如何评论正在进行的诉讼：默示保密规则 -songc(赵家拎包人粉红哥) @沙加缅度华人论坛:沙加缅度枫下论坛 The Rolia Forum of Sacramento

送菜哥按：这一次大统华申请confidentiality order的动议，法官已经下达order。其间，送菜哥学习到了如何评价一个正在进行中的案子。关于这个问题，目前看来，加拿大的成文法、判例法都已经非常成熟。但是，对于中国来说，基本还是空白。因此，送菜哥，准备分几期，来讨论这个问题。这是第二期，从立法、判例的角度谈司法档案和未经定案的证据、过程性文件的区别。结论就是，前者以公布为原则，不公布需要满足非常严格的条件；后者以保密为原则，公开为例外。

1.关于implied undertaking rule，我之前从来没有听说过，最先是OLRB在5月27日中的Order提到的：

it is perhaps necessary to explain the “implied undertaking rule”. That rule provides that documents and other materials, includingevidence provided before the Board, are to be used only in the course of the litigation of this matter and not for any other purpose.

这个在加拿大，是常识，但是法官知道，送菜哥是法盲，所以有必要提醒一下：

2.我当时在Google上狗了一下，也没到找到，后来是在加拿大的裁判文书网（https://www.canlii.org/en/）上用它作为关键字，查到了这个判例 Brunswick International Canada Limited, 2021 CanLII 2068 (ON LRB)，这个判例，大统华在6月3日的答辩文件提到，法官在6月4日的Order也提到了，作为发出confidentiality order的依据之一。里面提到：

9. In my view, BCM’s position that the confidentiality of the documents ought to be preserved even in the event a witness adverts to the content of the documents in oral testimony is not unreasonable. Counsel for the applicant candidly conceded that such a restriction did not cause any prejudice to the applicant’s ability to present its case. Moreover, I am not convinced that such a restriction impairs the Open Court principle. Any member of the public who wishes to attend the hearing and listen to the evidence of the witnesses will be able to do so, regardless of the scope of the confidentiality order. The confidentiality order sought by BCM is aimed at the parties, and limits the use and disclosure of those documents by the parties. It does not affect the public’s right to observe the proceeding. And it does not limit the Board in its duty to provide transparent reasons for any decision it will issue in this matter, including the disclosure of sensitive information if the Board finds it necessary and appropriate to do so in its reasons.

要求当事人就诉讼中取得的文件、材料予以保密，不会影响当事人为自己辩护的权利。说实话，我当时没搞明白这里提到的文件、材料，实际上说的是未经定案的证据、过程性文件等司法档案，而不是所有的文件。但是，总不能坐以待毙不是，所以就没管这个判例，而是依据涉及司法档案的相关判例法、成文法提出意见，这个后面再说。

这里补充说一下，我在发帖子的时候，秉持一个基本原则：对方提供的证据不直接贴，评论对方的观点，也原文引用，不歪曲。至于OLRB的各种ORDER，我知道，那些都是公开可以查询的，所以，虽然不知道，但是也没有违反implied undertaking rule。

3.安省民事诉讼程序规则（R.R.O. 1990, Reg. 194: RULES OF CIVIL PROCEDURE）

3.1对该原则的规定：

Deemed Undertaking

30.1.01(3) All parties and their lawyers are deemed to undertake not to use evidence or information to which this Rule applies for any purposes other than those of the proceeding in which the evidence was obtained. O. Reg. 61/96, s. 2; O. Reg. 575/07, s. 4.

3.2涉及到的文件、材料范围

Application

30.1.01 (1) This Rule applies to,

(a) evidence obtained under,

(i) Rule 30 (documentary discovery),

(ii) Rule 31 (examination for discovery),

(iii) Rule 32 (inspection of property),

(iv) Rule 33 (medical examination),

(v) Rule 35 (examination for discovery by written questions); and

(b) information obtained from evidence referred to in clause (a). O. Reg. 61/96, s. 2; O. Reg. 627/98, s. 3.

(2) This Rule does not apply to evidence or information obtained otherwise than under the rules referred to in subrule (1). O. Reg. 61/96, s. 2.

说的主要就是当事人需要对证据予以保密。

3.3该原则的例外。

一是经对方当事人同意。

(4) Subrule (3) does not prohibit a use to which the person who disclosed the evidence consents.

二是用于向法院提交，这个是题中应有之意。

(5) Subrule (3) does not prohibit the use, for any purpose, of,

(a) evidence that is filed with the court;

(b) evidence that is given or referred to during a hearing;

(c) information obtained from evidence referred to in clause (a) or (b).

三是明确可以在另一个程序中提交。

(6) Subrule (3) does not prohibit the use of evidence obtained in one proceeding, or information obtained from such evidence, to impeach the testimony of a witness in another proceeding.

四是法官可以排除该原则的适用。

Order that Undertaking does not Apply

(8) If satisfied that the interest of justice outweighs any prejudice that would result to a party who disclosed evidence, the court may order that subrule (3) does not apply to the evidence or to information obtained from it, and may impose such terms and give such directions as are just.

比如， Iris Technologies Inc. v. Canada (Fed CA, 2024)

[1]。。。。。However, the Court may relieve against the undertaking if the applicant demonstrates that the interests of justice served by doing so outweigh the values the implied undertaking is intended to protect: Juman at paras. 32-34.

