产业化存在困难····························································································	01	缺少专利经营管理人才··············································································	05
缺乏专利交易平台························································································	02	专利权被有意侵犯·····················································································	06
专利交易成本高····························································································	03	在后专利侵犯了在先专利的专利权···························································· 7	07
专利代理水平不高导致市场保护范围不够···················································································	04	其他【请注明】

　　b10.该项专利的实施方式是：　【单选】b1201/
　　
　　

只自行实施···································································	1
既有自行实施，又有转让实施·······································	2	只转让实施···································································	5
既有自行实施，又有许可实施·······································	3	只许可实施···································································	6
自行实施、转让实施、许可实施均有·····························	4	既有转让实施，又有许可实施·······································	7

　　b11.具体来看，您所在高校实施该项专利的具体行为包括？　【多选】b1301-b1307/
　　
　　

制造产品··································································	1	è【回答b12-b13题后跳答b18题】
许可他人制造产品····················································	2	è【跳答b14题】
许可他人进口产品····················································	3	è【跳答b14题】
转让·········································································	4	è【回答b14-b16题后跳答b18题】
折价入股··································································	5	è【若只选择此三项，则跳答b18题】
进行广告宣传···························································	6
招标投标··································································	7

　　b12.如果是以产品制造的方式实施，该项专利目前处于实施过程中的哪一阶段？　【单选】b1401/
　　
　　

产品研究试验阶段，尚未拿出样本····	01	试生产阶段······································	04
小试阶段，已经拿出样本··················	02	规模产业化生产阶段························	05
中试阶段，生产出产品·····················	03	其他【请注明】

　　b13.在产品生产出来后，投入市场前，发现同类产品有专利，您所在高校会怎么办？è【跳答b18题】
　　【多选】b1601-b1604/
　　
　　

照样继续销售······································································································	01	自行改变产品生产策略，控制市场销售·························	03
联系专利权人进行谈判，取得许可·······································································	02	到竞争对手商品销售范围之外的地点进行销售·································	04
		其他【请注明】

　　b14.许可或转让专利后，您是否会去关注该项专利的实施情况？　【单选】d1401/
　　
　　

会·····················································

不会·················································

　　b15.该项专利的转让或许可是否借助了中介服务机构？　【单选】b1701/
　　
　　

是·····················································

否·······················································

　　b16.该项专利的许可或转让对象是哪类机构？　【多选】b1801-b1804/
　　
　　

境内注册的企业································	01	国内科研单位···································	03
国内高校··········································	02	国外机构··········································	04
		其他【请注明】

　　b17.该项专利采取的许可实施方式属于以下哪种情况？　【多选】b1901-b1904/
　　
　　

独占许可··········································	1		普通许可··········································	3
独家许可（排他许可）·····················	2		交叉许可························································ 国外研究机构···································	4

　　注：独占许可是指在合同约定的时间和地域范围内，只有被许可人可以使用许可人的专利权，其他人包括许可人本人均不得使用该专利权；
　　独家许可是指在合同约定的时间和地域范围内，专利权人不得再许可任何第三人以此相同的方式实施该项专利，但专利权人自己却可以进行实施；
　　普通许可是指被许可人可以使用许可人的专利，但不能排除许可人本人使用，也不能排除许可人再许可其他人使用；
　　交叉许可是指两个专利权人互相允许对方在约定的时间和地域范围内实施自己的专利，换句话说，就是甲允许乙实施甲的专利，乙允许甲实施乙的专利。
　　b18.您觉得目前您所在高校在知识产权转化方面的主要问题是什么？请按问题的严重性从大到小排列：
　　首先是，其次是，再次是。　d1801-d1803/
　　
　　

