基于五权分享的科研成果转化创新模式研究
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摘要
在科研成果转化的三权改革模式中,科研人员没有处置权,科研成果处置权归科研单位所有,科研人员与转化中介被动接受科研单位主持的收益分配比例,没有平等参与分配方案制定的权利,权益不能得到保障,创造、处置、转化的积极性不能得到有效发挥,所有权也没有期限界定,导致科研单位处置积极性不足。本研究以产权明晰为分析框架,明晰科研成果的权益及科研成果处置权归属问题,提出五权分享模式和所有权动态归属制度,打破科研单位一方掌握科研成果转化收益分配权,科研成果创造者权益受到不公待遇的格局,由科研人员与科研单位平等协商收益权分享比例,解决三权改革模式中得到改进而未完全得到解决的处置权、收益分配权进一步下移的问题。在三权改革基础上提出了转化权,强调转化权是整个五权分享结构的核心与关键,科研成果转化的核心是转化环节,对转化环节的开放,不能仅限于科研单位与科研人员,需要引入转化中介的积极参与,将转化中介、科研人员和科研单位共同作为转化权的拥有者。同时,在五权分享与平等协商收益分配机制的基础上,进一步建立科技成果转化收益大包干的分配制度,建立科技人员、科研单位与社会主体三方参与的所有权动态归属机制,形成三方主体分步骤介入科技成果处置与转化的竞争格局,有利于激活科技人员、科研机构与社会团体转化科技成果的动能。
China has carried out pilot work on deepening the use,disposal and income management reform of scientific and technological achievements since 2014. The overall design of the reform can be summarized as "three-rights reform ", which clarifies the disposal rights of scientific and technological achievements,income rights and distribution rights,and solves constraints from the government in the process of use,disposal and income management of scientific and technological achievements. Also,it reduces the government's approval process and makes all the earnings belong to scientific research units. In August 2015,the Law on Promoting the Transformation of Scientific Research Achievements further completed a major breakthrough in the three-rights reform of scientific and technological achievements, and moved the disposal rights of scientific and technological achievements,income rights, and distribution rights to research institutions and units. Research institutions and units have the disposal,income and distribution rights of scientific and technological achievements,which greatly enhanced the enthusiasm of scientific research institutions and units as well as scientific research personnel in the creation and transformation of scientific research results. The transfer of the disposal rights of scientific and technological achievements from relevant government functional departments to various scientific research units has reduced the examination and approval links of relevant government functional departments,which is a great progress. This is a major achievement of pilot work of scientific and technological achievements reform. However,the three-rights reform does not provide a good solution to the institutional obstacles existed in distribution of interests within the scientific research units. Under transformation of scientific and technological achievements based on the three-rights system,the scientific and technological personnel have no rights of disposal,and the right of disposition of scientific and technological achievements belongs to scientific research units. This distribution of rights cannot effectively mobilize the enthusiasm of science and technology personnel as creators in handling scientific and technological achievements. Scientific and technological personnel and conversion intermediaries passively accept the proportion of income distribution presided over by scientific research institutes and do not have equal rights to participate in the formulation of distribution plans,and their rights and interests cannot be protected. The enthusiasm for creation,disposal and transformation cannot be fully and efficiently realized which results in insufficient enthusiasm of the ownership of scientific research units.This study takes the clear definition of property rights as the analytical framework,clarifies the rights and interests of scientific and technological achievements and the attribution ofdisposal rights of scientific and technological achievements,proposes a mode of five-rights sharing and dynamical ownership affiliation system,and breaks the scientific research unit's control of income distribution rights during the process of transforming scientific and technological achievements,and creators' rights in unfair treatments. Also,this study proposes that scientific research personnel and scientific research units negotiate the proportion of income sharing rights equally,and solves the shift-down problem of disposal rights and income distribution rights that have been improved and not fully solved in the three-rights reform mode.Also,this study presents the transformation rights based on three-rights reform,emphasizing that transformation rights is the core and key of the whole five-rights sharing structure. The core of the transformation of scientific and technological achievements is the transformation link. The opening-up policy of the transformation link cannot be limited to scientific research units and personnel. It is necessary to introduce the active participation of transformation intermediaries,and set transformation intermediary,scientific research personnel and scientific research units as owners of the transformation rights,and form a benign competition mechanism between the transformation intermediary,scientific research personnel and scientific research units to promote the transformation of scientific and technological achievements into productivity as soon as possible. At the same time,this study puts forward the scientific and technological achievements disposal mechanism of scientific and technological personnel,and scientific research units and social subjects should be established based on the revenue sharing mechanism of five-rights sharing and equal consultation,dynamical ownership affiliation system. Intervene in the disposition and transformation of scientific and technological achievements,form a pattern of competition in scientific and technological achievements disposal and transformation,in favor of activating the scientific and technological personnel,scientific research units and social subjects to realize the initiative of transformation of scientific and technological achievements.
