NEWS

Shenzhen Municipal Supervisory Regulations [2022] No. 6

Relevant units:

In order to further implement the strategy of strengthening the city through intellectual property rights, strengthen the creation, protection and application of intellectual property rights, and standardize the evaluation procedures for the Municipal Science and Technology Award Patent Award, according to the "Shenzhen Science and Technology Award Measures" (Shenzhen Regulations [2022] No. 3) and the "Shenzhen Science and Technology Awards" In accordance with the document requirements of the "Regulations on the Management of Normative Documents of Municipal Administrative Agencies" (Government Order No. 305), our bureau has formulated the "Implementation Rules of the Shenzhen Municipal Administration for Market Regulation on the Municipal Science and Technology Award Patent Award" and has been reviewed by the Municipal Justice Bureau It is adopted and is hereby issued. Please comply with it.

Shenzhen Municipal Administration for Market Regulation

October 11, 2022

Implementation Rules of the Shenzhen Municipal Administration for Market Regulation on the Municipal Science and Technology Award Patent Award

Chapter 1 General Provisions

Article 1 In order to standardize the evaluation procedures for the Shenzhen Science and Technology Award Patent Award (hereinafter referred to as the Patent Award) and ensure the quality of the evaluation, according to the "Shenzhen Science and Technology Award Measures" (Shenzhen Regulations [2022] No. 3) (hereinafter referred to as the "Award Measures") , formulate these implementation rules. ·

Article 2 These implementation rules apply to the nomination, acceptance, review, publicity, awarding and other activities of the Patent Award.

Article 3 The Shenzhen Municipal Market Supervision and Administration Department (hereinafter referred to as the Municipal Market Supervision Department) is responsible for the selection of the Shenzhen Patent Awards.

Article 4 The Patent Award is reviewed once a year, and the awards are not divided into grades. The total number of awards awarded each year shall not exceed 25, and no less than 80% of the award-winning projects shall be invention patents.

Article 5 The Patent Award implements a nomination system. In accordance with the "Award Measures" and these Implementation Rules, the Municipal Market Supervision Department issues a notice on the annual patent award nomination work, announces the nomination material requirements, acceptance time and acceptance methods and other relevant matters, and carries out the nomination, acceptance, and review work for the year.

Chapter 2 Nomination

Article 6 Patent Award projects are nominated by the following units or individuals (hereinafter collectively referred to as nominees):

(1) Relevant departments of the municipal government, science and technology departments of each district government (Dapeng New District, Shenshan Special Cooperation Zone Management Committee).

(2) Our city’s colleges and universities and scientific research institutions with public institution legal person status.

(3) Professional industry associations and social groups in the field of intellectual property registered in accordance with the law in our city.

(4) Academicians of the Chinese Academy of Sciences and the Chinese Academy of Engineering working full-time in our city.

(5) Experts and scholars from the Shenzhen Intellectual Property Expert Database.

(6) Its patented project has won the China Patent Award, Guangdong Patent Award or Shenzhen Patent Award in the past three years, and is the patentee or first inventor (designer) under the management and statistics of Shenzhen City.

(7) Other units or individuals that meet the provisions of Article 18 of the "Rewards Measures".

Article 7 Nominators should nominate projects within the scope of their own discipline, industry, and department. For unit nominations, no more than 2 projects can be nominated each year; for individual nominations, at least two people should jointly nominate 1 project, and each person can only nominate once per year.

Article 8 When nominating a patent award project, the nominator should review the project materials according to the conditions stipulated in these implementation rules, make an objective evaluation, fill in the nomination letter prepared by the municipal market supervision department, and provide necessary qualification certificates and project evaluation opinions. . The nominator shall be responsible for the authenticity of the nomination letter and related materials, and shall bear corresponding obligations in nomination, defense, objection handling, etc.

Article 9 Projects nominated for the Patent Award should meet the following conditions:

(1) The patentee is an organization, the patentee should be the nominee, and the patentee should be an enterprise, institution, social organization or other institution registered in accordance with the law, and its patent business shall be under the management and statistics of Shenzhen City; patent If the patentee is an individual, he shall be the nominee jointly with the implementing unit. The patentee shall be resident or working full-time in this city, or be the legal representative or shareholder of the implementing unit. The implementing unit shall meet the organization type conditions specified in this item.

(2) The nominated project is a patent that has been authorized by the State Intellectual Property Office, and the patent right is valid and stable, and there are no unpaid annual fees or late fees.

(3) The patented technology has a high level of originality and plays a prominent role in promoting scientific and technological innovation in this field in Shenzhen.

