保密与商业秘密

目标
Objectives
A．保密信息 What is Confidential Information？
B．商业秘密 What is a trade secret? ？
C． 美国商业秘密法What is a trade secret under US law?
D. 保护提示 Tips on Protection of Trade Secrets:
A.保密信息
What is Confidential Information？
披露方以口头、书面或电子形式提供给接收方的所有保密、专有或公众一般无法获得的信息或材料。
Means all information or materials furnished by the Disclosing Party to the Receiving Party orally, or in written or electronic form, which is confidential, proprietary, or otherwise not generally available to the public. …
为了特定的目的，只与少数人共享的信息。接收披露方提供信息的一方为接收方，一般不能利用披露方提供的信息以谋取个人利益，例如将信息提供给未经授权的第三者。
Information shared with only a few people for a designated purpose. The person who is receiving the information from you, the receiver, generally cannot take advantage and use your information for their personal gain, such as giving the information out to unauthorized third parties.
法律意义
Legal term
个人/公司有义务不与他人分享保密信息，除非另一方明确同意。
A duty of an individual/corporation to refrain from sharing confidential information with others, except with the express consent of the other party.
举例
Examples of confidential information
个人：姓名、出生日期、年龄、性别、地址、银行信息、治疗历史或记录。
Personal: Name, date of birth, age, sex, and address. … Bank information. Medical history or records.
公司: 所有信息(包括价格) 、商务和营销计划、技术和技术性信息、产品计划和设计、业务流程、流程、操作、工作作风、设备，生产、销售、发货、采购、转让、客户识别、库存或者任何收入、利润、损失或支出的数额或来源。
Corporate: all information (including pricing), as well as business and marketing plans, technology and technical information, product plans and designs, and business processes, processes, operations, style of works, or apparatus, or to the production, sales, shipments, purchases, transfers, identification of customers, inventories, or amount or source of any income, profits, losses, or expenditures .
B.商业秘密
What is a trade secret?
商业秘密是关于可以出售或许可的保密信息的知识产权(IP)，信息的合法持有人采取合理步骤进行保密，包括对业务合作伙伴和雇员签订保密协议。
Trade secrets are intellectual property (IP) rights on confidential information which may be sold or licensed. … be subject to reasonable steps taken by the rightful holder of the information to keep it secret, including the use of confidentiality agreements for business partners and employees.
举例
Real-World Examples (tangible and intangible)
谷歌的搜索算法作为代码受知识产权保护，并定期更新以改进和保护操作。
Google’s search algorithm exists as intellectual property in code and is regularly updated to improve and protect its operations.
可口可乐的秘密配方。
The secret formula for Coca-Cola.
《纽约时报》畅销书排行榜就是流程商业秘密的一个例子。
The New York Times Bestseller list is an example of a process trade secret.
商业秘密因不同司法管辖区而有不同的定义，但都具有以下共同特征:
Trade secrets are defined differently based on jurisdiction, but all have the following characteristics in common:
1）不是公开信息。
I)not public information.
2）对持有人具经济利益。
II)Having economic benefit to their holder.
3）受充分保护 。
III)actively protected.
C.美国商业秘密法
What is a trade secret under US law?
统一商业秘密法
Uniform Trade Secrets Act
商业秘密因不从其披露或使用中获得经济价值的其他人所普遍知晓，且不易通过适当手段加以确定而产生独立的实际或潜在的经济价值。
Trade Secret derives independent economic value, actual or potential, from not being generally known to, and not being readily ascertainable by proper means by, other persons who can obtain economic value from its disclosure or use.
什么受商业秘密保护?
What is protected by trade secret?
授予所有者权利，防止在其合法控制范围内的信息在未经同意的情况下，以违反诚实商业惯例的方式被他人披露、获得或使用。
Confer owners the right to prevent the information lawfully within their control from being disclosed, acquired or used by others without their consent in a manner contrary to honest commercial practice.
形式
Variety of forms of Trade Secrets
专有过程、工具、模式、设计、配方、配方、方法或实践。
a proprietary process, instrument, pattern, design, formula, recipe, method, or practice .
