美国法庭上的信息透明和诉讼策略：民事证据开示的作用 | 法务芳谈

在美国打过官司的中国企业估计都对美国民事诉讼程序中的证据开示制度印象深刻。它与我国民事诉讼证据制度迥然相异，在美涉诉的中国企业常因对此制度的要求存在诸多疑惑而不能合理应对。此前，天同法务沙龙有幸邀请到美国司法部常驻中国法律顾问胡倚婷（Ye-Ting Woo）女士就此话题进行分享研讨，本文为胡女士基于讲座内容撰写而成，希望有助于中国律师和中国企业更多地了解美国民事证据开示制度和实践。

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胡倚婷女士，美国司法部常驻中国法律顾问（2016年4月到任），是美国华盛顿州西区联邦检察官办公室恐怖和暴力犯罪部门的副检察长。胡检察官毕业于华盛顿大学圣路易斯法学院，在加入联邦检察官办公室之前是华盛顿州的地区检察官，处理大额金融诈骗，家庭暴力等犯罪案件，也曾在律师事务所做负责银行诉讼业务的律师。胡倚婷检察官驻华期间代表美国司法部促进了中美司法、执法友好交流，已在最高检，最高院，国家检察官学院，多个省级检察院，大学法学院，律所，社会组织等进行近100场讲座或系列培训，促进了中美对双方司法体制的认识，便利了两国的法律合作互助。

译：栾姗，美国司法部法律专员

Discovery is the judicial and legal process by which evidence is exchanged between the litigants， both in civil and criminal cases， in the United States.  Strict rules and guidelines must be adhered to for compliance.  Violations or failure to comply can result in adverse and severe consequences to the case， including dismissal of the action， financial sanctions to the violating party， prohibition to proceed with the litigation， and in rare instances， judicial sanctions of detention.

证据开示（又译为“披露”）是美国的民事和刑事案件中诉讼双方交换证据的司法过程， 有着严格的规则和指导方针。 违反或不履行可能对案件导致不良的严重后果，包括驳回起诉，对违反方的罚款，禁止继续诉讼，在罕见的情况下甚至有拘留这一司法制裁。

Civil actions in federal courts are guided by the Federal Rules of Civil Procedure， the Federal Rules of Evidence， and local federal district court rules.  It is imperative that litigants through their lawyers follow these procedures and rules strictly； courts are generally unforgiving of claims of ignorance of the law or other excuses for noncompliance.

在联邦法院提起的民事诉讼应遵循联邦民事诉讼规则 、 联邦证据规则和当地的联邦区法院规则。当事人的代理律师应在联邦民事诉讼中严格遵守这些规定，法院不允许无视法律或其他不遵守的借口。

What can a lawyer in China do to ensure compliance with U.S. civil discovery procedures and rules？  First， associate with a U.S. law firm.  The lawyer may also seek admission to practice by pro hac vice if the Chinese lawyer is also licensed in the U.S..[1]  Second， become thoroughly familiar with the Federal Civil Rules of Procedure pertaining to discovery and discovery exchange.  Third， develop calendaring methods for tracking discovery deadlines in each case.  Fourth， ensure accountability methods for documenting the sending and receiving of discovery items.  Fifth， preserve the integrity and authenticity of discovery materials.

中国律师如何确保遵守美国民事证据开示程序和规则呢？ 第一，与一家美国律师事务所合作。 如果中国律师有美国律师资质还可以申请作为本案律师（pro hac vice，见注1) 出庭。第二，熟知联邦民事规则中有关证据开示和证据交换的规定。 第三，建立日历记录每个案件证据开示的截止日期。第四，对发送和接收的证据开示项目保证记录和问责。 第五，保持证据开示材料的完整性和真实性。

Rule 26 of the Federal Rules of Civil Procedure governs the rules and timelines that must be followed during initial disclosure of discovery materials. The initial disclosure of discovery must occur “at or within 14 days after the parties’ [discovery conference].”  Fed.R.Civ.Pro.26(a)(1)(C).  The initial discovery must include：

联邦民事诉讼规则第26条规定了初步披露证据材料时必须遵守的规则和时间表。 证据的初始开示必须在“各方[证据披露会议]后14天时或之内发生”。 联邦民事诉讼规则26(a)(1)(C)  初始证据开示必须包括：

“(i) the name and， if known， the address and telephone number of each individual likely to have discoverable information—along with the subjects of that information—that the disclosing party may use to support its claims or defenses， unless the use would be solely for impeachment； (ii) a copy—or a description by category and location—of all documents， electronically stored information， and tangible things that the disclosing party has in its possession， custody， or control and may use to support its claims or defenses， unless the use would be solely for impeachment； (iii) a computation of each category of damages claimed by the disclosing party—who must also make available for inspection and copying as under Rule 34 the documents or other evidentiary material， unless privileged or protected from disclosure， on which each computation is based， including materials bearing on the nature and extent of injuries suffered； and (iv) for inspection and copying as under Rule 34， any insurance agreement under which an insurance business may be liable to satisfy all or part of a possible judgment in the action or to indemnify or reimburse for payments made to satisfy the judgment.”

