On the Innovation of the Legal System for the Attribution of Scientific and Technological Achievementsin Chinese Colleges and Universities

Sun Na

(Law School,Xi'an Jiao Tong University,Xi'an 710049,China)

Abstract:The transformation of scientific and technological achievements in China has significantly accelerated,and the transformation activities of scientific and technological achievements have continued to be active.However,the problems and obstacles in transforming scientific and technological achievements are still prominent,and a system of transformation of scientific and technological achievements that supports comprehensive innovation is urgently needed.This paper attempts to analyze the current situation and problems of the operation of the legal system of attribution of scientific and technological achievements in universities,carry out the theoretical analysis of the innovation of the legal system of attribution of university scientific and technological achievements in terms of the justification of the original ownership of university scientific and technological achievements accomplishers,the value reconstruction of the limitation and balance of the ownership of university scientific and technological achievements,and the theoretical proof of the rationality of the mixed ownership of university scientific and technological achievements,clarify the concrete implementation path of the innovation of the legal system of attribution of scientific and technological achievements in universities,and comprehensively support the legal system innovation of the attribution of scientific and technological achievements in universities from the aspects of basic theory,legal system and pilot reform.

Keywords:job-related scientific and technological achievements;transformation of scientific and technological achievements;attribution of scientific and technological achievements

1 Formulation of the Problem

Improving colleges'and universities'scientific and technological innovation ability has been a significant problem to be solved urgently since the 18th National Congress of the CPC.President Xi Jinping stressed at the 2021 academician conference that the reform of science and technology management should not only do"addition"but also be good at"subtraction".It's needed to strengthen the planning policy guidance and give more autonomy to scientific research units so that scientific research units and scientific researchers can be freed from the cumbersome and unnecessary shackles of institutional mechanisms.This not only points out the direction for developing science and technology innovation in China but also provides a path for China to comprehensively improve universities'scientific and technological innovation capacity.The latest revision ofthe Law on Progress of Science and Technology in 2022,Article 30,explicitly states that"the state strengthens the development and application of pilot testing,engineering,and industrialization of scientific and technological achievements,and accelerates the transformation of scientific and technological achievements into real productivity.Science and technology research and development institutions and higher education institutions established with financial funds shall actively promote the transformation of scientific and technological achievements,strengthen the construction of technology transfer institutions and talent teams,and establish and improve the system for promoting the transformation of scientific and technological achievements."Additionally,theSeveral Measures for Further Implementing the Relevant Policies for Scientific and Technological Innovationsissued by the General Office of the State Council particularly stresses the increase in incentives for the transformation of scientific and technological achievements"rewards and remunerations shall be given to scientific and technological achievements accomplishers and great contributors to the transformation of scientific and technological achievements,and the remaining part shall be retained by the project undertaking unit for scientific and technological research and development,the transformation of scientific and technological achievements and other related work.The specific distribution method and proportion of benefits from the transformation of scientific and technological achievements shall be agreed upon based on fully listening to the opinions of the scientific researchers of the unit".

The"transformation of scientific and technological achievements"is a frequent keyword in reforming the scientific and technological system.After experiencing the different stages of initial development,comprehensive deepening,and accelerated growth,the transformation of scientific and technological achievements in China has significantly accelerated.The activities of transformation of scientific and technological achievements have continued to be active.However,the problems and obstacles in transforming scientific and technological achievements are still prominent.For example,there are severe conflicts between the newPatent Law of the People's Republic of Chinaandthe Law of the People's Republic of China on Promoting the Transformation of Scientific and Technological Achievements

in the context of its implementation,and the establishment of mixed ownership of scientific and technological achievements in universities.There is a lack of legal basis and policy support;the policy of transformation of scientific and technological achievements in universities needs to be further articulated and implemented,and the system of attribution and restriction of scientific and technological achievements in universities needs to be further clarified and promoted,etc.As there are still a series of risks of"being hit in the throat"in the process of industrial development in China,this paper takes scientific and technological innovation as the background,explores the existing problems in connection to the current university achievements transformation system,combs the existing defects in the establishment of the contemporary university scientific and technological achievements legal transformation system,and how to construct the university scientific and technological achievements ownership and restriction system.

2 Current Situation and Existing Problems of the Legal System of Attribution of Scientific and Technological Achievements in Colleges and Universities

"Transformation of scientific and technological achievements"is a theme that can not be ignored in China's scientific and technological system reform and market-oriented reform.From a particular perspective,the"transformation of scientific and technological achievements"has significant Chinese characteristics.In China,colleges and universities and research and development institutions(hereinafter referred to as"universities and research institutes")are often established by the state as business entities at the cradle of scientific and technological achievements.As the commissioner of scientific research projects and the financier of scientific research funds,the state uses universities and research institutes as a platform to participate deeply in the chain of scientific and technological achievements and the distribution of ownership.However,the system of universities and research institutes in managing research projects,funds,and personnel is highly complicated,and the free flow of innovation factors is,to a certain extent,more restricted.Foreign policy and research scholars commonly use the term"technology transfer",which directly reflects the flow of innovation elements,rather than"achievement transformation",to convey a similar meaning.The departments of universities and research institutions that handle related matters are called the"Office of Technology Transfer"(OTT)[1].The terminology used abroad primarily reflects that the flow of innovation factors is more spontaneously organized and realized according to market mechanisms[2].

