【中英文对照版】专利转化运用专项行动方案(2023—2025年).docx

国务院办公厅关于印发专利转化运用专项行动方案(20232025年)的通知(国办发(2023) 37号)各省、自治区、直辖市人民政 府，国务院各部委、各直属机 构：专利转化运用专项行动方案(20232025年)已经国务专利转化运用专项行动方案(20232025年)SpecialActionPlanforTransformationandUtilizationofPatents(2023-2025)制定机关：国务院办公厅发文字号：国办发202337号公布日期：2023.10.17施行日期:2023.10.17效力位阶：国务院规范性文件法规类别：专利综合规定IssuingAuthority：GeneralOfficeoftheStateCouncilDocumentNumber：No.372023oftheGeneralOfficeoftheStateCouncilDateIssued：10-17-2023EffectiveDate：10-17-20231.evelofAuthority：RegulatoryDocumentsoftheStateCouncilAreaofLaw：GeneralProvisionsonPatentNoticebytheGeneralOfficeoftheStateCouncilofIssuingtheSpecialActionPlanforTransformationandUtilizationofPatents(2023-2025)(No.372023oftheGeneralOfficeoftheStateCouncil)Thepeople,sgovernmentsofallprovinces,autonomousregions,andmunicipalitiesdirectlyundertheCentralGovernment;andallministriesandcommissionsoftheStateCouncilandallinstitutionsdirectlyundertheStateCouncil:TheSpecialActionPlanforTransformationandUtilizationofPatents(2023-2025),withtheconsentoftheStateCouncil,isherebyissuedforyourdiligentimplementation.院同意，现印发给你们，请认真贯彻执行。GeneralOfficeoftheStateCouncil国务院办公厅October17,2023(Withcontentsdeleted)2023年10月17日（本文有删减）SpecialActionPlanforTransformationandUtilizationofPatents专利转化运用专项行动方案(2023-2025)(20232025年)为贯彻落实知识产权强国建 设纲要（20212035年）和 “十四五”国家知识产权保 护和运用规划，大力推动专 利产业化，加快创新成果向现 实生产力转化，开展专利转化 运用专项行动，制定本方案。一、总体要求以习近平新时代中国特色社会 主义思想为指导，全面贯彻落 实党的二十大精神，聚焦大力 推动专利产业化，做强做优实 体经济，有效利用新型举国体 制优势和超大规模市场优势， 充分发挥知识产权制度供给和 技术供给的双重作用，有效利 用专利的权益纽带和信息链接ToimplementtheOutlineforBuildinganIntellectualPropertyPowerhouse(2021-2035)andthe14thFive-YearNationalPlanforIntellectualPropertyProtectionandApplication,vigorouslypromotetheindustrializationofpatents,acceleratethetransformationofinnovationachievementsintorealproductiveforces,andcarryoutspecialactionsfortransformationandapplicationofpatents,thisPlanisdeveloped.I. GeneralrequirementsUndertheguidanceofXiJinpingThoughtonSocialismwithChineseCharacteristicsinaNewEra,thespiritofthe20thCPCNationalCongressshallbeimplementedcomprehensively,byfocusingonvigorouslypromotingtheindustrializationofpatents,therealeconomyshallbestrengthenedandoptimized,theadvantagesofthenewnationalsystemandtheadvantagesoftheultra-largemarketshallbeeffectivelyutilized,thedualroleofthesupplyofintellectualproperty功能，促进技术、资本、人才 等资源要素高效配置和有机聚 合。从提升专利质量和加强政 策激励两方面发力，着力打通 专利转化运用的关键堵点，优 化市场服务，培育良好生态， 激发各类主体创新活力和转化 动力，切实将专利制度优势转 化为创新发展的强大动能，助 力实现高水平科技自立自强。(“IP”)systemandtechnologyshallbefullymaximized,thefunctionsofpatentsinconnectingrightsandinterestsandinformationshallbeeffectivelyutilized,andtheefficientallocationandorganicaggregationoftechnology,capital,talentsandotherresourceelementsshallbepromoted.Effortsshallbemadefromthetworespectsofimprovingpatentqualityandstrengtheningpolicyincentives,andjointeffortsshallbemadetosmooththekeybottlenecksinthetransformationandapplicationofpatents,optimizemarketservices,cultivateasoundecology,stimulatetheinnovationvitalityandtransformationimpetusofvarioussubjects,effectivelytransformtheadvantagesofthepatentsystemintoastrongdrivingforceforinnovationanddevelopment,andassistinachievinghigh-levelscientificandtechnologicalself-reliance.