Recently, the State Intellectual Property Administration, along with the Ministry of Education, Ministry of Science and Technology, Ministry of Industry and Information Technology, Ministry of Agriculture and Rural Affairs, National Health Committee, State-owned Assets Supervision and Administration Commission of the State Council, and Chinese Academy of Sciences jointly issued the "Working Plan for Reviving the Stock of Patents in Colleges and Scientific Research Institutions" (hereinafter referred to as the "Working Plan"). The following is an interpretation of the contents of the "Working Plan".
I. Background and Significance of the Working Plan
The Party Central Committee and the State Council attach great importance to the transformation and application of patents in universities and scientific research institutions. President Xi Jinping has emphasized that technological innovation is not just about research in laboratories, but about turning technological achievements into real driving forces that promote economic and social development. The report of the 20th CPC National Congress proposed to strengthen industry-university-research institute deeply integrate with enterprise leadership, and improve the level of technological transformation and industrialization. Universities and scientific research institutions are important components of the national strategic technology force and innovation system. They are the main force of technological innovation, leaders in patent development, and the main supply side for patent transformation and application. Currently, universities and scientific research institutions are increasingly active in innovation, playing a positive role in high-value patent research and development, supporting enterprise growth, and supporting high-level technological self-reliance. However, there are still some difficulties and bottlenecks in patent transformation and application, which need to be resolved.
In October 2023, the General Office of the State Council issued the "Special Action Plan for Patent Transformation and Application (2023-2025)" (hereinafter referred to as the "Special Action"), which states "promoting patent industrialization and accelerating patent value realization" as important tasks. It also clearly stated the need to sort out and activate the existing patents of universities and scientific research institutions as its primary mission. To implement the deployment of the "Special Action," the National Intellectual Property Administration jointly with eight other departments including the Ministry of Education and the Ministry of Science and Technology studied and formulated the "Working Plan," which was officially issued on January 26 2024. The Working Plan comprehensively deploys the work of sorting out and activating existing patents in universities and scientific research institutions. It strives to achieve full coverage in inventory screening, evaluation, and promotion connections, increasing the breadth, depth, and intensity of patent transformation work in universities and scientific research institutions. It has important practical significance for promoting patent industrialization and better serving the development of the real economy.
Firstly, it is conducive to accelerating the transfer and transformation of patents in universities and scientific research institutions. These institutions hold a large number of patents with significant transformation potential. Accelerating inventory screening to identify a series of existing patents with potential market value is an effective way to activate resources and promote transformation. Secondly, it helps guide the improvement of the quality of innovation and creation in universities and scientific research institutions. The assessment by enterprises of the industrialization prospects of existing patents, as well as feedback on technical improvement needs and cooperation willingness, will help these institutions pay more attention to refine research questions from actual needs, strengthen industry-university-research institute cooperation connections, and form more high-value patents that meet industry needs. Thirdly, it helps empower innovative development of enterprises. By matching policies, services, capital, and other quality resources for high-value patents, it will help enterprises better and faster realize patent industrialization, cultivate competitive patent-intensive products, form new productive forces, and develop new momentum for development.
II. Main Content of the "Working Plan"
The "Working Plan" consists of three parts: general requirements, main tasks, and organization and implementation.
General Requirements: The plan thoroughly implements the decisions and policies of the Party Central Committee and the State Council on promoting patent industrialization. It establishes the principles of "comprehensive inventory, screening for inclusion, market evaluation, and hierarchical promotion" for patent revitalization work, with a working approach of "inventory taking, promotion, and conversion simultaneously." The "Working Plan" emphasizes the need to fully mobilize the enthusiasm and initiative of various market players and professional service organizations. It aims to focus on both activating existing patents and optimizing new ones. By 2024, the plan aims to achieve full coverage of effective patents that have not yet been transformed at universities and research institutions nationwide. By 2025, it aims to accelerate the transformation of a series of high-value patents, speed up the establishment of a patent creation and utilization mechanism oriented towards industrial needs, and promote significant increases in the industrialization rate and implementation rate of patents at universities and research institutions. It strives to promote the conversion of patents at universities and research institutions into real productive forces.