On April 14,2021,the Annual Report of China's Scientific and Technological Achievements Transformation in 2020(Higher Education Institutions and Universities and Research Institutes Chapter)(hereinafter referred to as"the Report")was released.The Report shows that the transformation activities of scientific and technological achievements in China continue to be active.Nevertheless,as shown in the Report,some long-reflected problems and obstacles in transforming scientific and technological achievements are still prominent,mainly in the following aspects.

2.1 There is a Severe Conflict between the New Patent Law and the Law on Promoting the Transformation of Scientific and Technological Achievements

The new Patent Law adds to the original"the right to apply for a patent for the invention and creation of a post belongs to the unit,and after the application is approved,the unit shall be the patentee","the unit may dispose of its right to apply for a patent for the invention and creation of a post in accordance with the law and promote the implementation and application of the relevant invention and creation".It adds in Article 15 that"the State encourages units granted patent rights to implement property rights incentives,adopting equity,options,dividends,etc.,so that inventors or designers can reasonably share innovative benefits".This is the first time our country has written"property right incentive"into law.Article 19 ofthe Law on Promoting the Transformation of Scientific and Technological Achievementsstipulates that"for the research and development institutions established by the State,institutions of higher learning of scientific and technological achievements,the accomplishers and participants in the premise of not changing the ownership of scientific and technological achievements,may transform the scientific and technological achievements under the agreement with their units,and enjoy the rights and interests stipulated in the agreement".This article points out that the transformation of post-related scientific and technological achievements obtained by research and development institutions and colleges and universities established by the state shall not change the ownership of post-related scientific and technological achievements,which is obviously in conflict with the right to dispose of post-related inventions based in Article 6 of the new Patent Law.Internal consistency should be maintained to promote the construction of the legal system of scientific and technological achievements.Ownership configuration is the basis for transforming scientific and technological achievements in universities.It is difficult to maximize the positive effect of the"property right incentive"without the legal control right of scientific and technological achievement finishers.Therefore,the definition of ownership is the prerequisite for the successful transformation of scientific and technological achievements and the fundamental solution to the problem of transformation of scientific and technological achievements.Under the background of the market economy,we should first seek the optimal solution of the ownership system of scientific and technological achievements within the system of transformation of scientific and technological achievements,explore the ownership and longterm use right of scientific and technological achievements to researchers,and then consider the platform,way and specific implementation of the transformation of scientific and technological achievements[3].

2.2 The Exercise of Specific Rights Related to the Attribution of Scientific and Technological Achievements in Universities is Not Crisp

The establishment background of universities and research institutes in China,as well as the incubation and development process of research projects,make universities and research institute deeply involved in the chain of scientific and technological achievements and the distribution of ownership.Meanwhile,the systems of research projects,funds,and personnel management of universities and research institutes are often highly complex.Connecting with the right ownership policy in transforming scientific and technological achievements is a relatively significant difficulty.At the same time,the state often provides funding for research projects at universities and research institutes,subject to procedural requirements related to managing state-owned assets.When the transformation of scientific and technological achievements is carried out in the form of a"transfer of achievements",whether the relevant asset evaluation,approval,and filing should be completed following the Interim Measures for the State-owned Assets Management of Public Institutions(2019 Amendment Version)and the Interim Measures for the State-Owned Assets Management of Higher Education Institutions directly under the Ministry of Education(2012)and other relevant laws and regulations also need to be further clarified,especially whether the relevant provisions in the Interim Measures for the State-Owned Assets Management of Public Institutions(2019 Amendment Version)continue to be used,i.e.,the scientific research funds issued by the state to institutions,the scientific and technological achievements created by institutions and the assets formed by using the income of state-owned assets organizations are all state-owned assets.Even if the state retains all the income from scientific research results and their transformation to the project undertakers,the remainder of such income,after deducting the compensation and incentives of the personnel who develop and transform the results,still belongs to the state-owned assets,which still needs to"preserve and increase value"and"pay in full and timely"the state-owned asset's income.In addition,although Article 6 of the new Patent Law has added the right to dispose of the unit's functional inventions,the specific manner in which the power is executed must be clarified.The adjustment of the clause does not deny the natural right of the unit,while the right of disposal is only said to exist if the unit enjoys that right.The inventor does not find that he has acquired more rights than before in terms of the right to apply for a patent and the attribution of the patent right from the literal content of this added clause.Therefore,it is necessary for the state to further introduce relevant legal provisions,interpretations,or policies,to fully express the original purpose of the amendment and to achieve the fundamental purpose of encouraging innovation by"fueling the fire of genius".