到2025年，推动一批高价值 专利实现产业化。高校和科研 机构专利产业化率明显提高， 全国涉及专利的技术合同成交 额达到8000亿元。一批主攻 硬科技、掌握好专利的企业成 长壮大，重点产业领域知识产 权竞争优势加速形成，备案认 定的专利密集型产品产值超万 亿元。By2025,therealizationofindustrializationofanumberofhigh-valuepatentswillbepromoted.Therateofpatentindustrializationinuniversitiesandscientificresearchinstitutionswillbeincreasedsignificantly,andtheturnoverofcontractsontechnologiesinvolvingpatentsacrossthecountrywillreach800billionyuan.Anumberofenterprisesfocusingonhardscienceandtechnologyandmasteringpatentswilldevelopandgrow,thecompetitiveadvantageofIPinkeyindustrialfieldsW川beformedinanacceleratedmanner,andtheoutputvalueofpatent-intensiveproductscertifiedinrecordationwillexceedonetrillionyuan.二、大力推进专利产业 化，加快专利价值实现II. Vigorouslypromotingtheindustrializationofpatentsandacceleratingtherealizationofpatentvalue（一）梳理盘活高校和科研机 构存量专利。建立市场导向的1. Reviewingandvitalizingthestockofpatentsinuniversitiesandscientificresearchinstitutions.Amarket-orientedstockpatentscreeningandevaluation,supplyanddemandconnection,promotionandapplication,trackingandfeedbackmechanismshallbeestablished,tostrivetoachievefullcoverageofunconvertedvalidpatentsinuniversitiesandscientificresearchinstitutionsbytheendof2025.ThepatentswithpotentialmarketvalueshallbeselectedbyuniversitiesandscientificresearchinstitutionsandregisteredonlinethroughthenationalIPoperationserviceplatformsysteminaunifiedmanner.Newtechnologiessuchasbigdataandartificialintelligenceshallbeeffectivelyutilizedtobematchedandforwardedtoenterprisesaccordingtoindustrysegmentationfieldstofacilitatetheconnectionofsupplyanddemand.Basedonthefeedbackofenterprisesontheevaluationoftheprospectofpatentindustrialization,thedemandforimprovementofpatenttechnologyandthewillingnessofindustry-university-researchcooperation,theindustrializationpotentialityofexistingpatentsshallbeidentifiedandatransformablepatentresourcedatabaseshallbeconstructedbylayers.Coordinationoflocalgovernmentdepartments,industrialparks,andindustryassociationswiththenationalIPoperationserviceplatformsystemshallbestrengthened,anddifferentiatedpromotionmeasuresshallbeadoptedaccordingtothestratificationofstockpatents.Forhigh-valuestockpatents,policies,services,capitalandotherhigh-qualityresourcesshallbematchedtopromoterapidtransformation.Whilerevitalizingstockpatents,universitiesandscientificresearchinstitutionsshallbeguidedtoaccuratelyconnectwithmarketdemandinscientificresearchactivities,activelytacklekeyproblemswithenterprises,andformmorehigh-valuepatentsthatmeettheneedsoftheindustry.存量专利筛选评价、供需对 接、推广应用、跟踪反馈机 制，力争2025年底前实现高 校和科研机构未转化有效专利 全覆盖。由高校、科研机构组 织筛选具有潜在市场价值的专 利，依托全国知识产权运营服 务平台体系统一线上登记入 库。有效运用大数据、人工智 能等新技术，按产业细分领域 向企业匹配推送，促成供需对 接。基于企业对专利产业化前 景评价、专利技术改进需求和 产学研合作意愿的反馈情况， 识别存量专利产业化潜力，分 层构建可转化的专利资源库。 加强地方政府部门、产业园 区、行业协会和全国知识产权 运营服务平台体系等各方协 同，根据存量专利分层情况， 采取差异化推广措施。