Main Tasks: The main tasks include four aspects. Firstly, universities and research institutions need to comprehensively review and inventory their existing patents, screening out patents with great market potential and high economic value. Secondly, the role of market evaluation should be leveraged by organizing enterprises to evaluate the industrialization prospects of transformable patents screened by universities and research institutions and provide feedback. Thirdly, different regions should implement targeted measures based on the different values and characteristics of transformable patents, match high-value patents with high-quality resources, and promote their accelerated implementation. Fourthly, universities and research institutions should precisely connect with market demand, produce and layout more high-value patents, improve institutional mechanisms, and optimize patent increments. Corresponding specific tasks, responsibility divisions, and schedules are clearly defined around the above four aspects.
Organization and Implementation: The plan puts forward clear requirements from four aspects including strengthening organization and scheduling, strengthening incentives and constraints, carrying out publicity and training, and strengthening monitoring and evaluation to ensure the implementation of tasks.
III. Mainline and Overall Thinking of the "Working Plan"
The main focus of the patent transformation and utilization special action is to promote the industrialization of a series of high-value patents, which is also the primary criterion for evaluating the effectiveness of the special action implementation. To thoroughly implement the "Special Action" deployment, the "Working Plan" firmly grasps this main line and promotes the main role and leadership of universities and scientific research institutions in innovation and high-quality development from both activating existing patents and optimizing incremental patents.
The overall thinking of the "Working Plan" revolves around "one platform, two endpoints, three databases, and four steps" to focus on promoting the activation of the existing patents of universities and scientific research institutions.
"One platform" refers to the National Patent Navigation Comprehensive Service Platform (hereinafter referred to as the comprehensive service platform, www.patentnavi.org.cn). This platform provides universities and scientific research institutions with accurate and comprehensive basic data on existing patents, as well as data support such as data aggregation, classification, analysis, matching, and tracking feedback. It organizes and guides universities, research institutions, public service organizations, market service institutions, and various innovative enterprises to register on the platform to better carry out inventory screening, market evaluation, transformation docking, and other work based on the platform.
"Two endpoints" refer to the evaluation of the industrialization prospects of existing patents by both supply and demand ends. Specifically, universities and institutions as the supply end conduct "self-evaluation" on their own existing patents, followed by "other evaluations" by enterprises in related fields from the perspective of the market. This approach strengthens market orientation to improve the scientific and effective evaluation of the industrialization prospects of existing patents, laying a solid foundation for patent transformation, especially patent industrialization. At the same time, relying on the platform, a bridge between supply and demand is built to promote the transformation of existing patents.
"Three databases" refer to the basic database of existing patents, patent transformation resource database, and patent evaluation expert database. The basic database of existing patents is a comprehensive and accurate database composed of current valid patents from universities and scientific research institutions. The patent transformation resource database is formed by universities and scientific research institutions screening their patents from the basic database through self-evaluation, which will be further enriched and improved by enterprise evaluation. The patent evaluation expert database consists of experts in various industries selected by the comprehensive service platform. Experts in related fields can evaluate patents matched to their enterprises or accept the commission of universities, scientific research institutions, and related enterprises to evaluate patents in the patent transformation resource database. These three databases are open to universities, scientific research institutions, enterprises and other innovation subjects, as well as all levels of intellectual property service institutions for shared use in patent evaluation, transformation, and utilization work.
"Four steps" refer to activate existing patents from universities and scientific research institutions in four steps: comprehensive inventory, market evaluation, promotion and transformation, as well as optimization of incremental patents. Firstly, universities and scientific research institutions conduct sorting out screening. Then, based on market feedback from evaluations, high-value patents will be matched with quality resources to accelerate their industrialization. Evaluation feedback will also guide precise docking and joint research between universities and enterprises to optimize patent increments. During the comprehensive inventory process, completed convertible patents should be organized for enterprise evaluation in a timely manner for accelerated promotion and transformation while simultaneously conducting the remaining inventory work on existing patents. Overall work rhythm should achieve a staggered progress through "four steps" to realize "inventory while promoting conversion efficiency simultaneously," achieving results during the inventory process and accelerating inventory work while improving efficiency.
