“拜杜规则”的全球困局与中国方案  

The Global Dilemma of Bayh-Dole Rule and China's Solution

作　　者：王影航 WANG Ying-hang(School of Law,South China Normal University,Guangzhou 510006,Guangdong,China)

机构地区：[1]华南师范大学法学院,广东广州510006

出　　处：《华南理工大学学报（社会科学版）》2022年第4期44-54,共11页Journal of South China University of Technology(Social Science Edition)

基　　金：国家社科基金项目“科研管理‘放管服’改革法治保障研究”(19BFX058);广东省科技计划重点项目“赋予科研人员职务科技成果所有权或长期使用权政策执行研究”(2018B070714001)。

摘　　要：“拜杜规则”是促进财政资助科技成果转化的代表性制度,其“限制公权介入+规范私权激励”的二元架构被包括我国在内的多个国家认可并引进。但是,“拜杜规则”在限制公权时难以保障公益、在激励私权时易致激励异化与发明人参与不足等问题已成为全球性的实施困局。近年来,我国一方面推动科技成果“三权下放”以优化公权介入机制,另一方面加强产权激励以提高发明人参与度,却仍面临成果效益跨境溢出、成果转化失序、产权激励失灵等改革隐患。鉴于此,应以问题为导向,在现有改革基础上建立健全我国“拜杜规则”的公益保障机制、成果转化规范体系与成果权益分配机制,进而构筑有效回应全球困局且符合国情的“拜杜规则”中国方案。Bayh-Dole Rule is a representative system to promote the transformation of scientific and technological achievements from financial support.Its dual structure of“restricting public power intervention+regulating private right incentives”has been recognized and adopted by many countries including China.But in the process of global implementation,it is difficult to protect the public welfare when restricting public rights,and easy to cause problems such as incentive alienation and insufficient participation of inventors when providing private rights incentives.In recent years,China has promoted the“decentralization of three powers”of scientific and technological achievements to optimize the public power intervention mechanism,and has strengthened property rights incentives to improve the participation of inventors.However,China still faces with hidden dangers of reform such as cross-border spillover of achievement benefits,disorder of achievement transformation and failure of property right incentives.Therefore,China should be problem-oriented,and establish and improve the public welfare guarantee mechanism,achievement transformation standard system and achievement rights and interests distribution mechanism of the Bayh-Dole rule on the basis of the existing reform,so as to build the China version of Bayh-Dole rule that effectively responds to the global dilemma and conforms to national conditions.

关 键 词：“拜杜规则” 科技成果所有权 产权激励 公益保障 知识价值 

分 类 号：D912.29[政治法律—民商法学] G311[政治法律—经济法学]