2.3 The Incentive Efficiency of the Mechanism for Guaranteeing the Accomplishers'Rights and Interests of Scientific and Technological Achievements in Colleges and Universities Should be Improved

In 2015,Sichuan Province issued the Decision of the CPC Sichuan Provincial Committee on Comprehensive Innovation and Reform-Driven Transformation and Development,proposing"to carry out a pilot mixed ownership system of scientific and technological achievements,and clarify that scientific researchers and their affiliated units are co-owners of the ownership of scientific and technological achievements".In January 2016,Southwest Jiaotong University(SWJTU)took the lead in introducing the Patent Management Regulations of Southwest Jiaotong University(Nine Articles of SWJTU)in China,which clarify that researchers and the university can share intellectual property rights in two ways,through the splitting of established patents for confirmation and the joint application of new patents.The mixed ownership system of job inventions stimulates the endogenous motivation of scientific researchers to transform achievements through property rights incentives.It solves the problem of scientific researchers'"reluctance to transform"due to the uncertainty of income caused by"transform first and reward later",implements the distribution method oriented by knowledge value,optimizes the allocation of resources through the market,forms a virtuous cycle of scientific researchers to create value and realize value,accelerates the transformation of scientific and technological achievements,and recognizes the strategy of property rights-driven innovation and innovation-driven development.The transformation of scientific and technological achievements requires the joint efforts of scientific research institutions and transformation enterprises to achieve mutual success.Scientific research institutions and transformation enterprises need to find a balance between their respective situations in terms of intellectual property rights of scientific and technological achievements,personnel arrangement,and remuneration distribution of scientific and technological personnel to genuinely free scientific and technological personnel from being strangled in the process of scientific and technological transformation.

As a bridge between the"ivory tower"and the"production line",scientific and technological personnel work must simultaneously involve research institutions and transformation enterprises.Therefore,based on the personnel relationship between scientific and technological personnel and research institutions,how to comprehensively consider the distribution of the ownership of the job invention,how to make scientific and technological personnel obtain the reward and compensation that match their labor results,and other factors,and construct a compliant"scientific and technological personnel-transformation enterprises"working model has become a pain and difficulty in the process of transformation of scientific and technological achievements.The distribution pattern of reward for transforming scientific and technological achievements is related to whether the project involves intellectual property rights such as licensing,transferring,making a capital contribution,and other dispositions.Secondly,in projects involving intellectual property rights dispositions,there are different paths of issuing reward remuneration for scientific and technological achievements transformation according to different disposition modes.Currently,the legal guarantee for the reform of mixed ownership of job inventions only focuses on the relevant provisions of Article 6 of the new Patent Law.There is an urgent need to form an applicable guarantee system to improve the incentive efficiency of the mechanism for guaranteeing the rights and interests of the accomplishers of scientific and technological achievements in universities.

2.4 The Practice Standards of Scientific and Technological Achievements Attribution System of Colleges and Universities in Various Provinces and Cities Vary Considerably

Sichuan Province has taken the lead in exploring the pilot reform of a mixed ownership system for the ownership of scientific and technological achievements in office.Other provinces have also formulated local regulations on transforming scientific and technological achievements.To stimulate the enthusiasm of job inventors to transform their achievements,local governments have sustainably strengthened the reward-based economic stimulation,giving significant contributors considerable remuneration and rewards.Regulations of Zhejiang Province on Promoting the Transformation of Scientific and Technological Achievements principally require strengthening the reward and incentive for scientific researchers and increasing the minimum reward ratio.Regulations of Guangdong Province on Promoting the Transformation of Scientific and Technological Achievements principally focus on balancing the distribution of interests among universities,research institutions,and R&D teams and protecting the legitimate rights and interests of scientific researchers as far as possible.

