I 摘要 由于诸多因素制约，我国的专利技术产业化率很低。如何提高我国技术创新 能力，促进专利技术产业化，是当前我们必须解决的重大问题。为此，国家知识 产权局作出了实施“国家专利产业化工程”的部署，并于 2002 年开始在全国建立国 家专利产业化试点基地。专利产业化基地模式主要从机制建设、平台建设、项目 建设等方面入手为专利技术产业化创造良好的环境氛围，既利于振兴传统产业， 又利于培育新兴产业，从而推动区域经济的可持续发展。通过调查，目前 10 个国 家专利产业化试点基地建设进展顺利，运行效果显著。基地模式的实践初步证明 是有效的，是可行的。但是，专利产业化基地模式目前还处在探索和实践当中， 本身还不成熟，需要我们不断研究、实践和总结，使之成为推动我国自主创新和 专利保护战略实施的重要阵地。 重庆是我国西部唯一的直辖市，其政治经济地位在西部地区及长江上游有着 举足轻重的地位。直辖以来，在中央的大力支持下，重庆经济社会发展取得了前 所未有的成绩。根据重庆市的产业结构、产业布局、产业技术等实际情况，我们 提出建立以汽摩产业链为依托的专利产业化虚拟基地的构想，并首先从理论和实 践两方面论证专利产业化基地模式的可行性，然后探讨重庆建立专利产业化虚拟 基地的可行性，同时提出基地建设的实施方案。 作为重庆经济的领头羊，汽摩及关联产业发挥了很强的支撑和带动作用，特 别在企业技术创新与知识产权保护方面走在了其它产业的前面。重庆市政府积极 推进科技体制改革和全市科技资源的强力整合，为建立企业为主体的技术创新机 制奠定了基础。汽摩及关联产业的创新机制和创新平台建设不断完善，为重庆创 建国家专利产业化基地奠定了良好的基础。但是目前汽摩产业链整体缺乏核心竞 争力，共性技术和关键技术的研发实力较弱，在专利产业化促进机制和平台建设 方面还需要进一步完善。通过综合评价，我们得出重庆建立以汽摩产业链为依托 的专利产业化虚拟基地具有可行性。同时，针对存在的问题和不足，我们提出了 切实可行的实施方案，以及相应的保障措施和支撑条件，可操作性强。 全文共分六章。第一章绪论部分重点阐述本报告的选题背景及目的意义、国 内外的研究现状，以及报告的研究方法、创新点，并对报告涉及的相关概念进行 了详细的说明。第二章提出了专利产业化虚拟基地的总体构想，并对选择汽摩产 业作为依托的原因进行了重点分析。第三章阐述了国内外关于专利产业化基地的 理论和实践。首先阐述专利产业化基地模式的理论基础，为基地模式寻求理论支 撑。然后重点介绍发达国家或地区在专利产业化方面的先进经验和措施，以利于重庆大学硕士学位报告 借鉴；最后深入剖析我国专利产业化进程中存在的诸多问题，评估国内已建的 10 个试点基地的建设情况以及运行效果。专利产业化试点基地的实践初步证明专利 产业化基地模式在实践中可行，值得推广。第四章主要讨论重庆创建专利产业化 虚拟基地的必要性，基地的建立对重庆经济、科技、社会发展具有重大影响，对 政府、企业、个人的创新和保护意识的提高具有很大的促进作用。第五章是本文 的核心内容，重点分析重庆创建以汽摩产业链为依托的专利产业化虚拟基地的可 行性。通过对重庆专利产业化促进机制、平台建设等方面的综合评价得出，重庆 专利产业化虚拟基地的创建具有可行性。第六章提出了具体实施方案，以及相应 的保障措施和支撑条件。基地建设着力点在于营造创新环境和保护氛围，搭建共 性技术研发平台，提高基地企业的自主创新能力，并从制度、政策、信息、资金、 技术、人才、组织管理方式等方面为基地企业的专利产业化提供支撑、创造条件， 实现专利创造、保护和产业化三者的和谐统一，推动重庆经济健康持续发展。 关键词：专利产业化，虚拟基地，可行性，网络管理，保障措施和支撑条件1 绪 论 ABSTRACT Restricted by many factors, the industrialization rate of patent technology is very low in our country. At the present, the major issues that we must solve are how to improve technology innovation abilities and promote patent technology to be industrialized. State Intellectual Property Office made a decision of carrying out “State Patents Industrialization Project”, and having set up ten experimental bases in our country from 2002. The mode of the patent technology industrialization base is just to create favorable circumstance for the patent technology innovation, protection and industrialization from mechanism and platform construction. This can resume conventional industries and can cultivate new industries, which can drive regional economy developing rapidly and normally. After making investigations, we know that the ten experimental bases are going well, they have obtained good results. The Practice has proved that the base mode is effective and feasible. But we must know, the mode of the patent technology industrialization base is being explored and being carried out. It is not mature and need us going on studying, carrying out, generalizing experience, and making it an important position that can put innovation and patents protection strategy in practice. Chongqing is one and only Municipality directly under the Central Government in west areas of China, which political and economical positions are vital in western areas and the upper areas of the Yangtze River. From directly under the jurisdiction, supported by central government, Chongqing has made much progress in economy and society. Considering the practical situation of industrial structure, industrial allocation and industrial technology of Chongqing, we put forward a frame design of the patent industrialization virtual base based on automobile and motorcycle industry. Firstly we argument the feasibility of the base mode from both theory and practice, then discuss the feasibility about the construction of the patent industrialization virtual base in Chongqing, at the same time, we put forward a executive plan about base construction. As the Bellwether of Chongqing economy, automobile and motorcycle industry is increasingly awakening and growing in strength and playing an ever more significant role, especially in enterprise technology innovation and protection of intellectual property, they do better than other industries. Chongqing government actively promotes the reformation of science and technology systems and strong conformity of science and重庆大学硕士学位报告 technology resources, so as to laid the groundwork for establishing technology innovation systems in which enterprise is principal part. The innovation systems and platforms of automobile and motorcycle industry are constantly improving. All these laid the good groundwork for establishing the state base of patent technology industrialization. But Chongqing automobile and motorcycle industry is short of the core competitive ability as a whole. It is very weak for the Research and Development strength of universal technology and key technology. And some aspects of systems and platforms promoting patents industrialization need improving further. Through overall evaluation, we reach a conclusion that it is feasible for Chongqing establishing the patent industrialization virtual base on the automobile and motorcycle industry. At the same time, we put forward a pressing and feasible project and corresponding measures and supporting conditions. So the measures are operable. This thesis includes six chapters. Chapter 1 describes the research background, present status of domestic and international research on this topic. It also clarifies the research purpose and significance of this topic, the research methods used in the present study, and the innovation of the thesis. Last of the chapter it clarifies the related concepts and explains the definitions. Chapter 2 proposes to establish the patent industrialization virtual base, and analyzes the reason why choose automobile and motorcycle industry as base industry. Chapter 3 expatiates on the theory and practice about patent industrialization base. In this chapter, it firstly clarifies the theory of patent industrialization base mode, to find theoretical support for base mode. Then the chapter introduces the advanced experiences and measures of