职务科技成果权属改革全方位法规体系协调研究  

Coordination of Comprehensive Legal System for Ownership Reform of Post-Related Scientific and Technological Achievements

作　　者：张栋 薛澜[2,3] 梁正[2,3] 刘鑫[4] Zhang Dong;Xue Lan;Liang Zheng;Liu Xin(School of Intellectual Property,Nanjing University of Science&Technology,Nanjing 210094,China;China Institute for Science and Technology Policy,Tsinghua University,Beijing 100084,China;School of Public Policy&Management,Tsinghua University,Beijing 100084,China;School of Public Administration,Southwest Jiaotong University,Chengdu 610031,China)

机构地区：[1]南京理工大学知识产权学院,江苏南京210094 [2]清华大学中国科技政策研究中心,北京100084 [3]清华大学公共管理学院,北京100084 [4]西南交通大学公共管理学院,四川成都610031

出　　处：《科技进步与对策》2024年第15期1-11,共11页Science & Technology Progress and Policy

基　　金：国家自然科学基金面上项目(71774097);国家自然科学基金重点国际合作研究项目(71810107004);马克思理论研究和建设工程重大项目(2023MZD010);科技创新2030重大项目(2020AAA0105300);中国科学院学部院士咨询评议重点项目(2022-JS01-B-002)。

摘　　要：职务科技成果权属改革需要法规体系的协调支持。现行法规体系缺乏顶层设计统筹,一方面提倡赋能,一方面仍存在制约赋权的关键障碍;知识产权法、科技法、资产管理法等规定纷杂交错且多头冲突,对成果依法赋权与权能利用造成不利影响;职务成果混合所有制、非资产化管理等权属赋能改革存在合法性困难。各地方改革探索从1.0版向2.0版深化发展,试图解决供应端、管理端、服务端、应用端的全要素赋能难题。结合试点改革经验,分析当前法规适应现实发展、政策需要的不足;分析科技成果的内涵类型、法律权能、权利取得与资产管理制度,面向科技成果创造到转化运用全周期,探究科技成果客体权属、主体所需权能与其不协调问题,剖析制约创新与转化的因素根由、对策机理、权能匹配方案。指出上游供应端、中游管理服务端、下游应用端的改革重点;提出构建多主体收益兼容的期权激励、处置与收益分管的相容举措,提升重要环节主体能动性;建议夯实职务科技成果的法律权利基础,明确权属改革依据;针对不敢转、无能转、没动力转和创新质量不足、市场条件不对接等现实障碍,提出增强基础研究权益激励、培育高质量创新、引导科技成果弹性定价、优化国有无形资产管理方式、强化权责利益匹配协同等制度对策,探索构建统一的职务科技成果法规,保障职务科技成果权能发挥长周期作用。The level of scientific and technological achievement transformation in China is relatively low,and research shows that in recent years,relevant reforms have not effectively improved the efficiency of scientific and technological achievement transformation in state-owned institutions.The ownership reform of post-related scientific and technological achievements needs a pluralistic mechanism complex to deal with shackles in multiple fields of creation and application,such as the weakness of motivation for scientific researchers,the lack of rights for competent people to transfer,the fear of managers to dispose of assets,the deficiency of good achievements in the upstream,and the lack of conditions for downstream transformation.There is a lack of top-level design and coordination in the current legal system.On the one hand,it advocates empowerment,and on the other hand,there are still key obstacles restricting empowerment.Some provisions in intellectual property law,science and technology law,and state-owned asset management law conflict with one another,which have negative impacts on the empowerment and utilization of post-related scientific and technological achievements.There are undergone reforms in many regions with the aim to solve problems of all-factor empowerment on the supply side,management side,service side and application side.However,there is controversy over the legality of various exploratory methods such as mixed ownership and non-state-owned asset management,and thus there is an urgent need to establish a standardized model and explore systematic implementation methods.According to the experiences of pilot reforms,this paper studies the inadequacies of current laws and regulations in adapting to realistic development and policy needs.It makes an analysis of the connotation and types of scientific and technological achievements,legal provisions of power and ownership,rights acquisition and asset management systems.Facing the whole chain from creation to transformation and application,this paper stu

关 键 词：职务科技成果 科技创新 成果转化 全周期要素 权属改革赋能 法规体系协调 

分 类 号：F204[经济管理—国民经济]