• 中国科学学与科技政策研究会
  • 中国科学院科技政策与管理科学研究所
  • 清华大学科学技术与社会研究中心
ISSN 1003-2053 CN 11-1805/G3

科学学研究 ›› 2023, Vol. 41 ›› Issue (4): 679-687.

• 科技管理与知识管理 • 上一篇    下一篇

科研人员职务科技成果赋权的困境与对策研究

张岭1,李怡欢2,李冬冬3   

  1. 1. 西安工程大学管理学院
    2.
    3. 西北工业大学公共政策与管理学院
  • 收稿日期:2021-12-31 修回日期:2022-02-09 出版日期:2023-04-15 发布日期:2023-04-15
  • 通讯作者: 李怡欢
  • 基金资助:
    国家自然科学基金青年项目;陕西省社会科学基金年度项目;教育部人文社会科学研究项目

Research on the dilemma and countermeasures of empowering scientific researchers for job-related technological achievements

  • Received:2021-12-31 Revised:2022-02-09 Online:2023-04-15 Published:2023-04-15

摘要: 赋予科研人员职务科技成果所有权或长期使用权来实施产权激励,对于增强科研人员创新创业动力和提高科技成果转化效率有重要作用,但赋权试点后科研人员职务科技成果转化依旧面临诸多阻碍因素,导致科研人员积极性和职务科技成果转化效率仍不高。在梳理职务科技成果赋权政策实施现状的基础上,分析了赋权后科研人员职务成果转化面临的政策难点与现实困境。研究发现,政策体系顶层设计冲突、转移转化审批程序繁琐、评估定价有风险焦虑、转化收益兑现难和成果转化动力不足是阻碍赋权后科研人员职务科技成果转化的关键因素。基于此,提出了强化政策协同机制、简化职务科技成果确权程序、完善科技成果评估定价机制、健全成果转化收益保障机制、提高成果转化机构和转化人才收益分配比例的对策建议。

Abstract: Empowering scientific researchers the ownership or long-term use right of job-related technological achievements to implement property right incentive plays an important role in enhancing the innovation and entrepreneurship motivation of researchers and improving the transformation efficiency of technological achievements. However, the transformation of technological achievements after empowerment still faces many obstacles, which leads the enthusiasm of researchers and the transformation efficiency of technological achievements is still not high. Based on the reviewing the current situation of the implementation of the empowerment policy on job-related technological achievements, this paper analyzes the policy and transfer difficulties faced by the transformation of job-related technological achievements of scientific researchers after empowerment. It is found that scientific researchers still face the following problems after the implementation of the empowerment policy on job-related technological achievements. First, the top-level design conflict of the policy system. Due to the attribute of state-owned assets of job-related technological achievements, there are policy conflicts in terms of property right ownership, value evaluation and so on. At the same time, the policy system of technological achievement transformation has the problem of poor convergence between top-level design and subdivision policies, which directly affects the effectiveness of policy implementation. Second, cumbersome transfer and transformation approval procedures. Excessive approval procedures and long approval process of state-owned asset management hinder the technological achievement transformation; Third, Job-related technological achievements have the problems of high evaluation complexity, poor evaluation quality and high evaluation cost, scientific researchers' dual "risk anxiety" about the loss of state-owned assets and the occupation of state-owned assets. Fourth, difficulty of realizing transformation income. As it is difficult to evaluate the value of scientific and technological achievement, coupled with the constraints of maintaining and increasing the value of state-owned assets, scientific researchers have practical difficulties and concerns about "difficult to cash" and "afraid of accountability" for the benefits due to the achievements transformation. Fifth, insufficient motivation for achievement transformation. In the process of implementing the pilot policy, the interests of scientific researchers may be overemphasized, while the interests of achievement transformation institutions and talents in the marketization stage of scientific and technological achievements transformation may be ignored. Based on this, this paper puts forward some countermeasures and suggestions. First, strengthen the policy coordination mechanism. By optimizing the top-level design of science and technology policies to enhance policy synergies, perfecting the smooth connection of subject policies and supporting policies, and optimize the communication mechanism and coordination mechanism between relevant management departments of science and technology policies. Second, simplify the process of confirming the right of job-related technological achievements. Optimizing State Property Supervision and improving the independent right of universities and research institutes to transform achievements. Third, perfecting the evaluation and pricing mechanism of technological achievements. Optimizing the evaluation system of scientific and technological achievements, establishing the evaluation model of combining qualitative and quantitative analysis which is more in line with the growth law of scientific and technological achievements market, promoting the marketization of scientific and technological achievements evaluation, and strengthening capacity-building for assessment professionals. Fourth, improving the income guarantee mechanism. Clear the ownership share and income share of job-related technological achievements held by scientific researchers, and establish evaluation system related to the technological achievement transformation in R&D institutions, universities and state-owned enterprises to ensure the implementation of scientific researcher income. Fifth, improving the income distribution proportion of achievement transformation institutions and talents. Promote support willingness and service motivation of transformation institutions and talents by increasing the income distribution ratio.