潘萍-转型背景下专利制度与社会分层的法社会学研究(20.docx

分类号 密 级 U D C 编 号 1 0 5 2 0 博士学位论文转型背景下专利制度与社会分层的法社会学研究研究生姓名：潘萍指导教师姓名、职称：陈景良 教授学科门类：法学专业名称：法律史研究方向：知识产权历史入学时间：二九年九月2015年5月20日转型背景下专利制度与社会分层的法社会学研究潘萍A Law-sociological Study on the Patent System and Social Stratification in the Context of Social TransformationPanping2015年5月20日中南财经政法大学学位论文独创性声明和使用授权声明学位论文独创性声明本人所呈交的学位论文，是在导师的指导下，独立进行研究所取得的成果。除文中已经注明引用的内容外，本论文不含任何其他个人或集体已经发表或撰写的作品。对本文的研究做出重要贡献的个人和集体，均已在文中标明。本声明的法律后果由本人承担。论文作者（签名）： 年 月 日学位论文使用授权书本论文作者完全了解学校关于保存、使用学位论文的管理办法及规定，即学校有权保留并向国家有关部门或机构送交论文的复印件和电子版，允许论文被查阅和借阅。本人授权中南财经政法大学可以将本学位论文的全部或部分内容编入学校有关数据库和收录到中国博士学位论文全文数据库进行信息服务，也可以采用影印、缩印或扫描等复制手段保存或汇编本学位论文。注：保密学位论文，在解密后适用于本授权书。作者签名： 年 月 日 摘 要近代中国半封建半殖民地的屈辱历史在甲午年被再次回顾与反思，技术差距、制度缺失虽然并非落后挨打的唯一根源，但是在今天备受关注；尽管“以市场换技术”的政策被证实是失败的，国人对在新的世纪成为创新型国家满怀期待。数据显示的是较为尴尬的背景，即在制造业的国际产业链上，我国在绝大多数技术领域的国际专利布局相当有限，数量有限，质量堪忧。专利作为衡量一国科技实力的指标，也在一定层面上反映了国家和国民财富的质量和可持续发展程度。由此推演至主权国家内部，专利制度如何影响以及在何种程度上影响到社会分层和社会福利，如何寻求激励创新与社会分层之间的制度平衡，需要打破制度内部考察的定势思维，本文选择糅合法学与社会学的多维视角，把专利制度可适性问题放在整个社会发展变迁的大背景下，放在我国专利制度的立法和司法实践的宏观层面上作分析和研究。研究结论对于专利法律的制定、专利制度的设计、专利政策的推行、专利工具的应用，可以提供理论上的依据和指导，具有一定理论和现实意义。众所周知，专利制度的理念和设计、专利政策的制定和实施、专利工具的运用和效果，离不开经济、政治、社会、文化大环境。专利制度也要根据大的制度环境，作自身调整，使之具有更强的兼容性，从而达到良性互动目的。论文聚焦研究社会因素对于专利制度的流变的影响，主要考察专利制度的运行对于社会分层、社会福利等的影响，探究影响因素与影响途径。在研究方法方面，论文将专利制度放在转型时期的社会背景之下，用法律实证方法、价值分析方法、系统分析方法和社会实证方法，梳理出专利制度与社会体制、社会结构、社会心理等方面的兼容性、可适性、能动性问题，从中找出带有规律性的联系，力求揭示专利制度的内涵和本质，揭示其产生、发展、变化除经济、政治、文化等动因之外的社会动因，研究社会因素对于专利制度的流变的影响，以及专利制度对于社会资源配置的作用途径与作用程度，提出专利制度、资源配置和社会分层之间的关联关系问题，并对三者之间相互作用的因果关系和互动效应进行了剖析。既有的研究成果充分关注法律层面的专利制度运行，即对于专利申请的效率与成本，对侵权行为的打击力度，对权利人许可使用、转让等交易行为的保护程度，相当多的研究成果是关注专利制度与技术创新之间的关联性，将保护专利作为激励创新的工具来对待。也有部分学者从制度的两面性角度反思了专利制度的外部性影响，主要是专利制度的经济效益与经济成本之间的关系失衡问题。从法学角度来看，一般认为，专利是一种发明创造，专利权是一种财产权利，专利制度是主权国家保护专利权并划定行使权利边界的法律规范。专利制度将专利确定为一种合法的垄断并予以法律保护，旨在激励创新，推动技术的产业化运用，推动技术进步和社会发展。从社会学角度来看，专利制度与整个国家的经济、政治、社会、文化制度，通过某些介质，起着或大或小、或明或暗、或收缩或扩张的作用。由于专利权是一种财产性权利，所以专利制度在社会学层面上来看，可以将之理解为一种财产利益分配制度。由于占有社会资源和运用专利权能力的差异，不同的专利权主体在专利权利市场化的过程中表现出较大的差异，影响到研发投入回收和新一轮的技术创新。无体无形的智力成果产生的无形财产价值会导致财富的再分配，直接影响到社会福利，并进而影响到社会分层。专利制度与工业革命都肇始于英国，工业革命将世界分为东方和西方，在经济上，东方成为西方国家的主要原料产地和商品市场；在政治上，东方成为西方国家的殖民地半殖民地国家，独立的主权和领土完整受到侵犯；文化上，西方文化伴随军事和经济侵略日渐占据社会优势地位，导致东方国家的创新能力、法律制度话语权等受到严重影响。国际社会的分层现象由此拉开序幕，究其实质，科技创新引发的制度创新改变了社会财富的分配模式，政治体制改革的适时与配合为早期的发明人向工业实体转化创造了良好的社会文化环境，国家对外政策的调整为剩余产品在国际市场的拓展提供了国内法上的支撑。早期专利国际条约的出台为专利保护规则的国际统一化奠定了制度原型。从我国专利制度发展史来看，专利制度引入我国是一种法律移植现象，经历了西学东渐、思想启蒙和国际社会分层的前期准备过程。即使在专利制度的诞生地，专利制度也经历了从皇室特许权利到法定民事权利的演化过程，程序日益科学、组织机构日益完善、审查效率逐渐提高。与此相应，专利对于社会财富积累的催化效应日益明显，社会分层现象日益加剧。与法律学者的研究有所不同，在探究专利制度与社会分层的关联度问题上，有学者提出专利的长宽高概念，三者分别关系到对专利新颖性、创造性的要求，专利保护的时间、专利保护的范围的确定，直接影响到技术外溢的效果，并对社会福利产生影响。究其原因，在于专利受法律保护的期限牵涉到经济效率、社会福利、创新激励、法律完备程度、专利保护程度、国家和地区平衡等诸多方面，其中充满着较量与博弈。其次，国家对专利保护的越全面完善，侵害专利权人利益的代价就越高，这样一来专利权人的利益就得到了很好的保护，使其获利更多了。最后，专利与现有公知技术之间的差异程度显示出发明创造的质量与水平，换一个角度来看，专利的高度决定了其社会有益性和贡献率的大小。技术专利化、市场化运营有利于提升企业的竞争能力，催生企业之间的分化，催生企业管理层和员工层的收入分化，吸引更多的资本、人才积聚于那些拥有专利权并且专利运营良好的行业与企业之中，这是价值规律的反映。例如计算机闪存存储技术的专利化，支撑了朗科公司的成长，直接催生了移动存储产品这样的一个新兴产业。同样的情形在国外也可以找到大量的范本。例如，微软公司引领的计算机软件业、英特尔公司创造的芯片业，都是技术专利化、市场化的结果，造就了社会上新的财富阶层。这些拥有专利技术的企业通过专利联盟、专利技术标准化等途径，对获取垄断利润与加剧市场竞争均产生连锁反应，在产业界内部又再一次引发了产业利益链的调整与重塑。经济结构与利益的变化是社会现象变动的重要动因。由于专利制度垄断性促使利益主体、利益分配方式更加多样化，创造社会分层激励和约束机制，加速了各类人才的流动，推动了社会分层机制的变化。专利质押等新型融资方式的问世，改变了传统的专利研发、推广、应用、收益分配模式，更广泛地更紧密地把科技与经济相联结，把知识和资本相联结，把科技人员和投资者、管理者、经营者相联结，促使科技人员身份和角色的不断变化。在社会变迁过程展现出来的社会分层现象，从某种程度上来说，是社会经济结构调整的一个表象。此外，身份制肢解、收入差距、产业结构变迁、体制转换、权利损益、精英配置、循环和互换等诸多变量，则是社会分层现象的深层次原因。但根本上来说，在当今世界大多数国家，行政垄断和专利保护是财富分配和社会分层的重要成因。专利制度对社会各阶层意识的作用是间接的，但是其塑造的垄断利益模式对于获取专利并市场化获取利益与竞争优势的社会心理的影响则是直接的，是整个社会创新文化的重要组成部分，对于社会的人才观、财富观等社会心理的调适产生了重要影响，奠定了专利制度运行的社会文化基础，同时在更广泛的层面上促进了社会资源分布的重新配置，影响和引导新的社会分层分化。