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Recently, the State Intellectual Property Office mentioned in its reply letter to Proposal No. 01061 (Science and Technology Category No. 057) of the Fifth Session of the 13th CPPCC National Committee:

1. Regarding “Promoting pre-patent application evaluation and strengthening the identification of high-value patents”

(1) Introduce special policies, strengthen policy guidance, and promote the improvement of patent quality in universities. In February 2020, our office, together with the Ministry of Education and the Ministry of Science and Technology, issued the "Several Opinions on Improving the Quality of Patents in Colleges and Universities to Promote Transformation and Application" (hereinafter referred to as the "Several Opinions"), requiring qualified universities to speed up the establishment of a pre-application evaluation system for patents. Clarify the evaluation agency and process, cost sharing and rewards, etc., and evaluate the technology to be patented to decide whether to apply for a patent. At the same time, the ownership of property rights and cost sharing are clarified, and inventors and universities are encouraged to share risks, and the inventors' sense of responsibility and endogenous motivation to improve patent quality and promote patent transformation are strengthened.

(2) Strengthen standard guidance, improve the evaluation rule system, and identify high-value patents. Our bureau has worked with the Ministry of Education to formulate the national standard "Regulations on Intellectual Property Management in Colleges and Universities", integrating intellectual property management into the entire process of scientific research project approval, project implementation, project acceptance, achievement transformation and promotion, and using intellectual property to promote scientific and technological innovation and achievements. Transform and improve the efficiency and effectiveness of scientific and technological innovation activities. Organize the preparation of the "Patent Value Analysis Indicator System Operation Manual" and promote its use in university research institutes, central enterprises and professional service institutions. The standard text of patent assessment guidelines has been drafted and completed, including patent classification and classification management scenarios, and the national standard project establishment work has been completed. In July 2021, the "Notice on Promoting and Standardizing Intellectual Property Operations" was issued, integrating intellectual property evaluation into the construction of the intellectual property operation system for overall planning and promotion, actively researching and promoting relevant normative guidelines for intellectual property evaluation, and improving the professionalization and intelligence of evaluation. level.

3. Regarding “Supporting the transformation of high-value patent industries and promoting the creation of high-value patents”

(1) Implement a special plan for patent conversion and support the industrialization of high-value patents. In 2021, our bureau, together with the Ministry of Finance, issued the "Notice on Implementing the Special Plan for Patent Conversion to Assist the Innovation and Development of Small and Medium-sized Enterprises", focusing on solving the "dilemma" problem of difficulty in patent conversion by university scientific research institutes and difficulty in acquiring technology by small and medium-sized enterprises. Since the launch of the special patent conversion plan, a total of 30 provinces across the country have followed up and issued implementation plans. In 2021, the number of patent transfer licenses granted by university scientific research institutes across the country reached 27,000, a year-on-year increase of 33.4%, and the growth rate was significantly higher than the national average. The patent transfer licenses of university research institutes in the eight first batch of key supporting provinces under the Patent Transformation Special Plan reached 18,000 times, accounting for 68.8% of the national universities.

2. Regarding “strengthening the layout of high-value patents and protecting high-value patents in a timely manner”

(2) Optimize funding policies and provide incentives and guidance for the use of patents in universities. In accordance with the requirements of "Several Opinions", Guide universities to further optimize patent funding and reward policies, stop funding and rewarding patent applications, significantly reduce and gradually cancel rewards for patent authorization, and reward inventors or teams through "post-subsidy" methods such as increasing the proportion of conversion income. At the same time, the talent evaluation and recruitment system is improved, and policies such as professional title promotion, performance appraisal, job appointment, project completion, talent evaluation and scholarship evaluation are implemented. resolutely put an end to simply taking the number of patent applications and authorizations as the assessment content, Increase the weight of patent conversion and application performance.

Letter from the State Intellectual Property Office regarding Proposal No. 01061 (Science and Technology No. 057) of the Fifth Session of the 13th CPPCC National Committee

Member Shi Weidong:

Your "Proposal on Strengthening the Evaluation and Layout of High-Value Patents and Accelerating the Transformation of Scientific and Technological Achievements in Colleges and Universities" submitted by you has been received. Based on the opinions of the Ministry of Education, the reply is as follows.

