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Annual report of Rospatent 2013 (Section 2)

 

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2.1. Supervision in the area of legal protection and utilization of the results of intellectual activity of civil, military, special and dual designation received at the expense of the federal budget

2.1.1. Audit of the activities of state customers and contractors under the government contracts (subsidies contracts), involved in carrying out R&D received at the expense of the federal budget

2.1.1.1. General information on the results of audits

In 2013 Rospatent in accordance with its powers assigned by the Government Decree of March 21, 2012 № 218 performed the audit of state customers and contractors under the government contracts, involved in carrying out R&D received at the expense of the federal budget with a view of supervision in the area of legal protection and utilization of the results of intellectual activity of civil, military, special and dual designation.

Supervision in the established area is performed by Rospatent in accordance with the Government Decrees of January 26, 2012 № 9 «On supervision in the area of legal protection and utilization of the results of intellectual activity of civil designation, received at the expense of the federal budget, and supervision in the established field in respect of state customers and contractors under the government contracts, involved in carrying out R&D», and of April 26, 2012 № 402 «On supervision in the area of legal protection and utilization of the results of intellectual activity of military, special and dual designation received at the expense of the federal budget, and legal protection of the state interest in the established field in respect of state customers and contractors under the government contracts, involved in carrying out R&D».

In 2013, according to the approved annual plan of scheduled audits of legal entities, Rospatent carried out 44 scheduled audits of state customers and contractors under the government contracts, involved in carrying out R&D and 1 unscheduled audit according to the request from the Office of the Prosecutor General of the Russian Federation (see Table 2.1.1.1).

Table 2.1.1.1

Federal District

City

Groups of Audited Organizations

Number of Audited Organizations

Share of the Total Number of Audited Organizations, %

Central District

Moscow, Voronezh, Yaroslavl, Obninsk, Tambov, Dolgoprudny, Khot’kovo, Pushchino, Khimki, Reutov

ОАО — 17, Institution of VPO — 6, Institution of RAN — 5, FGUP — 3, Ministry — 3, ZAO — 1

35

77,8

North-West District

Saint-Petersburg, Kaliningrad

OAO — 2, Institution of VPO — 2, FGBU — 1 FGUP — 1

6

13,4

Siberian District

Novosibirsk, Irkutsk

Institution of RAN — 1, Institution of VPO — 1

2

4,4

Volga District

Nizhny Novgorod

FGUP — 1

1

2,2

Ural District

Yekaterinburg

OAO — 1

1

2,2

The audited organizations included (see Table. 2.1.1.2): 20 Open Joint Stock Companies (OAO), 9 Institutions of Higher Professional Training (VPO), 6 Institutions of Russian Academy of Science (RAN), 5 Federal State Unitary Enterprises (FGUP), 3 Ministries, 1 Closed Joint Stock Company (ZAO), 1 Federal Government Budget Institution (FGBU) .

Table 2.1.1.2

Organization

Number of Audits

Share of the Total Number of Audits, %

ОАО

20

44,4

Institution of VPO

9

20,0

Institution of RAN

6

13,4

FGUP

5

11,1

Ministry

3

6,7

ZAO

1

2,2

FGBU

1

2,2

Total:

45

100

The activity of 3 state customers, 19 contractors under the government contracts, involved in carrying out R&D of civil designation, 11 contractors under the government contracts, involved in carrying out R&D of civil, military, special and dual designation, 12 contractors under the government contracts, involved in carrying out R&D of military, special and dual designation were audited.

2.1.1.2. Results of audits of state customers

In 2013 in the course of audit of state customers (Ministry of Education and Science of the Russian Federation, Ministry of Industry and Trade of the Russian Federation, Ministry of Defense of the Russian Federation) their activities were analyzed in the area of legal protection and utilization of the results of intellectual activity of civil, military, special and dual designation, received at the expense of the federal budget (hereinafter referred to as the results of intellectual activity).

Legal documents and acts regulating the activities of state customers on the issues of legal protection and utilization of the results of intellectual activity were considered. Analysis of these documents revealed that state customers:

  • haven’t defined the departments responsible for the implementation of activities in the area of intellectual property;
  • have no institutional legal acts regulating the management of intellectual property rights created during the performance of government contracts.

