This standard specifies the general requirements of intellectual property management in colleges and universities.
This standard is applicable to institutions of higher learning with scientific research functions, and other educational institutions can refer to it.
2 normative reference documents
The following documents are essential for the application of this document. For dated reference documents, only dated version is applicable to this document. For undated reference documents, the latest version (including all revisions) is applicable to this document.
GB/T 19000-2008 Basis and terminology of quality management system
3 Terms and definitions
The following terms and definitions defined in GB/T 19000-2008 apply to this document.
3. 1 institutions of higher learning
In accordance with the setting standards and examination and approval procedures stipulated by the state, higher education is implemented in educational institutions such as full-time universities, independent colleges, junior colleges and higher vocational schools, which are mainly trained by ordinary high school graduates and vocational high school graduates.
3.2 Intellectual Property Rights Intellectual Property Rights
The rights enjoyed by natural persons or legal persons according to law on the fruits created by their intellectual activities mainly include patent right, trademark right, copyright right, integrated circuit layout design right, geographical indication right, new plant variety right, and exclusive right to undisclosed information.
3.3 faculty and staff
Teachers, staff, temporary employees and interns in institutions of higher learning, postdocs, visiting scholars and interns engaged in scientific research activities in the name of institutions of higher learning, etc.
3.4 students
Educated personnel who are admitted to the school according to law and have a student status.
3.5 Project
A unique process consisting of a group of coordinated and controlled activities with start and end dates, designed to meet specified requirements, including time, cost and resource constraints.
[GB/T 19000-2008 Terms and definitions 3.4.3]
Note 1: A single project can be a part of a larger project structure.
Note 2: In some projects, with the progress of the project, the objectives are gradually clear and the product characteristics are gradually determined.
3.6 scientific research projects scientific and technological research projects
Projects undertaken by universities and related organizations to carry out scientific and technological research and development activities in a certain period of time.
3.7 Project Team
The organizational form of completing scientific research projects is a scientific research unit that belongs to colleges and universities and carries out research and development activities relatively independently.
4 management of intellectual property documents
4. 1 file type
Intellectual property documents include:
A) Intellectual property management responsibilities, institutional setup and other related documents;
B) Intellectual property documents in the management of human resources, infrastructure, financial resources and information resources;
C) Intellectual property management documents formed in the research process of natural science and humanities and social sciences;
D) Records formed by implementing intellectual property management documents;
E) External documents related to intellectual property rights.
Note 1: The existing media of the above documents can be paper documents, electronic documents or audio-visual 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 the implementation of intellectual property management in colleges and universities, and should ensure that:
A) It shall be reviewed and approved before release;
B) The contents of the document are clearly stated and complete, and the preservation method and duration are clear;
C) External documents shall be kept intact;
D) Establish, maintain and maintain intellectual property records;
E) Manage according to the category and classification of documents, so as to facilitate identification, access and reading;
F) Obsolete documents that need to be saved for specific purposes shall be identified.
5 management responsibilities
5. 1 principal
The president (or dean) is the first person responsible for intellectual property work in colleges and universities, and undertakes the following duties:
A) Approve and publish the intellectual property objectives of colleges and universities, and realize the preservation and appreciation of intellectual property assets;
B) To approve and issue intellectual property policies;
C) Organizing the highest decision-making body to make decisions on major intellectual property matters;
D) Clarify the responsibilities and authority of intellectual property management to ensure effective communication;
E) Ensure the guarantee conditions and resource allocation of intellectual property management.
5.2 Management Committee
Set up an intellectual property management Committee composed of top management, subject experts and representatives of management and operation institutions. , fully responsible for intellectual property management affairs, and bear the following responsibilities:
(a) to formulate long-term, medium-term and short-term goals for intellectual property rights suitable for personnel 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 issues;
F) Review the disposal plan of major intellectual property assets.
5.3 Intellectual property management and operation institutions
5.3. 1 Intellectual Property Management Organization
The establishment of intellectual property management institutions, equipped with full-time personnel, and undertake the following duties:
A) Drafting and organizing the implementation of policy documents related to intellectual property rights;
B) Establish an intellectual property performance evaluation system;
C) Drafting and organizing the implementation of the intellectual property work plan;
D) organizing intellectual property training;
E) Selecting, coordinating, supervising and evaluating intellectual property service institutions;
F) Daily management of intellectual property rights.