4.implied undertaking rule适用的范围

4.1适用于OLRB等准司法机构的Tribunal Adjudicative Records Act, 2019

法官在6月4日的Order最后，专门明确，本案不适用Tribunal Adjudicative Records Act, 2019(TARA)。

14. The Board wishes to make clear that this Order is not issuedpursuant to Tribunal Adjudicative Records Act, 2019, S.O. 2019, c. 7,Sched. 60.

前面提到的Brunswick International Canada Limited, 2021 CanLII 2068 (ON LRB)最后，法官也有同样的表示。

但是，该法的规定，可以看得出implied undertaking rule所适用的范围，后面逐步分析。

4.2适用范围

4.2.1我们需要区分司法档案（adjudicative record）及未经质证、定案的证据、过程性文件。

根本的区别是，证据是证明案件事实的原始的证据，比如，各种书证、物证、勘验笔录、电子数据、鉴定意见等，他们都不是当事人自己观点、看法，而且相关证据，比如纸质的文件等物证，在质证后，需要归还给提供方。

司法档案，比如当事人的起诉状、答辩状等，是当事人结合这些证据所发表的看法，和证据完全不一样，这些文件，OLRB会留存备查的，公众也可以随时要求查询。

至于过程性的文件，比如此次大统华提交的申请中说草拟的confidentiality order，尚未最终确定，可能包含了各种妥协、退让，和最终确定的版本可能差别很大，OLRB不会留存，也不能公布。

4.2.2TARA的规定

4.2.2.1需要保密的未经质证、定案的证据、过程性文件，这些不属于司法档案

Excluded records

(3) The following are not adjudicative records for the purposes of this Act:

1. Personal notes, draft decisions, draft orders and communications related to draft decisions or draft orders that are created by or for a member of a tribunal in connection with a proceeding before the tribunal in which the member is presiding.法官、双方之间沟通的过程性文件，比如草拟的命令、裁定，往来的邮件，个人的笔记（这个要和当事人、律师向法院提交的起诉状、申请、答辩相区分）

2. Personal notes created by or for a person appointed by a tribunal to help resolve a matter in a proceeding before the tribunal by means of an alternative dispute resolution mechanism.调解、和解等非诉解决程序中的各种文件

3. Records related to any attempt to resolve a matter in a proceeding before a tribunal by means of an alternative dispute resolution mechanism, unless the record forms part of a decision or an order of the tribunal.调解、和解等非诉解决程序中记录。

这些就属于此次法官发出的confidentiality order要求予以保密的文件、资料。还需要注意的是，要求保密的，必须是从诉讼程序取得的，也就是对方提供的，才需要保密。自己通过其他程序取得的，而不是诉讼程序对方提供的，比如，店长2023年10月23日和我开会的录音，在不在这个范围内，这一点还不是很清晰，以后关注。但是，法官拒绝了大统华要求我删除这一录音的申请，这一点是明确的。

4.2.2.2不受implied undertaking rule规制的司法档案

Adjudicative records

1(2) Subject to subsection (3), the following are adjudicative records for the purposes of this Act:

1. An application or other document by which a proceeding before a tribunal is commenced.起诉状、动议的申请文件

2. A notice of a hearing before a tribunal.开庭通知

3. A written submission filed with a tribunal in respect of a proceeding before the tribunal.向OLRB提交的其他申请文件

4. A document that has been admitted as evidence at a hearing of a tribunal or otherwise relied upon by a tribunal in making a decision or an order.经过质证后采纳为证据、后者裁判文书据以裁判的各种文件

5. A transcript of oral evidence given at a hearing of a tribunal.质证后对证人证言的各种抄本

6. A decision or an order made by a tribunal and any reasons for the decision or order.各种裁判文书、决定

7. A docket or schedule of hearings of a tribunal.开庭通知

8. A register of proceedings before a tribunal.OLRB的案卷登记

9. Any other record that relates to a proceeding before a tribunal and that is prescribed by the regulations made under this Act.案件程序中的其他登记文件

对于这些司法档案，TARA的要求是，公开是原则

Adjudicative records public

2 (1) A tribunal shall make those adjudicative records in its possession that relate to proceedings commenced on or after the day this section comes into force available to the public in accordance with this Act, including any rules made under section 3.

OLRB的RULES OF PROCEDURE是这样规定的

RULE 43 REQUESTS FOR ACCESS

43.1 A request for access to an adjudicative record must be made in writing to the Registrar, using one of the methods for filing permitted by Rule 6.8. E-mailed requests will not be processed or responded to. 43.2 The request must (a) describe the adjudicative record(s) being sought and identify the relevant Board proceeding. (b) provide the requester’s mailing address, telephone number, fax number if any; and (c) wherever possible, provide an e-mail address to which records will be sent if the request is granted.

43.3 If the Board determines that notice is required to be given to another party or parties, the Board will make the appropriate directions concerning notice, submissions and any other matters required to be addressed.

也就是说，对于司法档案而言，原则上必须公开，这一点是很清楚的，这就是我们经常所说的公开审判。

公开审判，加拿大，是认真的。

5.法官在本案中进一步明确

5.1答辩状不属于司法档案，不适用implied undertaking rule

对于大统华要求我删除大统华承认：跟踪我的是杂货部主管这个帖子，理由是，我在里面粘贴了一段大统华答辩状中的表述（杂货部主管注意到我在过去几周有早上小休的习惯），法官在order中引用了TARA的上述条文作为依据，予以驳回。法官认为，答辩状属于上面所说的司法档案。