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Article(id=1315372026605457420, tenantId=1146029695717560320, journalId=1308397381743640680, issueId=1315372022658613552, articleNumber=null, orderNo=null, doi=null, pmid=null, cstr=null, oa=null, hot=null, price=null, onlineType=0, articleFormat=0, articleType=null, articleTypeStr=research-article, receivedDate=1740585600000, receivedDateStr=2025-02-27, revisedDate=1743955200000, revisedDateStr=2025-04-07, acceptedDate=null, acceptedDateStr=null, onlineDate=1791538729570, onlineDateStr=2026-10-09, pubDate=1773504000000, pubDateStr=2026-03-15, doiRegisterDate=null, doiRegisterDateStr=null, onlineIssueDate=1791538729570, onlineIssueDateStr=2026-10-09, onlineJustAcceptDate=null, onlineJustAcceptDateStr=null, onlineFirstDate=null, onlineFirstDateStr=null, sourceXml=null, magXml=null, createTime=1791538729570, creator=13701087609, updateTime=1791538729570, updator=13701087609, issue=Issue{id=1315372022658613552, tenantId=1146029695717560320, journalId=1308397381743640680, year='2026', volume='44', issue='3', pageStart='449', pageEnd='672', issueExtLink='null', onlineDate='null', pubDate='1773504000000', pubDateStr='2026-03-15', beforeIssueId=null, nextIssueId=null, price=null, status=1, issueComplete=1, articleOrder=1, issueType=-1, specialIssue=null, createTime=1791538728624, creator='13701087609', updateTime=1791538856865, updator='13701087609', preIssue=null, nextIssue=null, articleTotal=null, ext={EN=IssueExt(id=1315372560565523080, tenantId=1146029695717560320, journalId=1308397381743640680, issueId=1315372022658613552, language=EN, specialIssueTitle=, coverIllustrator=null, specialIssueEditor=, specialIssueAbout=), CN=IssueExt(id=1315372560569717385, tenantId=1146029695717560320, journalId=1308397381743640680, issueId=1315372022658613552, language=CN, specialIssueTitle=, coverIllustrator=null, specialIssueEditor=, specialIssueAbout=)}, issueFiles=null, downloadFileDto=null}, startPage=482, endPage=490, ext={EN=ArticleExt(id=1315372026844532749, articleId=1315372026605457420, tenantId=1146029695717560320, journalId=1308397381743640680, language=EN, title=Construction of intellectual property rights protection institutions system for AI-generated content in view of innovation stimulation and rights balance, columnId=1309226307205034609, journalTitle=Studies in Science of Science, columnName=Hot Issues, runingTitle=null, highlight=null, articleAbstract=

In recent years, the rapid development of artificial intelligence (AI) technology has made intellectual property rights (IPR) issues the focus of academic research and judicial decisions. This paper reviews the relevant literature and judicial precedents at home and abroad. Facing the future development of AI technologies, from the perspective of innovation stimulation and rights balancing, the paper researches the basic IPR protection issues of AI-generated works, signs and inventions such as the subject qualification, object scope, acquisition standard, rights attribution, implementation and application, and effective regulation. The paper constructs an AI IPR protection institutions system including Subject Qualification, ObjectScope, Acquisition Standard, Rights Attribution, Implementation and Application, and Effective Regulation and puts forward future development countermeasures for the IPR institutions system of AI-generated works, signs, and inventions. It is needed to revise and improve the IPR laws and policies regarding AI timely, stipulate the AI-generated works, signs and inventions generated can obtain IPR protection clearly, determine the IPR ownership of the AI-generated works, signs and inventions following the principle of contract, grant the AI the qualification as generator of works for copyright, the designer of signs for trademark right and the inventor of inventions for patent right, improve the IPR acquisition standards of AI-generated works, signs and inventions, and enhance the application of the IPR principle of good faith and creditworthiness, principle of balance of interests, and principle of anti-abuse regulations in the field of AI.

, authors=He-fa SONG1, 2, Gan-ying LI2, authorsList=He-fa SONG, Gan-ying LI, authorCompany=null, correspAuthors=Gan-ying LI, authorNote=null, correspAuthorsNote=null, copyrightStatement=null, copyrightOwner=null, extLink=null, articleAbsUrl=null, sourceXml=null, magXml=null, pdfUrl=null, pdf=null, pdfFileSize=null, pdfExtLink=null, richHtmlUrl=null, mobilePdfUrl=null, reviewReport=null, pdfFirstPage=null, abstractGraph=null, abstractGraphContent=null, abstractVideo=null, citation=null, cebUrl=null, magXmlContent=null, mapNumber=null, fund=null), CN=ArticleExt(id=1315372027779862544, articleId=1315372026605457420, tenantId=1146029695717560320, journalId=1308397381743640680, language=CN, title=人工智能生成物知识产权保护制度体系构建——基于激励创新与权益平衡视角, columnId=1309226307364418163, journalTitle=科学学研究, columnName=热点议题, runingTitle=null, highlight=null, articleAbstract=

