improving patent quality and innovation in china: transforming policy analysis into cooperative...
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Improving patent quality and innovation in China: transforming policy analysis into cooperative action 在中国提高专利质量和创新：把政策分析转变成合作行动
November 29th 2013, Jiangsu International IP Forum
Jiangsu University, China 中国江苏大学江苏国际IP论坛 2013年11月29日
Dan Prud’homme （濮东丹）
Technical Expert, IP Key (EC, OHIM, and EPO project) 技术专家, IP Key (欧盟内部市场协调局与欧洲专利局项目)
Contents 内容
1. China’s performance on patent quality and innovation metrics
中国在专利质量和创新指标上的绩效情况 2. Some policies hampering patent quality and
innovation in China (+ some recent reforms) 在中国，一些政策阻碍了专利质量与创新（+一些
最近的改革） 3. Further steps to strengthen the system: IP Key’s
cooperative EU-China approach 加强制度的进一步方法：欧盟与中国IP Key合作途径
4. Conclusions 结论
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China does not score particularly well on patent quality metrics中国在专利质量指标上并不出众
Example metrics:如下指标:
• Average life-span of patents is relatively short (although seems to be improving) 专利的平均寿命相对较短（尽管看起来在增长）
• Poor scores on OECD Patent Citation Index 在经合组织的专利引文索引次数较少
• Chinese SOEs’ scores could be better vs. certain other entities 中国国企的专利质量本可能比其他企业更好 • Empirical research shows general reluctance of foreign firms
to patent most breakthrough technology in China 实证研究表明，外企一般都不愿意在中国申请大多数突破性的技术专利
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As patent #s are exploding, there’s been a shift in the composition of patents…is this concerning? 随着专利的数量激增，在专利的组成结构上发生了改变……这不令人担忧吗？
0
100,000
200,000
300,000
400,000
500,000
600,000
700,000
800,000
900,000
1996
1997
1998
1999
2000
2001
2002
2003
2004
2005
2006
2007
2008
2009
2010
2011
2012
2013*
InventionpatentsUtilitymodelsDesigns
Source: SIPO statistics; *2013 estimates based on avg. monthly growth rate till Sept. 2013
Total patent applications (domestic +foreign) by type (1996-2013*)总的专利应用（国内+国外）的类型
发明专利
实用新型专利
设计
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Strategy: Quantity first…quality can follow 策略：先数量…… 质量才能够跟上
Government strategy to first build quantity of patents, then focus on quality: 政府先建设专利的数量，后关注质量
• Generally, this indeed makes sense 一般来说，这的确是合理的 • Government is aware of patent quality shortcomings 政府正意识到专利质量的不足 • Government is commendably trying hard to transition 政府正很好地努力转变 • However, not easy transition and certain practical reforms
deserve to be made as soon as possible 然而，艰难的转变和某些实用的改革值得尽快实施
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At the aggregate level, Chinese innovation has a ways to go to be #1 从总体来看，中国的创新路程成为第一还有一段路要走
• Innovation in China is certainly increasing, and in some cases impressively so. Some good case studies of innovative companies.
中国的创新无疑在增长，有时是令人赞叹的。有一些好的创新公司的案例可供研究。
• However, actual innovation sometimes appears overhyped by the media and some businesses. Even most complimentary (yet also robustly crafted/scholarly) rankings (e.g., by CASTED) = at least 20 more innovative countries than China at present
然而，真正的创新有时显得被媒体和一些公司过度炒作。即使是非常恭维的排名=目前至少有20个国家的创新超过中国
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Contents 内容
1. China’s performance on patent quality and innovation metrics
中国在专利质量和创新指标上的绩效情况 2. Some policies hampering patent quality and
innovation in China (+ some recent reforms) 在中国，一些阻政策碍了专利质量与创新（+一些
最近的改革） 3. Further steps to strengthen the system: IP Key’s
cooperative EU-China approach 加强制度的进一步方法： 欧盟与中国IP Key合作途径
4. Conclusions 结论
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Focus of analysis 对分析的关注
• This section analyses:分析如下：
• (1) Patent-related policies and practices meant to stimulate innovation but that actually can have the opposite effect;
专利相关的政策和做法目的是为了刺激创新，但是实际却可能产生相反的效果；
• (2) Patent prosecution, patent enforcement, and patentability rules that can hamper innovation
专利申请，专利执法和专利性规则阻碍创新
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Overemphasis on certain quantitative patent targets misses the mark 过度强调某些数量上的专利目标反而不能有的放矢
• Government-set, mostly for/by 2015 政府为2015年或到2015年为止设定的目标
• Over 10 national-level targets 超过10个国家级专利目标 • Over 150 provincial/municipal targets 超过150个省级或市级专利目标
• Main problem: Does not optimally stimulate patent quality and healthy innovation 主要问题：没有最佳的刺激专利质量和健康的创新
• Current targets ≠ innovations. Not optimal for guiding or assessing the effectiveness of policies to spur innovation.