“(i) 所知的可能有可开示信息的个人的地址和电话号码以及开示方可以用来支持其观点或抗辩的信息，除非此信息仅能被用于弹劾； (ii) 所有文件，电子存储信息和披露方拥有，保管或控制并可用于支持其观点或抗辩的有形物品的类别和位置的副本或描述，除非此信息仅能被用于弹劾； (iii) 对开示方主张的每一类损害赔偿的计算，根据第34条的规定，除非保密或被保护的证据材料，披露方必须提供计算的依据，包括关于遭受损伤的性质和程度； 和（iv）任何保险协议，根据该保险协议，保险公司可能会对该诉讼中的全部或部分可能的判决负责，或赔付或偿还为满足判决而作出的付款。这些协议根据第34条规定，进行检阅和复制”。 联邦民事诉讼规则26(a)(1)(A)(i)-(iii)

Parties are required to make such initial disclosures “based on the information then reasonably available to it，” and cannot claim， as an excuse， that it had not sufficiently investigated the case or to “[challenge] the sufficiency of another party’s disclosures or because another party has not made its disclosures.”  Fed.R.Civ.Pro. 26(a)(1)(E)

双方必须”根据其合理可用的信息”进行初步证据开示，并且不得以没有对案件进行充分调查，或“[质疑]另一方开示的充分性或因为另一方还没有进行开示” 作为借口。联邦民事诉讼规则26(a)(1)(E)

The applicable rules that govern the manner， taking， and exchange of discovery are found in Rules 30 through 36 of the Federal Rules of Civil Procedure. Although the process and timeline of discovery exchange and compliance is strict， the categories of discovery to be exchanged and produced are broad.  These categories fall within three major types of evidentiary materials：  written or printed form； oral form； and digital and electronic form.  As to written or printed form， this consists of interrogatories， requests for admissions， and production of documents and things.  Within oral form of discovery， each party can seek the taking of a deposition under oath of the opposing party and witnesses.  Interrogatories is the formal set of written questions submitted by one party to the opposing party.  Requests for admissions is a formal set of written factual and/or legal statements wherein the submitting party is seeking the opposing party’s admission or denial of the factual or legal statements. In some instances， the response may be that the answering party advises that it cannot “admit or deny” the statement due to lack of information.

联邦民事诉讼规则第30至36条规定了证据开示的方式、采集和交换。虽然证据交换和合规的过程和时间限制有严格规定，但被交换、提交的证据的类别是广泛的。分为三种主要类型的证据材料：书面或印刷形式； 口头形式和数字电子形式。书面或印刷形式，包括书面质询，请求承认和被提交的文件、物品。口头形式的证据方面，诉讼各方都可以寻求另一方和证人起誓并提供书面证辞。书面质询是一方提交给另一方的正式书面问题。请求承认是诉讼一方向对方提交的寻求承认或否认的正式书面事实问题和/法律陈述。在某些情况下，答复可能是答复方由于缺乏信息而无法“承认或否认”。

The request for production of documents and things is a formal written request to the opposing party to provide the original or copy， in electronic or digital format or in hard copy， of certain items and things that is asserted to be material and relevant to the litigation.  This request for production of documents and things is a detailed list of the types of evidence items that the requesting party is seeking from the opposing party.

提供文件和物品的要求是诉讼一方提出的正式书面要求，要求对方提供某些被认定重要并与诉讼相关的物证，可以是电子格式或纸面的原件或副本。提供文件和物品的要求会详细列出申请方从对方寻求的证据项目类型。

A deposition is the formal out-of-court oral testimony of a witness， generally with a court reporter transcribing the testimony， along with audio and video recording of the testimony.  The testimony is considered as evidence and can be used in court as allowed by the Federal Rules of Evidence as a prior recorded statement， or to impeach a witness’s prior statement， if and when the witness testifies in court.  Although the out-of-court statement is made under oath， it cannot be independently introduced as evidence in a court proceeding.  The testifying witness must appear in person and testify in a court proceeding for their prior deposed testimony to be used in a capacity consistent with the Federal Rules of Evidence.