China has carried out pilot work on deepening the use,disposal and income management reform of scientific and technological achievements since 2014. The overall design of the reform can be summarized as "three-rights reform ", which clarifies the disposal rights of scientific and technological achievements,income rights and distribution rights,and solves constraints from the government in the process of use,disposal and income management of scientific and technological achievements. Also,it reduces the government's approval process and makes all the earnings belong to scientific research units. In August 2015,the Law on Promoting the Transformation of Scientific Research Achievements further completed a major breakthrough in the three-rights reform of scientific and technological achievements, and moved the disposal rights of scientific and technological achievements,income rights, and distribution rights to research institutions and units. Research institutions and units have the disposal,income and distribution rights of scientific and technological achievements,which greatly enhanced the enthusiasm of scientific research institutions and units as well as scientific research personnel in the creation and transformation of scientific research results. The transfer of the disposal rights of scientific and technological achievements from relevant government functional departments to various scientific research units has reduced the examination and approval links of relevant government functional departments,which is a great progress. This is a major achievement of pilot work of scientific and technological achievements reform. However,the three-rights reform does not provide a good solution to the institutional obstacles existed in distribution of interests within the scientific research units. Under transformation of scientific and technological achievements based on the three-rights system,the scientific and technological personnel have no rights of disposal,and the right of disposition of scientific and technological achievements belongs to scientific research units. This distribution of rights cannot effectively mobilize the enthusiasm of science and technology personnel as creators in handling scientific and technological achievements. Scientific and technological personnel and conversion intermediaries passively accept the proportion of income distribution presided over by scientific research institutes and do not have equal rights to participate in the formulation of distribution plans,and their rights and interests cannot be protected. The enthusiasm for creation,disposal and transformation cannot be fully and efficiently realized which results in insufficient enthusiasm of the ownership of scientific research units.This study takes the clear definition of property rights as the analytical framework,clarifies the rights and interests of scientific and technological achievements and the attribution ofdisposal rights of scientific and technological achievements,proposes a mode of five-rights sharing and dynamical ownership affiliation system,and breaks the scientific research unit's control of income distribution rights during the process of transforming scientific and technological achievements,and creators' rights in unfair treatments. Also,this study proposes that scientific research personnel and scientific research units negotiate the proportion of income sharing rights equally,and solves the shift-down problem of disposal rights and income distribution rights that have been improved and not fully solved in the three-rights reform mode.Also,this study presents the transformation rights based on three-rights reform,emphasizing that transformation rights is the core and key of the whole five-rights sharing structure. The core of the transformation of scientific and technological achievements is the transformation link. The opening-up policy of the transformation link cannot be limited to scientific research units and personnel. It is necessary to introduce the active participation of transformation intermediaries,and set transformation intermediary,scientific research personnel and scientific research units as owners of the transformation rights,and form a benign competition mechanism between the transformation intermediary,scientific research personnel and scientific research units to promote the transformation of scientific and technological achievements into productivity as soon as possible. At the same time,this study puts forward the scientific and technological achievements disposal mechanism of scientific and technological personnel,and scientific research units and social subjects should be established based on the revenue sharing mechanism of five-rights sharing and equal consultation,dynamical ownership affiliation system. Intervene in the disposition and transformation of scientific and technological achievements,form a pattern of competition in scientific and technological achievements disposal and transformation,in favor of activating the scientific and technological personnel,scientific research units and social subjects to realize the initiative of transformation of scientific and technological achievements.
