知识产权海关执法制度刍议

（一）背景与必要性/Background and necessity

侵权商品的跨国流动随全球贸易便利化持续加剧，对知识产权生态与经济秩序构成系统性威胁。

With the continuous facilitation of global trade, the transnational flow of infringing goods has intensified, posing a systematic threat to the intellectual property (IP) ecosystem and the economic order.

在总体执法层面，2024年全国海关实施知识产权保护措施5.32万次。国内侵权商品流入持续减少，整体侵权的呈现以商标权侵权为主导，专利及著作权侵权增加的趋势。在具体执法渠道层面，出口环节仍是全国海关执法保护的主战场，而随着互联网新业态的发展，市场采购、跨境电商等领域执法连续多年呈现增长态势，反映侵权向碎片化、线上化转移的趋势。

At the macro level, in 2024, Chinese customs implemented 53,200 IP protection actions nationwide, indicating a continued decline in the inflow of infringing goods into the domestic market. Trademark infringement remained the dominant form, with increasing trends in patent and copyright violations.In terms of enforcement channels, export remains the primary battlefield for customs IP protection. However, with the development of new internet-based business models, enforcement actions in areas such as market procurement and cross-border e-commerce have shown sustained growth over the years, reflecting a shift of infringement activities toward fragmentation and digitalisation.

此类侵权活动对经济社会造成系统性损害。海关通过精准阻断侵权供应链发挥核心作用，执法行动同步保障创新安全与广覆盖面。中国海关更深度参与全球治理体系重构，通过对CPTPP过境知识产权保护相关条款研究及上海自贸区试点，回应新全球化下的知识产权保护需求。

Such infringement activities cause systemic harm to the economy and society. Customs plays a pivotal role in cutting off the supply chain of infringing goods, enforcement actions have also ensured innovation security and comprehensive protection. Additionally, Chinese customs has actively engaged in reshaping global governance systems, responding to the new globalisation landscape by researching the CPTPP’s IP border protection clauses and piloting related initiatives in the Shanghai Free Trade Zone.

（二）知识产权海关保护的基本概念/Fundamental concepts of customs protection of intellectual property rights

《中华人民共和国知识产权海关保护条例》（2018修订）第二条规定，知识产权海关保护的客体是指与进出口货物有关并受中华人民共和国法律、行政法规保护的商标专用权、著作权和与著作权有关的权利、专利权。

According to Article 2 of the Regulations of the People’s Republic of China on Customs Protection of Intellectual Property Rights (2018 Revision), the scope of customs protection includes trademark rights, copyrights and related rights, and patent rights related to import and export goods, which are protected under Chinese laws and administrative regulations.

知识产权海关保护方式是采取以依职权保护与依申请保护的双轨并行机制。

The customs protection system adopts a dual-track mechanism consisting of ex officio protection and protection upon application.

依职权保护中，该模式以知识产权海关备案为前提，海关总署应当自收到全部申请文件之日起30个工作日内作出是否准予备案的决定，并书面通知申请人。当海关在监管中发现涉嫌侵权货物时，需立即书面通知权利人；权利人应在3个工作日内提交扣留申请及提交担保，单次担保金额最高人民币10万元，总担保的担保金额在知识产权权利人上一年度向海关申请扣留侵权嫌疑货物的情形中为扣留后仓储、保管和处置等费用之和，在知识产权权利人上一年度未向海关申请扣留侵权嫌疑货物或者仓储、保管和处置等费用不足人民币20万元的情形中，为人民币20万元，提交担保后海关应当扣留侵权嫌疑货物，同时书面通知知识产权权利人，并将海关扣留凭单送达收货人或者发货人，海关自扣留之日起30个工作日内完成侵权调查认定，若认定侵权，海关将作出没收货物的行政处罚决定，对构成犯罪的还应当向公安机关移送，若不能认定是否侵权，或权利人在规定期限内未向法院申请采取财产保全或责令停止侵权等相关执行行为的，海关将解除货物扣留，办结相关手续后放行货物。