针对高 价值存量专利，匹配政策、服 务、资本等优质资源，推动实 现快速转化。在盘活存量专利 的同时，引导高校、科研机构 在科研活动中精准对接市场需 求，积极与企业联合攻关，形 成更多符合产业需要的高价值 专利。（二）以专利产业化促进中小2. Promotingthegrowthofsmallandmediumsizedenterpriseswithpatentindustrialization.Theuonechainforonemonthinvestmentandfinancingroadshowactivitiesforsmallandmedium-sizedenterprisesapplyingspecial,sophisticatedtechniquestoproduceuniqueandnovelproductsshallbecarriedout,toassistenterprisesinconnectingwithmorehigh-qualityinvestmentinstitutions.Enterpriseswithspecialsupportshallbepromotedtoentertheregionalequitymarket,andcarryoutstandardizedcultivationandpost-investmentmanagement.ThedevelopmentofspecialservicesforlistedIPofenterprisesshallbesupported,thelinkagewithstockexchangesshallbestrengthened,andIPrisksinthelistingprocessshallbeeffectivelyreduced.企业成长。开展专精特新中小 企业“一月一链”投融资路演 活动，帮助企业对接更多优质 投资机构。推动专项支持的企 业进入区域性股权市场，开展 规范化培育和投后管理。支持 开展企业上市知识产权专项服 务，加强与证券交易所联动， 有效降低上市过程中的知识产 权风险。（三）推进重点产业知识产权 强链增效。以重点产业领域企 业为主体，协同各类重大创新 平台，培育和发现一批弥补共 性技术短板、具有行业领先优 势的高价值专利组合。围绕产 业链供应链，建立关键核心专 利技术产业化推进机制，推动 扩大产业规模和效益，加快形 成市场优势。支持建设产业知 识产权运营中心，组建产业知 识产权创新联合体，遵循市场 规则，建设运营重点产业专利 池。深入实施创新过程知识产 权管理国际标准，出台标准与 专利协同政策指引，推动创新 主体提升国际标准制定能力。 面向未来产业等前沿技术领 域，鼓励探索专利开源等运用 新模式。3. PromotingthestrengtheningofchainsandenhancementofefficiencyofIPinkeyindustries.Withenterprisesinkeyindustrialareasasthesubjects,throughcooperationwithvariousmajorinnovationplatforms,anumberofhigh-valuepatentportfoliosthatmakeupforcommontechnologicalshortcomingsandhaveindustryleadingadvantagesshallbecultivatedanddiscovered.Byfocusingontheindustrialchainandsupplychain,amechanismforpromotingtheindustrializationofkeycorepatentedtechnologiesshallbeestablished,theexpansionofindustrialscaleandefficiencyshallbepromoted,andthemarketadvantagesshallbeformedinanacceleratedmanner.TheconstructionofindustrialIPoperationcentersshallbesupported,industrialIPinnovationconsortionsshallbeformed,themarketrulesshallbefollowed,andpatentpoolsinkeyindustriesshallbeconstructedandoperated.InternationalstandardsforthemanagementofIPintheinnovationprocessshallbeimplementedinanin-depthmanner,policyguidelinesforcoordinationbetweenstandardsandpatentsshallbeissued,andinnovationentitiesshallbeurgedtoimprovetheirabilityofsettinginternationalstandards.Forfutureindustriesandothercuttingedgetechnologyfields,theexplorationofpatentopensourceandothernewapplicationmodelsshallbeencouraged.4. Cultivatingandpromotingpatent-intensiveproducts.Theimprovementofthenationalpatentintensiveproductrecordationandidentificationplatformshallbeaccelerated,byfocusingonhigh-techenterprises,enterprisesapplyingspecial,sophisticatedtechniquestoproduceuniqueandnovelproducts,andscienceandtechnologyenterprises,amongothers,recordationofpatentproductsshallbecomprehensivelycarriedout,fullcoverageshallbeachievedbytheendof2025,asthebasisformeasuringtheimplementationofpatenttransformation.Byfocusingontheactualcontributionofpatentsinimprovingproductcompetitivenessandaddedvalue,nationalstandardsfortheidentificationofpatent-intensiveproductsshallbedevelopedandintroduced,andunifiedidentificationshallbecarriedoutbyindustryfields.Patent-intensiveproductsshallbeCU用Vatedandpromoted,theaccountingandreleasemechanismfortheaddedvalueofpatentintensiveindustriesshallbeimproved,andthemonitoringandevaluationofthecultivationofpatent-intensiveindustriesshallbestrengthened.111. Smoothingthekeybottlenecksoftransformationandstimulatingtheinherentdrivingforceofutilization（四）培育推广专利密集型产 品。