高校职务科技成果作价入股转化的实现路径与完善对策

Realization Path and ImproveCountermeasures of the Transformation of Job-based Scientific and Technological Achievements in Colleges and Universities by Priced as a Shareholder

摘要:

针对我国高校科技成果转化主要以转让或许可方式进行，导致成果实际价值被严重低估的现状，分析科技成果作价入股对提升高校科研人员参与科技成果转化积极性、提高科技成果转化效率和收益的激励作用，在梳理国家和地方层面出台的科技成果转化相关激励政策的基础上，总结得出目前我国高校科技成果作价入股普遍采用“先投后奖”和“先奖后投”两种模式，并分别以上海理工大学的“太赫兹”项目以及景德镇陶瓷大学的“陶瓷膜”专利技术作价投资作为典型案例，分析两种模式下高校科技成果作价入股转化实操中存在的问题，即“先投后奖”模式下成果完成人（团队）现金奖励机制、资产管理公司自主经营决策机制不够完善，“先奖后投”模式下成果的所有权分割机制、转化对象遴选机制和成果完成人（团队）内部收益分配机制够不完善，进一步针对完善上述机制提出具体对策思路和建议，为推动创新和优化高校科技成果转化体制机制提供参考。

Abstract:

Aiming at the situation that the actual value of the achievements is seriously underestimated due to the fact that the transformation of science and technology achievements is mainly carried out by transfer or permission, it is analyzed that the pricing of science and technology achievements as a share has an incentive effect on increasing the enthusiasm of university scientific research personnel to participate in the transformation of science and technology achievements and improving the efficiency and profit of the transformation. Based on the review of the national and local incentive policies for the transformation of scientific and technological achievements, it is concluded that the two modes of "investment before award" and "award after investment" are generally adopted in the pricing of scientific and technological achievements in Chinese universities. The "Terahertz" project of University of Shanghai for Science and Technology and the "ceramic film" patent technology investment of Jingdezhen Ceramic University are taken as typical cases respectively. This paper analyzes the problems existing in the practical operation of the conversion of scientific and technological achievements into shares under the two modes, that is, the cash reward mechanism for the achievement finisher (team) and the independent operation and decision-making mechanism of asset management company are not perfect under the mode of "investment first and award later". Under the mode of "prize first and investment later", the ownership division mechanism of achievements, the selection mechanism of transformed objects and the internal income distribution mechanism of the completed person (team) are not perfect enough. Further, specific countermeasures and suggestions are put forward to improve the above mechanism, so as to provide reference for promoting innovation and optimizing the system and mechanism of scientific and technological achievements transformation in colleges and universities.