引文
贺德方,2011,“对科技成果及科技成果转化若干基本概念的辨析与思考”,《中国软科学》,第11期,第1-7页。
董洁、黄付杰,2012,“中国科技成果转化效率及其影响因素研究——基于随机前沿函数的实证分析”,《软科学》,第26(10)期,第15-20页。
仲伟俊、梅姝娥、谢园园,2009,“产学研合作技术创新模式分析”,《中国软科学》,第8期,第174-181页。
刘家树、菅利荣,2010,“科技成果转化效率测度与影响因素分析”,《科技进步与对策》,第27(20)期,第113-116页。
肖仁桥、钱丽、陈忠卫,2012,“中国高技术产业创新效率及其影响因素研究”,《管理科学,》第25(05)期,第85-98页。
余泳泽,2009,“我国高技术产业技术创新效率及其影响因素研究——基于价值链视角下的两阶段分析”,《经济科学》,第4期,第62-74页。
迟宝旭,2005,“国外高校科技成果转化机制及借鉴”,《科技与管理》,第1期,第118-122页。
梅姝娥、仲伟俊,2008,“我国高校科技成果转化障碍因素分析”,《科学学与科学技术管理》,第3期,第22-27页。
孙卫、肖红、原长弘,2006,“美国高校科技成果转化的成功经验及其启示”,《科学管理研究》,第3期,第114-117页。
张胜、郭英远,2015,“中国科技成果产权体制改革历程与展望',《科学学与科学技术管理》,第10期,第3-11页。
宋河发、吴博、吕磊,2016,“促进科研成果转化知识产权实施权制度研究”,《科学学研究》,第9期,第1319-1325页。
郝远,2004,“高校科技成果转化的障碍与途径”,《清华大学教育研究》,第3期,第97-101页。
陈思玲,1998,“加快科技成果转化是科技兴国的当务之急——广州市科技成果转化的现状与对策”,《南方经济》,第5期,第64-65页。
李金惠,2016,“关于高校科研成果转化中成果所有权改革的探索研究”,《现代经济信息》,第15期,第69-70页。
武建龙、于欢欢、王宏起,2016,“面向企业创新创业的政策工具效果研究——来自278家企业的问卷调查”,《科技进步与对策》,第19期,第88-93页。
张铭慎,2017,“如何破除制约入股型科研成果转化的“国资诅咒”——以成都职务科研成果混合所有制改革为例”,《经济体制改革》,第6期,第116-123页。
梁梓萱、何海燕,2017,“科研成果转化创新模式探析”,《中国高校科技》,第2期,第108-110页。
王云峰,2017,“美国加州高校科研成果转化对广州的启示与借鉴”,《探求》,第6期,第36-39页。
乔永忠、朱雪忠、万小丽,2008,“国家财政资助完成的发明创造专利权归属研究”,《科学学研究》,第6期,第1181-1187页。
彭学龙、赵小东,2005,“政府资助研发成果商业化运用的制度激励——美国《拜杜法案》对我国的启示”,《电子知识产权》,第7期,第42-45页。
费艳颖、刘后弟、李永博、高继光,2010,“高校科技成果转化法律保障机制研究”,《学理论》,第12期,第241-243页。
张军荣、袁晓东,2014,“中国“拜杜规则”促进高校专利产出了吗?”,《科学学研究》,第32(12)期,第1859-1866+1887页。
陈迎新、李施奇、周玥,2017,“美国《拜杜法案》介入权改革及其对中国的启示”,《中国科技论坛》,第7期,第169-175页。
何炼红、陈吉灿,2013,“中国版“拜杜法案”的失灵与高校知识产权转化的出路”,《知识产权》,第3期,第84-88页。
李晓秋,2009,“美国《拜杜法案》的重思与变革',《知识产权》,第19(3)期,第90-96页。
谭龙、刘云、侯媛媛,2012,“中国“拜杜法案”体系下高校专利申请增长分析”,《技术经济》,第31(12)期,第1-6页。
骆严、朱雪忠、焦洪涛,2016,“论美国大学与联邦实验室技术转移政策的差异”,《科学学研究》,第34(03)期,第373-379页。
骆严、焦洪涛,2014,“基于ROCCIPI模型的中国'拜杜规则'分析”,《科学学研究》,第32(01)期,第59-65+102页。
张忠国,2014,“央级事业单位科研成果转化权力完全授予试点单位”,科学网,2014-10-16。
Cogr.,1999,"The bayh-Dole Act:A guide to the law and implementing regulations".
Nelson R., 1959,"The simple economics of basic scientific research",Journal of Political Economy, 67(3):297-306.
Baldini N.,2006,"University patenting and licensing activity:A review of the literature",Research evaluation,15(3):197-207.
Leydesdorff L, Meyer M.,2010,"The decline of university patenting and the end of the Bayh-Dole effect",Scientometrics,83(2):355-362.
