【正文】 Company39。 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 munity began. To a deeper sense, technological innovation triggered system innovation with changes in the distribution model of social wealth. And the country39。 despite the policy market for technology proved to be a failure, people still wish a innovationoriented 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 country39。專利制度對社會各階層意識的作用是間接的，但是其塑造的壟斷利益模式對于獲取專利并市場化獲取利益與競爭優(yōu)勢的社會心理的影響則是直接的，是整個社會創(chuàng)新文化的重要組成部分，對于社會的人才觀、財(cái)富觀等社會心理的調(diào)適產(chǎn)生了重要影響，奠定了專利制度運(yùn)行的社會文化基礎(chǔ)，同時在更廣泛的層面上促進(jìn)了社會資源分布的重新配置，影響和引導(dǎo)新的社會分層分化。專利質(zhì)押等新型融資方式的問世，改變了傳統(tǒng)的專利研發(fā)、推廣、應(yīng)用、收益分配模式，更廣泛地更緊密地把科技與經(jīng)濟(jì)相聯(lián)結(jié)，把知識和資本相聯(lián)結(jié)，把科技人員和投資者、管理者、經(jīng)營者相聯(lián)結(jié)，促使科技人員身份和角色的不斷變化。例如，微軟公司引領(lǐng)的計(jì)算機(jī)軟件業(yè)、英特爾公司創(chuàng)造的芯片業(yè)，都是技術(shù)專利化、市場化的結(jié)果，造就了社會上新的財(cái)富階層。最后，專利與現(xiàn)有公知技術(shù)之間的差異程度顯示出發(fā)明創(chuàng)造的質(zhì)量與水平，換一個角度來看，專利的高度決定了其社會有益性和貢獻(xiàn)率的大小。與此相應(yīng)，專利對于社會財(cái)富積累的催化效應(yīng)日益明顯，社會分層現(xiàn)象日益加劇。國際社會的分層現(xiàn)象由此拉開序幕，究其實(shí)質(zhì)，科技創(chuàng)新引發(fā)的制度創(chuàng)新改變了社會財(cái)富的分配模式，政治體制改革的適時與配合為早期的發(fā)明人向工業(yè)實(shí)體轉(zhuǎn)化創(chuàng)造了良好的社會文化環(huán)境，國家對外政策的調(diào)整為剩余產(chǎn)品在國際市場的拓展提供了國內(nèi)法上的支撐。由于專利權(quán)是一種財(cái)產(chǎn)性權(quán)利，所以專利制度在社會學(xué)層面上來看，可以將之理解為一種財(cái)產(chǎn)利益分配制度。也有部分學(xué)者從制度的兩面性角度反思了專利制度的外部性影響，主要是專利制度的經(jīng)濟(jì)效益與經(jīng)濟(jì)成本之間的關(guān)系失衡問題。專利制度也要根據(jù)大的制度環(huán)境，作自身調(diào)整，使之具有更強(qiáng)的兼容性，從而達(dá)到良性互動目的。專利作為衡量一國科技實(shí)力的指標(biāo)，也在一定層面上反映了國家和國民財(cái)富的質(zhì)量和可持續(xù)發(fā)展程度。本人授權(quán)中南財(cái)經(jīng)政法大學(xué)可以將本學(xué)位論文的全部或部分內(nèi)容編入學(xué)校有關(guān)數(shù)據(jù)庫和收錄到《中國博士學(xué)位論文全文數(shù)據(jù)庫》進(jìn)行信息服務(wù)，也可以采用影印、縮印或掃描等復(fù)制手段保存或匯編本學(xué)位論文。除文中已經(jīng)注明引用的內(nèi)容外，本論文不含任何其他個人或集體已經(jīng)發(fā)表或撰寫的作品。對本文的研究做出重要貢獻(xiàn)的個人和集體，均已在文中標(biāo)明。注：保密學(xué)位論文，在解密后適用于本授權(quán)書。