促进科技成果转化的核心要素与激励机制:基于“三项改革”的多案例研究

Core elements and incentive mechanism for promoting the transformation of scientific and technological achievements:A multi-case study based on"Three Reforms"

加快科技成果转化是深入实施创新驱动发展战略,推进经济社会高质量发展以及提升国家综合竞争力的重要内容。本文基于期望理论,运用多案例研究对陕西省科技成果转化“三项改革”(职务科技成果单列管理、技术转移人才评价和职称评定、横向科研项目结余经费出资)试点进行系统性探索。研究发现:陕西省科技成果转化“三项改革”成效显著,为科技成果转化领域改革创新提供了宝贵经验;高位推动是“三项改革”的重要推力;政策供给、组织领导、创新驱动、资源集聚是促进科技成果转化的核心要素;同时需要从核心要素着手,强化个人激励、组织激励和过程激励,提升科技成果转化绩效。在此基础上,提出推进科技成果转化体制机制创新、强化多主体协同、激发科技成果转化活力等政策启示。本文的研究拓宽了科技成果转化影响因素和激励机制的讨论,对提升科技成果转化效能具有现实意义。

Accelerating the transformation of scientific and technological achievements(TSTA)is an important part of implementing the innovation-driven development strategy,promoting the high-quality development of economy and society,and enhancing the comprehensive competitiveness of the country.This paper built an analytical framework based on expectation theory,selected five universities as research samples through field research and in-depth interviews,and used multiple case studies to investigate the pilot project of the"Three Reforms"of TSTA in Shaanxi Province(single-listed management of scientific and technological achievements,evaluation of technology transfer personnel and title evaluation,and funding of horizontal research project balances).The study found that:the"Three Reforms"in Shaanxi Province have achieved remarkable results and provided valuable experience for the reform and innovation in the field of TSTA.The high promotion is an important driving force of the"Three Reforms".Policy supply,organizational leadership,innovation drive and resource gathering are the core elements to accelerate TSTA.Among them,policy supply is the guarantee and leadership of TSTA.Organizational leadership is an important driving force for TSTA.Innovation drive is the key and kernel of TSTA.Resource gathering is an important support and cornerstone for TSTA.In addition,to promote TSTA,we need to start from the core elements,strengthen individual incentive,organizational incentive and process incentive,and enhance the performance of TSTA.Based on the findings of the study,three policy insights are proposed.First,the innovation of the institutional mechanism for TSTA should be promoted.We should strengthen the strategic deployment and top-level design,improve the incentive mechanism for TSTA,and improve the evaluation and assessment system of scientific research achievements and the regulatory mechanism.Secondly,it is necessary to strengthen the synergy between different subjects.We should explore the TSTA in the industry,academia and research collaborative innovation,through government guidance,market mechanisms and other ways,build up the service alliance platform for the results of the transformation,strengthen the synergies between universities,enterprises,research institutions,scientific and technological associations and other subjects,and promote the connection of the whole chain of industry,academia,research and use.Third,we must continue to stimulate TSTA.We should promote the landing of relevant policies with a high level of promotion,focus on the core elements of TSTA,and bring together the synergy of resources.Through incentives,subsidies,rent reductions and other initiatives,we should stimulate the willingness of researchers,enterprises and other relevant subjects to participate in TSTA.This paper has broadened the discussion on the influencing factors and incentive mechanism of TSTA,made up for the inadequacy of the existing research that pays less attention to the common influencing factors of TSTA,enriched the multi-case research results of TSTA at the level of the implementation effect,and laid a theoretical foundation for the subsequent research on TSTA.At the same time,this study has provided a certain reference for the government to further enhance the effectiveness of TSTA.This paper has refined the core elements of TSTA and put forward the systematic enhancement ideas of promoting TSTA,which can help guide the policy makers to fully consider the synergy between the elements and the main body in the design of policies and mechanisms for TSTA,and will also provide a focus point for the promotion of the effectiveness of TSTA.