As the result the audits, the violations of the requirements of legislation of the Russian Federation in the area of legal protection and utilization of the results of intellectual activity and provisions of government contracts by government customers, were revealed, namely:

1) violations of the requirements of legislation of the Russian Federation in terms of:

  • allocation and consolidation of rights to the created results of intellectual activity;
  • adoption on behalf of the Russian Federation of the decision on loss of necessity to protect the right of the Russian Federation on the results of intellectual activity (stating the grounds for such decision) and notification of the contractor to the government contract on the previous cessation of patents granted to the Russian Federation;
  • obligations of the customer to accept the work performed (the result) at the terms and in the manner specified in the contract;
  • inclusion in the government contracts of provisions defining procedure for covering expenses on legal protection of the created results of intellectual activity;
  • establishment of a trade secret regime in relation to the results created during the performance of state contracts owned by the Russian Federation;
  • implementation of state accounting of the results of intellectual activity;
  • obligations of a state customer when concluding a government contract to ensure the inclusion of provisions therein concerning the obligation of the contractor to inform immediately the state customer about all objects of intellectual property created while performing of state contract;
  • organization of the use of the results of intellectual activity;
  • conclusion of license agreement granting to development organizations and producers the right to use the results of intellectual activity owned by the Russian Federation while performing of contract obligations during the implementation of military-technical cooperation, as well as foreign trade activities involving controlled items;
  • consideration of recommendations of commissions carried out inventories of rights to the results of intellectual activity and making a decision on assignment of rights on the identified results for the Russian Federation, as well as ensuring the statement of rights to intellectual activity identified during the inventory in relation to which the decision to ensure their legal protection was made, on budgetary accounting as intangible assets;
  • check of the availability in patent applications for invention or utility model, created in the Russian Federation, of information constituting a state secret, and time limits for consideration of such applications;
  • consideration of patent applications for secret inventions and prescribing the procedure for enrollment of fees to the federal budget charged for patenting of secret inventions;

2) violations of the provisions of government contracts in terms of:

  • carrying out of patent researches;
  • allocation and consolidation of rights to the results of intellectual activity;
  • creation of protectable results of intellectual activity and ensuring their legal protection;
  • sending by the state customer to the contractor of the decision on the form of legal protection, arrangements for the use and subsequent legally significant acts concerning the created protectable results of intellectual activity;
  • use of the created results of intellectual activity.

Following the results acts of audits were drafted and instructions for elimination of identified violations were issued.

2.1.1.3. The results of audits of contractors under the state contracts

In the course of audits of contractors under the state contracts 368 state contracts on R&D of civil, military, special and dual designation were audited (state customers – the Ministry of Education and Science of the Russian Federation – 179, the Ministry of Industry and Trade of the Russian Federation – 113, the Ministry of Defense of the Russian Federation – 35, the State Atomic Energy Corporation «Rosatom» – 21, Federal Service for Hydrometeorology and Environmental Monitoring – 9, Federal Security Service – 7, the Federal Space Agency – 4). Amount of funding of audited state contracts exceeds 108 bln. rubles including at the expense of the federal budget – 96 bln 520 mln 084 thousand rubles, at the expense of non-budget funds – 11 bln 891 mln 031 thousand rubles).

On the request of the Ministry of Education and Science of the Russian Federation 33 subsidies contracts were audited. Amount of funding amounts to 1 bln. 114 mln. 847 thousand rubles (at the expense of the federal budget – 634 mln. 345 thousand rubles, at the expense of non-budget funds – 480 mln. 502 thousand rubles).

54 contracts and 42 commission agreements for the supply of military equipment, 70 license agreements granting legal entities rights to use the results of intellectual activity owned by the Russian Federation were audited.

Within the framework of 272 state contracts for carrying out of R&D of civil, military, special and dual designation 151 patents for the invention of the Russian Federation, 2 patents for the invention of the EPO, 52 patents for utility model of the Russian Federation, 6 patents for an industrial design of the Russian Federation, 100 certificates of state registration of computer programs, 25 certificates of state registration of topographies of integrated circuits, 14 certificates of state registration of database were obtained, as well as 152 patent applications for the invention of the Russian Federation, 11 patent applications for utility model of the Russian Federation, 1 patent application for an industrial design of the Russian Federation, 11 applications for the state registration of computer programs, 4 applications for the state registration of database were filed. With regard to 408 results the trade secret regime was established

Thus, measures on ensuring legal protection were taken with regard to 937 results (see Table. 2.1.1.3).