当前的目标≠创新。不能最佳的指导或获得刺激创新的政策效应。
• Potentially perverse incentives 潜在的不当激励
• Linked to performance assessments (for SOEs, univ. and research institutes, gov’t officials, etc.), which likely need improvement
相关的绩效评估（国企，大学，研究机构，政府官员等等）很可能需要改进
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But Jiangsu’s targets are relatively well crafted, and evaluation system is being strengthened 但是江苏的目标制定得相对较好，评估体系正在被强化
IP Plan issued in 2011, targets by the year of 2015 • Invention patents owned = 6 per ten thousand people • Invention patents granted to employers in high-tech parks ≥ 100 • Number of patents issued = 400 per ten billion RMB GDP • PCT international patent applications ≥ 1,000 • Double the number of the effective/in-force patents owned
and the total number of invention patent granted compared with those of “11th 5year Plan”
IP Strategy issued in 2009,targets for every year from 2009 to2013 • Patent applications and granted ≥ 15% annual growth rate • Invention patent applications ≥ 20% annual growth rate • Foreign patent applications ≥ 30% annual growth rate • The proportion of enterprises patent applications accounts for 55% of total
patent applications
Sources: Notice on Launching the Intellectual Property Strategy Compendium of Jiangsu Province (issued in 2009); and Jiangsu’s 12th Five Year Plan on Patent Development (issued in 2011)
Jiangsu’s patent targets to be met by 2013 and 2015
Examples of Jiangsu’s patent-related performance evaluation initiatives Section 4, Part1, Para1: “Improve the intellectual property strategy and implementation of the performance evaluation system, the establishment of a scientific management system of patent examination, and to strengthen the implementation of performance assessment.” Section 4, Part 2, Para 1: “Strengthening catalogued evaluation on invention performances of universities and institutes, and obtaining original patents should be the key elements of evaluation on basic research and cutting-edge technology research, obtaining invention patent and utility models should be the key elements of evaluation on applied research, developed research…improving Section 5, Part 1: “Establishing a scientific work performance assessment mechanism, taking the scientific patent management as the important indicator to measure the implementation of Scientific Outlook on Development and to measure the regional development capacity.
