（刑法学专业论文）论国家秘密的刑法保护.pdf

1 论国家秘密的刑法保护 提 要 论国家秘密的刑法保护 提 要 国家秘密涉及一国的政治、 军事、 外交、 国民经济和社会发展、 科学技术、刑事司法等重大领域。在任何时候、任何情况下总是同 国家的安全和利益密切相关， 一旦泄露， 将会给国家和社会造成重 大损失。任何一个国家都有自己的保护国家秘密的法律、法规，而 用刑法来保护国家秘密，则是各国首选之举。 本文第一章对国家秘密的概念和刑法保护的必要性进行了阐 述。 本文第一章对国家秘密的概念和刑法保护的必要性进行了阐 述。 首先， 阐述了国家秘密的概念。 根据有关国家的保密法规规定， 各国关于国家秘密的概念大体上有三种定义方法： 一是把那些同国 家安全和对外关系相关的， 需要控制一定接触范围的事项规定为国 家秘密； 二是只对国家秘密的基本外延作出相应规定， 且往往是以 国家最高权力机关或最高行政机关的名义发布文件， 直接分列国家 秘密事项的类目，或者规定“凡明显标有国家秘密性质的情报、资 料、文件，均属国家秘密” ；三是兼有上述两者所长，既明确国家 秘密的基本内涵，又概括了它的基本外延 1。我国 1988 年通过的 保密法第 2 条规定： 国家秘密是指关系国家的安全和利益， 依照法 定程序确定，在一定时间内只限一定范围的人员知悉的事项。 其次， 对我国学者关于保密法第 2 条关于国家秘密的定义是否 妥当的异议进行分述。 认为多数学者持肯定态度， 认为判断某一事 项是否为国家秘密，须具备三个因素： （一）关系着国家的安全和 利益； （二）依照法定程序确定； （三）在一定时间内只限一定范围 的人知悉 2。但是，也有学者认为保密法对国家秘密所作的概念未 尽妥当： 该概念把国家秘密的属性与特征混为一谈了。 我国台湾学 者大多持第二种见解， 他们认为国家秘密的概念中不应包含 “依照 1 参见国家保密局编著： 保密工作概论 ，金城出版社 1991 年版，第 19 页。 2 参见国家保密局编著： 保密工作概论 ，金城出版社 1991 年版，第 20-21 页。 2 法定程序确定”之类的内容。 第三，分析了国家秘密的特征。 “关系国家的安全和利益”应 为判断某一事项构成国家秘密的必备要素和基本特征， 关系国家的 安全和利益是国家秘密的价值所在。 秘密性是国家秘密的又一基本 特征。此外，国家秘密还有法定性、相对性、有限性、密级性和不 可转让性等性质特征。 第四，阐述了国家秘密的范围和密级的划分。按照中华人民 共和国保守国家秘密法 第 8 条的规定， 国家秘密事项也即国家秘 密的范围包括： 国家事务的重大决策中的秘密事项； 国防建设和武 装力量活动中的秘密事项； 外交和外事活动中的秘密事项以及对外 承担保密义务的事项； 国民经济和社会发展中的秘密事项； 科学技 术中的秘密事项；维护国家安全活动和追查刑事犯罪中的秘密事 项； 其他经国家保密工作部门确定应当保守的国家秘密事项。 此外， 政党的秘密符合 中华人民共和国保守国家秘密法 第 2 条规定的， 属于国家秘密。 中华人民共和国保守国家秘密法第 9 条把国家 秘密的密级分为“绝密” 、 “机密”和“秘密” ，并对密级划分标准 做了原则规定。 第五， 分析了确定国家秘密的基本要素。 根据我国保守国家秘 密法对国家秘密的定义及其规定，国家秘密必须具备三个基本要 素： 必须是泄露后对国家安全和利益有危害的事项， 必须是依照法 定程序确定的事项， 必须是在一定时间里， 只能为一定范围内人员 知悉的事项。 第六， 分析了国家秘密与非国家秘密以及国家秘密与商业秘密 的区别。 认为国家秘密同非国家秘密的主要区别在于： 非国家秘密 一旦泄露不会对国家的安全和利益造成某种损害， 但可能对其直接 涉及对象的某种利益或者权益造成损害； 有些非国家秘密不具备进 入国际竞争领域的基本条件， 对外不具有保密价值； 非国家秘密被 泄露后，有关的行为人没有触犯国家保密法律、法规，因而不能依 照国家保密法律、 法规的有关规定追究其法律责任， 但可以按照受 损害单位工作制度的有关规定予以处理，如果触犯国家其他法律、 3 法规， 则应依照相应的法律规定追究法律责任。 认为国家秘密和商 业秘密的主要区别是：法律性质不同；立法意图不同；确定程序不 同；转让条件不同；法律保护水平不同；泄密所承担的法律责任不 同。 第七， 分析了国家秘密的危害， 由此引出加强刑法保护的必要 性。国家秘密一旦被泄露，将会对国家和社会造成重大损失。具体 表现在：损害国家的安全和利益，破坏社会生活程序，干扰国家机 关正常工作秩序。 鉴于泄露国家秘密的严重危害， 加强刑法对国家 秘密的保护，严厉打击窃、泄国家秘密的犯罪行为尤其显得重要。 首先， 从国家秘密的法律保护体系来看， 刑法保护是最主要的保护 手段，其他保护手段，无论是经济的还是民事的，都成为刑法对国 家秘密保护的辅助手段， 这是由国家秘密的公权性质所决定的。 其 次， 从世界各国的保密立法状况看， 任何一个国家都有自己的保密 法律、法规，并且没有不规定泄密、窃密刑事责任的，即用刑法来 保护国家秘密，这是世界各国的普遍认识和共同做法。无论民法、 经济法的保密规定怎样完善，它都不可能取代刑法作为保护手段。 第三， 加强国家秘密的刑法保护是由于刑法所具有的最严厉的属性 所决定的， 在一国的法律体系中， 刑法较其他法律的惩处都要严厉， 它甚至可以剥夺犯罪人的生命。 本文第二章阐述了国外关于国家秘密的刑法保护。 本文第二章阐述了国外关于国家秘密的刑法保护。 首先，阐述了各国刑法中“国家秘密”的不同表述。世界上绝 大多数国家都在刑法中对危害国家秘密的犯罪作了规定， 只是各国 法律规定危害国家秘密犯罪时使用“国家秘密”术语上有所不同。 概括起来有以下几种类型：一是直接使用“国家秘密”这一概念， 规定犯罪及其刑事责任，二是称国家秘密为“重要信息” 、 “祖国情 报” ，据此规定犯罪行为的构成要件和刑罚，三是根据国家秘密的 载体规定危害国家秘密犯罪及其刑罚，四是不用“国家秘密” ，而 用“国家机密”的概念 其次，分析了美国、德国、奥地利和瑞士四个国家关于国家秘 密刑法保护的罪名与特点。 美国法律所规定的危害国家秘密类犯罪 4 有搜集、 传递或遗失国防情报罪、 搜集或运输国防情报以援助外国 政府罪、拍摄国防设施及绘制草图罪、利用飞机拍摄国防设施罪、 泄露保密资料罪、 非法公布发明保密实质性资料罪、 故意泄露国家 安全情报罪、泄露识别情报员身份的情报罪。其特点：重视危害国 家秘密犯罪的主观要件， 并且一般都在法律中明确规定出来； 对国 家秘密的刑法保护重实质而不重形式； 对危害国家秘密的八种犯罪 的惩罚，既有自由刑，又有罚金刑 。德国刑法典中对危害国家秘 密类犯罪规定比较详细，其罪名有危害国家安全类、渎职类、军事 类三种。其特点：重视影响刑事责任的各个因素；认识错误的原理 在危害国家秘密罪中有专门性规定； 从刑罚种类上看， 危害国家秘 密类犯罪绝大多数适用有期徒刑和罚金刑， 但没有规定资格刑和生 命刑。奥地利刑法典规定的有关国家秘密的犯罪有危害国家安全 类、渎职类、军事类。