IV. How to Conduct Stock Patent Inventory in Colleges and Scientific Research Institutions
Scope of inventory: Colleges and scientific research institutions should conduct a comprehensive inventory of all existing patents authorized by the end of 2023. Patents authorized in 2024 and beyond should also be promptly included in the inventory scope. The inventory should prioritize patents in key industries and dominant disciplines.
Content of inventory: Colleges and scientific research institutions can adopt self-assessment by inventors or centralized evaluation by the unit to consider factors such as technical maturity, application scenarios, and industrialization prospects. They should screen out patents with great market potential and high economic value, mark their transformation intentions for different methods such as transfer, licensing, self-application, or industrialization, and register them to form a patent transformation resource pool. At the same time, information such as the specific situation of implemented patents should be annotated. Colleges and scientific research institutions can log in to the integrated service platform to view or download the specific information items that need to be annotated.
Method of inventory: Colleges and scientific research institutions can directly conduct the inventory on the integrated service platform or use their own platforms. The results and annotated information should be uploaded to the integrated service platform in standard format. During the inventory screening process, colleges and scientific research institutions should effectively play the role of their internal scientific and technological achievements management departments, technology transfer and transformation institutions, and college intellectual property information service centers. They should fully leverage the forces of intellectual property public service institutions and market-oriented service institutions to accelerate the progress of inventory work and improve its quality.
Progress of inventory: Since the issuance of the Work Plan, colleges and scientific research institutions nationwide have fully launched the inventory work and logged in to the integrated service platform in a timely manner to screen out and form a patent transformation resource pool. By the end of March 2024, provincial intellectual property management departments should work with relevant departments to complete pilot inventories in 1-2 colleges, summarize experiences, promote, and disseminate them. By the end of June 2024, national intellectual property demonstration colleges should have achieved initial results in patent inventory work, and other colleges and scientific research institutions should have completed over 30% of their inventories. By the end of 2024, all colleges and scientific research institutions nationwide should have completed their inventories and stored them in the system.
V. How can enterprises do well in patent evaluation on the demand side?
Enterprises are the demand and application parties of patent technology. The evaluation of patents from universities and research institutions by corresponding industrial enterprises and experts will effectively promote the connection of supply and demand. While doing a good job in evaluation, it is necessary to select patents with clear application scenarios and high technical maturity for landing and transformation. By the end of 2024, the enterprise evaluation of patent transformation in various regions will be basically completed, and the patent transformation resource pool will be continuously improved.
Firstly, local enterprises should evaluate and provide feedback results. Knowledge-based enterprises with advantages in demonstration, specialized and innovative small and medium-sized enterprises, high-tech enterprises, and large state-owned enterprises have strong innovation capabilities and high technology demand. They are the main force to undertake patents from universities and research institutions for industrialization. These enterprises should evaluate whether the patents in the patent transformation resource pool can truly realize industrialization, provide feedback on related needs, which not only improves the accuracy and credibility of the evaluation but also facilitates communication and cooperation between schools and enterprises. Under the organization of provincial departments, various types of enterprises such as local knowledge-based demonstration enterprises, specialized and innovative small and medium-sized enterprises, high-tech enterprises, state-owned enterprises, etc., should evaluate the industrialization prospects of convertible patents in related fields, provide feedback on technical improvement needs and willingness to cooperate in production, research, and development. In the process of evaluation, enterprises should understand patents and familiarize with inventors, closely connect with universities or research institutions to accelerate the process of patent technology landing and transformation. The evaluation results are directly marked by enterprises on the integrated service platform or fed back to the integrated service platform according to standard formats by provincial intellectual property bureaus to enrich and improve the patent transformation resource pool for universities and research institutions. These resources are shared across the country.
