赋权改革背景下职务科技成果共同所有权的行使逻辑

The Exercise Logic of Co-ownership of Job-based Scientific and Technological Achievements in the Context of the Empowerment Reform

赋予科研人员职务科技成果所有权的改革举措,开辟了促进科技成果转化的新路径。赋权之后职务科技成果共有权如何行使,成为当前学界和实务界关注的焦点。总结我国职务科技成果赋权共有在权源、主体、客体、程序等方面的特殊性,阐释职务科技成果共有权的规范行使要求,强调职务科技成果共同所有权行使目标的协调,进而揭示职务科技成果共同所有权行使的典型风险。研究发现:事前的风险防范需优化权属自治,引导科研人员和单位在赋权协议标准条款的基础上进行更加充分与细致的协商;事中的风险防范需加强动态管理,建立沟通交流渠道以促进协同防范;事后的风险防范需厘清各方主体的责任,落实风险共担以回应权责利的统一。

The job-based S&T achievements account for the vast majority of the total S&T achievements,and their transformation and implementation are of great significance to economic and social development both in China and overseas.The reform measure to endow scientific research personnel with the ownership of scientific and technological achievements is to stimulate the enthusiasm of scientific research personnel for innovation and entrepreneurship through the way of property right incentive,and it opens up a new path to promote the transformation of S&T achievements.However,the co-ownership of the job-based S&T achievements achieved through the empowerment has its particularity in the source of rights,subject,object and procedure.In the early stage,the academic and practical circles have conducted in-depth discussions on the ownership of S&T achievements,the theoretical basis for empowering scientific research personnel the ownership of job-based S&T achievements and so on.However,with the pilot advancement of empowerment reform,the focus is further shifted to the issue of how to exercise the co-ownership of job-based S&T achievements after empowerment.This paper attempts to explore this issue,and systematically discusses coordinate the rights and responsibilities between researchers and units,design the agreed contents under the constraint of legal rules,and how to prevent the risks related to the exercise of rights.This paper takes the empowered co-ownership of job-based S&T achievements as the research object,investigates its static connotation representation and dynamic exercise requirements,demonstrates the value of shared rights between researchers and units from the perspective of path expansion,and emphasizes the coordination scheme of multiple objectives under the established path and the solutions to relevant risk problems and break down the mechanism obstacles that restrict the transformation of S&T achievements.The results show that the special acquisition of co-ownership of job-based S&T achievements is mainly manifested in four aspects:the source of right is based on the existing unit’s separate ownership,the object is related to the specific job-based S&T achievements,the subject starts from the transformation path selection of scientific research personnel,and the procedure is based on meeting the necessary process conditions.The standardized exercise of the co-ownership of job-based S&T achievements requires the joint exercise of scientific research personnel and the unit,the independent exercise of the co-owner,the classified exercise according to the forms of different S&T achievements,and the coordinated exercise within and outside the unit.In the process of exercise of rights,it is essential to pay attention to the balance of the relationship between the unit and scientific research personnel,the relationship between the R&D and the transformation,the relationship between the transformation of S&T achievements and the management of state-owned assets,and the relationship between S&T development and S&T security.At the same time,it is necessary to refine and improve the ownership autonomy rules of scientific research personnel and the unit to prevent risks such as the elimination of co-ownership caused by the difficulty of maintaining the co-ownership relationship,the recovery of rights caused by improper behavior after the empowerment,the formalistic evaluation of S&T achievements before market pricing,and the rejection of the entry of undertaking enterprises to the unit’s investment.From the dual perspective of ontology and operation theory,this paper examines the goal pursuit and realization process of the empowerment co-ownership,which is a relatively holistic research on the empowerment of job-based S&T achievements,and complements the research on the ownership identification of job-based S&T achievements and the way selection,participation process,influencing factors and performance evaluation of the transformation of S&T achievements.It also has enlightening significance for the construction of the corresponding theoretical system.Although the co-ownership model of job-based S&T achievements also has its own shortcomings,in the context of the pilot empowerment reform,it is necessary to explore this model from the perspective of multi-path selection that is conducive to the transformation of S&T achievements,to estimate the relevant problems in the co-ownership path,and clarify the exercise logic of co-ownership of job-based S&T achievements,so as to jointly promote the smoothness and efficiency of the new path for the transformation of S&T achievements.The research results of this paper can provide guidance for researchers to participate in the path selection of achievement transformation activities.