Measures for the Record Filing of Patent Licensing Contracts
专利实施许可合同备案办法
Parties shall carry out record filing procedures within three months from the date on which their patent licensing contract entered into effect.
(Promulgated by the State Intellectual Property Office on June 27 2011 and effective as of August 1 2011.)
(国家知识产权局于二零一一年六月二十七日公布，自二零一一年八月一日起施行。)
Order of Sipo No.62
国家知识产权局令62号
Article 1: These Measures have been formulated pursuant to the PRC Patent Law, the PRC Contract Law and related laws and regulations in order to duly protect patent rights, regulate patent licensing and promote the application of patents.
第一条 为了切实保护专利权，规范专利实施许可行为，促进专利权的运用，根据《中华人民共和国专利法》、《中华人民共和国合同法》和相关法律法规，制定本办法。
Article 2: The State Intellectual Property Office is responsible for the work associated with the record filing of patent licensing contracts nationwide.
第二条 国家知识产权局负责全国专利实施许可合同的备案工作。
Article 3: The licensor under a patent licensing contract shall be a lawful patent holder or other rights holder.
第三条 专利实施许可的许可人应当是合法的专利权人或者其他权利人。
If a patent licensing contract is to be concluded for a co-owned patent, the consent of the other co-owners shall be secured, unless otherwise agreed by all of the co-owners or specified in the PRC China Patent Law.
以共有的专利权订立专利实施许可合同的，除全体共有人另有约定或者《中华人民共和国专利法》另有规定的外，应当取得其他共有人的同意。
Article 4: A patent licensing contract for which record filing is applied shall be made in writing.
第四条 申请备案的专利实施许可合同应当以书面形式订立。
When concluding a patent licensing contract, the uniform model contract formulated by the State Intellectual Property Office may be used. If another contract text is used, it shall satisfy the provisions of the PRC Contract Law.
订立专利实施许可合同可以使用国家知识产权局统一制订的合同范本；采用其他合同文本的，应当符合《中华人民共和国合同法》的规定。
Article 5: Parties shall carry out record filing procedures within three months from the date on which their patent licensing contract entered into effect.
第五条 当事人应当自专利实施许可合同生效之日起3个月内办理备案手续。
Article 6: If a foreign national, foreign enterprise or other foreign organisation that does not have a permanent residence or business establishment in China is to carry out record filing-related procedures, it shall appoint a lawfully established patent agency to do so on his/her/its behalf.
第六条 在中国没有经常居所或者营业所的外国人、外国企业或者外国其他组织办理备案相关手续的，应当委托依法设立的专利代理机构办理。
When carrying out record filing-related procedures, a Chinese entity or individual may appoint a lawfully established patent agency to do so on its/his/her behalf.
中国单位或者个人办理备案相关手续的，可以委托依法设立的专利代理机构办理。
Article 7: A party may carry out record filing-related procedures for a patent licensing contract by mail, by direct delivery or by other means as specified by the State Intellectual Property Office.
第七条 当事人可以通过邮寄、直接送交或者国家知识产权局规定的其他方式办理专利实施许可合同备案相关手续。
Article 8: When applying for record filing of a patent licensing contract, the following documents shall be submitted:
第八条 申请专利实施许可合同备案的，应当提交下列文件：
(1) an application form for the record filing of a patent licensing contract signed or stamped by the licensor or the patent agency appointed by him/her/it;
（一）许可人或者其委托的专利代理机构签字或者盖章的专利实施许可合同备案申请表；
(2) the patent licensing contract;
（二）专利实施许可合同；
(3) the proofs of identity of both parties;
（三）双方当事人的身份证明；
(4) if a patent agency has been appointed, the power of attorney indicating the authority of the agency; and
（四）委托专利代理机构的，注明委托权限的委托书；
(5) other materials that need to be provided.
（五）其他需要提供的材料。
Article 9: The patent licensing contract submitted by the parties shall include:
第九条 当事人提交的专利实施许可合同应当包括以下内容：
(1) the names and addresses of the parties;
（一）当事人的姓名或者名称、地址；
(2) the number of patents and the name, patent number, filing date and grant gazette date of each patent; and
（二）专利权项数以及每项专利权的名称、专利号、申请日、授权公告日；
(3) the type and term of the licence.
