1 Scope
This standard specifies the general requirements for intellectual property management in colleges and universities.
This standard is applicable to colleges and universities with scientific research functions, and other educational organizations can refer to it for implementation.
2 Normative reference documents
The following documents are essential for the application of this document. For dated referenced documents, only the dated version applies to this document. For undated referenced documents, the latest version (including all amendments) applies to this document.
GB/T 19000-2008 Quality Management System Fundamentals and Terminology
3 Terms and Definitions
The following terms and definitions as defined in GB/T 19000-2008 apply in this document.
3.1 Higher education institution
It is approved to be held in accordance with the establishment standards and approval procedures stipulated by the state, and passes the unified admission examination for ordinary colleges and universities nationwide to recruit ordinary high school graduates and vocational high school graduates. Full-time universities, independent colleges, junior colleges, higher vocational schools and other educational institutions that mainly train students and implement higher education.
3.2 Intellectual property
The rights enjoyed by natural persons or legal persons in accordance with the law to the results created by their intellectual activities, mainly including patent rights, trademark rights, copyrights, and integrated circuit layout design rights , geographical indication rights, new plant variety rights, undisclosed information exclusive rights, etc.
3.3 Faculty and staff
Teachers, staff, temporary employees, interns serving in institutions of higher learning, postdoctoral fellows, visiting scholars and training personnel engaged in scientific research activities in the name of institutions of higher learning wait.
3.4 Student student
An educated person who is admitted to the school in accordance with the law and has student status.
3.5 Project project
A unique process consisting of a set of coordinated and controlled activities with a start and end date that meets the constraints of time, cost and resources. goals within the prescribed requirements.
[GB/T19000-2008, Terms and Definitions 3.4.3]
Note 1: A single project can be a component of a larger project structure.
Note 2: In some projects, as the project progresses, its goals gradually become clearer and product features are gradually determined.
3.6 Science and technology research project
A project undertaken by colleges and universities and related organizations to carry out scientific and technological research and development activities within a certain period of time.
3.7 Project team
The organizational form for completing scientific research projects is a scientific research unit affiliated with a higher education institution that carries out research and development activities relatively independently.
4 Intellectual property document management
4.1 Document types
Intellectual property documents include:
a) Intellectual property management responsibilities and organizational structure and other related documents;
b) Intellectual property documents in the management of human resources, infrastructure, financial resources, and information resources;
c) In the process of scientific research in natural sciences and humanities and social sciences Intellectual property management documents formed;
d) Records of the implementation of intellectual property management documents;
e) External documents related to intellectual property.
Note 1: The existence medium of the above types of documents can be paper documents, electronic documents or audio and video materials.
Note 2: External documents include laws and regulations, administrative decisions, judicial decisions, lawyers’ letters, etc.
4.2 Document Control
Intellectual property documents are the basis for colleges and universities to implement intellectual property management. They should ensure that:
a) They must be reviewed and approved before release;
b) The content of the document is clearly and completely stated, and the storage method and storage period are clear;
c) External documents are kept intact;
d) Establish, maintain and Maintain intellectual property record files;
e) Manage them by document category and confidentiality level, making them easy to identify, access and read;
f) Invalid documents that need to be retained for specific purposes, should be marked.
5 Management Responsibilities
5.1 Principal
The principal (or dean) is the first person responsible for the intellectual property work of colleges and universities and assumes the following responsibilities:
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a) Approve and publish the intellectual property goals of colleges and universities to maintain and increase the value of intellectual property assets;
b) Approve and publish intellectual property policies;
c) The highest level of the organization The decision-making body decides on major intellectual property matters;
d) Clarifies the responsibilities and authorities of intellectual property management and ensures effective communication;
e) Ensures the guarantee conditions and resource allocation for intellectual property management.
5.2 Management Committee
Establish an Intellectual Property Management Committee composed of top management, subject experts, representatives of management and operating agencies, etc., to be fully responsible for intellectual property management affairs and assume the following responsibilities:
a) Formulate long-term, medium-term and short-term goals for intellectual property that are compatible with talent training, scientific research, and social services in colleges and universities;
b) Review intellectual property policies;
c) Review the intellectual property work plan and supervise its implementation;
d) Coordinate the relationship between relevant departments of intellectual property management;
e) Form a decision-making plan for major intellectual property matters ;
f) Review the disposal plan for major intellectual property assets.