值得注意的是，在实践运行中，专利制度出现了异化现象，例如部分企业有一段时间在我国大量申请垃圾专利，即利用了我国当时专利法采用混合新颖性标准和专利审查能力不强的缺陷，将国外公知技术拿到我国申请专利，获批后发动大量专利侵权诉讼；或者利用参与国家或者行业标准制定的机会，将自身专利写入标准，待标准生效后对利用标准的企业发动专利诉讼袭击；或者利用国家或者地方政府鼓励企业申请专利的补贴政策，就同一技术方案或者设计反复申请专利，骗取政府补贴，导致了个人利益和社会公共利益的失衡。在新一轮的专利制度改革过程中，需要充分考虑到专利制度的运行可能带来的社会分化问题，以便更好地发挥专利制度激励创新的积极作用。关键词：专利制度；社会分层；社会福利 AbstractModern ignominy of semi-feudal and semi-colonial history in China was reviewed again in 2014. Its regarded that the technology gap or system deficiency is not the only radical reason why we lag behind other nations, but it does draw our attention today; despite the policy market for technology proved to be a failure, people still wish a innovation-oriented country in the new century with great expectations. All data show an embarrassing backdrop in our country that international industrial chain of international patent portfolio in most manufacturing technical fields is confined, such as limited quantity and poor quality. As indicators to measure a countrys scientific and technological strength, patents also reflect the quality of possessing wealth for a country and the individual, and the present level of the sustainable development in some extent. Thus we can deduce in a sovereign state, how and to what extent the patent system affects the social stratification and social welfare system and helps to make a balance between encouraging innovation and social stratification, therefore, to think outside a box instead of qualitative thinking ways of internal investigation is completely needed. This paper combines the multi-dimensional perspective of law and sociology, then analyzes and researches the applicability issues of patent system in the context of the rapid change of social structure on macro-level legislative and judicial practice of patent system. Those conclusions can provide a theoretical basis and guidance for patent law formulation, patent system designing, patent policy implement and patent tool application in a certain theoretical and practical sense.As we all know, the concept and design of patent regime, the formulation and implementation of patent policy, or the application and effectiveness of the patent tools, is inseparable from economic, political, social and cultural circumstance. The patent system is supposed to make its own adjustments according to large system environment, so that it has more compatibility to achieve positive interaction. This paper focus on the influence social factors make to the rheological patent system. Besides, it mainly studies the impact of functioning patent system on social stratification and social welfare, and also explores ways and factors of these effects. As to research methods, the paper uses the method of legal positivism, value analysis, systems analysis and social empirical research, to tease out the compatible, adaptive and initiative problems between patent regime and social system, social structure and social psychology under the social background of transition period. In the process, the task is to find out those regular connections and strive to make clear the connotation and essence of patent system, revealing other social motivations of its origin, development and change other than economic, political and cultural motivation. In this way, we can study the effects which social factors bring to the rheological patent system and the acting ways and extent of the patent system on social resource allocation, thereby proposing the relationship among patent regime, the allocation of resources and social stratification, and dissecting causality and interaction among all three.Existing researches mainly focus on the legal aspects of how the patent regime functioning, which includes efficiency and