Recently, the State Intellectual Property Office, the Ministry of Industry and Information Technology, the People's Bank of China, the State Administration of Financial Supervision and the China Securities Regulatory Commission jointly issued the "Implementation Plan for Promoting the Growth of Small and Medium-sized Enterprises through Patent Industrialization" (hereinafter referred to as the "Implementation Plan"), and the relevant contents of the "Implementation Plan" are interpreted as follows.
1. Background of the formulation and promulgation of the Implementation Plan
The CPC Central Committee and the State Council attach great importance to the development of small and medium-sized enterprises. General Secretary Xi Jinping emphasized that small and medium-sized enterprises can do great things and are an important force in promoting innovation, promoting employment and improving people's livelihood. Statistics show that there are more than 52 million small, medium and micro enterprises in the mainland, including 500,000 technology-based small and medium-sized enterprises, 465,000 high-tech enterprises, 215,000 innovative small and medium-sized enterprises, and 103,000 specialized, special and new small and medium-sized enterprises. As the basic guarantee for stimulating innovation, the intellectual property system is of great significance for stimulating the vitality of small and medium-sized enterprises with scientific and technological innovation and cultivating new momentum for development. With the increasingly fierce competition in the market, more and more innovative small and medium-sized enterprises are aware of the important role of intellectual property rights, and pay more attention to shaping new advantages for development through scientific and technological innovation. However, there are also a considerable number of enterprises with problems such as lack of resource elements and weak patent industrialization capabilities, which to a certain extent restricts the continuous innovation and development of enterprises.
Patent industrialization is the process of using patented technology to produce products and put them on the market, and it is also an effective way for enterprises to use the patent system to enhance their innovation capabilities, win competitive advantages and enhance economic benefits. In October 2023, the Special Action Plan for the Transformation and Application of Patents (2023-2025) (hereinafter referred to as the "Special Action") issued by the General Office of the State Council listed "promoting the growth of small and medium-sized enterprises through patent industrialization" as a key task, and put forward clear requirements for promoting the transformation and application of patents by small and medium-sized enterprises. In order to implement the deployment of the "Special Action", effectively solve the two difficulties of patent transformation in universities and scientific research institutes and the difficulty of obtaining technology for the majority of small and medium-sized enterprises, and cultivate more innovative small and medium-sized enterprises in science and technology that rely on patented technology to grow, the State Intellectual Property Office, together with the Ministry of Industry and Information Technology, the People's Bank of China, the State Administration of Financial Regulation, the China Securities Regulatory Commission and other departments, on the basis of full research and extensive consultation, researched and formulated the "Implementation Plan", which was officially issued on February 27, 2024.
Second, the overall idea and work objectives of the "Implementation Plan".
The overall idea of the "Implementation Plan" is to adopt a combination of "inclusive services + key cultivation" for innovative technology-based small and medium-sized enterprises with innovative capabilities, and promote the growth of small and medium-sized enterprises with patent industrialization. Specifically, it is "a main line, basic inclusiveness, selection of seedlings, storage and cultivation, matching policies, on-demand services, creating models, and demonstration and promotion".
"One main line" refers to the industrialization of patents, encourage and support enterprises to use patented technology to produce products and put them on the market, gain competitive advantages, and achieve innovation and development.
"Basic inclusiveness" refers to the convergence of service resources, enhancement of service capabilities, strengthening service coordination, and improving the facilitation and accessibility of intellectual property public services for small and medium-sized enterprises based on the universal and basic intellectual property service needs of technology-based innovative small and medium-sized enterprises.
"Selecting good seedlings" and "warehousing and cultivating" refer to the selection of a group of high-growth small and medium-sized enterprises with certain technological research and development capabilities and patent industrialization foundation on the basis of basic inclusiveness, the establishment of a patent industrialization model enterprise cultivation library, and the implementation of key cultivation.
"Matching policy" and "on-demand service" refer to the focus on warehousing enterprises, according to the different types and development stages of enterprises, according to the different types and development stages of enterprises, according to the need to match intellectual property, industry, finance and other preferential policies for enterprises, and increase the intensity of precise services.