(4) The patent has been implemented and has achieved significant economic, social or ecological environmental benefits.

(5) The patent text is of high quality.

(6) The protection measures for the patent are relatively complete.

(7) The patent and its products comply with national, provincial and municipal industrial policies.

Article 10 Anyone who falls under any of the following circumstances shall not be nominated for the Patent Award:

(1) The same project has won patent awards from the country, Guangdong Province, and Shenzhen City.

(2) The same project has won the Shenzhen Science and Technology Award as the main intellectual property certificate.

(3) There is a dispute over patent ownership.

(4) The patent is in the process of invalidation.

(5) Government agencies or agency staff.

(6) Confidential patents and undeclassified defense patents.

(7) Other circumstances that are not suitable for nomination as stipulated in laws, regulations, rules, etc.

Article 11 The nominator shall review the following project materials of the nominee:

(1) "Shenzhen Patent Award Nomination Project Information Form".

(2) If the patentee is an organization, documents related to the subject qualifications must be provided; if the patentee is an individual, identity documents must be provided, and documents related to the subject qualifications of the jointly nominated unit must be provided.

(3) Copy of patent certificate.

(4) Patent announcement documents, including the title page of the authorization announcement, claims, instructions and drawings, or design drawings, etc.

(5) A copy of the patent registration book issued by the State Intellectual Property Office within the past three months; for utility model and design patents, a copy of the patent right evaluation report is also required.

(6) If there are two or more patentees, the written consent of all patentees and the document designating one of the patentees as the nominee must be provided; if the patentee and the implementation unit are jointly nominated, the implementation unit must provide The company has the legal right to implement the patent.

(7) Proof of economic benefits, description of social benefits or description of ecological environmental benefits; the proof of economic benefits is a special audit report for the nominated patent award project issued by an accounting firm, which should include the product production volume, project investment amount, sales volume, Economic indicators such as profits and taxes, export volume, etc.; corresponding materials should be provided for descriptions of social benefits and ecological and environmental benefits.

(8) If the products of the patented project are medicines, foods, pesticides and other special products involving life safety, relevant market access materials approved by the relevant departments for production in accordance with the law should be provided.

(9) Other materials to be provided.

After reviewing the project materials, the nominator who agrees to the nomination shall submit a nomination letter and other nomination materials to the municipal market supervision department; those nominated by municipal or district government departments must be affixed with an official seal; those nominated by other units must affix an official seal and submit nomination documents that meet the requirements of the nomination. Unit certificate of qualifications; if nominated by an individual, the nominator’s signature and documentation proving the nominator’s qualifications are required.

Chapter 3 Acceptance

Article 12 The municipal market supervision department shall conduct a formal review of the nomination materials, and require the nomination materials that do not meet the regulations to be supplemented and corrected within a time limit; if the supplements are not made within the time limit, the nomination will be deemed to have been abandoned; if the nomination materials still do not meet the regulations after supplements and corrections, the application will not be accepted.

Article 13 Projects that pass the formal examination shall be publicized by the municipal market supervision department, and the publicity period shall be no less than 10 days.

If any organization or individual has objections to the publicity items, they may submit them in writing to the municipal market supervision department within the time specified in the publicity, and provide necessary evidence or investigation clues. Failure to submit or provide necessary evidence or investigation clues within the time limit will not be accepted.

If an organization raises an objection, the written material shall be signed and confirmed by its legal representative and stamped with the official seal; if an individual raises an objection, the objection material shall record a clear mailing address, telephone number and other valid contact information, and sign the real name and provide identification documents.

After receiving the objection materials, the municipal market supervision department shall review the objection materials, accept them if they comply with relevant regulations, and notify the real-name objectors of the acceptance status. Objections that do not comply with the regulations will not be accepted.

If the municipal market supervision department needs the nominator and nominee to assist in the investigation when handling objections, the nominator and nominee should actively cooperate.

Chapter 4 Review Organization

Article 14 The municipal market supervision department shall organize the Patent Award Review Committee to conduct the review based on the number of nominations in the year, the distribution of technical fields of the nominated projects, etc.

The Patent Award Review Committee consists of 9 or more odd-numbered experts. There shall be no more than one expert from the same unit. The experts of the Patent Award Review Committee are mainly selected from the Shenzhen Intellectual Property Expert Database, and 2-3 additional experts can be selected as candidates. If necessary, you can select from the expert databases of the State Intellectual Property Office, the Guangdong Provincial Intellectual Property Office and the Shenzhen Municipal Science and Technology Department. The expert members of the Shenzhen Patent Award Review Committee are elected that year and are responsible for the review of the Shenzhen Patent Award that year.

