Original Title:Shandong Provincial Administration for Market Regulation and Shandong Provincial Department of Finance: Notice on Issuing the "Implementation Plan for Promoting Patent Technology Transfer and Commercialization to Support the Innovative Development of Small and Medium-Sized Enterprises"
To thoroughly implement the "Opinions of the Central Committee of the Communist Party of China and the State Council on Establishing a More Perfect Market-Oriented Mechanism for the Allocation of Production Factors," promote the commercialization of innovation outcomes, and support the market-oriented operation of intellectual property, this implementation plan has been formulated in accordance with the requirements of the "Notice of the General Office of the Ministry of Finance and the General Office of the National Intellectual Property Administration on Implementing the Special Plan for Patent Commercialization to Support the Innovative Development of Small and Medium-Sized Enterprises," and in light of the actual conditions in Shandong.
I. General Approach
(1) Guiding Principles
Guided by Xi Jinping Thought on Socialism with Chinese Characteristics for a New Era, we will fully implement the spirit of the 19th National Congress of the Communist Party of China and the second, third, fourth, and fifth plenary sessions of the 19th Central Committee. We will thoroughly implement General Secretary Xi Jinping’s series of important instructions and statements on intellectual property work. Focusing closely on the overall layout for the transformation of new and old growth drivers—characterized by “three-core” leadership, breakthroughs in multiple areas, and integrated interaction—we will implement the new development philosophy,uphold high-quality development, emphasize the orientation toward commercialization and implementation, strengthen policy guidance, promote the transfer and commercialization of patent technologies, ensure that more innovation outcomes benefit SMEs, advance the construction of the new “dual circulation” development pattern, and provide robust support for accelerating the building of a modern, strong province in the new era.
(2) Main Objectives
With the goal of promoting the transfer and commercialization of patents and supporting the innovative development of small and medium-sized enterprises, we will fill gaps, extend, and strengthen industrial chains; enhance supply, stimulate demand, and optimize services; facilitate the flow of technological factors; and drive the commercialization and implementation of patented technologies. By 2023, we aim to achieve the following objectives:
First, the incentive mechanisms for patent creation and commercialization will be more efficient. Universities and research institutes will establish sound equity distribution mechanisms, significantly boosting their enthusiasm for commercialization; R&D costs for SMEs will be effectively reduced, and the output of patented products will increase significantly; and the capacity of local intellectual property management departments to serve SMEs will be markedly enhanced.
Second, channels for matching supply and demand and the patent operation system will be more efficient. We will implement the “321” Project to promote patent commercialization, focusing on the development of three key databases: a repository of high-value patents from universities and research institutes, a database of patent commercialization needs from SMEs, and a project database for intellectual property-backed financing;We will meticulously develop two platforms: the Provincial Intellectual Property Public Service Platform and the Patent Technology Promotion and Application Platform; leveraging the Provincial Intellectual Property Operation Center, relevant industry sub-centers, operation cities in Jinan, Qingdao, and Yantai, as well as operational entities in urban districts, counties, universities, research institutes, industrial parks, and state-owned enterprises, we will establish a province-wide “integrated” patent operation system, facilitate the flow of technological resources, and achieve precise online and offline matching between supply and demand.
Third, the policy support system has become more robust. We have strengthened policy coordination, inter-departmental collaboration, and coordination between central and local levels to leverage the synergistic effects of policies, forming a comprehensive policy support system that includes patent commercialization grants, patent operation incentives, and subsidies for IP-backed financing.
Fourth, patent transfer and commercialization have become more active. The number of patents acquired by provincial SMEs through transfer, licensing, or equity contribution from relevant entities (universities, research institutes, and state-owned enterprises), as well as the contract value and actual funds received, have increased significantly, with an average annual growth rate exceeding 20%. The number of patents transferred, licensed, or contributed as equity by universities and research institutes across the province, along with their contract value and actual funds received, has also grown significantly;The number of SMEs benefiting from these policies, as well as their operating revenue and employment figures, have steadily increased; efforts have been made to encourage provincial SMEs to file patent product registrations in accordance with relevant regulations, resulting in a steady rise in the number of registered patent products; the annual average growth rate of patent pledge financing amounts and project numbers across the province reached 20%, with the total amount of pledge financing exceeding 20 billion yuan in 2023.
