专利权出资的若干法律问题研究

发布时间：2018-04-24 02:41

本文选题：专利权 + 专利权出资　；参考：《东北财经大学》2011年硕士论文

【摘要】：在过去的一年里,我国专利行政部门受理的境内专利申请达到了108.4万件,这其中发明专利申请的受理量达到了28.1万件,分别同比增长了26.9%和29%；专利行政部门共授予专利权81.5万件,其中境内授权71.9万件,增长48.8%,占总量的比例达到了88.3%；授予境内发明专利7.4万件,比上年增长26.2%。①在经济全球化的市场背景条件下,衡量一个国家的竞争力的大小不仅仅取决于自然资源、资本这些生产要素的多寡,更为重要的是科学技术的是否发达,对于知识产权的是否依法保护,知识产权的资本化道路是否顺畅。专利权作为重要的知识产权类型,专利权的资本化的途径之一就是利用专利权出资。随着我国授予境内专利量的快速增长,建设创新型国家的战略的提出,专利技术转化为现实有效的生产力就会显得尤为急迫,我们的企业在参与全球的经济竞争的舞台中才能脱颖而出。专利权作为一项主要的无形资产,在公司的生产经营中发挥着日趋强大的作用,尤其是在新型的高科技公司中。我国的《公司法》、《中外合资企业法》、《中外合作企业法》②、《公司登记管理办法》以及《关于高新技术成果出资的有关规定》等相关的法律法规已经将专利权出资作为一种重要的法定出资形式。专利权能否顺利的出资,专利技术是否能切实有效地转化为现实生产力。这其中,建立起完善的专利权出资制度模式就显得尤为关键。而我国目前的相关的法律法规对于专利权出资的主体、专利权出资的客体、专利权的价值评估、出资比例以及中介机构的法律责任等以包含于现物出资范畴内作了一些笼统的规定。毋庸置疑,这些远远不能保障专利权的顺利有效的出资,迫切需要有更明确具体的相关制度规定。公司的出资基本上是分为两类,一类是货币出资,另一类就是非货币出资(也就是现物出资)。当然,货币由于是天然的价值的表现形式、交易符号,是一般等价物。所以在下,过去很长一段时间货币出资占据主导的比例。如在我国1993年的《公司法》中,其中规定的实物、工业产权、非专利技术等非货币的出资比例是不得高于20%。但是,随着社会主义市场经济的发展,公司的出资不再是拘泥于货币,而非货币的出资比例的提高即是2005年的《公司法》一个亮点,在现实中,非货币出资尤其是专利权的出资的比例的增多亦是日益普遍。但是在专利权出资方面,我国的立法目前其实显得相对保守,对于专利权出资的主体、客体、公示方法、评估作价以及风险等方面未作明确的规定。专利权是一项由公权力赋予的一定期限的垄断性的私法权利,其无形性、地域性、不确定性、时间性、专业性等特征与其他的非货币实物截然不同。同时专利权的保护主题也分为发明、实用新型、外观设计三种,这三种主题也是各有差别。尽管,专利权作为一个整体的权利,作为出资在立法上是有明确的规定,但是对于专利的申请权、专利的实施权能否出资这个问题在学界争议极大。专利权不同于普通的物的所有权、土地所有权等一些民事的权利,其风险性也是不易衡量,专业性较强,研究的方法独特。专利权作为最重要的知识产权,其出资的法律问题研究与探讨具有现实性和迫切性。另一方面,我国建设创新型的国家战略的提出,高新技术的专利成果的孵化,更是需要我们的相关的法律制度的规范来引导,使货币资本与专利技术的有效结合,从而使专利资本化的道路更加畅通,具有显而易见的现实意义。本文笔者运用比较研究法、经济分析法、历史研究法以及定性分析法等研究方法,紧扣我国现行的有关立法,结合公司资本制度的基本原理与专利权法的基本原理,汲取国外的立法实践经验,对于有关专利权出资的若干问题进行系统的研究分析,并在此基础之上,提出若干的立法建议。本文主要从以下几个方面来对专利权出资问题进行探讨：一是论述了专利权出资在公司出资中的现实意义,对专利权出资的一些理论概念问题做了基本的解释。二是对于外国立法的比较,主要分析的是德国、法国、日本、美国这几个国家的相关立法以及与我国立法的对比。三是有关于专利权出资的实体性问题进行了讨论,对于专利权出资的主体和客体的问题进行了对比分析,明确了专利权出资的主体以及阐述了专利权出资的客体的问题,对于专利使用权的出资给予了的肯定,而对于专利申请权的出资则予以否定。另外,在实体法方面还重点论述了专利权出资的比例以及专利权出资的法律责任、风险承担方面的问题,并提出了笔者自己的几点看法。四是对于我国专利权出资的程序法与实体法的若干问题提出自己的若干想法,主要对于专利权的专利权公示、价值评估、审查制度等一系列问题的可行性、方法及实施措施展开讨论,结合我国目前的立法,提出必要的专利权出资制度的修改和完善的建议。笔者认为,我国的专利权的出资比例问题在特殊的条件下是可以突破的,尤其对于具有高新技术成果特征的专利技术的出资,其市场价值的巨大潜力,对于货币资本的需求不大,对于技术成果的要求较高等等这些情况。在专利权的公示方面,明确专利权必须公示,并规定必须公示的具体事项。在专利权的出资特别审查制度方面,应该加强第三人对于出资的实质性和可靠性的特别审查。另外,在价值评估方面和风险责任方面,明确各方的责任,制定细致的规范,从而更好地为专利权的出资服务。
[Abstract]:In the past year, the patent application of the patent administrative department of China has reached 1 million 84 thousand patent applications, in which the amount of patent applications has reached 281 thousand, respectively 26.9% and 29%, respectively. The Patent Administration Department granted a total of 815 thousand patents, including 719 thousand domestic authorization, up 48.8%, accounting for the proportion of the total amount. To 88.3%; to grant 74 thousand domestic inventions, an increase of 26.2%. over the previous year in the market background of economic globalization, the measure of the competitiveness of a country not only depends on the natural resources, the amount of the production factors of capital, the more important is the development of science and technology, and the law of intellectual property. Protection, whether the road of capitalization of intellectual property is smooth. As an important type of intellectual property right, patent right is one of the ways to capitalization of patent right. It is particularly urgent that our enterprises can stand out on the stage of participating in the global economic competition.
As a major intangible asset, patent rights play an increasingly powerful role in the production and operation of the company, especially in the new high-tech companies. China's "Company Law >", "Sino foreign joint venture law >", "Sino foreign cooperative enterprise law >", "company registration management method >" and "relevant provisions on the investment of high-tech achievements" The relevant laws and regulations have already made the patent capital contribution as an important legal capital contribution form. Whether the patent right can be funded smoothly and whether the patent technology can be effectively translated into realistic productivity. The subject of the capital contribution, the object of the patent capital contribution, the value evaluation of the patent right, the proportion of the capital contribution and the legal responsibility of the intermediaries are included in the scope of the current capital contribution, which can not guarantee the smooth and effective contribution of the patent right, and there is an urgent need for a more specific and specific system. Regulations.