（三）实施许可的种类和期限。
Article 10: With the exception of the proof of identity, all of the other documents submitted by the parties shall be in Chinese. If a proof of identity is in a foreign language, it shall be accompanied by a Chinese translation thereof. If no such translation is included, the proof of identity shall be deemed as not having been submitted.
第十条 除身份证明外，当事人提交的其他各种文件应当使用中文。身份证明是外文的，当事人应当附送中文译文；未附送的，视为未提交。
Article 11: The State Intellectual Property Office shall conduct an examination and render its decision on whether to grant record filing within seven working days from the date of receipt of the record filing application.
第十一条 国家知识产权局自收到备案申请之日起7个工作日内进行审查并决定是否予以备案。
Article 12: Once a record filing application has passed the examination, the State Intellectual Property Office shall issue a Proof of Record Filing of a Patent Licensing Contract to the parties.
第十二条 备案申请经审查合格的，国家知识产权局应当向当事人出具《专利实施许可合同备案证明》。
Record filing shall be withheld and a Notice of Withholding of Record Filing of a Patent Licensing Contract issued to the parties if any of the following circumstances applies to the record filing application:
备案申请有下列情形之一的，不予备案，并向当事人发送《专利实施许可合同不予备案通知书》：
(1) the patent has terminated or been declared invalid;
（一）专利权已经终止或者被宣告无效的；
(2) the licensor is not the patent holder or another rights holder with the right to grant a licence as recorded in the patent registry;
（二）许可人不是专利登记簿记载的专利权人或者有权授予许可的其他权利人的；
(3) the patent licensing contract does not satisfy the provisions of Article 9 hereof;
（三）专利实施许可合同不符合本办法第九条规定的；
(4) the term of the licence exceeds the term of validity of the patent;
（四）实施许可的期限超过专利权有效期的；
(5) a co-holder of a patent concluded the patent licensing contract in violation of the law or in breach of an agreement;
（五）共有专利权人违反法律规定或者约定订立专利实施许可合同的；
(6) payment of the annual fee for the patent is in arrears;
（六）专利权处于年费缴纳滞纳期的；
(7) the relevant procedure for the patent has been suspended due to a dispute over the vesting of the patent rights or a people's court ruling to take preservation measures in respect of the patent;
（七）因专利权的归属发生纠纷或者人民法院裁定对专利权采取保全措施，专利权的有关程序被中止的；
(8) more than one application for record filing is made in respect of the same patent licensing contract;
（八）同一专利实施许可合同重复申请备案的；
(9) a pledge has been created over the patent, unless the pledgee has given its consent;
（九）专利权被质押的，但经质权人同意的除外；
(10) there is a conflict with a patent licensing contract that has already been placed on the record; or
（十）与已经备案的专利实施许可合同冲突的；
(11) another circumstance under which record filing should be withheld exists.
（十一）其他不应当予以备案的情形。
Article 13: If the State Intellectual Property Office discovers after the record filing of a patent licensing contract that any of the circumstances set forth in the second paragraph of Article 12 hereof applies to the record filing application and the same has not been eliminated, it shall cancel the record filing of the patent licensing contract and issue to the parties a Notice of Cancellation of the Record Filing of a Patent Licensing Contract.
第十三条 专利实施许可合同备案后，国家知识产权局发现备案申请存在本办法第十二条第二款所列情形并且尚未消除的，应当撤销专利实施许可合同备案，并向当事人发出《撤销专利实施许可合同备案通知书》。
Article 14: The relevant particulars of a patent licensing contract that has been placed on the record shall be recorded in the patent registry by the State Intellectual Property Office and the following particulars shall be announced in the patent gazette: the names of the licensor and licencee, main classification number, patent number, filing date, grant gazette date, type and term of the licence and record filing date.
