人工智能算法专利适格性:制约因素与实现路径  

Patent Eligibility of AI Algorithms:Constraints and Paths to Realization

作　　者：胡创 吕斯轩 HU Chuang;LYU Sixuan(Law School,Tianjin University,Nankai 300072,Tianjin,China)

机构地区：[1]天津大学法学院,天津南开300072

出　　处：《昆明理工大学学报（社会科学版）》2024年第4期30-39,共10页Journal of Kunming University of Science and Technology(Social Sciences)

基　　金：天津市社科规划项目“人工智能产业法律保障机制研究”(TJFX17-003)。

摘　　要：智能时代,随着智能算法创新程度的不断深化和商业运用的相继泛化,“算法+硬件+应用领域”的专利保护模式不再契合发展需求。“算法自身”寻求专利保护的探索应运而生,却因“抽象思想—具体应用”二分极化,技术性要素的苛刻和失范,技术性标准重形式要件、轻本质属性而难以实质性推进。研究发现,人工智能算法基于人工智能“技术性赋能”而具备技术性,应当摒弃“硬件”形式要素的束缚,回归知识属性本质的判定标准。基于Stokes模型,重构四分法理论,以价值衡平、算法透明化和科技发展理念为指引确立合理设定专利适格阈值的三个原则:恪守纯理论型算法不可专利性底线;限制应用驱动下抽象应用型算法客体适格性;全面放开应用驱动下具体应用型算法的客体适格性,以促进我国人工智能技术的创新发展和全球重大科技领域专利布局的顶层设计。In the era of intelligence,with the deepening of the innovation degree of intelligent algorithms and the successive generalization of commercial application,the patent protection mode of“algorithm+hardware+application field”no longer meets the needs of their development.The exploration of“algorithm itself”seeking patent protection came into being,but it is difficult to promote it substantially because of the dichotomy polarization of“abstract ideas and concrete application”,the harshness and anomie of technical elements,and the emphasis of technical standards on formal elements and the neglect of essential attributes.It is found that the AI algorithms based on the“technical empowerment”of AI possess technical attributes,so we should abandon the shackles of formal elements of“hardware”and return to the judging criteria for the essence of knowledge attributes.Based on the Stokes model,this paper reconstructs the tetrad theory and establishes three principles for rationally setting the threshold of patent eligibility under the guidance of the concept of value equilibrium,algorithmic transparency,and scientific and technological development concepts:adhering to the bottom line of unpatentability of purely theoretical algorithms;restricting the object eligibility of abstract application-driven algorithm;and comprehensively liberalizing the application-driven object eligibility of concrete application algorithms.With this,the innovative development of China's AI technology and the global patenting of major scientific and technological fields will be promoted.

关 键 词：人工智能算法 客体适格性 抽象思想 具体应用 可专利性 

分 类 号：D923.42[政治法律—民商法学]