II. Key Tasks
(1) Enhancing the Quality of Intellectual Property Creation
1. Implement the High-Value Patent Cultivation Program. Establish high-value patent centers focused on the creation, commercialization, and operational services of high-value patents within provincial universities, research institutes, and intellectual property service organizations. The provincial government will provide up to 300,000 yuan in funding support to each provincial-level high-value patent cultivation center. By 2023, 300 such centers will be designated and supported.
2. Enhance the Intellectual Property Management Capabilities of Innovation Entities. Promote standardized intellectual property management in enterprises, universities, and research institutes to improve the quality of creation, utilization, and protection capabilities. Cultivate provincial-level intellectual property advantage and demonstration enterprises, as well as national-level intellectual property advantage and demonstration enterprises, in a tiered manner. By 2023, 3,000 enterprises with standardized intellectual property management and 1,500 provincial-level intellectual property demonstration enterprises will be cultivated.
3. Promote the establishment of pre-application evaluation systems for patents at provincial universities and research institutes. Improve the quality of patent applications by evaluating technologies intended for patenting. By the end of 2023, ensure that all provincial universities and research institutes have fully established pre-application evaluation systems for patents.
(II) Expand Supply and Demand Channels for Patent Commercialization
4. Establish a High-Value Patent Operation Database for Universities and Research Institutes. Screen valid patents from universities and research institutes within and outside the province that are suitable for transfer and commercialization. Conduct analysis and evaluation to identify patents with high quality, promising market prospects, and significant commercialization potential. Perform in-depth data processing and integrate resources from other provincial patent operation databases to build a High-Value Patent Operation Database for universities and research institutes. By the end of 2021, include more than 40,000 patents in the database, and achieve 60,000 patents by 2023.
5. Establish a database of technology needs for small and medium-sized enterprises (SMEs). Municipalities should focus on strategic emerging industries and intellectual property-intensive industries to collect information on SMEs’ needs for patent technology and product commercialization. Relying on the Provincial Intellectual Property Operation Center, analyze data on patent portfolio, licensing, transfers, infringement disputes, and litigation. Through indexing, classification, and processing, build a database of patent technology needs.
6. Establish a project database for intellectual property (IP) pledge financing. Conduct surveys on enterprises’ demand for IP pledge financing. Municipalities should fully understand enterprises’ IP status and financing needs through on-site visits and questionnaires, publicize policies such as interest subsidies and risk compensation for IP pledge financing, and select SMEs with a solid foundation in IP work and good credit standing to include them in the IP pledge financing project database. Strengthen dynamic management of IP collateral information and regularly share it with financial institutions such as banks and guarantors.Promote the development of local standards for intellectual property evaluation and assessment.
7. Encourage state-owned enterprises to share patent technologies. Encourage central government-affiliated enterprises in Shandong and provincial state-owned enterprises to register their patent technologies through the Provincial Intellectual Property Public Service Platform and the Provincial Intellectual Property Operation Center, using or referencing the “open licensing” model, provided that no state or commercial secrets are disclosed. Clearly define licensing fees and payment methods, and offer patent technology licensing to SMEs to lower the barriers for SMEs to access technology.
(3) Promoting Precise Matching of Supply and Demand
8. Establish a platform for the promotion and application of patent technologies and intellectual property services.Fully leverage the comprehensive service functions of the Provincial Intellectual Property Public Service Platform—including exhibition and publication, rights confirmation and evaluation, transfer and trading, and project financing—to provide innovation entities with full-chain services covering the creation, utilization, management, and protection of intellectual property. Relying on operational platforms such as the Shandong Provincial Intellectual Property Operation Center and intellectual property and technology transfer centers at universities and research institutes, establish a platform for the promotion and application of patented technologies. Publish information on the supply of patent licensing and transfers, rapidly match technology needs of SMEs, and build a core hub for the precise alignment of patent supply and technology demand to enhance the efficiency of patent commercialization.