5.3.2 Intellectual property rights operating institutions
Set up an intellectual property operation organization with full-time staff and undertake the following duties:
A) Establish a statistical and analytical system for intellectual property assets;
B) Establish an evaluation system for intellectual property assets;
C) Propose a disposal plan for major intellectual property assets;
D) Participate in the layout of intellectual property rights of major projects;
E) Daily work of intellectual property operation.
Note: Intellectual property management institutions and intellectual property operation institutions can be merged.
5.4 Intellectual Property Service Support Organization
The establishment of intellectual property service support institutions, equipped with full-time staff, and undertake the following duties:
A) Provide service support for the establishment, implementation and operation of the intellectual property management system, undertake the inspection and supervision of the effectiveness of the intellectual property management system and put forward suggestions for improvement measures, entrusted by the management committee and the intellectual property management institution;
B) Providing service support to the management committee, intellectual property management and operation institutions;
C) Responsible for the construction and maintenance of the intellectual property information management platform;
D) Establish information collection channels to be responsible for the classification and processing of intellectual property information and other data and literature resources;
E) Providing full-process intellectual property information services for important scientific research projects;
F) Daily patent retrieval and patent analysis;
G) Organize training and promotion on the use of intellectual property information.
Note: Libraries and other institutions of higher learning responsible for information services should set up intellectual property service support institutions.
5.5 Intellectual Property Commissioner
All departments and scientific research institutions shall set up intellectual property commissioners to undertake the following duties of their own departments:
(1) Drafting and organizing the implementation of the intellectual property plan;
B) intellectual property training;
C) daily management of intellectual property rights.
Note: Scientific research institutions include key laboratories, engineering centers, engineering laboratories, scientific research institutions and research centers established by schools.
5.6 Intellectual property experts and consultants
Establish an intellectual property expert database and hire professionals inside and outside the school as experts. According to the needs of intellectual property management and operation, intellectual property experts or institutions can be hired to assist in major intellectual property affairs.
6 resource management
6. 1 human resources
6. 1. 1 personnel contract
The personnel contract shall specify the contents of intellectual property rights, including:
A) Manage faculty through employment contracts, labor contracts and labor contracts, and stipulate the ownership and confidentiality provisions of intellectual property rights;
B) Clarify the rights and obligations enjoyed by inventors and creators, and clarify the responsibilities of teaching staff for intellectual property losses;
C) Conduct appropriate intellectual property background investigation for new employees in vocational education and make records; For positions closely related to intellectual property rights, new professional employees should be required to sign intellectual property declaration documents;
D) Remind resigned and retired faculty members about intellectual property rights; When staff involved in core intellectual property leave or retire, they should sign an intellectual property agreement to further clarify the ownership and confidentiality responsibilities of intellectual property.
6. 1.2 Incentive and evaluation
Establish an incentive and evaluation mechanism for intellectual property rights, take the creation and application of intellectual property rights as an important basis for job title evaluation, post management and evaluation, reward outstanding contributions, and put an end to academic misconduct such as plagiarism.
6. 1.3 education and training
Organize intellectual property education and training, including the following contents:
A) Formulate intellectual property education and training plans;
B) Organizing intellectual property training for teaching staff;
C) Organize intellectual property training for students to avoid infringing intellectual property rights, especially copyright;
D) Organizing the training of intellectual property management and operation personnel, personnel of intellectual property service support institutions and intellectual property commissioners;
E) Training on intellectual property rights for scientific researchers undertaking major scientific research projects.
F) Intellectual property courses can be provided to students.
Note: Major scientific research projects are determined by institutions of higher learning.
