【中英文对照版】政府采购合作创新采购方式管理暂行办法.docx

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1、财政部关于印发政府采购合作创新采购方式管理暂行办法的通知(财库(2024)13号)各中央预算单位，各省、自治区、直辖市、计划单列市财政厅（局），新飕生产建设兵团财政局：为贯彻落实深化政府采购制度改革方案，完善政府采购支持科技创新制度，财政部制定了政府采购合作创新采购政府采购合作创新采购方式管理暂行办法InterimMeasuresfortheAdministrationoftheCooperativeandInnovativeProcurementMethodforGovernmentProcurement制定枇关：财政部发文字号：财库202413号公布日期：2024.04.24施行日期：20

2、24.06.01效力位阶：部门规范性文件法规夫别：政疥采购IssuingAuthority：MiniStryofFinanceDocumentNumberNo.132024oftheMinistryofFinanceDateIssued：(M-24-2(24EffectiveDate：06-01-20241.evelofAuthorityDepaninentalRegukdoiyDocumentsAreaof1.aw：GovernmentProcurementNoticebytheMinistryofFinanceofIssuingtheInterimMeasuresfortheAdminis

3、trationoftheCooperativeandInnovativeProcurementMethodforGovernmentProcurement(No.132024oftheMinistryofFinance)Allcentralbudgetentities;thefinancedepartments(bureaus)ofallprovinces,autonomousregions,municipalitiesdirectlyundertheCentralGovernment,andcitiesunderseparatestateplanning;andtheFinancialBur

4、eauofXinjiangProductionandConstructionCorps:ForthepurposesofimplementingthePlanforDeepeningtheReformoftheGovernmentProcurementSystemandimprovingtherulesonprovidingsupporttoscientificandtechnologicalinnovationthroughgovernmentprocurement,theMinistryofFinancehasdevelopedtheInterimMeasuresfortheAdminis

5、trationoftheCooperativeandInnovativeProcurementMethodforGovernmentProcurement,whichareherebyissuedtoyouforyourcomplianceandimplementation.Annex:InterimMeasuresfortheAdministrationoftheCooperativeandInnovativeProcurementMethodforGovernmentProcurement方式管理暂行办法，现印发给你们，请遵照执行。附件：政府采购合作创新采购方式管理暂行办法Ministry

6、ofFinanceApril24,20242024年4月24日Annex:附件:InterimMeasuresfortheAdministrationoftheCooperativeandInnovativeProcurementMethodforGovernmentProcurement政府采购合作创新采购方式管理暂行办法ChapterIGeneralProvisions第一章总则Article1ForthepurposesofimplementingtherelevantrequirementsoftheCPCCentralCommitteeandtheStateCouncilonacce

7、leratingtheimplementationoftheinnovation-drivendevelopmentstrategyandsupportingtheapplicationofscientificandtechnologicalinnovations,theseMeasuresaredevelopedinaccordancewiththeGovernmentProcurement1.awofthePeoplesRepublicofChina,the1.awofthePeoplesRepublicofChinaonScientificandTechnologicalProgress

8、,andotherrelevantlaws.Article2Cooperativeandinnovativeprocurementmeansaprocurementmethodin第一条为贯彻落实党中央、国务院关于加快实施创新驱动发展战略有关要求，支持应用科技创新，根据中华人民共和国政府采购法和中华人民共和国科学技术进步法等有关法律，制定本办法。第二条合作创新采购是指采购人邀请供应商合作研发，共担研发风险，并按研发合同约定的数量或者金额购买研发成功的创新产品的采购方式。合作创新采购方式分为订购和首购两个阶段。whichpurchasersinvitesupplierstoconductcoop

9、erativeresearchanddevelopment(R&D”)andshareR&Drisks,andpurchaseinnovativeproductsthathavebeensuccessfullyresearchedanddevelopedaccordingtothequantitiesoramountsasagreedonintheR&Dcontracts.Thecooperativeandinnovativeprocurementmethodisdividedintotwostages,thatis,placingapurchaseorderandmakinganinitia

10、lpurchase.订购是指采购人提出研发目标，与供应商合作研发创新产品并共担研发风险的活动。PlacingapurchaseordermeansthatapurchaserproposesR&Dobjectivesandcooperateswiththesupplierinresearchinganddevelopinginnovativeproducts,withR&Driskssharedbybothsides.首购是指采购人对于研发成功的创新产品，按照研发合同约定采购一定数量或者一定金额相应产品的活动。Makinganinitialpurchasemeansthatapurchaser

