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題名 營業秘密境外侵害與屬地法效:以美國營業秘密相關法制為借鏡
The Cross-Border Misappropriation of Trade Secrets and Territoriality: a Comparative Study on American Legal Frameworks for Trade Secret作者 徐瑞婕
HSU, Jui-Chieh貢獻者 沈宗倫
徐瑞婕
HSU, Jui-Chieh關鍵詞 營業秘密
域外效力
屬地法效
兩步驟架構
跨境侵害
境外侵害
Trade Secret
Extraterritoriality
Territoriality
Two-Step Framework
Cross-Border Misappropriation of Trade Secret日期 2022 上傳時間 2-Sep-2022 15:09:26 (UTC+8) 摘要 隨著科技化與全球化時代之來臨,智慧財產權法之屬地主義須面臨某種程度之轉變,以因應日益興盛的跨境智慧財產權紛爭。本文將智慧財產權法制之域外效力分為三大問題,分別為域外效力之定性、域外效力之範圍,以及損害賠償之範圍,並集中於討論域外效力之範圍,即針對涉外個案,本國法的保護範圍。 2016年美國最高法院正式建立「兩步驟架構」(two-step framework),本文認為,「法律原則上無域外效力」之推定不應一律適用於全部個案,而應作為解釋立法者意圖之工具。此外,傳統「兩步驟架構」確認系爭法規具域外效力之後,對於涉外個案如何適用,並無具體指示,造成法院難以操作。因此,本文重新建構「新兩步驟架構」,使法院處理涉外個案中營業秘密法制擴張的屬地法效時,有更為清楚且具體的判斷步驟。 本文認為,涉外案件的判斷流程包含:國際裁判管轄權之確立、準據法之選擇,以及域外效力之範圍,即以「新兩步驟架構」判斷系爭法規之域外效力。「新兩步驟架構」之第一步驟,係探究立法者是否意圖使該法規域外適用於涉外個案,若是,則第二步驟為屬地法效之範圍判斷,本文建議採「統一權衡標準」(Uniformly-applied Balancing Test),以三個要件判斷域外適用之範圍;若否,則第二步驟應以「重心標準」(focus test)判斷系爭法規於個案之境內適用範圍。 本文以「新兩步驟架構」檢視美國337條款、經濟間諜法(EEA)與防衛營業秘密法(DTSA),分析法規與相關案例後提出本文意見,接著分析台灣營業秘密法與域外效力相關的規範,並提出立法建議。本文將營業秘密境外侵害之行為類型化,包含涉及民事責任的私法行為,以及涉及刑事責任的犯罪行為,期能細緻化營業秘密涉外規範,建構更為全面且層級化的營業秘密保護網絡。
With the advent of the era of technology and globalization, the territorialism of intellectual property law must face a certain degree of transformation to cope with the growing cross-border intellectual property disputes. The extraterritoriality of intellectual property law is divided into three major issues, the characterization of extraterritoriality, the scope of extraterritoriality, and the scope of the compensation for damage. The master’s thesis focuses on the scope of extraterritoriality, which is the protection scope of domestic law for foreign-related cases. The Supreme Court of the United States officially established the “two-step framework” in 2016. The thesis believes that the basic premise of a legal system that the domestic law governs domestically should be a tool to explain legislative intent, rather than apply to all cases without exception. In addition, after the traditional “two-step framework” confirmed the extraterritoriality of the law, there is no specific instruction on how to apply it to foreign-related cases, making it difficult for the courts to operate. Therefore, the “new two-step framework” is reconstructed, giving the courts a clear and more specific judgment standard to deal with the expansion of the territorial effect of the trade secrets laws in foreign-related cases. The judgment process of foreign-related cases includes the jurisdiction to adjudicate in an international sense, the choice of applicable law, and the scope of extraterritoriality, the last one