近年来,人工智能技术迅速发展,知识产权问题成为学术研究和司法裁判的焦点。本文梳理了国内外相关文献和司法判例,面向未来人工智能技术发展,从激励创新与权益平衡角度,研究了人工智能生成作品、标志与发明创造知识产权保护的主体资格、客体范围、获取标准、权利归属、实施运用、有效规制等基本问题,构建了包括主体资格制度、客体范围制度、获取标准制度、权利归属制度、实施运用制度、有效规制制度的人工智能知识产权保护制度体系,提出了人工智能生成物知识产权保护制度发展对策。本文认为,应实时修改和完善人工智能知识产权法律政策,明确生成作品、标志与发明可以获得知识产权保护,人工智能生成作品、标志与发明的知识产权归属应遵循合同原则,赋予人工智能本身作品完成者、标志设计者、发明者资格,应完善人工智能生成作品、标志与发明申请知识产权的获取标准,加强人工智能领域知识产权保护诚实信用原则、利益平衡原则、反知识产权滥用规制原则的适用。

, authors=宋河发1, 2, 李竿影2, authorsList=宋河发, 李竿影, authorCompany=null, correspAuthors=李竿影, authorNote=

宋河发(1968-),男,研究员、博士生导师。

, correspAuthorsNote=
李竿影(2000-),女,博士研究生, E-mail:。
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2 中国科学院大学公共政策与管理学院(知识产权学院), 北京 100049, bio={"content":"

宋河发(1968-),男,研究员、博士生导师。

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宋河发(1968-),男,研究员、博士生导师。

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人工智能生成物知识产权保护制度体系构建——基于激励创新与权益平衡视角
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宋河发 1, 2 , 李竿影 2
科学学研究 | 热点议题 2026,44(3): 482-490
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科学学研究 |热点议题 2026 , 44 (3) : 482 -490
人工智能生成物知识产权保护制度体系构建——基于激励创新与权益平衡视角
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2 中国科学院大学公共政策与管理学院(知识产权学院), 北京 100049, bio={"content":"

宋河发(1968-),男,研究员、博士生导师。

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宋河发(1968-),男,研究员、博士生导师。

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宋河发1, 2, 李竿影2
作者信息
  • 1 中国科学院科技战略咨询研究院, 北京 100190
  • 2 中国科学院大学公共政策与管理学院(知识产权学院), 北京 100049
通讯作者:
李竿影(2000-),女,博士研究生, E-mail:。
作者简介:

宋河发(1968-),男,研究员、博士生导师。

Construction of intellectual property rights protection institutions system for AI-generated content in view of innovation stimulation and rights balance
He-fa SONG1, 2, Gan-ying LI2
Affiliations
  • 1 Institutes of Science and Development, Chinese Academy of Sciences, Beijing 100190, China
  • 2 School of Public Policy and Management, University of Chinese Academy of Sciences, Beijing 100049, China
出版时间: 2026-03-15
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近年来,人工智能技术迅速发展,知识产权问题成为学术研究和司法裁判的焦点。本文梳理了国内外相关文献和司法判例,面向未来人工智能技术发展,从激励创新与权益平衡角度,研究了人工智能生成作品、标志与发明创造知识产权保护的主体资格、客体范围、获取标准、权利归属、实施运用、有效规制等基本问题,构建了包括主体资格制度、客体范围制度、获取标准制度、权利归属制度、实施运用制度、有效规制制度的人工智能知识产权保护制度体系,提出了人工智能生成物知识产权保护制度发展对策。本文认为,应实时修改和完善人工智能知识产权法律政策,明确生成作品、标志与发明可以获得知识产权保护,人工智能生成作品、标志与发明的知识产权归属应遵循合同原则,赋予人工智能本身作品完成者、标志设计者、发明者资格,应完善人工智能生成作品、标志与发明申请知识产权的获取标准,加强人工智能领域知识产权保护诚实信用原则、利益平衡原则、反知识产权滥用规制原则的适用。

