职务发明权属的模式反思与制度重构
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D923.42

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国家社会科学基金重点项目"专利确权机制改革研究"(19AFX016);西南政法大学2021年度学生科研创新项目"驱动知识产权强国战略的职务发明权属制度研究"(2021XZXS-017)


Reflection on the model and institutional reconstruction of the ownership of employee inventions
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    摘要:

    我国职务发明制度肇生于计划经济时代,起初专利权由国家所有、单位持有的模式具有较为浓厚的时代特色。2000年《专利法》修改时将该规定删除,并建立了以法定权属规则为主,辅之以约定权属规则的"雇主主义"模式。尽管此次修法在一定程度上与我国的产业变革和技术革新需求相适配,但仍存在转化结构失调、激励机制失效和交易效率失衡等问题。横向考察国际视野下的职务发明权属制度可以发现,现有的雇主主义模式和雇员主义模式两种主要立法例均未臻完善。将专利权完全归属于雇主抑或是完全归属于雇员发明人,势必在二者之间产生职务发明权利分配不公的争议,进而导致雇主与雇员发明人之间的严重隔阂,从而抑制雇员发明人的创新活力或雇主的投资积极性。多数国家的做法是打破绝对的"雇主主义"和"雇员主义"立法路径,采取混合主义的立法模式。我国职务发明权属制度采取"雇主主义"模式是实现职务发明创造转化和运用的根本途径,但对于调动人的创新积极性增加财产总量仍存有不足之处。我国关于职务发明权属制度的改革应当着眼于三个方面:一是采取"执行任务"标准,限缩职务发明类型范围。首先,基于雇员发明人在劳动关系中的人身依附性,将"物质技术条件标准"排除出职务发明的类型范围,为雇员发明人提供更多的自主空间。其次,以"任务标准"为核心的职务发明判定规则可以排除实践中"主要利用"界定标准不统一的司法障碍。最后,以"任务标准"为核心的职务发明判定规则符合降低制度成本、提高效益的现实需求。二是秉持"人本主义"理念,扩张约定权属规制范畴。新职务发明制度将"任务标准"纳入约定优先原则的适用范围内,符合私法自治的法律理念,亦是对国家消解技术垄断、期待社会财富增长的充分回应。三是基于"利益平衡"原则,构筑三维配置结构模式。职务发明权属的制度重构在法定权属规则上对"任务标准""物质技术条件标准"和"非职务发明创造"适用不同的权属模式,从而构筑职务发明制度的三维配置结构模式。

    Abstract:

    China's employee inventions system was born in the era of planned economy, and the initial patent right was owned by the state and held by the unit with strong characteristics of the times.This provision was deleted when the Patent Law was amended in 2000, and an "employerism" model was established with the statutory ownership rules as the main basis, supplemented by the agreed ownership rules. Although this amendment is to a certain extent compatible with the needs of industrial change and technological innovation in China, there are still problems such as disorder of transformation structure, failure of incentive mechanism and imbalance of transaction efficiency. Through a horizontal examination of the system of ownership of employee inventions from the international perspective, the two main legislative examples of the existing employerism model and employeeism model are not perfect. Whether the patent right is fully attributed to the employer or to the employee inventor will inevitably give rise to the dispute of unfair distribution of the right of invention in office between the two, which will lead to a serious gap between the employer and the employee inventor and thus inhibit the innovation vigor of the employee inventor or the investment enthusiasm of the employer. The approach of most countries is to break away from the absolute "employerism" and "employeeism" legislative paths and follow the path of mixed doctrine.The adoption of "employerism" mode in China's employee inventions system is the fundamental way to realize the transformation and application of employee inventions,but there are still shortcomings in mobilizing human innovation to increase the total amount of property.The reform of China's system of ownership of employee inventions should focus on three aspects.Firstly, it adopts the standard of "performing tasks" and limits the scope of types of employee inventions. Firstly, based on the personal dependence of employee inventors in labor relations, the "material and technical conditions standard" is excluded from the scope of types of employee inventions, providing more autonomy for employee inventors. Secondly, the "task standard" as the core of the rules for determining employee inventions can exclude the judicial obstacles of the inconsistent standards for defining the "main use" in practice. Finally, the "task standard" as the core of the rules for determining job inventions is in line with the realistic demand of reducing system costs and improving efficiency. Secondly, it upholds the concept of "humanism" and expands the scope of agreed ownership regulation. The new job invention system incorporates the "task standard" into the scope of application of the agreement priority principle, which is in line with the legal concept of private law autonomy, and is also a full response to the state's dissolution of technological monopoly and expectation of social wealth growth. Thirdly, based on the principle of "balance of interests", the three-dimensional configuration structure model is constructed. The improvement of the ownership system of employee inventions applies different ownership modes to "task standards", "standards for material and technical conditions" and "non-employee invention" in the legal ownership rules. Thus, the three-dimensional configuration structure of the system of employee inventions is constructed.

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李雨峰,伯雨鸿.职务发明权属的模式反思与制度重构[J].重庆大学学报社会科学版,2023,(3):224-236. DOI:10.11835/j. issn.1008-5831. fx.2022.03.001

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  • 在线发布日期: 2023-07-13
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