is to judge the extraterritoriality of the law with the “new two-step framework”. The first step of the “new two-step framework” is to explore whether the legislators intend to make the law extraterritorial. If so, the second step is to judge the expanded scope of the territorial effect of the law in the foreign-related case, and the “Uniformly-applied Balancing Test” with three elements is recommended. If not, then the domestic scope of application of the law shall be judged by the “focus test”. The “new two-step framework” was used to examine the U.S. Section 337, the Economic Espionage Act of 1996, and the Defend Trade Secrets Act of 2016, including analyzing the laws and relevant cases, and rendering some opinions. Then the thesis analyzes some Acts related to the extraterritoriality of trade secrets in Taiwan and provides legislative suggestions. 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L. vol. 25:2, 572-596 (Oct. 2019)(三)研究報告1.AIPLA (American Intellectual Property Law Association), 2019 Report of the Economic Survey, AIPLA, September 20192.Committee on the Judiciary, DEFEND TRADE SECRET ACT OF 2016, H.REPT.114-529, 16. (2016). Available at: https://www.congress.gov/114/crpt/hrpt529/CRPT-114hrpt529.pdf3.Department of Justice, Prosecuting Intellectual Property Crimes Manual (Fourth Edition, 2013)4.Douglas C. Lippoldt, Mark F. Schultz, Uncovering Trade Secrets - An Empirical Assessment of Economic Implications of Protection for Undisclosed Data, OECD TRADE POLICY PAPERS, No. 167 (2014) Available at: https://www.oecd-ilibrary.org/docserver/5jxzl5w3j3s6-en.pdf?expires=1649219112&id=id&accname=guest&checksum=AEE70D30DCC89A87F1B3349E74F591785.Economics and Statistics Administration and the United States Patent and Trademark Office, Intellectual Property and the U.S. Economy: Industries in Focus, U.S. Department of Commerce (March 2012). 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No 337-TA-1145 (December 16, 2020), Comments of the American Antitrust Institute on the Public-Interest Issues(六)網路資料1.A New F.B.I. Focus: H.R. Comm. on Appropriations, Subcomm. for the Dep’t of Commerce, Justice, and State, the Judiciary, and Related Agencies, 107th Cong. (2002) [hereinafter Mueller Testimony] (testimony of Robert S. Mueller, III, Director, FBI). Available at: https://www2.fbi.gov/congress/congress02/mueller062102.htm2.Andrew S. Boutros and Alex Meier, An Endangered Claim Reemerges: The Defend Trade Secrets Act Breathes New Life Into Trade-Secrets-Based RICO Claims, White Collar Crime Report, 12 WCR 243 (2017). Available at: https://www.seyfarth.com/a/web/7094/3G9C1Q/boutrosmeierpublished.pdf3.Adam R. Hess and David P. Prueter, The ITC Expands its Approach to Issuing Cease and Desist Orders, NATIONAL LAW REVIEW, Volume X, Number 199, Squire Patton Boggs (US) LLP, July 17, 2020. 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國立政治大學
