影响制约科技成果转化和知识产权运用的问题分析与对策研究

Problems and policies for the transformation of scientific & technological achievement and intellectual property based on national innovation system theory

        宋河发 李振兴(中国科学院科技政策与管理科学研究所 北京 100190)

         科技成果转化，知识产权，供需矛盾，市场失灵，政府失灵

        scientific & technological（S&T）achievement transformation, intellectual property（IP），supply and demand contradiction, market failure, government failure

        影响和制约科技成果转化与知识产权商业化运用的根本问题是科技成果供需矛盾问题，客观问题是市场失灵问题，还存在政府失灵问题。市场失灵主要包括信息与风险不对称、创业难、知识产权集成难、缺乏有效转化机构团队和能力、未能兼顾发明人等各方利益等问题。政府失灵主要包括有关转化运用的法律可操作性不足，有关法律规定存在交叉冲突，缺乏完善的转化运用政策体系，现有国有资产管理和评价制度存在弊端等问题。为促进科技成果转化和知识产权运用，必须以自主创新能力建设为主线，坚持市场需求决定原则，必须加强转化运用法律和政策的顶层系统设计，支持企业真正成为科技成果创造和转化的主体，必须推进体制机制、管理方式的改革完善。

        The fundamental problem restricting transformation of Scientific & Technological（S&T）achievements and IntellectualProperties（IP）is the mismatch of demand and supply, market failure and government failure are problems as well. Marketfailure problems include asymmetry of information and risk, insufficient support for start-ups, difficulties in the integration ofcomplementary IPs, lack of effective institutions, human resources and capability, and imbalance of various parties’interests.Government failure problems mainly refer to inadequate operability of legislations, overlap and conflict among different sources of provisions, incomplete policy framework, and obstacles from state asset management and appraisalsystem. In order to promote commercialization, it is necessary to make the innovation capacity construction as the main thread, and to follow the principle of market deciding resource allocation. It is also necessary to strengthen top design of legislation and policy system, to support enterprises to play a central role in the creation and transformation of S&T achievements and IPs, and to reform current institutional set-up and managerial mode.