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1、Intellectual Property and Chinas National Strategies and Policies for InnovationLIU JianThe State Intellectual Property Office of P.R.China July 2007 OverviewOverviewI. Chinas National Strategies and Policies for InnovationlReasons and potentials of adopting the strategieslMain goals of the national
2、 strategieslPriorities of the science & technology innovation under the national strategieslPolicies and measures for guaranteeing implementation of the strategiesII. Intellectual Property and Indigenous Innovationl Importance of IP for indigenous innovationl Major achievements in Chinas IP undertak
3、ingl China is facing various challengeslFurther enhance intellectual property work 2I. National Strategies and Policies for InnovationI. National Strategies and Policies for Innovation Indigenous Innovation: New National Strategy The “Outline of National Medium- and Long-term Science and Technology
4、Development Plan(2006-2020)” lPromulgated in January 2006 in ChinalInitiated in July 2003lIts formulation work was headed by Premier Wen JiabaolOver 20 ministries and departments and more than 2000 experts involved in formulation of the Outline3I. National Strategies and Policies for InnovationI. Na
5、tional Strategies and Policies for InnovationReasons behind adoption of the innovation strategylNeed to create an innovation-oriented countrylNeed to maintain long-term and rapid economic growthlNeed to realize sustainable developmentlNeed to upgrade industrial structure and transform the mode of gr
6、owth, from resource and labor-driven to innovation-driven economylImprovement of competitiveness4I. National Strategies and Policies for InnovationI. National Strategies and Policies for Innovation Potentials of building an innovation-oriented countrylRapid economic growth provides a solid material
7、basislRelatively complete scientific and technological research and development framework establishedlAdequate and advantageous human resources for science and technology researchlAdvanced in some specific technical fields, incl. biology,nanom, space technologieslAbundant in spirit of of innovation
8、and creativity 5 I. National Strategies and Policies for Innovation I. National Strategies and Policies for Innovation Main Goals By 2020, China will be one of the innovation-oriented countrieslR&D investment is 2.5% of GDPlContribution rate of science & technology progress to economic growth will e
9、xceed 60% (900 billion RMB)lDependency ratio for foreign technologies will decrease to below 30%lAnnual number of granted domestic invention patents and SCI papers will rank among world top 5 6 I. National Strategies and Policies for Innovation I. National Strategies and Policies for Innovation Buil
10、ding indigenous innovative capacity includes three aspectslCapacity to make original innovation in the domain of basic research such as scientific discovery, and technological inventionslCapacity to integrate existing technology, emerging technology and inventions in order to create new products or
11、business lines with market competitivenesslCapacity to absorb, digest and improve imported technologies, and to re-create IPR based on these technologies7I. National Strategies and Policies for InnovationI. National Strategies and Policies for Innovation Indigenous innovation is: lBy no means design
12、ed to close the door but rather to expand greater and deeper level of exchange and cooperation in the field of science and technology with other countrieslChinas innovation strategy is global-innovation or learning innovation8 I. National Strategies and Policies for InnovationI. National Strategies
13、and Policies for InnovationPriorities of science and technology innovationMain constraints and challengeslLimited supply and high consumption of critical natural resources which are bottlenecks for economic growthlEnvironmental pollution and ecosystem deteriorationlSocial problems such as epidemic d
14、iseaseslInsufficient technological innovation capacity and lack of independent IPRs and core technologies 9 Priorities of science and technology innovationlR&D in fields of energy, water resources and environment protectionlImprovement of peoples living and health standards is a major mission of sci
15、ence and technology innovation lDevelopment and exploitation of the pre-competitive “common” technologies in order to upgrade industrial structure and provide technological support to SMEslReinforcing development and research of basic and pioneering technologies for sustainable developmentI. Nationa