cost of patent applications, crackdown infringements, the protection of patentee over transfer and other transaction. Thus, considerable researchers concentrate on the relationship between the patent regime and technological innovation, in other words, regarding patent protection as incentives for innovations. There are some scholars considering the external impacts mainly on the balance between economic benefits and economic costs of patent regime from two sides of this system. From the academic point of view, generally, it is believed that patent is an invention and patent right is equivalent to property right. In this sense, the patent system is a legal norm what a sovereignty state protecting rights of patentee and exercising rights of legal division. Patent system identify patent as a legal monopoly and also give legal protection to it. The purpose of it is stimulating innovations, promoting the industrialization of technology, and finally resulting in technological progress and social development. From a sociological point of view, patent system relevant much and play a large or small, overtly or covertly, or contraction or expansion role on economic, political, social and cultural systems of the whole country though some medium. It is because that patent is a property right, sociologically speaking, it can be deemed as a kind of property benefits distribution system. Due to the ability differences between patent possession and use of society resources, different patentees act in diversity during the course patent right marketization, which affect R & D investment recovery and a new round of technological innovation. Intangible value generated by intangible property intellectual will lead to a redistribution of wealth, directly inflecting the social welfare, and thus affecting the social stratification. Both of patent System and the Industrial Revolution began in England. And Industrial Revolution divided the world into the East and the West. Economically, the East has become the main sources of raw materials and commodities markets to the Western countries; politically, the East became the colonial and semi-colonial countries to the Western countries, and the independent sovereignty and territorial integrity of the Eastern counties have been violated; culturally, Western culture along with the growing military and economic aggression dominated in the whole world, which seriously damaging innovation capability, the legal system and speaking right of Eastern countries. Eventually, stratification of the international community began. To a deeper sense, technological innovation triggered system innovation with changes in the distribution model of social wealth. And the countrys foreign policy adjustment provided domestic law support to the remaining products in the international market expanding, which creating a social and cultural environment for early conversion to industrial entities to. Early introduction of international patent treaties laid a system prototype for unifying international patent protection. From the perspective of the development history of Chinas patent system, introduction of patent system is a phenomenon of legal transplant, which got through the stage of Western Learning, the Enlightenment and the international preparatory process of social stratification. Even at the birthplace of the patent system, patent system also experienced the evolution from royal concession rights to legal civil rights. As a result, the processes are becoming more and more scientific; the organization has improved steadily and the efficiency of review bettered gradually. Moreover, the catalytic effect