Shaanxi Province is a large province of science and education resources in China.To encourage and promote the transformation of scientific and technological achievements of universities,Shaanxi Province specifically issued the Regulations of Shaanxi Province on Promoting the Transformation of Scientific and Technological Achievements(hereinafter referred to as"Nine Articles of Shaanxi").Nine Articles of Shaanxi provides that"the proportion of scientific and technological achievements of scientific and technological personnel job transformation income is not less than 90%",which is much higher than 50%inthe Law of the People's Republic of China on Promoting the Transformation of Scientific and Technological Achievements.Opinions of Shaanxi Provincial Department of Education,Shaanxi Provincial Department of Science and Technology,and Shaanxi Provincial Department of Finance on Implementing the Distribution Policy of Increasing the Value of Knowledge and Promoting the Transfer and Transformation of Scientific and Technological Achievements in Provincial Universities clarify the autonomy of transfer and transformation of scientific and technological achievements in universities,improve the value-oriented incentive system for the transformation of accomplishments,and reaffirm the proportion of transformation proceeds.Implementation Plan of Shaanxi Province for the Pilot Program of Conferring the Ownership or Rights of Long-Term Use of Job-Related Scientific and Technological Achievements on Scientific Researchers issued in 2021 gives researchers greater autonomy in the transformation of their achievements.It has repeatedly emphasized the exploration of granting researchers the ownership or long-term use right of scientific and technological achievements to ensure that researchers have the right and responsibility,relieve them of worries,and improve the economic value created by scientific and technological achievements.

Under such favorable policy stimulus,researchers tend to declare general projects with low conversion difficulty,short cycle,and speedy effect and abandon high-level projects with high conversion difficulty,lengthy process,and market yet to be developed,resulting in the severe short-term orientation of project selection.In addition,the subsequent transformation and circulation of scientific and technological achievements may be affected due to the visible differentiation of the practice standards of universities in different provinces and cities.In most universities,reform measures focus on refining the distribution scheme of income derived from patent ownership of scientific and technological achievements to adapt to the local policies while neglecting to clarify the proportion of transformation income with an apparent property rights ratio.And this will not be conducive to establishing a demand-oriented mechanism for transferring and transforming scientific and technological achievements and the output of highvalue original scientific and technological achievements that are closely aligned with industrial development.The use of the property rights system to transform the technical form of knowledge products into a legal document and cut the ownership,compared with the simple reward incentive,is likely to achieve twice the result with half the effort[4].

3 Theoretical Analysis of the Legal System Innovation of the Attribution of Scientific and Technological Achievements in Colleges and Universities

In the 2021 Central Talent Work Conference,General Secretary Xi Jinping focused on deepening the reform of the institutional mechanism for talent development,further releasing the message of"decentralization and liberation".The basis of the mechanism for the transformation of scientific and technological achievements is the allocation of rights related to the attribution of scientific and technological achievements.The practice has proved that the indirect model focusing only on the distribution of earnings and income increase of researchers has little effect on the promotion of the transformation of scientific and technological achievements on duty and requires a considerable adjustment in the inherent pattern of ownership of scientific and technological achievements on duty.

3.1 Consideration of the Rightfulness of the Accomplishers'Original Ownership of Scientific and Technological Achievements in Colleges and Universities

The original ownership of the university's science and technology achievements accomplishers aims to seek the theoretical basis for the justification of the actual ownership of the university science and technology achievements accomplishers under the separation of the identity of the university science and technology achievements accomplishers and the ownership of the relevant scientific research achievements.Firstly,the natural rights theory,represented by Locke,holds that labor gives rise to private rights and that intellectual workers have some exclusive rights to the fruits of their intellectual endeavors[5].Both theoretical innovation and technological innovation require many times of exploration and practice.Of course,this exploration process condenses the crystallization of scientific research's physical or mental labor and meets the function of scientific and technological achievements'specific practical use value[6].According to the relevant provisions of the current transformation system of scientific and technological achievements,the patentee of the functional invention is the provider of material and technical resources.In contrast,the accomplisher of the scientific and technological achievements who has contributed his labor does not obtain the property right.Under this circumstance,the patent owner does not reap the ownership right even though they have done creative work and have not violated the public interest.Even if the new Patent Law grants units the right to dispose of their inventions,universities and related research institutes may still have concerns about the policy of"value-adding and preservation"of state-owned assets and give up transferring part or all of their patent rights,which runs counter to the relevant theories supporting the legitimacy of the intellectual property system.

Secondly,in the composition of the transformation of scientific and technological achievements in China's universities,the accomplishers of scientific and technological achievements,in most cases,can only get the remuneration and reward for the transformation of accomplishments and the so-called"moral rights"[7].According to the State Intellectual Property Office data,by the end of 2019,China's"Double First-Class"universities owned more than 250,000 invention patents,of which Zhejiang University and Tsinghua University both have more than 20,000.However,in 2020,the industrialization rate of effective invention patents in scientific research units in China was 11.3%,and the industrialization rate of effective invention patents in universities was only 3.8%.China's universities and research institutes are the key towns of high-tech output.The main reason for the low efficiency of the transformation of scientific and technological achievements is the imperfect arrangement of the institutional system,which only has those mentioned above"moral rights"and does not give a complete property rights guarantee to the accomplishers of scientific and technological achievements.Only when the value of the innovative labor of the accomplishers is recognized,and the corresponding share of property rights is given to motivate the innovator will the accomplishers be encouraged to maximize the value of the innovative achievement by adding additional labor value and then activate the social value of the creative achievement[6].