16、l Strategies and Policies for InnovationI. National Strategies and Policies for Innovation10I. National Strategies and Policies for InnovationI. National Strategies and Policies for InnovationImprovement of the national innovation system l Enterprises should be the core actors in technological innov
17、ation, not only large-scale enterprises but also SMEsl Innovation should be market-oriented and enterprise-university- academia collaboration further enhancedl To facilitate commercialization of R&D results from research institutes and universitiesl To intensify intermediary services such as informa
18、tion service, IPR agencies, assets appraisal, investment service and incubators 11I. National Strategies and Policies for InnovationI. National Strategies and Policies for InnovationImplementation of incentive policies for innovation l To adopt favorable public financial policies and to increase R&D
19、 input l To improve the legal framework for encouraging and protecting innovationl To establish and improve risk capital and investment capital marketl Public procurementl To cultivate a favorable innovation culturel Human resource developmentlOptimal use of global innovation resource 12II. Intellec
20、tual Property and Indigenous InnovationII. Intellectual Property and Indigenous Innovation Importance of Intellectual Property 1. Intellectual Property islA kind of non-physical propertyintangible assets, with value for use and exchange and created by the human in process of their intellectual activ
21、ities in fields such as science, technology and culture. 2. Intellectual Property in the Market EconomylIP in the market economy has the same characteristics as wealth and goods , and it has high added-value.lIP is a necessary tool for the market competition, and is also the foundation of and the th
22、resholds for establishing an innovation-oriented country.13II. Intellectual Property and Indigenous InnovationII. Intellectual Property and Indigenous Innovation 3. IP in the Knowledge-based Economyl knowledge treated as a property has become the most important element for productivity and resources
23、 for wealth l IP is a powerful tool for international competition in the era of knowledge-based economy. 4、The Important Role of IP in Indigenous Innovationl A guarantee for a comprehensive development of the economy and societyl The main goals and resources for indigenous innovationl An important t
24、hreshold for the national comprehensive strength of competitiveness 14II. Intellectual Property and Indigenous InnovationII. Intellectual Property and Indigenous Innovation IP policies for promoting innovation “The core technologies can not be bought. Only by strong capacity of science & technology
25、innovation and by obtaining our own IPRs, can we promote the international competitiveness of the country and can we win respect and dignity in the international society”lFirst, we support enterprises to develop energetically core technologies with indigenous IP rights, and to create their own well-
26、know brands and to enhance their R&D capacities.15II. Intellectual Property and Indigenous InnovationII. Intellectual Property and Indigenous InnovationlSecond, we will stick to the principle of combination of digestion and innovations while introducing advanced technologies. Capacity of indigenous
27、innovations should be improved in order to develop core technologies with indigenous IP rights. lThird, efforts are to be made to further improve policies for encouraging innovations, and to enhance protection of intellectual property rightslFormulation of a national IP strategy supportive of innova
28、tionl.16II. Intellectual Property and Indigenous InnovationII. Intellectual Property and Indigenous Innovation Major achievements in Chinas IP undertakinglAn IP Legal Framework that suits Chinas national conditions and conforms to international practice has been established and operated well.lA Work
29、ing Mechanism has been set up, including examination and approval of IP rights, publicity and training, intermediary services, academic researches etc.17II. Intellectual Property and Indigenous InnovationII. Intellectual Property and Indigenous Innovation Major achievements in Chinas IP undertakingl
30、A law enforcement system has been established under which administrative and judicial enforcement are adopted, functioning parallel.lThe number of applications filed in China for trademark, utility model and design keeps No.1 in the world in recent consecutive years. The annual number of invention p