The capital contribution of the company is basically divided into two categories, one is money capital contribution, the other is non monetary investment (that is, the current capital contribution). Of course, the currency is the natural value of the form, the trading symbol, is the general equivalent. So in the past, the past very long period of money capital contribution to occupy the dominant proportion. For example, in our country in 1993, "public" In judicature, the proportion of non currency investment stipulated in it, industrial property and non patent technology should not be higher than 20%., but with the development of the socialist market economy, the capital contribution of the company is no longer restricted to money, but the increase in the proportion of non currency is a bright spot of the 2005 "company law", in reality, non currency contribution. In particular, the increase in the proportion of capital contribution is increasing. However, in the aspect of patent investment, the legislation of our country is relatively conservative. There is no definite regulation on the subject, object, publicity method, evaluation price and risk of patent investment. Patent right is a certain period of time given by public power. The monopoly of private law rights, its intangible, regional, uncertain, timeliness, professional characteristics and other non currency objects are completely different. At the same time, the protection theme of patent rights is also divided into three types of invention, utility model, appearance design, and the three themes are different. There is a clear regulation in the legislation, but for the application right of the patent, it is very controversial in the academic circle whether the right of implementation of the patent can be invested. The patent right is different from the ordinary property ownership, the land ownership and other civil rights, its risk is also not easy to measure, the professionalism is strong, the research method is unique. Patent right is used as a special method. The most important intellectual property rights, the research and Discussion on the legal issues of its capital contribution are realistic and urgent. On the other hand, the proposal of our country's construction of innovative national strategy and the hatching of the patent results of high and new technology need to be guided by our relevant legal system, so as to effectively combine the monetary capital with the patent technology. And the way to capitalization of patents is more open, which has obvious practical significance.
In this paper, the author uses comparative research method, economic analysis method, historical research method and qualitative analysis method, closely links the current relevant legislation of our country, combines the basic principles of the company capital system and the basic principles of patent law, draws the experience of foreign legislative practice, and makes a systematic study on some problems concerning the investment of patent rights. Research and analysis, and on this basis, put forward a number of legislative proposals. This article mainly from the following aspects to discuss the problem of patent capital contribution: first, it discusses the practical significance of patent investment in the company capital contribution, and gives a basic explanation of some theoretical concepts of patent capital contribution. Two is the comparison of foreign legislation. The main analysis is the related legislation in Germany, France, Japan and the United States and the comparison with our country's legislation. Three, the substantive issues concerning patent capital contribution are discussed, the subject and object of patent capital contribution are contrasted and analyzed, the main body of patent capital contribution is clarified and the patent is expounded. The question of the object of the right capital contribution is affirmed for the investment of the patent right to use, and the contribution of the patent application right is denied. In addition, in the substantive law, the proportion of the capital contribution, the legal responsibility of the patent capital contribution, the risk bearing question, and the author's own views are put forward. The four is to put forward some ideas about the procedural law and substantive law of patent capital investment in China. It mainly discusses the feasibility, methods and implementation measures of a series of problems such as patent right public notice, value assessment, examination system and so on, and puts forward the necessary patent right investment system in combination with the legislation before our country's eyes. The author thinks that the proportion of capital investment in our country can be broken through under special conditions, especially for the investment of patent technology with the characteristics of high and new technology, the great potential of its market value, the lack of demand for monetary capital, the higher demand for technical achievements and so on. In the publicity of the patent right, it is clear that the patent right must be publicized and stipulates the specific items that must be publicized. In the special examination system of the patent right, the third party should strengthen the special examination of the substance and reliability of the capital contribution. In addition, in the value assessment and the risk liability, we should make clear the responsibilities of the parties and formulate the details. The norms, so as to better serve the patent contribution.

【学位授予单位】：东北财经大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D922.291.91;D923.42

【参考文献】