Secondly, it is necessary to fully leverage the support role of expert libraries. In the process of university inventory taking and enterprise evaluation, for some complex technology patents' industrialization prospects, scientific judgments need to be made with the help of long-term frontline experts in this field. Therefore, the integrated service platform has established an expert database according to industrial fields for selection by universities and enterprises with needs to fully leverage the intellectual support role of expert resources nationwide. By the end of April 2024, a patent evaluation expert database should be established to support local governments in enriching and improving the patent transformation resource pool. Enterprises can organize experts from the database to evaluate convertible patents in key industrial fields pushed by the platform. The evaluation results are distributed and pushed by the integrated service platform to support patent transformation resource pools across the country. During the patent industrialization process, universities, research institutions, and enterprises can seek technical guidance and services from experts in this field based on actual situations and needs through selecting relevant experts from expert databases.
VI. How to promote the implementation and conversion of high-value patents in various regions
By the end of June 2024, all provinces (autonomous regions and municipalities) must fully launch online and offline promotion of high-value patents in accordance with the requirements of "inventory-checking, promotion, and transformation". At the same time, they should select several high-value patent projects for key promotion, play a typical leading role, timely summarize the effective models of patent transformation in stock and replicate them.
Firstly, mobilize all forces. Knowledge management departments at all levels should work with local relevant departments to build a connection channel relying on the patent transformation resource pool. They should organize regular connections between universities and scientific research institutions and various enterprises such as intellectual property advantage demonstration enterprises, specialized and innovative small and medium-sized enterprises, high-tech enterprises, and state-owned enterprises. Universities and scientific research institutions should take the main responsibility for inventory checking and transformation of existing patents, and screen out high-value patents to promote them to the market. Enterprises should summarize their own needs, actively seek connections with research teams in universities and scientific research institutions, and jointly promote the implementation of high-value patents through school-enterprise cooperation. Knowledge public service institutions at all levels should fully leverage their resource advantages and service expertise to provide diversified public services such as policy consultation, information services, business guidance, and ability training, improving enterprises' patent information utilization and intellectual property management capabilities. Relevant industry associations should focus on common technological needs in the industry and help small and medium-sized enterprises accurately obtain high-quality patents from universities and scientific research institutions. Market-oriented service institutions such as intellectual property operation service platforms (centers) and technology transfer institutions should actively participate in activities such as technical validation and ripening, roadshow promotion, and transaction matching, providing targeted professional services to improve patent matching and transformation efficiency.
Secondly, strengthen classified promotion. The patents in the patent transformation resource pool, which have been inventoried and screened by universities and evaluated and feedback by enterprises, have different values and characteristics. Knowledge management departments at all levels should work with local relevant departments to implement differentiated policies for different types of transformable patents to promote their better and faster application and promotion. For high-value patents, local industrialization support policies such as integration and overall planning should be integrated with investment institutions' matching, patent pledge financing and insurance, and specialized services for intellectual property rights of listed companies to promote rapid transformation. For high-value patents in key industries, universities and scientific research institutions are encouraged to participate in the construction and operation of patent pools following market principles. For patents with wide market application scope, strong practicality, and suitable for multi-party implementation in multiple locations, open licenses are guided.
Thirdly, implement the transformation on the ground. Universities and scientific research institutions can transform their patents through various methods such as transfer, license, and conversion into shares. In the case of choosing a license method, the "Working Plan" proposes advocacy content regarding license types and license fee payment methods. Regarding license types, ordinary licenses to multiple innovation subjects are conducive to expanding the benefits of universities and scientific research institutions' patented technologies and improving social benefits. Therefore, it is advocated that universities and scientific research institutions adopt ordinary licenses for the transformation of high-value patents based on actual conditions. Regarding license fee payment methods, which typically include one-time payment, installment payment, royalties based on sales or profit margins, adopting an upfront fee plus royalties or deferred payment method can avoid enterprises from paying too high a license fee before obtaining any conversion benefits, while also ensuring long-term benefits for universities from patent conversion. Therefore, it is advocated that universities and scientific research institutions license using an upfront fee plus royalties or deferred payment method to share benefits and risks with enterprises. In addition, it is advocated that universities and scientific research institutions conduct stability analysis on practical new prototype and appearance design patents, which can improve the legal certainty of transformable patents and effectively reduce risks during transformation and application.
