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Announcement of the Supreme People's Court
The “Interpretation of the Supreme People's Court concerning Some Issues on Application of Law for the Trial of Cases on Disputes over Technology Contracts”, which was adopted at 1335th meeting of the Judicial Committee of the Supreme People's Court on November 30, 2004, is hereby promulgated, and shall come into force on January 1, 2005.
December 16, 2004
Interpretation of the Supreme People's Court concerning Some Issues on Application of Law for the Trial of Cases on Disputes over Technology Contracts
(Interpretation No. 20 [2004] of the Supreme People's Court Adopted at 1335th meeting of the Judicial Committee of the Supreme People's Court on November 30, 2004)
The following Interpretation regarding relevant issues is hereby given in accordance with the relevant provisions in the Contract Law of the People's Republic of China, the Patent Law of the People's Republic of China, the Civil Litigation Law of the People's Republic of China and other laws, as well as in combination with the judicial trial practices so as to correctly try the cases on disputes over technology contracts.
I.eneral Provisions
| | 最高人民法院公告
《最高人民法院关于审理技术合同纠纷案件适用法律若干问题的解释》已于2004年11月30日由最高人民法院审判委员会第1335次会议通过，现予公布，自2005年1月1日起施行。
二00四年十二月十六日
最高人民法院关于审理技术合同纠纷案件适用法律若干问题的解释
（2004年11月30日最高人民法院审判委员会第1335次会议通过 法释[2004]20号）
为了正确审理技术合同纠纷案件，根据《中华人民共和国合同法》、《中华人民共和国专利法》和《中华人民共和国民事诉讼法》等法律的有关规定，结合审判实践，现就有关问题作出以下解释。
一、一般规定
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Article 1 Technological achievements shall mean the technological plans involving product, process, material and the improvements, etc. thereof, which are made with utilization of scientific and technological knowledge, information and experiences, including patents, patent applications, technical secrets, computer software, integrated circuit layout designs, new varieties of plant, and so on.
Technical secret shall mean the technical information which is unknown by the public, has commercial value, and also is maintained confidential by the obligee concerning which the obligee has taken confidential measures.
| | 第一条 技术成果，是指利用科学技术知识、信息和经验作出的涉及产品、工艺、材料及其改进等的技术方案，包括专利、专利申请、技术秘密、计算机软件、集成电路布图设计、植物新品种等。
技术秘密，是指不为公众所知悉、具有商业价值并经权利人采取保密措施的技术信息。
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Article 2 “Executing work tasks of the legal person or other organization” mentioned in Paragraph 2 of Article 326 of the Contract Law shall include:
| | 第二条 合同法第三百二十六条第二款所称“执行法人或者其他组织的工作任务”，包括：
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(1) Implementing his post duties of the legal person or other organization or undertaking other technology development tasks consigned by the legal person or other organization;
| | （一）履行法人或者其他组织的岗位职责或者承担其交付的其他技术开发任务；
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(2) Within one year after his leaving the post, continuing engaging in the technology development related to his post duties of the former legal person or other organization, or related to the tasks consigned by it, unless otherwise prescribed in laws or administrative regulations.
Where there are stipulations between the legal person or other organization and its employee on the rights and interests of the technological achievements accomplished by such employee during his employment or after his leaving the post, the people's court shall make confirmation on the basis of such stipulations.
| | （二）离职后一年内继续从事与其原所在法人或者其他组织的岗位职责或者交付的任务有关的技术开发工作，但法律、行政法规另有规定的除外。
法人或者其他组织与其职工就职工在职期间或者离职以后所完成的技术成果的权益有约定的，人民法院应当依约定确认。
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Article 3 “Material and technical conditions” mentioned in Paragraph 2 of Article 326 of the Contract Law shall include funds, equipment, apparatus, raw materials and unpublicized technical information and data, etc.