5.3 Intellectual Property Management and Operation Organization
5.3.1 Intellectual Property Management Organization
Establish an intellectual property management organization, staff it with full-time staff, and assume the following responsibilities :
a) Formulating and organizing implementation of intellectual property-related policy documents;
b) Establishing an intellectual property performance evaluation system;
c) Intellectual property work planning The formulation and organization of implementation;
d) Organize and carry out intellectual property training;
e) Selection, coordination, supervision and assessment of intellectual property service agencies;
f) Daily management of intellectual property rights.
5.3.2 Intellectual Property Operation Organization
Establish an intellectual property operation organization, staff it with full-time personnel, and assume the following responsibilities:
a) Establish statistics on intellectual property assets , analysis system;
b) Establish an intellectual property asset evaluation system;
c) Propose major intellectual property asset disposal plans;
d) Participate in major projects Intellectual property layout;
e) Daily work of intellectual property operations.
Note: The intellectual property management agency and the intellectual property operation agency can be combined and set up.
5.4 Intellectual Property Service Support Organization
Establish an intellectual property service support organization, staff it with full-time personnel, and assume the following responsibilities:
a) To establish, implement and Provide service support for the operation of the intellectual property management system, and be entrusted by the management committee and intellectual property management agencies to inspect and supervise the effectiveness of the intellectual property management system and propose improvement measures;
b) Provide service support to the management committee, intellectual property management agencies Intellectual property management and operation agencies provide service support;
c) Responsible for building and maintaining intellectual property information management platforms;
d) Establish information collection channels and be responsible for intellectual property information and other data Document resource classification and processing;
e) Provide full-process intellectual property information services for important scientific research projects;
f) Daily patent search and patent analysis;
g) Organize training and promotion of intellectual property information utilization.
Note: Intellectual property service support institutions should be set up in libraries and other institutions of higher learning responsible for information services.
5.5 Intellectual Property Specialist
Each department and scientific research institution establishes an Intellectual Property Specialist to assume the following responsibilities of the department:
a) Intellectual property plan formulation and organization Implementation;
b) Intellectual property training;
c) Daily management of intellectual property.
Note: Scientific research institutions include key laboratories, engineering centers, engineering laboratories, and school-based scientific research institutions and research centers.
5.6 Intellectual property experts and consultants
Establish an intellectual property expert database and hire professionals from inside and outside the school to serve as experts. According to the needs of intellectual property management and operation, intellectual property experts or institutions can be hired to assist in carrying out major intellectual property affairs.
6 Resource Management
6.1 Human Resources
6.1.1 Personnel Contract
The intellectual property content should be clearly stated in the personnel contract, including:
a) Manage faculty and staff through employment contracts, labor contracts, labor service contracts, etc., and agree on intellectual property ownership and confidentiality terms;
b) Clarify the rights enjoyed by inventors and creators Rights and obligations, and clarify the responsibility of faculty and staff for intellectual property losses;
c) Conduct appropriate intellectual property background checks on new faculty and staff and form records; for positions closely related to intellectual property , new faculty and staff should be required to sign an intellectual property declaration document;
d) Remind faculty and staff who have resigned and retired on intellectual property matters; faculty and staff involved in core intellectual property rights should sign an intellectual property declaration document when they leave or retire. The property rights agreement further stipulates the ownership of intellectual property rights and confidentiality responsibilities.
6.1.2 Incentives and evaluation
Establish an intellectual property incentive and evaluation mechanism, and use the creation and application of intellectual property as an important basis for professional title evaluation, job management, and assessment and evaluation. Rewards will be given to those who have contributed, and academic misconduct such as plagiarism and theft of other people's copyrights will be prevented.
6.1.3 Education and training
Organize and carry out intellectual property education and training, including the following:
a) Develop an intellectual property education and training plan;
b) Organize intellectual property training for faculty and staff;
c) Organize intellectual property training for students to avoid infringement of intellectual property rights, especially copyrights;
d ) Organize training for intellectual property management and operation personnel, intellectual property service support agency personnel, intellectual property specialists, etc.;
e) Conduct intellectual property training for scientific researchers who undertake major scientific research projects.
f) Intellectual property courses can be offered to students.
Note: Major scientific research projects are determined by colleges and universities themselves.