6.2 Infrastructure
Strengthen the allocation of resources for intellectual property management and the intellectual property management of infrastructure, including:
A) Establish an intellectual property management information system;
B) Provide software and hardware equipment, classrooms, office space, laboratories and research rooms as required to ensure the operation of intellectual property work;
C) Make clear the terms of intellectual property rights when purchasing experimental equipment, supplies, consumables and software, and conduct corresponding intellectual property inspection when handling the articles used in the experiment to avoid infringement of intellectual property rights;
D) When major national scientific research infrastructure and large-scale scientific research instruments are open to the public, they should protect users' identity information, intellectual property rights and scientific data formed in the process of use, and clarify the requirements for users to indicate the use of scientific research facilities and instruments when publishing works, papers and other achievements;
E) Identify the equipment that may cause leakage, and specify the purpose, personnel and use method; Define the secret-related areas and specify the scope of activities of visitors.
6.3 Financial resources
Regular budget for intellectual property rights
Establish a recurrent budget for intellectual property rights, which can be used for;
A) Application, registration, registration and maintenance of intellectual property rights;
B) Intellectual property retrieval, analysis, evaluation, operation and litigation;
C) Intellectual property management and operation of operating institutions;
D) Informatization of intellectual property management;
E) intellectual property incentives;
F) Intellectual property education and training;
G) other intellectual property work.
6.3.2 Intellectual property expenses of scientific research project management
Co-ordinate the establishment of intellectual property fund guarantee mechanism for scientific research projects, which can be used as intellectual property expenses for scientific research project management;
A) Application, registration, registration and maintenance of intellectual property rights;
B) Intellectual property retrieval, analysis, evaluation, operation and litigation;
C) Reward the personnel who are mainly responsible for intellectual property rights in scientific research projects;
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 data and literature resources such as domestic and foreign intellectual property databases and libraries to establish information collection channels and obtain intellectual property information in time;
B) Classify, screen, analyze and process intellectual property information and make effective use of it;
C) Establish an intellectual property review mechanism for information disclosure to prevent websites from infringing copyright;
D) Clarify confidential information, and specify the confidentiality level, duration and requirements for transmission, preservation and destruction.
7 whole process management of intellectual property rights
7. 1 natural science research project management
7. 1. 1 topic selection
Intellectual property management in the topic selection stage includes:
A) Establish information collection channels to obtain the intellectual property information of the subject to be studied;
B) Classify, screen, analyze and process the information, grasp the development trend of technology, and determine the research direction and focus.
7. 1.2 project startup
Intellectual property management in the project establishment stage includes:
A) Analyze patent information and literature information, determine the research technology route, and improve the technical starting point of the project;
B) Identify the intellectual property requirements of the project and determine the intellectual property objectives;
C) When signing the project contract, specify the ownership, use, disposal and income distribution of intellectual property rights;
D) Training project team members, signing intellectual property agreements with project team members when necessary, and defining confidentiality clauses;
E) Major scientific research projects shall designate special personnel to be responsible for the analysis of patent information and literature information.
7. 1.3 implementation
Intellectual property management in the implementation stage includes:
A) Tracking the patent information and literature information in the research field of the project, and adjusting the research direction and technical route of the project in time;
B) Conduct intellectual property risk assessment to avoid infringing others' intellectual property rights;
C) Establish, maintain and maintain the intellectual property records in the R&D process in time;
D) Before releasing the information related to this project, the members of the project team shall be audited by the project team leader;
E) When using major national scientific research infrastructure and large-scale scientific research instruments managed by other units, the requirements for protecting identity information, intellectual property rights and scientific data formed in the process of use shall be agreed;
F) Evaluate research results in time, determine protection methods and form intellectual property rights in time; For scientific research projects with great market prospects, we should be application-oriented and do a good job in patent layout and trade secret protection.
7. 1.4 conclusion
The intellectual property management in the conclusion stage includes:
A) Submit the list of intellectual property rights of the project achievements, including but not limited to patents, written works, graphic works and model works, new plant varieties, computer software, trade secrets, layout design of integrated circuits, etc.
B) Evaluate the completion of the project's intellectual property management and protection against the project's intellectual property objectives and requirements;
C) Give suggestions on the application of intellectual property rights.
7.2 Humanities and Social Sciences Research Project Management
Strengthen the management of scientific research projects in humanities and social sciences, especially the copyright management of job works produced in the process of creation;
A) Search should be conducted before the project is initiated to avoid repeated topic selection and creation with the same topic;
B) When signing a project contract, a copyright ownership agreement should be signed or a copyright part should be specially set in the contract, which clearly stipulates the ownership, signing and exercise of copyright, the use and disposal of works, the distribution of income, and the methods of litigation and arbitration in case of copyright infringement.
