雇主还是雇员?谁应该拥有成果权利——科技成果的权属分配与政策选择  

Who Should Have the Ownership to Inventions, Employer or Employee?Ownership Distribution and Policy Selection in Scientific and Technological Achievements

作　　者：沈健[1] SHEN Jian(Intellectual Property Management Office,Renmin University of China,Beijing,100872)

机构地区：[1]中国人民大学知识产权管理办公室,北京100872

出　　处：《自然辩证法通讯》2023年第1期105-116,共12页Journal of Dialectics of Nature

摘　　要：科技成果有着与一般的实物资产显著不同的外部性,科技成果权利如何在单位和个人之间分配一直是科技社会政策关注的焦点之一。既有研究往往将中国归为“雇主优先”模式并认为政策过于保障雇主权益,据此建议国家出台措施以加强发明人的权益保护,然而相关改革政策的实际推行却并不顺利。本文基于中、美、德、法四国的政策比较研究,通过科技成果的分类标准和分配程序两方面考察,发现中国发明人相对而言不仅能够获得更多的“自由发明”,还掌握着不受单位监督的成果分类权力,单位的权益反而并未得到足够保障。建议适当调整政策思路,优化职务发明分类标准、建立健全科技成果分配程序、充实完善职务发明政策法规体系,实现单位和个人的权益平衡,促使双方形成合力,共同为创新型国家建设做出贡献。As scientific and technological achievements have externalities that are significantly different from general physical assets, how to distribute the rights to scientific and technological achievements among employers and employees has always been one of the focuses of social policies of science and technology. Existing studies often classify China as a nation adopting the “employer first” mode and hold that relevant policies are too protective of employers’ rights and interests and therefore, it is suggested that China should introduce measures to strengthen the protection of inventors’ rights and interests. However, the actual implementation of relevant reform policies is not smooth. Based on the comparative study of the policies of China, the United States, Germany and France,and through the study of the classification standards and management procedures of scientific and technological achievements, this paper finds out that Chinese employee inventors can not only obtain more “free inventions”,but also have more power to classify achievements of invention without being supervised from employers, while the rights and interests of employers are not sufficiently guaranteed. It is suggested that relevant policies should be adjusted appropriately, and on the basis of protecting the interests of employee inventors, employers should be given more supervision and relief rights for the distribution of scientific and technological inventions, the classification standards of employee inventions should be optimized, and the management procedures of scientific and technological inventions should be established to form the innovative joint force of employers and employees,thus contributing jointly to the construction of an innovative nation.

关 键 词：科技成果 职务发明 权属分配 

分 类 号：N0[自然科学总论—科学技术哲学] F046.3[经济管理—政治经济学]