11、purchasesacertainquantityoracertainamountofcorrespondinginnovativeproductsthathavebeensuccessfullyresearchedanddevelopedasagreedonintheR&Dcontract.前款所称创新产品，应当具有实质性的技术创新，包含新的技术原理、技术思想或者技术方法。对现有产品的改型以及对既有技术成果的验证、测试和使用等没有实质性技术创新的，不属于本办法规定的创新产品范围。Theinnovativeproductsasmentionedintheprecedingparagraphsh

12、allfeaturesubstantialtechnologicalinnovations,includingnewtechnicalprinciples,technicalideasortechnicalmethods.Theexistingproductsremodeledandtheexistingtechnologicalachievementsverified,testedandused,amongothers,whichdonotfeaturesubstantialtechnologicalinnovations,arenotwithinthescopeofinnovativepr

13、oductsasprescribedintheseMeasures.笫三条采购项目符合国家科技和相关产业发展规划，有利于落实国家重大战略目标任务，并且具有下列情形之一的，可以采用合作创新采购方式采购：Article3Whereaprocurementprojectcomplieswiththeplanningofthestateforthedevelopmentofscienceandtechnologyandrelatedindustries,isconducivetotheimplementationofmajornationalstrategicobjectivesandtasks,an

14、dfallsunderanyofthefollowingcircumstances,thecooperativeandinnovativeprocurementmethodmaybeadopted:(1) Theexistingproductsortechnologiesonthemarketcannotmeettherequirements,whichrequirestechnologicalbreakthroughs.（一）市场现有产品或者技术不能满足要求，需要进行技术突破的；(2) NewparadigmsornewsolutionsareformedonthebasisoftheR&D

15、ofinnovativeproducts,whichcansignificantlyimprovefunctionalperformanceandenhanceperformance.（二）以研发创新产品为基础，形成新范式或者新的解决方案，能够显著改善功能性能，明显提高绩效的；(3) OthercircumstancesasprescribedbythefinancedepartmentoftheStateCouncil.（三）国务院财政部门规定的其他情形。Article 4 Thebudgetentitiesatthecentralandprovinciallevels(includingc

16、itiesunderseparatestateplanning)mayadoptthecooperativeandinnovativeprocurementmethodfortheprocurementprojectsthatfallunderthecircumstancesspecifiedinArticle3oftheseMeasures.Centralandprovincialbudgetentitiesmayconductcooperativeandinnovativeprocurementsorauthorizetheirsubordinatebudgetentitiestocond

17、uctcooperativeandinnovativeprocurements.Thebudgetentitiesatthedistrictedcitylevelmay,uponapprovalbyprovincialcompetentdepartments,adoptthecooperativeandinnovativeprocurementmethod.Ifacooperativeandinnovativeprocurementismade,R&Dexpensesshallbelistedindepartmentalbudgets.第四条中央和省级（含计划单列市）主管预算单位对符合本办法第

18、三条规定情形的采购项目，可以采用合作创新采购方式。中央和省级主管预算单位可以开展合作创新采购，也可以授权所属预算单位开展合作创新采购。设区的市级主管预算单位经省级主管部门批准，可以采用合作创新采购方式。实施合作创新采购的，应当在部门预算中列明研发经费。Purchasersmayauthorizeprocurementagenciestomakecooperativeandinnovativeprocurementsasagencies,andprocurementagenciesshallconductprocurementactivitiesinaccordancewiththelawwit

19、hintheauthorizedscope.采购人可以委托采购代理机构代理合作创新采购，采购代理机构应当在委托的范围内依法开展采购活动。第五条合作创新采购应Article 5 Reasonablerisksharingandincentive当建立合理的风险分担与激励机制，鼓励有研发能力的国有企业、民营企业、外商投资企业，高等院校，科研机构等各类供应商积极参与，发挥财政资金对全社会应用技术研发的辐射效应，促进科技创新。mechanismsshallbeestablishedforcooperativeandinnovativeprocurements,andthestate-ownedente

