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二00四年九月二十二日

上海市鼓励创建知识产权示范企业实施办法

　　第一章　总则

　　第一条　为实施“科教兴市”战略，推进本市企业知识产权工作，提高企业核心竞争力，根据《上海市人民政府印发关于进一步加强本市知识产权工作若干意见的通知》（沪府发（2003）48号）的精神，制订本办法。

　　第二条　本市组织开展知识产权示范企业创建工程，鼓励创建知识产权示范企业，以树立典型，总结经验，示范推广，全面提升本市企业的知识产权工作水平。

　　第三条　本办法所称知识产权，是指专利、商标、著作权、商业秘密和技术诀窍、地理标志、集成电路布图设计等。

　　第四条　本办法适用于本市制造业和现代服务业中具有独立法人资格的各类企业。

　　第二章　组织机构、职能及资金

　　第五条　市经委是全市知识产权示范企业创建工程的主管部门。由市经委、市知识产权局、市工商局、市版权局、市国资委、市财政局组成上海市知识产权示范企业创建工程推进委员会。上海市知识产权示范企业创建工程推进委员会下设办公室，由以上各部门派员参加，具体负责全市知识产权示范企业创建工程的日常工作。

　　第六条　上海市知识产权示范企业创建工程推进委员会的职能如下：

　　（一）负责知识产权示范企业创建工程重大问题的决策；

　　（二）制定知识产权示范企业创建工程的推进计划；

　　（三）落实知识产权示范企业创建工程的配套资金。

　　第七条　上海市知识产权示范企业创建工程推进委员会办公室的职能如下：

　　（一）负责知识产权示范企业创建工程的推进；

　　（二）开展知识产权示范企业的创建和认定；

　　（三）总结、推广示范企业经验，指导面上工作；

　　（四）开展宣传、培训和表彰，策划有影响的大型专题活动；

　　（五）管理创建工程的配套资金。

　　第八条　上海市知识产权示范企业创建工程的配套资金，主要用于创建、推进、示范、宣传、表彰和奖励，以及对示范企业的有关费用补贴等。

　　第三章　知识产权示范企业的创建条件、任务及优惠措施

　　第九条　知识产权示范企业应具备下列条件：

　　（一）具有较大经营规模，产品技术水平、市场占有率和企业经济效益、服务质量在本市同行业中名列前茅；

　　（二）建立知识产权制度，设立管理机构，配备专职人员，并形成有效的运行机制；

　　（三）具备自主创新的研发能力，关键技术领先，拥有自主知识产权的核心技术；

　　（四）制定知识产权战略，把知识产权的创造、占有、运用、管理、保护纳入企业管理的各个环节；

　　（五）商标在市场上有较高信誉和公众认知度，积极创建“中国驰名商标”或“上海市著名商标”；

　　（六）注重知识产权实施并取得明显效益，知识产权工作形成特色，具有示范效应，有推广应用价值。

　　第十条　知识产权示范企业的任务是：

　　（一）制定并实施适合企业特点的知识产权战略，增强企业核心竞争力，利用知识产权战略占领和扩大市场，把握参与国际、国内竞争的主动权；

　　（二）完善技术创新体系，培育具有自主知识产权的核心技术，注重对前沿技术的自主创新或二次开发，参与国内外技术创新合作；

　　（三）有效利用专利文献和专利信息，掌握当前技术动态与发展趋势，制定相应技术研发策略，建立适合自身特点的专利信息数据库；

　　（四）提高自主知识产权的拥有量和技术含量，加快核心知识产权群的形成，增强企业可持续发展能力。

　　（五）建立激励机制，根据国家与本市有关法规规定，对专利申请、专利实施、专利技术和著作权的转让或许可，给予发明人、设计人或著作权人奖励和报酬，同时，制订相应规定，加大奖励力度；

　　（六）建立商标管理和保护体系，制定商标培育和发展计划，积极创建“中国驰名商标”或“上海市著名商标”；

　　（七）总结知识产权在检索、申请、运用、实施、管理和保护等方面的经验，重视专利、商标、著作权的融合使用，提高知识产权运用能力。

　　第十一条　经认定的上海市知识产权示范企业，可享受以下优惠措施：

　　（一）示范企业创建费用补贴；

　　（二）专利信息数据库建设费用补贴；

　　（三）专利与版权申请、驰名商标和著名商标认定、自行开发的软件登记等费用补贴；

　　（四）对成绩显著的示范企业，给予表彰和奖励。

　　第四章　知识产权示范企业的申请、认定及复审

　　第十二条　凡是符合本市知识产权示范企业创建工程条件的企业，可以申请参加创建工程活动，经上海市知识产权示范企业创建工程推进委员会办公室审定后，列入创建工程培育名单。

