【作者】 张义忠；

【导师】 汤书昆；

【作者基本信息】 中国科学技术大学 ， 管理科学与工程， 2009， 博士

【摘要】 知识经济的广泛、迅速发展,带来了社会生活的物质基础和组织形式的日益知识化,这种变化引起了社会范式的转变:从以生产物质产品为主导的工业社会范式转变到以生产知识为目的和以知识进行生产为主导的知识社会新范式。社会知识化的转型为专利权的扩张构筑了坚实广泛的社会基础,知识产权制度的现代化为专利权的扩张构筑了和谐的、宽容的制度支持体系,社会知识化转型和知识产权制度现代化过程的一个重要着力点就是各类知识创新活动及其丰富多彩的知识创新成果,社会知识化转型的发展离不开各类知识创新活动在深度和广度上的拓展,知识产权制度的现代化正是知识创新活动深化的制度性回应。在各类知识创新活动深化发展的过程中,知识创新理论也由此成长和发展,知识创新理论的成长和发展可以更深刻地揭示知识产权制度现代化的内在理论逻辑,也为专利权的扩张提供了理念基础和理论引导。创新理论的深刻意涵揭示:社会知识化转型中包括专利权扩张在内的知识产权的扩张有其深刻的知识类型化和知识创新成果类型化应用的基础,同时也有其深刻的知识观和人性基础。知识创新的保护理应在制度创新的理念和制度安排价值取向上对此做出应对。创新理论和“知识人”假定向我们展示了一个重要的知识创新保护制度建设理念:社会知识化转型中,知识创新保护制度建设应当促进知识创新成果的理性化利用和制度化利用。在这种利用的过程中,知识创新和制度创新才能形成双向的良性的互动机制。专利制度在人类激励创新的历史演进中,积淀了不同时期、不同制度文明中保护和激励创新的制度理性,形成了促进知识创新保护的制度体系和规范化的运行机制。社会的知识化转型中,专利制度保护知识创新的制度体系在内化知识社会时代丰富意涵中得以充实和扩张,其相应的促进机制也因此有了新的运行驱力,专利权正是在多种合力的作用下踏上了社会知识化发展中的扩张之路,这一扩张不可避免的对传统的知识产权制度造成了冲击,保护知识创新也由此面临新的挑战与机遇。上述挑战和机遇为知识创新保护提供了新的切入点和社会因应机制。在专利主体扩张的过程中,知识创新主体的保护有了更为宽容的制度支撑,专利保护模式从广度和深度上拓展了专利知识创新主体的保护;专利客体的扩张使得更多知识创新类型和更多水平与层次的知识创新成果及其应用获得了专利法的保护;专利保护领域的深度扩张使得知识创新保护突破了诸多领域的界限;专利权权项的丰富意味着专利制度保护的知识创新内涵和外延在不断扩张,也意味着在专利制度的保护下,知识创新主体因知识创新而受益的产品、产业链、创新成果传播领域在不断扩张;专利保护期限的扩张表明,专利制度通过延展对知识创新成果的保护期限拓展了知识创新的市场利益空间。这些专利权扩张中对知识创新的保护又是通过立法推动、国家战略推动、跨国企业商业促进和动态利益平衡机制来实现的。社会知识化转型中专利权的扩张使知识创新的保护有了新的实现机制。然而,由于知识创新在新技术革命的推动下日益向深度和广度扩展,知识创新成果呈现形式和传播方式的多样化,知识创新成果利用中的侵权行为也呈现出复杂化和综合化的态势,这就使得知识创新保护在社会知识化转型中面临着严峻的挑战:创新保护模式,积极保护新型的知识创新。计算机软件知识创新是当今知识创新的典型代表,其知识创新成果既内含有丰富的思想性知识创新,又内含有广泛深刻的技术性知识创新。计算机软件知识创新现有保护模式对这种新型知识创新保护均有其优势和不足,但有一个重要的发展趋势就是:在专利权扩张中,发达国家正积极通过对软件知识创新成果的专利保护来促进本国软件产业的发展,推进软件知识创新持续有效地展开与深化。我国是软件需求大国,软件产业有了一定的成长基础,理应适应社会知识化转型和专利权扩张的发展态势,积极通过制度创新,改进和完善我国的专利制度体系,构建适合我国软件产业发展的软件知识创新的专利保护模式。更多还原