"Building a model" and "demonstration and promotion" refer to creating a group of model enterprises through patent industrialization as the growth path, summarizing the common practices and successful experiences of their growth, vigorously publicizing and promoting advanced models, giving full play to the leading role of demonstration, and driving more technology-based innovative small and medium-sized enterprises to focus on innovation, compete for innovation, and develop and grow.
Based on the above general ideas, the "Implementation Plan" puts forward the work goals by 2025, the first is to achieve the improvement of the intellectual property awareness and patent industrialization ability level of small and medium-sized enterprises, which is mainly reflected in the general increase in the patent industrialization rate and average income of a large number of technology-based innovative small and medium-sized enterprises. The second is to focus on cultivating model enterprises, and create a number of specialized, special and new "little giant" enterprises and single champion enterprises, promote the successful listing of qualified enterprises, and form an effective path for patent industrialization to promote the rapid growth and expansion of technology-based innovative small and medium-sized enterprises. Model enterprises should have high scientific and technological innovation and patent transformation and application capabilities, achieve connotative development and innovative development through patent industrialization, and play a leading role in demonstrating and leading for the majority of technology-based innovative small and medium-sized enterprises. The third is to form a number of patent-intensive products with market competitiveness, so as to reflect the effectiveness of patent industrialization in realizing the value of patents, enhancing the economic efficiency and market competitiveness of enterprises.
Third, the key tasks of the "Implementation Plan".
Intellectual property rights are connected to innovation and the market at the same end, and are the bridge and link between innovation achievements and real productivity. The "Implementation Plan" takes patent industrialization as the starting point and foothold, integrates the patent chain into the innovation chain, industrial chain, talent chain and service chain, promotes the effective flow and efficient allocation of innovation resource elements, and helps enterprises accelerate their growth and growth. To this end, five key tasks have been specifically deployed.
The first is to integrate the innovation chain. Patents not only represent the technological innovation strength of enterprises, but also can bring practical business benefits to enterprises. The "Implementation Plan" is guided by market demand, strengthens the docking and cooperation between the supply and demand of patented technology, guides technology-based innovative small and medium-sized enterprises to deeply participate in the revitalization of existing patents in universities and scientific research institutions, promotes in-depth cooperation between industry, university and research, accelerates the cultivation of high-value patents or patent portfolios, and helps enterprises efficiently obtain innovation resources and reduce innovation costs.
The second is to integrate into the industrial chain. Technology-based innovative small and medium-sized enterprises are an important force to improve the resilience and security of the industrial chain. The "Implementation Plan" proposes to use patents as a medium to connect the upstream and downstream of the industry, and support small and medium-sized enterprises with patented technology expertise to enter the chain and finance the chain; Use new models such as patent pools and patent open sources to accelerate the formation of a coordinated development mechanism for intellectual property rights in the industrial chain; Guide and support small and medium-sized enterprises to form patent-intensive products, create well-known trademark brands, continuously expand the value space of small and medium-sized enterprises, and meet the supporting needs of the industrial chain.
The third is to smooth the capital chain. The capital demand of technology-based innovative small and medium-sized enterprises is under great pressure, the marketization uncertainty is strong, and the problems of difficult and expensive financing are more prominent. The "Implementation Plan" proposes to give full play to the value of intangible assets such as patents and broaden the financing channels for technology-based innovative small and medium-sized enterprises. Improve the intellectual property evaluation system and consolidate the foundation for intellectual property investment and financing; Smooth financing channels such as intellectual property pledges, strengthen the credit enhancement function of intellectual property rights, and effectively improve the efficiency and scale of financing; Give full play to the role of government guidance funds, further highlight the private equity market positioning of the regional equity market and the core functions of serving small, medium and micro enterprises, and promote the docking of enterprises and capital; Intensify intellectual property services for enterprises planning to be listed and reduce intellectual property risks.