31、atent applications is already among the world top 5. 18II. Intellectual Property and Indigenous InnovationII. Intellectual Property and Indigenous Innovation Comprehensive IP legislation implemented lcovers almost all major fields of IP rights including patent, trademark, copyright and related right
32、s, computer software, plant varieties, topography, unfair competition, law enforcement and etc.lconforms to international standards and practice, esp. Trips Agreement.lfurther amendments are under way, like the patent law, or foreseen in the near future and, more laws and regulations relevant under
33、way19 Main IP Laws and Regulations Adopted and Amended TitleApprovalPromulgation ImplementationRevision1Trademark Law1982.8.231982.8.231983.3.11983.3.12001.10.272001.10.272Patent Law1984.3.121984.3.121985.4.11985.4.12000.8.252000.8.253Copyright Law1990.9.71990.9.71990.9.71990.9.71991.6.11991.6.12001
34、.10.272001.10.274Regulation for Computer Software Protection1991.5.241991.5.241991.6.41991.6.41991.10.11991.10.15Law Against Unfair Competition1993.9.21993.9.21993.12.11993.12.16Regulations on Audio and Video Products Administration1994.8.251994.8.251994.10.11994.10.17Regulations on Customs Protecti
35、on of Intellectual Property Rights1995.7.61995.7.61995.10.11995.10.18Regulations on the Protection of New Plant Varieties 1997.4.211997.4.211997.10.11997.10.19Regulations on the Protection of Layout-Designs of Integrated Circuits 2001.3.282001.3.282001.4.22001.4.22001.10.12001.10.110Regulations on C
36、opyright Collective Administration 2004.12.222004.12.222005.3.12005.3.111Measures for the Administrative Protection of Copyright on Internet2005.4.302005.4.302005.5.302005.5.3020 II. Intellectual Property and Indigenous InnovationII. Intellectual Property and Indigenous Innovation Main International
37、 IP Treaties AccessedlWIPO Convention 1980.6.3 lParis Convention 1985.3.19lMadrid Agreement (Marks) 1989.10.4lBerne Convention 1992.10.15lUniversal Copyright Convention 1992.10.30lRome Convention 1993.4.3lPCT 1994.1.18. Budapest Treaty 1995.7.19. UPOV 1999.4.2321 II. Intellectual Property and Indige
38、nous InnovationII. Intellectual Property and Indigenous Innovation Efficient IP authorities established Major IP authorities at central level:lSIPO, State Intellectual Property OfficelTMO of SAIC, Trademark Office under the State Administration for commerce and IndustrylNCAC, National Copyright Admi
39、nistration under the National Press and Publication AdministrationlOther related governmental agencies and departments Local IP authorities at different levels:llocal IP Offices, incl.provincial, municipal, district, etcllocal AICs, incl. provincial, municipal, county levels etc.lLocal copyright adm
40、inistrations, same as above22II. Intellectual Property and Indigenous InnovationII. Intellectual Property and Indigenous Innovation The State Intellectual Property Office (SIPO)la government agency under the State Council(the cabinet), acts as the competent authority in patent affairs, layout design
41、s of integrated circuit and as the coordinating agency when foreign-related intellectual property issues are involved.23II. Intellectual Property and Indigenous InnovationII. Intellectual Property and Indigenous InnovationProgressively intensifying force of law enforcement Dual-track protection mech
42、anism for IP rightslJudicial enforcement -Civil and criminal remedies offered -Special IP tribunal and judges availablelAdministrative enforcement -quicker, cost-efficiency, professional, enforceablel Supreme Court Judicial Interpretation on Criminal Penalty24II. Intellectual Property and Indigenous
43、 InnovationII. Intellectual Property and Indigenous Innovation Judicial ProtectionlIP courts/tribunals -No.3 Civil courts established in the Supreme Court, 31 High Courts, specialized in handling IP cases -Such tribunals also set up in Intermediate Courts located in capital cities of 31 provinces -O
44、ver 60 intermediate courts assigned as first instance courts for patent disputes -Over 400 intermediate courts across nation assigned as first instance courts for copyright, TM and other IP-related cases -A few district courts in major cities can handle IP cases as first instance courts25II. Intelle
45、ctual Property and Indigenous InnovationII. Intellectual Property and Indigenous Innovation Administrative Protection Local IP authorities established within local governments, responsible for administrative enforcement of IP and for other IP related matters:lenforcing the patent, TM, copyright laws