Table 2.1.1.3

State Customer

Number of state contracts granted the legal protection for created results

Ministry of Education and Science of the Russian Federation

According to 153 state contracts:

  • 68 patents on invention;
  • 29 patents on utility model;
  • 62 certificates for computer program;
  • 11 certificates on topography of integrated circuit;
  • 9 certificates on database;
  • 104 patent applications on invention;
  • 6 patent applications on utility model;
  • 1 patent application for industrial design;
  • 2 applications for registration of computer program.

With regard to 14 results the trade secret regime was established

Ministry of Industry and Trade of the Russian Federation

According to 88 state contracts:

  • 32 patents on invention;
  • 19 patents on utility model;
  • 6 patents on industrial design;
  • 15 certificates for computer program;
  • 3 certificates on database;
  • 16 patent applications on invention;
  • 2 patent applications on utility model;
  • 4 applications for registration of computer program;
  • 1 application for registration of database.

With regard to 362 results the trade secret regime was established

State Atomic Energy Corporation «Rosatom»

According to 15 state contracts:

  • 36 patents on invention;
  • 17 certificates for computer program;
  • 14 certificates on topography of integrated circuit;
  • 2 certificates on database;
  • 19 patent applications on invention.

With regard to 32 results the trade secret regime was established

Ministry of Defense of the Russian Federation

According to 7 state contracts:

  • 14 patents on invention;
  • 2 EPO patents on invention;
  • 3 patents on utility model;
  • 2 certificates for computer program;
  • 3 patent applications on invention;
  • 3 patent applications on utility model

Federal Service for Hydrometeorology and Environmental Monitoring

According to 7 state contracts:

  • 1 patent on invention;
  • 1 patent on utility model;
  • 4 certificates for computer program;
  • 5 patent applications on invention;
  • 5 applications for registration of computer program;
  • 3 applications for registration of database

Federal Space Agency

According to 2 state contracts:

  • 5 patents on invention

Within the performing of 11 subsidies contracts 5 certificates of state registration of computer program and 1 patent for utility model of the Russian Federation were received as well as 8 patent applications for invention of the Russian Federation and 5 applications for the state registration of computer program were filed. With regard to 2 results the trade secret regime was established.

As a result of audit in 2013 of contractors under the state contracts and subsidies contracts on R&D of civil, military, special and dual designation were revealed violations of the law in the area of legal protection and use of the results of intellectual activity and the provisions of concluded state contracts in terms of:

  • sending to the state customer of information for the implementation (updating) of state accounting of the results of intellectual activity regarding 91 state contracts and 4 subsidies contracts;
  • consolidation of rights to the results of intellectual activity regarding 17 state contracts;
  • provision of legal protection to the results of intellectual activity regarding 14 state contracts and 3 subsidies contracts;
  • carrying out of patent researches regarding 23 state contracts and 4 subsidies contracts;
  • notification of the state customer by the contractor on creation of protectable results of intellectual activity regarding 40 state contracts;
  • allocation of rights to the results of intellectual activity in contracts with subcontractors - 17 audited organizations.

Regarding 4 state contracts of the Russian Ministry of Education and Science R&D results have not moved into the appropriate commercialization stage provided by the technical specification.

During the audits violations of the rights of Russian individuals in respect of the author’s right to remuneration for the use of the service invention were revealed in 5 organizations.

Also violation of provisions of 10 license agreements granting the rights to use the results of intellectual activity owned by the Russian Federation were revealed.

Following the results acts of audits were drafted and instructions for elimination of identified violations were issued.

Audits carried out in 2013 showed that the level of practical use of the results of intellectual activity remains low.

Amongst 958 results of intellectual activity created under the state contracts and subsidies contracts rights to 122 results (amounting to 633 million 107 thousand rubles) were placed on the balance sheet as an intangible asset.

Only 3 results of intellectual activity: 2 inventions, 1 topology of integrated circuits were commercialized on the basis of license agreements (nonexclusive license).

The right of state customers to demand honorary simple (nonexclusive) license for the specified person to ensure the performance of work for the government needs is not implemented in relation to any of the created results.

Licensing agreements granting the right to use the results of intellectual activity owned by the Russian Federation, on behalf of which the state customer is acting, were not concluded.