Under ex officio protection, customs action is contingent upon prior IP recordation. The General Administration of Customs (GAC) must decide whether to grant recordation within 30 working days after receiving a complete set of application documents and notify the applicant in writing. If customs authorities discover goods suspected of infringement during supervision, they must notify the rights holder immediately. The rights holder shall submit an application for detention and a guarantee within three working days, and the maximum amount of a single guarantee shall be 100,000 yuan, and the total amount of the guarantee shall be the sum of the costs of warehousing, storage and disposal of the suspected infringing goods after detention if the intellectual property rights holder applied to customs for detention of the goods in the previous year, and 200,000 yuan in the case where the intellectual property rights holder did not apply to customs for detention of the suspected infringing goods or the costs of warehousing, storage and disposal were less than 200,000 yuan in the previous year. Customs shall detain the suspected infringing goods after the submission of the guarantee and at the same time notify the intellectual property rights holder in writing, and send the customs detention voucher to the consignee or consignor, and customs shall complete the investigation and determination of the infringement within 30 working days from the date of detention. If the infringement is determined, customs will make a decision to confiscate the goods of the administrative penalty, and if it constitutes that a crime should also be transferred to the public security organs, if it cannot be determined whether or not there is an infringement, or the rights holder in the prescribed period of time did not apply to the court to take the preservation of property or order to stop the infringement of the relevant implementation of the act, customs will lift the detention of the goods, and after completing the relevant formalities, the goods will be released.

依申请保护中，无需以备案为前提，知识产权权利人发现侵权嫌疑货物即将进出口，向货物进出境地海关提出扣留侵权嫌疑货物的申请，提交申请书及相关证明文件，并提供足以证明侵权事实明显存在的证据，申请书内容涵盖权利人信息、知识产权信息、侵权嫌疑货物信息等。同时权利人应提供不超过货物等值的担保，海关对权利人提交的申请和附随材料进行核查，符合条件的，海关应当扣留侵权嫌疑货物，书面通知知识产权权利人，并将海关扣留凭单送达收货人或者发货人；不符合规定的，海关应当驳回申请，并书面通知知识产权权利人，后续侵权纠纷需权利人通过向法院起诉解决，海关不进行处罚等处理，因此权利人需在规定期限内向人民法院提起诉讼并申请扣押有关货物，否则扣留之日起20个工作日内海关未收到法院协助执行通知的，海关应当放行货物。

Under protection upon application, recordation is not required. Rights holders who discover suspected infringing goods about to enter or exit the country may apply directly to the local customs office. The application must provide sufficient evidence to prove that infringement of the existence of the obvious evidence, the content of the application covering the rights holder information, intellectual property information, suspected infringing goods information. At the same time, the rights holder shall provide a guarantee of no more than the equivalent value of the goods. Customs shall verify the application and accompanying materials submitted by the rights holder, and if the conditions are met, the Customs and Excise Department shall detain the suspected infringing goods, notify the intellectual property rights holder in writing, and deliver the Customs and Excise Department detention voucher to the consignee or the consignor; if the conditions are not met, the Customs and Excise Department shall reject the application and notify the intellectual property rights holder in writing, and the rights holder shall resolve the subsequent disputes over infringement through litigation in the court. The rights holder must then initiate court proceedings within the time limit (typically 20 working days) to prevent the release of the goods.

（一）国际法/International law

知识产权海关保护的国际法依据，主要源于世界贸易组织（WTO）和世界海关组织（WCO）主导的多边公约及区域性协定。其中，WTO《与贸易有关的知识产权协定》（TRIPs协定）构成最核心的法律基础。

The international law basis for customs protection of intellectual property rights stems mainly from multilateral conventions and regional agreements led by the World Trade Organization (WTO) and the World Customs Organization (WCO). Among them, the WTO Agreement on Trade-Related Aspects of Intellectual Property Rights (TRIPs Agreement) constitutes the core legal basis. 

在TRIPs协定的基础上，WCO颁布了《经修正的京都公约》以及一些软法性的指南，以推动执法程序协调。

Building on TRIPs, the WCO has developed the Revised Kyoto Convention and soft-law instruments to harmonise procedures.

一些区域性协定进一步拓展了知识产权海关保护的范围与强度。这些TRIPs-PLUS条款相较于TRIPs协定，很大程度上提高了知识产权海关保护的标准。但这些区域性协定也可能异化为贸易壁垒，凸显了国际贸易博弈的复杂性。

Regional agreements have expanded the scope of IP customs enforcement.While these TRIPs-plus provisions raise enforcement standards, they may also function as trade barriers, reflecting the complexities of international trade negotiations.

此外，知识产权海关保护也受到《巴黎公约》《伯尔尼公约》的一般性要求。依据其中的国民待遇原则、优先权制度等规则，成员国应当对其他缔约方的知识产权提供与本国权利同等的海关保护。

Other international instruments like the Paris Convention and Berne Convention also impose general obligations under the principles of national treatment and priority rights, requiring member states to grant equivalent customs protection to foreigns.