其特点：将有关国家秘密的犯罪没有规定在 刑法分则的前面第 1 章、第 2 章，相反集中规定在第 14 章；只有 自由刑， 仅在过失泄露军事秘密罪中规定可以处 360 单位以下日额 金的罚金刑； 在军事类犯罪中区分故意和过失两种不同的罪过； 对 错误认识作出专门规定。 瑞士刑法关于国家秘密的保护中规定的罪 名有军事类、危害国家安全的犯罪、渎职类。其特点：与奥地利刑 法相同， 关于国家秘密的犯罪没有置于刑法分则的前面第 1 章、 第 2 章，而是分别置于刑法第 13 章、第 18 章等部分章节中；处刑以 监禁刑或罚金刑为主； 在每一个泄露国家秘密罪的后面， 强调过失 犯泄露秘密的犯罪都要处刑。 本文第三章着重论述了我国关于国家秘密的刑法保护。 本文第三章着重论述了我国关于国家秘密的刑法保护。 首先，分析了中华民国前关于国家秘密刑法保护的情况。 “保 密”一词出自于近代。但是，作为具有保密性质的行为，则可追溯 到周朝。秦汉时期，漏泄机密当时称作漏泄省中语，是一种较严重 的犯罪，依法要处以重刑。魏晋时对漏泄罪者，一律处以极刑。从 隋唐到明清，国家秘密的刑法保护更加规范化、严格化、细致化。 明代对泄密犯罪法律责任的规定一个突出特点是： 对泄密者除了刑 事处罚外， 甚至规定给予经济制载。 清朝政府比较重视对泄露秘密 5 犯罪的惩治， 这与其所处的内外交困的复杂形势是极其相关的。 中 华民国时期颁布的中华民国刑法继承前朝有关立法精神，对泄 密犯罪作了具体规定。 其次，分析了 97 刑法出台前我国关于国家秘密刑法保护的情 况。1951 年 6 月 8 日，中央人民政府政务院公布施行了中央人 民政府政务院保守国家机密暂行条例 。由于没有与之相配套的刑 法典，该条例并没有给国家秘密提供刑法上的保护。1979 年中华 人民共和国刑法第 97 条、第 186 条明确规定了泄露国家秘密行为 的刑事责任，使国家秘密第一次有了刑法保护。1981 年 6 月 10 日 通过的惩治军人违反职责罪暂行条例又规定了泄露军事机密罪、 遗 失军事机密罪和窃取、刺探、提供军事机密罪。1988 年 9 月 5 日 第七届全国人大常务会第三次会议通过、1989 年 5 月 1 日起施行 的中华人民共和国保守国家秘密法 ，是我国历史上第一部比较 完备的社会主义保密法律。 与保密法同时通过的关于惩治泄漏国家 秘密犯罪的补充规定， 对刑法中关于国家秘密的有关规定作了必要 的补充，同时是对保密法第 32 条的进一步完善。纵观这些法律、 法规， 危害国家秘密行为可能构成的犯罪有五类六个： 泄露国家重 要机密罪，为境外窃取、刺探、收买、非法提供国家秘密罪，间谍 罪和特务罪，泄露或遗失重要军事机密罪，窃取、刺探、提供军事 机密罪。 以上罪名基本上构成了建国后很长一段时间内我国危害国 家秘密犯罪的全部体系。 第三，分析了目前我国的国家秘密刑法保护情况。以 1997 年 3 月 14 日颁布、10 月 1 日开始实施的中华人民共和国刑法的 诞生为标志， 我国国家秘密刑法保护制度迈入了新的历史阶段。 目 前我国国家秘密刑法保护具有以下特点：一是立法体例比较科学； 二是罪名体系作了重大调整， 调整完善了六个罪名， 使之成为五个 新罪名，补充增加了四个新罪名；三是刑罚处罚加重。 第四， 对有关国家秘密犯罪的相近罪名进行了辨析。 一是故意 泄露国家秘密罪与为境外窃取、刺探、收买、非法提供国家秘密、 情报罪的区分； 二是间谍罪与非法获取国家秘密罪、 非法持有秘密 6 物品罪的界限； 三是间谍罪与泄露国家秘密犯罪的区别； 四是间谍 罪与泄露军事秘密犯罪的区别； 五是间谍罪与非法获取军事秘密罪 的界限；六是为境外窃取、刺探、收买、非法提供国家秘密、情报 罪与间谍罪。 本文第四章论述了我国关于国家秘密的刑事立法缺陷及其完 善。 本文第四章论述了我国关于国家秘密的刑事立法缺陷及其完 善。 首先， 对关于国家秘密刑事立法的缺陷进行了分析。 认为目前 我国关于国家秘密的刑事立法有以下缺陷：一是罪名设置比较粗 糙。 渎职罪中没有将故意与过失两种不同犯罪予以区分。 对一般主 体 （相对于国家工作人员而言） 的危害国家秘密的犯罪规定得不全 面、不严密。缺乏对保密、情报人员身份保护的刑法规定。缺乏特 殊人员不履行保密义务追究其责任的规定。 对犯罪要件的外延规定 失之过窄； 二是缺乏合理性。 对故意与过失泄露国家秘密的犯罪规 定相同的法定刑， 这不符合各国刑法对过失犯罪处罚的潮流和刑法 理论有关两者主观恶性、 社会危害性不同的基本观点， 违背了罪责 刑相适应的原则；三是刑罚内容有局限。我国刑法对于泄密、窃密 犯罪刑事责任的规定，显然重视生命刑、自由刑，而轻视财产刑。 其次， 对国家秘密刑事立法提出了七条完善建议。 一是对泄密、 窃密犯罪适当增设条款，加大对泄密和窃密犯罪行为的打击和防 范； 二是对刑法第 398 条进行修改， 扩大第一款故意或过失泄露国 家秘密罪的特殊主体范围，准确界定第二款规定的一般主体范围； 三是增加违反职务义务和职业义务的犯罪条款； 四是对泄露国家秘 密罪增设财产刑；五是扩充犯罪客观要件，尽快制订利用计算机、 互联网泄露和窃取国家秘密犯罪的有关法律规定； 六是对泄露国家 秘密罪按主观罪过的不同予以分设； 七是加重公务人员犯罪的刑事 处罚。 本文最后作了结语。笔者认为，用刑法严惩窃、泄国家秘密的 犯罪行为，是各国的普遍认识和共同做法，但法律不是万能的，刑 法对国家秘密的保护也不是万能的。 因此， 我们还需要采取更广泛 的措施来保护国家秘密， 广泛深入地开展保密宣传教育， 提高全社 8 the discussion about criminal law protection on state secrets summary many important and major fields involve state secrets, including politics, military, diplomacy, state economy, scientific technology, criminal judicature, etc, referring to state safety and rights anytime, anywhere. once state secrets revealed, the whole country and society would be greatly damaged. any country must have its own laws and regulations to protect state secrets. moreover, using criminal law to protect state secrets would be the first choice for every country. the first chapter in this article expresses the concept of state