人工智能  /  生成物  /  创作物  /  科技创新  /  知识产权

In recent years, the rapid development of artificial intelligence (AI) technology has made intellectual property rights (IPR) issues the focus of academic research and judicial decisions. This paper reviews the relevant literature and judicial precedents at home and abroad. Facing the future development of AI technologies, from the perspective of innovation stimulation and rights balancing, the paper researches the basic IPR protection issues of AI-generated works, signs and inventions such as the subject qualification, object scope, acquisition standard, rights attribution, implementation and application, and effective regulation. The paper constructs an AI IPR protection institutions system including Subject Qualification, ObjectScope, Acquisition Standard, Rights Attribution, Implementation and Application, and Effective Regulation and puts forward future development countermeasures for the IPR institutions system of AI-generated works, signs, and inventions. It is needed to revise and improve the IPR laws and policies regarding AI timely, stipulate the AI-generated works, signs and inventions generated can obtain IPR protection clearly, determine the IPR ownership of the AI-generated works, signs and inventions following the principle of contract, grant the AI the qualification as generator of works for copyright, the designer of signs for trademark right and the inventor of inventions for patent right, improve the IPR acquisition standards of AI-generated works, signs and inventions, and enhance the application of the IPR principle of good faith and creditworthiness, principle of balance of interests, and principle of anti-abuse regulations in the field of AI.