9. Organize patent technology roadshows and supply-demand matching events. Municipalities should actively coordinate with relevant R&D teams from universities, research institutes, and state-owned enterprises to conduct patent technology roadshows and precise supply-demand matching events in industrial parks, high-tech development zones, intellectual property service clusters, and intellectual property pilot and demonstration zones where SMEs are concentrated. Actively guide the transfer and commercialization of agriculture-related patent technologies to county-level areas and agricultural parks to support rural industrial development and rural revitalization.By the end of 2023, organize no fewer than 30 technology roadshow and matching events.
10. Promote bank-enterprise matching for intellectual property pledge financing. All cities shall comprehensively implement the “Enter Parks, Benefit Enterprises” initiative for intellectual property pledge financing, organizing product promotion sessions and bank-enterprise matching events. Through a series of activities—including financial product screening, enterprise roadshows, bank promotions, and consolidated credit facilities—they shall help resolve financing challenges for SMEs and achieve significant growth in the number and value of patent pledge financing projects.
11. Support the implementation of patent navigation. Focusing on key industries, carry out at least two province-wide industrial navigation projects annually. Support cities in selecting industries and industrial parks characterized by a concentration of SMEs, a solid patent foundation, active R&D activities, and urgent needs for technology commercialization to conduct patent navigation. Guide operational activities such as patent mining and strategic positioning, cultivation of high-value patents, construction of patent pools, and industrialization of patent-based products.The provincial government will provide funding support, based on merit, for patent navigation projects targeting provincial key industries and regional specialty industries.
(IV) Optimizing Patent Transfer and Commercialization Services
12. Optimize intellectual property registration services. Relying on the patent agencies in Jinan and Qingdao, establish a green channel for patent transfer, licensing, and pledge registration to improve processing efficiency and optimize acceptance and review services; promote the extension of intellectual property service counters to industrial clusters with strong industrial foundations and high concentrations of SMEs to enhance the convenience and accessibility of intellectual property transfer and commercialization services for SMEs, thereby achieving “one-stop” and “single-window” public services for patent transfer and commercialization.
13. Conduct Patent Product Filing and Data Statistics. In accordance with the deployment requirements of the National Intellectual Property Administration, carry out patent product filing work for SMEs across the province. Fully utilize modern technological means such as big data to conduct statistical monitoring, analysis, and assessment of patent commercialization indicators, regularly report findings to all cities, and provide data support for dynamic adjustments to implementation efforts.
14. Establish an intellectual property operation system. Jinan, Qingdao, and Yantai—designated as national key intellectual property operation cities—must fully leverage their leading and driving roles. They should achieve breakthroughs in areas such as intellectual property standardization for enterprises, universities, and research institutes; intellectual property management services for SMEs; and the cultivation of intellectual property service agencies, ensuring that all indicators for intellectual property transfer and commercialization exceed the provincial average.Promote the construction of the provincial intellectual property public service platform and operation centers. Support the development of intellectual property industry operation centers such as Qingdao Haier Smart Home and Dongying CNPC Exploration and Processing. Encourage cities, districts, counties, universities, research institutes, industrial parks, and state-owned enterprises to establish intellectual property operation agencies, thereby forming a patent operation system characterized by “one platform, multiple centers, a full value chain, and integrated operations.”
15. Strengthen the training of patent operation professionals. Establish at least six intellectual property talent training bases across the province, intensify training efforts, and cultivate high-end service professionals in areas such as patent transfer and commercialization and value assessment, targeting personnel from patent operation centers at universities and research institutes, managers of small and medium-sized enterprises, and intellectual property operation service agencies.
