徐晓阳,李晓轩.成果权属事关科技成果的产出和转化——我国财政资助科技成果权属政策的演进与局限[J].中国科学院院刊,2014,29(5):558-563.

徐晓阳 李晓轩
中国科学院科技政策与管理科学研究所北京100190,xuxiaoyang@casipm.ac.cn
Xu Xiaoyang Li Xiaoxuan
Institute of Policy and Management, Chinese Academy of Sciences, Beijing 100190, China

         科技成果转化，科技成果权属，演进与局限

        technology transfer, technology property rights policy, evolvement and limitations

        文章分析了我国科技成果权属政策的演进过程，总体来看，科技成果权属政策的演进是一个渐进式的权力下放和放开的过程。改革开放后，我国建立起了以国有资产属性为特征的科技成果权属制度，其所有权被授予科研事业单位，处置需遵循严格的审批程序。为促进科技成果转化，2011 年开始在中关村开展科技成果处置和收益权改革试点，800 万元以下科技成果由所在单位自主进行处置，处置结果报财政部备案；科技成果转化收益也由完全上缴中央国库调整为分段按比例留归单位。2014 年，国务院常务会议决定选择在中关村等区域开展部分中央级事业单位使用、处置和收益权的深化改革试点，单位可自主开展科技成果转化活动，主管部门和财政部门不再审批，科技成果转化获得的收益全部留归单位，这是我国科技成果权属关系改革的重大突破。但是，我国的科技成果权属政策还存在大学、科研机构国有事业单位身份所导致的科技成果现实所有人的虚拟化以及科技成果权属中对科研人员实际贡献的体现不足等问题和局限。这是我们科技成果权属关系下一步调整所需要重点关注的。

        The evolvement of technology property rights policies in China was analyzed in this paper. The results indicated that a progressive reform has been taken in the devolution of technology property rights. After the reform and opening up, the technology property rights policies were set up to regulate the administration of the state-owned technologies. Under this system, the ownership of the technology was authorized to universities/institutes, and the disposition of the technology must be examined and approved by the government. To facilitate the technology transfer, pilot reform was conducted in Zhongguancun National Demonstration Zone from 2011. The technology under 8 million could be disposed by universities/institutes without the examination and approval by the government, and part of the earnings could be retained by universities/institutes. However, the universities/ institutes must report to Ministry of Finance in one month after the disposition. In 2014, the State Council executive meeting decided to further deepen the reform. The disposition can be decided and all the earnings can be retained by universities/institutes. As the results, the technology property rights policy in China is literally similar to that in developed countries and regions. However, due to the technology was state-owned and the corresponding managements, the real owner of the technology is virtualized，and the contributions of innovator have not been reflected properly in the property rights of the technology in China, leading to the failure of market in technology transfer and the absence of the incentives for universities/institutes and innovator.