加快完善国家专利密集型 产品备案认定平台，以高新技 术企业、专精特新企业、科技 型企业等为重点，全面开展专 利产品备案，2025年底前实现 全覆盖，作为衡量专利转化实 施情况的基础依据。围绕专利 在提升产品竞争力和附加值中 的实际贡献，制定出台专利密 集型产品认定国家标准，分产 业领域开展统一认定。培育推 广专利密集型产品，健全专利 密集型产业增加值核算与发布 机制，加强专利密集型产业培 育监测评价。三、打通转化关键堵点, 激发运用内生动力（五）强化高校、科研机构专 利转化激励。探索高校和科研 机构职务科技成果转化管理新 模式，健全专利转化的尽职免 责和容错机制，对专利等科技 成果作价入股所形成国有股权 的保值增值实施按年度、分类5. Strengtheningincentivesforpatenttransformationinuniversitiesandscientificresearchinstitutions.Anewmanagementmodelforthetransformationofscientificandtechnologicalachievementsinuniversitiesandscientificresearchinstitutionsshallbeexplored,theduediligenceexemptionandfaulttolerancemechanismforpatenttransformationshallbeimproved,andoverallassessmentofthepreservationandappreciationofstate-ownedequityformedbythevaluationofscientificandtechnologicalachievementssuchaspatentsbyyear,type,andstage,insteadofindividualcaseassessment,shallbeimplemented.Foropenlicensesforpatentsreachedandfiled,registrationandidentificationoftechnologycontractsshallbeconductedaccordingtolawandregulations.Universitiesandscientificresearchinstitutionsshallbeencouragedtoacceleratetheimplementationofapre-applicationpatentevaluationsystemwithanalysisonindustrializationprospectasthecore.Thestandardizedmanagementofserviceinventionsshallbestrengthened,andanIPincomedistributionmechanismfeaturingequalrightsandobligationsofentities,scientificresearchersandtechnologytransferinstitutionsshallbeestablished.ThereviewofIPclausesofindustryuniversity-researchcooperationagreementsshallbestrengthened,andrightsownershipandincomedistributionshallbereasonablyagreeupon.UniversitiesandscientificresearchinstitutionsshallbesupportedinraisingfundsandestablishingIPmanagementfundsandoperationalfundsbyvariouschannels.Theestablishmentofaquality-orientedbiddingmechanismforpatentagencyandotherservicesshallbepromoted.型、分阶段整体考核，不再单 独进行个案考核。对达成并备 案的专利开放许可，依法依规 予以技术合同登记认定。推动 高校、科研机构加快实施以产 业化前景分析为核心的专利申 请前评估制度。强化职务发明 规范管理，建立单位、科研人 员和技术转移机构等权利义务 对等的知识产权收益分配机 制。加强产学研合作协议知识 产权条款审查，合理约定权利 归属与收益分配。支持高校、 科研机构通过多种途径筹资设 立知识产权管理资金和运营基 金。推动建立以质量为导向的 专利代理等服务招标机制。（六）强化提升专利质量促进 专利产业化的政策导向。各地 区、各有关部门在涉及专利的 考核中，要突出专利质量和转 化运用的导向，避免设置专利 申请量约束性指标，不得将财 政资助奖励政策与专利数量简 单挂钩。