中国科学院院属单位国际科技合作协议范本.doc

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1、中国科学院院属单位国际科技合作协议范本印发单位：中国科学院印发版本：v1.0印发时间：2013- - 目 录院属单位国际科技合作协议类型识别- 3 -范本一：保密协议（单向）- 3 -范本二：保密协议（双向）- 3 -范本三：合作协议（与大学或科研机构）- 3 -范本四：与企业合作协议- 3 -范本五：专利实施许可协议- 3 -范本六：专利转让协议- 3 -院属单位国际科技合作协议类型识别随着我院各院属单位研究实力的增强，国际交流和合作的广度及深度的不断拓展和加深，知识产权已经成为科研院所开展对外交流和合作中不可逾越的问题，甚至在某些领域已经成为是否开展科技合作活动的障碍。通过对我院国际科技合

2、作的调研以及海外关联调查的分析发现，在与发达国际的科技合作中，知识产权在国际合作中发挥着权益保障和利益分配的基础作用。知识产权条款不仅是整个合作协议最核心的实质性内容，且篇幅所占的比例非常高。部分发达国家的合作方凭借自己对知识产权制度的熟悉和灵活运用的能力，在合作协议中设置了部分对己方有利而使我方被动甚至明显损害我国国家权益的知识产权条款。因此，提高院属单位在国际合作中的知识产权管理能力、谈判和签约能力、知识产权获取能力以及协议执行能力显得十分紧迫。国际科技合作的类型比较多，通常有合作研究、委托开发、技术许可转让、国际会议交流、互访、邀请国外学者讲学和研究等多种形式，其中国际合作研究和技术许可

3、转让因为涉及知识产权的权属和利用等若干问题，是国际科技合作中特别需要重视的合作类型。为此，在提示增强国际科技合作中整体知识产权工作指导意见的基础上，对国际科技合作中最常见、最重要协议类型进行了研究，推出了我院目前开展国际科技合作急切需要的四类协议六个范本。具体包括：保密协议（含单向和双向保密协议）、合作协议（区别合作对象是科研单位或大学还是企业）、知识产权许可和转让协议。四类协议在知识产权的全过程管理中分别处于研究前、研究中和研究后，具有较明显的阶段性特点。院属单位在使用协议范本时，首先需要明确签约阶段，对协议类型进行识别，然后选择不同的协议范本作为签约的指导，院属单位机构在签署协议时也可结合

4、自身情况灵活变通使用。六个范本采用中英文对照格式完成，范本以知识产权条款为主兼顾协议的完整性。范本具体条款又分为共同条款，必要条款和选择性条款。为了便于院属单位使用范本，在每一个范本后附有使用说明，重点分析条款背后隐含的内容，条款可选择性的理由，特别对底线条款进行了详细的说明。使用说明包括范本的必要性和适用范围、范本使用的总体说明以及范本所及具体条款的说明三大部分。为了便于院属单位对协议类型的识别，如下对四类协议的性质予以简要说明。一、保密协议本范本所指的保密协议适用于院属单位与国外签约者之间，为确保谈判前、谈判过程中以及谈判后资料互换的保密及由此带来的其他后续保密义务的承担而签订的协议。根据

5、保密信息的披露是单方义务还是双方义务的不同，可以把保密协议分为单向保密协议与双向保密协议，院属单位需要根据谈判的阶段和谈判地位选择适用。保密协议的形式既可以表现为单独的保密协议，也可以在协议中以一个或几个保密条款的形式出现。二、合作协议根据合作对象的属性不同，合作协议的内容特别是知识产权的归属和利用有较大的区别。为此，合作协议分为两个范本：一是院属单位与某外国企业签订的联合研究合作协议（简称“与企业的合作协议”）；另一个是院属单位与外国科研机构或大学的合作协议（简称“与研究机构或大学合作协议”）。两个协议的内容有一定的重叠，但在关联企业、知识产权权利归属、背景知识产权和项目知识产权的使用、发表

6、权以及知识产权商业化利用等条款的规定存在明显的差异，提示院属单位使用范本起草协议和谈判过程中必须加以注意。三、专利实施许可协议专利实施许可协议主要适用于院属单位作为许可方与某国外企业之间进行的专利实施许可。许可协议生效后被许可人只享有协议约定范围内的实施权。许可协议不发生知识产权的权属转移，在实践中相对易于操作，所以使用频次比较高。专利实施许可通常包括普通实施许可、排他实施许可、独占实施许可三种主要情形，三种许可中双方的权利义务有很大的区别，院属单位在使用范本时要格外注意。需要特别说明的是，独占实施许可尽管许可方保留知识产权的所有权，但这种类型的许可中，许可方和任何被许可方以外的单位或个人都不