The nominator, staff of the nominating unit and staff of the nominated unit shall not become members of the Patent Award Review Committee.

Article 15 The evaluation committee shall have one chairman, who shall be democratically elected by the members of the evaluation committee. The chairman is responsible for presiding over the review meeting and submitting the review results on time.

Article 16 The Patent Award implements a two-round evaluation system: preliminary evaluation by the professional evaluation group and evaluation by the evaluation committee.

The Patent Award Review Committee establishes several professional review groups based on the professional background of each review expert, the number of nominations for the Patent Award, and the distribution of nominated projects in technical fields. Each professional review team is composed of 3 or more experts in relevant technical fields and has a team leader.

Article 17 The patent award review implements a recusal system, and review experts and relevant staff who have an interest in the nominee or nominator should recuse themselves.

Article 18 If the review expert is unable to perform the review duties normally due to special reasons, the review committee shall promptly notify the municipal market regulatory department in writing, and with the approval of the chairman of the review committee, it may apply to the municipal market regulatory department for approval to supplement the list in order from the candidate experts. .

Article 19 The review experts and staff participating in the patent award review shall keep the review status, expert list, participating project information and other relevant content confidential.

Article 20 The awarding items of the patent award shall be comprehensively evaluated from the aspects of patent text quality, technological advancement, patent application, economic benefits, social benefits, ecological and environmental benefits, protection measures and effectiveness, etc.

Article 21 Specific evaluation indicators for invention and utility model patents:

(1) Text quality (15%): The patent text is of excellent quality and the technical solution is reasonably protected.

(2) Technological advancement (25%): Compared with existing patented technologies at home and abroad, it has an outstanding level of innovation and significant progress; its core technology or key technology is at a leading level compared to the current similar technologies, and has good practicability and Good versatility.

(3) Patent utilization and economic benefits (25%): The patent is well implemented and utilized, and the advantages of the patented project are used to improve the market competitiveness of the product; the patented product has significant new sales revenue, net profit or tax amount, and has produced significant benefits. Economic benefits.

(4) Social benefits and development prospects (15%): The implementation of patents has achieved significant results in promoting the city's scientific and technological, economic and social progress, promoted technological progress in this field and related fields, and promoted the city's industrial structure adjustment. , has good development prospects.

(5) Ecological environmental benefits (5%): The implementation of patents is beneficial to human production and life, brings benefits to ecological balance, and plays a positive role in purifying pollution in human production and living environments or improving environmental quality.

(6) Protection measures and effectiveness (15%): The patent protection strategy and patent management system are perfect, the protection measures are reasonable and effective, and the patent protection effectiveness is remarkable.

Article 22 Specific evaluation indicators for design patents:

(1) Text quality (15%): The patent images or photos are clear and complete, and the scope of protection is reasonable.

(2) Expression of design key points and concepts (25%): The appearance design has uniqueness, aesthetic effect, moral expression, structural rationality, safety and reliability, and industrial applicability.

(3) Patent utilization and economic benefits (25%): The patent is well implemented and utilized, and the advantages of the patented project are used to improve the market competitiveness of the product; the patented product has significant new sales revenue, net profit or tax amount, and has produced significant benefits. Economic benefits.

(4) Social benefits and development prospects (15%): The implementation of patents has achieved significant results in promoting the city's scientific and technological, economic and social progress, promoted technological progress in this field and related fields, and promoted the city's industrial structure adjustment. , has good development prospects.

(5) Ecological environmental benefits (5%): The implementation of patents is beneficial to human production and life, brings benefits to ecological balance, and plays a positive role in purifying pollution in human production and living environments or improving environmental quality.

(6) Protection measures and effectiveness (15%): The patent protection strategy and patent management system are perfect, the protection measures are reasonable and effective, and the patent protection effectiveness is remarkable.

Article 23 The municipal market supervision department may invite professional institutions with credibility to conduct technical evaluations of nominated projects and issue professional opinions for reference by professional review groups and review committees.

Article 24 The professional review team shall conduct preliminary evaluation in accordance with the following rules:

(1) Review materials: Experts from the professional review team will review the nomination materials separately according to the grouping situation to understand the basic situation of the project.

(2) On-site defense: The defense will be conducted by combining the nominee’s self-statement with questions from experts, and will be conducted according to project groups; the number of nominees participating in the defense session shall not exceed 3. The expert will record the defense situation and use it as one of the main references for the next step of scoring.