6.2 Infrastructure
Strengthen the resource allocation of intellectual property management and the intellectual property management of infrastructure, including:
a) Establish an intellectual property management information system ;
b) Equip software and hardware equipment, classrooms, office spaces, laboratories, and research lab-related resources as needed to ensure the operation of intellectual property work;
c) Purchase experimental equipment, Clarify intellectual property terms when handling supplies, consumables, and software, and conduct corresponding intellectual property inspections when handling items used in experiments to avoid infringement of intellectual property rights;
d) Open major national scientific research infrastructure and large-scale scientific research instruments to the public When publishing works, papers and other results, users should protect user identity information and intellectual property rights and scientific data formed during use, and clarify the requirements for users to indicate the use of scientific research facilities and instruments when publishing works, papers and other results;
e) Clarify the possibility For equipment causing leakage, the purpose, personnel and methods of use shall be stipulated; the confidential areas shall be clarified, and the scope of activities of visitors shall be stipulated.
6.3 Financial resources
6.3.1 Regular budget expenses for intellectual property rights
Establish regular budget expenses for intellectual property rights, which can be used;
a) Intellectual property application, registration, registration, and maintenance;
b) Intellectual property search, analysis, evaluation, operation, litigation;
c) Intellectual property management and operation agency operation ;
d) Intellectual property management informatization;
e) Intellectual property incentives;
f) Intellectual property education and training;
g) Other intellectual property work.
6.3.2 Intellectual Property Fees for Scientific Research Project Management
Coordinate the establishment of an intellectual property fund guarantee mechanism for scientific research projects. As intellectual property fees for scientific research project management, it can be used for:
a) Intellectual property application, registration, registration and maintenance;
b) Intellectual property search, analysis, evaluation, operation and litigation;
c) Research projects Rewards for those who bear major intellectual property responsibilities;
d) Intellectual property education and training;
e) Other intellectual property work.
6.4 Information resources
Strengthen the intellectual property management of information resources:
a) Use domestic and foreign intellectual property databases, libraries and other data and literature resources to establish information Collection channels to obtain intellectual property information in a timely manner;
b) Classify, screen, analyze and process intellectual property information, and make effective use of it;
c) Establish an intellectual property review for information disclosure Mechanism to avoid copyright infringement on the website;
d) Clarify confidential information and stipulate confidentiality level, period and requirements for transmission, storage and destruction.
7. Whole-process management of intellectual property rights
7.1. Management of natural science research projects
7.1.1. Topic selection
The topic selection stage Intellectual property management includes:
a) Establishing information collection channels to obtain intellectual property information on proposed research topics;
b) Classifying, screening, analyzing and processing information to grasp technological developments Trends, determine research direction and focus.
7.1.2 Project establishment
Intellectual property management during the project establishment stage includes:
a) Analyze patent information and literature information, determine research technology routes, and improve the project Technical starting point;
b) Identify project intellectual property needs and determine intellectual property goals;
c) When signing project contracts, clarify the ownership, use, disposal, income distribution, etc. of intellectual property Terms;
d) Provide training to project team members, and sign an intellectual property agreement with project team members when necessary to clarify confidentiality terms;
e) Major scientific research projects should have a designated person responsible for them Patent information and literature intelligence analysis work.
7.1.3 Implementation
Intellectual property management during the implementation phase includes:
a) Track patent information and literature information in the project research field, and adjust project research in a timely manner direction and technical route;
b) Conduct intellectual property risk assessment to avoid infringement of other people’s intellectual property rights;
c) Timely establish, maintain and maintain intellectual property record files in the R&D process;< /p>
d) Project team members should be reviewed by the project team leader before releasing information related to this project;
e) Use of national major scientific research infrastructure and large-scale projects managed by other units When researching instruments, requirements for protecting identity information, intellectual property rights and scientific data formed during use should be agreed upon;
f) Evaluate research results in a timely manner, determine protection methods, and formulate intellectual property rights in a timely manner; Scientific research projects with major market prospects should be application-oriented, with patent layout and trade secret protection in mind.
7.1.4 Finalization
Intellectual property management during the finalization stage includes:
a) Submit a list of intellectual property rights for project results, including but not limited to patents , written works, graphic works and model works, new plant varieties, computer software, trade secrets, integrated circuit layout designs, etc.;
b) Evaluate the project’s intellectual property management and management against the project’s intellectual property goals and needs. Protection completion status;
c) Propose suggestions on the use of intellectual property rights.
7.2 Management of scientific research projects in the humanities and social sciences
Strengthen the management of scientific research projects in the humanities and social sciences, especially the copyright management of professional works produced during the creative process:
a) Searches should be conducted before project establishment to avoid repeated topic selection and creation;
b) When signing a project contract, a copyright ownership agreement should be signed or a dedicated copyright section should be included in the contract to clearly stipulate the works Ownership of copyright, signature, exercise of copyright, use and disposal of works, income distribution, litigation and arbitration solutions when copyright infringement is involved, etc.;
c) Provide training to project team personnel and communicate with them The project team members sign a copyright agreement for their work works and stipulate the ownership of the rights of the work; when necessary, confidentiality measures should be taken to avoid unauthorized early publication, licensing, transfer, etc.;
d) Submit the project results when the creation is completed, including the following Not limited to papers, books, teaching materials, courseware, scripts, audio-visual works, computer software, etc.
