Opinions of China National Intellectual Property Administration Ministry of Science and Technology, Ministry of Education, on improving the quality of patents in colleges and universities and promotin

All provinces, autonomous regions and municipalities directly under the Central Government, Education Department (Education Committee), Intellectual Property Office (Intellectual Property Management Department), Science and Technology Department (Committee, Bureau), Education Bureau of Xinjiang Production and Construction Corps, Intellectual Property Office, Science and Technology Bureau, Education Department (Bureau) of relevant departments (units), Intellectual Property Management Agency, Science and Technology Department, and colleges and universities jointly established by the ministries and provinces:

　　Since the promulgation and implementation of the Outline of National Intellectual Property Strategy, the level of creation, application and management of intellectual property rights in colleges and universities has been continuously improved, and the number of patent applications and authorizations has been greatly improved. However, compared with foreign high-level universities, there are still some problems in Chinese university patents, such as "emphasizing quantity over quality" and "emphasizing application over implementation". In order to comprehensively improve the quality of university patents, strengthen the creation, application and management of high-value patents, and give full play to the important role of universities in serving economic and social development, the following opinions are put forward.

　　I. General requirements

　　(A) the guiding ideology

　　Guided by the Supreme Leader’s Socialism with Chinese characteristics Thought in the New Era, we will fully implement the spirit of the 19th National Congress of the Communist Party of China and the Second, Third and Fourth Plenary Sessions of the 19th National Congress, implement the deployment of the National Education Conference, adhere to the new development concept, closely follow the main line of high-quality development, thoroughly implement the innovation-driven development strategy and the strategy of strengthening the country with intellectual property rights, comprehensively improve the quality of patent creation, utilization efficiency, management level and service ability of colleges and universities, promote new progress in scientific and technological innovation and discipline construction, and support the construction of a strong country with education, science and technology and intellectual property rights.

　　(2) Basic principles

　　Adhere to quality first. Firmly grasp the requirements of high-quality development of intellectual property rights, adhere to quality priority, identify the breakthrough, enhance pertinence, and always run high-quality through the whole process of intellectual property creation, management and application in colleges and universities.

　　Highlight the transformation orientation. We should establish the idea that innovation value can only be realized by transforming scientific and technological achievements such as patents in colleges and universities, and that non-transformation is the biggest loss, and highlight the orientation of transformation and application, which will force the optimization and promotion of intellectual property management in colleges and universities.

　　Strengthen policy guidance. Give play to the important role of policies such as financial aid, evaluation and evaluation in promoting reform and guiding work, and establish and constantly improve various policies and measures that are conducive to improving patent quality and strengthening transformation and application.

　　(III) Main objectives

　　By 2022, the whole process management system of intellectual property rights in colleges and universities covering patent navigation and layout, patent application and maintenance, patent transformation and application will be more perfect, and it will be organically integrated with the scientific and technological innovation system of colleges and universities and the transfer and transformation system of scientific and technological achievements. By 2025, the patent quality of colleges and universities will be significantly improved, and the patent operation ability will be significantly enhanced. The patent authorization rate and implementation rate of some colleges and universities will reach the level of world-class universities.

　　Second, the key tasks

　　(A) improve the intellectual property management system

　　1. Improve the overall coordination mechanism of intellectual property rights. Colleges and universities should set up a leading group for the management and operation of intellectual property rights or a leading group for the transfer and transformation of scientific and technological achievements, coordinate scientific research, intellectual property rights, state-owned assets, personnel, transfer and transformation of achievements, libraries and other relevant institutions, actively implement the "Regulations on the Management of Intellectual Property Rights in Colleges and Universities" (GB/T 33251-2016), and form an overall coordination mechanism integrating scientific and technological innovation with intellectual property rights management and transfer and transformation of scientific and technological achievements. Colleges and universities that have set up leading groups for the transfer and transformation of scientific and technological achievements should bring intellectual property management into the scope of responsibilities of the leading groups.

　　2. Establish and improve the intellectual property management process of major projects. Colleges and universities should embody intellectual property management in all aspects of project selection, project establishment, implementation, conclusion, achievement transfer and transformation. Explore and establish a sound patent navigation mechanism around major national scientific research projects such as major scientific and technological innovation 2030 projects and key R&D plans. Before the project is established, patent information and literature information are analyzed, intellectual property risk assessment is carried out, the research technology route is determined, and the starting point of research and development is improved; During the implementation of the project, track the work trends in the research field of the project, adjust the research direction and technical route in a timely manner, evaluate the research results in a timely manner and form intellectual property rights; Before the acceptance of the project, we should take the transformation and application as the guide, do a good job in patent layout and technical secret protection, and form a list of intellectual property rights of the project results; After the completion of the project, strengthen the implementation of patent application and promote the transfer and transformation of achievements. Encourage colleges and universities to strengthen the layout of intellectual property rights in strategic emerging industries and related industries in major national economic fields around advantageous and characteristic disciplines, and strengthen the application for international patents.

