【作者】 蒋红莲；

【导师】 周洪钧；

【作者基本信息】 华东政法大学 ， 国际法， 2009， 博士

【摘要】 本文的研究的对象为商业秘密法律救济制度。法谚有云：“救济先于权利”,一项权利若在受到侵害时不能获得及时有效的救济,则很难说是严格意义上的法律权利,商业秘密的保护也不例外。由于商业秘密自身蕴含着极高的经济价值性和容易丧失等先天特质,侵犯商业秘密行为又具有易发性、隐蔽性、多样性等特点,故商业秘密需要强而有力的法律救济制度予以保护。当一项商业秘密被侵犯后,往往会对权利人造成巨大的损失且无法挽回,不断加强商业秘密法律救济是商业秘密保护唯一的出路,因此,商业秘密法律救济制度应当具有多重救济途径和较强的操作性。现代传媒技术的高度发展乃至计算机网络和互联网的形成给信息的传播带来了便利,也给信息保密带来了更大的难度,从而导致商业秘密侵权行为更容易发生,使商业秘密的法律救济陷入更加艰难的境地。同时,随着经济全球化和高新技术突飞猛进的发展,原有的商业秘密法律救济制度受到了极大的挑战,已无法包容或有效调整、保护不断发展的商业秘密法律关系。商业秘密法律救济制度日益呈现出国际化、专门化、多元化等特点。救济途径由以民事救济为主逐步演变为民事、刑事、行政多种救济措施并存,保护力度呈现出不断加大的趋势；救济期间由侵权后救济为主逐步演变为事前预防与事后救济并重,保护范围呈现出不断拓宽的趋势；救济立法模式由以反不当竞争法、侵权行为法、合同法并存逐步演变为商业秘密专门立法的保护模式,保护手段呈现出较强的专业性。而在当今国际法律制度中,由于商业秘密法律救济制度基于不同的法理基础,在立法模式、保护范围和救济途径等方面存在很大差异,已有的法律规定出现了相互交错、彼此重合的情况,甚至在法律救济范围上还存在着某些空白区域。为了应对这些变化,世界大部分国家都加大了对商业秘密的保护力度,相应制定或修订了本国的商业秘密法律救济制度,以更好地发挥法律救济的本原作用。目前,我国商业秘密法律救济制度形成了以《反不正当竞争法》为主,以《民法通则》、《民事诉讼法》、《合同法》、《劳动法》、《刑法》、相关司法解释、行政法规等为辅的多层级、多门类的法律保护模式。在这种立法模式下,有的法律、法规的部分法条之间存在着矛盾,有的法条彼此之间还存在着冲突和竞合,这种法律适用上的不统一给实际操作带来了极大的不便。更为甚者,有些急需法律救济的关键领域至今仍为立法空白,如：商业秘密侵权案件诉讼之前缺乏相应的救济保全措施；有些对国际公约的承诺尚未在国内法中予以兑现。由此可见,我国现行商业秘密法律救济制度与现实需求相比还有着较大差距,需要进行深入的研究。当务之急在于,要正确认识我国现行商业秘密法律救济制度的不足,并深入分析其产生根源,提出切实可行的完善措施和建议,加快与国际立法接轨的步伐,进一步推进我国商业秘密法律救济制度的完善和发展。综上,笔者在研究时重点以美、德、日三个国家以及TRIPS协议的相关制度作为参照,运用剖析典型案例解释法理、比较法学等研究方法,对上述商业秘密法律救济制度进行深入的比较、分析及借鉴,取其精华,去其不足,并结合我国目前商业秘密立法、司法和执法实践的背景,从民事法律救济、刑事法律救济、行政法律救济及程序保障多角度、全方位地对我国商业秘密法律救济制度进行了系统地研究,既阐述、评价了有关法学理论之利弊,又密切联系实际,对司法实践中遇到的重大、疑难问题进行了分析和解决,在借鉴相关理论研究成果的基础上,进行了独立的思考,形成了一些创新性的观点。最后,提出了改进、完善商业秘密立法、司法和执法方面的建议,以期为我国建立起比较先进、完善的商业秘密法律救济制度提供一定的理论支持。本文大体分为七个部分,基本框架如下：第一部分简要论述了商业秘密法律救济制度的基本理论。首先对商业秘密的基本法律范畴进行研究,内容包括对商业秘密的定义、范围和性质的认定,以及商业秘密构成要件的比较和分析,并归纳总结了商业秘密界定的几种发展趋势；其次是关于商业秘密法律救济制度的基础理论研究,论述商业秘密法律救济制度的几种主要理论及其比较分析；本章最后论述了商业秘密法律救济制度的发展趋势,主要内容包括商业秘密法律救济制度的国际化、专门化以及多元化三个方面。第二部分论述了商业秘密侵权行为的认定。本章主要从商业秘密民事侵权行为的认定、行政违法行为的认定和刑事犯罪行为的认定三个方面对若干主要国家的商业秘密侵权行为认定制度进行了比较研究,旨在为以后各章有关商业秘密法律救济制度的阐述以及完善我国的商业秘密法律救济制度奠定基础。首先研究了商业秘密侵权行为的类型化考察,其次是商业秘密民事侵权行为构成要素的研究,主要包括“第二人”和第三人民事侵权行为的认定、民事侵权行为的归责原则；再次,分别研究了行政违法行为认定和刑事犯罪行为认定。对行政违法认定结合实践案例对具体认定要件进行了分析,对刑事犯罪行为的认定则主要从犯罪手段和结果的认定两个方面进行了分析。最后,对上述商业秘密侵权行为的例外进行了探讨。第三部分论述了商业秘密民事法律救济制度。本章结合我国立法和司法实践,对若干主要国家的商业秘密民事法律救济制度进行了比较分析。其中,主要对美国的禁令救济制度和损害赔偿制度,以及德国、日本的不作为请求权、损害赔偿请求权等法律救济制度重点加以研究。在本章论述过程中,笔者根据各国特点对其民事法律救济制度各择其要点论述,并在此基础之上重新审视了我国商业秘密民事法律救济制度,以为进一步完善我国商业秘密民事法律救济制度提供具体支持。第四部分论述了商业秘密行政法律救济制度。首先是对商业秘密行政法律救济制度的理论分析,主要从商业秘密纳入行政保护的必要性、合理性和可行性三个方面进行了论述,其中重点提到了行政法律保护商业秘密方面的优势。其次分析了我国商业秘密行政法律救济制度的构建和运行,重点论述了我国商业秘密行政法律救济的相关立法以及商业秘密行政法律救济的主体和职权,并对我国商业秘密行政法律救济的主要措施进行了研究；再次分析了TRIPS协议关于行政程序的规定以及缔约方可以采取的行政程序及措施,并对我国现行的关于商业秘密行政保护的法律与TRIPS协议的相关规定进行比较。第五部分论述了商业秘密刑事法律救济制度。首先介绍了商业秘密刑事法律救济的立法演进；其次,分别从刑事法律救济的必要性、适度性和商业秘密刑事法律救济价值的特殊性以及商业秘密刑事法律救济中刑法原则的适用等方面进行研究,论述了商业秘密刑事法律救济的理论基础；最后,重点论述了美国、德国、日本三个国家的商业秘密刑事法律救济制度,并与我国的商业秘密刑事法律救济制度进行了比较和分析。第六部分以民事诉讼程序为视角论述了商业秘密法律救济制度的诉讼程序保障。首先论述了商业秘密诉讼程序中的不公开审理制度,并以保护商业秘密权利人的利益为核心,探讨了不公开审理制度设置的价值取向和必要性；其次论述了商业秘密诉讼程序中的保全制度,商业秘密保全制度具有复杂性和特殊性,其中包括财产保全、证据保全和先予执行等强制措施,并对我国适当引入美国禁令救济制度进行了深入的探讨；再次论述了商业秘密诉讼程序中的证据规则,从当事人和法院两个不同的角度分别论述了证明标准的确定、举证责任的分配以及我国相关司法审判实践；最后论述了商业秘密诉讼程序中的保密制度,重点对保密制度的核心即防止诉讼程序中的二次泄密进行了研究,探讨了诉讼过程中审判人员与诉讼参与人的保密义务、诉讼资料的保管以及有关质证、鉴定、调解等环节的具体保密措施。第七部分主要探讨我国商业秘密法律救济制度的不足及完善建议。首先论述了我国商业秘密法律救济制度的现状,主要从国内和国际两个层面进行分析和比较；其次从司法实践的角度进行研究,选择了几个比较典型的案例进行实证分析,归纳出目前司法实践中面临的主要重点、难点问题；再次论述了商业秘密法律救济中存在的主要问题和不足,主要从立法体系以及民事法律救济、行政法律救济、刑事法律救济和程序保障五个方面进行研究,提出当前我国商业秘密法律救济制度中急需解决的几个问题；最后,针对前述问题和不足,在深入剖析其产生根源的基础上,从立法、执法和司法三方面提出了完善我国商业秘密法律救济制度的若干建议。更多还原

