張敏進(jìn) 北京德恒（寧波）律師事務(wù)所

摘? 要

當(dāng)下競(jìng)爭(zhēng)激烈的市場(chǎng)經(jīng)濟(jì)環(huán)境中，市場(chǎng)主體即企業(yè)保有核心競(jìng)爭(zhēng)力，是其保持競(jìng)爭(zhēng)優(yōu)勢(shì)的秘訣。這種核心競(jìng)爭(zhēng)力，在不同行業(yè)、不同領(lǐng)域有著不同的表現(xiàn)形式：與知識(shí)產(chǎn)權(quán)相關(guān)的，有商標(biāo)、專利；還有來(lái)源于獨(dú)特的企業(yè)管理模式、持續(xù)創(chuàng)新能力或者優(yōu)勢(shì)的資源條件等；還有一些如不能公開(kāi)的技術(shù)研發(fā)方案、銷售策略等，這是本文研究討論的侵犯商業(yè)秘密罪的行為對(duì)象——商業(yè)秘密。

商業(yè)秘密的屬性溯源，歷來(lái)頗具爭(zhēng)議，目前較為一致的看法是視為知識(shí)產(chǎn)權(quán)范疇，屬于勞動(dòng)和智力成果的產(chǎn)權(quán)形式。商業(yè)秘密較之其他知識(shí)產(chǎn)權(quán)客體特殊之處在于，在權(quán)利外觀上是“無(wú)形”的，在實(shí)質(zhì)上具有“財(cái)產(chǎn)權(quán)”屬性。

侵犯商業(yè)秘密犯罪入刑，最早在1997年10月1日生效的《刑法》第七節(jié)侵犯知識(shí)產(chǎn)權(quán)罪第219條中規(guī)定，其中對(duì)犯罪行為的描述，與1993年《反不正當(dāng)競(jìng)爭(zhēng)法》中規(guī)定的內(nèi)容相同。隨后，在多次修訂的刑法司法解釋里，并未相應(yīng)修訂商業(yè)秘密客觀構(gòu)成條件等細(xì)節(jié)，沒(méi)有與行政及民商事方面的立法同步。這樣，雖然在國(guó)家宏觀層面看對(duì)侵犯商業(yè)秘密問(wèn)題日益重視，但具體到案件辦理的實(shí)踐中，存在諸多困難。

在加強(qiáng)知識(shí)產(chǎn)權(quán)保護(hù)趨勢(shì)的當(dāng)下，國(guó)家針對(duì)侵犯商業(yè)秘密犯罪打擊力度不斷加大，刑法修訂了相關(guān)條款，降低起刑標(biāo)準(zhǔn)。然而，由于商業(yè)秘密的定義及認(rèn)定標(biāo)準(zhǔn)，無(wú)論是司法實(shí)踐還是理論探討，在其秘密性、實(shí)用性、保密性等構(gòu)成條件判斷上，均存在爭(zhēng)議。究其原因，系刑法對(duì)商業(yè)秘密類犯罪的規(guī)定，尚有許多有待明確的細(xì)節(jié)。