7.3 Application of intellectual property rights
7.3.1 Hierarchical management
The hierarchical management of intellectual property rights should be strengthened and records should be formed:
a) Based on the value analysis of intellectual property, establish a hierarchical management mechanism;
b) The intellectual property operation agency combines the suggestions of the project team and experts to analyze the value of intellectual property from the legal, technical and market dimensions and form a hierarchical list of intellectual property , when necessary, a third-party agency can be entrusted to carry out relevant work;
c) According to the hierarchical list, determine different levels of intellectual property disposal and status control procedures, and strengthen the rational use of intellectual property.
7.3.2 Planning and promotion
The planning and promotion of intellectual property rights should be strengthened and records should be formed:
a) Based on the hierarchical list, for intellectual property rights with transformation prospects , evaluate application prospects, including potential users, market value, investment scale, etc.; evaluate risks in the conversion process, including rights stability, market risks, etc.;
b) Based on the evaluation results of application prospects and risks, Comprehensively consider the interests of investment entities and rights holders, and formulate transformation strategies;
c) Establish a reasonable distribution mechanism for income from the use of intellectual property rights, and qualified units can incentivize knowledge that has made substantial contributions in the use process. Property rights operations personnel;
d) Establish cooperative relationships with potential users through display, promotion, negotiation, etc.;
e) Combining market demand, carry out intellectual property portfolio, and cooperate with relevant enterprises or Industry docking.
7.3.3 Licensing and transfer
When licensing or transferring intellectual property rights, the following requirements should be followed:
a) Confirmation of intellectual property rights before licensing or transfer Legal status and ownership of rights to ensure the validity of relevant intellectual property rights;
b) Investigate the licensee or transferee’s willingness to implement and prevent malicious applications for licenses and purchases;
c) Licensing or transfer should sign a written contract to clarify the rights and obligations of both parties, and a third-party agency can be entrusted to participate if necessary;
d) Monitor the licensing or transfer process, including the signing, filing, change, and execution of the contract , suspension and termination, and changes in intellectual property ownership, etc., to prevent and control transaction risks.
7.3.4 Price-setting shares
When using intellectual property rights to price shares, the following requirements should be followed:
a) Investigate the economic strength and management level of the partner , production capacity, technical ability, marketing ability and other implementation capabilities;
b) Evaluate the value of intellectual property rights;
c) Clarify the benefit method and distribution ratio.
7.4 Intellectual property protection in key links
Intellectual property protection in key links should be strengthened and records should be formed:
a) Standardize the school name, school logo, If the use of school emblems, domain names and service marks requires application for trademark protection, registration must be carried out in a timely manner;
b) Standardize the use and management of copyrights, establish a statistical mechanism for academic papers published in core journals, and strengthen thesis and dissertation Check for plagiarism of graduation projects and clarify the requirements for faculty, staff and students to mark the main references and use of major national scientific research infrastructure and large scientific research instruments when publishing papers;
c) Relevant knowledge in the contract Review the property rights terms;
d) A written contract should be signed for external entrustment of intellectual property rights such as search and analysis, application, litigation, management consulting, etc., and confidentiality should be agreed upon;
e ) Clarify matters such as intellectual property ownership, license transfer and benefit distribution, and ownership of subsequent improvements when participating in intellectual property alliances, collaborative innovation organizations, etc.;
f) Timely discover and monitor intellectual property risks, and formulate effective Risk avoidance plan to avoid infringement of other people's intellectual property rights;
g) Timely track and investigate the infringement of relevant intellectual property rights, establish an intellectual property dispute response mechanism, proactively safeguard rights through administrative and judicial channels in a timely manner, and effectively protect own intellectual property rights.
8 Evaluation and improvement
8.1 Performance evaluation
Incorporate intellectual property work into the annual performance evaluation of colleges and universities, departments and scientific research institutions affiliated to the school .
8.2 Inspection, supervision and improvement
Establish an inspection and supervision mechanism to ensure the effectiveness of the intellectual property management system; formulate and implement improvement measures based on the intellectual property objectives and the results of inspection and analysis.