3.2 Value Reconstruction of Ownership Restriction and Balance of Scientific and Technological Achievements in Colleges and Universities

The intellectual property system is a kind of social engineering,and it needs to find the optimal solution of interest balancing mechanism in the changing social environment[8].The industrial policy theory regards protecting intellectual property rights as a means to promote technological and economic progress,emphasizing the combined effect of national economic interests and social benefits.With the purpose of industrial development,we should boost industrial advances and seek national interests while safeguarding"private rights"[9].This is in line with the original intention of China's intellectual property system,which has always emphasized the fundamental function of protecting"exclusive rights"by law and the promotion of the dissemination of knowledge and technology.In establishing the intellectual property system,our legislators have always adhered to the dual goal based on balancing interests[10].TheLaw of the People's Republic of China on Scientific and Technological Progress,revised in 2022,specifies that the State promotes the independent control of key core technologies and improves the protection of intellectual property rights and scientific and technological ethics and safety review mechanisms in scientific and technological research cooperation.Without prejudice to national security,national interests,and considerable social and public interests,the project undertaker can obtain the relevant intellectual property rights per law.The project undertaker can invest and implement,transfer to others,jointly implement with others,and license others to implement or make price investments according to law.The Outline for Building an Intellectual Property Powerhouse(2021-2035)emphasizes the fabric of a just and reasonable policy system with scientific evaluation.That is,while improving the mechanism for distributing intellectual property rights and interests,improving the distribution system oriented to increase the value of knowledge,promoting the realization of the importance of intellectual property rights,and focusing on priorities and coordination.The above provisions are the concrete embodiment of the principle of balance of interests in transforming scientific and technological achievements.The restriction of the ownership of scientific and technological achievements of colleges and universities in China should also follow this principle,not only to give space for the application of the ownership system of scientific and technological achievements of universities but also to clarify the boundary of rights,to guarantee the positive role of scientific and technological innovation activities of colleges and universities[11].

3.3 Theoretical Proof of the Reasonableness of Mixed Ownership of Scientific and Technological Achievements in Colleges and Universities

Incentive theory is the mainstream view of current intellectual property law.The main reason for the legal protection of intellectual property is to ensure that innovators have the enthusiasm and motivation for continuous creation.In the era of open innovation,the IP system does not seem to provide sufficient incentives to innovation stakeholders such as universities,research institutions,and the public.On the contrary,the IPR regime raises barriers to knowledge transfer and hinders the free flow of knowledge.The factors such as the ownership of the property rights of the patent for functional invention,the complexity of the examination and approval procedures,and the high cost of infringement and rights maintenance also frustrate the enthusiasm of the patent inventors.The new Patent Law clarifies that"the right to apply for a patent for an invention created on duty belongs to the unit".The attribute of"state-owned assets"of functional inventions,"no one is responsible if the inventions are not converted,but once they do,someone is accountable for the conversion",has to some extent caused the wait-and-see attitude of scientific researchers.Confirming the original ownership of the service inventors of his fruitful inventions means that the ownership of the scientific and technological achievements of the state-funded projects of colleges and universities is changed from state-owned to shared and from separate governance by colleges and universities as agents of state-owned property rights to joint supervision by colleges and universities and the job achievement accomplisher[12].The disputes over ownership and investment risks brought by knowledge flow often restrict the enthusiasm of universities and research institutes in implementing the transformation of scientific and technological achievements.To build an open knowledge service system,greater disposal authority should be given to the accomplishers of scientific and technological achievements,and the leading position of innovation subjects in knowledge transformation should be given full play[13].Only by allowing innovation subjects to fully and freely exercise their rights can they be consistently motivated to invest in knowledge production and creation with tremendous enthusiasm.

4 The Concrete Implementation Path of the Innovation of the Legal System of Attribution of Scientific and Technological Achievements in Colleges and Universities

Science and technology research and development and the transformation of research results are the two ends of science and technology.The success or failure of scientific research and development determines whether the research results can be put into service and transformed into productivity.For this reason,national and local governments have issued relevant regulations and policies to promote the transformation of scientific and technological achievements,and universities and scientific research institutions have gradually explored effective paths for the transformation of scientific research results and the attribution of job inventions and rewarding the accomplishment of scientific and technological achievements.This paper intends to theoretically innovate the specific implementation path of the existing legal system on the attribution of scientific and technological achievements in colleges and universities and explore the optimal solution to the design of attribution of scientific and technological achievements in colleges and universities in the existing system.