secrets and the necessity of criminal law protection. firstly, it expresses the concept of state secrets. basing on the regulation in state privacy law, three main definitions of the concept of state secrets for almost every country: first is to define those items relating to both state security and foreign relationship which should be controlled in a certain approaching scope as state secrets; second is to define the basic extension of state secrets only, besides to promulgate documents in the name of sovereign organs or highest administrative organs, and to classify the class headings of state secret items, or to define as “ all information, data and documents labeled state secrets belong to the fields of state secrets.” ; third is to obtain both specialties in the two previous clauses, and to recapitulate the main intension and basic extension of state secrets.1 in china, the second clause in secrets-guarding law traversed in 1988 defines: state secrets are those items involving state security and rights and being known by 1 composed by national secrecy bureau. the principle of secrecy work , published by jin cheng press, 1991, page.19. 9 people in a certain range and period of time under the regulation in legal procedure. secondly, this article discusses the dissent from most law experts in details on the second clause in secrets-guarding law if appropriate or not. it approves most of them and considers one certain item, which could be the state secret should be provided with three elements: 1. being involved state security and rights; 2. being defined under the regulations under legal procedure; 3. being known by people in a certain range and period of time.2 but some experts suggest the secrets-guarding law doesnt expound the concept of state secrets clearly enough because it confuses the attribute and characteristic together. in taiwan most experts support the second opinion. they consider the concept shouldnt contain some words such like “under the regulations under legal procedure”. thirdly, it analyzes characteristic of state secrets. “being involved state safety and rights” should be the necessary elements and the basic characteristic used to determine if one item could be state secrets and being involved state security and rights is the worth of being state secrets. secrecy is another characteristic of state secrets. otherwise there are other attribute as legal, comparative, security level and non-negotiable. forth, it expresses the division between the range and security level in state secrets. in accordance with line. 8 from the secrets-guarding law for peoples republic of china，the range of state clandestine items, namely state secrets, includes: clandestine items in decisions of strategic importance in general state affairs; clandestine items in construction of state defenses and military force activities; clandestine items in diplomacy and diplomacy proceeding, 2 composed by national secrecy bureau. the principle of secrecy work , published by jin cheng press, 1991, page.20 21. 