VII. How to Optimize the Increment of Patents
The stockpile of patents in universities and research institutions is dynamically formed, and new applications and authorized patents continue to emerge, which will then become the new stockpile of patents. It is necessary to improve the quality of patent applications at the source, optimize the increment of patents, in order to activate the stockpile of patents fundamentally, achieve batch processing of new patents and transformation, and avoid "clearance before but still owe after."
Firstly, precise connection to demand. Universities and research institutions should pay attention to and receive feedback on the evaluation of convertible patents from enterprises on the comprehensive service platform in a timely manner. On one hand, based on the technical improvement needs of enterprise evaluation feedback, they should work with enterprises to carry out patent technology validation, pilot tests, etc., optimize and improve relevant patent technologies, and enhance the success rate of patent industrialization. On the other hand, they should focus on the needs of industry-university-research cooperation feedback from enterprises, especially key core technology research, original technologies with significant application prospects and other key needs. They should work with enterprises to launch customized R&D and innovative development to produce and lay out more high-value patents that meet industry demand.
Secondly, improve the system and mechanism. At the government policy level, it is necessary to highlight patent quality and industrialization orientation, introduce policies and systems conducive to transformation, clean up policies and systems that are not conducive to transformation, and incorporate patent transformation benefits into the evaluation indicators of universities and research institutions such as subject evaluation, institution evaluation, project review, talent evaluation, and professional title evaluation. Implement a patent declaration system for financially supported scientific research projects, strengthen tracking monitoring of related patents, and continuously improve their output quality and management level. In terms of internal management of universities and research institutions, they should comprehensively consider transformation potential, commercial value, and maintenance costs, accelerate the implementation of a pre-application evaluation system for patents with industrialization prospects as the core; strictly regulate abnormal patent application behavior, stop funding rewards for patent applications in accordance with relevant documents, significantly reduce and gradually eliminate rewards for patent authorizations. Rewards should mainly be provided to inventors or R&D teams through transformation income to improve patent quality at the source. Explore new models of management of scientific and technological achievements, establish and improve a supporting system for patent transformation with due diligence exemption.
VIII. How to do well in organization implementation and job assignment?
At the national level, departments of the State Council such as the State Intellectual Property Administration, the Ministry of Education, the Ministry of Science and Technology, the Ministry of Industry and Information Technology, the Ministry of Agriculture and Rural Affairs, the National Health Commission, the State-owned Assets Supervision and Administration Commission of the State Council, and the Chinese Academy of Sciences should strengthen overall coordination, policy synergy, and service guidance. They should promptly address key and difficult issues while doing a good job in the inventory taking, mobilization, supervision and guidance for patent transformation of universities and scientific research institutions under their respective responsibilities. They should also guide the comprehensive service platform to provide support and guarantee work. Additionally, they should optimize and adjust relevant policies and management systems, highlight patent quality and industrialization orientation, and include patent transformation benefits in the evaluation indicators of universities and scientific research institutions such as subject evaluation, institution assessment, project review, talent evaluation, and professional title evaluation.
At the provincial level, provincial intellectual property administrations should work under the leadership of local committees and governments. They should fully leverage the joint conference system for building a strong intellectual property country and the promotion mechanism for patent transformation and utilization special actions. They should work with local departments to implement various tasks in an organized manner. Provincial departments should also do a good job in mobilizing and supervising the inventory taking of universities and scientific research institutions according to their responsibilities. They should organize various types of enterprises such as intellectual property advantage demonstration enterprises, specialized and specialized small and medium-sized enterprises, high-tech enterprises, state-owned enterprises in the industry field to evaluate patents in the provincial patent transformation resource pool. They should also receive and feedback data from the comprehensive service platform to build a bridge for accelerating high-value patent transformation, match quality resources, and constantly improve incentive policies related to patent increment.