developed countries or areas on promoting patent industrialization, from which we can study and use the experience of other countries for reference. It also gives a profound analysis of many problems of our country during the patent industrialization, and evaluates the construction evolvement and operating effect of the ten built bases in our country. The practice of experimental bases proved preliminarily the patent industrialization base mode is feasible and worthy of being popularized. Chapter 4 discusses mainly the necessity about establishing the patent industrialization virtual base. The base is necessary because it will exert great influence on the Chongqing economy, science and technology and society development, it will also promote the increase of innovation and protection consciousness of government, enterprise and individual greatly. Chapter 5 is the core content of the thesis. It analyzes the feasibility of establishing the patent industrialization virtual base based on automobile and motorcycle industry in Chongqing. Through overall evaluation on1 绪 论 present promoting systems and platforms, we reach a conclusion that it is feasible for Chongqing establishing the patent industrialization virtual base on the automobile and motorcycle industry. Chapter 6 proposes a pressing and feasible project and corresponding steps and supporting conditions. The base construction emphases on creating innovation environment and protection atmosphere, building the platforms for universal technology research and development, enhancing self-innovation capability of the enterprises in Chongqing, offering support and creating conditions for patents industrialization from law systems, policies, information, capital fund, technology, talents, organization ets. The purpose of the base is to realize the harmonious among patent creativeness, protection, industrialization, and at last to promote economic development of Chongqing constantly and normally. Keywords: patent industrialization, virtual base, feasibility, network management, supporting measures and conditions重庆大学硕士学位报告 目 录 中文摘要.......................................................................................................................................I 英文摘要.....................................................................................................................................III 1 绪论 ............................................................................................................................................1 1.1 选题背景..................................................................................................................................1 1.2 本文研究的目的和意义..........................................................................................................2 1.3 国内外研究现状综述..............................................................................................................3 1.3.1 关于专利产业化基地理论基础的研究...........................................................................3 1.3.2 关于产业化模式的实践...................................................................................................3 1.3.3 关于项目可行性研究方法和内容...................................................................................4 1.4 报告的研究方法......................................................................................................................5 1.5 报告的创新点..........................................................................................................................5 1.6 相关概念界定..........................................................................................................................6 1.6.1 专利...................................................................................................................................6 1.6.2 专利产业化.......................................................................................................................6 1.6.3 专利产业化基地...............................................................................................................8 2 重庆专利产业化虚拟基地总体构想设计...........................................................11 2.1 虚拟基地构想........................................................................................................................11 2.1.1 虚拟基地的依据.............................................................................................................11 2.1.2 重庆专利产业化基地引入“虚拟”理念的原因 .........................................................11 2.2 虚拟基地依托产业选择........................................................................................................12 2.2.1 产业选择的依据.............................................................................................................12 2.2.2 汽摩产业链优势分析.....................................................................................................12 2.2.3 汽摩产业面临的挑战.....................................................................................................18 2.2.4 小结.................................................................................................................................19 2.3 虚拟基地的总体框架和建设内容........................................................................................19 2.3.1 基地建设的目标.............................................................................................................19 2.3.2 基地建设的总体构架和建设内容.................................................................................19 2.3.3 基地建设预计投入.........................................................................................................20 3 专利产业化基地的理论与实践................................................................................21 3.1 专利产业化基地模式的理论基础........................................................................................21 3.1.1 空间聚集经济理论.........................................................................................................211 绪 论 3.1.2 创新环境理论.................................................................................................................21 