Evolvement And Evaluation Of Ownership Reform Policy Of On-duty Patents Of High Education Institutions In Sichuan Province

On the background of "third mission" and academic entrepreneurship of global high education institutions(HEIs),Chinese HEIs kept low transformation rate of scientific achievements for the restriction of management system where the scientific and technological achievements were managed as the state-owned assets.To boost the transformation of scientific and technological achievements,China try to render the rights of disposal,use and revenue of on-duty inventions and achievements to inventors widely in2015.After that,Sichuan piloted the “mixed-ownership of on-duty inventions and patents” in2016 and triggered the first shot of ownership reform,which make a unprecedented path for cracking the barrier confronted the transformation of scientific and technological achievements.The policy evolvement of ownership reform of on-duty inventions in Sichuan Province in the region includes the independent exploration period(2010-2015)before the formal policy introduced,the reform policy formation period(2015-2016)issued by the regional policy pilot and the regional policies booming period(2016 to present)under the approval of the central policy.The reform develops at both the vertical and horizontal levels.Vertically,it has shifted from the "first half" to the "second half",and begins to explore and take a more scientific method of the division and distribution of ownership of on-duty inventions;horizontally,influence of the policy has expanded further,and the reform of the ownership of on-duty inventions has spread from Sichuan to other 21 provinces and cities across mainland with steep "S-shaped curve" situation,and the ownership reform of on-duty inventions in HEIs has become a part of national science and technology reform policies.Due to the reform deepening and policy influence extending,it’s necessary to test the empirical effect of the policy.Considering the continuity and existing evidence,this thesis takes the pilot policy of Sichuan province in 2016 as treatment,collects the data of patent information by inco Pat database for empirical study,formulates a model based on diff-in-diff,proposes and tests hypothesis on the ownership structure,transformation,quantity and quality of patents in HEIs to figure out the difference and effect brought by the policy implementation.The empirical test of HEIs in Sichuan province indicates that the policy pilot has significant positive effect on the ownership structure of existing instead of future patents,and it have little to do with the increment,quality and transformation of the on-duty inventions and patents.The case study shows that the participation of social capital in the ownership reform of on-duty inventions is insufficient.In conclusion,although the reform policy of on-duty inventions in HEIs in Sichuan has achieved certain policy effects at micro-level of colleges and universities,meso-level of region and macro-level of country,there’s still a certain gap between the policy effect of ownership reform and the policy goal aimed at achievements transformation.In view of the research findings and conclusions,this thesis puts forward suggestions on the regional characteristic measures of ownership reform,evaluation and mining mechanism of scientific achievements,policy tracking and risk assessment mechanism,linkage mechanism between policy input and inventions output,and benefit distribution mechanism of multiple subjects.