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高校专利盘活的权利出资进路及制度调适——基于利益平衡理论

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高校是链接创新和产业的科研高地,但其专利技术成果却呈现数量多但转化率低的特征。同时,企业升级转型亟须技术注入,专利使用授权存在较大缺口。在倡导产学研用一体化和政府政策支持下,探索高校专利权利出资的新路径确有意义。为保障高校专利盘活与企业需求供应的顺利接洽,实现社会效益和经济价值的同向共进,可采用总许可出资和分许可出资两种进路积极推动高校专利盘活。当前高校专利存在权利稳定性差、权属情况复杂、转化忽视长远效益等问题,应均衡各参与方利益,通过规定专利弃权限制、调整职务发明创造规则以及认可分许可有效性等措施,对现有制度作出调适,达到高校专利许可实施权出资的"帕累托边界"。
Institutional Adaptation and Feasible Approaches to Patent-related Rights Investment for Revitalizing University Patents—Based on the Theory of Interest Balancing
Universities occupy a pivotal position between innovation and industry,serving as a vital conduit for scientific research.However,universities face the challenge of low conversion rates of their patented technologies,despite the high quantity of patents produced annually.These patents frequently fail to achieve their economic and social value due to restricted practical application and marketization.Concurrently,enterprises are engaged in efforts to enhance their capabilities and undergo transformation,and thus have a substantial demand for technical input.However,there is a notable gap in the acquisition of patent technology licenses.Enterprises seek to enhance their innovation capabilities and market competitiveness through access to university patents;however,the low conversion rate of these patents hinders the fulfillment of this demand.In light of the current advocacy for the integration of industry,academia,and research,coupled with government policy support,it is of great significance to explore new avenues for the equitable distribution of university patent rights.To guarantee the seamless integration of university patent activation with enterprise demand and to facilitate mutual advancement of social and economic value,two strategies—total licensing equity contribution and sublicensing equity contribution—can be utilized to proactively advance the activation of university patents.In total licensing equity contribution,universities grant enterprises the usage rights of patent technology in a single,one-time transaction.This allows enterprises to utilize the technology within a specified period.In the sublicensing equity contribution approach,universities retain ownership of the patents while granting partial usage rights to multiple enterprises.This enables the patents to be used in different fields or markets.In the course of facilitating the transformation of university patent technologies,a number of challenges must be addressed.Firstly,the instability of university patent rights and the prevalence of complex ownership structures frequently give rise to disputes and conflicts during the process of patent transformation.Secondly,the long-term benefits of patent transformation are frequently overlooked,which has an adverse effect on the sustainability and stability of technology applications.To achieve equilibrium among the interests of all parties involved and attain the"Pareto frontier"of university patent licensing equity contribution,the following measures can be implemented to refine the existing system:(1)Restrict patent abandonment:It is essential to clearly define the conditions for patent abandonment during the transfer and use of patent rights.This will ensure that universities retain a certain degree of control and influence over the technology transfer process,thereby preventing the misuse or neglect of patent technologies.(2)Modify the regulations pertaining to employee-generated inventions:It is recommended that the rules related to employee inventions be reevaluated and adjusted,that the rights and contributions of university researchers in patent technologies be clarified,and that patent revenues be distributed in a reasonable manner,with the objective of enhancing the motivation and creativity of researchers.(3)Affirm the legitimacy of sublicensing:From a legal and policy perspective,it is essential to recognize and encourage the sublicensing model of patent technology.This will facilitate the application of patent technologies in diverse fields and markets through sublicensing,thereby supporting universities in maximizing the potential of their intellectual property.The implementation of these measures will facilitate the gradual resolution of the existing issues in the process of university patent transformation,thereby achieving the"Pareto frontier"of university patent licensing equity contribution and a win-win situation for universities,enterprises,and society.

Revitalization of University patentsBalance of interestsRights-based investmentPatent licensing rightsSub-license

崔立红、李昶郴

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山东大学法学院 青岛 266237

高校专利盘活 利益平衡 权利出资 专利许可实施权 分许可

山东大学国家治理研究院2023年度研究课题山东省社会科学规划项目山东大学法学院2023年度研究生科研创新项目

23Z0921CFXJ182023SDFXYYKB001

2024

山东大学学报(哲学社会科学版)
山东大学

山东大学学报(哲学社会科学版)

CSTPCDCSSCICHSSCD北大核心
影响因子:1.151
ISSN:1001-9839
年,卷(期):2024.(5)