artificial intelligence  /  works  /  inventions  /  innovation  /  intellectual property rights
宋河发, 李竿影. 人工智能生成物知识产权保护制度体系构建——基于激励创新与权益平衡视角. 科学学研究, 2026 , 44 (3) : 482 -490 .
He-fa SONG, Gan-ying LI. Construction of intellectual property rights protection institutions system for AI-generated content in view of innovation stimulation and rights balance[J]. Studies in Science of Science, 2026 , 44 (3) : 482 -490 .
正文
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人工智能(Artificial Intelligence)是一门研究、开发以模拟、延伸和扩展人的智能的理论、方法、技术及应用系统的新的技术科学,已成为新一轮科技革命和产业变革的重要驱动力。当前,以Chat GPT、DeepSeek为代表的生成式人工智能发展迅速。《世界知识产权组织生成式人工智能专利态势报告》记录了截至2023年的10年间5.4万项生成式人工智能发明,其中超过25%是在2023年出现的。
人工智能已创作出大量的作品、商标和发明,如微软“小冰”出版的诗集《阳光失了玻璃窗》,Google的Deep Dream创作的画作曾卖到8000美元一幅,美联社等媒体已经开始广泛应用AI自动撰写新闻。标小智Logo生成器制作了新能源汽车标志“Raster”,类似的工具还有腾讯的AI Design等。此外,AI在科学研究中也发挥了重要作用。罗斯金团队研发的机器人科学家夏娃,通过筛选约1600种已批准药物的化合物库,成功将抗癌化合物TNP-470重新定位为抗疟疾候选药物[1]。在专利领域,科学家约翰·寇沙2005年开发出一款新的人工智能,其一项发明获得了美国专利[2]。从2018年开始,StephenL.Thaler向十几个国家和欧盟申请由人工智能系统DABUS作为发明人的发明专利。
人工智能技术的迅速发展带来了许多知识产权问题。在著作权方面,美国版权局拒绝为AI创作的作品提供著作权保护,而我国司法界对AI生成物著作权保护仍存在争议。在商标领域,美国专利商标局强调在使用AI工具生成或提交商标申请时,需注意真实性以及实际证据支持[3]。在专利领域,欧专局、日本和德国专利商标局均拒绝授予DABUS的发明创造专利权,法院裁定AI不能作为发明人。美国专利商标局明确规定AI不能作为发明者,并解释了美国专利商标局授予人工智能辅助发明专利权所需的人类贡献水平[4]。
许多国家高度重视人工智能监管尤其是知识产权保护问题。美国2022年发布《人工智能权利法案蓝图》,从社会公平角度规定AI的设计与使用,欧盟2024年《人工智能法案》对境内AI发展风险管控做出规定。我国也在加快新领域的知识产权立法进程,2021年发布的《知识产权强国建设纲要(2021-2035年)》明确要求推动大数据、人工智能等领域的知识产权立法,并根据科技进步和社会发展需要及时调整相关法律法规,扩大保护客体范围。《“十四五”国家知识产权保护和运用规划》也提出完善相关保护政策,强化新业态知识产权保护。尤为重要的是,党的二十大要求“加强知识产权法治保障”,并强调构建支持全面创新的体制机制,为人工智能生成物知识产权保护指明了方向。2024年国家知识产权局发布的《人工智能相关发明专利申请指引(试行)》对于人工智能相关专利问题进行了回应,明确AI不能作为发明人,申请的专利是否有自然人作出实质性贡献成为关键标准。
人工智能生成物知识产权保护也引起了学术界的热烈讨论[5]。目前学术界的相关研究主要集中在著作权与专利权方面。一是人工智能生成物的完成者和发明者资格问题。反对者认为大陆法系普遍认为作品仅由自然人创作,AI生成物不符合著作权鼓励创作的立法目的[6]。但肯定者认为应为人工智能拟制新的法律主体以解决其法律资格主体缺失问题[7]。然而目前的观点并不足以否定AI生成发明具有可专利性[8],因此可以在专利法中规定排除领域的条款。二是人工智能生成物知识产权获取标准。反对者认为AI生成的作品仅为形式上的独创性,将其纳入著作权保护范围违反了著作权法的立法目的和精神[6]。但AI生成物在外观上与人类作品一致、在经济利益上有同质性并且符合著作权激励创作的目的,应当获得著作权保护[9]。人工智能生成标志申请商标不会影响其区分商品与服务的功能,但可能存在侵权等风险与局限性[10]。在专利申请上,一些学者认为AI目前在发明创作中仅为辅助工具,且生成的技术方案多属于制作方法,因此具备可专利性[11]。也有学者认为现行知识产权法以人类智力成果为保护核心,只有人类创作的内容才符合保护标准,但AI的自主运转体现了创造者的数据取舍价值标准,其生成内容是人类创造意志的间接反映,因而可以从知识产权客体标准展开法律认定[5]。未来人工智能的发展会进入超人工智能时代,在智力产出上很有可能超过人类,生成式人工智能脱离人类干预与控制的自主运转功能会引发知识产权保护标准的颠覆性挑战[5]。