4.1 Clear the Obstacles to the Implementation of a Mixed Ownership System of Scientific and Technological Achievements in Colleges and Universities in the Form of Legislation

Although the newly revised Law on Progress of Science and Technology encourages researchers should actively promote the transformation of scientific and technological achievements,there is no specific institutional provision in the legislative requirements.From the perspective of local practice,although provinces such as Sichuan and Shaanxi have started the pilot work of corresponding tenure reform,there is a lack of specific institutional support at the national legislative level.The Law of the People's Republic of China on Promoting the Transformation of Scientific and Technological Achievementsprovides for scientific researchers'right to use.Still,on the premise of"not changing the ownership of the job-related scientific and technological achievements",that is to say,scientific researchers only have the right of use,not ownership.

In practice,this provision has not fully mobilized the enthusiasm of scientific researchers to engage in the transformation of their achievements.First of all,Article 19 ofthe Law on Promoting the Transformation of Scientific and Technological Achievementsshould be amended to make it internally consistent with the right to dispose of the inventions of the units established by Article 6 of the new Patent Law.In other words,the right to dispose of scientific and technological achievements and the right to long-term use should be added to Article 19 of the original Law on Promoting the Transformation of Scientific and Technological Achievements,which sets the right to the income of the accomplishment of scientific and technological achievements.The right of disposal and long-term use of scientific and technological achievements completion is the first time that the Implementation Plan for the Pilot Program of Conferring the Ownership or Rights of Long-Term Use of Job-Related Scientific and Technological Achievements on Scientific Researchers(hereinafter referred to as"Implementation Plan")was clarified in 2020.The reform measures for transforming scientific and technological achievements were gradually implemented according to the guiding document.Both Article 6 of the new Patent Law and the Implementation Plan are based on the fact that the ownership of scientific and technological achievements on duty belongs to the unit,and according to the management system and decision-making mechanism of the relevant department,different incentive methods of granting ownership of scientific and technological achievements on duty before transformation(empowerment before change)or rewarding cash or equity after transformation(transformation before reward)are adopted by the will of researchers.This paper argues that a series of negative list systems can be established according to scientific and technological security and ethical management needs.

For scientific and technological achievements involving primary national interests and security,the ownership transformation mode of"the unit has the complete right to dispose of the service invention,and the scientific and technological achievements accomplisher will take it for long-term use"shall be strictly followed.For scientific and technological achievements with short periodicity,vital timeliness,and close market connection,it may be considered to give the person who has completed the scientific and technological achievements all the disposal right or ownership of the accomplishments.In this case,the unit can obtain the corresponding long-term use right,and the scientific and technological achievements accomplisher can also agree with the unit on the ownership and income distribution share.Indeed,the realization of the above idea needs to be mainly based on the amendment ofthe Law on the Transformation of Scientific and Technological Achievements.Article 6 of the new Patent Law also needs to add to the Implementation of the Patent Law the circumstances that give the complete disposal right to the scientific and technological achievements accomplisher,and the concept of long-term use right also needs to be clarified in the form of legislation,and the relevant proper subjects,objects,and contents are yet to be defined.

In addition,the ownership and long-term use right of some scientific and technological achievements that are given to the scientific and technological achievements accomplishers in the implementation plan can be extended to the situation that the scientific and technological achievements accomplishers are given complete disposal rights,and the practical effect of the pilot implementation plan can be evaluated.The policy that promotes the positive impact of scientific and technological achievements can be incorporated intothe Law on Transformation of Scientific and Technological Achievements.Secondly,Article 10 of the original Law on Promoting the Transformation of Scientific and Technological Achievements specifies the transformation obligations of the project undertaker,i.e.,the accomplisher of scientific and technological achievements,which aims to increase the legal obligations of the accomplisher of scientific and technological achievements,rather than to give the accomplisher of scientific and technological achievements corresponding transformation rights.This provision may discourage researchers from conducting scientific research activities due to the increased difficulty in project establishment and completion.The Implementation Plan also establishes a due diligence exemption mechanism for completing scientific and technological achievements.Under the premise of not profiting illegally,it can be exempted from the responsibility of pursuing the relevant decision-making mistakes in pricing scientific and technological achievements,self-determined asset evaluation,and empowerment of accomplishments.Decentralizing and deregulating scientific and technological personnel is a crucial development path to deepen the reform of the talent development system.The next revision direction ofthe Law on Promoting the Transformation of Scientific and Technological Achievementsfor the"empowerment,decentralization"of scientific and technological achievements accomplishers should also be consistent with the Implementation Plan.