董洁、黄付杰,2012,“中国科技成果转化效率及其影响因素研究——基于随机前沿函数的实证分析”,《软科学》,第26(10)期,第15-20页。
仲伟俊、梅姝娥、谢园园,2009,“产学研合作技术创新模式分析”,《中国软科学》,第8期,第174-181页。
刘家树、菅利荣,2010,“科技成果转化效率测度与影响因素分析”,《科技进步与对策》,第27(20)期,第113-116页。
肖仁桥、钱丽、陈忠卫,2012,“中国高技术产业创新效率及其影响因素研究”,《管理科学,》第25(05)期,第85-98页。
余泳泽,2009,“我国高技术产业技术创新效率及其影响因素研究——基于价值链视角下的两阶段分析”,《经济科学》,第4期,第62-74页。
迟宝旭,2005,“国外高校科技成果转化机制及借鉴”,《科技与管理》,第1期,第118-122页。
梅姝娥、仲伟俊,2008,“我国高校科技成果转化障碍因素分析”,《科学学与科学技术管理》,第3期,第22-27页。
孙卫、肖红、原长弘,2006,“美国高校科技成果转化的成功经验及其启示”,《科学管理研究》,第3期,第114-117页。
张胜、郭英远,2015,“中国科技成果产权体制改革历程与展望',《科学学与科学技术管理》,第10期,第3-11页。
宋河发、吴博、吕磊,2016,“促进科研成果转化知识产权实施权制度研究”,《科学学研究》,第9期,第1319-1325页。
郝远,2004,“高校科技成果转化的障碍与途径”,《清华大学教育研究》,第3期,第97-101页。
陈思玲,1998,“加快科技成果转化是科技兴国的当务之急——广州市科技成果转化的现状与对策”,《南方经济》,第5期,第64-65页。
李金惠,2016,“关于高校科研成果转化中成果所有权改革的探索研究”,《现代经济信息》,第15期,第69-70页。
武建龙、于欢欢、王宏起,2016,“面向企业创新创业的政策工具效果研究——来自278家企业的问卷调查”,《科技进步与对策》,第19期,第88-93页。
张铭慎,2017,“如何破除制约入股型科研成果转化的“国资诅咒”——以成都职务科研成果混合所有制改革为例”,《经济体制改革》,第6期,第116-123页。
梁梓萱、何海燕,2017,“科研成果转化创新模式探析”,《中国高校科技》,第2期,第108-110页。
王云峰,2017,“美国加州高校科研成果转化对广州的启示与借鉴”,《探求》,第6期,第36-39页。
乔永忠、朱雪忠、万小丽,2008,“国家财政资助完成的发明创造专利权归属研究”,《科学学研究》,第6期,第1181-1187页。
彭学龙、赵小东,2005,“政府资助研发成果商业化运用的制度激励——美国《拜杜法案》对我国的启示”,《电子知识产权》,第7期,第42-45页。
费艳颖、刘后弟、李永博、高继光,2010,“高校科技成果转化法律保障机制研究”,《学理论》,第12期,第241-243页。
张军荣、袁晓东,2014,“中国“拜杜规则”促进高校专利产出了吗?”,《科学学研究》,第32(12)期,第1859-1866+1887页。
陈迎新、李施奇、周玥,2017,“美国《拜杜法案》介入权改革及其对中国的启示”,《中国科技论坛》,第7期,第169-175页。
何炼红、陈吉灿,2013,“中国版“拜杜法案”的失灵与高校知识产权转化的出路”,《知识产权》,第3期,第84-88页。
李晓秋,2009,“美国《拜杜法案》的重思与变革',《知识产权》,第19(3)期,第90-96页。
谭龙、刘云、侯媛媛,2012,“中国“拜杜法案”体系下高校专利申请增长分析”,《技术经济》,第31(12)期,第1-6页。
骆严、朱雪忠、焦洪涛,2016,“论美国大学与联邦实验室技术转移政策的差异”,《科学学研究》,第34(03)期,第373-379页。
骆严、焦洪涛,2014,“基于ROCCIPI模型的中国'拜杜规则'分析”,《科学学研究》,第32(01)期,第59-65+102页。
张忠国,2014,“央级事业单位科研成果转化权力完全授予试点单位”,科学网,2014-10-16。
Cogr.,1999,"The bayh-Dole Act:A guide to the law and implementing regulations".
Nelson R., 1959,"The simple economics of basic scientific research",Journal of Political Economy, 67(3):297-306.
Baldini N.,2006,"University patenting and licensing activity:A review of the literature",Research evaluation,15(3):197-207.
Leydesdorff L, Meyer M.,2010,"The decline of university patenting and the end of the Bayh-Dole effect",Scientometrics,83(2):355-362.
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