20、rprises,privateenterprises,foreign-fundedenterprises,collegesanduniversities,scientificresearchinstitutions,andavarietyofothersupplierswithR&DcapabilitiesareencouragedtoproactivelyparticipateinrelevantcooperativeandinnovativeprocurementstomaximizetherippleeffectsoffiscalfundsintheR&Dofappliedtechnol

21、ogiesinthewholesocietyandpromotescientificandtechnologicalinnovations.笫六条合作创新采购应当落实国家安全有关法律法规要求。国家有关部门依法对涉及国家安全的合作创新采购活动开展安全审查。第二章需求管理Article 6 Cooperativeandinnovativeprocurementsshallimplementtherequirementsoflawsandregulationsrelatedtonationalsecurity.Therelevantdepartmentsofthestateshallconducts

22、ecurityreviewofcooperativeandinnovativeprocurementactivitiesinvolvingnationalsecurityinaccordancewiththelaw.ChapterIlDemandManagement第七条采购人开展合作创新采购前，应当开展市场调研和专家论证，科学设定合作创新采购项目的最低研发目标、最高研发费用和研发期限。Article7Beforemakingcooperativeandinnovativeprocurements,purchasersshallconductmarketsurveyandexpertargum

23、entationandsetinascientificmannertheminimumR&DobjectivesandmaximumR&DexpensesandR&Dperiods.最低研发目标包括创新产品的主要功能、性能，主要服务内容、服务标准及其他产出目标。,MinimumR&Dobjectivesincludethemainfunctionsandperformanceofinnovativeproducts,mainservicecontent,servicestandardsandotheroutputtargets.最高研发费用包括该项目用于研发成本补偿的费用和创新产品的首购费用，

24、还可以设定一MaximumR&DexpensesincludeexpensesforR&Dcostcompensationandexpensesforinitialpurchaseofinnovativeproductsfortheprojects,andcertainincentiveexpensesmayalsobeset.定的激励费用。Article8Inacooperativeandinnovativeprocurement,apurchasershallnotonlymakepurchasesonlywithinalimitedscopeorfromasolesupplierbutd

25、eterminetheR&Dsupplierthroughopencompetition.笫八条合作创新采购，除只能从有限范围或者唯一供应商处采购以外，采购人应当通过公开竞争确定研发供应商。Article9Incooperativeandinnovativeprocurements,purchasersshall,accordingtotherequirementofbeingconducivetoreducingR&DrisksandbycenteringontheR&Dcapabilitiesthatsuppliersneedtohave,setqualificationswhichmay

26、includeexistingpatents,copyrightsincomputersoftware,andproprietarytechnologycategoriesnecessaryforcooperativeandinnovativeprocurementprojects,R&Dperformanceofsimilarprojects,theresearchfoundationsthatthesuppliersalreadyhave,amongothers.笫九条合作创新采购中，采购人应当按照有利于降低研发风险的要求，围绕供应商需具备的研发能力设定资格条件，可以包括合作创新采购项目所

27、必需的巳有专利、计算机软件著作权、专有技术类别，同类项目的研发业绩，供应商已具备的研究基础等。Twoormoresuppliersmayformaconsortiumtoparticipateincooperativeandinnovativeprocurements.两个以上的供应商可以组成一个联合体，参与合作创新采购。R&DactivitiesforcooperativeandinnovativeprocurementsshallbeconductedwithintheterritoryofChina.Purchasersshallensuredomesticandforeign-fund

28、edenterprisesequalparticipationincooperativeandinnovativeprocurementactivities,exceptforprocurementprojectsinvolvingnationalsecurityandstatesecrets.合作创新采购的研发活动应当在中国境内进行。除涉及国家安全和国家秘密的采购项目外，采购人应当保障内外资企业平等参与合作创新采购活动。Article10Whenconductingcooperativeandinnovativeprocurements,purchasersshallimplementrel

29、evantpoliciesonprovidingsupporttothedevelopmentofsmallandmedium-sized第十条采购人开展合作创新采购应当落实政府采购支持中小企业发展相关政策。采购人应当结合采购项目情况和中小企业承接能力设置采购包，专门面向中小企业采购：对于工作内容难以分割的综合性采购项目，采购人应当要求获得采购合同的供应商将采购项目中的一定比例分包给中小企业，推动中小企业参与创新研发活动。第十一条合作创新采购中产生的各类知识产权，按照中华人民共和国民法典、中华人民共和国科学技术进步法以及知识产权等相关法律规定，原则上属于供应商享有，但是法律另有规定或者研发合同