三是权利归属。主要包括归属AI所有者、使用者、人工智能三种观点,近年来更加关注利益平衡。有人认为应通过合同安排明确各主体间的权利,若无约定,则以所有者为核心构建权利[7],或可通过共同创作或委托创作将著作权分配给使用者[9];还应考虑投资者或创造人的利益,采用职务发明、委托发明等将投资者或创造者认定为专利权人[8]。也有将AI生成物看作人工智能的孳息,认为硬件所有者是其所有者[12]。此外,还有主张将人工智能生成物作为公共财产归入公有领域,不授予版权[13]。四是人工智能生成物的保护形式,部分学者主张灵活运用现有制度对其进行保护,主要存在四种模式。第一种是狭义著作权保护模式[14],但人工智能生成物与已有法律规定差异较大,将其划为一类可能会造成现有法律体系混乱。第二种是邻接权保护模式,邻接权制度本身缺乏价值功能的认识,制度体系并不完善[15],人工智能生成物既在独创性上不符合邻接权的无独创性或较低独创性要求,又不发生在传播过程中,将其纳入保护范围只会让邻接权制度更加混乱。第三种是反不正当竞争法保护[16],其利益分配原则不够稳定,且人工智能生成物使用者不仅限于经营者,涉及主体范围更广,在行为认定上存在较多差异,因此不能有效解决问题。最后是赋予人工智能法律人格保护模式,该模式能主动地解决问题,避免其他保护措施带来的不确定性与限制性,赋予人工智能法律主体资格被视为克服当前制度缺陷的有效方法[17]。
虽然目前人工智能生成物知识产权保护实践案例和学术研究非常丰富,但在人工智能是否具有知识产权保护的主体资格、人工智能生成物是否属于知识产权保护客体范围以及知识产权归属等基本方面仍有争议,尤其在人工智能生成物是否符合知识产权获取标准等方面争议较大。最重要的是这些观点并未考虑AI技术的快速发展,没有在坚持利益平衡原则的基础上面向激励人工智能科技创新构建知识产权保护的制度体系并提出有效的发展对策。现有一些研究存在明显缺陷,人为输入参数、关键词选择等并不能直接导致人工智能创作作品、标志具有独创性,导致发明创造具有可专利性。
本文从创新激励理论出发,沿着“制度-问题-对策”逻辑构建包括主体资格制度、客体范围制度、获取标准制度、权利归属制度、实施运用制度、有效规制制度在内的人工智能生成作品、标志与发明知识产权保护制度体系,通过研究其存在问题和分析论证提出人工智能生成物知识产权保护制度体系建设的对策建议。
1 知识产权制度与创新激励
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知识产权制度的理论基础包括创新理论、制度理论、产权理论和激励理论,其中创新激励理论是核心。创新的原义为更新和变化,但随着科技的快速发展,中国语境下的创新不仅仅是发明的商业化和各种要素的新组合,而是包括体制机制创新、科技创新、管理创新、文化创新、理论创新以及方法创新等的全面创新。制度通过调整社会关系和服务社会需要[18]影响经济效率及经济发展[19]。知识产权制度对创新是一种包括利益机制、资源配置机制、激励机制、动力机制、保护机制等在内的机制体系[20],能够通过合法权利的界定提高资源配置的效率,实现社会福利最大化。知识产权为创新活动主体提供了获得财产的权利方式[21],在经济学意义上是鼓励和规制创新活动的制度供给[20],各国知识产权立法均以保护权利人权益、激励科技创新、平衡公私利益为目标。《中华人民共和国著作权法》以保障作者权益激励内容生产创作[6];《中华人民共和国商标法》以商标专用权保护保障消费者和生产、经营者的利益,进而促进社会经济与创新发展[22];《中华人民共和国专利法》通过有限技术垄断权换取技术公开以激励发明创新与科技进步[11]。
赋予人工智能生成物知识产权能够激励各主体对于人工智能的投资、研究开发、交易和使用,既能激发人工智能科技创新,加快推动形成强人工智能和超人工智能,也能激发人工智能创造出更多更高水平的作品、标志和完成更多更有价值的发明创造。相反,不给予人工智能生成物知识产权保护则会降低人工智能研发投入和资本投资的动力,降低人工智能的交易和运用。
在全面创新时代,需要面向未来人工智能技术的快速发展充分发挥知识产权制度激励创新的作用,本文构建了包括主体资格制度、客体范围制度、获取标准制度、权利归属制度、实施运用制度、合理规制制度的人工智能生成作品、标志与发明知识产权保护制度体系,如图1所示。
2 激励创新与利益平衡的人工智能生成物知识产权制度规则建构
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2.1 人工智能生成作品、标志与发明知识产权主体资格制度
人工智能生成物知识产权保护争议集中于法律主体资格问题,我国法律主体分为自然人与非自然人两类。理性是自然人法律主体资格的判断标准而拟制是非自然人法律主体资格的判断标准[23]。学界普遍否定AI法律主体资格主要因为其实质上缺少权利义务能力及思考、道德观念、情感和欲望等自然人特性。