　　3. Gradually establish the disclosure system of post scientific and technological achievements. Colleges and universities should strengthen the management and service of scientific and technological innovations from the source, and gradually establish and improve the disclosure system of post scientific and technological achievements. Scientific researchers should actively and timely disclose their post-related scientific and technological achievements to their universities. Colleges and universities should improve the legal risk awareness of scientific researchers engaged in innovation and entrepreneurship, guide scientific researchers to carry out scientific and technological achievements transfer and transformation activities according to law, and effectively protect the legitimate rights and interests of colleges and universities. Without the permission of the unit, no one may use the scientific and technological achievements of his position to engage in the establishment of enterprises and other acts. The disclosure of scientific and technological achievements in classified positions should strictly abide by the relevant provisions on confidentiality.

　　(two) to carry out pre-application evaluation of patent.

　　4. Establish a pre-application patent evaluation system. Conditional colleges and universities should speed up the establishment of pre-patent application evaluation system, clarify the evaluation institutions and processes, cost sharing and incentives, and evaluate the technology to be patented, so as to decide whether to apply for a patent and effectively improve the quality of patent application. The evaluation work can be carried out by the intellectual property management department (technology transfer department) of our school or by the entrusted market-oriented institutions. For the post-service scientific and technological achievements that the evaluation institution considers unsuitable to apply for a patent after evaluation, and the losses caused to the university due to the abandonment of patent application, if the relevant responsible person has fulfilled the obligation of diligence and did not seek illegal interests, he may be exempted from the decision-making responsibility of giving up patent application according to the law and regulations. For the job-related scientific and technological achievements formed by projects entrusted by enterprises and other social organizations, the parties involved in the contract are allowed to decide independently whether to apply for patents.

　　5. Clear ownership of property rights and cost sharing. Colleges and universities are allowed to explore the ownership reform of service inventions, and give full play to the role of property rights incentives and cost sharing in accordance with the principle of equal rights and obligations to promote the quality of patents. Inventors may not use financial funds to pay patent fees.

　　After the patent application evaluation, inventors are encouraged to bear the patent fees for the post-service scientific and technological achievements that universities decide to apply for patents. If the university divides the ownership with the inventor, the inventor shall bear the patent fee in proportion to the property right. If the ownership is not divided, it is necessary to clarify the patent cost sharing and income distribution; If colleges and universities bear all the patent fees, the income from patent transformation will be distributed according to the established proportion after deducting the patent fees and other costs; If the inventor bears part or all of the patent fees, the patent fees and other costs shall be deducted from the income obtained from patent transformation, and the patent fees borne by the inventor shall be deducted twice and returned to the inventor, and then distributed according to the established proportion.

　　After the patent application evaluation, the university should conclude a written contract with the inventor to transfer the patent application right or patent right in accordance with legal procedures, and allow the inventor to apply for a patent on his own. After authorization, the patent right belongs to the inventor, and the patent expenses are borne by the inventor. After deducting the patent application and operation and maintenance expenses, the inventor will pay the income to the university according to the agreed proportion.

　　(3) Strengthen the construction of specialized institutions and talent teams

　　6. Strengthen technology transfer and the construction of intellectual property operating institutions. Support qualified universities to establish specialized institutions integrating technology transfer and intellectual property management and operation, and guarantee personnel, venues and funds. Through the platform and pilot demonstration construction such as "National Intellectual Property Pilot Demonstration University", "University Scientific and Technological Achievements Transformation and Technology Transfer Base" and "University National Intellectual Property Information Service Center", we will promote the construction of technology transfer and intellectual property management and operation system, and continuously improve the transformation ability of scientific and technological achievements in universities. Encourage colleges and universities to explore the market-oriented operation mechanism and fully mobilize the enthusiasm of professional institutions and talents.

　　Support the construction of market-oriented intellectual property operating institutions and provide professional services such as intellectual property, legal consultation, achievement evaluation and project financing for universities. Encourage colleges and universities to cooperate with third-party intellectual property operation service platforms or institutions, and give intermediary service fees to third-party professional institutions from the proceeds from the transfer and transformation of scientific and technological achievements. Encourage the combination of universities and localities, and set up industrial intellectual property operation centers around the industrial planning and layout of various localities and the academic advantages of universities.