在各级各类涉及专利 指标的项目评审、机构评估、6. Strengtheningthepolicyorientationofimprovingpatentqualityandpromotingpatentindustrialization.Intheassessmentinvolvingpatents,allregionsandrelevantdepartmentsshallhighlightthequalityofpatentsandtheorientationoftransformationandapplication,avoidsettingbindingtargetsforthenumberofpatentapplications,andshallnotsimplylinkthefinancialassistanceincentivepolicywiththenumberofpatents.Intheworkofprojectreview,institutionalevaluation,enterpriseidentification,talentevaluation,andevaluationofprofessionaltitlesinvolvingpatentindicatorsatalllevelsofvarioustypes,thepatenttransformationefficiencyshallberegardedasanimportantevaluationcriterion,andthenumberofpatentsshallnotbedirectlyregardedasthemaincondition.Guidelinesforhigh-valuepatentsofcentralenterprisesshallbeissuedtoguideenterprisestoimprovethequalityandefficiencyofpatents.Theimplementationofadeclarationsystemforpatentsformedinfinanciallyfundedscientificresearchprojectsshallbelaunched,tracking,monitoringandevaluationfeedbackshallbestrengthened,forpatentsthathavenotbeenimplementedforoverfiveyearsafterauthorizationwithoutjustifiedreasons,thestatemayimplementthemfreeofcharge,orpermitotherstoimplementthemforcompensationorfreeofcharge,topromotetheoutputandimplementationofhigh-valuepatentsoffinanciallyfundedscientificresearchprojects.企业认定、人才评价、职称评 定等工作中，要将专利的转化 效益作为重要评价标准，不得 直接将专利数量作为主要条 件。出台中央企业高价值专利 工作指引，引导企业提高专利 质量效益。启动实施财政资助 科研项目形成专利的声明制 度，加强跟踪监测和评价反 馈，对于授权超过5年没有实 施且无正当理由的专利，国家 可以无偿实施，也可以许可他 人有偿实施或无偿实施，促进 财政资助科研项目的高价值专 利产出和实施。7. StrengtheningtheprotectionofIPinpromotingtransformationandapplication.LocalcomprehensivelegislationonIPshallbestrengthenedandpatentprotectionandapplicationshallbepromotedinaunifiedmanner.TheestablishmentoftheIPprotectionsystemshallbestrengthened.(七)加强促进转化运用的知 识产权保护工作。加强地方知 识产权综合立法，一体推进专 利保护和运用。加强知识产权 保护体系建设°IV.CultivatingtheIPelementmarketandbuildingasoundserviceecology四、培育知识产权要素市 场，构建良好服务生态()高标准建设知识产权市 场体系。完善专利权转让登记 机制，完善专利开放许可相关 交易服务、信用监管、纠纷调 解等配套措施。创新先进技术 成果转化运用模式。优化全国8. Buildingahigh-standardIPmarketsystem.Thepatenttransferandregistrationmechanismshallbeimproved,andsupportingmeasuressuchastransactionservice,creditsupervision,anddisputemediationrelatedtoopenpatentlicensingshallbeimproved.Modelsfortransformingandapplyingadvancedtechnologicalachievementsshallbeinnovatedupon.ThenationalIPoperationserviceplatformsystemshallbeoptimized,nationalIPandscientificandtechnologicalachievementspropertytradinginstitutionsshallbesupportedinconnectingwithregionalandindustrialtransactioninstitutions,theplatformfunctionsinIPtrading,finance,patentnavigation,patent-intensiveproductsandotherrespectsshallbestrengthened,databasesshallbebuilt,theconstructionofanumberofIPoperationcentersshallbesupportedbyfocusingonkeyregionsandindustries,andanintegratedonlineandoffline,standardized,orderlyandvibrantIPapplicationnetworkshallbeformed.AunifiedandstandardizedIPtransactionsystemshallbeestablished,theinterconnection,openingandsharingofvariousplatformsshallbepromoted,andthereleaseofpatenttransformationsupplyanddemandinformationatonepointandaccesstothewholenetworkshallberealized.AstatisticalandreleasemechanismforbasicdatarelatedtoIPtransactionsshallbeestablished,theIPevaluationsystemshallbeimproved,andthedevelopmentofintelligentevaluationtoolsshallbeencouraged.Adataintegrationandmonitoringmechanismforpatentimplementation,transfer,licensing,pledge,i