10 and those items relating to secrecy liability for external; clandestine items in state economy and social development; clandestine items in scientific technology; clandestine items in activities of defending state security and in investigation of criminal offense; other clandestine items confirmed by state secrecy bureau. otherwise, the partys secrets which accord with line. 2 from the secrets-guarding law for peoples republic of china belong to the range of state secrets. the line. 9 from the secrets-guarding law for peoples republic of china divides the security level of state secrets into “top-secret”, “secret” and “privacy”, and it also gives the criteria to make division in security level. fifthly, it analyzes the basic elements of state secrets. according to the definition and criteria on state secrets in the law of keeping state secrets, state secrets should own three basic elements: they must be the items which would jeopardize state security and rights once being revealed; they must be the items surely defined under the regulation in legal procedure; they must be known by people in a certain range. sixthly, it analyzes the differences between state secrets and non- state l-secrets. it considers the main difference are: once the non- state -secrets revealed, it wouldnt jeopardize state security and rights, but it would engender the direct object whose benefits or rights and interests relating to the project in some degree; some non- state -secrets without any value for external subjects dont have the basic prerequisite to join the international competition field; non- state -secrets having been revealed, relative doers havent violated state secrecy law or regulations, so they wouldnt be accused or charged under those relative laws or principles, but would be punished under the principles from the jeopardized departments, moreover, they would be accused or charged if they violate some other kind of laws. this article considers the main difference between state secrets and trade secrets are: 11 characteristics of law are different; intentions of legislation are different; proceedings of determination are different; the qualifications of conveyance are different; the levels of law protection are different; the legal liabilities undertaking once revealed are different. seventhly, it analyzes the jeopardy of state secrets, then extend the necessity of intensifying the criminal law protection. once state secrets revealed, the whole country and society would be greatly damaged. the specific exhibitions are: to damage the whole countrys security and rights, to destroy the living orders in society, disturb the normal working sequence in state organs. whereas the strong endangerment from revealing state secrets, to intensify the protection to state secrets from criminal law, to severely punish the criminal actions of stealing and revealing state