取予之间:美国对政府资助研发合同的法律规制

Giving and Taking: Regulations on Government-Sponsored Research and Development Contracts in the U.S.

美国《拜杜法案》、《斯蒂文森-威德勒创新法案》及其后的修订分别规范由联邦政府提供资金资助的研究和联邦政府(联邦实验室)提供资源与私人部门合作的研究(CRADA),为产学研的合作构成一套完整的法律体系。二部法律均从权利的初始界定出发,适当地将政府对研发成果的权利让渡给合作研发者,以激励研发和成果商业化;另一方面,在特定情况下,法律通过保留政府对研发成果的所有权、许可权和介入权对合作研究进行规制。我国在借鉴美国立法的先进经验时出现偏重激励的倾向,我们应预见到政府权利让渡造成负面后果的可能,促进科技成果转化应激励与规制并重,在私人部门利益和公共利益之间寻求平衡。

The Bayh - Dole Act, the Stevenson - Wydler Technology Innovation Act and the amendments thereafter regulate two types of contracts respectively, i.e. , contracts funded by federal money, and CRADA between the government （ represented by the federal laboratory） and the private sector, providing a comprehensive legal frame to public - private research and development cooperation. They both begin with the assignment of government fight to the cooperator, with a view to promoting research and development and commercialization of scientific and technological achievements ; on the other hand, regulate such contracts by reserving the right to the invention arising from the cooperation, royalty - free licensing fight and march - in right. When learning from the American legislation, China tends to put too much emphasis on the incentive side of the policies and neglect the possible negative effects of the governmental assignment. Incentives and regulations are equally important and a balance shall be achieved between the public and private sector.