这对其他人来说是不明显的，可能被用来作为一种手段来创建一个企业，提供比竞争对手的优势或为客户提供价值。
that is not evident to others and may be used as a means to create an enterprise that offers an advantage over competitors or provides value to customers.
重要性
Important for Trade Secrets
如果商业秘密持有人未能保护该商业秘密，或者该商业秘密被独立发现、发布或成为普遍知识，则该秘密的保护被解除。
If a trade secret holder fails to safeguard the secret or if the secret is independently discovered, released, or becomes general knowledge, protection of the secret is removed.
措施
Trade Secret Treatment
美国1996年的《经济间谍法》对商业秘密进行了定义和保护(见《美国法典》第90章第一部分第18篇)，商业秘密属于州管辖范围。根据1974年的一项裁决，每个州都可以采用自己的商业秘密规则。
In the United States, trade secrets are defined and protected by the Economic Espionage Act of 1996 (outlined in Title 18, Part I, Chapter 90 of the U.S. Code) and also fall under state jurisdiction. As a result of a 1974 ruling, each state may adopt its own trade secret rules.
大约47个州和哥伦比亚特区已采纳《统一商业秘密法》的版本。关于商业秘密最新立法是在2016年出台的《捍卫商业秘密法》，该法案让联邦政府有理由在涉及滥用商业秘密的案件中采取行动。
Some 47 states and the District of Columbia have adopted some version of the Uniform Trade Secrets Act (USTA). The most recent legislation addressing trade secrets came in 2016 with the Defend Trade Secrets Act, which gives the federal government cause for action in cases involving the misappropriation of trade secrets.
联邦法律将商业秘密界定为以下“所有形式和类型”:
The federal law defines trade secrets as "all forms and types of" the following information:
金融Financial
商业Business
科学Scientific
技术Technical
经济Economic
工程 Engineering
根据联邦法律，此类信息包括:
Such information, according to federal law, includes
模式
Patterns
计划
Plans
编译Compilations
项目设备Program devices
公式Formulas
设计
Designs
原型
Prototypes
方法
Methods
技术
Techniques
过程
Processes
程序
Procedures
项目
Programs
代码Codes
合理措施
Reasonable Measures Taken
条件
Condition
所有者已采取合理措施对此类信息保密，并且“该信息具有独立的经济价值，无论是实际的还是潜在的，因为该信息不被另一个能够从信息的披露或使用中获得经济价值的人普遍了解，并且无法通过适当的手段轻易确定。”
The owner has taken reasonable measures to keep such information secret and that "the information derives independent economic value, actual or potential, from not being generally known to, and not being readily ascertainable through proper means by, another person who can obtain economic value from the disclosure or use of the information."
盗用商业秘密
What is misappropriation of a trade secret?
根据加州法律，“盗用”指的是知道或有理由知道商业秘密是通过盗窃、贿赂、虚假陈述、违反或诱使他人违反保密义务等不正当手段获得的人获取商业秘密。
Under California law, "misappropriation " refers to the acquisition of a trade secret by someone who knows or has reason to know that the trade secret was acquired by improper means -- theft, bribery, misrepresentation, breach or inducement of a breach of duty to maintain secrecy.
商业秘密会否过期？
Any expiry of a trade secret?
商业秘密永远不会过期。商业秘密的所有者可以从商业秘密保护中受益，只要该信息保持不公开并且被持续使用。
A trade secret need never expire. The trade secret owner can benefit from trade secret protection so long as the information remains secret and the company owner uses it.
只要商业秘密具有商业价值，且价值来自于机密性的这一事实，并且商业秘密的所有者采取合理的预防措施来保持其机密性，商业秘密就可以被无限期地保护。
A trade secret can be protected indefinitely as long as the secret is commercially valuable, its value derives from the fact that it is secret, and the owner take reasonable precautions to maintain its secrecy.
要想在侵犯商业秘密诉讼中获胜，商业秘密所有者必须出示:
To prevail in a trade secret infringement lawsuit, a trade secret owner must show:
被认为是机密的信息提供了竞争优势，并且
that the information alleged to be confidential provides a competitive advantage, and
信息确实是保密的。
the information really is maintained in secrecy.