secrets are especially important. first of all, being judged from the state secrets protective system, criminal law protection is the uppermost protective method and other methods should be supplemental no matter theyre economic or civil methods because this is determined by public right characteristics of state secrets. second, being judged from the worldwide legislation status, any country has its own secrecy laws or regulations, otherwise each of them stipulates criminal liabilities on revealing or stealing secrets, namely to use criminal law protecting state secrets, so this is the general understanding and common method. no matter how perfectly the secrecy regulations in civil law or economic law could be consummated, they wouldnt supersede criminal law as the protective method. third, to intensify criminal law protection on state secrets is determined by the full rigour of criminal laws characteristic. in one countrys legal system, punishment from criminal law is severer than any other kind of law, moreover it could deprive one perpetrators life. the second chapter in this article expresses criminal law protection on state secrets in foreign countries. 12 firstly, it expresses different formulations of “national secrets” in the criminal law in every country. most countries in this world stipulate the transgression from jeopardizing state secrets, simply different usages in the nomenclature of “state secrets” when stipulating the crime. there are several types as being recapitulated as following: first is to use “state secrets” directly in order to stipulate transgression and criminal liabilities; second is to claim state secrets as “important information” or “information of motherland”, so they could use this to be the important documents and punishment when stipulating the transgression; third is to judge the transgression and punishment from jeopardizing state secrets by their carrier; forth is to use “national privacy” displacing “state secrets”. secondly, it analyzes the accusation of state secrets protection and its characteristics in u.s.a, germany, austria and switzerland. the transgressions which are stipulated in the u.s.a from jeopardizing state secrets are: crime of collecting, transferring or losing state defense information; crime of screening state defense establishment and drawing sketches; crime of using airplanes to screen state defense establishment; crime of revealing secrecy information; crime of publishing inventive substantial secrecy information; crime of premeditatedly revealing state security information; crime of revealing the identifiable intelligencer. the specialties are: to regard the important documents jeopardizing state secrets and to stipulate them obviously in details; to regard the essential of criminal law protection on state secrets, but not do the same to the form; there would both have punishment against freedom and pecuniary penalty on those eight crimes in previous