Funding of works oriented on bringing the results of intellectual activity to the stage of practical application by the state customers was not carried out.

Thus, as a result of audits conducted by Rospatent in 2013 within the framework of supervision function 368 state contracts and 33 subsidies contract were analyzed. Following the results of audits of contractors 48 instructions for elimination of identified violations were issued.

Positive consequence of the implementation by Rospatent of supervision activities is the increase in 2013 of the amount of results of intellectual activity provided with legal protection (958 against 727 in 2012 and 384 in 2011).

2.1.2. The enhancement of state supervision in the area of legal protection and utilization of the results of R&D, received at the expense of the federal budget

In 2013 Rospatent continues the work on preparation of normative legal acts referred to improving the mechanism of implementing the supervision and control activities.

The Administrative Regulations concerning the fulfillment of the state function on supervision and control in the area of legal protection and utilization of the results of intellectual activity of military, civil, special and dual designation, created at the expense of the federal budget, as well as control and supervision in the determined area with respect to state customers and contractors under the state contracts, involved conduction of R&D (adopted by the Order of Ministry of Economic Development of Russia from April 26, 2013 № 234,regestered by the Ministry of Justice of the Russian Federation on July 8, 2013 № 29013) was developed and adopted.

2.2. Legal protection of state interest in the process of economic and civil circulation of R&D results of military, special and dual designation

2.2.1. Information and analytical support for maintenance by the Federal Service for Intellectual Property of the Unified Register of the results of intellectual activity of military, special and dual designation

In accordance with the Government Decrees of February 26, 2002  № 131 «On state accounting of R&D results of military, special and dual designation» and of March 21, 2012 № 218 «On the Federal Service for Intellectual Property» FGBU «FAPRID» continued to provide information and analytical support for maintenance by Rospatent of the Unified Register of R&D results of military, special and dual designation owned by the Russian Federation.

Information on the work carried out in this area is reflected in Table 2.2.1.1 and Diagram 1.

Table 2.2.1.1

Information on the Results of Intellectual Activity of Military, Special and Dual Designation Registered in the Unified Register

State Customer

2004

2005

2006

2007

2008

2009

2010

2011

2012

2013

Total:

SVR

0

0

0

28

13

107

113

101

80

93

535

FSKN

0

25

16

22

16

21

6

7

9

2

124

FSB

0

0

57

22

18

27

25

18

41

55

263

FTS

20

14

17

28

96

40

13

63

32

21

344

MCS

0

5

68

30

13

9

8

35

20

7

195

GUSP

0

30

61

18

12

2

6

7

12

6

154

FSO

0

68

45

61

81

55

74

41

30

40

495

MVD

0

0

0

182

128

130

98

65

83

56

742

Roskosmos

0

0

0

186

419

744

1014

826

764

454

4407

FSTEK

0

130

201

101

29

43

39

141

113

50

847

Ministry of Defense

10

15

959

1740

1892

2736

1510

425

413

1137

10837

State Corporation «Rosatom»

0

0

0

0

0

0

0

8

61

552

621

Ministry of Industry and Trade

0

0

0

0

168

33

56

241

1

17

516

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As of 31.12.2013 - 20080 items were accounted in the Unified Register, i.e. in 2013 – 2490 accounting items were added to the Unified Register, for which certificates of registration were issued.

Order of Rospatent from 25.11.2013, № 139 entrusted FGBU «FAPRID» with functions of the operator of the federal state information system «AIS of R&D results accounting». December 26, 2013 FGBU «FAPRID» obtained the electronic passport for the specified system number FS-77130350 from the Federal Service for Supervision in The Sphere of Communications, Information Technology and Mass Communications.

At the same time, in order to meet the requirements of the Decree of the President of the Russian Federation from 07.05.2012 № 603 «On the implementation of plans (programs) of the construction and development of the Armed Forces of the Russian Federation, other forces, military formations and bodies and modernization of the military-industrial complex», in 2013 Rospatent continued the work on creation of the unified information database of the R&D, results of intellectual activity and technologies of military, special and dual designation, design documentation for the defense products to be used in the creation of innovative products of civil and dual designation. Participation of FGBU «FAPRID» as an associate contractor of the R&D “Base-AIS” in order to create a unified information database, as well as participating in the work of the State Commission for the acceptance of the first phase of the specified work was ensured.

