst.)
€ 5,000-50,000 (App.)
Germany
- Civil Law
- No specialized courts (but
specialized chambers within
higher courts)
First Instance: 6-12 months
Appeal: 6-24 months
Supreme Court: 2-3 years
€ 6,100-24,700(1st Inst.)
€ 7,400-30,500(App.)
Italy
- Civil Law
- Specialized courts
First Instance: 18-24 months
Appeal: 12-18 months
€ 15,000-40,000 (1st Inst.)
€ 15,000-25,000 (App.)
Spain
- Civil Law
- Commercial Courts
First Instance: 11 months
Appeal: 2-12 months
€ 20,000-30,000 (1st Inst.)
€ 15,000-20,000 (App.)
UK
- Common Law
- No specialized courts
First Instance: 12-13 months
Court of Appeal: 6-12 months
£ 100,000-500,000 (1st
Inst.)
£ 100,000-150,000 (App.)
China
- Civil Law
- No specialized courts (but
specialized tribunals)
First Instance: 6 months (in law)
Appeal: 3 months, no limits when
foreigners litigate
Based on the amount of
damages
RMB 500-1000 where no
claim for monetary amount
(1st Inst. and App.)
Japan
- Civil Law
- Specialized courts
First Instance: 14 months
Appeal: 8 months
–
USA
- Common Law
- No specialized courts
First Instance: several months or
years
Appeal: several months or years
USD 500,000 or more (1st
Inst.)
Average Length
Average Costs
Source: This chart is based on figures provided in Copyright Litigation - Jurisdictional Comparisons, Thierry Calame,
Massimo Sterpi, Francetti Regoli (ed.), The European Lawyer Ltd, London, 2010.
박은아, WIPO 중재조정센터
박은아, WIPO 중재조정센터
Alternative Dispute Resolution (ADR):
Mediation, Arbitration, Expert Determination
• 조정 Mediation: an informal procedure in which a neutral
intermediary, the mediator, assists the parties in reaching a
settlement of their dispute, based on the parties’ respective
interests. The mediator cannot impose a decision. The settlement
agreement has the force of a contract.
• 중재 Arbitration: a procedure in which the parties submit their
dispute to one or more chosen arbitrators, for a binding and final
decision (award) based on the parties’ respective rights and
obligations and enforceable as an award under arbitral law.
Arbitration constitutes an alternative to court litigation.
• 전문가 결정 Expert Determination: a procedure in which the
parties submit a specific matter (e.g. technical question) to one
or more experts who make a determination on the matter, which
can be binding unless the parties have agreed otherwise.
박은아, WIPO 중재조정센터
ADR – Benefits and Limitations
WIPO Experience
Limitation
Should be Consensual (either before or after a dispute)
Benefits
International / Neutral
Competent
Efficient / Flexible
Confidential
Finality
박은아, WIPO 중재조정센터
단일성 / 중립성
In ADR, parties designate a single forum for
resolving the entire dispute
Comprehensive and consistent resolution, rather than a
patchwork of conflicting court decisions
No party is forced to litigate in the other’s home country
Avoid possible actual or perceived home court advantage of
party that litigates in its own country
International (procedural) standards
WIPO: non-profit, international organization (part of UN)
Competitive fee range
박은아, WIPO 중재조정센터
전문성
IP disputes tend to be technical/specialized
Most courts are not specialized in IP (IBA 2005 Survey)
Possibility of jury (lay people) trial
• WIPO list of neutrals
• +1,500 candidates from 70 countries
• Broad range of ADR, IP and technical backgrounds
박은아, WIPO 중재조정센터
당사자 자치 / 효율성
Party control (shortened deadlines)
WIPO expedited arbitration case example:
Both parties agree on short deadlines for written
submissions
Sole arbitrator, one day hearing, Award within 5 weeks