Fourth, build a strong talent chain. The small number of R&D personnel and the lack of professional innovation and intellectual property management teams in technology-based innovative small and medium-sized enterprises restrict the sustainable development of enterprises. The "Implementation Plan" proposes to strengthen the introduction and independent training of innovative talents in science and technology-based innovative small and medium-sized enterprises to meet the needs of enterprises for specialization and high-level employment. Encourage enterprises to actively introduce high-level scientific and technological talents, and build a scientific research team with reasonable structure and strong support; support enterprises to cultivate interdisciplinary and practical intellectual property talents; Promote all levels and types of service institutions to improve their ability and quality, and strongly support the innovation and development of small and medium-sized enterprises.
Fifth, open up the service chain. The lack of effective docking between the supply and demand sides is a difficulty and blockage in patent industrialization, the supplier side is "unclear", the demand side is "inaudible", and there is a lack of inventor teams and transformation service agencies to provide follow-up services throughout the process. The "Implementation Plan" emphasizes that in the implementation process, focusing on the whole chain of patent industrialization, focusing on the superposition effect of public services and market-oriented services, and exploring the construction of a patent industrialization service system that matches supply and demand, accurately docks, collaborates and operates smoothly.
Fourth, focus on the industrialization of patents to do a good job in inclusive services for small and medium-sized enterprises
The "Implementation Plan" is aimed at the majority of technology-based innovative small and medium-sized enterprises, focusing on the industrialization of patents, strengthening the inclusive supply of intellectual property public services, and continuously improving the equalization and accessibility of services, so that small and medium-sized enterprises have an open and convenient path to find public services, and have equal opportunities to enjoy the policy dividends of public services.
The first is to popularize and promote intellectual property information service products. The State Intellectual Property Office continues to promote the diversification of the supply of intellectual property public service products and the intellectualization of services, and has basically built a "1+N" model information public service product with the national intellectual property public service network as the hub, the patent search and analysis system, the design patent retrieval public service system, the patent information service platform for key industries, the public service system for intellectual property data resources, the patent business handling system, the EU trademark query system and the trademark online service system as the main carriers. The Implementation Plan focuses on expanding the awareness rate of intellectual property public service products, improving the coverage of public services, and guiding enterprises to make good use of information public service products; Support the construction of a number of special databases for key industries, and reduce the threshold and cost of information utilization for small and medium-sized enterprises.
The second is to give full play to the role of the intellectual property public service system. The State Intellectual Property Office has continued to improve the public service system, and has basically formed an intellectual property public service system that is convenient and beneficial to the people, and has formed a public service work pattern with multiple participation of intellectual property management departments, universities, scientific research institutes, and socialized institutions. Based on this, the Implementation Plan proposes to extensively organize and mobilize intellectual property service resources and strength, and provide high-quality public services to meet the diversified innovation needs of technology-based innovative small and medium-sized enterprises. Organize and guide all types of intellectual property public service institutions at all levels to provide basic service support such as technology research and development, transformation and docking, and patent layout; Strengthen the training and guidance of intellectual property business for small and medium-sized enterprises.
The third is to improve the efficiency of regional comprehensive intellectual property services. The development of science and technology innovative small and medium-sized enterprises in mainland China has obvious agglomeration, and one of the important manifestations is regional industrial clusters. The Implementation Plan emphasizes the strengthening of the construction of regional intellectual property public service institutions to meet the needs of local small and medium-sized enterprises for differentiated intellectual property public services. National intellectual property protection demonstration zones, pilot demonstration cities, counties, and parks for the construction of an intellectual property power should make full use of and give full play to all existing platform carriers, and provide comprehensive services such as policy consultation, information services, and business training and guidance; Explore the establishment of a normalized government-enterprise communication mechanism for public services.
Fifth, to build a patent industrialization as the growth path of the model enterprise
The "Implementation Plan" implements key cultivation on the basis of doing a good job in inclusive services, focuses on supporting the growth of a number of high-growth small and medium-sized enterprises, explores an effective path to promote the growth of small and medium-sized enterprises through patent industrialization, and provides successful experiences that can be replicated and referenced.