此外，商业秘密的所有人必须证明这些信息要么是被告不正当获取的(如果被指控对秘密进行商业用途)，要么是被告不正当披露的(如果被指控泄露信息)。
In addition, the trade secret owner must show that the information was either improperly acquired by the defendant (if the defendant is accused of making commercial use of the secret) or improperly disclosed by the defendant (if the defendant is accused of leaking the information).
不可避免披露原则
The "Inevitable Disclosure" Doctrine
在某些情况下，如果公司能够证明为竞争对手工作将不可避免地导致商业秘密的泄露，公司可能会禁止前雇员为竞争对手工作。
In some cases, a company may prevent a former employee from working for a competitor if the company can demonstrate that employment with the competitor will inevitably lead to disclosure of trade secrets.
是什么让披露成为“不可避免的”? 在1995年的一个案例中，百事公司提出，一位前高管不能担任佳得乐/斯奈普的首席执行官，因为这位高管在策划佳得乐和斯奈普的新路线时，不得不依赖百事公司的商业机密，从而使竞争对手获得了对百事公司不公平的优势。
What makes disclosure "inevitable"? In a 1995 case, PepsiCo successfully argued that a former executive could not work as Chief Executive Officer of Gatorade/Snapple because the executive could not help but rely on PepsiCo's trade secrets as he plotted Gatorade and Snapple's new course, giving the competitor an unfair advantage over PepsiCo.
一些州已经否决不可避免披露原则，因为它挑战了雇员更换雇主的基本自由。
Some states have rejected the inevitable disclosure doctrine because it challenges an employee's basic freedom to switch employers.
了解保密和商业秘密的重要性。
To understand their importance of Confidentiality and Trade Secrets.
为何重要？
Why Important?
侵犯商业秘密？
Break of confidentiality?
后果:
Consequences:
卷入诉讼 ；
ealing with the ramifications of lawsuits,
打破合作关系；
oss of business relationships, and ；
雇佣终止。
employee termination.
当作为企业和普通公民的法律工具——保密协议被忽视时，就会出现这种情况。
This occurs when a confidentiality agreement, which is used as a legal tool for businesses and private citizens, is ignored.
承担刑事责任
Stealing trade secrets is a crime
根据联邦法律和州法律，故意窃取商业秘密都可以构成犯罪。处理商业秘密盗窃最重要的联邦法律是1996年的《经济间谍法》。
Intentional theft of trade secrets can constitute a crime under both federal and state laws. The most significant federal law dealing with trade secret theft is the Economic Espionage Act of 1996 (EEA).
重罚：个人最高罚款50万美元，企业最高罚款500万美元。
Heavy Fines: Individuals may be fined up to $500,000 and corporations up to $5 million.
监禁：违反者还可能被判处10年以下的监禁。政府可以没收和出售盗窃所得的所有财产和收益。
Imprisonment: A violator may also be sent to prison for up to ten years. All property used and proceeds derived from the theft can be seized and sold by the government.
治外法权
Extraterritoriality
美国境内的盗用
Thefts within the United States
如果盗用者是美国公民或美国公司，或在美国发生的任何促进犯罪的行为。
Thefts outside the U.S. if the thief is an American citizen or corporation, or if any act in furtherance of the offense occurred in the U.S.
如果盗用行为是代表外国政府或代理人进行的，企业罚款可增加一倍，监禁时间可增加至15年。
If the theft is performed on behalf of a foreign government or agent, the corporate fines can double and jail time may increase to 15 years.
其他州:侵犯商业秘密罪。
Other states: trade secret infringement a crime.
在加州，未经授权获取、披露或使用商业秘密是犯罪行为。
In California it is a crime to acquire, disclose or use trade secrets without authorization.
违反者可能被处以高达5000美元的罚款，或被判处一年监禁，或两者兼有。根据《加州刑法》第499(c)条。
Violators may be fined up to $5,000, sentenced to up to one year in jail, or both. Under Cal. Penal Code Section 499(c).
商业秘密盗窃被归类为盗窃罪。
Trade secret theft categorized as larceny.
如果有人窃取或不恰当地披露机密信息/商业秘密，如何维护其权利?