　　第十三条　知识产权示范企业认定程序为：企业申请、创建预审、培育选拔、认定授牌、定期公告。

　　第十四条　企业填写的《上海市知识产权示范企业认定申请书》，应当一式三份向上海市知识产权示范企业创建工程推进委员会办公室或者区县经济部门、知识产权部门申报。有主管部门的企业、各控股（集团）公司下属企业或者各市级开发区内企业，可以分别通过相应的主管部门、控股（集团）公司或者开发区管委会向上海市知识产权示范企业创建工程推进委员会办公室申报。企业通过区县经济部门、知识产权部门、主管部门、控股（集团）公司、开发区管委会向上海市知识产权示范企业创建工程推进委员会办公室申报的，接受申请的单位应当对企业的申报材料进行初步审查并汇总后，报送上海市知识产权示范企业创建工程推进委员会办公室。

　　国有及国有控股企业应当将知识产权示范企业创建情况报送国资监管机构备案。

　　第十五条　上海市知识产权示范企业创建工程推进委员会办公室根据本办法所规定的条件，对申请材料进行审核，并对申请企业进行现场考察。

　　第十六条　经上海市知识产权示范企业创建工程推进委员会认定合格的知识产权示范企业，由市经委、市知识产权局、市工商局、市版权局、市国资委、市财政局联合公布，并颁发《上海市知识产权示范企业认定证书》，授予“上海市知识产权示范企业”铜牌。

　　第十七条　对已认定的知识产权示范企业，每年复审一次。对复审不合格的企业，停止享受优惠措施；两次复审不合格的企业，撤销其知识产权示范企业资格。

　　第十八条　被认定的企业在申请或复审中，若有弄虚作假等行为，撤销其认定资格并在两年内不予受理认定申请。

　　第五章　附则

　　第十九条　本办法经市政府同意后施行。

　　上海市经济委员会、上海市国有资产监督管理委员会、上海市财政局、上海市工商行政管理局、上海市知识产权局、上海市版权局

　　二00四年八月三十一日

Implementation² Procedures of Shanghai Municipality on the Encouragement of the Establishment of Intellectual Property Rights Exemplary Enterprises

　　Chapter I General Provisions

　　Article 1 For the purposes of implementing³ the strategy of invigorating the city through science and education, promoting the work of intellectual property rights of enterprises in this Municipality, and enhancing the core competitive power of enterprises, these Procedures are formulated⁵ in accordance with the spirit of the"Notice of the Shanghai Municipal People's Government about Printing and Distributing the'Suggestions on Further Strengthening the Intellectual Property Rights Work in this Municipality'".

　　Article 2 This Municipality shall organize and launch the project of establishing intellectual property rights exemplary enterprises, encourage the establishment of intellectual property rights exemplary enterprises, and raise the level of the work of intellectual property rights of enterprises in this Municipality in all-round way by setting up typical examples, summarizing the experience, and spreading the demonstrations⁷.

　　Article 3 The intellectual property rights mentioned in these Procedures refers to patents, trademarks⁹, copyright, commercial secrets, technical know-how¹⁰, geographic¹¹ indications, layout designs of integrated circuits, etc.

　　Article 4 These Procedures shall apply to all kinds of enterprises with independent corporate¹² capacity in the manufacturing industry and the modern service industry of this Municipality.

　　Chapter II Organizing Organs and Their Functions and Funds

　　Article 5 The Municipal Economic Commission shall be the competent administrative¹³ department in charge of the project of establishing intellectual property rights exemplary enterprises in the whole Municipality. The Shanghai Municipal Commission for Promotion¹⁴ of Project of Establishing Intellectual Property Rights Exemplary Enterprises shall be established by the Municipal Economic Commission, the Municipal Intellectual Property Bureau, the Municipal Administration of Industry and Commerce, the Municipal Copyright Bureau, the Municipal State-owned Assets Supervision¹⁵ and Administration Commission and the Municipal Finance Bureau. An office shall be set up under the Shanghai Municipal Commission for Promotion of Project of Establishing Intellectual Property Rights Exemplary Enterprises, and all above-mentioned departments shall dispatch a person /persons to work in the office. The office shall be specifically responsible for the daily work of the project of establishing intellectual property rights exemplary enterprises in this Municipality.