Parties can submit all or part of the dispute to
arbitration
E.g.: only one patent covering relevant technology
Appeal option
WIPO: if agreed, first (one member) and second instance
(three members)
박은아, WIPO 중재조정센터
WIPO ECAF: Case File
Web-based electronic docket
Online filing, storage, classification, and communication
Security: Authentication + Encryption + Firewall
박은아, WIPO 중재조정센터
비밀유지
WIPO Rules require all participants to preserve
confidentiality regarding:
Existence of procedure, disclosures made during procedure,
result of procedure (settlement, award)
Specific provision on protection of trade secrets in arbitral
proceedings
Preserving relationships
Confidentiality helps parties to focus on the merits of the
dispute, without concern about its public implications
박은아, WIPO 중재조정센터
최종성 / 집행가능성
Facilitated international enforcement mechanism for
arbitral awards under the New York Convention (145
Member States)
Automatic enforcement of arbitration award
Enforceable except limited situations (e.g., lack of due
process, against the public policy)
Binding only on the parties
No public precedent
No general declaration of (in)validity
No direct office action (registration, cancellation)
But: inter partes effect proves mostly sufficient
박은아, WIPO 중재조정센터
특수 영역을 위한 WIPO ADR
영화 및 대중매체
ICOM (International Council of Museums)
ITPGRFA (International Treaty on Plant Genetic Resources for
Food and Agriculture) Standard Material Transfer Agreements
저작권 신탁관리단체
R&D (DESCA)
싱가폴 특허청과 협력
박은아, WIPO 중재조정센터
민은주,
WIPO Center Cases
Mediation and Arbitration Cases: +280
Amount in Dispute: USD 20,000 – USD 700,000,000
Remedies: damages, infringement declarations, specific
performance, etc.
Parties
China, Cyprus, Denmark, Finland, France, Germany, India, Israel, Italy,
Japan, Norway, Panama, Romania, the Russian Federation, Spain,
Switzerland, Turkey, the United Kingdom and the United States
Place of Arbitration
The Netherlands, Germany, the United Kingdom, United States, Switzerland,
Italy, France, etc.
Leading provider for domain name disputes: +40,000
domain name cases since 1999
e.g., <madonna.com>, <dreamworkstudios.com>, <gossipgirl.com>,
<24poker.com>, <cartoonetworkya.com>, etc
박은아, WIPO 중재조정센터
WIPO 도메인 이름 분쟁 해결
6000
5000
4000
3000
2000
1000
0
2000
2001
2002
2003
2004
2005
NUMBER OF CASES
박은아, WIPO 중재조정센터
민은주,
2006
2007
2008
2009
NUMBER OF DOMAIN NAMES
2010
2011
WIPO ADR Options
WIPO Contract Clause/
Submission Agreement
Negotiation
Mediation
Expedited
Arbitration
Expert Determination
Determination
박은아, WIPO 중재조정센터
Settlement
Arbitration
Award
WIPO 조정
WIPO 중재
WIPO 신속중재
조정요청
중재요청서
중재요청서 및 주장 진술서
조정인 선정
중재요청서에 대한 답변서 (30 일)
사전 연락
중재판정부 구성
중재요청서에 대한 답변서
및 항변 진술서 (20 일)
중재판정부 구성
조정 회의
주장 진술서 (30 일)
심리 (최장 3일)
종결
항변 진술서(30 days)
절차의 종결 (3 개월)
추가 서면 및 증인의 증언
종국판정 (3 개월)
심리
절차의 종결 (9 개월)
종국판정 (3 개월)
박은아, WIPO 중재조정센터
• 변론서 한차례 교환
• 각 단계 단축
• 단독 중재인
• 확정된 중재인 수수료
WIPO Caseload: Types of Procedure
박은아, WIPO 중재조정센터
WIPO Cases: Subject Matter
IT Law
17%
Patents
44%
Other
23%
Trademarks
9%
박은아, WIPO 중재조정센터
Copyright
7%
WIPO Cases: Industry
Life Science
3%
Luxury Goods
2%
Mechanical
17%
Pharmaceuticals
16%
Chemistry
2%
Entertainment
10%
Other
22%
Information
Technology
28%
박은아, WIPO 중재조정센터
Settlement in WIPO Administered
Cases
Mediation
Arbitration
Not
settled
27%
Not
settled
(Award)
42%
Settled
73%
박은아, WIPO 중재조정센터
Settled
58%
WIPO 조정 사례
특허침해 분쟁
컨설팅 계약의 일환으로 R&D 기업, 제조업체에게 특허발명품 정보 공개
특허권의 이전, 사용허락 없었음
R&D 기업, 제조업체의 판매 상품이 자사의 특허발명품을 담고 있다고 주장
특허 사용허락 협상 실패
복수 관할권에서 특허침해 소송제기?
