复旦大学 张乃根教授 Prof. ZHANG Naigen Fudan University 中国反不正当竞争法的修改及其涵义——TRIPS第39条的视角 The recent amendment of the Anti-unfair Competition Law in China and its Implications-from the perspective of Art.39 of TRIPS 复旦大学 张乃根教授 Prof. ZHANG Naigen Fudan University

要点 Outline 反不正当竞争法的最近修改 Recent revision of Anti-Unfair Competition Law in China 商业秘密的保护 Protection of trade secret TRIPS第39条义务 Obligation of TRIPS Art.39 WTO争端解决相关商业秘密保护案件 WTO dispute settlement related protection of trade secrets 3rd EU-China Academic Forum 2018/110/22

反不正当竞争法的最近修改 Recent revision of Anti-Unfair Competition Law in China 1993年反不正当竞争法：唯一不是《中国加入WTO议定书》承诺修改的知识产权相关法律。 1993 Anti-Unfair Competition Law (AUCL) is the ONLY one IP related law which was not subjected to be revised in accordance with the Protocol on China’s Accession into the WTO. 2017年反不正当竞争法：适应中国国内市场发展的需要。 2017 AUCL meets the need of development of Chinese domestic market. 主要修改：第三章“监督检查”改为“对涉嫌不正当竞争行为的调查”；国务院建立反不正当 工作协调机制；扩大不正当竞争行为的范围（包括网上）；进一步界定侵犯商业秘密的行为； 加强查处不正当竞争行为（包括查封涉案财产）；提高罚款上限（300万）。 Major amendments: Chapter 3 ‘surveillance and check ’ revised as ‘investigation on suspected unfair competition acts’; to establish the national coordinated working mechanism of anti-unfair competition; to enlarges the scope of unfair competition acts extending to internet; to further define the acts infringing trade secrets; to enhance the surveillance on unfair competition acts including to close down the suspected property; to increase the ceiling of fine (3 millions RMB) 3rd EU-China Academic Forum 2018/110/22

商业秘密的保护 Protection of trade secrets 无实质修改 essentially remains unchanged 第9条 经营者不得实施下列侵犯商业秘密的行为: Art. 9 the operators shall not conduct any acts listed below to infringe trade secrets: 1. 以盗窃、贿赂、欺诈、胁迫或者其他不正当手段获取权利人的商业秘 密； 1. in the ways of thief, bribe, cheating, forcing or any other unfair means to take trade secrets of right-holders. 2. 披露、使用或者允许他人使用以前项手段获取的权利人的商业秘密； 2. disclose, use or permit others to use the trade secrets of right-holders taken by the ways of previous paragraphs. 3rd EU-China Academic Forum 2018/110/22

商业秘密的保护 (续) Protection of trade secrets （continue） 3. 违反约定或者违反权利人有关保守商业秘密的要求，披露、使用或 者允许他人使用其所掌握的商业秘密。 第三人明知或者应知商业秘密权利人的员工、前员工或者其 他单位、个人实施前款所列违法行为，仍获取、披露、使用或者 允许他人使用该商业秘密的，视为侵犯商业秘密。 3. breaks promises or violates the right-holders’ requirements to keep the trade secrets, to disclose, use or permit others use the trade secrets under the said person’s control. If the third person knows or shall know that the employees, previous employees of right-holders of trade secrets or other entities, individuals conducted the acts of violation of previous paragraph, still take, disclose, use or permit others to use the said trade secrets, shall be regarded as infringement of trade secrets. 3rd EU-China Academic Forum 2018/110/22

商业秘密的保护 (续) Protection of trade secrets （continue） 本法所称商业秘密，是指不为公众所悉，能为权利人带来商业价值并 经权利人采取保密措施的技术信息和经营信息。 The trade secrets under this law refers to the technical information and business information unknown by public and can bring the commercial values for right-holder and under control of the right- holder with confidential measures. 对部分修改的评论 Comments on minor revisions： 扩大构成侵权的手段范围 extend ways of infringement to bribe 界定侵权首要主体 define the primary infringer 界定商业秘密的构成要件：商业价值 define the commercial value as the constituting element 3rd EU-China Academic Forum 2018/110/22