46、lmaking local regulations or policies on IPR protection lpromoting and raising public awarenessldisseminating IP information and knowledgelpromoting exploitation of IPR for local developmentlother missions assigned by local governments26II. Intellectual Property and Indigenous InnovationII. Intellec
47、tual Property and Indigenous Innovation Patent filings have kept rapid increase In 2006, a total of 573,178 applications were filed with SIPO, including invention patents, utility models and industrial designs. On March,17,2004, a number of patent applications received accumulatively in China since
48、1985 surpassed 2,000,000, -14 years and 9 months to score the first million - 4 years and 2 months to reach the second million -2 years and 3 months to have the 3rd million27II. Intellectual Property and Indigenous InnovationII. Intellectual Property and Indigenous Innovation Patent applications rec
49、eived (1985-2006)28II. Intellectual Property and Indigenous InnovationII. Intellectual Property and Indigenous InnovationPatents granted (1985-2006)29II. Intellectual Property and Indigenous InnovationII. Intellectual Property and Indigenous Innovation China is still facing various challengesChina i
50、s still facing various challengeslIP has become the focal point of international competition.lThe era of more frequent IP disputes has come in advance.lEnterprises capacity of innovation is still weak and they are unable to have enough indigenous IPRslIP awareness needs to be further promoted and cu
51、lture of innovation waits for taking shape.30II. Intellectual Property and Indigenous InnovationII. Intellectual Property and Indigenous InnovationDomestic vs. Foreign Applications for Three Types of PatentsDomestic vs. Foreign Applications for Three Types of Patents31II. Intellectual Property and I
52、ndigenous InnovationII. Intellectual Property and Indigenous Innovation1492149211011101SwedenSweden169916991632(No.8)1632(No.8)ItalyItaly181318131613(No.9)1613(No.9)United KingdomUnited Kingdom2370237021062106SwitzerlandSwitzerland3614361431903190FranceFrance3721372139883988HollandHolland86768676750
53、27502GermanyGermany105961059693009300KoreaKorea23494234942039520395USAUSA37848378483622136221JapanJapan Applications (2006) Applications (2006) Applications Applications （20052005） Country CountryForeign Enterprises Intensify Competition in China Market via IPForeign Enterprises Intensify Competitio
54、n in China Market via IP Top Ten Foreign Countries Filing Applications with SIPO 32II. Intellectual Property and Indigenous InnovationII. Intellectual Property and Indigenous InnovationTop Ten Foreign Companies in China in 2006 1.South Korea Samsung Electronics Co., LTD 43552.Japan Matsushita Electr
55、ic Industrial Co. 30673.Holland Royal Philips Electronics N.V. 25034.Japan Sony Corporation 16485.South Korea LG Electronics Co., LTD 15066.USA IBM 14357.Japan Toshiba Corporation 12118.Japan Seiko Epson Corporation 11449.Germany Siemens AG 88710.Japan Hitachi, LTD 83633II. Intellectual Property and
56、 Indigenous InnovationII. Intellectual Property and Indigenous InnovationWireless Transmission 93% 93% Mobile Telecommunication 91% 91% Television System 90% 90% Transmission Equipment 89% 89% Semi-Conductor 85% 85% TV Accessories 85% 85% Genetic Engineering 75% 75% Pharmaceutical 69%69%Foreign Inve
57、ntion Patent Applications Focused on Hi-TechForeign Invention Patent Applications Focused on Hi-Tech Proportion of Foreign Applications 34lThe Proportion of Chinese Enterprises that Hold Their Own Indigenous IP Rights Is Too SmalllToo few enterprises in China have the far-sight, strategy and capacit
58、y to create and develop their own indigenous IP rights. According to statistics, only thousands of Chinese enterprises have such IP rights, accounting for only 3/10000. More than 90% enterprises have never filed patent applications. 60% of enterprises have not their own trademarks. Many Chinese ente
59、rprises can only “make” but can not” create”. They have “property” but no “knowledge”. Some of them even rely on copying others technology for survival. II. Intellectual Property and Indigenous InnovationII. Intellectual Property and Indigenous Innovation35 Core technologies are either imported or c
60、ontrolled by foreign companieslChina is the 3rd largest global trade power, but its high-tech products independently innovated only account for 2% of its total foreign trade.lCivil airplanes are all imported into China from abroad.lHigh-Tech medical equipment, manufacturing equipment for semi-conduc
61、tor, integrated circuits and laser fiber are mainly imported.l80% petrochemical equipment, and 70% numerical-controlled machine tool and advanced textile manufacturing equipment are imported. lOver 50% core technologies of color TV and cell phone are owned by foreign multi-national companies II. Int