书面证词是证人的正式的庭外口头证词，一般是由法庭记录员誊写证词，同时对证词录音录像。证词被视为证据，可以在联邦证据规则允许的情况下作为先前记录的陈述，或者作为先前陈述用于弹劾证人在法庭上的证言。虽然庭外陈述是证人宣誓作出的，这种陈述不能在法庭程序中独立地列为证据。作证证人必须亲自出庭并作证，这样先前记录的证词才能在联邦证据规则规定下起作用。

The scope of discovery is broad：

“Unless otherwise limited by court order， the scope of discovery is as follows：  Parties may obtain discovery regarding any non-privileged matter that is relevant to any party’s claim or defense and proportional to the needs of the case， considering the importance of issues at stake in the action， the amount in controversy， the parties’ relative access to relevant information， the parties’ resources， the importance of the discovery in resolving the issues， and whether the burden or expense of the proposed discovery outweighs its likely benefit.  Information within this scope of discovery need not be admissible in evidence to be discoverable.”Fed.R.Civ.Pro. 26(b)(1).

证据开示的范围广泛：

“除非法院命令另有规定，否则证据开示的范围如下：诉讼双方可以获得关于与任何一方的诉由或辩护相关的任何非豁免的事物的证据开示，证据开示与案件的需要成比例，考虑因素有所涉问题的重要性、涉案金额、各方获取相关信息的难易比较，双方的资源，证据开示对解决问题的重要性，并考虑证据开示的负担或费用是否超过其可能的效益。在证据开示范围内的资料不一定可以被呈为证据。联邦民事诉讼规则26(b)(1)

Relevance， materiality， and transparency is at the core of the discovery process. A party that fails to act in good faith， does not exercise due diligence， conceals or destroys evidence， intentionally disobeys court rules or orders， uses tactics of harassment or unnecessary delay， or otherwise fails to follow the law will be sanctioned by the court.  Fed.R.Civ.Pro. 26(g).  These sanctions may be as severe as excluding evidence， dismissal of the case， a finding in favor 41 37428 41 15533 0 0 1365 0 0:00:27 0:00:11 0:00:16 3073 41 37428 41 15533 0 0 1213 0 0:00:30 0:00:12 0:00:18 2837 41 37428 41 15533 0 0 1200 0 0:00:31 0:00:12 0:00:19 3565 41 37428 41 15533 0 0 1089 0 0:00:34 0:00:14 0:00:20 3245of the other party， and payment of legal fees and expenses.  Fed.R.Civ.Pro. 37.

相关性，重要性和透明度是证据开示的核心。没有以善意行事的，不尽职的，隐瞒或者破坏证据的，故意违反法院规则或者命令的，使用骚扰手段或不必要的延误，或者其他不遵守法律的，将由法院予以制裁。 联邦民事诉讼规则 26（g）严格的制裁可能导致证据的排除，案件不予受理，或法庭做出支持对方的裁定或代缴法律费用。联邦民事诉讼规则  37

Some special considerations

In the U.S.， evidence is only exchanged with the litigating parties.  It is not provided to the court.  The presiding judge assigned to handled the case in court will not have access to the evidence in the same manner as the the plaintiff and defendant parties.  The judge will be shown the evidence during specific proceedings， for example， proceedings where the parties are litigating a legal or factual issue， summary judgment proceedings， or trial.  In some situations， the judge will rule on exclusion of evidence and that evidence will be disregarded for purposes of final fact finding and legal determinations.

一些特殊的考虑

在美国，证据只是诉讼双方交换，并不提供给法庭。主审法官无法像原告和被告当事人一样查阅证据。证据将在特定的程序中提交给法官，例如诉讼双方争论某个法律或事实问题的程序，简易判决程序或审判程序。在某些情况下，法官将裁定排除证据，那么在最终的事实认定和法律裁定中，这些证据将被忽略。

The use of a discovery coordinator is increasing in popularity among civil litigators in the U.S.  A discovery coordinator can be a law firm， lawyers， and/or paralegals who will be either retained by the parties or appointed by the court to act as the intermediary between the parties regarding the distribution， production and exchange of discovery.  The role of a discovery coordinator is especially important in large and complex litigation matters.  It also assists with ensuring the integrity and ethical application of compliance with discovery rules and procedures， and in many instances， can decrease the costs of litigating disputed discovery issues that in the past were brought before the presiding judge for decision-making.  Discovery coordinators are also useful for those lawyers or law firms who do not have the independent capacity to manage complex discovery.  Especially in the present digital era where more and more evidence is retained in digital devices. The preservation， imaging， and reproduction of data contained in digital devices must be devoid of potential tampering， even if unintentional.