（二）国内法/Domestic law

中国海关实施知识产权保护的核心法律框架以《海关法》第四十四条和第91条为基础，但《海关法》对知识产权海关保护的规定是原则性的。知识产权海关保护相关的主要法律是《知识产权海关保护条例》（以下简称“《条例》”），对海关保护范围、执法程序及法律责任作出了比较系统的规定。

In China, the core legal framework for customs IP enforcement is found in Articles 44 and 91 of the Customs Law, although these provisions are largely principle-based. The main regulatory document, the Regulations on Customs Protection of Intellectual Property Rights, provides detailed rules on scope, procedures, and legal responsibilities.

《条例》第二条规定了知识产权海关保护的客体范围，涵盖“与进出口货物有关并受中国法律保护的商标专用权、著作权及邻接权、专利权”，此外还包括《奥林匹克标志保护条例》和《世界博览会标志保护条例》规定的特殊标志专有权。

Article 2 of the Regulations defines the scope of customs protection, covering trademark rights, copyrights and related rights, and patent rights, as well as special exclusive rights under the Regulations on Olympic Symbols Protection and the Regulations on World Expo Symbols Protection.

《条例》首先对知识产权海关备案制度作出了规定，将备案作为依职权保护的关键程序。在知识产权海关保护的具体制度和方法上，《条例》采用了依职权保护和依申请保护的双轨模式。在知识产权保护方面，海关的行政处罚依据主要是《海关行政处罚实施条例》第二十五条。海关依据该规定，对侵权货物进行没收，对侵权人处以罚款。

The Regulations firstly provide for the customs filing system for intellectual property rights, making filing a key procedure for ex officio protection. In terms of the specific system and method of customs protection of intellectual property rights, the Regulations adopt the dual-track model of ex officio protection and application-based protection. In the area of intellectual property protection, customs administrative penalties are based mainly on Article 25 of the Regulations on the Implementation of Customs Administrative Penalties. In accordance with this provision, customs confiscates infringing goods and imposes fines on infringers.

（三）知识产权海关保护的程序要点/Procedural essentials of customs protection of intellectual property rights

1.备案要求/Recordation requirements

知识产权海关保护备案是海关依职权保护程序的核心前提。

Customs protection of intellectual property rights for the record is the core premise of the customs ex officio protection programme.

申请主体必须是知识产权权利人本人。境外权利人须通过境内办事机构或委托境内代理人提交申请，并附规定格式的授权委托书。被许可人不能独立备案，但可以根据授权作为代理人以权利人的名义备案，并在备案材料中列明许可关系，以避免合法授权货物通关受阻。

The subject of the application must be the intellectual property rights holder themself. Overseas rights holders must submit the application through the domestic office or entrust the domestic agent with a prescribed form of power of attorney. The licensee cannot file the application independently, but it can file the application in the name of the rights holder as an agent under the authorisation, and set out the licensing relationship in the filing materials to avoid the obstruction of customs clearance of legally authorised goods.

备案所需材料包括：（1）备案申请书，需逐项填写权利人身份信息、知识产权内容、许可状况、合法货物特征及已知侵权信息；（2）身份证明文件（个人身份证/企业营业执照复印件）；（3）权利证书，如商标注册证、专利证书或著作权登记证明，其中实用新型和外观设计专利还需提交专利权评价报告，公告超1年的专利需提供6个月内出具的专利登记簿副本；（4）许可合同复印件或无合同时的书面说明；（5）合法货物及其包装照片；（6）已知侵权证据或相关司法文书。非中文文件需附中文译本，海关可要求对关键文件公证认证。

Required documents include: (1) application form filled in item by item with information on the identity of the rights holder, the content of intellectual property rights, the licensing status, the characteristics of the legal goods and the known infringing information; (2) identification documents (personal ID card/copy of business licence of the enterprise); (3) certificates of rights，such as trademark registration certificate, patent certificate, copy right registration certificate; Utility model and design patents must additionally submit a patent evaluation report. For patents published over one year,a copy of the patent rigister issued within the past six months is required. (4) a copy of the licensing contract or the absence of a contract in writing; (5) legitimate goods and their packaging photographs; (6) known evidence of copyright infringement or relevant judicial documents. Non-Chinese documents need to be accompanied by Chinese translations, and customs may require notarised certification of key documents.