(1) Selection of model enterprises for warehousing
Establish a patent industrialization model enterprise cultivation bank and provide relevant policy support. Enterprises apply through the SME Patent Industrialization System (website: smes.patentnavi.org.cn). Each provincial-level intellectual property management department is responsible for organizing and carrying out the recommendation of enterprises entering the warehouse, and together with the local competent departments of industry and information technology, branches of the People's Bank of China, the regulatory bureaus of the State Administration of Financial Regulation, the regulatory bureaus of the China Securities Regulatory Commission, and all banking financial institutions, and other relevant departments, combined with the basic standards for enterprises entering the warehouse, determine the recommended list within the upper limit of the quota and submit it to the State Intellectual Property Office. The number of recommended warehousing enterprises in each province is generally not more than 300, taking into account the differences in regional industrial base, innovation level, total number of enterprises, etc., for provinces with a large number of planned cities or high-tech, specialized, special and new enterprises, the number of recommended warehousing enterprises shall be moderately relaxed, but should not exceed 500. The State Intellectual Property Office will strengthen the data interconnection and interoperability with relevant departments, realize the automatic acquisition of relevant information of enterprises, reduce the burden of enterprises to fill in the report, and work with relevant departments to review the recommended and reported enterprises to determine the final list.
The "Implementation Plan" sets 10 evaluation indicators from the dimensions of industrial field, scientific research strength, intellectual property rights, etc., forms the basic standards for warehousing enterprises, and strives to select small and medium-sized enterprises with good patent industrialization foundation and good prospects. The basic criteria for the selection of enterprises are as follows: (1) small and medium-sized enterprises registered in the territory of the People's Republic of China, with independent legal personality, and in line with the "Provisions on the Classification Standards for Small and Medium-sized Enterprises"; (2) In principle, it should have the qualifications of specialized, special and new small and medium-sized enterprises, high-tech enterprises or demonstration enterprises with intellectual property advantages at all levels, and pilot units for the use of intellectual property rights in industrial enterprises; (3) In principle, the main business of the enterprise should belong to patent-intensive industries. Patent-intensive industries refer to the industrial clusters that meet the specified standards in terms of the intensity and scale of invention patents, rely on intellectual property rights to participate in market competition, and conform to the orientation of innovation and development, which can reflect the innovation potential and development vitality of enterprises to a certain extent; (4) If the core functions and manufacturing methods of the main products have self-developed or imported core patented technologies, in principle, the filing of patented products shall be completed in accordance with the notice of the Office of the State Intellectual Property Office on organizing and carrying out the filing of patented products (Guo Zhi Ban Han Yun Zi [2022] No. 985); (5) The patent industrialization rate is not less than 50%; (6) The proportion of R&D investment in the total operating income in the previous year shall not be less than 10% or not less than 5 million yuan; (7) Have a stable scientific research leader and R&D team, and the proportion of R&D personnel in the total number of employees of the enterprise shall not be less than 20% or establish a stable industry-university-research cooperation mechanism with universities and scientific research institutions; (8) Have its own trademark brand, that is, the trademark brand used in the company's service products is owned by the enterprise and has a certain brand awareness and influence; (9) Have a relatively complete intellectual property management system covering systems, institutions, personnel, guarantees, etc.; (10) There is no abnormal patent application behavior, all kinds of major accidents, violations of laws and regulations, serious dishonesty, etc.
The warehousing enterprises implement a dynamic adjustment mechanism, and after a period of key cultivation, if they reach the warehousing standards, they will be discharged after evaluation. The outbound standard is that the patent industrialization rate has been significantly improved, and more than one patent-intensive product has been added, or the annual sales and profits of patent-intensive products that have been identified have achieved a significant increase. Enterprises still enjoy relevant support policies after leaving the warehouse. Each province can cultivate less than 2 times the number of enterprises out of the warehouse, and supplement the qualified enterprises into the warehouse. Carry out continuous cultivation for model enterprises after leaving the warehouse, and promote the formation of a number of specialized, special and new "little giant" enterprises and single champion enterprises. Enterprises that have violated laws and regulations or have not made substantial progress in patent industrialization shall be withdrawn from the warehouse. By building a mechanism of entry and exit, continuous cultivation, a number of technology-based innovative small and medium-sized enterprises will be promoted to achieve rapid growth through patent industrialization.