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Patent filing subsidy system still deserves reform专利申请的补贴制度仍值得改革
• Among other forms of subsidies, state pays attorney and official filing fees 在补贴的种类中，国家给律师的费用和官方归档费
• Some reforms, in some places, taking place 一些改革，在一些地方，正在进行
• Only given to invention patents只对发明专利 • Only given to patents granted 只对授权的专利 • Other reforms in the making 其他在酝酿中的改革
• But still more could be done – good to share international experiences on this (EU countries can learn from each other and China as well) 但是仍然有更多的事情可以去做——很好的去分享国际经验（欧盟国家能够互相学习，中国也可以）
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Other government monetary support schemes for patents deserve improvement 对于专利，其他政府的货币支持政策应该提高
• High and New Technology Enterprise (HNTE) scheme 高新技术企业模式 • Tax breaks; 6 utility models (or certain other IP) = 1 invention patent 减免税；6个实用新型专利 （或某个其他的知识产权）= 1个发明专利
• Monetary support for “indigenous” IP 对自主知识产权的货币政策支持 • What are “自主知识产权” requirements?自主知识产权的要求是什么？ • Ostensibly delinked from government procurement in 2011, but still linked to other
monetary incentives 在2011年，表面上与政府采购脱离关系，但仍与其他奖励相关联
• Concerns from foreign industry = can hamper innovation efforts in China…more empirical research needed to better assess impacts
来自国外企业的担忧= 会阻碍中国的创新努力…更多经验主义的研究需要更好地评估影响
• Other incentives to invent/patent, or actually innovate? 其他对于发明/专利的，或者真正创新的奖励？
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Other IP-related policies and practices that can hamper innovation 一些阻碍创新的其他与知识产权相关的政策和做法
• Nov. 2012 Service Invention Regulations (draft) 2012年11月的服务发明条例（草案） • Article 19.2 biggest concern = no flexibility; also other concerns 19.2章 最大的担
忧= 没有弹性 也有其他担忧 • Logic in Shanghai High People’s Court Guidelines (June 2013) followed?上海高级人民法院的指导方针（2013,6）是否遵循了上述逻辑？
• Technology import and export rules 技术进出口规则 • Lack of clarity about “restricted” and “prohibited” categories 对“限制”和“严禁”的类别缺乏清晰度
• Subsequent improvements on technology owned by party making improvements = lack of flexibility 改进技术的成果属于改进方=缺少弹性
• \
• A variety of other issues 各种各样的其他问题
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Concerns with procedures for enforcing utility models对加强实用新型专利过程的担忧
• Utility models (UMs) are indisputably useful for stimulating incremental innovation; however, fact that relatively easy to obtain can actually hamper innovation WHEN COMPOUNDED w/certain problematic UM enforcement procedures (and perverse monetary support and several other factors) in China: 实用新型专利无疑对刺激增加的创新是有用的；然而，在中国，相对容易获得的实用新型专利与某些有问题的实用新型专利的执法过程（以及不当的货币支持和其他因素）相结合，可能真的阻碍了创新：
• Limited prior art review in different technical fields by PRB for UM Patent Evaluation Report used in infringement case (and PRB cases)
PRB 对用于侵权案例的实用新型专利的评估报告中指出在不同的技术领域的现有技术复审
• Restrictions on #s of prior art considered by examiner in “normal” UM PRB cases审查员在PRB 的“正常”实用新型专利案例中对现有技术的限制
• Lack of mandatory suspension of UM court case pending PRB decision 不强制实用新型专利法庭案件，等待PRB的决定
• Insufficient judicial consideration of UM Patent Evaluation Reports 对UM专利评估报告司法上不充分的考虑
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Other concerns with patent enforcement, patent prosecution, and patentability requirements 其他对专利申请，专利控告和专利性的要求的担忧
• Lack of solid, binding rules on anti-monopoly issues related to IPR 缺乏对知识产权相关的反垄断问题强有力的约束规则
• Difficulties obtaining Preliminary Injunctions 获得初步禁令的困难
• Overly burdensome data submission requirements (“26.3 rule”) and PRB allowance of retroactive invalidation based upon the rule 过度繁琐的生物医学的数据提交要求和基于这项规则的PRB对可追溯性失效的补贴
• Difficulty protecting process patents 保护过程专利权的困难
• Overly restrictive limitations on patentability in agro-sciences 对农业科学中的专利过度限制
• Various others 其他 15
Some recent improvements to the system 一些近期对制度的改善
• Revised Patent Examination Guidelines (draft Feb. 2013) = some better vetting of prior art for utility models and designs 修订过的《专利考核纲要》（草案 2013,2）=对实用新型专利和设计的更好的审查
• Invention patents in force/10,000 people “to be more widely used” 发明专利生效/ 10,000 人“被更广泛地使用”