法律科際整合研究所
107652009資料來源 http://thesis.lib.nccu.edu.tw/record/#G0107652009 資料類型 thesis dc.contributor.advisor 沈宗倫 zh_TW dc.contributor.author (Authors) 徐瑞婕 zh_TW dc.contributor.author (Authors) HSU, Jui-Chieh en_US dc.creator (作者) 徐瑞婕 zh_TW dc.creator (作者) HSU, Jui-Chieh en_US dc.date (日期) 2022 en_US dc.date.accessioned 2-Sep-2022 15:09:26 (UTC+8) - dc.date.available 2-Sep-2022 15:09:26 (UTC+8) - dc.date.issued (上傳時間) 2-Sep-2022 15:09:26 (UTC+8) - dc.identifier (Other Identifiers) G0107652009 en_US dc.identifier.uri (URI) http://nccur.lib.nccu.edu.tw/handle/140.119/141659 - dc.description (描述) 碩士 zh_TW dc.description (描述) 國立政治大學 zh_TW dc.description (描述) 法律科際整合研究所 zh_TW dc.description (描述) 107652009 zh_TW dc.description.abstract (摘要) 隨著科技化與全球化時代之來臨,智慧財產權法之屬地主義須面臨某種程度之轉變,以因應日益興盛的跨境智慧財產權紛爭。本文將智慧財產權法制之域外效力分為三大問題,分別為域外效力之定性、域外效力之範圍,以及損害賠償之範圍,並集中於討論域外效力之範圍,即針對涉外個案,本國法的保護範圍。 2016年美國最高法院正式建立「兩步驟架構」(two-step framework),本文認為,「法律原則上無域外效力」之推定不應一律適用於全部個案,而應作為解釋立法者意圖之工具。此外,傳統「兩步驟架構」確認系爭法規具域外效力之後,對於涉外個案如何適用,並無具體指示,造成法院難以操作。因此,本文重新建構「新兩步驟架構」,使法院處理涉外個案中營業秘密法制擴張的屬地法效時,有更為清楚且具體的判斷步驟。 本文認為,涉外案件的判斷流程包含:國際裁判管轄權之確立、準據法之選擇,以及域外效力之範圍,即以「新兩步驟架構」判斷系爭法規之域外效力。「新兩步驟架構」之第一步驟,係探究立法者是否意圖使該法規域外適用於涉外個案,若是,則第二步驟為屬地法效之範圍判斷,本文建議採「統一權衡標準」(Uniformly-applied Balancing Test),以三個要件判斷域外適用之範圍;若否,則第二步驟應以「重心標準」(focus test)判斷系爭法規於個案之境內適用範圍。 本文以「新兩步驟架構」檢視美國337條款、經濟間諜法(EEA)與防衛營業秘密法(DTSA),分析法規與相關案例後提出本文意見,接著分析台灣營業秘密法與域外效力相關的規範,並提出立法建議。本文將營業秘密境外侵害之行為類型化,包含涉及民事責任的私法行為,以及涉及刑事責任的犯罪行為,期能細緻化營業秘密涉外規範,建構更為全面且層級化的營業秘密保護網絡。 zh_TW dc.description.abstract (摘要) With the advent of the era of technology and globalization, the territorialism of intellectual property law must face a certain degree of transformation to cope with the growing cross-border intellectual property disputes. The extraterritoriality of intellectual property law is divided into three major issues, the characterization of extraterritoriality, the scope of extraterritoriality, and the scope of the compensation for damage. The master’s thesis focuses on the scope of extraterritoriality, which is the protection scope of domestic law for foreign-related cases. The Supreme Court of the United States officially established the “two-step framework” in 2016. The thesis believes that the basic premise of a legal system that the domestic law governs domestically should be a tool to explain legislative intent, rather than apply to all cases without exception. In addition, after the traditional “two-step framework” confirmed the extraterritoriality of the law, there is no specific instruction on how to apply