(3) Scoring: The experts of the professional review team will independently score each project in a registered manner, and the average score of each expert will be the score in the preliminary evaluation stage of the project; the experts should sign on the score sheet for confirmation.

(4) Determination of the shortlist: The professional review group will determine the list of shortlisted projects based on the scores of each project from high to low and submit it to the review committee; the number of shortlisted projects for each professional review group will be determined by the review committee through collective discussion before the professional review group’s preliminary evaluation.

Article 25 Evaluation procedures of the evaluation committee:

(1) On-site inspection: The review committee may conduct on-site inspections of the shortlisted projects proposed by the professional review team as needed; experts shall make qualitative evaluation opinions based on the on-site inspections; the inspectors shall sign the inspection evaluation opinion form and submit the inspection Archive comments.

(2) Comprehensive scoring: The experts of the review committee will independently score the shortlisted projects in a registered manner based on the nomination materials, project defense status and on-site inspections. The average score of all experts' scores will be the final score of the project.

(3) Determine the list of proposed awards: The review committee determines the list of recommended projects and candidate projects in order from high to low scores, with 25 recommended projects and 5 candidate projects.

Article 26 The experts of the evaluation committee are responsible for the scores and opinions issued by them, and sign and confirm on the score sheet and related evaluation forms. If they have different opinions, they can make a written explanation when signing.

Chapter 5 Prize Planning and Awarding

Article 27 For proposed projects and candidate projects recommended by the evaluation committee, the municipal market supervision department shall solicit proposals from the municipal finance, scientific and technological innovation, development and reform, industry and information technology, taxation, customs and other departments in accordance with the "Reward Measures" and other relevant regulations. Whether there are any violations of laws and regulations and whether you agree with the proposed award, etc. If no objection is raised, it will be deemed that you agree with the proposed award.

The municipal market supervision department will review the proposed projects and candidate projects, and find that the nominees do not comply with relevant laws and regulations, or have been included in the list of seriously untrustworthy entities and have been canceled according to the "Rewards Measures" after inquiries such as the Shenzhen Credit Network. If the project is not qualified for nomination, or if the objections of relevant departments are verified to be true, the project's qualification for award will be cancelled, and a candidate project without the above circumstances will be selected for the award.

Article 28 If the proposed award project meets the relevant prescribed conditions after review, the municipal market supervision department shall report it to the Municipal Science and Technology Award Committee Office (hereinafter referred to as the Municipal Award Office) for review and publicity in accordance with relevant procedures. If it is found during the review and publicity period that the proposed award project should not be awarded, the award will not be supplemented.

The winning projects for the patent award of the year will be determined with the approval of the municipal government.

Article 29 The patent award bonus shall be implemented in accordance with the corresponding supporting award standards and other relevant provisions of the "Award Measures" and the "Shenzhen Municipal Administration for Market Regulation Special Fund Operation Regulations in the Field of Intellectual Property". The distribution of bonuses will be handled separately in accordance with the relevant regulations of the municipal market supervision department.

Chapter 6 Supervision and Management

Article 30 If a nominee infringes on the intellectual property rights of others, commits fraud or uses other improper means to defraud the patent award, and if the nominee provides false data or materials to assist others to defraud the patent award, the matter shall be dealt with according to municipal regulations.

Chapter 7 Supplementary Provisions

Article 32 The municipal market supervision department is responsible for the interpretation of these implementation rules.

Article 33 These implementation rules will come into effect on November 1, 2022, and will be valid for 5 years. The "Implementation Rules for the Shenzhen Science and Technology Award (Patent Award) Award Measures" (Shenzhen Jiangui [2017] No. 8) are abolished at the same time.

[Interpretation of Text Policy]

1. Drafting background

According to the "Shenzhen Science and Technology Award Measures" (Shenzhen Regulations [2022] No. 3, hereinafter referred to as the "Award Measures") issued on March 5, 2022, the Municipal Science and Technology Award has added a nomination link, and has revised the nomination system and nomination units. and personal conditions and qualifications, patent award nomination conditions, as well as relevant provisions for the supervision of nominees or organizations, nominating units and individuals, and staff related to the review. In order to carry out work related to the city's patent awards in strict accordance with the new "Award Measures", our office, based on the current "Implementation Rules for the Shenzhen Science and Technology Award (Patent Award) Award Measures" (Shenzhen Jiangui [2017] No. 8), The revision work was started and the "Implementation Rules of the Shenzhen Municipal Administration for Market Regulation on the Municipal Science and Technology Award Patent Award" (hereinafter referred to as the "Implementation Rules") were formed.