从历史来看,科学家早在1999年就利用从水蛭中提取的神经元制作出计算机,当神经元相互连接和交互时能够显示其潜在的知觉能力[17]。2016年欧盟法律事务委员会建议赋予先进自动化机器人“电子人”身份,并给予其“特定的权利和义务”。2017年人工智能Sophia获得沙特公民身份,与其他沙特自然人一样,享有公民的政治、社会和民事权利。随着人工智能技术的快速发展,其智慧以及能力甚至会超越人类,在神经元及智脑构造上会趋于生物化,使其工作和服务更加智能化和人性化[24],科技发展正深刻重塑社会形态与法律体系,因此,从现实意义出发,考虑技术发展,赋予人工智能法律主体资格成为必然考虑的问题。
从立法目的来看,激励创新是知识产权制度的价值取向之一[25]。知识产权制度通过权利界定激励人们进行创新,从而推动社会生产力的发展。将人工智能纳入法律主体范围符合立法精神,不应因其非自然人身份而否定其生成作品、标志与发明在客观上符合知识产权客体条件的可能性。直接以人工智能非自然人否定激励制度存在较大的局限性和片面性,尽管AI无法直接受到激励,但是赋权能够对投资者、研究开发者、使用者等自然人产生显著的激励作用,如激励投资者投入更多的研究开发资金,从而产出更多的新技术、新算法、新模型、新产品等;激励使用者产生更多更高质量的创作和发明,增加社会知识财富的总量;还能够引导社会资本投入更多的资金购买和使用人工智能,从而将人们从繁重的体力劳动和智力劳动中解放出来,推动数字化转型和新质生产力发展。政府可以通过调节财富分配,给予数据提供者更高的回报来激励其提供更多高质量的数据,从而促进人工智能良性发展。
目前,美国版权局从主体资格上拒绝《黎明里的扎里娅》与《通向天堂之近路》著作权申请登记;美国、欧盟、德国等国专利局驳回人工智能专利申请,主要原因在于这些机构只能严格根据法律进行判断,而法律体系应当随着人工智能的不断发展而调整,以适应新的技术环境。因此,随着科技和法律制度的发展,未来应当给予人工智能生成作品、标志与发明创造知识产权保护,使其具有法律主体资格。
从法律主体的二元结构来看,人工智能完全可以按照非自然人的主体标准获得法律主体资格,这不仅能满足社会需求、激励科技创新,还能规范人工智能迅速发展所带来的问题,通过相应的条款和制度规定保证社会利益平衡、权利行使及义务履行,避免资源垄断、市场扭曲及知识产权滥用问题。因此需要改革现有知识产权制度,在有关法律中增加条款,明确人工智能作为知识产权保护主体的资格,使其能够成为作品完成者、标志设计者及发明创造的发明者,以更好地促进社会进步和科技创新。
2.2 人工智能生成作品、标志与发明知识产权客体范围制度
我国知识产权法虽然没有明确规定将AI生成作品、标志与发明列入知识产权保护客体范围之中,但也没有明确规定将AI生成作品、标志与发明排除在外。
著作权是基于作品的创作行为而产生的权利,《中华人民共和国著作权法》规定的作品是以一定形式创作的文学、艺术和自然科学、社会科学、工程技术等作品,《中华人民共和国著作权法实施条例》规定著作权法所称作品是指文学、艺术和科学领域内具有独创性并能以某种有形形式复制的智力成果。独创性即独立创作并有创意性劳动付出,智力成果主要体现为自然人的活动。“独创性”是自然人的基本特征,其实人工智能完成的作品也具有独立性的可能,人工智能主要由神经网络与相关算法构成,其创作的作品是自然人输入的关键词、参数经过复杂的神经网络算法产出的,同样的输入产生的结果不同,不同模型产生的结果也不同,其创作的作品是否具备独创性与自然人输入的关键词、参数不能直接画等号,而且自然人也是根据其学习过的知识或一定要求的知识输入才能创作出作品的。
《中华人民共和国商标法》采用正面定义与反面排除方式规定客体范围,在第八条和第九条规定了能够区分商品与服务来源、具有显著性并且不与他人在先取得的合法权利相冲突的标志即可作为商标注册申请,在第十、十一、十二条规定了不得作为商标使用和不得作为商标注册的情况。而人工智能生成标志显然可以达到上述规定,因此人工智能生成标志申请商标保护实际上是符合法律规定的。
《中华人民共和国专利法》第二十五条排除了“智力活动的规则和方法”这类与人工智能联系最紧密的客体。人工智能生成的发明创造并不必然属于智力活动的规则和方法,只要人工智能生成的发明创造是由技术特征构成的技术方案,能够解决该领域的技术问题,使用了相应的技术手段,并具有优点和积极效果,就不能被排除在专利法保护的客体之外,就应受到专利法的保护[26]。知识产权的保护客体范围也是在不断改变的[13]。据文献报道,近年来人工智能智力提高很快,随着强人工智能和超人工智能技术到来,人工智能生成的发明创造实际是符合可专利性条件的。
因此,应根据人工智能技术的发展和需要,实时修改著作权法、商标法、专利法、反不正当竞争法及其实施细则或出台相应规定,将人工智能生成作品、标志与发明创造列入知识产权保护客体范围。
2.3 人工智能生成作品、标志与发明知识产权获取标准制度
我国人工智能生成作品、标志侵权案件中,法院认为自然人通过指令与文字输入控制AI完成作品、标志,最终表现形式体现了创作者的个性化表达,设计过程体现了原告的审美选择和个性判断,具备独创性,因此受著作权保护。但美国版权局认为多次输入指令并不能体现独创性和智力投入,不应给予著作权保护。尽管我国著作权法未明确独创性标准,但多数司法案例认为作品应具备最低独创性,即自然人需付出一定创意性劳动,达到一定的创新性,而简单输入指令或者参数选择无法满足这一要求,因此一些人工智能生成作品侵权案司法判决理由存疑。