备案程序通过海关总署线上系统完成，权利人提交材料后，海关总署需在30个工作日内作出是否准予备案的决定，不予备案的情形包括申请文件不全或无效、申请人非权利人、知识产权已失效等。备案自核准之日起生效，有效期10年，若知识产权剩余有效期不足10年则以实际剩余期为准。权利人在有效期届满前6个月内可申请续展，每次续展期10年，续展无需重复缴费。

The filing procedure is completed through the online system of the General Administration of Customs, and after the submission of materials by the rights holder, the General Administration of Customs has to make a decision on whether or not to grant the filing within 30 working days. The circumstances in which the filing will not be granted include: incomplete or invalid application documents; the applicant is not the rights holder; or the intellectual property right has lapsed. The filing takes effect from the date of approval and is valid for 10 years; if the remaining validity period of the intellectual property right is less than 10 years, the actual remaining period shall prevail. The rights holder can apply for renewal within six months before the expiration of the validity period, and each renewal period is 10 years, and the renewal does not require repeated payment of fees.

2.依职权保护/Protection ex officio

知识产权海关保护的依职权保护，是海关基于监管职权而主动发起执法程序。依职权保护的启动条件有两点，一是具有有效的备案，二是存在证明侵权嫌疑的初步证据。海关通常通过风险布控措施锁定侵权嫌疑，获得初步证据，例如对申报品名模糊、价格异常或来源地高危的货物实施重点查验。

Ex officio protection of intellectual property rights is an enforcement procedure initiated by customs on its own initiative based on its supervisory authority. There are two conditions for the initiation of ex officio protection, one is the existence of a valid record, and the other is the existence of prima facie evidence to prove the suspicion of infringement.Customs usually lock the suspected infringement through risk deployment and control measures to obtain preliminary evidence, such as the implementation of key inspection for goods with ambiguous declared name, abnormal price or high risk of origin.

海关查获嫌疑货物后，将中止货物通关，扣留侵权货物并立即启动调查。海关将对货物情况和权利人备案信息进行侵权比对，确认是否构成侵权，并核查收发货人是否明知侵权仍伪报品名。

Upon seizure of the suspected goods, customs will suspend customs clearance of the goods, detain the infringing goods and immediately initiate an investigation. customs will carry out an infringement comparison between the goods and the information filed by the rights holder to confirm whether it constitutes an infringement, and to verify whether the consignor or consignee is aware of the infringement and still falsely declares the name of the goods.

海关扣留货物后，应在24小时内向权利人送达《确认知识产权状况通知书》，并附货物图像、申报信息等关键材料。权利人须在收到通知后3个工作日内向海关提交书面扣留申请，并提供相应担保。当有多批货物在不同海关被分别查获时，权利人可以提供总担保，从而免予个案担保。

After detaining the goods, customs shall, within 24 hours, serve a Notice of Confirmation of Intellectual Property Rights Status to the rights holder, together with images of the goods, declaration information and other key materials. The rights holder shall submit a written application for detention to customs within three working days after the receipt of the notice and provide the corresponding guarantee. When there are several batches of goods seized separately at different customs, the rights holder can provide a total guarantee and thus be exempted from case-by-case guarantee.

收发货人可在扣留后7日内向海关提交书面异议及不构成侵权的证据。收发货人也有权提交双倍货值担保请求放行。

The consignee or consignor may submit written objections and evidence of non-infringement to customs within seven days after detention. The consignee or consignor also has the right to submit double the value of the goods to request the release of security.

3.依申请保护/Protection upon request

依申请保护同样需要满足提供初步证据和提供担保的要求。证明具有侵权嫌疑的证据需要达到“侵权事实明显存在”标准，具体包括两方面：一是证明货物即将进出口的物流证据（如提单、舱单、报关单）；二是证明货物未经许可使用权利人知识产权的比对证据。

Protection on application is also subject to the requirements of prima facie evidence and security. Evidence of suspected infringement needs to meet the standard of ‘obvious existence of the fact of infringement’, which includes two specific aspects: first, logistical evidence (such as bills of lading, manifests, or customs declarations) proving that the goods are about to be imported or exported; and second, comparative evidence proving that the goods are using the intellectual property rights of the rights holder without authorisation.