| | 第三条 合同法第三百二十六条第二款所称“物质技术条件”，包括资金、设备、器材、原材料、未公开的技术信息和资料等。
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Article 4 “Mainly utilizing the material and technical conditions of a legal person or other organization” mentioned in Paragraph 2 of Article 326 of the Contract Law shall include the employee's utilizing the whole or major part of funds, equipment, apparatus, raw materials or other material conditions of a legal person or other organization in the process of research and development of the technological achievement, and such material conditions have essential effects on the forming of the said technological achievement; it shall also include the circumstances under which the essential contents of the technological achievement are completed on the basis of the technological achievement of either the whole process or a certain stage which has not been publicized by the legal person or other organization, with the exceptions of the following circumstances:
| | 第四条 合同法第三百二十六条第二款所称“主要利用法人或者其他组织的物质技术条件”，包括职工在技术成果的研究开发过程中，全部或者大部分利用了法人或者其他组织的资金、设备、器材或者原材料等物质条件，并且这些物质条件对形成该技术成果具有实质性的影响；还包括该技术成果实质性内容是在法人或者其他组织尚未公开的技术成果、阶段性技术成果基础上完成的情形。但下列情况除外：
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(1) With respect to the utilization of the material and technical conditions provided by the legal person or other organization, it is stipulated that the funds should be refunded or the royalties should be paid; and
| | （一）对利用法人或者其他组织提供的物质技术条件，约定返还资金或者交纳使用费的；
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(2) After the technological achievement is accomplished, the technological plan is verified or tested with utilization of the material and technical conditions of the legal person or other organization.
| | （二）在技术成果完成后利用法人或者其他组织的物质技术条件对技术方案进行验证、测试的。
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Article 5 Where a technological achievement accomplished by an individual in executing his work tasks of the former legal person or other organization where he worked but by mainly utilizing the material and technical conditions of the legal person or other organization where he presently works, the rights and interests shall be confirmed pursuant to the agreement reached between the said former legal person or other organization where the natural person worked and the one where he presently works. In case no agreement can be reached, the rights and interests shall be reasonably shared by both parties on the basis of their contributions to this accomplished technological achievement.
| | 第五条 个人完成的技术成果，属于执行原所在法人或者其他组织的工作任务，又主要利用了现所在法人或者其他组织的物质技术条件的，应当按照该自然人原所在和现所在法人或者其他组织达成的协议确认权益。不能达成协议的，根据对完成该项技术成果的贡献大小由双方合理分享。
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Article 6 “Individuals” who accomplish a technological achievement, as mentioned in Articles 326 and 327 of the Contract Law, shall include the persons who independently or jointly make creative contributions to the technological achievement, that is, the inventors or designers of the technological achievement. The people's court shall, when ascertaining the creative contributions, decompose the composition of the essential technology involved in the technological achievement. The person who proposes the composition of the essential technology and therefore achieves the technological plan shall be the person who makes creative contributions.
The persons, who provide funds, equipment, materials, conditions for experiments, carry out organizational management, assist in making drawings, clearing up documents and translating literatures, shall not be the individuals who accomplish the technological achievement.
| | 第六条 合同法第三百二十六条、第三百二十七条所称完成技术成果的“个人”，包括对技术成果单独或者共同作出创造性贡献的人，也即技术成果的发明人或者设计人。人民法院在对创造性贡献进行认定时，应当分解所涉及技术成果的实质性技术构成。提出实质性技术构成并由此实现技术方案的人，是作出创造性贡献的人。
提供资金、设备、材料、试验条件，进行组织管理，协助绘制图纸、整理资料、翻译文献等人员，不属于完成技术成果的个人。
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Article 7 A technology contract concluded by a scientific research organization having no status as a civil subject shall, if it is authorized or ratified by the legal person or other organization, be deemed as a contract concluded by the legal person or other organization, who shall bear the liabilities; or if the said technology contract is not authorized or ratified by the legal person or other organization, the members of this scientific research organization shall jointly bear the liabilities, however, the legal person or other organization shall bear the liabilities accordingly within the scope of the benefits, if any, which it gains from the contract.
Scientific research organization having no status as a civil subject, which is mentioned in the preceding paragraph, shall include the research topic group or work room, etc. established by a legal person or other organization to engage in such activities as technological research, development and transfer, etc.
| | 第七条 不具有民事主体资格的科研组织订立的技术合同，经法人或者其他组织授权或者认可的，视为法人或者其他组织订立的合同，由法人或者其他组织承担责任；未经法人或者其他组织授权或者认可的，由该科研组织成员共同承担责任，但法人或者其他组织因该合同受益的，应当在其受益范围内承担相应责任。
前款所称不具有民事主体资格的科研组织，包括法人或者其他组织设立的从事技术研究开发、转让等活动的课题组、工作室等。
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Article 8 Where the production of products or provision of services subject to lawful approval or administrative license by the relevant department is not so approved or licensed, the effectiveness of the relevant technology contract concluded between the parties shall not be affected.