在专利领域,人工智能生成发明常因“发明人非自然人”被驳回,但德国联邦最高法院允许在专利文件中描述人工智能在发明生成过程中的作用。与常规的“三性”审查有所不同,人工智能生成的发明创造所具备的新颖性与算法紧密相关,随着技术发展,人工智能可通过不断学习使其生成的发明创造满足专利的新颖性要求。在创造性方面,现行标准“非显而易见性”主要基于“本领域普通技术人员”的判断,但人工智能所运用的技术知识不限领域,呈现出数量大、范围广的特点,已对现行专利审查制度提出了挑战。
现有法律要求知识产权保护对象应体现人的主观能动性,并具备一定创新性。但从技术发展角度来看,未来强人工智能和超人工智能技术背景下,人工智能很可能具备甚至超越人类智力,其生成物在外观和实质上与人类智力成果无明显区别。尽管人工智能生成物缺少人类的主观能动性,但其生成过程仍然无法完全摆脱人类干预。设计者预设的数据取舍价值标准是人类意志的间接反映[5],而不断改进的神经网络模型和算法同样体现了人类意志。目前人工智能仍需人类输入信息,可将人类意志划归前端信息处理阶段,并对前端自然人主观能动性做出限制,因为简单的文字指令所体现的主观能动性标准显然无法满足法律规定,并要独立审查最终成果的新颖性与创造性。在未来的超人工智能时代,人工智能可能无需人类输入信息,而是自动获取信息,其高度发达的神经网络系统近似于人脑,其生成物可能满足独立性标准也满足了智力成果标准,其发明创造也将满足专利“三性”标准,应当获得知识产权保护。
本文认为,应明确不能排除人工智能生成物受到知识产权保护,当前技术条件下,可适当放宽对人类主观能动性的要求,承认“部分体现”;在强人工智能和超人工智能时代,可认定人工智能生成物为独立智力成果,区别人工智能生成作品、标志与人类智力成果。此外,应改革专利“三性”审查标准,借助人工智能辅助审查技术,避免人工智能通过大量信息简单排列组合规避审查标准。同时,审查范围应扩展至所有技术领域,制定更高标准的“本领域普通技术人员”判断标准,并根据人工智能技术的发展不断完善,以适应未来的科技进步。
2.4 人工智能生成作品、标志与发明知识产权权利归属制度
目前有关人工智能生成作品、标志与发明知识产权归属主要有两种意见。一种是将人工智能生成作品、标志与发明当作公共财产放入公有领域供人们使用[13],一种是将知识产权分配给人工智能相关的自然人。
如果将人工智能生成作品、标志与发明放入公有领域,虽然可以防止人工知识产权垄断甚至滥用问题,但人工智能领域的科技创新和投资则很难得到长期有效的激励,这并不是一个较优的制度安排。近年来,虽然人工智能领域大模型和算法层出不穷,但主要是各国政府和企业不断研发投入的结果,由于人工智能领域知识产权权利归属制度不明确,人工智能技术的投资出现较大幅度波动甚至下降。
人工智能生成物涉及的权利问题需厘清两点:一是所有权归属,二是署名权行使主体。目前学术界和实务界存在的突出问题是人工智能生成作品、标志和发明的知识产权应当归属于哪一类主体未得出一致看法。专利局和法院认为人工智能不是自然人,无法作为权利人,不能像自然人一样进行权利的转让,这属于狭隘理解知识产权法律规定,完全可以进行制度构建和完善解决归属问题。本文认为人工智能生成作品、标志与发明的知识产权归属应遵循合同原则,人工智能创造者、拥有者、使用者及投资者可以根据合同约定明确人工智能生成作品、标志与发明的知识产权的归属,如果投资者投入较高的研究开发经费,拥有者支付了较高的购买成本,使用者支付了较高的租金,则可以获得人工智能生成作品、标志与发明的知识产权,如果支付的成本费用较低则可以由对方获取知识产权。当然也可以由合同约定各方共有生成作品、标志与发明的知识产权,如果没有约定的则知识产权应当归属于使用者。
为激励人工智能科技创新和促进利益平衡,可以参照职务发明权利归属制度设计,建立“创作者—权利人”相分离的“二元主体结构”,即人工智能作为作者、设计者和发明者,但是知识产权所有权及权利行使、义务履行则归自然人或法人单位,人工智能生成作品、标志与发明知识产权的权利归属应以合同约定为主,如果没有约定的则应归使用人工智能使用者。
2.5 人工智能生成作品、标志与发明知识产权实施运用制度
实施运用制度是知识产权制度的基本制度之一,知识产权的实施运用是实现科技创新价值的重要方式[27],知识产权实施运用需要政府通过法律、政策和其他措施进行自上而下的规制和指导,也需要知识产权运营机构通过参与商业化、产业化等市场行为形成有效运营模式。人工智能生成物知识产权实施运用制度主要包括公益性许可制度和优惠实施运用制度。
由于人工智能生成作品、标志与发明知识产权具有特殊性和一定公共性,使用人工智能会大大提高创作作品、标志与发明的效率,但也会造成大量人工智能作品、标志与发明在市场上流通,容易引发市场混乱,因此应当与自然人创作作品、设计标志与发明创造相区别,人工智能生成物的知识产权实施运用制度应当坚持一定的公益性。
本文认为,可参照最高人民法院《关于审理专利侵权案件若干司法问题的解释(二)》制定公益性和优惠实施运用规则。应规定人工智能生成作品、标志与发明的知识产权不能禁止许可,权利人拒绝许可人工智能生成作品、标志与发明的知识产权的,法院应不予支持,当然被许可人以作品、标志与发明的知识产权是人工智能生成的而拒绝支付许可费的,法院也应不予支持。应规定利用财政性资金设立的项目形成的利用人工智能生成作品、标志与发明的知识产权应当实行公益性许可和优惠许可。应制定人工智能生成作品、标志与发明的许可费限制性规定,在合理区间内由许可双方进行协商。应制定引导人工智能生成作品、标志与发明优先对中小企业进行许可、优惠许可、免费许可、捐赠的资金补助政策。
