横向结余经费投资成果转化的治理机制研究

Research on the governance mechanism of industry research fund balances to invest in the transformation of scientific and technological achievements

横向科研结余经费投资科技成果转化是改革试点的新方向,对提升科技成果转化成功率和盘活存量资金有重要意义,但试点任务的实施仍面临高校横向科研经费管理的制度性障碍。本文基于产权理论,剖析了高校横向科研经费的权利配置问题,并提出横向科研结余经费投资科技成果转化的治理机制。研究发现,项目执行过程中赋予教师经费的使用权源于隐性知识的存在;项目结题后,作为执行人的教师享有结余的剩余索取权,因此应赋予其部分经费的所有权;基于此,提出了“剩余索取权分配→资金池专业化管理→内部结转投资”的治理机制,将有助于引导教师利用横向科研结余经费投资科技成果转化,深化并加速产学研“三螺旋”关系的内循环。

The investment of fundbalances for industry scientific research in the transformation of scientific and technological achievements is a new direction of the reform pilot in China,which is of great significance to improve the success rate of the transformation of scientific and technological achievements and revitalize the existing capital resources.However,the implementation of the pilot task still faces institutional obstacles to the management of industry scientific research funds in colleges and universities.In China,colleges and universities are not allowed to invest in enterprises in cash,but are only allowed to invest in scientific and technological achievements.Therefore,policy design is restricted by the"upper law".How to carry out institutional innovation in the"policy red line"is the key to the implementation of the reform pilot task.Based on the theory of property rights,this paper analyzes the right allocation of horizontal scientific research funds in Colleges and universities,and puts forward a governance mechanism for the industry scientific research balances to invest in the transformation of scientific and technological achievements.The study found that the right to use and dispose of the funds given to teachers in the process of project implementation stems from the existence of tacit knowledge;and after the project is concluded,the teachers who are the executors enjoy the residual claims of the balances,so they should be given the ownership of part of the funds;at the same time,the article also finds that there are still many deficiencies in the industry scientific research fund management system of Chinese universities.Based on this,the governance mechanism of"the allocation of the residual claims→the professional management of the capital pool→the internal carry-over investment"is proposed.For the first step,the balance of industry scientific research funds should be allocated in proportion,and the teachers'part should be accrued to the teachers'performance salary account.For the second step,teachers should be guided to invest the industry scientific research funds balances into the special fund pool,and entrust professional institutions to manage them and undertake the function of venture capital.For the last step,teachers should be allowed to use the industry scientific research funds balances in the pool to subscribe for the technical equity obtained from the pricing of some achievements held by colleges and universities,and settle accounts within colleges and universities.The research results of this paper have found the potential"discretionary space"for local governments and universities to make institutional innovation under the constraints of the"upper level law".This mechanism will help guide teachers to use the industry scientific research funds balances to invest in the transformation of scientific and technological achievements,thusdeepen and accelerate the internal circulation of the"three-helix"relationship of I-U-R collaboration.