Where there are no stipulations between the parties on the obligation of applying for the approval or license mentioned in the preceding paragraph, or if such stipulations are not clear, the people's court shall rule that the party exploiting the technology shall bear such obligation, unless otherwise prescribed by laws or administrative regulations.
| | 第八条 生产产品或者提供服务依法须经有关部门审批或者取得行政许可，而未经审批或者许可的，不影响当事人订立的相关技术合同的效力。
当事人对办理前款所称审批或者许可的义务没有约定或者约定不明确的，人民法院应当判令由实施技术的一方负责办理，但法律、行政法规另有规定的除外。
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Article 9 Where one party concludes a commissioned development contract with others by fraudulent means and have others deem his existing technological achievement as the subject matter of research and development, and charges the research and development fee, or successively concludes separate commissioned development contracts with two or more entrusting parties by fraudulent means regarding the same research and development topic, and charges research and development fees repeatedly, the people's court shall support the aggrieved party's claim, if any, for modification or revocation of the contract under Paragraph 2 of Article 54 of the Contract Law.
| | 第九条 当事人一方采取欺诈手段，就其现有技术成果作为研究开发标的与他人订立委托开发合同收取研究开发费用，或者就同一研究开发课题先后与两个或者两个以上的委托人分别订立委托开发合同重复收取研究开发费用的，受损害方依照合同法第五十四条第二款规定请求变更或者撤销合同的，人民法院应当予以支持。
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Article 10 The following circumstances shall belong to “illegally monopolizing technology and impairing technological progress” mentioned in Article 329 of the Contract Law:
| | 第十条 下列情形，属于合同法第三百二十九条所称的“非法垄断技术、妨碍技术进步”：
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(1) Restricting one party from making new research and development on the basis of the contractual subject technology, or restricting this party from using the improved technology, or the conditions for both parties to exchange the improved technologies with each other being not reciprocal, including such circumstances as requiring one party to gratuitously provide the other party with the improved technology, to transfer the improved technology to the other party non-reciprocally, to gratuitously and solely occupy, or jointly own the intellectual property of the improved technology;
| | （一）限制当事人一方在合同标的技术基础上进行新的研究开发或者限制其使用所改进的技术，或者双方交换改进技术的条件不对等，包括要求一方将其自行改进的技术无偿提供给对方、非互惠性转让给对方、无偿独占或者共享该改进技术的知识产权；
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(2) Restricting one party from obtaining, from other origins, the technology similar to or competitive against that of the technology provider;
| | （二）限制当事人一方从其他来源获得与技术提供方类似技术或者与其竞争的技术；
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(3) Impeding one party's sufficient exploitation of the contractual subject technology in a reasonable way pursuant to the market demands, including unreasonably restricting the quantity, varieties, price, sales channel or export market of the contractual subject technology exploited by technology accepter in an obvious way to produce products or to provide services;
| | （三）阻碍当事人一方根据市场需求，按照合理方式充分实施合同标的技术，包括明显不合理地限制技术接受方实施合同标的技术生产产品或者提供服务的数量、品种、价格、销售渠道和出口市场；
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(4) Requiring the technology accepter to accept attached conditions dispensable for exploiting the technology, including purchasing dispensable technologies, raw materials, products, equipment, services or accepting dispensable persons, etc.;
| | （四）要求技术接受方接受并非实施技术必不可少的附带条件，包括购买非必需的技术、原材料、产品、设备、服务以及接收非必需的人员等；
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(5) Unreasonably restricting the channels or origins for the technology accepter to purchase raw materials, parts and components, products or equipment, etc.; and
| | （五）不合理地限制技术接受方购买原材料、零部件、产品或者设备等的渠道或者来源；
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(6) Prohibiting the technology accepter from making objections to the effectiveness of the intellectual property of the contractual subject technology, or attaching conditions to the objections made.
| | （六）禁止技术接受方对合同标的技术知识产权的有效性提出异议或者对提出异议附加条件。
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Article 11 If, after a technology contract is invalidated or revoked, the researcher and developer under the technology development contract, the transferor under the technology transfer contract, or the entrusted party under the technical consulting contract or technical service contract has implemented or partially implemented the stipulated obligations, and the fault of causing invalidity or revocation of the contract lies in the other party, the people's court may ascertain the research and development fees ought to be charged for the implemented obligations, the technology royalties, or the remuneration from provision of consulting services as the losses caused by the other party from invalidity or revocation of the contract.
