职务科技成果“赋权”改革的实证分析及思考  

The Empirical Analysis and Reflection on the Reform of Achievements in Job Science and Technology by Means of Empowerment

作　　者：唐素琴 魏旭丹 Tang Suqin;Wei Xudan(University of Chinese Academy of Sciences,School of Intellectual Property/School of Public Policy and Management,Beijing 100190,China)

机构地区：[1]中国科学院大学知识产权学院/公共政策与管理学院,北京100190

出　　处：《科技与法律（中英文）》2024年第3期57-67,共11页Science Technology and Law（Chinese-English Version）

基　　金：2023年中国科学院知识产权法律咨询与服务平台项目(E0E92101Z2)子课题“中国科学院‘赋权’试点实施状况的考察及研究”;2019年中国科学院科技服务网络计划支持项目“职务科技成果政策研究和试点方案”(Y92901BEA2)。

摘　　要：2020年5月,科技部等九部委颁布了《赋予科研人员职务科技成果所有权或长期使用权试点实施方案》,同年10月在全国确定了40家单位进行为期三年的赋权试点。文章通过梳理赋权起源、发展历程和初步成效,揭示了赋权制度是促进科技成果转化的重要激励手段。在赋权试点期间,全国各地的赋权实践蓬勃开展。文章在归纳科技部组织试点单位经验交流的基础上,对中国科学院2019年赋权和2023年赋权实施前后两次赋权专题调研的结果对比,并从实证角度对包括受访者对实施赋权的态度变化、赋权对科技成果转化的影响、赋权制度实施后可能存在的国资监管等风险、知识产权价值评估等问题进行了深入分析,提出推行赋权需要加强政策与法律的有效衔接,鼓励事前评估并加强事后监管,完善尽职免责机制,明确赋权比例等建议。In May 2020,the Ministry of Science and Technology and another nine ministries jointly issued the Pilot Implementation Plan for Empowering Scientific and Technological Achievements Ownership or Long-term Use Right to Scientific Researchers.In October 2020,40 units nationwide were selected to participate in the three-year pilot program of empowerment.By reviewing the origin,development process,and initial results of empowerment,this article reveals that the empowerment system is an important incentive to promote the transfer and transformation of scientific and technological achievements.During the empowerment pilot period,empowerment practices flourished throughout the country.On the basis of summarizing the experience exchange of pilot units organized by the Ministry of Science and Technology,this paper conducted special surveys on the Chinese Academy of Sciences before(2019)and after(2023)the implementation of the empowerment,the results of the two surveys were compared.From the empirical point of view,the article has carried on the thorough analysis to the related question,which includes the change of attitude towards the implementation of empowerment,the impact of empowerment on the transfer and transformation of scientific and technological achievements,the possible risks such as the supervision of state-owned assets after the implementation of the empowerment system,and the valuation of intellectual property rights.In view of the above problems,this paper puts forward the following suggestions,such as enhancing the effective link between relevant policies and laws,improving the prior assessment and supervision after the event,perfecting the mechanism of duty exemption,and clarifying the proportion of empowerment.

关 键 词：赋权 成果共有权 职务科技成果转化 实证分析 

分 类 号：D912.17[政治法律—宪法学与行政法学]