| “拜-杜”法案、权利配置创新与大学职务成果转化——以美国常青藤大学为样本的发现 |
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| 引用本文： | 张胜,郭英远,杜垚垚.“拜-杜”法案、权利配置创新与大学职务成果转化——以美国常青藤大学为样本的发现[J].科研管理,2006,41(1):174-183. |
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| 作者姓名： | 张胜 郭英远 杜垚垚 |
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| 作者单位： | 西安交通大学公共政策与管理学院,陕西 西安710049 |
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| 摘 要： | “拜-杜”法案是美国首创、全球广泛扩散的旨在推进大学职务成果转化的制度创新。我国在2002年引进该制度创新,但却未像美国那样取得全球瞩目的制度绩效。本文以美国常青藤大学为样本,研究大学的职务成果权利配置创新,发现“法人优先、发明人劣后”的处置权配置,“大学、技术许可办公室、基层学术单位、教师”四方分配兼容的收益权配置,既实现了该法案的落地、取得巨大的制度创新绩效,又推动大学完成了法人主导、有组织有目标开展创新活动的现代化转型。根据这些研究发现,论文提出了我国大学在法人层面推进职务成果权利配置创新、加快现代化转型的政策启示。
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| 收稿时间： | 2017-03-19 |
Bayh-Dole Act,innovation of right allocation and transformation of job-related technological achievements of university by taking US Ivy Leagues as an example |
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| Zhang Sheng,Guo Yingyuan,Du Yaoyao.Bayh-Dole Act,innovation of right allocation and transformation of job-related technological achievements of university by taking US Ivy Leagues as an example[J].Science Research Management,2006,41(1):174-183. |
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| Authors: | Zhang Sheng Guo Yingyuan Du Yaoyao |
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| Institution: | School of Public Policy and Administration, Xi′an Jiaotong University, Xi′an 710049, Shaanxi, China |
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| Abstract: | Bayh-Dole Act aiming to promote the transferring of university on-duty achievements is an institutional innovation, which was initiated in the US and then spread across the world. The Act encourages universities to build a new right allocation mechanism to speed up the transformation of on-duty achievements in the US, which reshapes the "government-university-industry" relationship and makes universities to be an important engine of national innovation-driven development. China referenced Bayh-Dole Act to promote the innovation right arrangement of on-duty achievements in 2002, but it did not achieve the same innovative performance as the US. Therefore, it is necessary to study the innovation right arrangement of on-duty achievements of universities in US, and to provide knowledge and experience for China to improve innovation right arrangement of on–duty achievements. In this paper, we have select 29 Ivy League universities in the US as research samples to analyze the innovation right arrangement of on–duty achievements. It finds that the disposal right of on-duty achievements that the university has priority over inventors, and the interest compatibility among universities, offices of technology licensing, schools and inventors together, help to transfer achievements, and modernize transformation of university R&D. Specifically, the research results are as follows: (1) The university has set up OTL as the marketing organization, and developed an incentive mechanism linked to the profit right, so as to promote the OTL to accumulate the marketing ability of on–duty achievements. Therefore, the innovation right arrangement of on–duty achievements of "the disposal right of on-duty achievements that the university has priority over inventors" established by Bayh-Dole Act operates effectively. (2) After the universities have the disposition right and profit right from Bayh-Dole Act. The right arrangement of disposition right and profit right among universities, offices of technology licensing, schools and inventors together, support the development of industrial innovation, promotes the transformation of universities into the main body of technology market, and forms a market-oriented university R & D innovation mechanism. (3) A closed-loop feedback mechanism of "incentive-action" has been formed in the university, in which the disposition right and profit right are interrelated. With the distribution of profit right, the four stakeholders have formed an innovative mechanism from the "first kilometer" of teacher′s research and development to the "last kilometer" of achievement transformation by teacher focusing on R&D innovation, academic units focusing on enhancement of subject strength, OTL focusing on marketing achievement, university focusing on cultivation of first-class disciplines. The research on the allocation of patent rights for on–duty achievements in Ivy League universities after Bayh-Dole Act shows that a high-performance institutional innovation needs to make core institutional innovation at the national level, and also necessary to make peripheral institutional innovation around the core system at the micro organizational level to form an enforceable system before the operation of core system. The fundamental reason for poor performance after the introduction of Bayh-Dole Act in China lies in the mismatch between the surrounding system innovation and the core system innovation. Before 2015, the transformation right of on-duty achievements of university is brought into the management standard of state-owned assets, that means the disposition right and profit right of on-duty achievements are controlled by the financial department, and the university does not enjoy complete and independent disposition right and profit right. Therefore, although the Science and Technology Progress Law has made the core institutional arrangements, the university has not implemented the autonomy of the peripheral institutional innovation, and is unable to do respond to the core system to complete the organizational setup, profit right arrangements and other peripheral institutional innovation. Above all, the article points out that in order to promote the transformation of scientific and technological achievements in universities of China, universities must have the complete autonomy of the peripheral system innovation. The revision of Law of the PRC on Promoting the Transformation of Scientific and Technological Achievements in 2015 gives universities the right to transform their official achievements completely and independently, and the financial department will no longer be the final adjudicator of the disposition right and profit right of university official achievements. This has opened an "innovation window" for universities in China to carry out peripheral system innovation and promote the modernization transformation of universities. At present, universities should explore the peripheral system innovation in two fields in order to improve the transformation performance greatly of achievements in China. First, it is vital to promote incentive mechanism compatible by allocation the profit right with the relevant interest groups. From the perspective of the ratio of the personal allocation of profit right to teachers in Ivy League universities, to promote the sustainable development of universities, the universities spend most of the income of profit right on the long-term development and subject construction. Therefore, universities should give 50% of the conversion net income to their teachers in accordance with the Law of the PRC on Promoting the Transformation of Scientific and Technological Achievements, and distribute the residual income to other relevant interest groups and put them into the system of “R&D transformation”. Second, it is crucial to complete the market-oriented legal representative led disposition right innovation of on-duty achievement. After universities have the autonomous rights of on-duty achievement transformation, universities should authorize the disposition right of the on-duty achievement to the departments such as technology transfer, and support the OTL to excavate the potential users of the on-duty achievement. By forming a market-oriented on-duty achievement disposal mechanism, it will promote universities to enter the technology market, and become the main body of the technology market. The improvement of the peripheral system of the right allocation of on- duty achievement will promote the implement of the core system, and the joint action of the two systems will promote the performance of the innovation of the right allocation system of on-duty achievement. |
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