领导不够重视·······················································································································	01
相关规章制度不够健全·········································································································	02
知识产权管理的专项资金匮乏，没有发挥有效引导作用························································	03
缺乏建立高校知识产权管理制度的必要指导··········································································	04
缺乏相关的知识产权管理人才，如技术经纪人等···································································	05
校方保护和运用知识产权的意识不足····················································································	06
缺乏技术成果的市场需求信息和中介资源············································································· 7	07
科研人员保护和运用知识产权的动机不足·············································································	08
教师主要任务是科研与教学、无暇花费大量精力在知识产权转化上·······································	09
业绩考核中知识产权占的权重太小，约束与激励机制均不足·················································	10
其他【请注明】

　　访问到此结束，感谢您对我们工作的支持！
　　附件3：专利运用状况调查问卷（高校-专利权人信息）
　　文号：国统制[2009]37号
　　表号：专实施表2
　　制表机关：国家知识产权局
　　批准机关：国家统计局
　　问卷编号：【电子打印】（id001）
　　所在省份：【电子打印】（id009）
　　所在城市：【电子打印】（id010）
　　建议本部分由高校知识产权管理部门（或相关机构）主管填写
　　
　　

专利运用状况调查问卷
　　（高校-专利权人信息）
　　

　　专利权人名称：_____________________________【电子打印】（id011）
　　专利权人地址：_____________________________【电子打印】（id012）
　　高校知识产权管理人员姓名：___________________【必须填写】（id014）
　　高校知识产权管理人员手机号：_________________【必须填写】（id015）
　　填写本表人员姓名：__________________________【必须填写】（id021）
　　填写本表人员手机号：________________________【必须填写】（id022）
　　受访者机构单位联系电话：_____________________【必须填写】（id023）
　　单位公章（盖章处）
　　本报表制度根据《中华人民共和国统计法》的有关规定制定，国家知识产权局对在统计调查中知悉的统计调查对象的商业秘密，负有保密义务。
　　
　　

问卷审核记录
第一审核
第二审核

　　本问卷由国家知识产权局负责解释
　　
　　

2010年6月28日
　　

　　您好！专利是体现一个国家或组织科技创新能力的重要方面，国家知识产权局希望通过此次调查，了解所抽样专利的实施状况，了解专利实施过程中存在的问题和困难，为以后相关政府部门的工作提供参考，希望能够得到您的支持与帮助，请仔细填写这份问卷，谢谢！
　　首先想了解一下您所在高校的基本情况。请您根据下面的提示，填写或圈选您所在高校的情况。如果该信息您不了解，请您请高校的行政或财务人员协助填写。
　　【高校专利总体情况】
　　a1.您所在高校至今仍然有效（专利获得授权，且仍然在维持专利年费）的发明专利、实用新型专利以及外观设计专利各有几件？【请在表格相应空格处填写具体的数字】
　　
　　

仍然有效的发明专利（件）		c0201/
仍然有效的实用新型专利（件）		c0202/
仍然有效的外观设计专利（件）		c0203/

　　a2.2009年您所在高校对外转让以及许可的发明专利、实用新型专利以及外观设计专利各有几件？
　　
　　

对外转让以及许可的发明专利（件）		c0301/
对外转让以及许可的实用新型专利（件）		c0302/
对外转让以及许可的外观设计专利（件）		c0303/

　　a3.您所在高校至今有效的发明专利里，已投入生产的发明专利有多少件？占有效发明专利的比例？转让与许可的发明专利呢？技术储备的发明专利呢？【请在表格相应空格处填写具体的数字】
　　
　　

投入生产的

发明专利

转让与许可的

发明专利

进行技术储备的

发明专利

具体数量（件）

a0201/

a0202/

a0203/

占高校有效发明的比例（%）

a0204/

a0205/

a0206/

　　说明：技术储备是指高校出于战略性布局需要，有规划性的申请一定数量的专利，该技术在当前高校生产活动中未予实施运用，但其价值有可能会在未来一段时间内发挥效用。

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第2页 上海市教育委员会、市知识产权局关于开展本市高校2010年度专利调查工作的通知

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第2页上海市教育委员会、市知识产权局关于开展本市高校2010年度专利调查工作的通知