第十四条 专利实施许可合同备案的有关内容由国家知识产权局在专利登记簿上登记，并在专利公报上公告以下内容：许可人、被许可人、主分类号、专利号、申请日、授权公告日、实施许可的种类和期限、备案日期。
If, after its record filing, a patent licensing contract is amended, de-registered or cancelled, the State Intellectual Property Office will effect the appropriate registration and gazetting.
专利实施许可合同备案后变更、注销以及撤销的，国家知识产权局予以相应登记和公告。
Article 15: The State Intellectual Property Office has established a record filing database for patent licensing contracts. The public may consult it to determine the legal status of the record filing of patent licensing contracts.
第十五条 国家知识产权局建立专利实施许可合同备案数据库。公众可以查询专利实施许可合同备案的法律状态。
Article 16: If parties wish to extend the term of a licence, they shall carry out the procedures for amendment of the record filing with the State Intellectual Property Office on the strength of the amendment agreement, proof of record filing and other relevant documents within two months prior to the expiration of the original licence term.
第十六条 当事人延长实施许可的期限的，应当在原实施许可的期限届满前2个月内，持变更协议、备案证明和其他有关文件向国家知识产权局办理备案变更手续。
If other provisions of a patent licensing contract are to be amended, matters shall be handled with reference to the preceding paragraph.
变更专利实施许可合同其他内容的，参照前款规定办理。
Article 17: When the term of a licence expires or if a patent licensing contract is terminated early, the parties shall carry out record filing cancellation procedures with the State Intellectual Property Office on the strength of the proof of record filing, the termination agreement and other relevant documents within 30 days after the expiration of the term or conclusion of the termination agreement.
第十七条 实施许可的期限届满或者提前解除专利实施许可合同的，当事人应当在期限届满或者订立解除协议后30日内持备案证明、解除协议和其他有关文件向国家知识产权局办理备案注销手续。
Article 18: If a patent that is the subject matter of a patent licensing contract that has been placed on the record is declared invalid or terminates prior to the expiration of the term, the parties shall carry out record filing cancellation procedures in a timely manner.
第十八条 经备案的专利实施许可合同涉及的专利权被宣告无效或者在期限届满前终止的，当事人应当及时办理备案注销手续。
Article 19: The type or term of a patent licensing contract that has been placed on the record, the royalty calculation method or amount, etc. may serve as reference when a department responsible for the administration of patent work mediates the measure of damages for infringement.
第十九条 经备案的专利实施许可合同的种类、期限、许可使用费计算方法或者数额等，可以作为管理专利工作的部门对侵权赔偿数额进行调解的参照。
Article 20: When parties apply for the record filing of a patent-application licensing contract, matters shall be handled with reference to these Measures.
第二十条 当事人以专利申请实施许可合同申请备案的，参照本办法执行。
When an application for record filing is made, record filing shall be withheld if the patent application is rejected, withdrawn or deemed withdrawn.
申请备案时，专利申请被驳回、撤回或者视为撤回的，不予备案。
Article 21: When the record filing of a patent application licensing contract is applied for and the application is approved and the patent granted, the parties shall make the appropriate amendments to the title of the patent application licensing contract and relevant provisions in a timely manner. If the patent application is rejected, withdrawn or deemed withdrawn, the parties shall carry out record filing cancellation procedures in a timely manner.
第二十一条 当事人以专利申请实施许可合同申请备案的，专利申请被批准授予专利权后，当事人应当及时将专利申请实施许可合同名称及有关条款作相应变更；专利申请被驳回、撤回或者视为撤回的，当事人应当及时办理备案注销手续。
Article 22: These Measures shall be effective as of August 1 2011. The Measures for the Administration of the Record Filing of Patent Licensing Contracts issued with Order No.18 of the State Intellectual Property Office on December 17 2001 shall be repealed simultaneously.
clp reference:5100/11.06.27prc reference:国家知识产权局令[2011] 62号promulgated:2011-06-27effective:2011-08-01第二十二条 本办法自2011年8月1日起施行。2001年12月17日国家知识产权局令第十八号发布的《专利实施许可合同备案管理办法》同时废止。
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