4.2 Clarify the Way of Exercising Rights in the Mixed Ownership System of Scientific and Technological Achievements in Colleges and Universities

First of all,Article 6 of the new Patent Law follows the principle of"agreed priority"of the original Patent Law,that is,if the unit and the scientific researcher have reached an agreement on the ownership of the job-related scientific and technological achievements,the subject of the right shall be determined under the agreement between the two parties;if no agreement is reached or the agreement is unclear,in principle,it shall be owned by the unit.The ultimate purpose of the intellectual property system is to stimulate innovation,which protects not only the individual rights of intellectual property rights holders but also the public rights.The innovation process of scientific and technological accomplishers is the crystallization of physical or mental labor and the creative labor of scientific and technological achievements of universities.The scientific and technological achievements meet the function of specific practical use value.Suppose the ownership of scientific and technological achievements without prior agreement is directly attributed to the unit.In that case,the relevant department is usually reluctant to facilitate the transformation of scientific and technological achievements,which not only fails to solve the problem of insufficient innovation,reinvention,and dissemination of knowledge products but also may lead to the alienation of the system and turn it into a"vicious law"that hinders innovation.The dual value goal theory believes that the intellectual property system needs to have the double value pursuit of protecting the exclusive rights of knowledge innovators and promoting the overall progress of human knowledge society[14].According to this value demand,we can explore the rules of the scientific researcher's ex-officio enjoyment in the case of unclear agreement on the ownership of scientific and technological achievements.It is suggested that the above article should be amended as"in case of unclear agreement,the ownership of the results shall in principle belong to the person who completes the scientific and technological achievements,but the researcher shall extract a certain percentage of the proceeds from the transfer or transformation income of the results and allocate them to his unit,which can agree on the ownership of the rights and the distribution of the future transformation proceeds through prior agreement"[15].

Secondly,the current transformation of scientific and technological achievements generally focuses on giving the relevant transformation units corresponding rights while ignoring their obligations.Article 10 ofthe Law on Transformation of Scientific and Technological Achievementsstipulates that institutions of science and technology project establishment should clarify the transformation obligations of project-undertaking units in the process of implementing science and technology projects,but no specific operation path is stipulated.Due to the current transformation process of scientific and technological achievements is not clear,the detailed transformation obligations of the project,the difference between various scientific research projects is massive,and the transformation of accomplishments is very complex and different.This leads to the fact that the project undertaker usually only plays a formal role in the process of project establishment and has not participated in generating and transforming scientific and technological achievements.The project undertaker is not willing to support the transformation of scientific and technological achievements,and the project establishment institution lacks the motivation to supervise the implementation of the"transformation obligation"of the project undertaker,which makes the transformation obligation of the project undertaker unable to be indeed implemented.

To cope with the above situation,the Law on the Transformation of Scientific and Technological Achievementsshould stipulate that if the rights of the scientific and technological achievements belong to the unit according to the agreement or the law,the unit should undertake the obligation of transformation.In the specific transformation process,the department may retain the ownership of the job-related scientific and technological achievements or transfer the ownership to the scientific research personnel or team.Additionally,suppose the job-related scientific and technological achievements are all owned by the achievements accomplisher.In that case,the project undertaking unit shall support the accomplisher in transforming the achievements and provide necessary assistance because of the long-term right to use the achievements.

4.3 Improve the Protection Mechanism of Rights and Interests Centered on the Accomplishers of Scientific and Technological Achievements

In most cases,scientific and technological achievements are presented as intangible assets.Their value is very uncertain from the beginning of scientific research to the time of transformation,and barely after entering the market can the actual value of scientific and technological achievements be tested.Therefore,the mechanism of protecting the rights and interests of scientific and technological achievement accomplishers should revolve around the three stages of scientific research project establishment,the scientific research project research process,and the scientific and technological achievements landing and transformation[16].

First of all,distinguish basic theoretical research and market-oriented applied research at the stage of scientific research project establishment,and give full play to the market's decisive role in resource allocation while giving better space to the positive part of the system of transformation of scientific and technological achievements,and make strategic layout planning in advance.For some market-oriented applied research with high scientific and technological content and high market potential suitable for transformation and promotion in enterprises,more liberal and diversified autonomy should be given to the accomplishers of scientific and technological achievements.Encouragement should be given to the original or breakthrough innovation from the initiative to adapt to market demand.Secondly,focus on the financial support for the transformation of scientific and technological achievements of the accomplisher in the research process of the research project.For market-oriented applied research,such projects are likely to be at a disadvantage in obtaining funding because of their high degree of technological innovation pioneering and the difficulty of grasping the expected effects in the short term.In addition,many research funds are needed to support the breakthrough and research of many"being hit in the throat"key core technologies in fundamental theoretical analysis.Public funds need to be adjusted to keep and release standards.Financial support should be shifted to reduce the"worries"of science and technology achievements and to guide more social funds to support science and technology innovation.