C) Training project team members, and signing copyright agreements with project team members to stipulate the ownership of the works; When necessary, confidentiality measures should be taken to avoid unauthorized early publication, license and transfer;
D) Submit project results after creation, including but not limited to papers, works, 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 recorded;
A) Establish a hierarchical management mechanism based on the value analysis of intellectual property rights;
B) Intellectual property operating institutions shall, in combination with the suggestions of the project team and experts, analyze the value of intellectual property from the legal, technical and market dimensions, form a hierarchical list of intellectual property rights, and may entrust a third-party institution to carry out relevant work when necessary;
C) According to the classified list, determine different levels of intellectual property disposal and state control procedures, and strengthen the rational use of intellectual property rights.
7.3.2 Planning and promotion
The planning and promotion of intellectual property rights should be strengthened and recorded;
A) According to the classified list, evaluate the application prospect of intellectual property with transformation prospect, including potential users, market value, investment scale, etc. Assess risks in the process of transformation, including equity stability and market risks;
B) According to the application prospect and risk assessment results, comprehensively consider the interests of investors and obligees, and formulate transformation strategies;
C) Establish a reasonable income distribution mechanism for the use of intellectual property rights. Conditional units can reward intellectual property operators who have made substantial contributions in the use of intellectual property rights;
D) Establish cooperative relations with potential users through exhibition, promotion and negotiation;
E) Connecting with relevant enterprises or industries in combination with market demand and intellectual property rights.
7.3.3 Licensing and Transfer
When licensing or transferring intellectual property rights, the following requirements shall be observed:
A) Confirm the legal status and ownership of intellectual property rights before licensing or transfer, and ensure the effectiveness of relevant intellectual property rights;
B) Investigate the implementation intention of the licensee or transferee to prevent malicious application for license and purchase;
C) A written contract shall be signed for licensing or transfer, specifying the rights and obligations of both parties, and a third party agency may be entrusted to participate if necessary;
D) Monitor the licensing or transfer process, including the signing, filing, modification, execution, suspension and termination of the contract, and the change of intellectual property ownership, so as to prevent and control the transaction risks.
7.3.4 Purchase of shares at a fixed price
The following requirements shall be observed when intellectual property rights are valued as shares:
A) Investigate the economic strength, management level, production capacity, technical capacity and marketing capacity of the partners;
B) Assessing the value of intellectual property rights;
C) Clarify the benefit model and distribution ratio.
7.4 Intellectual Property Protection of Key Links
Intellectual property protection of key links should be strengthened and recorded:
A) Standardize the use of school name, school emblem, school emblem, domain name and service mark, and register in time if trademark protection is required;
B) Standardize the use and management of copyright, establish a statistical mechanism for publishing academic papers in core journals, strengthen duplicate checking of dissertations and graduation designs, and clarify the requirements for faculty and students to mark major reference documents when publishing papers, and make use of major national scientific research infrastructure and large-scale scientific research instruments;
C) Review the clauses related to intellectual property rights in the contract;
D) A written contract shall be signed for intellectual property outsourcing services such as retrieval analysis, application, litigation and management consulting, and confidentiality matters shall be agreed;
E) In the case of participating in intellectual property alliances and collaborative innovation organizations, clarify the ownership, license transfer and benefit distribution of intellectual property rights, as well as the subsequent improvement of the ownership of rights and interests;
F) Discover and monitor intellectual property risks in time, and formulate effective risk avoidance schemes to avoid infringing on the intellectual property rights of others;
G) Track and investigate related intellectual property infringement in a timely manner, establish a mechanism for handling intellectual property disputes, take the initiative to safeguard rights through administrative and judicial channels in a timely manner, and effectively protect their own intellectual property rights.
8 evaluation and improvement
8. 1 performance evaluation
Incorporate intellectual property work into the annual performance appraisal of universities, departments and scientific research institutions.
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 according to intellectual property objectives and inspection and analysis results.