In your proposal, you conducted an in-depth analysis of the problems and reasons existing in the patent transformation of universities in my country, and put forward suggestions such as promoting pre-application evaluation of patents, strengthening the layout of high-value patents, and supporting the transformation of high-value patent industries. It has strong pertinence and reference significance. . In recent years, our office, together with the Ministry of Education and other departments, has taken a number of measures to improve the quality of patents in universities and promote the transformation and application of patents, and achieved positive results.

1. Regarding “Promoting pre-patent application evaluation and strengthening the identification of high-value patents”

(1) Introduce special policies, strengthen policy guidance, and promote the improvement of patent quality in universities. In February 2020, our office, together with the Ministry of Education and the Ministry of Science and Technology, issued the "Several Opinions on Improving the Quality of Patents in Colleges and Universities to Promote Transformation and Application" (hereinafter referred to as the "Several Opinions"), requiring qualified universities to speed up the establishment of a pre-application evaluation system for patents. Clarify the evaluation agency and process, cost sharing and rewards, etc., and evaluate the technology to be patented to decide whether to apply for a patent. At the same time, the ownership of property rights and cost sharing are clarified, the inventors and universities are encouraged to share risks, and the inventors' sense of responsibility and endogenous motivation to improve patent quality and promote patent transformation are strengthened.

(2) Strengthen standard guidance, improve the evaluation rule system, and identify high-value patents. Our bureau has worked with the Ministry of Education to formulate the national standard "Regulations on Intellectual Property Management in Colleges and Universities", integrating intellectual property management into the entire process of scientific research project approval, project implementation, project acceptance, achievement transformation and promotion, and using intellectual property to promote scientific and technological innovation and achievements. Transform and improve the efficiency and effectiveness of scientific and technological innovation activities. Organize the preparation of the "Patent Value Analysis Indicator System Operation Manual" and promote its use in university research institutes, central enterprises and professional service institutions. The standard text of patent assessment guidelines has been drafted and completed, including patent classification and classification management scenarios, and the national standard project establishment work has been completed. In July 2021, the "Notice on Promoting and Standardizing Intellectual Property Operations" was issued, integrating intellectual property evaluation into the construction of the intellectual property operation system for overall planning and promotion, actively researching and promoting relevant normative guidelines for intellectual property evaluation, and improving the professionalization and intelligence of evaluation. level.

(3) Strengthen demonstration and drive, summarize typical experiences, and promote the accelerated implementation of key tasks such as pre-application evaluation. In October 2020, our bureau and the Ministry of Education jointly issued the "Work Plan for the Construction of National Intellectual Property Pilot Demonstration Universities" (hereinafter referred to as the "Work Plan"), requiring pilot demonstration universities to comprehensively analyze and evaluate the quality, technological advancement, and market application of intellectual property rights. Prospects, etc., form a hierarchical and classified list of intellectual property rights, and conduct classified management to improve the ability to identify high-value patents. The survey shows that nearly 70% of the 110 pilot demonstration universities have established a pre-patent application evaluation system, which has effectively promoted the cultivation and transformation of high-quality patents in our country's universities. In December 2021, the Ministry of Education sorted out and summarized the typical experience of a group of universities in improving patent quality in terms of establishing and improving intellectual property management processes, exploring systems such as pre-patent application evaluation, and accelerating the training of professional talents in technology transfer, and summarized them nationwide. Promote internal publicity and promote universities to effectively improve the quality of patents.

2. Regarding “strengthening the layout of high-value patents and protecting high-value patents in a timely manner”

(1) Strengthen patent navigation and promote the strengthening of high-value patent layout. In accordance with the requirements of the "Several Opinions" and the "Work Plan", guide universities to establish a working mechanism for patent navigation, and clarify the industrial development pattern and technological innovation direction through in-depth mining and effective use of patent information in scientific research, industrial planning and patent operations. and R&D paths, and strengthen the precise layout of patents. At the same time, universities are encouraged to implement the "Patent Navigation Guide" series of national standards, providing tools and methods for universities to carry out patent navigation practices, and promoting effective patent layout around key core technologies. In February 2022, the World Intellectual Property Organization released relevant statistics on international patent applications submitted through the Patent Cooperation Treaty (PCT) channels. In 2021, a total of 19 universities in my country entered the top of the PCT international patent applicant rankings of global educational institutions. 50th, an increase of 4 compared with 2020, making it the country with the largest number of universities on the list.

