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Several Opinions of the Ministry of Education, the State Intellectual Property Office, and the Ministry of Science and Technology on Enhancing the Quality of Patents and Promoting the Commercialization and Utilization of Patents in Higher Education Institutions
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教育部、国家知识产权局、科技部关于提升高等学校专利质量促进转化运用的若干意见
[现行有效]
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| Several Opinions of the Ministry of Education, the State Intellectual Property Office, and the Ministry of Science and Technology on Enhancing the Quality of Patents and Promoting the Commercialization and Utilization of Patents in Higher Education Institutions | | 教育部、国家知识产权局、科技部关于提升高等学校专利质量促进转化运用的若干意见 |
| (No. 1 [2020] of the Ministry of Education and the Ministry of Science and Technology) | | （教科技〔2020〕1号） |
| The education departments (commissions), intellectual property bureaus (administrative departments of intellectual property), and science and technology departments (commissions and bureaus) of all provinces, autonomous regions and municipalities directly under the Central Government; the Education Bureau, the Intellectual Property Bureau, and the Bureau of Science and Technology of Xinjiang Production and Construction Corps; the education departments (bureaus), intellectual property management authorities, and science and technology departments of the relevant ministries and entities; all higher education institutions affiliated to the relevant ministries, and all higher education institutions jointly established by the Ministry of Education and the people's governments of all provinces, autonomous regions and municipalities directly under the Central Government: | | 各省、自治区、直辖市教育厅（教委）、知识产权局（知识产权管理部门）、科技厅（委、局），新疆生产建设兵团教育局、知识产权局、科技局，有关部门（单位）教育司（局）、知识产权工作管理机构、科技司，部属各高等学校、部省合建各高等学校： |
| Since the Outline of the National Intellectual Property Strategy was promulgated and implemented, China's higher education institutions have constantly improved the creation, utilization and management of intellectual property rights, and the number of both patent applications and patent grants have seen significant growth. However, compared to top-class universities in foreign countries, Chinese counterparts are still facing the problem of “focusing more on patent quantity than on patent quality, and more on patent application than on patent exploitation”. For the purposes of improving the overall patent quality of Chinese universities, intensifying the creation, utilization and management of high-value patents, and effectively leveraging the important role of higher education institutions in serving the economic and social development, the Opinions are hereby offered as follows. | | 《国家知识产权战略纲要》颁布实施以来，高校知识产权创造、运用和管理水平不断提高，专利申请量、授权量大幅提升。但是与国外高水平大学相比，我国高校专利还存在“重数量轻质量”“重申请轻实施”等问题。为全面提升高校专利质量，强化高价值专利的创造、运用和管理，更好地发挥高校服务经济社会发展的重要作用，现提出如下意见。 |
| I. General requirements | | 一、总体要求 |
| 1. Guiding ideology | | （一）指导思想 |
| With Xi Jinping Thought on Socialism with Chinese Characteristics for a New Era as the guidance, efforts shall be made to fulfill the spirit of the 19th CPC National Congress and the Second, Third and Fourth Plenary Sessions of the 19th CPC Central Committee, carry out the arrangements made in the National Education Conference, uphold the new concept of development, remain firm with high-quality development as the main task, and further implement the strategy of innovation-driven development and the strategy of building China into a powerful country of intellectual property rights. There shall also be efforts to improve the quality of patents created, efficiency in utilizing patents, management of patents, and capability of patent services in higher education institutions. Furthermore, new progress shall be made in technological innovation and discipline development in order to support the building of a powerful country in regards to education, science and technology, and intellectual property rights. | | 以习近平新时代中国特色社会主义思想为指导，全面贯彻党的十九大和十九届二中、三中、四中全会精神，落实全国教育大会部署，坚持新发展理念，紧扣高质量发展这一主线，深入实施创新驱动发展战略和知识产权强国战略，全面提升高校专利创造质量、运用效益、管理水平和服务能力，推动科技创新和学科建设取得新进展，支撑教育强国、科技强国和知识产权强国建设。 |
| 2. Basic principles | | （二）基本原则 |
| Continuing to put quality first: Firmly following the requirements for high-quality development of intellectual property rights; putting quality as the top priority; spotting the point where a breakthrough can be made; taking more targeted measures; and always stressing high quality in the creation, management and utilization of intellectual property rights in higher education institutions. | | 坚持质量优先。牢牢把握知识产权高质量发展的要求，坚持质量优先，找准突破口，增强针对性，始终把高质量贯穿高校知识产权创造、管理和运用的全过程。 |
| Highlighting commercialization and transfer: Developing the awareness of the fact that technological achievements such as patents of higher education institutions can only create value if being commercialized and massive losses will occur if not; paying attention to commercialization and utilization of patents; and forcing higher education institutions to improve the management of intellectual property rights. | | 突出转化导向。树立高校专利等科技成果只有转化才能实现创新价值、不转化是最大损失的理念，突出转化应用导向，倒逼高校知识产权管理工作的优化提升。 |