【Abstract】 The research object of this dissertation is the system on legal relief of trade secrets. There is a legal proverb:relief priors to right. If a right can’t get timely and effective relief when it is violated, it is hard to say that is a legal right. The protection of trade secrets is not the exception. Trade secrets have very high economic value and they are easy to be lost innately, at the same time the violating actions usually have some characteristics, which are easy happening, diversification and concealed, so trade secrets need to be protected by strong and effective legal relief system. It usually costs the holder of trade secrets a lot and hard for him/her to recover when a trade secret is violated, the only solution is to strengthen legal relief of trade secrets continuously, so the legal system on legal relief of trade secrets should be feasible and have a wide application scope.Rapid development of media technology and formation of internet facilitate the spread of information and increase the difficulty of trade secrets protection, which further make torts against trade secrets happen more easily and push legal relief of trade secrets into tougher situation. With the economic globalization and the dramatic development of high technology, the original intellectual property rights legal system has been challenged harshly and can’t include or effectively regulate the developing trade secrets. The legal relief system of trade secrets shows the characteristics of internationalization, specialization and diversification gradually. The relief methods change from civil relief-centered to civil relief, criminal relief and administrative co-existed. The protection shows the tendency of keeping being strengthened. The relief term changes from post-tort relief centered to precaution and post-tort relief co-existed. The protection scope becomes wider. The legislation method of relief changes from Anti-unfair Competition Law, Tort Law and Contract Law co-existed to Trade Secrets Law-centered. The protection method shows comparative strong professionality. However, in modern international law, as legal relief systems of trade secret are based upon different legal grounds, there are great differences in the aspects of legislation method, protection scope and relief way, etc. The current laws overlap, at the same time, there are some blank areas in the protection scope. In order to deal with these changes, a majority of world countries have strengthened the protection of trade secrets, made or revised domestic legal relief system of trade secrets to let legal relief work better.Currently, our country’s systems on legal relief of trade secrets are Anti-unfair Competition Law-centered, combining with General Principles of Civil Law, Civil Procedure Law, Contract Law, Labor Law, Criminal Law, many judicial interpretations and administrative regulations, which is a multi-method and multi-level protection mode. Under this legislation mode, there are some contradicts between different laws and regulations, some conflicts and competitions between different rules, which brings much inconvenience to the practice. Moreover, there are some legislation blankness in some critical area, such as, there are no corresponding pre-relief measures before trade secrets tort actions. Some international commitments have not been implemented in domestic law, such as, there is great gap between the protection of medicine and chemical material secret data and TRIPS. So, our country’s current legal relief system of trade secrets has a lot of defects in contrast with real demand, which needs to be researched deeply. The emergency is to understand the defects of our country’s current legal relief system of trade secrets correctly, analyze its source deeply, provide feasible