it to foreign-related cases, making it difficult for the courts to operate. Therefore, the “new two-step framework” is reconstructed, giving the courts a clear and more specific judgment standard to deal with the expansion of the territorial effect of the trade secrets laws in foreign-related cases. The judgment process of foreign-related cases includes the jurisdiction to adjudicate in an international sense, the choice of applicable law, and the scope of extraterritoriality, the last one is to judge the extraterritoriality of the law with the “new two-step framework”. The first step of the “new two-step framework” is to explore whether the legislators intend to make the law extraterritorial. If so, the second step is to judge the expanded scope of the territorial effect of the law in the foreign-related case, and the “Uniformly-applied Balancing Test” with three elements is recommended. If not, then the domestic scope of application of the law shall be judged by the “focus test”. The “new two-step framework” was used to examine the U.S. Section 337, the Economic Espionage Act of 1996, and the Defend Trade Secrets Act of 2016, including analyzing the laws and relevant cases, and rendering some opinions. Then the thesis analyzes some Acts related to the extraterritoriality of trade secrets in Taiwan and provides legislative suggestions. The cross-border misappropriation of trade secrets is categorized into private acts which bear civil liability, and criminal acts which bear criminal liability, hoping to refine the foreign-related laws of trade secrets and build a more comprehensive and hierarchical trade secret protection network. en_US dc.description.tableofcontents 第一章 緒論 1第一節 研究動機與目的 1第二節 研究方法與架構 4第二章 智慧財產權法之屬地主義與域外效力 7第一節 智慧財產權與屬地主義 7第一項 簡介 7第二項 轉變 10第二節 國際私法處理涉外案件之原理原則 11第一項 管轄權之確定 11第一款 英美法系國家 12一、最小接觸原則與合理公平原則 13二、不便利法庭原則 15(一)當事人利益 16(二)公共利益 17第二款 大陸法系國家 19第三款 小結 21第二項 準據法之適用 22第一款 權利本身之準據法 23第二款 權利侵害之準據法 25一、保護地法主義 26二、侵權行為地法主義 29第三款 權利讓與之準據法 30一、一般契約 30二、僱傭契約 34第三節 智慧財產權與域外效力 36第一項 域外效力之定性 36第二項 域外效力之範圍 38第一款 入境規範(Inbound Regulation) 39一、造成境內影響之境外直接侵權行為(Extraterritorial Activity with Local Effects as Direct Infringement) 39二、造成境內影響之境外間接侵權行為(Extraterritorial Activity with Local Effects as Secondary Infringement) 41三、部分發生於境內,部分發生於境外之侵權行為(Infringement Activity Occurring Partly Locally, Partly Abroad) 42第二款 出境規範(Outbound Regulation) 43一、造成境外影響之境內直接侵權行為(Local Activity with Extraterritorial Effects as Direct Infringement) 43二、單純過境之直接侵權行為(Mere Transit as Direct Infringement) 44三、與境外直接侵權相關之境內間接侵權行為(Local Secondary Infringement Related to Foreign Direct Infringement) 45第三項 損害賠償之範圍 50第四項 小結 53第四節 相關涉外案例 55第一項 WesternGeco LLC v. ION Geophysical Corp., 138 S. Ct. 2129 (2018) 