(2) Optimize funding policies and provide incentives and guidance for the use of patents in universities. In accordance with the requirements of "Several Opinions", Guide universities to further optimize patent funding and reward policies, stop funding and rewarding patent applications, significantly reduce and gradually cancel rewards for patent authorization, and reward inventors or teams through "post-subsidy" methods such as increasing the proportion of conversion income. At the same time, the talent evaluation and recruitment system is improved, and policies such as professional title promotion, performance appraisal, job appointment, project completion, talent evaluation and scholarship evaluation are implemented. resolutely put an end to simply taking the number of patent applications and authorizations as the assessment content, Increase the weight of patent conversion and application performance.

3. Regarding “Supporting the transformation of high-value patent industries and promoting the creation of high-value patents”

(1) Implement a special plan for patent conversion and support the industrialization of high-value patents. In 2021, our office, together with the Ministry of Finance, issued the "Notice on Implementing the Special Plan for Patent Conversion to Assist the Innovation and Development of Small and Medium-sized Enterprises", focusing on solving the "dilemma" problem of difficulty in patent conversion by university scientific research institutes and difficulty in acquiring technology by small and medium-sized enterprises. Since the launch of the special patent conversion plan, a total of 30 provinces across the country have followed up and issued implementation plans. In 2021, the number of patent transfer licenses granted by university scientific research institutes across the country reached 27,000, a year-on-year increase of 33.4%, and the growth rate was significantly higher than the national average. The patent transfer licenses of university research institutes in the eight first batch of key supporting provinces under the Patent Transformation Special Plan reached 18,000 times, accounting for 68.8% of the national universities.

(2) Implement an open patent licensing system and expand channels for the conversion of high-value patents. Since 2022, in order to promote the smooth start and efficient operation of the open licensing system, our office has issued the "Patent Open Licensing Pilot Work Plan". It plans to guide more than 100 universities to participate in the pilot by the end of 2022, and achieve more than 1,000 patent licenses, effectively improving Patent transformation results. At present, 17 provinces have issued pilot plans, and 190 university research institutes have participated in the pilots. A total of more than 4,000 patent pilot open licenses with marketability prospects have been organized and screened, and technologies such as artificial intelligence have been fully utilized to accurately match and push them to nearly 20,000 companies. For small, medium and micro enterprises, 643 licensed projects were facilitated.

(3) Actively build various platforms to enhance the ability to transform scientific and technological achievements. Our office, in conjunction with the Ministry of Education, has successively identified 80 national intellectual property information service centers in universities to provide information support for universities to establish patent navigation mechanisms, carry out patent information and literature intelligence analysis, intellectual property risk assessment, and high-value patent layout. The Ministry of Education supports qualified universities to establish and improve specialized institutions that integrate technology transfer and intellectual property management and operation, and encourages universities to explore market-oriented operating mechanisms to fully mobilize the enthusiasm of professional institutions and talents. At the same time, universities are encouraged to set up industrial intellectual property operation centers based on local industrial planning and layout and university subject advantages to improve professional service levels. Together with the Ministry of Science and Technology, we have identified the first batch of 20 universities to carry out pilot projects for the construction of national-level specialized technology transfer institutions. We will use the construction and development of technology transfer institutions as a breakthrough to further improve the transformation system of scientific and technological achievements in universities and effectively promote the high-level creation and high-efficiency transformation of scientific and technological achievements in universities.

In the next step, our bureau will work with relevant departments to further increase the intensity of intellectual property work in universities and promote the transformation and application of intellectual property. First, the Ministry of Education and the Ministry of Industry and Information Technology jointly launched the "Thousands of Schools and Tens of Enterprises" collaborative partnership action to promote the strengthening of innovation cooperation between universities and enterprises and promote the deep integration of innovation chains and industrial chains. The second is to work with the Ministry of Education to promote the transformation of "hundred schools and thousands of items" high-value patents, to encourage universities to strengthen quality source management, cultivate high-value patents, and promote high-efficiency transformation. The third is to thoroughly implement the special plan for patent conversion and the open licensing system, publish patent implementation licensing contract filing data, accelerate the formulation and promotion of national standards for patent evaluation guidelines, improve the intellectual property evaluation system, and promote patent hierarchical management. The fourth is to take the construction of national intellectual property pilot demonstration universities as the starting point to comprehensively promote model innovation, system innovation and mechanism innovation, promote universities to improve the whole process management system of intellectual property rights, and continuously improve the quality of patents.

I sincerely thank you for your concern and support for intellectual property work. I hope you will continue to pay attention to the development of intellectual property work and provide more valuable opinions and suggestions on intellectual property work.

State Intellectual Property Office

August 31, 2022

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