TRIPS第39条义务 Obligation of TRIPS Art.39 TRIPS第39条第2款 Art.39.2 of TRIPS Agreement 商业秘密的充必条件 essential elements of trade secrets 1. 秘密性 to maintain the secrecy 2. 商业价值 commercial value 3. 合法控制下 under lawful control 第39条第2款义务 Obligation of Art. 39.2 权利人应可防止其合法控制的商业秘密未经其同意而被披露、使用，没有许可权项 The right-holder shall have rights to prevent others from disclosing or using the business secrets under lawful control without permission, but, no right related to licensing. 3rd EU-China Academic Forum 2018/110/22

TRIPS第39条义务 （续） Obligation of TRIPS Art.39 （con.） Obligation of Art. 39.2 no right related to license trade secrets. TRIPS第39条第2款起草史 Drafting history of Art. 39. 2 of TRIPS 1990年“布鲁塞尔草本”: 第39条第3款保护“商业秘密许可权” The Brussels Draft: Art. 39.3 protection for the right to license trade secrets: “ Parties shall not discourage or impede voluntary licensing of undisclosed information by imposing excessive or discriminatory conditions on such licenses or conditions which dilute the value of such information.” It was canceled by the final text. 最后文本删除此款。 3rd EU-China Academic Forum 2018/110/22

WTO争端解决相关商业秘密保护案件 WTO dispute settlement related protection of trade secrets 欧盟在WTO起诉中国技术转让措施违反TRIPS第39条第2款 DS549 EU complains in WTO that China’ s measure on the transfer of technology violated the Art. 39.2 of TRIPS Agreement DS549 该措施包括中国《技术进出口管理条例》第24条、第27条和第29条 The measures include Art. 24, 27 and 29 of China’s Regulation on technology import and export. 第27条规定：在技术进口合同有效期内，改进技术的成果属于改进方。 Art. 27: The results of improved technology belong to the party making the improvement during the valid time of contract of importing technology. 3rd EU-China Academic Forum 2018/110/22

WTO争端解决相关商业秘密保护案件(续) WTO dispute settlement related protection of trade secrets （con） 中国看来限制外国专利持有人转让或以继承方式转移其专利和缔结许可 合同，这与TRIPS第28条第2款不符。进而言之，作为这些限制措施，看 来中国也没有保证外国的未披露信息权利持有人的有效保护，与其在 TRIPS第3条第1款和第2款下义务抵触。 China appears to limit the rights of foreign patent holders to assign or transfer by succession patents and to conclude licensing contracts, contrary to Article 28.2 of the TRIPS Agreement. Furthermore, as a result of these restrictions China also appears not to ensure effective protection for foreign intellectual property rights holders of undisclosed information contrary to its obligations under Article 39.1 and 39.2 of the TRIPS Agreement. 3rd EU-China Academic Forum 2018/110/22

WTO争端解决相关商业秘密保护案件(续) WTO dispute settlement related protection of trade secrets （con） 评析 Comment: 欧盟诉称中国未保护外国专利权人在中国 转让/转移权和许可权的同时， 诉称中国也未有效保护外国的商业秘密权利人的权利，从上下文看，该 诉求包括商业秘密的转让/转移和许可权。但是，TRIPS协定义务不包括 商业秘密的许可权。这是一个错误的诉求。 The EU claims that China dose not protect the foreign patentees’ rights to transfer and to license their patent while claiming that China dose not also protect the foreign holders’ rights of business secrets. It seems that in context it includes the rights to transfer and to license business secrets. But, the obligation of TRIPS dose not include the rights to license business secrets. It seems a wrong claim. 3rd EU-China Academic Forum 2018/110/22

谢谢 Thanks 3rd EU-China Academic Forum 2018/110/22