Information and analytical materials on the legal protection of the results of intellectual activity of military, special and dual designation as well as drafting development plan of the regulations for information exchange (allowing to form a legal mechanism of the interagency cooperation to ensure the information exchange in order to monitor the developments and to avoid duplication, as well as to use information on accounting objects contained in the existing Unified Register of the results of intellectual activity, to create innovative products) were prepared.

2.2.2. Provision of the inventories of rights to the results of scientific and technical activities

With a view of legal protection of state interest in the process of economic and civil circulation of R&D results of military, special and dual designation and in accordance with the Government Decree of the of the Russian Federation of 14.01.2002 № 7 “On the order of inventory and valuation of rights to the results of scientific and technical activities” representatives of Rospatent are involved in the inventory of rights of to the results of scientific and technological activities of defense contractors, sector enterprises of Roscosmos and the State Atomic Energy Corporation “Rosatom”. In 2013 representatives of Rospatent took part in the work of inventory commissions carrying out 12 action and 3 mandatory inventories.

2.2.3. Provision of activities on maintenance of licensing agreements on the use of state’s rights to the results of intellectual activity

During 2013 FGBU “FAPRID” continued to carry out the function of maintenance of previously signed license agreements on the use of rights of the Russian Federation to the results of intellectual activity while the implementation of foreign trade contracts for the supply of military products and products subject to export control.

As of 31.12.2013 obligations of the licensees under 1448 license agreement are still in force.

2.2.4. Providing of events for maintenance of patents and applications for exclusive rights to the results of intellectual activity in the Russian Federation and abroad

Within the framework of the established state task in 2013 FGBU “FAPRID” received 14 patents for inventions and 2 positive decisions on granting of patents, 100 previously obtained patents were maintained in force (21 patents of the Russian Federation and 79 patents of foreign countries). Also in 2013 FGBU “FAPRID” continued the previous work on patenting of high-tech developments on 39 international applications.

2.2.5. Carrying out of works on intergovernmental agreements on mutual protection of intellectual property in the course of bilateral military-technical cooperation and the creation of working groups on the implementation of previously concluded agreements in the specified area of activity

In 2013 within the framework of the conclusion of intergovernmental agreements on mutual protection of intellectual property in the course of bilateral military-technical cooperation (hereinafter – Agreement), the Director General of Rospatent Boris Simonov have signed one Agreement on the behalf of the Government of the Russian Federation.

Consultations on the conclusion of the Agreements were carried out with representatives of seven countries.

5 draft Agreements were prepared forwarded to the foreign partners in the prescribed form.

5 counterproposals of Agreements received from the foreign partners were considered.

Within the framework of implementation of the signed Agreement one provision on the working group was signed and its composition was formed. Consultations on the establishment of such groups with representatives of seven states were undertaken.

Joint working group on the implementation of the intergovernmental agreement between the Russian Federation and the Republic of Belarus on mutual protection of the results of intellectual activity used or received in the course of bilateral military-technical cooperation approved Recommendations on inclusion in agreements (contracts) of provisions concerning the legal protection and conditions of use of the results of intellectual activity used and received in the course of military-technical cooperation of the Russian Federation and Belarus.

The draft of Methodological recommendations for inclusion in the agreements (contracts) in the area of military-technical cooperation of provisions relating to the definition of conditions of use and ensuring the legal protection of the results of intellectual activity used and obtained in the course of bilateral military-technical cooperation was prepared and submitted to the state customers on approval.

In addition in 2013 Rospatent within its competence participated jointly with other interested federal executive authorities in harmonization of seven projects of intergovernmental agreements on various aspects of bilateral military-technical cooperation.

2.3. Results of intellectual activity rights are owned by the Russian Federation

The total number of received applications, granted patents and certificates in the name of the Russian Federation in 2013, are presented in Table 2.3.

Table 2.3

Indices

Inventions

Utility models

Computer programs, databases, topography of integrated circuits

Industrial design

Total:

Number of applications in 2013

453

227

552

12

1244

Total number of valid patents on inventions, utility models, industrial designs, and certificates for computer programs, databases and topography of integrated circuits owned by the Russian Federation as of 31.12.2013, totally

1862

713

1527

69

4171

Issued in 2013

452

275

481

9

1217



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