张敏进 北京德恒（宁波）律师事务所
摘 要
当下竞争激烈的市场经济环境中，市场主体即企业保有核心竞争力，是其保持竞争优势的秘诀。这种核心竞争力，在不同行业、不同领域有着不同的表现形式：与知识产权相关的，有商标、专利；还有来源于独特的企业管理模式、持续创新能力或者优势的资源条件等；还有一些如不能公开的技术研发方案、销售策略等，这是本文研究讨论的侵犯商业秘密罪的行为对象——商业秘密。
商业秘密的属性溯源，历来颇具争议，目前较为一致的看法是视为知识产权范畴，属于劳动和智力成果的产权形式。商业秘密较之其他知识产权客体特殊之处在于，在权利外观上是“无形”的，在实质上具有“财产权”属性。
侵犯商业秘密犯罪入刑，最早在1997年10月1日生效的《刑法》第七节侵犯知识产权罪第219条中规定，其中对犯罪行为的描述，与1993年《反不正当竞争法》中规定的内容相同。随后，在多次修订的刑法司法解释里，并未相应修订商业秘密客观构成条件等细节，没有与行政及民商事方面的立法同步。这样，虽然在国家宏观层面看对侵犯商业秘密问题日益重视，但具体到案件办理的实践中，存在诸多困难。
在加强知识产权保护趋势的当下，国家针对侵犯商业秘密犯罪打击力度不断加大，刑法修订了相关条款，降低起刑标准。然而，由于商业秘密的定义及认定标准，无论是司法实践还是理论探讨，在其秘密性、实用性、保密性等构成条件判断上，均存在争议。究其原因，系刑法对商业秘密类犯罪的规定，尚有许多有待明确的细节。
本文从上述司法实践存在的问题出发，予以探析研究。正文第一章解读商业秘密的定义、特征，结合两大法系中（英美、大陆法系）比较具有代表性的国家，关于商业秘密定义及其构成条件规定，与我国的进行比较研究。第二章主要介绍司法实践中认定商业秘密时发生的争议问题，在刑事法方面规定的商业秘密定义和范围，和民商事法方面规定的不同，对不同类型的商业秘密不作区分，使用同样的审查办法会产生认定结果差异。结合我国国情及相关立法的历史进程，探索分析商业秘密保护方面的不足及缺失，分析研究不同商业秘密类型的区别，司法实践中笼统处分造成的不良状况，以及随着经济发展而不断出现新的需要研究的问题。第三章根据前述归纳分析的问题和争议，在现有的法律体系中，提出实务操作上的策略，权利人在救济途径选择上，可考虑在经营信息类商业秘密案件中，优先使用行政救济途径；技术类秘密类案件采取先民事确定权属法律关系再移交刑事的救济途径；权利人自身应提高认识，加强对商业秘密信息进行界定，加强合理保护措施。商业秘密，最大特点是，以隐形状态存在、处于保密状态，极具自身特点的秘密信息。因此，权利人自己做好商业秘密的范围界定和审查，是商业秘密保护的所有工作中的基础。针对不同类型的商业秘密信息，采取不同的合理保护措施，以维护良性竞争市场秩序，为经济建设和社会发展提供服务。
关键词：商业秘密 构成要件 认定标准 行政救济优先 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 录
引 言1
一、本文研究背景及意义1
（一）商业秘密保护立法历史1
（二）商业秘密犯罪侵犯对象研究意义3
二、本文研究方法及创新点5
（一）采用多种研究方法并行5
（二）本文创新点5
第一章 商业秘密概述7
一、商业秘密概念与分类7
（一）商业秘密概念7
（二）商业秘密分类7
（三）国外商业秘密概念与分类8
二、商业秘密刑事立法规定12
（一）商业秘密刑事立法12
（二）国外商业秘密刑事立法之比较14
三、商业秘密构成条件及认定标准15
（一）秘密性——非公众知悉信息且不容易获得16
（二）保密性——已采取合理保护措施17
（三）实用性——能够实际投入生产或经营19
（四）价值性——具有现实或潜在的商业价值20
第二章 商业秘密的司法认定22
一、“商业秘密”在刑民中的区别22
（一）刑法保留商业秘密实用性特征22
（二）民法规定的商业秘密类别更广23
（三）刑民区别导致认定结果差异24
二、司法实践中商业秘密争议问题25
（一）犯罪成立与否的前提是存在商业秘密26
（二）新颖性和原创性不是商业秘密要件26
（三）客户名单之深度信息评判标准27
（四）经营信息与技术信息同一性比对29
（五）司法鉴定意见的证据地位30
第三章 商业秘密司法认定对策34
一、商业秘密认定争议的司法对策34
（一）不同商业秘密类型区分界定34
（二）由专家辅助人为司法鉴定提供意见36
二、统一商业秘密司法认定标准36
（一）经营信息类案件优先选择行政救济37
（二）技术信息类案件倡导“先民后刑”40
（三）权利人商业秘密审查与界定方法42
结 论47
参考文献48