权利人向侵权嫌疑货物进出境地海关提交书面申请。申请需完整填写知识产权信息、侵权货物规格、收发货人名称及进出口口岸等要素，并提供权利人身份证明文件、知识产权行政部门颁发的权属证书等材料。海关在48小时内审核申请材料完整性及证据充分性，材料不全或者未提供担保的，将驳回申请。

The rights holder submits a written application to customs at the port of entry and exit of the suspected infringing goods. The application should be filled in completely with intellectual property information, specifications of the infringing goods, the name of the consignee or consignor and the port of import or export, etc, and provide the identity documents of the rights holder, the certificate of ownership issued by the intellectual property administrative department and other materials. Customs will examine the completeness of the application materials and the adequacy of evidence within 48 hours, and will reject the application if the materials are incomplete or no guarantee is provided.

海关扣留货物后立即向权利人及收发货人送达《扣留凭单》，权利人应当在收到扣留凭单之日起20个工作日内向法院起诉。若权利人向法院起诉并提交案件受理通知书副本，海关将协助维持扣留。收发货人也可提交双倍货值担保请求放行。若逾期未起诉或未获法院协助执行通知，海关必须放行货物。

Immediately after detaining the goods, customs serve the rights holder and consignee/consignor with a detention voucher, and the rights holder shall file a lawsuit with the court within 20 working days from the date of receipt of the detention voucher. If the rights holder sues to the court and submits a copy of the notice of acceptance of the case, customs will assist in maintaining the detention. The consignor or consignee can also submit a double-value guarantee to request release. If no prosecution is filed after the deadline or no notice of court assistance is received, customs must release the goods.

4.执法措施/Enforcement measures

在海关依职权扣押货物的情形，若调查结果证明侵权成立，海关有权没收货物并处货值30%以下罚款。对故意侵权且货值超5万元的，移送公安机关处理。侵权货物可销毁、转交公益机构，或消除侵权特征后拍卖。若不构成侵权的，海关应当立即放行货物，权利人应当赔偿收发货人的仓储损失。

For ex officio cases where infringement is confirmed, customs may confiscate goods and impose fines up to 30 per cent of the value. If the value exceeds RMB 50,000 in intentional infringement cases, goods are transferred to public security authorities. Infringing goods may be destroyed, transferred to public welfare organisations for social purposes, or auctioned after removing infringing features. If the goods in question do not constitute an infringement, customs shall immediately release the goods, and the rights holder shall compensate the consignor or consignee for the loss of storage.

在依申请保护的情形，权利人向法院起诉后，法院认定侵权成立的，海关根据生效判决销毁或处置货物。若权利人败诉或撤诉，海关从担保金中扣除仓储费用后返还余款。造成收发货人损失的，优先从担保金中赔偿。

For cases upon application, if the court confirms infringement, customs dispose of the goods accordingly. If the case is withdrawn or dismissed, the guarantee is refunded after deducting expenses. Any losses to the consignee/consignor are paid from the guarantee.

海关知识产权保护程序在实践中存在多重梗阻，显著影响执法效率与效果。例如，权利人举证负担较重，侵权认定存在一定阻碍，执法部门协调不足等。

Customs intellectual property protection procedures present a number of barriers in practice, which significantly affect the efficiency and effectiveness of enforcement.

侵权人为逃避海关监管，往往会不断翻新手法，呈现隐蔽化、碎片化、技术化特征。其一，利用跨境电商渠道碎片化侵权，利用海关抽检率限制规避监管。其二，技术性侵权与仿冒形态也在不断升级。其三，通过第三地（国）转运隐匿来源。

Infringers adopt increasingly covert, fragmented, and technical methods to evade enforcement. First, cross-border e-commerce enables fragmented shipments, exploiting customs’ low inspection rates. Second, technological infringements are difficult for customs to detect at the border.Third, trans-shipment through third party countries conceals origin. 

应对上述挑战，应当考虑从法规完善、强化监管协作、促进纠纷多元化解这三个角度入手。其一，将常见的保护客体完善进《海关保护条例》之中，便于提高辨识度。其二，在监管协作领域，海关应当强化与地方市场监管部门、知识产权部门的深度协同。其三，创新优化纠纷化解机制。允许尚未达到严重违法程度的轻案当事人在行政处罚前达成和解或接受行政调解，对初犯企业适用行业警示等替代措施。

To address the above challenges, improvements should focus on legislation, regulatory collaboration, and dispute resolution mechanisms. First, the Regulations should expand the list of protected IP types for easier identification. Second, in the field of supervision and coordination, customs should strengthen cooperation with market regulation and IP authorities. Third, innovate and optimise the dispute resolution mechanism. Parties to minor cases that have not yet reached the level of serious violations are allowed to reach a settlement or accept administrative mediation before administrative penalties are imposed, and alternative measures such as industry warnings are applied to enterprises that are first-time offenders.