조정신청
1주일간 조정회의
라이센스계약 및 새로운 컨설팅 계약 체결
총 조정기간: 4개월; 조정인 수수료: USD 24,000
박은아, WIPO 중재조정센터
WIPO 중재사례
미국 및 아시아 당사자: 의료기기에 대한 미국 및 유럽 특허
미국 및 유럽에서 진행되던 복수 관할권에서의 분쟁후 합의계약
WIPO 중재 조항:
1심 중재판정부: 미국특허-단독 미국중재인; 유럽특허-단독 유럽중재인
항소 중재판정부: 3인 중재판정부
중재지: 뉴욕
당사자 합의사항
중재인 / 중재절차 시일표 / 증거조사 (discovery) 범위
제52조에 따른 비밀 유지 결정
미국 및 유럽 특허 청구범위의 임시적 법적해석 (preliminary claim
construction)
중재판정부 구성후 18개월만에 중재판정 교부
박은아, WIPO 중재조정센터
WIPO 신속중재 사례
오페라 제작관련 파이낸싱
독일, 스위스/파나마 당사자; 양 당사자 미국 대리인; 독일 계약법;
독일 주재 미국중재인
당사자, 분쟁해결의 긴급성에 동의, 보다 짧은 기한정립에 합의
단일 쟁점
1일 심리
최종 판정: 신청 접수로부터 5주
중재인 수당: USD 20,000
박은아, WIPO 중재조정센터
WIPO 수수료표 (중재)
박은아, WIPO 중재조정센터
Preliminary WIPO Survey Results:
Arbitral Institutions Included in Dispute Resolution
Clauses
International Chamber of Commerce (ICC)
15%
WIPO Arbitration and Mediation Center
9%
American Arbitration Association (AAA)
8%
Non-institutional dispute resolution
7%
London Court of International Arbitration (LCIA)
3%
Deutsche Institution für Schiedsgerichtsbarkeit (DIS)
2%
Arbitration Institute of the Stockholm Chamber of Commerce (SCC)
2%
Singapore International Arbitration Center (SIAC)
2%
1%
China International Economic and Trade Arbitration Commission (CIETAC)
1%
Hong Kong International Arbitration Centre (HKIAC)
0%
박은아, WIPO 중재조정센터
2%
4%
6%
8%
10%
12%
14%
16%
18%
기술거래에 있어 분쟁해결에 관한
WIPO 국제조사 예비결과:
계약에 사용된 분쟁해결조항
기타 2%
전문가결정 3%
조정+전문가결정
1%
(신속)중재 3%
조정+중재 7%
법정소송
33%
조정+법정소송
8%
조정 13%
중재 30%
박은아, WIPO 중재조정센터
중재 조항의 작성
필수 요소
적용규칙
준거법
중재인 수
중재지: 중재에 호의적인 장소, 현대적 중재법
절차 언어
표준조항 사용, 제한적으로 변경
박은아, WIPO 중재조정센터
http://www.wipo.int/amc/ko/clauses/
박은아, WIPO 중재조정센터
기술거래에 있어 분쟁해결에 관한 WIPO
국제조사 예비결과: 시사점
분쟁을 미리 예상
당사자, 권리, 법의 국제적 양상의 가능성에 대비
다른 고려사항보다는 시간과 비용을 최소화할 수 있도록 설계
조정을 포함
중재와 법정소송 중에서 보다 빠르고 비용이 적게 드는 선택으로서 중재를 고려
중재를 선택했을 때는, 분쟁의 규모에 따라 신속중재를 고려
계약외 분쟁에서 당사자간 협상과 중재의 이용가능성 고려
특허소송에서의 분쟁당사자의 통상적인 목적은 재판외 분쟁해결을 통해 효율적으로
이룰 수 있다
박은아, WIPO 중재조정센터