7、得实施该专利技术，被许可人实际上控制了该技术（专利），基于我院国家研究机构的性质，建议慎重使用独占许可方式。四、专利转让协议专利转让协议主要适用于院属单位作为转让方与某国外企业之间进行的专利转让行为。目前，基于我国科技发展的总体水平，我院国际合作中涉及专利对外转让的情形并不常见。但是，随着国际科技合作的发展以及院属单位对知识产权重视程度的加强，专利转让将会成为国际合作和技术贸易的重要形式。专利转让协议生效后将发生专利权属的转移，转让双方必须向专利行政管理机关进行专利的变更后才能发生专利权转移的效力。此外，绝大多数院属单位都属于国家财政支持的事业单位，院属单位专利转让必须严格执行国家财政资助项目

8、知识产权管理的规定，同时要遵循中华人民共和国技术进出口管理条例的规定。范本一：保密协议（单向）A研究所与XX国B研究所（或大学、企业）保密协议CONFIDENTIALITY AGREEMENT BETWEEN _INSTITUTE A AND _INSTITUTE B OF XX (OR UNIVERSITTCOMPANY)中国科学院A研究所（以下简称“披露方”）单位地址：中国XX省XX市XX区XX路XX号邮政编码：XXXXXXInstitute A of Chinese Academy of Sciences (hereinafter referred to as “the Disclosi

9、ng Party”)Address: No. xx, xx Street, xx District, xx City, xx Province, P.R. China. Postcode: XXXXX披露方法定代表人：披露方联系人： 电话： 传真： Email：Legal representative of Institute A: XXX Contact person of Institute A: XXX Phone No.: Fax: Email: XX国B研究所（或大学、企业）（以下简称“接受方”）单位地址：XX国XX市XX路XX号邮政编码：XXXXXInstitute B of xx

10、 (or university, company) (hereinafter referred to as “the Recipient”)Address: No. xx, xx Street, xx District, xx City, xx Province, xx. Postcode: XXXXX接受方法定代表人：接受方联系人： 电话： 传真： Email：Legal representative of Institute A: XXX Contact person of Institute A: XXX Phone No.: Fax: Email:鉴于披露方与接受方希望就XX项目合作研

11、发相关的商业机会进行谈判，在项目谈判和后续合作过程中，披露方需要向接受方披露己方的保密信息，或者需要提供含有保密信息的材料、物质或样品，为了保护协议双方的合法利益，经友好协商，双方就项目谈判和合作过程中有关保密信息的事项达成如下协议：WHEREAS the Parties desire to engage in general discussions in respect to the “Business Opportunity” of XX cooperative research project, the Disclosing Party needs to disclose confide

12、ntial information or provide materials, subjects or samples containing confidential information to the Recipient during Project negotiations and subsequent collaborations. For the purpose of protecting legal interests of both Parties, through negotiations in good faith, both Parties come to the Conf

13、identiality Agreement on Confidential Information in the course of project negotiation and collaboration as follows: 1. 定义与解释1. Definitions and Interpretations协议是指本协议中的所有条款与条件，以及双方对本协议所做的任何修改或补充。“Agreement” means all terms and conditions in this Agreement, and all modifications and supplements made

14、by both Parties to this Agreement.协议双方是指本协议中的披露方和接受方。除本协议另有约定外，协议一方指的是协议双方的任何一方。Parties means the Disclosing Party and the Recipient, and “Party” means either one of them unless the context requires otherwise.商业机会是指能为协议双方提供一系列商业投资或产生商业利润行为的统称。除协议双方另有规定，本协议的商业机会包括但不限于销售、许诺销售、出租产品、提供服务、设备等能够使得协议任何一方基于

15、本协议的保密信息或者发明、技术或项目等信息而获得的进行交易或经营活动的机会。“Business Opportunity” is the provision of a series of business investments or activities that would produce commercial profits by the Parties. Unless specified otherwise in this Agreement, the Business Opportunity involves any opportunities from which either Pa

16、rty would be able to undertake trading or operational activities based on the Confidential Information or information about inventions, techniques or projects set out in this Agreement, including but not limit to the sale, offering for sale, lease of any product, provision of services and equipment.

