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Guidelines for Hearing Disputes Arising from Awards or Remunerations to the Inventors or Designers of Service Invention-Creations | | 职务发明创造发明人或设计人奖励、报酬纠纷审理指引 |
| (Intellectual Property Tribunal of Shanghai Municipal Higher People's Court, 2013) | | （上海高院知产庭 2013年） |
| Article 1 [Scope of Application] The provisions of the Patent Law and the Detailed Rules for the Implementation of the Patent Law on award and remuneration rules for service invention-creations shall apply to invention-creations completed in the Mainland of China. | | 第一条 【适用范围】专利法及专利法实施细则关于职务发明创造奖励与报酬制度的规定适用于在中国大陆完成的发明创造。 |
| First, the attribution of patent right shall be determined based on the place where the invention-creation is completed. The said principle for determining the attribution of rights meets the expectations of both parties of the enterprise and employees (employer and employees) on the attribution of rights to invention-creations, since in general, the enterprise and employees (employer and employees) always predict legal consequences based on the provisions of local laws. | | 首先，应根据发明创造完成地来确定申请专利权利的归属。这种权利归属的确定原则符合企业与职工（雇主与雇员）双方对发明创造权利归属的预期，因为通常来说，企业与职工（雇主与雇员）总是从当地法律的规定出发来预见法律后果的。 |
| Second, corresponding to the scope of application of the provisions of the Patent Law and the Detailed Rules for the Implementation of the Patent Law on service invention-creations and non-service invention-creations, the scope of application of the provisions of the Patent Law and the Detailed Rules for the Implementation of the Patent Law on award and remuneration rules for service invention-creations shall also be based on the places where the invention-creations are completed. | | 其次，与专利法及专利法实施细则关于职务发明创造与非职务发明创造规定的适用范围相对应，专利法及专利法实施细则关于职务发明创造奖酬制度规定的适用范围也以发明创造完成地为依据。 |
| “The scope of application of the provisions of the Patent Law and the Detailed Rules for the Implementation of the Patent Law on award and remuneration rules for service invention-creations shall be based on the places where the invention-creations are completed.” has two meanings. First, for an invention-creation completed in the Mainland of China, if the patent is applied for in the Mainland of China, the inventor or designer of the service invention-creation shall be entitled to claim corresponding award and remuneration in accordance with China's Patent Law and the Detailed Rules for the Implementation of the Patent Law. Second, for an invention-creation completed in the Mainland of China, if the patent is applied for in a foreign country, and the invention-creation is determined as a service invention-creation in accordance with China's Patent Law and the Detailed Rules for the Implementation of the Patent Law, the inventor or designer of the service invention-creation shall be entitled to claim corresponding award and remuneration in accordance with China's Patent Law and the Detailed Rules for the Implementation of the Patent Law. | | 专利法及专利法实施细则关于职务发明创造奖酬制度规定的适用范围以发明创造完成地为依据，有两层含义。第一，在中国大陆完成的发明创造，在中国大陆申请专利的情况下，职务发明创造的发明人、设计人有权依据中国专利法及专利法实施细则的规定，要求获得相应的奖励与报酬。第二，在中国大陆完成的发明创造，在外国申请专利的情况下，依据中国专利法及专利法实施细则认定发明创造属于职务发明创造的，职务发明创造的发明人、设计人有权依据中国专利法及专利法实施细则的规定，要求获得相应的奖励与报酬。 |
| Article 2 [Giving priority to agreement] In accordance with the provisions of the Detailed Rules for the Implementation of the Patent Law, an entity which is granted a patent right may reach an agreement with the inventor or designer with regard to the award and remuneration for a service invention-creation. If an agreement is reached, they shall determine the corresponding award and remuneration for the service invention-creation based on their agreement; and if there is no agreement, they shall determine the award and remuneration corresponding to the service invention-creation based on the standards prescribed in the Detailed Rules for the Implementation of the Patent Law. | | 第二条 【约定优先】根据专利法实施细则的规定，被授予专利权的单位可以就职务发明创造奖励与报酬同发明人、设计人进行约定。有约定的，应当依其约定确定职务发明创造相应的奖励与报酬；没有约定的，依据专利法实施细则规定的标准确定职务发明创造相应的奖励与报酬。 |
| Article 3 [Form of agreement] In accordance with the provisions of the Detailed Rules for the Implementation of the Patent Law, the standard of award and remuneration for a service invention-creation may be agreed upon by the entity and inventor or designer through consultation, or may be stipulated in the bylaws formulated by the entity in accordance with law. | | 第三条 【约定的形式】根据专利法实施细则的规定，职务发明创造奖励与报酬标准可以通过单位与发明人、设计人协商约定，也可以在单位依法制定的规章制度中规定。 |
| Article 4 [Contents of agreement] In accordance with the provisions of the Detailed Rules for the Implementation of the Patent Law, an entity which is granted a patent right may reach an agreement with the inventor or designer of a service invention-creation with regard to the form and amount of award and remuneration for the service invention-creation. They may agree on not only the amount of award and remuneration, but also the form of award and remuneration. | | 第四条 【约定的内容】根据专利法实施细则的规定，被授予专利权的单位可与职务发明创造发明人、设计人就职务发明创造奖励与报酬的方式和数额进行约定。可以约定的不限于奖励、报酬的数额，也包括奖励、报酬的方式。 |