| Strengthening guidance by policies: Leveraging the role of policies involving patent funding and incentives, assessment and evaluation in promoting the reform and guidance; and establishing and improving various policies and measures that are conducive to increasing patent quality and intensifying commercialization and utilization. | | 强化政策引导。发挥资助奖励、考核评价等政策在推进改革、指导工作中的重要作用，建立并不断完善有利于提升专利质量、强化转化运用的各类政策和措施。 |
| 3. Main objectives | | （三）主要目标 |
| By 2022, the whole-process intellectual property management system of higher education institutions, covering navigation, layout, application, maintenance, commercialization and utilization of patents will be further improved, and will be integrated into the technological innovation system and the technology transfer and commercialization system of higher education institutions. By 2025, China's higher education institutions will enhance the quality of their patents, and strengthen the capacity of patent operation; and some of these higher education institutions will reach the level of world-class universities in terms of patent grant rate and patent exploitation rate. | | 到2022年，涵盖专利导航与布局、专利申请与维护、专利转化运用等内容的高校知识产权全流程管理体系更加完善，并与高校科技创新体系、科技成果转移转化体系有机融合。到2025年，高校专利质量明显提升，专利运营能力显著增强，部分高校专利授权率和实施率达到世界一流高校水平。 |
| II. Major tasks | | 二、重点任务 |
| 1. Enhancing the intellectual property management system | | （一）完善知识产权管理体系 |
| 1) Improving the coordination mechanism for intellectual property rights: Higher education institutions shall establish a leading team for the management and operation of intellectual property rights or a leading team for technology transfer and commercialization, coordinate the efforts of relevant organizations in scientific research, intellectual property rights, state-owned assets, human resources, technology transfer and commercialization and libraries, and create an overall coordination mechanism that combines technological innovation, management of intellectual property rights, and commercialization and transfer of technological advances in accordance with the Regulation on the Management of Intellectual Property Rights in Higher Education Institutions (GB/T 33251-2016). Higher education institutions that have established a leading team for technology transfer and commercialization shall include the management of intellectual property rights in the functions and duties of the leading team. | | 1.健全知识产权统筹协调机制。高校要成立知识产权管理与运营领导小组或科技成果转移转化领导小组，统筹科研、知识产权、国资、人事、成果转移转化和图书馆等有关机构，积极贯彻《高校知识产权管理规范》（GB/T 33251-2016），形成科技创新和知识产权管理、科技成果转移转化相融合的统筹协调机制。已成立科技成果转移转化领导小组的高校，要将知识产权管理纳入领导小组职责范围。 |
2) Establishing and improving the intellectual property management process for major projects: Higher education institutions shall demonstrate the management of intellectual property rights in various aspects of a project, such as subject selection, project initiation, implementation, completion, technology transfer and commercialization. The working mechanism of patent navigation shall be established and improved revolving around the state's major scientific research projects such as technological innovation 2030 projects and key research and development plans. Prior to project initiation, the analysis of patent information, documents and intelligence shall be conducted, risk assessment for intellectual property rights shall be carried out, and a technical approach shall be studied and determined so as to start research and development from a higher starting point. In the process of project implementation, the working status in project research fields shall be tracked, research direction and technical approach shall be instantly adjusted, and research results shall be assessed and translated into intellectual property rights in a timely manner. Prior to project acceptance and examination, efforts shall be made to strengthen intellectual property layout and protect technical secrets based on the commercialization and utilization of patents, and create a list of project achievements regarding intellectual property rights. After project completion, the utilization and exploitation of patents shall be intensified so as to promote the commercialization and transfer of technological achievements. Higher education institutions shall be encouraged to enhance intellectual property layout in strategic emerging industries and industries involving the state's major economic sectors by focusing on their disciplines with distinct advantages, and strengthening efforts in international patent application.
．．．．．． | | 2.建立健全重大项目知识产权管理流程。高校应将知识产权管理体现在项目的选题、立项、实施、结题、成果转移转化等各个环节。围绕科技创新2030重大项目、重点研发计划等国家重大科研项目，探索建立健全专利导航工作机制。在项目立项前，进行专利信息、文献情报分析，开展知识产权风险评估，确定研究技术路线，提高研发起点；项目实施过程中，跟踪项目研究领域工作动态，适时调整研究方向和技术路线，及时评估研究成果并形成知识产权；项目验收前，要以转化应用为导向，做好专利布局、技术秘密保护等工作，形成项目成果知识产权清单；项目结题后，加强专利运用实施，促进成果转移转化。鼓励高校围绕优势特色学科，强化战略性新兴产业和国家重大经济领域有关产业的知识产权布局，加强国际专利的申请。
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