perfection measures and suggestions, speed up the connection to international society and further perfect and improve our country’s legal relief system of trade secrets.Taking USA, Germany, Japan and TRIPS’Related rules as a reference, the author uses research methods of interpreting legal theory by analyzing typical cases and comparative law, etc. to make deep comparison, analysis and reference to above-mentioned legal relief system of trade secrets. Absorbing the essence and discarding the dross, the author does systemic research to our country’s legal relief system of trade secrets from the perspective of civil legal relief, criminal legal relief and administrative legal relief in combination with our country’s current background on legislation, judicial and practice of trade secrets. It states and evaluates the virtues and defects of some related legal theory, connects with the practice, analyzes and solves some big and difficult problems in judicial practice, does independent thinking and provides some creative viewpoints by the reference to some related research results. Finally, the author provides some suggestions on how to improve and perfect legislation, judicial side and enforcement of trade secrets and hopes to give some theory supports to our country’s establishment of advanced and perfect legal relief system of trade secrets.This dissertation is divided into seven chapters. The basic structure is as follows:Chapter one simply states the basic theory of the system on legal relief of trade secrets. Firstly it researches the basic scope of protection of trade secrets, which includes the definition, scope and nature of trade secrets, then compares and analyzes the constitutive requirements of trade secrets. Secondly, it explores the basic theory of legal relief system of trade secrets, discusses several kinds of important theories and their mutual relations. Thirdly, it researches legislation modes of current legal relief system of trade secrets. Finally, it states the developing tendency of legal relief system of trade secrets, which includes internationalization, specialization and diversification.Chapter two dissertates the recognization of torts against trade secrets. This chapter makes comparative study to different countries’systems on recognization of torts against trade secrets emphatically, which includes study on types of torts against trade secrets, constitutive requirements of torts, principles of liability, judgment about bona fide third party’encroachment to other people’s trade secret and the exception. It provides suggestions on how to perfect recognization of tort against trade secrets in our country by making comparison and reference of related systems.Chapter three discusses civil relief system on torts against trade secrets. This chapter makes a comparative analysis to several main country’s civil legal relief system of trade secrets and researches USA’s injunctive relief system and compensation system, Germany and Japan’s nonfeasance petition right and compensation petition right emphatically in combination with our country’s legislation and judicial practice. In this chapter, the author makes special discussions to above-mentioned country’s civil legal relief system according to their emphasis, then basing on that, the author reviews our country’s civil legal relief system of trade secrets once more, refers above-mentioned country’s legislation experience bravely, provides some related legislation suggestions to perfect our country’s civil legal relief system of trade secrets.Chapter four discusses criminal legal relief