| Under the principle of giving priority to agreement, award and remuneration may be paid in multiple forms such as giving stocks and options, promoting position, raising wages, and offering paid leave, in addition to the monetary form, as long as the reasonableness principle prescribed by the Patent Law can be satisfied. | | 按照约定优先原则，奖励报酬的形式可以是多种多样的，除了采取货币形式之外，还可以采取诸如股票、期权、提高职位、提升工资、带薪休假等形式，只要能达到专利法规定的合理的原则要求即可。 |
| If it is agreed that award and remuneration shall be paid in the monetary form, the prescribed amount may be higher or lower than the statutory standard, and an entity may independently determine corresponding specific standards based on its industrial features, production, research and development, and the requirements for the strategic development of intellectual property rights. In the actual implementation of the provisions on awards and remunerations for service invention-creations, some enterprises implement the aforesaid provisions in the form of offering the patent application award, patent grant award, and paying remuneration after patent exploitation; and some enterprises offer a lump-sum compensation for award and remuneration, and determine the specific total amount of compensation based on the average value of invention in research and development fields, and for enterprises, the complicated computational process and higher computational cost may be avoided if such a form is adopted. All aforesaid forms may be permitted. | | 如果约定的奖酬仍采货币的形式，则约定数额既可以比法定标准高，也可以比法定标准低，单位可以自主地根据自身的行业特性、生产研发状况、知识产权战略发展需求制定相应的具体标准。在职务发明创造奖酬规定的实际执行过程中，有的企业采用如专利申请奖、专利授权奖、专利实施后的报酬等方式执行；也有的企业对奖励报酬采取一次性补偿方式，补偿的具体总额按照研发领域的平均发明价值确定，该种方式对于企业而言，可以避免复杂的计算过程、较高的计算成本。这些均是应该被允许的。 |
| Article 5 [Legality examination of agreed forms] Where the award and remuneration for a service invention-creation is agreed upon by the entity and inventor through consultation, it shall be judged whether the agreement is valid or not, and whether it falls under any circumstance under which it shall be invalid, or may be revoked or modified in accordance with the provisions of the Contract Law and the Labor Contract Law. | | 第五条 【约定形式的合法性审查】职务发明创造奖励与报酬为单位与发明人之间协商约定的，应按《合同法》、《劳动合同法》之规定，判断该约定是否生效，以及是否具有无效或可撤销、可变更之情形。 |
| If the award and remuneration for a service invention-creation are stipulated in the bylaws formulated in accordance with law, the legality of the procedures for formulating the bylaws shall be mainly examined. | | 依法制定的规章制度中规定职务发明创造奖励与报酬的，则主要审查该规章制度制定的程序合法性。 |
| If an agreement is reached between the entity and inventor through consultation, it shall be judged whether the agreement is valid or not and whether it falls under any circumstance under which it shall be invalid, or may be revoked or modified in accordance with the provisions of the Contract Law and the Labor Contract Law. In judging whether the agreement is valid or not, consideration shall be mainly given on whether the subjects have corresponding capacity for civil rights and capacity for civil conduct, whether the agreed contents are specific or not, and whether any compulsory provision of laws and administrative regulations is violated. The agreement may be revoked or modified if it is concluded due to major misunderstanding, is obviously unfair, or is concluded against the will of one party under the circumstance that one party employs the means of deception or coercion or takes advantage of the other party's difficulties. | | 如属单位与发明人之间协商约定，应按《合同法》、《劳动合同法》之规定，判断该约定是否生效，以及是否具有无效或可撤销、可变更之情形。在约定是否生效判断上，主要考虑主体是否具有相应的民事权利能力和民事行为能力，约定内容是否具体明确，是否违反了法律、行政法规的强制性规定。而可撤销、可变更则主要涉及是否因重大误解而订立，是否属于显失公平，或是一方以欺诈、胁迫的手段或者乘人之危，使对方在违背真实意思的情况下订立。 |
| If the award and remuneration for a service invention-creation are stipulated in the bylaws formulated in accordance with law, the legality of the procedures for formulating the bylaws shall be mainly examined, and the examination shall be conducted mainly based on relevant clauses of the Company Law and the Labor Contract Law. | | 如属依法制定的规章制度中规定，则主要审查该规章制度制定的程序合法性。主要依据所涉《公司法》和《劳动合同法》中的相关条款进行审查。 |
| Article 6 [Reasonableness examination of agreed contents] Under normal circumstances, the agreement of an enterprise on the standards of awards and remunerations for service invention-creations based on its nature, such as industrial research and development features, objective of filing the patent application, patent exploitation features and other factors shall be presumed to be reasonable. | | 第六条 【约定内容合理性审查】通常情况下，企业根据自身性质，如行业研发特性、专利申请目的、专利实施特性等因素对职务发明奖励与报酬标准进行的约定应推定是合理的。 |
| ．．．．．． | | ．．．．．． |
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