如何分好“奶酪”?基于过程视角的高校科技成果转化收益分配机制研究

How to Divide "Cheese"? Income Distribution Mechanism of University Scientific and Technological Achievements Transformation:Based on the Perspective of Process

高校科技成果转化是知识产权包含的显性知识与科研人员掌握的隐性知识交织转化的过程。通过设计合理的收益分配机制能够激励科研人员的创新性并提高其参与科技成果转化的积极性。然而,现有研究对收益分配过程性认识不足,大多着眼于如何合理划分收益,对收益分配的理解及其机制设计陷入到以偏概全的误区中,理论指导不能覆盖收益分配全过程。此外,尽管现有收益分配机制设计研究为收益分配方式和分配比例选择、技术权益配置等提供了很多理论建议,但是这些研究结论在指导实践时依然存在诸多脱节之处,抑制了收益分配机制的激励效果。为了实现理想的激励效果,需要对高校科技成果转化收益分配全过程的机制抑制因素进行全方位约束。基于此,全文以科技成果转化收益"获取—划分—落实"全过程为主线,遵循"问题分析—机制设计"的逻辑思路,在系统地梳理出造成高校科技成果收益获取与成果价值不符、收益划分不合理、收益落实不到位原因的基础上,构建包含科技成果定价机制、权益配置机制、利益分配机制以及运行保障机制的全过程机制设计框架,并提出相应的理论命题。

The transformation of scientific and technological achievements is the process of intertwined transformation of explicit knowledge contained in intellectual property rights and tacit knowledge mastered by researchers. By designing a reasonable income distribution mechanism, scientific research personnel can be encouraged to innovate and improve their enthusiasm to participate in transforming scientific and technological achievements. After the literature review,the existing research can be categorized into two types. One is concerned about how to formulate a fair and reasonable income distribution scheme. The other is about ensuring the smooth implementation of the income distribution scheme for the transformation of scientific and technological achievements in colleges and universities. There are two kinds of defects in the existing research on distributing scientific and technological achievements. First, the current research on the process of income distribution is not enough, resulting in the existing mechanism design into a misunderstanding, that is, income division as the whole process of the income distribution, theoretical guidance can not cover the entire process of the income distribution. Second, although the literature has provided a lot of theoretical suggestions for selecting income distribution and distribution ratio, how to allocate technical rights, and interests, there are still many disjointed points in guiding practice.In order to fill gaps, this research takes the whole process of transforming income from scientific and technological achievements as the mainline, systematically combs the reasons for the insufficient incentive of the income distribution,and puts forward the idea of mechanism design to strengthen the income distribution’s incentive effect. Specifically, this research divided income distribution into three stages based on the income flow process: acquisition, division, and implementation. After that, this research summarized the problems and restraining factors in the whole income distribution process based on the income distribution process’ s perspective. In the income acquisition stage, unclear pricing criteria, unfair value evaluators, and single-way income acquisition result in the income acquisition price inconsistent with the actual value. In the income division stage, insufficient policy support and unscientific distribution methods cause unreasonable income division outcomes. In the income implementation stage, conflicts of interest and lack of supervision result in an income distribution plan not being implemented.Then, following the logical thinking of "problem analysis-mechanism design", this research proposed a process-based income distribution mechanism for transforming scientific and technological achievements in colleges and universities. At the stage of income acquisition, this research designed a mechanism that includes determining pricing criteria according to the characteristics of scientific research results, determining the way of income acquisition according to scientific research personnel, and introducing the third-party evaluation institutions involving the pricing process. At the income division stage, this research designed the allocation mechanism of rights and interests to the scientific research personnel and the allocation mechanism of benefits to the scientific research personnel--the proportion of distribution according to the whole process’ s contribution. At the stage of income implementation, this research constructed the operational guarantee mechanism by introducing technology transfer institutions into the plan implementation process.Further research can improves the ability of theoretical interpretation of this study by analyzing the process and incentive effect of the income distribution mechanism for the transformation of scientific and technological achievements through empirical methods. At the same time, further research should strengthen the discussion on the dynamic and iterative process of the transformation of scientific and technological achievements, and strengthen the research on the transformation service institutions of scientific and technological achievements. Doing this will help for understanding the income distribution activities from process perspective accurately and guide the practice of transformation of scientific and technological achievements effectively.