statement. in the german penal code the definitions on jeopardizing state secrets are more particular and therere three accusations: jeopardizing state security; misprision; military. the specialties are: to regard each element which could influent criminal 13 liability; there are special definitions on the principle of realizing mistakes in the crime of jeopardizing state secrets; being judged from punishment types, set term imprisonment and pecuniary penalty are suitable in the crime of jeopardizing state secrets, but without any definition on punishment against competence and capital punishment. in the austrian penal code the definitions on the crime of jeopardizing state secrets are three accusations: jeopardizing state security; misprision and military. the specialties are: not to put the crime of jeopardizing state secrets in chapter. 1 and 2 before in the criminal law sub-provision, but to gather it in chapter. 14; contain punishment against liberty only, pecuniary penalty with diurnal under 360 unit could be implemented in the crime of unpremeditatedly revealing military secrets; to divide military crime into premeditated and unpremeditated type; there are special definitions on the principle of realizing mistakes. the criminal law in switzerland there are accusations as military, jeopardizing national security and misprision on state secrets protection. the specialties are: as same as austrian criminal law, not to put the crime of jeopardizing state secrets in chapter. 1 and 2 before in the criminal law sub-provision, but to put it separately in partial chapters such as chapter. 13 and 14, ect; punishments are imprisonment and pecuniary penalty; to regard all crimes of unpremeditatedly revealing secrets should be punished in every crime of revealing state secrets. the third chapter in this article emphatically dissertates the criminal law protection in china. firstly, it analyzes the instances about criminal protection on state secrets before republic of china. “privacy” proceeded from modern times. but, as being the action of secrecy characteristics, privacy could be ascend to zhou dynasty. during the period of qin and han dynasty, revealing privacies were called as revealing ciphers, so it was a more 14 serious transgression at that time and severe punishments must be implemented. during wei and jin dynasty, all tipsters must be punished by extreme penalty. from sui and tang dynasty till ming and qing dynasties, the criminal law protection on state secrets had become much more standard, rigorous and precise. in ming dynasty, a prominent characteristic of the definition on the legal liability of revealing state secrets crime was: beside the criminal punishments to the tipsters, there were economic sanctions under certain stipulation. in qing dynasty, the government attached importance much more to the punishments on the crime of revealing secrets. this is because of the complicated and difficult states of affairs fro