of patent for accumulation of social wealth becoming increasingly clear that social stratification growing.Some scholars have proposed the concept of patent length, patent breadth and patent height, and all three are respectively related to how to clarify the requirements of novelty and originality of the patent, the period and scope of patent protection, which directly affect the technology spillover effect and have impact on social welfare. The reason is that the period of patent legal protection involves many aspects, such as economic efficiency, social welfare, innovation incentive, complete law degree, the extent of patent protection, national and regional balance, which is filled with contest and game. Secondly, the more comprehensive patent protection the state gives, the higher the cost to infringe interests of the patent owner, in this way, the benefits of patent owner would have been well protected, thus making patent owner gain more profit. Finally, the degree of difference between patents and the prior art indicates the quality and level of invention, in other words, a patents height determines the size of the social benefits and the contribution rate.Make technology patented and marketization helps to improve a companys competitiveness, and hasten the differentiation between enterprises, the income differentiation between the layers of management and employees, then attract more capital and talents to the industry and enterprise which hold patent right and have good patent operations. The above is the reflection of the law of value. For instance, patenting computer flash memory technology supports the Netac Companys growth, and directly spawned a new industry of mobile storage products. Many foreign countries are no exception. For example, both the computer software industry leaded by Microsoft and the chip industry created by Intel are consequences of technology patenting and marketization, creating a new class of wealth in society. These companies which hold patented technologies have a ripple effect on obtaining monopoly profits and aggravate market competition through patent pools, patented technology standardization and so on, sparking the adjustment and remodeling of industry interests chain within industry once again.The important motive of changes in social phenomenon is the variation in the economic structure and interests. And the monopoly of the patent system makes stakeholder and ways of profit-sharing more diverse, and also creates incentive and restrain mechanisms of social stratification to accelerate the flow of all kinds of talents, thereby promoting the change of social stratification mechanisms. The advent of new financing methods such as patent pledge change the traditional pattern of patent R & D, promotion, application and income distribution, and also connect technology with economy, connect knowledge with capital, and connect scientists with investors , managers and operators more widely and closely, to prompt the constant change of identities and roles of scientific and technical personnel .The social stratification in the process of social change, to some extent, can be described as a representation of the social and economic restructuring. In addition, such as the identity system dismemberment, the income gap, the industrial structure changes, system conversion, gains and losses of rights, the configuration of elite, circulation and swaps, those variables are underlying reasons of social stratification. But fundamentally, in most countries over the world today, administrative monopoly and patent protection are significant causes of wealth distribution and social