　　Article 6 The functions of the Shanghai Municipal Commission for Promotion of Project of Establishing Intellectual Property Rights Exemplary Enterprises are as follows:

　　1. To be responsible for the decision-making for major issues of the project of establishing intellectual property rights exemplary enterprises;

　　2. To formulate⁴ the promotion plan of the project of establishing intellectual property rights exemplary enterprises; and

　　3. To insure the necessary auxiliary¹⁶ funds for the project of establishing intellectual property rights exemplary enterprises.

　　Article 7 The functions of the Office of the Shanghai Municipal Commission for Promotion of Project of Establishing Intellectual Property Rights Exemplary Enterprises are as follows:

　　1. To be responsible for the promotion of the project of establishing intellectual property rights exemplary enterprises;

　　2. To conduct the establishment and affirmation of intellectual property rights exemplary enterprises;

　　3. To summarize and spread the experience of exemplary enterprises, and direct the overall work thereof;

　　4. To carry out the work of publicity¹⁷, training and commendation, and scheme some large-scale activities of special-topic that have large influence; and

　　5. To manage the necessary auxiliary funds for the project of establishing intellectual property rights exemplary enterprises.

　　Article 8 The necessary auxiliary funds for the project of establishing intellectual property rights exemplary enterprises in this Municipality shall be mainly used for the establishment, promotion, demonstration⁶, publicity, commendation, and reward and encouragement thereof, as well as relevant subsidies¹⁸ to the exemplary enterprises.

　　Chapter III Requirements for the Establishment of Intellectual Property Rights Exemplary Enterprises, Tasks and Preferential Measures

　　Article 9 An intellectual property rights exemplary enterprise shall meet the following requirements:

　　1. To have comparatively large operation scale, and be among the best successful enterprises of the same trade in the technical level of products, market shares, economic returns and service quality;

　　2. Having set up the intellectual property rights system and the administration organization with specially-assigned full-time¹⁹ staff, and having set up effective operation mechanism²⁰;

　　3. To have the innovative²¹ research and development capacity of its own, take the lead in the key technology, and possess the core technology with intellectual property rights of its own;

　　4. Having drawn²² up intellectual property rights strategy and brought the creation, possession, utilization²³, management and protection of intellectual property rights into all links of the administration of the enterprise;

　　5. Its trademark⁸ enjoys comparatively high reputation and recognition of the public, and efforts have been vigorously made to establish its trademark to be a Chinese Well-known Brand or a Shanghai Famous Brand; and

　　6. Having paid attention to the enforcement of intellectual property rights and achieved obvious returns, and formed special features in the work of intellectual property rights with the demonstrative effect and value for dissemination²⁴ and application.

　　Article 10 The tasks of an intellectual property rights exemplary enterprise are:

　　1. To formulate and implement¹ the intellectual property rights strategy that is appropriate for the characteristics of the enterprise to enhance the core competitive power of the enterprise, and make use of the intellectual property rights strategy to gain and expand the market, so as to gain leverage²⁵ in the competition at home and abroad;

　　2. To improve the technical innovation system, cultivate the core technology with intellectual property rights of its own, pay attention to the autonomous²⁶ innovation or secondary development of frontier technology, and participate in the cooperation in technological²⁷ innovation at home and abroad;

　　3. To make full use of patent documents and patent information, grasp the new development and trend of technology, formulate corresponding technological research and development strategy, and set up patent information database that is appropriate for its own characteristics;

　　4. To raise the amount and technological contents of the intellectual property rights of its own, quicken the formation of core intellectual property rights group, and enhance the sustainable development capacity of the enterprise;

　　5. To set up an encouragement mechanism, and in accordance with the relevant provisions of laws and regulations of the State and this Municipality, for the application of patent, the putting into practice of patent, and the transfer and licensing²⁸ of the patented technology and copyright, give reward and encouragement and remuneration to the inventor, designer or copyright owner, and at the meantime, formulate relevant provisions to raise the level of reward and encouragement;

　　6. To adopt administration and protection system for trademark, formulate the cultivation²⁹ and development plan of trademark, and actively³⁰ establish its trademark to be Chinese Well-known Brand or Shanghai Famous Brand; and

　　7. To summarize the experience in the search, application, utilization, administration and protection of intellectual property rights, and attach importance to the integrated use of patent, trademark and copyright, so as to strengthen the capacity of utilizing³¹ intellectual property rights.