由此推演至主權(quán)國家內(nèi)部，專利制度如何影響以及在何種程度上影響到社會分層和社會福利，如何尋求激勵創(chuàng)新與社會分層之間的制度平衡，需要打破制度內(nèi)部考察的定勢思維，本文選擇糅合法學(xué)與社會學(xué)的多維視角，把專利制度可適性問題放在整個社會發(fā)展變遷的大背景下，放在我國專利制度的立法和司法實(shí)踐的宏觀層面上作分析和研究。論文聚焦研究社會因素對于專利制度的流變的影響，主要考察專利制度的運(yùn)行對于社會分層、社會福利等的影響，探究影響因素與影響途徑。從法學(xué)角度來看，一般認(rèn)為，專利是一種發(fā)明創(chuàng)造，專利權(quán)是一種財(cái)產(chǎn)權(quán)利，專利制度是主權(quán)國家保護(hù)專利權(quán)并劃定行使權(quán)利邊界的法律規(guī)范。由于占有社會資源和運(yùn)用專利權(quán)能力的差異，不同的專利權(quán)主體在專利權(quán)利市場化的過程中表現(xiàn)出較大的差異，影響到研發(fā)投入回收和新一輪的技術(shù)創(chuàng)新。早期專利國際條約的出臺為專利保護(hù)規(guī)則的國際統(tǒng)一化奠定了制度原型。與法律學(xué)者的研究有所不同，在探究專利制度與社會分層的關(guān)聯(lián)度問題上，有學(xué)者提出專利的長寬高概念，三者分別關(guān)系到對專利新穎性、創(chuàng)造性的要求，專利保護(hù)的時間、專利保護(hù)的范圍的確定，直接影響到技術(shù)外溢的效果，并對社會福利產(chǎn)生影響。技術(shù)專利化、市場化運(yùn)營有利于提升企業(yè)的競爭能力，催生企業(yè)之間的分化，催生企業(yè)管理層和員工層的收入分化，吸引更多的資本、人才積聚于那些擁有專利權(quán)并且專利運(yùn)營良好的行業(yè)與企業(yè)之中，這是價值規(guī)律的反映。這些擁有專利技術(shù)的企業(yè)通過專利聯(lián)盟、專利技術(shù)標(biāo)準(zhǔn)化等途徑，對獲取壟斷利潤與加劇市場競爭均產(chǎn)生連鎖反應(yīng)，在產(chǎn)業(yè)界內(nèi)部又再一次引發(fā)了產(chǎn)業(yè)利益鏈的調(diào)整與重塑。在社會變遷過程展現(xiàn)出來的社會分層現(xiàn)象，從某種程度上來說，是社會經(jīng)濟(jì)結(jié)構(gòu)調(diào)整的一個表象。值得注意的是，在實(shí)踐運(yùn)行中，專利制度出現(xiàn)了異化現(xiàn)象，例如部分企業(yè)有一段時間在我國大量申請垃圾專利，即利用了我國當(dāng)時專利法采用混合新穎性標(biāo)準(zhǔn)和專利審查能力不強(qiáng)的缺陷，將國外公知技術(shù)拿到我國申請專利，獲批后發(fā)動大量專利侵權(quán)訴訟；或者利用參與國家或者行業(yè)標(biāo)準(zhǔn)制定的機(jī)會，將自身專利寫入標(biāo)準(zhǔn)，待標(biāo)準(zhǔn)生效后對利用標(biāo)準(zhǔn)的企業(yè)發(fā)動專利訴訟襲擊；或者利用國家或者地方政府鼓勵企業(yè)申請專利的補(bǔ)貼政策，就同一技術(shù)方案或者設(shè)計(jì)反復(fù)申請專利，騙取政府補(bǔ)貼，導(dǎo)致了個人利益和社會公共利益的失衡。s 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 pletely needed. This paper bines the multidimensional 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 macrolevel 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 patibility 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 patible, 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 bel