3.1.3 创新系统理论.................................................................................................................22 3.1.4 技术创新集群理论.........................................................................................................23 3.1.5 空间扩散理论.................................................................................................................24 3.2 发达国家或地区专利产业化经验及模式............................................................................24 3.2.1 发达国家或地区专利产业化经验.................................................................................24 3.2.2 专利产业化促进模式.....................................................................................................28 3.3 我国专利产业化现状及产业化基地模式的实践................................................................30 3.3.1 我国专利技术产业化现状概述.....................................................................................30 3.3.2 我国专利转化和产业化困难的原因分析 .....................................................................30 3.3.3 我国国家专利产业化基地建设进展情况及运行效果评价 .........................................35 4 重庆专利产业化虚拟基地建设的必要性...........................................................41 4.1 促进重庆及全国汽摩技术专利转化及产业化的需要........................................................41 4.2 提高重庆汽摩产业整体竞争力的需要................................................................................41 4.3 促进重庆知识产权战略实施的需要....................................................................................41 4.4 增强汽摩产业对重庆经济社会发展的带动能力................................................................42 4.5 小结........................................................................................................................................42 5 重庆建立专利产业化虚拟基地的可行性...........................................................43 5.1 国家专利产业化基地的评审标准........................................................................................43 5.2 基地已有的条件和优势........................................................................................................43 5.2.1 产业发展大环境较好.....................................................................................................43 5.2.2 重庆知识产权管理工作成效显著.................................................................................44 5.2.3 专利产业化促进机制逐渐完善.....................................................................................48 5.2.4 促进专利创造与产业化的平台建设系统全面 .............................................................51 5.2.5 基地建设投入有保障.....................................................................................................53 5.3 基地建设中还需要解决的问题............................................................................................53 5.3.1 重庆市促进专利产业化面临的问题.............................................................................53 5.3.2 专利产业化项目管理中需要注意的问题 .....................................................................55 5.3.3 重庆市在机制建设和平台建设方面需要加强的内容 .................................................55 5.4 结论........................................................................................................................................56 6 重庆市专利产业化虚拟基地建设实施方案......................................................57 6.1 基地建设任务和工作要点....................................................................................................57 6.1.1 基地建设任务.................................................................................................................57 6.1.2 基地建设工作要点.........................................................................................................57重庆大学硕士学位报告 6.2 虚拟基地的网络建设及管理................................................................................................57 6.2.1 中央控制管理中心建设和管理.....................................................................................57 6.2.2 四条网络的建设管理.....................................................................................................57 6.3 虚拟基地的运行机制建设 ....................................................................................................60 6.3.1 风险共担机制建设.........................................................................................................60 6.3.2 激励机制建设.................................................................................................................60 6.3.3 资金投入机制建设.........................................................................................................62 6.3.4 知识产权预警机制建设.................................................................................................63 6.3.5 专利项目评审与资助相互独立的管理机制.................................................................63 6.4 虚拟基地项目实施的保障措施.............................................................................................65 6.3.1 各级政府部门重视知识产权工作.................................................................................65 6.3.2 引导企业制定和实施知识产权战略.............................................................................65 6.3.3 加强产学研联合开发的专利保护.................................................................................65 6.3.4 提高全社会的知识产权意识.........................................................................................65 6.3.5 加强专利产业化项目管理工作.....................................................................................66 6.4 拟建立的支撑条件................................................................................................................66 6.4.1 完善相关法律法规体系.................................................................................................66 6.4.2 继续完善专利研发和转化平台建设.............................................................................67 6.4.3 知识产权专业人才培养.................................................................................................68 6.4.4 加快创新基础设施建设.................................................................................................68 致 谢.....................................................................................................................................69