57第一款 案件事實 57第二款 法院見解 58第三款 本文意見 62第四款 四步驟分析架構 65第二項 Steele v. Bulova Watch Co., 344 U.S. 280 (1952) 67第一款 案件事實 67第二款 法院見解 68第三款 本文意見 69第三項 Reebok Intern., Ltd. v. Marnatech Enterprises, Inc., 970 F.2d 552 (1992) 71第一款 案件事實 71第二款 法院見解 72第三款 本文意見 74第四項 United States v. Aluminum Co. of America, 148 F.2d 416 (2d Cir. 1945) 76第一款 案件事實 76第二款 法院見解 77第三款 修正效果標準 78第四款 本文意見 79第五項 Timberlane Lumber Co. v. Bank of America et al., 549 F. 2d 597 (1976) 79第一款 案件事實 79第二款 法院見解 80第三款 本文意見 82第六項 比較 83第三章 美國營業秘密境外侵害之法律分析 85第一節 概述 85第一項 營業秘密之性質 85第一款 契約法理論 85第二款 侵權行為法理論 86第三款 反不正競爭理論 88第四款 財產權理論 89一、鼓勵創新與提供誘因 90二、鼓勵傳播與資訊揭露 91第二項 與其他智慧財產權之比較 94第一款 概念 94第二款 要件 96第三款 主張 99第三項 營業秘密與屬地主義 100第四項 營業秘密之政策趨向 102第二節 兩步驟架構 104第一項 簡介 104第二項 RJR Nabisco, Inc. v. European Cmty., 136 S. Ct. 2090 (2016) 106第一款 反勒索及受賄組織法(RICO) 106第二款 案件事實 108第三款 法院見解 109一、RICO第1962條的禁止規定,是否適用於境外行為 109二、RICO第1964條的民事賠償,是否適用於境外損害 111第四款 本案評析 112一、「兩步驟架構」之第一步驟 112二、「兩步驟架構」之第二步驟 125第三項 重新建構涉外案件之判斷流程 130第一款 國際裁判管轄權之確立 130第二款 準據法之選擇 131第三款 域外效力之範圍 134一、「新兩步驟架構」之第一步驟 134二、「新兩步驟架構」之第二步驟 135第三節 337條款 136第一項 簡介 136第二項 案例 140第一款 TianRui Group Co. v. ITC, 661 F.3d 1322 (Fed. Cir. 2011) 140一、案件事實 140二、實務見解 141(一)國際貿易委員會 141(二)聯邦巡迴上訴法院 142三、本案評析 144(一)337條款之解釋適用 144(二)「新兩步驟架構」之應用 147第二款 SI Group v. 華奇 148一、實務見解 148(一)中國 148(二)美國 149二、華奇的移審請願書 152(一)聯邦巡迴上訴法院之錯誤 153(二)337條款的適用範圍,乃最高法院須重新檢視的重要問題 156三、本案評析 157第三款 肉毒桿菌案 160一、案件事實 160二、實務見解 161(一)管轄權 161(二)原告適格 162(三)摧毀或嚴重損害美國本土產業 163三、本案評析 165(一)337條款之解釋適用 165(二)「新兩步驟架構」之應用 167第三項 小結 168第四節 經濟間諜法(Economic Espionage Act of 1996, EEA) 170第一項 簡介 170第二項 案例 176第一款 U.S. v. UMC, et al., 3:18-CR-00465 MMC 176一、第1837條第1款 177二、第1837條第2款 178第二款 U.S. v. Kolon Indus., Inc., No.3:12-CR-137, D.I. 3 180第三項 評析 183第一款 屬地主義 183第二款 利益平衡 186第三款 實務執行 190第四款 本文意見 191第五節 防衛營業秘密法(Defend Trade Secrets Act of 2016, DTSA) 193第一項 簡介 193第二項 第1837條第1款 196第三項 第1837條第2款 197第一款 學說見解 198一、效果標準(Effect Test) 198二、權衡標準(Balancing Test) 200第二款 本文意見 202第三款 實務案例 204一、“But for”標準 204(一)Micron Tech., Inc. v. United Microelectronics Corp., No. 17-CV-06932-MMC, 2019 WL 1959487 (N.D. Cal. May 2, 2019) 204二、“in furtherance of”標準 215(一)Luminati Networks Ltd. v. BIScience Inc., No. 2:18-CV-00483-JRG, 2019 WL 2084426 (E.D. Tex. May 13, 2019) 216(二)MACOM Tech. Solutions Inc. v. Litrinium, Inc., No. SACV 19-220 JVS (JDEx), 2019 WL 4282906 (C.D. Cal. June 3, 2019) 219(三)Motorola Solutions, Inc. v. Hytera Communications Corp. Ltd., 436 F.Supp.3d 1150 (2020) 226(四) vPersonalize Inc. v. Magnetize Consultants Ltd., 437 F.Supp.3d 860 (2020) 234三、小結 237第四項 評析 239第六節 統整比較 241第四章 台灣營業秘密法之域外分析 246第一節 「新兩步驟架構」之應用 246第二節 營業秘密刑事涉外規範 247第一項 簡介 247第二項 第13條之2 250第一款 保護法益 250第二款 構成要件 251第三款 發動偵查 254第四款 實務作法 255第五款 小結 256第三項 評析 257第一款 域外效力之明文規範 257第二款 域外效力之適用範圍 