• Measures improving IP management in industry parks/other concentrated geographic zones 工业园/其他集中的地理区域的知识产权管理的改善措施
• Draft SAIC measure on anti-monopoly and IPR issues 起草关于反垄断和IPR问题的国家工商行政管理局措施
• Others 其他
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Contents 内容
1. China’s performance on patent quality and innovation metrics
中国在专利质量和创新指标上的业绩情况 2. Some policies hampering patent quality and
innovation in China (+ some recent reforms) 在中国，一些政策阻碍了专利质量与创新（+一些
最近的改革） 3. Further steps to strengthen the system: IP Key’s
cooperative EU-China approach 加强制度的进一步方法： 欧盟与中国IP Key合作途径
4. Conclusions 结论
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The EU can contribute more, investment and otherwise, to innovation in China 欧盟可以贡献更多去帮助中国创新
Source: European Commission (2010)
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US & Canada 13%
India 3%
China 2%
Non-EU European countries
2% Japan
1% RoW 4%
Other EU countries 75%
Share of EU enterprises' R&D investment outside home country (2010) 在其他国家欧盟企业研发投资比例 （2010）
Main EU-China IP cooperation projects欧盟-中国知识产权主要合作项目
• IPR1 (1999 – 2004): focus on legislation关注立法 • IPR2 (2007 – 2011): focus on enforcement 关注执法 • IP Key (“Intellectual Property: A Key to Sustainable Competitiveness”)
(2013 – 2016) 知识产权的关键（知识产权：可持续竞争力的关 • Focus on policy, legislation, and enforcement – aims to strengthen the
effectiveness, fairness, and transparency of China’s IP and innovation framework 关注政策、立法和执法--旨在加强中国知识产权和创新 框架的有效性、公平性和透明性
• Implemented by OHIM and the EPO, majority of funds from European Commission由欧洲内部市场协调局和欧洲专利局共同实施，绝大部分资金由欧洲委员会赞助
• Implement over 30 activities per year from 2014-2016; 7.5 million Euros 从2014-2016 每年实施三十多项活动;七百五十万欧元
• Backstopping Team in Alicante, Expert Team in Beijing（西班牙）阿里坎特的支援小组，北京的专家组
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2014 cooperation activities related to IP and innovation 2014 年与知识产权和创新有关的合作活动
• Activities with SIPO 和中华人民共和国国家知识产权局开展的活动
• Questionnaire exchange on workings of UM systems 关于实用新型专利制度工作情况的问卷调查的交换
• Workshop on procedural and substantive legal aspects, as well as economic aspects, of UM patent systems
关于程序性的和实体性的实用新型专利制度法律方面和经济方面的研讨
• Translation of select PRB cases to be used as case studies 用于案例分析的特定的PRB案例翻译
• Seminars in China on the EU IP system; and seminars in the EU on the Chinese IP system 在中国开展关于欧盟知识产权制度的流动研讨会; 在欧盟开展关于中国知识产权制度的流动研讨会
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Other 2014 IP Key activities 其他2014年知识产权的重要活动
• Activities with SAIC 与国家工商行政管理局开展的活动 • Workshop on enforcement of trade secrets 关于商业秘密的研讨执法会
• (Also, other important activities related to trademarks其他)
• Academic workshop on optimal monetary incentives for stimulating quality patents
关于刺激专利质量的最佳货币奖励方案的学术研讨会
• Support to the EU-China IPR Working Group and Dialogue 对于欧盟-中国工作组和对话的支持
• Many other activities 其他诸多活动
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Contents 内容
1. China’s performance on patent quality and innovation metrics
中国在专利质量和创新指标上的绩效情况 2. Some policies hampering patent quality and
innovation in China (+ some recent reforms) 在中国，一些阻政策碍了专利质量与创新（+一些
最近的改革） 3. Further steps to strengthen the system: IP Key’s
cooperative EU-China approach 加强制度的进一步方法： 欧盟与中国IP Key合作途径
4. Conclusions 结论
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Conclusions 总结
• According to various metrics, China’s patent quality deserves improvement as does its innovation ecosystem at large 根据各种指标，中国的专利质量值得改善，正如它的创新生态系统一样
• Some Chinese policies and practices meant to promote innovation actually, partially at least, hamper innovation in China一些中国政策和实际做法是在促进创新，至少部分阻碍了在中国的创新
• This is compounded by certain potentially innovation-hampering patent enforcement and patent prosecution procedures, and patentability rules 这是由某些潜在的阻碍创新的专利执行，复杂的专利审查程序和专利性规则造成的。
• By sharing experiences and expertise under IP Key, the EU and China can strengthen their frameworks to better stimulate innovation and provide business opportunities in China 通过分享在IPKey的核心经验和专业知识，欧盟和中国可以加强他们更好地激发创新和在中国提供商业机会的制度
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