62、ellectual Property and Indigenous InnovationII. Intellectual Property and Indigenous Innovation36II. Intellectual Property and Indigenous InnovationII. Intellectual Property and Indigenous Innovation Only a Small Number of Patent Applications are Filed Overseas by Chinese companieslUp to 1999 less t
63、han 300 applications filed abroad a yearlIn 2000 1026 such applicationslIn 2004 2423 such applicationslAn average of 1.86 applications filed broad from 1 million Chinese, while in developed countries the average is over 50 applications.37II. Intellectual Property and Indigenous InnovationII. Intelle
64、ctual Property and Indigenous Innovation Further Enhance Intellectual Property Work1. Fully aware of the importance of IP work under the new circumstances, we will take the IP strategy as one of the important strategies for development of the whole nation and will make use of it to serve the goal of
65、 building an innovation-based country. A national IP strategy is under waylA leading working group for formulation of the national IP strategy was set up in 2005, with Vice Premier Madame Wu YI as the head, and composed of 28 ministries and departmentsl Expected to fulfill the formulation within the
66、 year 20072. We will further enhance the role of the government in guiding the IP work, intensify organizational and structural construction, actively facilitate the creation of a favorable policy environment and incentive mechanism, and protect and encourage inventors and scientific researchers to
67、engage themselves in inventions and creations. 38II. Intellectual Property and Indigenous InnovationII. Intellectual Property and Indigenous Innovation Further Enhance Intellectual Property Work Main Targets of the National IP StrategylImproving the legal system and policies for IPlEnhancing IP capa
68、city building esp. capacity of creation, management, utilization and protection of IP, and for promoting indigenous innovation.lPerfecting a supportive system for IP, in particular the information service and training of competent IP professionals39II. Intellectual Property and Indigenous Innovation
69、II. Intellectual Property and Indigenous Innovation Further Enhance Intellectual Property Work 2. We will further enhance the role of the government in guiding the IP work, intensify organizational and structural construction, actively facilitate the creation of a favorable policy environment and in
70、centive mechanism, and protect and encourage inventors and scientific researchers to engage themselves in inventions and creations. 40II. Intellectual Property and Indigenous InnovationII. Intellectual Property and Indigenous Innovation Further Enhance Intellectual Property Work3. We will continue t
71、o help and encourage enterprises to develop and exploit the innovated technologies with indigenous IP rights. The main players of the market economy are enterprises, thus they should also be the main force for indigenous innovation and creation of indigenous IP.lEnterprises are the key to carry out
72、IP work. In abroad, over 90% patent applications are filed by enterprises. In China,many applications are filed by individuals. However, technical creations are knowledge-intensive and intangible, requiring vast investment in the process of innovation and development of products, thereby difficult f
73、or individuals to achieve. As a result, enterprises should be the main force for innovation and the creators of indigenous IP rights. 41II. Intellectual Property and Indigenous InnovationII. Intellectual Property and Indigenous Innovation Further Enhance Intellectual Property Work4. We will effectiv
74、ely protect intellectual property rights by further perfecting the framework for IP protection and by intensifying the force of law enforcement. lWithout IP protection, there could hardly be indigenous innovation. IP protection is actually the most vital part of the whole chain of the IP system. 42
75、Further Enhance Intellectual Property Work5. We will enhance cultivation of IP talents and promotion of public awareness of IP. Protection of IP relies on the improvement of the public IP awareness, and the promotion of the awareness of independent innovation. lThe culture of innovation, a social environment conducive to respect of others IP rights and protection of our own, must be established. II. Intellectual Property and Indigenous InnovationII. Intellectual Property and Indigenous Innovation43For more information, please get access Thank You44