259第三節 營業秘密民事涉外規範 261第一項 簡介 261第二項 評析 263第一款 域外效力之明文規範 263第二款 域外效力之適用範圍 264第四節 營業秘密之邊境管制 266第一項 簡介 266第二項 評析 267第五節 未來展望 269第一項 國家安全法 270第一款 簡介 270第二款 評析 272一、定義模糊 272二、法人究責 274三、小結 276第二項 立法建議 276第一款 立法必要性 277第二款 類型化管制 278一、私法行為 278二、犯罪行為 279(一) 一般竊取營業秘密之境外犯罪行為 279(二) 涉及國家核心關鍵技術之境外犯罪行為 282(三) 涉及國家核心關鍵技術之經濟間諜行為 283第三款 小結 284第六節 本文意見 285第五章 結論 289參考文獻 299 zh_TW dc.format.extent 9835139 bytes - dc.format.mimetype application/pdf - dc.source.uri (資料來源) http://thesis.lib.nccu.edu.tw/record/#G0107652009 en_US dc.subject (關鍵詞) 營業秘密 zh_TW dc.subject (關鍵詞) 域外效力 zh_TW dc.subject (關鍵詞) 屬地法效 zh_TW dc.subject (關鍵詞) 兩步驟架構 zh_TW dc.subject (關鍵詞) 跨境侵害 zh_TW dc.subject (關鍵詞) 境外侵害 zh_TW dc.subject (關鍵詞) Trade Secret en_US dc.subject (關鍵詞) Extraterritoriality en_US dc.subject (關鍵詞) Territoriality en_US dc.subject (關鍵詞) Two-Step Framework en_US dc.subject (關鍵詞) Cross-Border Misappropriation of Trade Secret en_US dc.title (題名) 營業秘密境外侵害與屬地法效:以美國營業秘密相關法制為借鏡 zh_TW dc.title (題名) The Cross-Border Misappropriation of Trade Secrets and Territoriality: a Comparative Study on American Legal Frameworks for Trade Secret en_US dc.type (資料類型) thesis en_US dc.relation.reference (參考文獻) 一、中文(依姓氏筆畫排序)(一)專書1.王偉霖,營業秘密法理論與實務,元照,2020年5月,第3版。2.李瑞生,美國短暫過境管轄權之研究-以聯邦最高法院案例為中心,國際私法:管轄與選法理論之交錯,五南,2009年3月。3.法務部廉政署主編,聯合國及貪腐公約專題學術研討會論文集-我國之實踐與展望,法務部廉政署,2015年12月。4.丘宏達、陳純一,現代國際法,三民,2021年9月,修訂第4版。5.姜皇池,國際公法導論,新學林,2013年6月,第3版。6.柯澤東、吳光平,國際私法,元照,2020年10月,第6版。7.馬漢寶,國際私法總論各論,翰蘆,2021年1月,第3版。8.張靜,我國營業秘密法學的建構與開展:第一冊 營業秘密的基礎理論,新學林,2007年4月。9.謝銘洋,智慧財產權法,元照,2021年9月,第11版。10.薛波,元照英美法詞典,法律出版社,2003年。11.Jurgen Basedow,知的財產權分野における国際私法の確立,譯者:河野俊行、八並廉,收錄於河野俊行編知的財産権と渉外民事訴訟,弘文堂,2010年8月初版。(二)期刊論著1.王玉瓊,美國法上關於營業秘密之民事救濟-以法院判決之解析為中心,智慧財產權月刊,第214期,頁32-56,2016年10月。2.王千維,民事損害賠償責任法上因果關係之結構分析以及損害賠償之基本原則,政大法學評論,第60期,頁201-230,1998年12月。3.王千維,民事損害賠償責任成立要件上之因果關係、違法性與過失之內涵及其相互間之關係,中原財經法學,第8期,頁7-64,2002年6月。4.王欽彥,營業秘密侵害之準據法,輔仁法學第61期,頁87-176,2021年6月24日。5.王偉霖,簡評我國營業秘密新修正刑事規範-兼論美、日、陸營業秘密刑事規範,台灣法學雜誌,第254期,頁87-95,2014年8月。6.王偉霖,我國營業秘密刑事規範的再思考,法令月刊,第68卷第5期,頁64-90,2017年5月。7.王銘勇,域外侵害營業秘密罪法制研析,2014年第18屆全國科技法律研討會論文集,劉尚志主編,2014年。8.王銘勇,網路侵害境外營業秘密罪,月旦民商法雜誌,第72期,頁27-37,2021年6月。9.方元沂,論美國國際禮讓原則,華岡法粹,第55期,頁121-145,2013年10月。10.李惠宗,法律隱藏漏洞的發現與填補之法理基礎-司法院大法官違憲審查實踐的觀察,月旦法學雜誌,第185期,頁5-11,2010年10月。11.沈宗倫,營業秘密侵害之侵害者所得利益損害賠償—以營業秘密法第13條第1項第2款之合理詮釋為中心,台灣法律人第5期,頁33-48,2021年11月。12.吳光平,國際裁判管轄權地決定基準-總論上方法的考察,政大法學評論,第94期,頁267-334,2006年12月。13.吳光平,網際網路案件國際裁判管轄權之決定基準-以美國跨州網際網路案件之裁判管轄為中心,輔仁法學,第38期,頁33-110,2009年12月。14.吳從周,民法上之法律漏洞、類推適用與目的性限縮,東吳法律學報,第18卷第2期,頁103-140,2006年12月。15.林洲富,商標權之權利耗盡原則,月旦法學教室,第183期,頁31-33,2017年12月。16.林恩瑋,國際私法上「分割爭點(issue-by-issue)」方法之適用-以最高法院兩則判決為中心,政大法學評論,第119期,頁151-187,2011年2月。17.周妤軒、王立達,從國際法觀點看美國反托拉斯法域外效力-Motorola Mobility LLC v. 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