(V) Improving Policy Measures
16. Revise the “Shandong Province Intellectual Property Promotion Regulations.” Codify all policy measures promoting the transfer and commercialization of patent technologies through legislation, submit the revised regulations to the Provincial People’s Congress for deliberation in 2021, and provide legal safeguards for promoting the operation and utilization of intellectual property.
17. Support reforms in the distribution of intellectual property rights at universities and research institutes. Encourage universities and research institutes to grant researchers ownership or long-term usage rights to their inventions made in the course of employment. Establish effective incentive mechanisms for intellectual property returns, utilizing methods such as equity, stock options, and profit sharing to ensure that patent inventors or designers reasonably share in the benefits of innovation.
18. Leverage the role of intellectual property operation funds. Fully utilize the guiding role of intellectual property operation funds to support cities in establishing such funds, attract more social capital investment, and assist small and medium-sized enterprises (SMEs) in the commercialization and implementation of patent technologies. Support universities in raising funds through institutional allocations, local government incentives, and proceeds from the transfer and commercialization of scientific and technological achievements to establish intellectual property management and operation funds. These funds will be used to build specialized technology transfer institutions and cultivate talent, thereby creating a virtuous cycle where commercialization proceeds drive further commercialization.
19. Support intellectual property pledge financing for small and medium-sized enterprises (SMEs). The provincial government will establish a special fund for loan credit enhancement and risk sharing. For intellectual property pledge financing by SMEs, the provincial government will provide loan interest subsidies, risk compensation, and insurance premium subsidies at rates of 60%, 40%, and 60%, respectively.
20. Advance reforms to the patent incentive system.Increase the weighting of patent awards in evaluations of technology transfer and commercialization, as well as the achievement of economic and social benefits, to guide improvements in the efficiency and effectiveness of patent commercialization. For each patent receiving the Gold, Silver, or Excellence Award of the China Patent Award (Design Award), matching rewards of 500,000 yuan, 200,000 yuan, and 100,000 yuan, respectively, will be granted. For recipients of the Special Award, First, Second, and Third Prizes of the Shandong Provincial Patent Award, rewards of 500,000 yuan, 100,000 yuan, 50,000 yuan, and 30,000 yuan, respectively, will be granted.
III. Implementation and Guarantees
(1) Enhance Priority. Promoting the transfer and commercialization of patent technologies is a major initiative to implement General Secretary Xi Jinping’s important directive to “take the lead and pioneer new frontiers.” It is also a requirement for our province to implement the strategy of building a strong province in intellectual property, achieve high-quality development in intellectual property, and fulfill the objectives and tasks of the 14th Five-Year Plan. All cities must attach great importance to this matter, treat it as a key priority in intellectual property work for the present and the foreseeable future, and incorporate it into relevant strategic plans for coordinated advancement.
(2) Strengthen Organizational Leadership. The Provincial Market Regulation Bureau and the Provincial Department of Finance shall establish a dedicated task force for the implementation of this plan, refine and allocate work tasks, supervise and inspect the implementation of tasks and the achievement of objectives, and coordinate the advancement of work implementation.
(3) Increase Financial Support. Special funds for scientific and technological innovation and development will be allocated to support intellectual property and the transfer and commercialization of patent technologies. All cities and relevant departments must formulate supporting policies, coordinate across departments and levels, ensure policy coherence, leverage synergistic effects, and maximize the impact of support. Cities, departments, and units that actively support, participate in, and cooperate with these efforts will receive priority support in terms of policy assistance or project allocation.
(4) Ensure Practical Results. Upon issuance of this implementation plan, all cities shall formulate work measures based on their actual conditions and accelerate implementation. The Provincial Market Regulation Bureau will monitor and coordinate implementation across regions, conduct annual evaluations and issue reports on implementation status, and provide timely guidance to advance key tasks. In 2023, an evaluation of implementation progress and outcomes will be conducted to summarize and promote exemplary experiences, working models, and methods, thereby comprehensively advancing patent transfer and commercialization efforts and fostering high-quality development.