If, after a technology contract is invalidated or revoked, the parties are unable to re-determine through agreement the new technological achievement accomplished due to implementation of the contract, or the belongingness of rights and sharing of benefits of the technological achievement based upon the follow-up improvements of the technological achievements accomplished by others, the people's court may rule that the technological achievement shall be owned by the accomplishing party.
| | 第十一条 技术合同无效或者被撤销后，技术开发合同研究开发人、技术转让合同让与人、技术咨询合同和技术服务合同的受托人已经履行或者部分履行了约定的义务，并且造成合同无效或者被撤销的过错在对方的，对其已履行部分应当收取的研究开发经费、技术使用费、提供咨询服务的报酬，人民法院可以认定为因对方原因导致合同无效或者被撤销给其造成的损失。
技术合同无效或者被撤销后，因履行合同所完成新的技术成果或者在他人技术成果基础上完成后续改进技术成果的权利归属和利益分享，当事人不能重新协议确定的，人民法院可以判决由完成技术成果的一方享有。
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Article 12 In accordance with Article 329 of the Contract Law, after a technology contract infringing upon other's technical secret is confirmed as invalid, the party who obtained the technical secret in good faith may, unless otherwise prescribed by laws or administrative regulations, continue using this technical secret within the same scope as that when he obtained it, provided that he shall pay the obligee reasonable royalties and bear confidential obligations.
Where both parties maliciously collude with each other to conclude or implement a contract, or one party who knows or ought to know the other party's infringement concludes a contract with such other party or implements the contract, such conclusion or implementation of the contract shall be joint infringement, and the people's court shall rule that the tortfeasors shall bear joint indemnity liabilities or confidential obligations, therefore the party who has obtained the technical secret may not continue using this technical secret.
| | 第十二条 根据合同法第三百二十九条的规定，侵害他人技术秘密的技术合同被确认无效后，除法律、行政法规另有规定的以外，善意取得该技术秘密的一方当事人可以在其取得时的范围内继续使用该技术秘密，但应当向权利人支付合理的使用费并承担保密义务。
当事人双方恶意串通或者一方知道或者应当知道另一方侵权仍与其订立或者履行合同的，属于共同侵权，人民法院应当判令侵权人承担连带赔偿责任和保密义务，因此取得技术秘密的当事人不得继续使用该技术秘密。
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Article 13 Where a person who may continue using a technical secret in accordance with Paragraph 1 of the preceding article is in dispute with the obligee over the payment of royalties, either party may require the people's court for settlement. If the user continues using the technical secret but refuses to pay the royalties, the people's court may, upon the obligee's request, rule that the user cease using it.
The people's court may determine the royalties in a reasonable way on the basis of the royalties for the obligee to usually license this technical secret, or the royalties paid by the user to obtain the technical secret, as well as by taking into consideration such factors as the research and development cost of this technical secret, the extent of conversion and application of the achievement, the user's scale of use and his economic benefits, etc.
No matter whether the user continues using the technical secret or not, the people's court shall rule that he shall pay the obligee royalties for the period when he has used the technical secret. The royalties which have been paid by the user to the transferor under the invalid contract shall be refunded by the transferor.
| | 第十三条 依照前条第一款规定可以继续使用技术秘密的人与权利人就使用费支付发生纠纷的，当事人任何一方都可以请求人民法院予以处理。继续使用技术秘密但又拒不支付使用费的，人民法院可以根据权利人的请求判令使用人停止使用。
人民法院在确定使用费时，可以根据权利人通常对外许可该技术秘密的使用费或者使用人取得该技术秘密所支付的使用费，并考虑该技术秘密的研究开发成本、成果转化和应用程度以及使用人的使用规模、经济效益等因素合理确定。
不论使用人是否继续使用技术秘密，人民法院均应当判令其向权利人支付已使用期间的使用费。使用人已向无效合同的让与人支付的使用费应当由让与人负责返还。
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Article 14 Where there are no stipulations between the parties concerning the price, remuneration and royalties under the technology contract, or such stipulations are unclear, the people's court may deal with the matter in compliance with the following principles:
| | 第十四条 对技术合同的价款、报酬和使用费，当事人没有约定或者约定不明确的，人民法院可以按照以下原则处理：
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(1) For technology development contracts and technology transfer contracts, they shall be reasonably determined on the basis of the research and development costs, advancement, extent of conversion or application of the relevant technological achievements, the rights and interests to be enjoyed and the liabilities to be borne by the parties, as well as the economic benefits of the technological achievements, and so on;
．．．．．． | | （一）对于技术开发合同和技术转让合同，根据有关技术成果的研究开发成本、先进性、实施转化和应用的程度，当事人享有的权益和承担的责任，以及技术成果的经济效益等合理确定；
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