(2) Provide policy support to warehousing enterprises
Science and technology-based innovative small and medium-sized enterprises have different development stages, face different problems, and need to receive different support policies. The "Implementation Plan" focuses on the outstanding problems in the process of rapid development of enterprises, and provides corresponding support policies for technology-based innovative small and medium-sized enterprises, especially warehousing enterprises, and strives to maximize service benefits.
The first is to strengthen policy support related to intellectual property rights. Guide local national intellectual property protection centers to include eligible enterprises in the filing list; increase support for the policy of priority examination of patents; Organize, implement and promote public welfare patent navigation projects that meet the common needs of enterprises; Combined with the revitalization of the stock of patents in universities and scientific research institutions, organize relevant platform carriers to accurately push relevant patent technology information for enterprises and build a transformation and docking platform.
The second is to promote the industrialization of patented technology. Support and encourage relevant innovation centers and industrial clusters to provide enterprises with service support such as proof of concept and pilot test of patented technological achievements; support enterprises to form patent-intensive products with technical advantages; Encourage and support various exhibitions, forums, innovation and entrepreneurship competitions and other widely publicized patent-intensive products, and support enterprises to create new products, new brands, and domestic trendy brands.
The third is to increase the intensity of precise investment and financing services. Promote the application of the national standard of the "Guidelines for Patent Evaluation", promote the pilot of internal evaluation of banks, and support banking financial institutions to realize the quick evaluation and quick loan of intellectual property pledge financing through separate credit lines and optimization of the approval process; Push the list of warehousing enterprises to banking financial institutions, and provide low-cost medium and long-term special fund support for enterprises; Carry out the "January One Chain" investment and financing roadshow activities, focus on the financing needs of small and medium-sized enterprises in the key industrial chain of the manufacturing industry, and hold investment and financing roadshows; Encourage relevant government guidance funds, take the initiative to connect with enterprises, play a leading role, strengthen angel investment, venture capital and other support for enterprises in the warehouse, and improve the post-investment management and service guidance mechanism of projects; Encourage and support enterprises to invest in enterprises in the form of "scientific and technological achievements + stock options".
Fourth, improve the level of capital market service empowerment. Support the standardized cultivation of enterprises entering the regional equity market, provide a series of services, and carry out entrepreneurial debt pilots and angel investor filings in a timely manner; support enterprises to accelerate their access to the national capital market; Build a group of intellectual property professional institutions serving the capital market, and provide enterprises with professional services such as intellectual property compliance counseling.
6. Safeguard measures of the Implementation Plan
In order to ensure the smooth implementation of various tasks, the "Implementation Plan" puts forward a series of safeguard measures. The first is to strengthen organization and coordination. The State Intellectual Property Office will work with relevant departments to strengthen organization, scheduling and follow-up guidance; All relevant local departments should refine the division of responsibilities and schedules, and pay attention to strengthening the orderly connection between this implementation plan and key tasks such as revitalizing the stock of patents in universities and scientific research institutions, strengthening the chain and increasing the efficiency of intellectual property rights in key industries, and efficient coordination and policy linkage. The second is to increase investment. Make use of the central financial support channels, give full play to the role of relevant government guidance funds, and strengthen investment guarantees; Intellectual property management departments at all levels should actively strive for local governments to increase the extent of supporting funds, and guide and drive diversified social investment. The third is to strengthen monitoring and evaluation. All local intellectual property management departments shall, in conjunction with relevant departments, earnestly study and resolve difficulties and problems in the advancement of work, and promptly report major issues; The State Intellectual Property Office will work with relevant departments to strengthen the tracking and monitoring of the implementation of the program, and conduct annual performance evaluation. Fourth, strengthen publicity and promotion. Intellectual property management departments at all levels shall, in conjunction with relevant departments, support the establishment of a mechanism for the exchange and consultation of small and medium-sized enterprises' experience in patent industrialization, conscientiously summarize typical cases and successful models of patent industrialization, and increase publicity and promotion.