客户名单商业秘密属性的认定和保护研究

Study on Issues of the Cognizance and Protection of Customer Lists As Trade Secrets

作者: 专业:法律 导师:黄武双 年度:2010 学位:硕士  院校: 华东政法大学

Keywords

Customer lists, Trade secret, Property, Cognizance, Protection

        客户名单作为经营信息的一种,从理论上而言当其符合特定条件后可以作为商业秘密加以保护,我国和美国等国家也都将客户名单明文列举为商业秘密的一种情形。但是,客户名单商业秘密属性的认定问题非常复杂,不像版权那样一旦作品完成即产生权利,也不像商标权、专利权那样以注册为主张权利的主要依据。近年来,客户名单侵权事件屡有发生,而且往往和雇员跳槽、不正当竞争相关联,涉及自由就业权和公平竞争权;同时市场和客户不断变化的特性又使其稳定性不高,仅靠权利人自发的保护等原因还造成了其不具备绝对的秘密性。因此,此类案件往往是知识产权审判实践中的一大难题。此刻,一对矛盾凸显开来:一方面,因为员工跳槽、商业间谍行为和保管不善等原因造成的客户名单泄露事件时有发生,给企业造成巨大的损失、甚至是致命伤害,也破坏了市场经济的良性竞争秩序;另一方面,并非所有的客户名单都属于商业秘密保护的范围,同时在法律保护的过程中缺少对客户名单商业秘密属性认定和保护的明确的实体法依据和程序法依据,使得执法和司法工作人员在此问题上持有非常谨慎的态度,原告在单纯以侵犯客户名单为由的诉讼中胜率不高。~1自1993年明确地规定商业秘密包括客户名单等信息之后,我国法律在对客户名单商业秘密属性的认定和保护问题上不断进行探讨和完善,司法实践经验也越来越多;但是仍然没有形成全面、系统的体系。~2而美国作为对商业秘密的保护有着较长的历史、较为系统的理论和丰富的审判实践的国家,在客户名单商业秘密属性的认定和保护上颇有经验,值得借鉴。本文通过对中美两国相关的法律规定和部分典型的案例的梳理和研究,围绕客户名单的商业秘密属性认定和保护问题进行讨论,对确定客户名单符合何种条件能作为商业秘密加以保护、在利益平衡视角下对客户名单商业秘密属性的认定和引诱行为等问题进行分析,并在设立惩罚性赔偿金等方面对加强客户名单保护提出建议。本文分四个部分进行论述。导言部分引出话题,客户名单具有极大的价值,有强烈的被法律保护的需求,但是司法实践中将客户名单认定为商业秘密并加以保护存在若干问题。第一章的内容主要是明确客户名单的种类和涵义,并对作为商业秘密法意义上的客户名单所应该具有的特定内容进行探讨。第二章的内容主要是梳理美国和中国现行法律制度关于客户名单商业秘密属性认定的规定,明确将客户名单认定为商业秘密的要件包括秘密性、价值性、实用性、保密性和合法性。第三章的内容主要包括对侵犯客户名单的行为的总结,并在利益平衡角度下对不同主体的引诱行为进行分析,最后提出设立惩罚性赔偿金机制的建议。
    As a kind of the business information, customer lists could be protected as a trade secret if the lists meet some special conditions. The laws in China, America and some other countries have stipulated the customer lists as a kind of trade secrets. But it is a very complex problem to clarify the customer lists as a trade secret. The cognizance is different from the copyrights of which generates automatically as soon as the works are accomplished, or the trademarks and patents which claim rights from the registration mainly. In the current years, the rights of customer lists are often happen. The cases always relate to the rights to obtain employment and competition because they have the correlation with the employee’s job-hopping and unfair competition. At the same time, the market and customers’identity of changing in anytime makes the stability of customer lists is not enough. What’s more, the customer lists don’t have the absolute secret character lie on the reasons such as the protection merely could be the voluntary action of the rightful owner. Thus these cases are the big problem in the trial practice about intellectual property rights.Now a pair of conflicts obviously happens. On the one hand, customer lists are leaked for the reasons such as employee’s job-hopping, As a kind of the business information, customer lists could be protected as a trade secret if the lists meet some special conditions. The laws in China, America and some other countries have stipulated the customer lists as a kind of trade secrets. But it is a very complex problem to clarify the customer lists as a trade secret. The cognizance is different from the copyrights of which generates automatically as soon as the works are accomplished, or the trademarks and patents which claim rights from the registration mainly. In the current years, the rights of customer lists are often happen. The cases always relate to the rights to obtain employment and competition because they have the correlation with the employee’s job-hopping and unfair competition. At the same time, the market and customers’identity of changing in anytime makes the stability of customer lists is not enough. What’s more, the customer lists don’t have the absolute secret character lie on the reasons such as the protection merely could be the voluntary action of the rightful owner. Thus these cases are the big problem in the trial practice about intellectual property rights.Now a pair of conflicts obviously happens. On the one hand, customer lists are leaked for the reasons such as employee’s job-hopping, lists, and discussing what contents should be contained for a customer lists as trade secret.Section Two is committed to carding the valid law in America and China of clarifying customer lists as trade secret, and to summarize the basics to clarify customer lists as trade secret.Section Three focus on enhancing the protection for customer lists, including summarize the behaviors of infringing customer lists, and analyzing the enticing action under the view of behalf balancing. What’s more, the section brings the suggestion on setting up the mechanism about punish damage in the last.
        

客户名单商业秘密属性的认定和保护研究

摘要3-5
Abstract5-7
导言10
第一章 客户名单之界定10-15
    第一节 客户名单的概念和种类10-12
        一、广义上的客户名单10-11
        二、狭义上的客户名单11
        三、客户名单与有关概念的区别11-12
    第二节 客户名单的特定内容12-15
        一、客户名册13
        二、报价单13-14
        三、独特的交易习惯14
        四、交易的内容14-15
        五、经营规律15
第二章 作为商业秘密的客户名单的认定15-25
    第一节 美国关于客户名单商业秘密属性认定的法律规定15-18
        一、美国联邦法律关于客户名单商业秘密属性认定的规定15-16
        二、美国部分州法律关于客户名单商业秘密属性认定的规定16-18
    第二节 中国现行关于客户名单商业秘密属性认定的法律制度18-20
    第三节 客户名单的一般要件20-25
        一、秘密性20-22
        二、价值性22-23
        三、实用性23-24
        四、保密性24-25
    第四节 超越企业经营范围的客户名单25
第三章 以利益平衡为视角的客户名单保护25-36
    第一节 侵犯客户名单的行为26-30
        一、以不正当手段获取客户名单26-27
        二、泄露、使用或者允许他人使用不正当手段获取的客户名单27-28
        三、合法获取后非法泄露、使用或允许他人使用其掌握的客户名 单28-29
        四、“明知或应知”的侵权行为29-30
    第二节 关于引诱行为的分析30-32
        一、一般企业中雇员的引诱行为30-31
        二、特殊职业从业人员的引诱行为31-32
        三、对于超越经营范围的竞争对手的客户的引诱行为32
    第三节 适用惩罚性赔偿金的建议32-36
结语36-37
参考文献37-41
在读期间发表的学术论文与研究成果41-43
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