本文從上述司法實(shí)踐存在的問(wèn)題出發(fā)，予以探析研究。正文第一章解讀商業(yè)秘密的定義、特征，結(jié)合兩大法系中（英美、大陸法系）比較具有代表性的國(guó)家，關(guān)于商業(yè)秘密定義及其構(gòu)成條件規(guī)定，與我國(guó)的進(jìn)行比較研究。第二章主要介紹司法實(shí)踐中認(rèn)定商業(yè)秘密時(shí)發(fā)生的爭(zhēng)議問(wèn)題，在刑事法方面規(guī)定的商業(yè)秘密定義和范圍，和民商事法方面規(guī)定的不同，對(duì)不同類型的商業(yè)秘密不作區(qū)分，使用同樣的審查辦法會(huì)產(chǎn)生認(rèn)定結(jié)果差異。結(jié)合我國(guó)國(guó)情及相關(guān)立法的歷史進(jìn)程，探索分析商業(yè)秘密保護(hù)方面的不足及缺失，分析研究不同商業(yè)秘密類型的區(qū)別，司法實(shí)踐中籠統(tǒng)處分造成的不良狀況，以及隨著經(jīng)濟(jì)發(fā)展而不斷出現(xiàn)新的需要研究的問(wèn)題。第三章根據(jù)前述歸納分析的問(wèn)題和爭(zhēng)議，在現(xiàn)有的法律體系中，提出實(shí)務(wù)操作上的策略，權(quán)利人在救濟(jì)途徑選擇上，可考慮在經(jīng)營(yíng)信息類商業(yè)秘密案件中，優(yōu)先使用行政救濟(jì)途徑；技術(shù)類秘密類案件采取先民事確定權(quán)屬法律關(guān)系再移交刑事的救濟(jì)途徑；權(quán)利人自身應(yīng)提高認(rèn)識(shí)，加強(qiáng)對(duì)商業(yè)秘密信息進(jìn)行界定，加強(qiáng)合理保護(hù)措施。商業(yè)秘密，最大特點(diǎn)是，以隱形狀態(tài)存在、處于保密狀態(tài)，極具自身特點(diǎn)的秘密信息。因此，權(quán)利人自己做好商業(yè)秘密的范圍界定和審查，是商業(yè)秘密保護(hù)的所有工作中的基礎(chǔ)。針對(duì)不同類型的商業(yè)秘密信息，采取不同的合理保護(hù)措施，以維護(hù)良性競(jìng)爭(zhēng)市場(chǎng)秩序，為經(jīng)濟(jì)建設(shè)和社會(huì)發(fā)展提供服務(wù)。

關(guān)鍵詞：商業(yè)秘密 構(gòu)成要件 認(rèn)定標(biāo)準(zhǔn) 行政救濟(jì)優(yōu)先 先民后刑

RESEARCH ON THE IDENTIFICATION OF THE OBJECT OF THE CRIME OF INFRINGING TRADE SECRETS

ABSTRACT

In the current competitive market economy environment, market entities, namely enterprises, maintain their core competitiveness, which is the secret to maintain their competitive advantage.This core competitiveness has different forms in different industries and fields: intellectual property related, trademarks, patents, unique enterprise management model, continuous innovation or superior resource conditions, etc, sales strategies, the object of trade secrets discussed here.

The traceability of the attributes of trade secrets has always been quite controversial. At present, the more consistent view is regarded as the category of intellectual property rights, and belongs to the form of property rights of labor and intellectual achievements.Business secrets are special to other intellectual property objects in that they are "invisible" in the appearance of rights and have the "property right" attribute in essence.

The provisions of Article 219 of Section VII of the Criminal Law, which came into force on 1 October 1997, stipulate that the description of the criminal act is the same as that stipulated in the Anti-Unfair Competition Act of 1993.Subsequently, in the repeatedly revised judicial interpretation of the criminal law, the objective composition conditions of trade secrets were not revised accordingly, and did not synchronize with administrative and civil and commercial legislation.In this way, although the increasing importance is attached to the infringement of trade secrets at the national macro level, there are many difficulties in the practice of case handling.

At present, while strengthening the protection of intellectual property protection, the state has intensified efforts to crack down on crimes of trade secrets. The Criminal Law has revised relevant provisions and lowered the punishment standards.However, due to the definition and identification standards of commercial secrets, both judicial practice or theoretical discussion, there are disputes in the judgment of secrets, practicality and confidentiality.The reason is the provisions of the criminal law on trade secret crimes, and there are still many details to be clear.

