高校职务科技成果转化权利配置研究——基于美国常青藤大学的实证研究

Study on the Power Configuration in the Commercialization Process of On-duty Scientific and Technological Achievements in Universities:An Empirical Study Based on Ivy League University

高校成果转化权利配置方式无疑是最根本的因素,其中处置权和收益权的配置模式又是权利配置中最关键、最核心的要素。如何科学配置高校职务科技成果转化权利,以提升科技成果转化效率一直是学者们研究的热点问题。首先,从理论角度论述当高校拥有自主处置和收益权之后,其内部应该如何配置科技成果转化权利,以提升成果转化绩效,并据此提出3个研究假设;其次,以美国常春藤大学的科技成果转化权利配置为实证案例,基于对美国大学成果转化权利配置方式的发现来分析并验证3个研究假设的有效性;结果发现,学校委托专业成果转化团队主导处置成果,能降低成果转化中信息、谈判、契约等交易成本,有利于提高成果转化效率;发明人及团队参与成果转化处置,能降低成果转化中信息交易成本,有利于提高成果转化效率;高校在学校、学院(系)、发明人及团队、专业成果转化团队间建立激励兼容的收益共享模式,能以利益为纽带将4个利益相关者连接起来,各司其职,共同致力于提高成果转化效率。

The allocation of rights of transformation of S＆T achievements in universities is undoubtedly the most fundamental factor, in which the disposition fights and the profit fight are the most critical and the most impor- tant elements in the allocation of fights. How to allocate the fight of S＆T achievements in colleges and universi- ties scientifically to enhance the efficiency of the transformation has been a hot topic for scholars to study. First of all, it discusses how to allocate the right of S＆T achievements in order to improve the performance of the results, and then put forward three research hypotheses. Then analyzes the validity of the three research hypotheses based on the discovery of the allocation of the results of the conversion of S＆T achievements of the American Ivy League. The results show that school commissioned by the professional results of the transformation team led the results of disposal, can reduce the results of the transformation of information, negotiations, contracts and other transaction costs, and is conducive to improving the efficiency of the results. Inventors and teams involved in the results of transformation and disposition can reduce the cost of information conversion in the transaction and conducive to improving the efficiency of the results. Schools, inventors and teams, professional achievements into the team to establish incentive-compatible revenue sharing model, by the link of four stakeholders, perform their duties, work together to improve the efficiency of the results of conversion.