【Abstract】 Extensive and rapid development of knowledge economy has brought about increasing knowledgefication of the material base in social life and the type of organization.The change has caused the transformation of the paradigm for society: from the paradigm for the industrial society oriented by the material products to the paradigm for the knowledge society aimed at producing knowledge and oriented by using knowledge to produce.The transformation of social knowledgefication has builded a solid and wide social foundation for the patent expansion.Modernization of intellectual property system has constructed a harmonious and tolerant supporting system for the patent expansion.The important point of strength in the process of the transformation of social knowledgefication and the modernization of intellectual property system is various innovation activities and their rich creative achievements.The transformation of social knowledgefication cannot be separated from the various innovation activities developing in the extent and depth.The modernization of intellectual property system is no other than institutional response to deepening in the innovation activities.In the course of development deepening in the innovation activities,the theory of innovation has matured and developed.It can deeply reveal internal theoretical logic of the modernization of intellectual property system.It has aslo provided ideal basis and theoretical guidance for the expansion of patent.The deep implication opens out that the expansion of intellectual property including the patent expansion has its deep basis for the typifications of knowledge and the practical application in the typifications of knowledge innovation in the process of the transformation of social knowledgefication and for knowledge-outlook and human nature.The protection of knowledge innovation should respond to it in the idea of institutional innovation and the value orientation of institutional arrangement.The theory of innovation and the assumption of Knowledgeable Person have opened up an important idea of the system construction in the protection of the knowledge innovation.It is that the system construction in the protection of the knowledge innovation shuold be the promotion in the rational and institutional uses of the knowledge innovation achievements.Only in this kind of uses,a beneficial two-way interactive mechanism between the knowledge innovation and the institutional innovation can be come into being.In the evolution of human history of promoting innovation,the patent system has accumulated the system-rationality of the protection and promotion of the innovation in different time and different institutional civilization and formed the institutional system of promoting innovation and the standardized operational mechanism.The regulatory system of protecting the knowledge innovation in patent has internalised such plentiful contents of the knowledge society that it can enrich and expand.It is for this reason that its homologous promoting mechanism has new running drives.It is the confluence of many forces are at work that the patent has stepped on the road to expansion in the development of social knowledgefication.Inevitably,the expansion brings a great impact on the traditional intellectual property system,and thereout protecting the knowledge innovation is facing new challenges and opportunities.The above challenges and opportunities have offered a new perspective and the social adaptive mechanism to protecting the knowledge innovation.There are more tolerant supporting systems for the protection to the subject of knowledge innovation in the course of the expansion of patent subject,and that patent protected-mode has expanded the protection to the subject of knowledge innovation in all its breadth and depth.The expansion of object of the patent enable more types of the knowledge innovation and more levels of the knowledge innovation achievements and their applications to be protected by patent law.The area of the patent protection has expanded deeply so as that the protection of the knowledge innovation has broken through the boundaries of many areas.The enrichment of right items in patent means the connotation and extension of the knowledge innovation protected by the patent have been expanding.It aslo means the area of communication of the subject of knowledge innovation whose product,industry chain and the knowledgeable innovation achievement benefited from the knowledge innovation have been expanding under the protections afforded by the patent system.The extension of the patent life shows the patent system has broaden a space of market interests for the knowledgeable innovation by extending the term of protection of the innovation achievement.These patent expansions protect the knowledge innovation by the mechanisms of the legislating promotion,the national strategy driving,the trade promotion in multinational enterprises and the dynamic benefit balance.There are new realizable mechanisms of protecting the knowledge innovation as a result of the patent expansion in the transformation of social knowledgefication.However,the protection of the knowledge innovation is facing serious challenges for a couple of reasons that the knowledge innovation has increasingly developed in depth and breadth with the push of new technological revolution,various forms and modes of transmission have emerged in the knowledgeable innovation achievement and a complicated and comprehensive trend of torts has presented in the course of utilizing the knowledgeable innovation achievement.These are innovating protective modes and protecting the types of the knowledge innovation actively.The knowledge innovation in software is a typical representative of the knowledge innovation in the current society.Its ceative achievement contains rich thoughtful knowledge innovations as well as extensive and profound technical innovations.The protection of this new types of the knowledge innovation afforded by the current protective models in the knowledge innovation in software has its characteristic merits and demerits.But there is an important development tendency of it.This is that the developed countries are taking positive steps to protect the knowledgeable innovation achievement of the software by the patent to promote the development of the software industry and propel and deepen the continuous effective the knowledge innovation of software in the patent expansion in their own countries. Our country is a country with massive software needs.There is a certain foundation for the growth in software industry in our country.We should adapt to the developing trend in the transformation of social knowledgefication and the patent expansion,and establish the patent protected mode in the knowledge innovation of software that suit the development of the software industry of our nation by active innovation of the system and the improvement and the perfection of the patent system in our country.更多还原