30、另有约定的除外。知识产权涉及国家安全、国家利益或者重大社会公共利益的，应当约定由采购人享有或者约定共同享有。第十二条采购人开展合作创新采购前，应当制定采购方案。采购方案包括以下内容：（一）创新产品的最低研发目标、最高研发费用、应用场景和研发期限；（二）供应商邀请方式;enterprises(“SMEs”)throughgovernmentprocurement.PurchasersshallsetupprocurementpackagesinlightofthecircumstancesofprocurementprojectsandtheundertakingcapabilitiesofSM

31、Es,andengageinprocurementexclusivelyfromSMEs;andasforcomprehensiveprocurementprojectswithworkcontentdifficulttobedivided,purchasersshallthesuppliershavingobtainedtheprocurementcontractstosubcontractacertainproportionoftheprocurementprojectstoSMEstopromoteSMEsparticipationininnovativeR&Dactivities.Ar

32、ticle 11 Alltypesofintellectualpropertyrights(,IPRs)generatedincooperativeandinnovativeprocurementsshallinprinciplebeenjoyedbysuppliersinaccordancewiththeCivilCodeofthePeoplesRepublicofChina,the1.awofthePeoplesRepublicofChinaonScientificandTechnologicalProgress,andrelevantlawsonIPR1amongothers,excep

33、tasotherwiseprovidedforinlawsoragreedoninR&Dcontracts.IfIPRsinvolvenationalsecurity,nationalinterestsormajorsocialandpublicinterests,itshallbeagreedthattheIPRsshallbeenjoyedbypurchasersorbejointlyenjoyed.Article 12 Beforemakingcooperativeandinnovativeprocurements,purchasersshalldevelopprocurementpla

34、ns.Procurementplansshallincludethefollowing:(1) TheminimumR&Dobjectives,maximumR&Dexpenses,applicationscenarios,andR&Dperiodsofinnovativeproducts.(2) Supplierinvitationmethods.(3) Compositionofnegotiationteams,methodsofselectionofreviewexperts,reviewmethods,andpreliminaryreviewstandards.(4) Thecostr

35、angesforR&DcostcompensationandthelimitsofexpensesforR&Dcostcompensationfortheprojects.（三）谈判小组组成，评审专家选取办法，评审方法以及初步的评审标准；（四）给予研发成本补偿的成本范围及该项目用于研发成本补偿的费用限额；(5) Whethertoconductmid-termR&D(五)是否开展研发中期谈negotiations.判；(6) Preliminaryopinionsontheownership,benefitdistribution,andusemethodsofIPRs.(7) Service

36、requirementsfortheiterativeupgradingofinnovativeproducts.(8) ThemainclausesthatR&Dcontractsshallinclude.(9) R&Driskanalysisandriskmanagementandcontrolmeasures.(10) Othermattersthatneedtobedetermined.（六）关于知识产权权属、利益分配、使用方式的初步意见；（七）创新产品的迭代升级服务要求；（八）研发合同应当包括的主要条款；（九）研发风险分析和风险管控措施；（十）需要确定的其他事项。采购人应当对采陶方案

37、的科学性、可行性、合规性等开展咨询论证，并按照政府采购需求管理办法有关规定履行内部审查、核准程序后实施。PurchasersshallconductconsultationanddemonstrationsontheScientificity1feasibility,andcompliance,amongothers,ofprocurementplans,andimplementsuchplansafterperforminginternalreviewandapprovalproceduresinaccordancewiththerelevantprovisionsoftheMeasures

38、fortheAdministrationofGovernmentProcurementDemands.笫十三条采购人应当按照政府采购有关规定，在省级以上人民政府财政部门指定的媒体上及时发布合作创新采购项目信息，包括采购意向、采购公告、研发谈判文件、成交结果、研发合同、首购协议等，但涉及国家秘密、商业秘密的信息，以及其他依照法律、行政法规和国家有关规定不得公开的信息除外。第十四条采购人、供应商、评审专家以及相关人员应当严格保守参与合作创新采购活动中所获悉的国家秘密、工作秘密和商业秘密。除已公开的信息外，未经当事人同意，不得将其提供的信息用于其他目的。Article13Purchasersshal

