In-Depth: Shanghai Jiao Tong University Explores New Path for Commercialization of Scientific Research Results (AI Translation)

【周刊提前读】深度：所有权100%给团队 上海交大闯关科研成果转化新路

The 2022 China Patent Survey Report, released by the National Intellectual Property Administration, highlighted that scientific research institutions across China held 1.023 million valid invention patents by the end of 2023. Despite these figures, the industrialization rate of effective invention patents was 36.7%, while university invention patents were notably lower at 3.9% [para. 1]. Recognizing the potential of university technology commercializations exemplified by giants like Cisco and Google whose growth was catalyzed by Stanford University patents, China enacted the Law on Promoting the Transformation of Scientific and Technological Achievements in 1996, but results have been underwhelming [para. 1].

A significant hurdle in the commercialization process is that the scientific outcomes from state-established higher education institutions and research bodies are considered state-owned. Researchers, while inventors, only get usage rights for a fee without acquiring other rights, diminishing their commercialization drive. Furthermore, the risk of being accused of "state asset loss" if a commercialization fails or appears undervalued, adds to the hesitation [para. 2].

In 2019, reforms began easing these constraints when the Ministry of Finance revised measures allowing universities to independently decide on patent transfers, licenses, or investments without needing supervisory department approvals [para. 3]. This initiative was extended by the “Several Opinions on Improving the Quality of Patents in Higher Education Institutions and Promoting Their Utilization” issued in February 2020, equating non-commercialization to the greatest loss [para. 3]. Subsequent policies and pilot programs were rolled out to support and streamline the process [para. 4][para. 5].

Shanghai Jiao Tong University (SJTU) has taken notable steps by actively exploring ways to grant its research teams 100% ownership of their patents. This radical reform aims to foster initiatives by simplifying procedures and addressing the “ropes” that hinder commercialization [para. 6][para. 7]. The implementation of the “1+5+20” system - a detailed framework involving management measures, incentive systems, and policy guidelines, epitomizes these efforts [para. 8][para. 9].

An exemplary application of these reforms involves Sanman Biotech. A collaborative agreement saw SJTU transferring four patents to Sanman Biotech for commercialization. The policy's implementation saw the creation of a practical model where faculty inventions are directly utilized in entrepreneurial ventures [para. 10][para. 11]. This model, known as “Completion by Implementer,” empowers inventors with patent ownership to form or join enterprises, promoting a more engaged innovation-first approach to commercialization [para. 12][para. 13].

Further enhancements include enhancing the valuation processes, setting a structured evaluation system for researchers active in technology transfer, and fostering new methods for converting research into commercial products. Ensuring compliance with laws and policies also remains imperative [para. 14][para. 15].

Pilot programs and reforms across institutions have progressively resulted in better transformation rates. A crucial aspect remains resolving the hesitation to transfer due to risks associated with state asset loss, as well as the reluctance arising from complex approval processes and the tenure risk for academics [para. 16][para. 17]. Therefore, creating manageable, comprehensive, and supportive frameworks that optimize approval processes and reward innovation is crucial. Addressing these barriers continues to be a focal point in enhancing the effectiveness of technological transfer and commercialization endeavors within Chinese universities [para. 18][para. 19].

Shanghai Jiao Tong University’s endeavor, supported by policy relaxation, has not merely awaited top-down changes but has aligned itself closely with broader national objectives while developing robust internal mechanisms to support patent and technology commercialization. The push for a seamless transformation has led to remarkable restructuring, creating pathways for pioneering university-industry collaborations and fostering a conducive environment for translating academic research into market-ready products [para. 20][para. 21][para. 22].