At the level of universities, scientific research institutions, and enterprises, universities and scientific research institutions should fulfill their principal responsibilities, fully mobilize various departments such as internal scientific and technological achievements management departments, technology transfer institutions, departments or colleges, inventors to complete high-quality inventory taking and screening of existing patents. Enterprises should carefully organize frontline staff who understand technology and products to participate in evaluations. If necessary, they can rely on experts in this field to ensure the quality of patent evaluation feedback work. If existing patents have completed transfer licenses, universities and scientific research institutions should timely complete transfer registration or license contract filing procedures according to laws and regulations. They should also fill in transfer or license information on the comprehensive service platform. If these patents are transferred to enterprises for industrialization after obtaining licenses, enterprises should promptly register on the national patent-intensive product certification pilot platform to provide feedback on the final effectiveness of patent industrialization.
IX. How to strengthen incentive constraints and monitoring evaluation
Regarding the strengthening of incentive constraints, local work measures and implementation results will be an important part of the performance evaluation of the special action for patent transformation and application. The effectiveness of the work of the pilot demonstration cities and counties, enterprises and institutions for building a strong intellectual property country, as well as the intellectual property operation service platforms (centers) and public service institutions in the patent revitalization work, will be an important factor in their evaluation. The relevant departments of the State Council and various localities should strengthen policy incentives, and provide priority support for universities, scientific research institutions and enterprises with outstanding achievements in project arrangement, subsidy support, award application and evaluation.
Regarding the strengthening of monitoring and evaluation, the State Intellectual Property Administration relies on the comprehensive service platform to regularly monitor the inventory of patents held by local universities and scientific research institutions, evaluation feedback from enterprises, and the promotion and application of patents, and conduct random spot checks and supervision. It also regularly collects relevant data reflecting the effectiveness of patent transformation and industrialization of universities and scientific research institutions as an important indicator for evaluating the implementation results in various regions, and provides timely feedback to all relevant parties.
X. General schedule for implementing and advancing the Work Plan:
From the date of issuance of the Work Plan, all localities should organize universities and scientific research institutions to fully launch inventory work, and simultaneously carry out promotion and landing transformation work. The Work Plan has specified the deadline for completing relevant links. All localities should timely carry out work to accelerate early completion. In particular, universities and scientific research institutions should complete inventory screening work as soon as possible, laying a good foundation for promoting the rapid transformation of high-value patents.
By the end of February 2024, provincial intellectual property bureaus will submit specific implementation plans to the State Intellectual Property Administration. All localities should timely report useful experience, typical cases, and existing problems during the inventory evaluation and transformation process.
By the end of March 2024, provinces and cities will guide and urge a number of key universities and scientific research institutions to complete patent inventory of existing patents, summarize inventory experience, and establish working models.
By the end of June 2024, universities listed as pilot or demonstration institutions by China's intellectual property system should complete the inventory storage of all existing patents with those in other universities covering more than 30% of their patents. All localities should fully launch online and offline promotion of high-value patents according to the requirements of "inventory taking while simultaneously promoting and transforming".
By the end of 2024, nationwide coverage of untransformed valid patents held by universities and scientific research institutions will be achieved. The patent evaluation work for enterprises that can be transformed will be basically completed in various regions, and patent transformation resource libraries will be continuously improved.
By the end of 2025, a batch of high-value patents will be transformed at an accelerated pace, with patent creation mechanism oriented towards industrial demand being established rapidly in order to improve significantly the industrialization rate and implementation rate of patents owned by universities and scientific research institutions. This will promote effectively the conversion of patents from universities and scientific research institutions into real productive forces.
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