证据开示协调员的使用在美国的民事诉讼中越来越受欢迎。证据开示协调员可以是律师事务所，律师和/或法律助理人员，他们被双方委托或由法院任命，担任各方分发、产生和交换开示内容的中间方。证据开示协调员在大型复杂的诉讼事务中尤为重要。这有助于确保遵守证据开示规则和程序，保证完整性和道德合规性，并且可以减少处理诉讼披露纠纷的费用。证据开示协调员对于没有能力独立管理复杂证据开示业务的律师或律所十分有价值。在数字化时代，越来越多的证据被保留在电子设备中。电子设备中的证据的保存，成像和复制必然要避免故意或无意的篡改。

Evidence of tampering， even if through mistake， negligence， or recklessness with respect to the integrity of the original data can be instrumental in the outcome of a case.  A discovery coordinator may have， as part of its discovery coordination team， an experienced and well-trained digital forensic examiner who is skilled at utilizing specialized software to preserve the integrity of digital data， image the data， analyze the data， and prepare the necessary reports of its analysis of the data.  For discovery exchange purposes， the forensic examiner may need to create several imaged copies of the digital device so that the opposing party’s forensic examiner has equal opportunity to perform its own analysis of the forensic evidence.  Again， any indication that the original data was tampered， altered， or deleted， could be considered a violation of the discovery rules and may result in sanctions to the responsible party.

篡改证据，即使是出于错误或疏忽，也会决定性地影响案件的结果。证据开示协调员可能雇用训练有素的电子法证调查员熟练运用专门的软件来保护电子证据的完整性，数据成像，分析数据，并准备分析报告。为了交叉进行证据开示，法证调查员可能需要创建电子设备的几个成像副本，以供对方的法证调查员有平等的机会对证据进行独立分析。原始数据被篡改，更改或删除的任何迹象都可能被认为违反证据开示规则，并可能导致对责任方的制裁。

Finally， the obtaining of a Protective Order， as authorized by Rule 26(c) of the Federal Rules of Civil Procedure， provides a mechanism upon a showing of good cause to protect sensitive information， including confidential and privileged matters.  Of interest to Chinese companies may be that Rule 26(c) allows a court to issue an order that “[requires] a trade secret or other confidential research， development， or commercial information not be revealed or be revealed only in a specific way.”  Fed.R.Civ.Pro. 26(c)(1)(G).

最后，根据联邦民事诉讼规则第26（c）条，获得保护令是对敏感信息，包括机密和特权信息，进行保护的机制。中国公司感兴趣的可能是，根据第26（c）条要求法院签发“[要求]商业秘密或其他机密的研究，开发或商业信息不被开示或仅以具体方式开示的命令”。 联邦民事诉讼规则26(c)(1)(G)

Understanding and following the civil discovery rules in the United States can be challenging and confusing for a lawyer who does not regularly practice in the United States， and certainly for a lawyer who is not licensed in the United States.   It is imperative to follow the advice and guidance of the United States firm or lawyer with whom a Chinese lawyer retains and associates on behalf of their Chinese client.  Gaining at least a foundational understanding of the civil discovery rules is important nonetheless as it will assist the Chinese lawyer in explaining to their client the basis and reasons for the necessity in making certain discovery disclosures and strategic decisions.  For an online guide to civil procedures and discovery rules， see www.federalpracticemanual.org and online materials at www.fjc.gov (Federal Judicial Center).

理解和遵守美国的民事诉讼规则对于不在美国执业或不具美国执业资质律师，可能充满挑战和困惑。在代理中国客户过程中，遵守合作的美国律所、律师的意见和指导很必要。律师对美国民事证据开示规则的基础理解也至关重要，有助于中国律师向客户解释作出某些证据开示和战略决策的必要性和原因。更多有关民事诉讼程序和证据开示规则的在线指南，可以访问www.federalpracticemanual.org和www.fjc.gov（联邦司法中心）的在线资料。

注：

[1]  Pro hac vice is a Latin legal term that is a procedure that allows for a lawyer not admitted to practice in a certain jurisdiction to be admitted only for a specific case to represent a client in the legal action. This practice is only available to U.S. licensed lawyers. Consult with a U.S. law firm to for filing procedures to seek admission by pro hac vice.

注1：Pro hac vice是一个拉丁语的法律术语，该程序允许一个不能在某辖区内执业的律师被接纳为一个特定的案件的代理律师。 这种做法只适用于美国执业律师。 您可向美国的律师事务所咨询申请手续。

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