2.6 人工智能生成作品、标志与发明知识产权有效规制制度
人工智能生成作品、标志与发明知识产权有效规制制度主要包括诚实信用制度、利益平衡制度和反知识产权滥用制度。有关部门可以对这些行为进行审查并根据实际情况作出知识产权强制许可或知识产权无效决定等处罚决定。
诚实信用原则强调主体行为的善意基础。尊重他人利益需求,对利益进行充分合理的再分配[28],是市场经济活动中的道德准则。诚实信用原则在专利法、商标法中都有规定,主要是指针对知识产权非正常申请行为的规制。人工智能生成作品、标志与发明的非正常申请行为主要指不以保护创新为目的的专利申请行为、作品或计算机软件著作权登记行为和不以实施为目的的商标申请行为,将人工智能生成作品、标志与发明纳入知识产权保护范围可能会造成大量低质量人工智能生成物得到知识产权保护,这既加重了审查人员的工作量,也会助长AI生成物知识产权保护等投机行为。这就需要在相应法律法规中明确由人工智能通过简单信息组合生成的作品、标志和发明不符合诚实信用原则,其知识产权不符合法定授予条件。
借鉴美国做法,人工智能生成图像除非公开使用否则不能作为商标和外观设计在先使用的证据。在知识产权高质量发展政策中明确将利用人工智能进行简单信息组合的作品、标志和发明知识产权纳入非正常申请范围。还需要制定运用人工智能技术开展知识产权申请登记的规则,对非正常申请登记行为进行识别。
知识产权法中的利益平衡原则强调的是权利义务平衡和知识产权私权与公共利益的平衡。人工智能自身具有的工具属性使得作品、标志与发明在一定程度上降低了产生的门槛,由此带来的大量生产问题不仅影响社会公平与利益,同时也与知识产权作为财产权应具有的稀缺属性相违背[29],这将引起严重的不公平现象。为促进利益平衡,需要构建科学的知识产权质量评价指标体系,制定与知识产权质量相适应的不断提高的知识产权收费标准,降低各种资助奖励的干扰。
知识产权滥用主要是指知识产权领域利用市场和优势地位排除和限制竞争行为。为激励创新,应建立反人工智能生成物知识产权滥用制度。应制定强制署名人工智能为作品完成者、标志设计者或发明者的规则,应制定规制故意利用人工智能生成作品、标志与发明申请知识产权保护造成误导的规则,应制定规制利用人工智能生成作品、标志与发明知识产权恶意申请、恶意诉讼等的规则。
3 结论与建议
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本文梳理了国内外有关人工智能生成作品、标志与发明的知识产权研究和司法判例,立足人工智能技术的未来发展,从激励创新角度系统探讨了人工智能生成作品、标志与发明知识产权保护的主体资格、客体范围、获取标准、权利归属、实施运用以及规制等基本问题。并在此基础上构建了人工智能生成物知识产权保护制度体系,结合现存问题的分析与论证,提出完善人工智能生成作品、标志与发明知识产权保护制度体系的对策建议。
随着人工智能技术的快速发展,为了应对新的科学技术和国际竞争的挑战,本文认为有必要建立包括主体资格制度、客体范围制度、获取标准制度、权利归属制度、实施运用制度、有效规制制度的激励创新的人工智能生成作品、标志与发明知识产权保护制度体系。本文提出如下发展对策:面向人工智能技术发展,实时修改和完善人工智能知识产权法律法规政策,明确人工智能可以作为知识产权保护主体,不应因其非自然人身份而否定其生成物在客观上符合知识产权客体条件的可能性,将人工智能生成物列入知识产权保护客体范围,在当前技术条件下适当放宽对人类主观能动性的要求,并改革专利“三性”审查标准以适应未来的科技进步。参照职务发明权利归属制度设计,建立“创作者—权利人”相分离的“二元主体结构”,人工智能生成物的知识产权归属应遵循合同原则,并制定公益性和优惠实施运用规则,加强人工智能领域知识产权保护诚实信用原则、利益平衡原则、反知识产权滥用规制的规定与适用。

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2026年第44卷第3期
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  • 接收时间：2025-02-27
  • 首发时间：2026-10-09
  • 出版时间：2026-03-15
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  • 收稿日期：2025-02-27
  • 修回日期：2025-04-07
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    1 中国科学院科技战略咨询研究院, 北京 100190
    2 中国科学院大学公共政策与管理学院(知识产权学院), 北京 100049

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李竿影(2000-),女,博士研究生, E-mail:。
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