39、l,inaccordancewiththerelevantprovisionsongovernmentprocurement,publishinatimelymannerinformationoncooperativeandinnovativeprocurementprojectsonthemediadesignatedbythefinancedepartmentsofthepeoplesgovernmentsatorabovetheprovinciallevel,includingprocurementintentions,procurementannouncements,R&Dnegoti

40、ationdocuments,transactionresults,R&DContracts,andinitialpurchaseagreements,amongothers,andexcludingtheinformationinvolvingstatesecretsandtradesecrets,andotherinformationthatshallnotbedisclosedinaccordancewithlaws,administrativeregulations,orrelevantprovisionsissuedbythestate.Article14Purchasers,sup

41、pliers,reviewexperts,andrelevantpersonnelshallstrictlykeepconfidentialthestatesecrets,worksecretsandtradesecretstowhichtheyhaveaccessduringtheirparticipationincooperativeandinnovativeprocurementactivities.Exceptfortheinformationthathasbeendisclosed,theinformationprovidedbythepartiesmaynotbeusedforot

42、herpurposeswithouttheconsentoftheparties.第三章订购程序第十五条采购人应当组建谈判小组，谈判小组由采购人代表和评审专家共五人以上单数组成。采购人应当自行选定相应专业领域的评审专家。评审专家中应当包含一名法律专家和一名经济专家。谈判小组具体人员组成比例，评审专家选取办法及采购过程中的人ChapterIIIOrderingProceduresArticle15Purchasersshallformnegotiationteamswhichshallconsistoffiveormorerepresentativesofpurchasersandreviewe

43、xpertsinoddnumbers.Purchasersshallselectreviewexpertsincorrespondingprofessionalfieldsontheirown.Apanelofreviewexpertsshallincludeonelegalexpertandoneeconomicexpert.Thecompositionratiosofthespecificpersonnelinanegotiationteam,methodsofselectionofreviewexperts,andpersonneladjustmentproceduresinthepro

44、cessofprocurementsshallbedeterminedinaccordancewiththeinternalcontrolmanagementsystemforpurchasers.员调整程序按照采购人内部控制管理制度确定。Negotiationteamsshallberesponsibleforsupplierqualificationexamination,exchangesofinnovativeconcepts,R&Dcompetitivenegotiations,mid-termR&Dnegotiations,initialpurchasereview,andothe

45、rwork.谈判小组负责供应商资格审查、创新概念交流、研发竞争谈判、研发中期谈判和首购评审等工作。Article16Purchasersshallissuecooperativeandinnovativeprocurementannouncementstoinvitesuppliers.However,wherepurchasersmayonlymakepurchaseswithinalimitedscopeorfromsolesuppliersaslimitedbyinfrastructure,administrativelicensing,andthenecessitytouseirrep

46、laceableIPRsorproprietarytechnologies,amongothers,purchasersmaydirectlysendlettersofinvitationsforcooperativeandinnovativeprocurementstoallqualifiedsuppliers.第十六条采购人应当发布合作创新采购公告邀请供应商，但受基础设施、行政许可、确需使用不可替代的知识产权或者专有技术等限制，只能从有限范围或者唯一供应商处采购的，采购人可以直接向所有符合条件的供应商发出合作创新采购邀请书。以公告形式遨请供应商的,公告期限不得少于五个工作日。合作创新采购公

47、告、合作创新采购邀请书应当包括采购人和采购项目名称，创新产品的最低研发目标、最高研发费用、应用场景及研发期限，对供应商的资格要求以及供应商提交参与合作创新采购申请文件的时间和地点等。同时，采购人应当在合作创新采购公告、合作创新采购遨请书中明确，最低研发目标、最高研发费用可能根据创新概念交流情况进行实质性调整。Ifsuppliersareinvitedintheformofanannouncement,theannouncementperiodshallnotbenotlessthanfiveworkingdays.Cooperativeandinnovativeprocurementannou

48、ncementsandlettersofinvitationforcooperativeandinnovativeprocurementsshallincludethenamesofpurchasersandprocurementprojectsandtheminimumR&Dobjectives,maximumR&Dexpenses,applicationscenariosandR&Dperiodsofinnovativeproducts,qualificationrequirementsforsuppliers,andthetimeandplacesforsubmissionofapplicationdocumentsforparticipationincooperativeandinnovativeprocurements,amongothers.Atthesametime,purchasersshallmakeitclearincooperativeandinnovativeprocurementann