To sum up,scientific and technological achievement accomplishers are the party that bears more output variability in the process of science and technology achievement transformation.For the consideration of optimizing resource allocation level,the rights and interests guarantee mechanism should be improved with the completion of scientific and technological achievements as the core,not only letting the realization of scientific and technological achievements have more property rights share but also guaranteeing the legal rights and interests of the completion of scientific and technological achievements from the whole process of scientific research project establishment to transformation[17].The Office of Technology Licensing(OTL)at U.S.colleges and universities plays a pivotal role in open innovation and transforming scientific and technological achievements.Its working mechanism protects the core interests of scientific and technological achievements.Researchers from the university submit their R&D results to OTL,which then evaluates whether to apply for a patent for the invention through research and,if successful,signs a patent license agreement with an enterprise that can commercialize the patent.Lastly,OTL collects and distributes the patent license income.This model can improve the speed and proportion of commercialization of scientific and technological achievements,bring revenue to R&D personnel,reduce the pressure of transformation of scientific and technological achievements accomplishers,but also generate income for enterprises[18].

4.4 Build a Rule Framework Combining"Top-Level Design"and"Pilot Reform"

The transfer of scientific and technological achievements in higher education cannot be separated from the policy mentioned above,support for the transfer of scientific and technological achievements into an institutional guarantee,but also the pilot reform of provinces,cities,and themselves.In the process of pilot reform,it is necessary to maintain the local characteristics of innovative initiatives but also to ensure that the system reform is in line with the current thinking and direction of the innovation of China's scientific and technological achievement transfer system,to find the optimal solution in the existing system and to assess the effectiveness of the reform pilot.Shaanxi,a big province of science and education,has rich scientific and technological innovation resources and is a crux national defense scientific research town in China.However,for a long time,many technological achievements"sleep"in colleges and universities,resulting in scientific and technological advantages that cannot be effectively transformed into high-quality development advantages.

In recent years,Shaanxi Province has explored establishing an intermediary mechanism to connect the supply and demand sides of the transformation of results,people-oriented,all-around protection of the core interests of researchers,and make every effort to open the"last mile"of innovation-driven.Xi'an Jiaotong University has improved its intellectual property information service system and the system of scientific and technological achievements and gradually developed a new path of intellectual property operation and transformation with the unique characteristics of Xi'an Jiaotong University.Northwestern Polytechnic University's chief scientist"one vote veto"is the first batch of the typical experience of the Ministry of Education in the transformation of scientific and technological achievements and the technology transfer base of higher education institutions to be promoted.The head of the school's scientific research team generally holds the chief scientist,and authority is agreed upon in the company's articles of association.As a director,he attends the board of directors and has veto power on the direction of enterprise technology development.When the development direction of the enterprise is contrary to its original intention,the chief scientist can exercise the right of veto,giving full play to the scientific research value of the scientific and technological achievements accomplishers to ensure that the development direction of the enterprise does not deviate from the right track.

It can be seen that the pilot reform of the system of transformation of scientific and technological achievements should not only focus on the traditional strong provinces of science and technology but also pay more attention to the western region or areas with more significant potential for scientific and technological development.Besides,the regions mentioned above can also form symbiotic alliances among universities or between universities and science and technology innovation parks in the process of reforming the system of transformation of scientific and technological achievements,forming tangible and intangible symbiotic interfaces and strategic alliances by unifying policy standards,finding commonalities and pivotal issues,and searching for optimal solutions for the transformation of regional scientific and technological achievements,relying on multiple modes of symbiotic relationships to jointly improve the effective transfer rate of scientific and technological achievements.

5 Conclusion

As national policy support continues to be vigorous,the success rate of the current transformation of scientific and technological achievements in China has gradually improved.Still,the transformation of achievements is not optimistic under the shackles of the traditional system.There are still many problems in the transformation of scientific and technological achievements in China,the fundamental problem of which is how to innovate the legal system for the attribution of scientific and technological achievements in colleges and universities,protect the core interests of scientific and technological achievements accomplishers,and stimulate the determination of scientific and technological achievements accomplishers to carry out the transformation of scientific and technological achievements.This is not only the introduction of various policies to support and encourage the transformation of scientific and technological achievements,on the other hand,but also in the actual transformation of scientific and technological achievements to completely reverse the phenomenon that the accomplishers of scientific and technological achievements are afraid to transform,do not want to transform,unwilling to transform.Therefore,it is necessary to explore the concrete implementation path of the innovation of the legal system for the attribution of scientific and technological achievements in colleges and universities in an all-around way to clear the obstacles to the implementation of the mixed ownership system of scientific and technological achievements in colleges and universities in the form of legislation,to clarify the way of exercising the rights in the mixed ownership system of scientific and technological achievements in colleges and universities,to improve the mechanism of guaranteeing the rights and interests of the accomplishers of scientific and technological achievements,and to build a rule framework combining"top-level design"and"pilot reform".The relevant legal systems and policies of the state,the local,and the university are reasonably connected,and the various links of the system are organically linked to steadily promote the reform and innovation of the attribution system of scientific and technological achievements.