How to enforce its rights if someone steals or improperly discloses confidential information/Trade Secrets?
每个州都有禁止盗窃或泄露商业秘密的法律。大多数这些法律都源自《统一商业秘密法》。
Every state has a law prohibiting theft or disclosure of trade secrets. Most of these laws are derived from the Uniform Trade Secrets Act (UTSA).
1）法院禁令
Court Injunction
商业秘密的所有人可以通过请求法院发布命令(禁令)来对窃取机密信息的人行使权利，以防止机密的进一步披露或使用。
A trade secret owner can enforce rights against someone who steals confidential information by asking a court to issue an order (an injunction) preventing further disclosure or use of the secrets.
2）赔偿
Damages
商业秘密的所有人还可以对因商业秘密的不正当获取和使用而遭受的任何经济损害收取赔偿。
A trade secret owner can also collect damages for any economic injury suffered as a result of the trade secret's improper acquisition and use.
侵权事件
Incidents led to trade secret lawsuits
Sarah是C-com的前雇员，她向新雇主透露了C-com的商业秘密(无论是口头还是书面)。
Sarah, a former employee of C-com, discloses C-com trade secrets to her new employer (whether orally or in writing).
Mary潜入了一家电脑公司的网络，下载了一种新的硅芯片的规格。她把信息卖给了一家竞争对手的电脑公司。
Mary hacks her way into the network for a computer company and downloads the specs for a new silicon chip. She sells the information to a rival computer company.
Sheldon是一名软件程序员，同时也是Diskco公司的独立承包商。Sheldon与Diskco签订了一份保密协议，但后来将Diskco的秘密透露给了竞争对手。
Sheldon is a software programmer who works as an independent contractor for Diskco. Sheldon signed a nondisclosure agreement with Diskco, but later discloses Diskco secrets to a rival.
如何制止不公平或不诚实披露?
How to stop the unfair or bad faith disclosure?
1.应建立处理保密资料及商业秘密的政策。
You shall set up policy to handle confidential information and trade secrets.
2.员工必须签署保密协议并接受培训。
Employee must sign NDA and receiving training.
3.供应商和专业顾问必须签订保密协议。
Suppliers and Professional Consultants must sign confidentiality agreement.
4.在需要了解的基础上，保持客户的良好关系。
Need to know basis: Keeping Customers with great care, on need to know basis.
5.尽可能少：对于第三方的商业秘密，只有最高管理层才能访问。
As few as possible: For Trade Secrets of third parties, only the top management can access.
D.保护提示
Tips on Protection of Trade Secrets
1.确定需要保护的对象
Identify What Needs Protection
识别需要保护的每一条信息，并创建一个识别需要保密的新材料的系统。在选择的时候，尽量不要太过广泛，因为这可能会降低对商业秘密的保护。
Identify each piece of information that you wish to protect and create a system of identifying newly created material that requires secrecy. When selecting, try not to be too inclusive because this might trivialize protection of trade secrets.
2.在包含受保护信息的文档上粘贴标签
Label Documents That Contain Protected Information
包含或反映商业秘密信息的文件应该贴上“机密”的标签。限制这些文件的复印和传阅，必要时对复印件进行编号，并要求文件转让时检查。
Documents that contain or reflect trade secret information should be labeled "confidential." Limit copies and circulation of these documents and, when necessary, number copies and require the documents be checked in and out.
3.监控信息存储的位置
Monitor Where Information is Stored
进行信息审计，以确定重要信息存储在何处以及谁可以访问这些信息。包括所有的硬拷贝、台式机、笔记本电脑、磁盘以及寻找潜在的风险点。
Conduct an information audit to determine where vital information is stored and who has access to it. Include all hard copies, desktop and laptop computers, and diskettes. Look for potential weak spots.
4.保护设备
Secure Computers
在访问包含敏感信息的计算机时需要密码。每年被盗笔记本电脑数量惊人。Visa国际公司甚至有一台台式电脑被盗，其中包含数千个信用卡账户的机密信息。
Require passwords for access to computers containing sensitive information. You'd be amazed how many laptop computers are stolen each year. Visa International even had a desktop computer stolen that contained confidential information on thousands of credit card accounts.