This paper focuses on the above existing problems in judicial practice.Chapter first of the text interprets the definition and characteristics of trade secrets, combines with the laws of Britain and the representative countries of mainland law system, and makes comparative research with China.Chapter second chapter mainly introduces the disputes occurring in the identification of trade secrets in judicial practice. The definition and scope of trade secrets stipulated in criminal law are different from those stipulated in civil and commercial law. There is no distinction between different types of trade secrets, and the same examination method will different identification results.Combined with China's national conditions and the historical process of relevant legislation, explore and analyze the deficiencies and deficiencies of trade secrets protection, analyze and study the differences between different types of trade secrets, the bad situation caused by general punishment in judicial practice, and the continuous new problems needing research with economic development.Chapter III According to the summarized problems and disputes, the administrative relief method in the case of business information trade secret; technical secret cases adopt civil determination legal relationship before transfer to legal relief method; the right holder himself should raise awareness, strengthen the definition of trade secret information and strengthen reasonable protection measures.Business secrets are an intellectual property object existing in an invisible state and kept secret, which is a secret information with its own characteristics.Therefore, the right holder's own scope and review of trade secrets is the basis of all the protection of trade secrets.For different types of business secret information, different reasonable protection measures should be taken to maintain a benign competitive market order and provide services for economic construction and social development.

KEY WORDS:Trade Secret； Component Elements ；Identification Standard ;Administrative Relief? Priority Ancestors After Punishment

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目 錄

引? 言1

一、本文研究背景及意義1

（一）商業(yè)秘密保護(hù)立法歷史1

（二）商業(yè)秘密犯罪侵犯對(duì)象研究意義3

二、本文研究方法及創(chuàng)新點(diǎn)5

（一）采用多種研究方法并行5

（二）本文創(chuàng)新點(diǎn)5

第一章? 商業(yè)秘密概述7

一、商業(yè)秘密概念與分類7

（一）商業(yè)秘密概念7

（二）商業(yè)秘密分類7

（三）國(guó)外商業(yè)秘密概念與分類8

二、商業(yè)秘密刑事立法規(guī)定12

（一）商業(yè)秘密刑事立法12

（二）國(guó)外商業(yè)秘密刑事立法之比較14

三、商業(yè)秘密構(gòu)成條件及認(rèn)定標(biāo)準(zhǔn)15

（一）秘密性——非公眾知悉信息且不容易獲得16

（二）保密性——已采取合理保護(hù)措施17

（三）實(shí)用性——能夠?qū)嶋H投入生產(chǎn)或經(jīng)營(yíng)19

（四）價(jià)值性——具有現(xiàn)實(shí)或潛在的商業(yè)價(jià)值20

第二章? 商業(yè)秘密的司法認(rèn)定22

一、“商業(yè)秘密”在刑民中的區(qū)別22

（一）刑法保留商業(yè)秘密實(shí)用性特征22

（二）民法規(guī)定的商業(yè)秘密類別更廣23

（三）刑民區(qū)別導(dǎo)致認(rèn)定結(jié)果差異24

二、司法實(shí)踐中商業(yè)秘密爭(zhēng)議問(wèn)題25

（一）犯罪成立與否的前提是存在商業(yè)秘密26

（二）新穎性和原創(chuàng)性不是商業(yè)秘密要件26

（三）客戶名單之深度信息評(píng)判標(biāo)準(zhǔn)27

（四）經(jīng)營(yíng)信息與技術(shù)信息同一性比對(duì)29

（五）司法鑒定意見(jiàn)的證據(jù)地位30

第三章? 商業(yè)秘密司法認(rèn)定對(duì)策34

一、商業(yè)秘密認(rèn)定爭(zhēng)議的司法對(duì)策34

（一）不同商業(yè)秘密類型區(qū)分界定34

（二）由專家輔助人為司法鑒定提供意見(jiàn)36

二、統(tǒng)一商業(yè)秘密司法認(rèn)定標(biāo)準(zhǔn)36

（一）經(jīng)營(yíng)信息類案件優(yōu)先選擇行政救濟(jì)37

（二）技術(shù)信息類案件倡導(dǎo)“先民后刑”40

（三）權(quán)利人商業(yè)秘密審查與界定方法42

結(jié)? 論47

參考文獻(xiàn)48