　　7. Accelerate the construction of professional talents. Support colleges and universities to set up courses related to technology transfer and intellectual property operation, strengthen the construction of intellectual property related majors and disciplines, create a professional talent team of intellectual property management and technology transfer by combining introduction and education, and promote the construction of professional talent team. Encourage colleges and universities to set up expert committees on the transfer and transformation of scientific and technological achievements, and introduce technical managers to participate in the whole process of the transfer and transformation of scientific and technological achievements in colleges and universities, such as invention disclosure, value evaluation, patent application and maintenance, technology promotion and docking negotiation, so as to promote the application of patent transformation.

　　8. Establish an intellectual property management and operation fund. Support colleges and universities to raise funds to set up intellectual property management and operation funds through school grants, local awards, and the proceeds from the transfer of scientific and technological achievements, so as to entrust third-party professional institutions to carry out intellectual property management and operation such as patent navigation, patent layout and patent operation, as well as the construction of technology transfer professional institutions and talent teams, so as to form a good cycle of transformation benefits and promotion of transformation.

　　(D) Optimize the policy system

　　9. Improve the talent evaluation and employment system. Colleges and universities should be guided by quality and transformation performance, pay more attention to indicators such as patent quality and transformation application, and resolutely put an end to simply taking the amount of patent application and authorization as the assessment content and increase the weight of patent transformation application performance in policies such as title promotion, performance appraisal, post appointment, project completion, talent evaluation and scholarship evaluation. Support colleges and universities to independently set up a series of technical and management posts for technology transfer and transformation according to the relevant regulations on post setting management, and encourage researchers and managers to engage in the transfer and transformation of scientific and technological achievements.

　　10. Optimize the incentive policy for patent funding. Colleges and universities should take optimizing patent quality and promoting the transfer and transformation of scientific and technological achievements as the guide, stop funding and rewarding patent applications, greatly reduce and gradually cancel the rewards for patent authorization, and reward inventors or teams by increasing the proportion of transformation income and other "post-subsidy" methods.

　　Third, organize the implementation

　　(1) Improve the working mechanism. The Ministry of Education, China National Intellectual Property Administration and the Ministry of Science and Technology shall establish a regular communication mechanism to study the patent application, authorization and transformation in colleges and universities in a timely manner. Colleges and universities should deeply understand the importance of further improving patent quality, adhere to quality first, actively promote the patent quality improvement work to be included in the important agenda, further improve the level of intellectual property work, and promote the creation and application of intellectual property rights. Other types of intellectual property management can be implemented with reference to this opinion.

　　(2) Strengthen policy guidance. The transfer and transformation performance of scientific and technological achievements, such as patent transformation, is regarded as an important indicator of dynamic monitoring, effectiveness evaluation and discipline evaluation of the construction of first-class universities and first-class disciplines. It is not only to assess the number of patents, but also to highlight the transformation and application. Select a number of universities to carry out professional intellectual property operation or technology transfer personnel training, and constantly improve the intellectual property operation and technology transfer capabilities of universities. China National Intellectual Property Administration strengthens the examination of patent applications and strictly controls the quality of patents. Oppose the publication and resolutely resist the ranking of patent applications and authorizations in colleges and universities.

　　(three) the implementation of record monitoring. Before the end of March each year, colleges and universities will record the patents that have been transformed and implemented in the form of license, transfer, price share or joint ownership with enterprises through the China National Intellectual Property Administration system. According to the filing situation, the Ministry of Education and China National Intellectual Property Administration publish the implementation of patent transformation in colleges and universities every year, and monitor the patent transactions. According to "Several Provisions on Standardizing Patent Application Behavior" (China National Intellectual Property Administration Decree No.75, 2017), abnormal patent applications in colleges and universities are monitored every quarter. For colleges and universities with more than 5 abnormal patent applications per quarter or with abnormal patent applications accounting for more than 5% of the total patent applications this year, China National Intellectual Property Administration will cancel its qualification to declare the China Patent Award next year.

　　(4) Innovative licensing model. Encourage colleges and universities to carry out patent implementation transformation by means of ordinary license, and improve the transformation efficiency. Support the innovation licensing model of colleges and universities, and patents that have been granted the patent right for three years and have not been implemented without justifiable reasons can determine the relevant licensing conditions, publish them through the relevant platform of national intellectual property operation, and open the license to the society within a certain period of time.

Ministry of Education China National Intellectual Property Administration Ministry of Science and Technology

February 3, 2020