　　Article 11 The enterprise affirmed as Shanghai Intellectual Property Rights Exemplary Enterprise may enjoy the following preferential measures:

　　1. Subsidies for the expenses paid for the establishment of exemplary enterprise;

　　2. Subsidies for the expenses paid for the construction of patent information database;

　　3. Subsidies for the expenses paid for the application for patent and copyright, the affirmation of well-known brand and famous brand, and registration³² of software developed by itself; and

　　4. The exemplary enterprise with excellent achievements shall be commended and encouraged.

　　Chapter IV Application for, Affirmation and Re-examination of Intellectual Property Rights Exemplary Enterprises

　　Article 12 The enterprise that complies with the requirements for the project of establishing intellectual property rights exemplary enterprise in this Municipality may apply for the participation³³ in the activity of the establishment project, and shall be brought into the cultivation list of the establishment project after examination and ratification³⁴ by the Office of the Shanghai Municipal Commission for Promotion of Project of Establishing Intellectual Property Rights Exemplary Enterprises.

　　Article 13 The affirmation procedures of intellectual property rights exemplary enterprises shall be: the application by the enterprises, preliminary examination of the establishment, cultivation and selection, affirmation and plate-awarding, and regular announcement.

　　Article 14 The"Application Form for Shanghai Intellectual Property Rights Exemplary Enterprise"filled in by the enterprise shall be submitted to the Office of the Shanghai Municipal Commission for Promotion of Project of Establishing Intellectual Property Rights Exemplary Enterprises, the district/county economic department or the intellectual property department in three copies. The enterprise with a competent administrative department, enterprise subordinating to a holding （group） company or enterprise in a municipal-level development zone shall apply for the affirmation with the Office of the Shanghai Municipal Commission for Promotion of Project of Establishing Intellectual Property Rights Exemplary Enterprises through its corresponding competent administrative department, holding （group） company or administrative committee of development zone respectively. Where the enterprise applies for the affirmation with the Office of the Shanghai Municipal Commission for Promotion of Project of Establishing Intellectual Property Rights Exemplary Enterprises through its corresponding competent administrative department, holding （group） company or administrative committee of development zone, the unit that accepts and handles the application shall, after conducting preliminary examination of and gathering³⁵ the application materials of the enterprise, submit the application to the Office of the Shanghai Municipal Commission for Promotion of Project of Establishing Intellectual Property Rights Exemplary Enterprises. State-owned or State-owned holding enterprise shall report the situation of establishing intellectual property rights exemplary enterprise to the State-owned assets supervision and administration organ for the record.

　　Article 15 The Office of the Shanghai Municipal Commission for Promotion of Project of Establishing Intellectual Property Rights Exemplary Enterprises shall, according to the requirements provided in these Procedures, examine and verify the application materials, and conduct on-spot inspection³⁶ of the enterprise that applies for the affirmation.

　　Article 16 An enterprise affirmed as a qualified³⁷ intellectual property rights exemplary enterprise by the Office of the Shanghai Municipal Commission for Promotion of Project of Establishing Intellectual Property Rights Exemplary Enterprises shall be announced by the Municipal Economic Commission, the Municipal Intellectual Property Bureau, the Municipal Administration of Industry and Commerce, the Municipal Copyright Bureau, the Municipal State-owned Assets Supervision and Administration Commission and the Municipal Finance Bureau jointly³⁸, and be awarded the Certificate of Affirmed Shanghai Intellectual Property Rights Exemplary Enterprise and the bronze plate of Shanghai Intellectual Property Rights Exemplary Enterprise.

　　Article 17 The affirmed intellectual property rights exemplary enterprise shall be re-examined once every year. Where an enterprise that is re-examined is unqualified, its enjoyment³⁹ of preferential measures shall be suspended. Where an enterprise is unqualified for two times of re-examination, its qualification as an intellectual property rights exemplary enterprise shall be cancelled.

　　Article 18 Where an affirmed enterprise has employed trickery in the application or re-examination, its affirmed qualification shall be cancelled and its application for the affirmation shall not be accepted and handled in two years.

　　Chapter V Supplementary Provision

　　Article 19 These Procedures shall become effective upon the approval of the Municipal People's Government

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