政府资助项目专利权归属中的政府介入权研究
发布时间：2019-02-27 07:39
【摘要】：我国2007年颁布的《科技进步法》第20、21条法律移植于美国《拜杜法案》，意在通过改变政府投资科研项目中产生的专利权利的归属，达到促进研究项目承包商科研和商业化实施专利的积极性，加快专利成果商业化进程的目的。其终极目标是推进特定领域的科学研发和商业繁荣，从而造福公众。但是，《拜杜法案》和《科技进步法》第20、21条有其自身的局限性：科研承包人对科研专利成果的“怠用”或“滥用”将最终损害纳税人的利益。 介入权机制是特别针对这一情况构建的，其理论依据是政府代表公众与承包人进行“双层交易”。承包人在不正当使用专利的情况下，“政府通过介入的方式平衡承包人和公众的利益”是其保留科研专利成果的对价之一。在实践中，介入权机制的作用主要体现在威慑和鞭策承包人加快专利转化效率。遗憾的是，我国《科技进步法》中现有的介入权机制可谓“有名无实”，在实践中无法实施。故对于走在介入权制度发展最前列的美国之相关立法和实践案例的研究很有必要。 本文借鉴美国介入权立法经验，，分析其实践中产生的问题和教训，总结可供我国介入权立法参考的启示：应在介入权行使条件和行使方式中考虑市场因素，并通过适当的程序设置防止政府怠用和滥用介入权。据此启发，本文提出我国应从行使主体、行使条件、行使方式、行使程序、保障救济机制等方面构建符合我国国情的介入权机制。首先，为了增加制度的可操作性，应在介入权行使条件中构建“合理价格”、“合理期限”和“社会公益和国家利益”三套标准。其次，为防止国家干预权力的滥用，应该借鉴公司股份制限制介入权的行使方式，在政府投资比例较小的科研项目中部分限制政府的介入权。此外，应建立介入权的保障和救济机制，通过事前监督和事后救济两个机制来保障介入权行使对象及利害关系人的利益。
[Abstract]:Article 20 and 21 of the Law on Progress of Science and Technology promulgated in China in 2007 were transplanted in the United States of America in order to change the ownership of patent rights arising from government investment in scientific research projects. To promote the research project contractor scientific research and commercialization of the implementation of patents enthusiasm, speed up the commercialization of patent results. The ultimate goal is to promote scientific R & D and commercial prosperity in specific areas for the benefit of the public. However, the Baydou Act and articles 20 and 21 of the Science and Technology Progress Act have their own limitations: the "neglect" or "abuse" of scientific research patents by scientific research contractors will ultimately harm the interests of taxpayers. The mechanism of access right is specially constructed according to this situation, which is based on the double-layer transaction between the government and the contractor on behalf of the public. In the case of improper use of the patent by the contractor, "the government balances the interests of the contractor and the public by means of intervention" is one of the consideration for the preservation of the scientific research patent. In practice, the role of access mechanism is to deter and urge contractors to speed up the efficiency of patent conversion. Unfortunately, the existing mechanism of access right in China's Law on Progress of Science and Technology can be described as "insubstantial" and cannot be implemented in practice. Therefore, it is necessary to study the relevant legislation and practice cases of the United States, which is the most advanced in the development of the right of access system. This article uses the experience of the United States for reference, analyzes the problems and lessons arising from its practice, and summarizes the enlightenments that can be used for reference in China's intervention right legislation: market factors should be taken into account in the conditions and modes of the exercise of the right of intervention. And through appropriate procedures to prevent the government from abusing and abusing the right to intervene. Based on this, this paper puts forward that we should construct an intervention right mechanism in accordance with our national conditions from the aspects of exercising subject, exercising condition, exercising mode, exercising procedure, guaranteeing relief mechanism and so on. First of all, in order to increase the maneuverability of the system, we should construct "reasonable price", "reasonable time limit" and "social public interest and national interests" in the condition of exercising the right of intervention. Secondly, in order to prevent the abuse of the power of state intervention, we should draw lessons from the way of the joint-stock system of companies to restrict the exercise of the right of intervention, and partially restrict the government's right of intervention in scientific research projects with a small proportion of government investment. In addition, the safeguard and relief mechanism of the right of intervention should be set up, and the interests of the object and the interested parties should be protected by the two mechanisms of prior supervision and post-relief.
【学位授予单位】：华南理工大学
【学位级别】：硕士
【学位授予年份】：2014
【分类号】：D922.17;D923.42
本文编号：2431244
[Abstract]:Article 20 and 21 of the Law on Progress of Science and Technology promulgated in China in 2007 were transplanted in the United States of America in order to change the ownership of patent rights arising from government investment in scientific research projects. To promote the research project contractor scientific research and commercialization of the implementation of patents enthusiasm, speed up the commercialization of patent results. The ultimate goal is to promote scientific R & D and commercial prosperity in specific areas for the benefit of the public. However, the Baydou Act and articles 20 and 21 of the Science and Technology Progress Act have their own limitations: the "neglect" or "abuse" of scientific research patents by scientific research contractors will ultimately harm the interests of taxpayers. The mechanism of access right is specially constructed according to this situation, which is based on the double-layer transaction between the government and the contractor on behalf of the public. In the case of improper use of the patent by the contractor, "the government balances the interests of the contractor and the public by means of intervention" is one of the consideration for the preservation of the scientific research patent. In practice, the role of access mechanism is to deter and urge contractors to speed up the efficiency of patent conversion. Unfortunately, the existing mechanism of access right in China's Law on Progress of Science and Technology can be described as "insubstantial" and cannot be implemented in practice. Therefore, it is necessary to study the relevant legislation and practice cases of the United States, which is the most advanced in the development of the right of access system. This article uses the experience of the United States for reference, analyzes the problems and lessons arising from its practice, and summarizes the enlightenments that can be used for reference in China's intervention right legislation: market factors should be taken into account in the conditions and modes of the exercise of the right of intervention. And through appropriate procedures to prevent the government from abusing and abusing the right to intervene. Based on this, this paper puts forward that we should construct an intervention right mechanism in accordance with our national conditions from the aspects of exercising subject, exercising condition, exercising mode, exercising procedure, guaranteeing relief mechanism and so on. First of all, in order to increase the maneuverability of the system, we should construct "reasonable price", "reasonable time limit" and "social public interest and national interests" in the condition of exercising the right of intervention. Secondly, in order to prevent the abuse of the power of state intervention, we should draw lessons from the way of the joint-stock system of companies to restrict the exercise of the right of intervention, and partially restrict the government's right of intervention in scientific research projects with a small proportion of government investment. In addition, the safeguard and relief mechanism of the right of intervention should be set up, and the interests of the object and the interested parties should be protected by the two mechanisms of prior supervision and post-relief.
【学位授予单位】：华南理工大学
【学位级别】：硕士
【学位授予年份】：2014
【分类号】：D922.17;D923.42
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