system of trade secrets. Firstly, it introduces legislation development of criminal legal relief system of trade secrets. Secondly, it researches theory basis of crimal legal relief system of trade secrets from three perspectives, which are the necessity of criminal legal relief, the moderation of criminal legal relief and the speciality of criminal legal relief’s value. Thirdly, it discusses and analyzes criminal legal relief of trade secrets in USA, Germany and Japan. Finally, it analyzes current situations and defects of our country’s criminal legal relief of trade secrets.Chapter five discusses administrative relief system of trade secrets. Firstly, it makes theoretic analysis to admimitrative relief system of trade secrets, which mainly includes necessity, feasibility and rationality of trade secrets’administrative protection and the advantage of administrative protection is the emphasis. Secondly, it analyzes the construction and operation of our country’s related system. It discusses abstract administrative actions and specific administrative actions of administrative bodies emphatically, which are the regulations enacted by administrative bodies and specific jurisdictions, law enforcement power and relief means. Thirdly, it analyzes rules on administrative procedure of TRIPS and administrative procedures and measures that contracting parties can take, then compares our country’s corresponding rules with TRIPS’related rules. Finally, it analyzes puzzles of enforcement of administrative law in our country’s practice, then discusses the practical development about administrative protection of trade secrets in our country and provides some suggestions on how to perfect it.Chapter six discusses procedural protection of legal relief system of trade secrets. Firstly, it researches trial in camera in trade secrets litigation procedure, which focuses on the protection of interests of holder of trade secrets right, then it explores the value orientation and necessity of trial in camera. Secondly, it explores preservation system in legal relief of trade secrets, which has complicacy and speciality. Preservation system includes property preservation, evidence preservation and advance execution, etc. It makes deep discussion to the introduction of injunctive relief. Secondly, it dissertates evidence rule in legal relief of trade secrets. It discusses indentification of standard of proof, distribution of burden of proof and our country’s related judicial practice from the perspectives of parties and courts. Finally, it states secrecy system in the legal relief of trade secrets, which mostly prevents secrets going out in the procedure of legal relief.Chapter seven mainly discusses the legislation defects and perfecting suggestions of system on legal protection of trade secrets in our country. Firstly, it dissertates the current situation about legal protection of trade secrets in our country, which makes analysis and comparison from domestic aspect and international aspect. Secondly, from the perspective of judicial practice, it chooses several typical cases, makes an empirical study and generalizes main important questions and difficult questions in judicial practice. Thirdly, it discusses the main defects of legal protection of trade secrets from three aspects, which are legislation aspect, judicial aspect and enforcement aspect, and raises several question that need to be solved in current system. Finally, it analyzes the source of these defects and problems and provides some suggestions for the improvement of our country’s trade secrets law.更多还原