2. Basis for revision

"Shenzhen Science and Technology Award Measures" (Shenzhen Regulations [2022] No. 3, hereinafter referred to as the "Award Measures"), "Shenzhen Science and Technology Award (Patent Award) Award Measures Implementation Rules" (Shenzhen Supervisory Regulations [2017] No. 8 ).

3. Main content

The revised "Implementation Rules" have a total of thirty-three articles and seven chapters including general provisions, nomination, acceptance, review organization, award planning and awarding, supervision and management, and supplementary provisions. The main content is now explained as follows:

(1) Nomination

This chapter mainly includes the qualifications of the nominator, the limit of the number of nominations, the responsibilities and obligations of the nominator, the conditions for the nominated project, and project application materials.

1. The application method has been changed from self-application by enterprises to a nomination system, which empowers relevant government departments, universities and colleges, professional industry associations and social groups, academicians of the two academies, experts from the Shenzhen Intellectual Property Expert Database, and those who have won national, provincial and municipal awards in recent years. The corresponding nomination rights of relevant units and individuals for the third-level patent award are as follows:

(1) Relevant departments of the municipal government, science and technology departments of each district government (Dapeng New District, Shenshan Special Cooperation Zone Management Committee);

(2) Our city’s colleges and universities and scientific research institutions with public institution legal person status;

(3) Professional industry associations and social groups in the field of intellectual property registered in our city according to law;

(4) Academicians of the Chinese Academy of Sciences and the Chinese Academy of Engineering who work full-time in our city;

(5) Experts and scholars from the Shenzhen Intellectual Property Expert Database;

(6) Its patented project has won the China Patent Award, Guangdong Patent Award or Shenzhen Patent Award in the past three years, and is the patentee or first inventor (designer) under the management and statistics of Shenzhen City;

(7) Other units or individuals that meet the provisions of Article 18 of the "Rewards Measures".

2. Improve the application conditions, cancel specific restrictions, lower the application threshold, and increase the ecological environment assessment dimension.

According to the requirements of the relevant system of fair competition review, the conditions for applying for the Shenzhen Patent Award project are revised, and the requirements for the patentee’s registration in Shenzhen, Shenzhen household registration, and independent legal person qualifications are cancelled, so as to optimize the construction of the city’s intellectual property business environment. In combination with the ecological and environmental benefit requirements stipulated in Article 13 of the "Incentive Measures", the ecological and environmental benefit requirements and evaluation dimensions of patent projects should be added to the project application materials and evaluation standards. Add "other circumstances that are not suitable for application as stipulated in laws, regulations, rules, etc." to the circumstances in which you are not allowed to apply for a patent award, and clarify the legal compliance requirements of applicants and projects.

(2) Acceptance

This chapter adds the functions of project acceptance units. Projects that pass the formal review will be publicized by the municipal market supervision and management department for no less than 10 days, and the requirements for handling objections will be clarified.

(3) Review organization

This chapter includes the organization of the review committee, specific evaluation indicators, preliminary project evaluation rules, and review procedures of the review committee.

1. Optimize the review organization and improve review efficiency.

The revised "Implementation Rules" propose to select 2-3 additional experts as alternate experts when selecting review experts, so that the method of substitute experts can be used in response to emergencies to ensure the normal operation of the Patent Award Review Committee; taking into account the review There are generally 9 experts. The number of experts in each professional review group will be adjusted from 4 or more to 3 or more experts.

2. Clarify avoidance situations and related work responsibilities. The review shall implement a recusal system, and review experts and relevant staff who have an interest in the nominated unit, nominating unit or individual shall recuse themselves.

(4) Award planning and awarding

This chapter further clarifies the follow-up review process and replacement procedures for the proposed projects and candidate projects generated after the review. At the same time, it is clarified that the proposed award projects that meet the relevant requirements after review will be reviewed and publicized by the Municipal Science and Technology Awards Committee Office in accordance with relevant procedures. If it is found during the review and publicity period that the proposed award project should not be awarded, the award will not be supplemented. It also stipulates that the patent award bonus shall be handled in accordance with the "Operation Rules for the Special Fund for Intellectual Property of the Shenzhen Municipal Administration for Market Regulation".

4. Nature of documents

These implementation rules are issued in the form of departmental normative documents and are officially issued and implemented in the name of the Shenzhen Municipal Market Supervision and Administration Bureau.

More intellectual property information and services

Follow the official subscription account of [Shenxin Intellectual Property] on the code

Follow the official service account of [Shentrust Intellectual Property Service Platform] on the code