制度视角下中美科技成果转移转化政策对比研究

A Comparative Study of Policies on the Transfer and Transforma⁃tion of Scientific and Technological Achievements Between China and the United States from the Perspective of Institutions

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摘要近年来,中国科技创新能力显著提升,研发投入和人员规模位居世界前列,但科技成果转移转化率仍处于较低水平。以新制度经济学为理论基础,构建包含产权制度、竞争机制、激励相容、制度协作及制度环境等5个维度在内的分析框架,突破单一视角分析的局限,系统比较中美科技成果转移转化政策。中美科技成果转移转化政策的差异主要源于两国战略导向、基础制度环境、政府角色定位、创新生态系统、历史文化因素及所处发展阶段等的不同。为有效提高我国科技成果转移转化率,研究建议:修订相关法律,明确产权归属并简化审批流程;推行负面清单管理,降低市场准入门槛;提高科研人员收益分配比例,完善免责机制;设立跨部门协调机构,深化产学研合作;完善知识产权法律体系,培育技术市场和中介服务体系,优化创新生态环境。 Since 2010,China's scientific and technological innovation capacity has improved significantly,with R&D investment and personnel scale ranking among the world's highest.How-ever,the commercialization rate of scientific and technological achievements remains relatively low.Based on new institutional economics,this study develops a five-dimensional analytical framework—property rights,competition mechanism,incentive compatibility,institutional col-laboration,and institutional environment—from the institutional arrangements and institutional environment.By overcoming the limits of single-perspective analysis,this research systemati-cally compares the science and technology transfer policies between China and the United States,aiming to provide insights for optimizing relevant policies.Research findings show:①China has challenges such as imprecise property rights attribution and cumbersome approval processes.While the U.S.Bayh-Dole Act has developed a clear property rights system,it has limitations,including high compliance costs and restrictions on international mobility.②China's technology market has high entry barriers,excessive administrative intervention,and im-perfect transaction rules.Although the U.S.has low entry barriers and transparent rules,it is prone to spawning"patent trolls",faces serious monopolization by tech giants,and presents"knowledge barriers"for SMEs.③Chinese researchers receive a relatively low proportion of ben-efits from commercialization.The evaluation system tends to be administrative-oriented and lacks risk tolerance mechanisms.In comparison,the U.S.features market-oriented benefit distri-bution and performance-based evaluation;however,it suffers from high management costs and excessive emphasis on commercial value at the expense of social benefits.④China's policy coor-dination among departments is relatively fragmented,with frequent policy implementation adjust-ments.On the other hand,the U.S.has a market-oriented policy system,but its decentralized decision-making policy framework suffers from a lack of unified coordination,serious institu-tional fragmentation,and difficulties in addressing major technological challenges.⑤China lacks innovation ecosystems,including legal protection,technology markets,and financial sys-tems.In contrast,while the U.S.possesses a comprehensive intellectual property framework and mature market systems,its overly complex legal system creates entry barriers,resulting in pro-hibitively high litigation costs.Furthermore,the U.S.is overly dependent on global talent mobil-ity.The differences in science and technology transfer policies between China and the United States stem from variations in strategic orientations,fundamental institutional environments,gov-ernment role positioning,innovation ecosystems,historical and cultural factors,and development stages.To effectively improve China's science and technology transfer rate,this study recom-mends:revising relevant laws to clarify property rights attribution and simplify approval pro-cesses;implementing negative list management to lower market entry barriers;increasing the proportion of benefits for researchers and promoting diversified approaches such as equity incen-tives;establishing inter-departmental coordination mechanisms and deepening industry-academia-research collaboration;improving the intellectual property legal system,cultivating technology markets and intermediary service systems,and optimizing the innovation ecosystem.

作者刘帅杜美玲 Liu Shuai;Du Meiling(School of Economics and Management,Shanxi Normal University,Taiyuan 030031,China)

机构地区山西师范大学经济与管理学院

出处《创新科技》 2025年第6期48-63,共16页 Innovation science and technology

基金山西省科技战略研究专项“制度视角下中美科技成果转移转化政策对比研究”(202304031401069) 教育部人文社会科学研究青年基金项目“数智化趋势下劳动力市场技能失配的形成、影响与治理”(24YJC790114) 山西省高等学校哲学社会科学研究项目“互联网、信息内容与绿色消费发展研究”(2023W070)。

关键词制度视角科技成果转移转化政策中美对比科技市场知识产权 institutional perspective policies for the transfer and transformation of scientific and technological achievements comparison between China and the United States tech market intellectual property

分类号 G322 [文化科学]

作者简介刘帅(1987-),男,山西原平人,博士,讲师,研究方向:数字经济、创新经济;杜美玲(1993-),女,山西大同人,博士,讲师,研究方向:技术经济、创新经济。