17、 知识产权是指一切版权作品或者其他作品（包括任何即将创作完成的作品）、专利发明、商标、商业秘密、外观设计、植物新品种、集成电路布图设计、科学发现等1967年建立世界知识产权组织公约和1994年世界贸易组织与贸易有关的知识产权协议所规定的任何形式的智力成果所享有的权利。“Intellectual Property” means any kinds of intellectual property as defined in the Convention establishing the World Intellectual Property Organization of July 1967 a

18、nd Agreement on Trade-Related Aspects of Intellectual Property Rights of 1994, including but not limit to any copyright work or other work (including any work or item created in the future), patentable invention, trademark, know-how, design, new plant variety, circuit layout, or scientific discovery

19、.保密信息是指不为公众所知悉的技术信息、经营信息或其他信息。“Confidential Information” means knowhow, business information and other information in whatever form which is not generally known by public.保密信息包括但不限于在会议或讨论中由披露方向接受方披露的任何与商业机会有关的书面和口头信息。任何口头披露的保密信息应当书面记录，作为保密信息交付与接受方。但是，下列信息不属于本协议所定义的保密信息：Confidential Information inclu

20、des but is not limited to any written and oral information disclosed at conferences or discussions by the Disclosing Party to the Recipient in respect to the Business Opportunity between the Parties. Any orally disclosed Confidential Information must be recorded in writing and delivered to the Recip

21、ient as Confidential Information. Nevertheless, Confidential Information shall not include information as follows: (a) 已经进入公有领域的；(a) that is already in the public domain,(b)除因该保密信息接受方未经授权的披露或接受方过错之外，在协议签订之后进入公有领域的；(b) which becomes part of the public domain after the execution date of this Agreement

22、, by ways other than unauthorized disclosure or fault by the Recipient; (c)合法拥有并有权披露该信息的第三方以非保密的方式向本协议保密信息的接受方披露了该信息，在此之后该信息不再构成本协议所称的保密信息；(c) that is, or becomes, available to the Recipient from a third Party lawfully in possession of that information and who has lawful power to disclose such infor

23、mation to the Recipient on a nonconfidential basis, after which, such informational no longer defined as Confidential Information on this Agreement, (d)接受方有证据证明在相关信息被披露以前已经通过正当途径获得，而非直接或间接从披露方处获得的；(d) that the Recipient has evidence to prove is rightfully known by the Recipient prior to disclosure a

24、nd is not obtained directly or indirectly from the Disclosing Party;(e)接受方独立于被披露的信息而独立开发的技术信息、经营信息或其他信息；(e)that is independently developed by the Recipient, such as knowhow, financial information and other information,(f)提供信息的一方明确表示该信息不属于保密义务范围之内的。(f) that is specifically excluded from the obligatio

25、ns of confidentiality by the Disclosing Party.2. 保密信息的标注2. Mark of Confidential Information为了便于协助接受方识别披露方的保密信息并履行保密义务，本协议披露方向接受方披露保密信息或提供含有保密信息的物质、材料或样品时，应该在该保密信息或该物质、材料、样品上标注“保密”或其他类似字样。In order to facilitate the identification of Confidential Information by the Recipient and its performance of the

26、 obligation of confidentiality, the Confidential Information or materials, substances or samples containing with Confidential Information provided by the Disclosing Party should be marked with “confidential” or similar words. 3. 保密和不使用义务3. Non-Disclosure and Non-Use Liability 3.1 保密信息接受方在接收披露方的保密信息后

27、，应该立即采取必要的保密措施，确保与本协议无关的或非必要人员不能接触到该保密信息。3.1 The Recipient shall immediately adopt necessary methods to maintain the Confidential Information of the other Party in confidence and to prevent any nonessential personnel from accessing such Confidential Information. 3.2 保密信息接受方在接收披露方的保密信息后，除了为评估商业机会之目的而

28、使用外，未经披露方书面同意，接受方不得为任何其他目的而使用或以任何形式公开该等保密信息，也不得以任何形式向任何第三方披露或允许任何第三方使用该等保密信息。接受方用于商业机会的目的而使用保密信息的，应该在确定使用之日起（）天内以书面形式向披露方备案。3.2 The Confidential Information can only be used for the purpose of evaluating the Business Opportunity between the two Parties after the Recipient receives such information f

29、rom the Disclosing Party, and the Recipient shall not use, publish or disclose in any form to any third Party or allow such Party to use Confidential Information received hereunder from the Disclosing Party to any person or entity without the prior written consent of the Disclosing Party. The Recipi

30、ent shall report to the Disclosing Party in writing for their record within days after it decides to use the Confidential Information for the purpose of Business Opportunity.3.3 对于所有保密信息，尤其是披露方提供的物质、材料或样品，未经披露方书面同意，接受方不得以直接或间接的方式对其进行任何形式的分析；获得披露方书面同意而进行的分析，亦需要按照本协议的目的或披露方事先书面同意的目的进行，或者双方通过另行签订材料转移协议

31、予以规定，并且对保密信息单独使用。3.3 With respect to all Confidential Information, particularly those substances, materials or samples supplied by the Disclosing Party, the Recipient agrees not to analyse or attempt to analyse, either directly or indirectly, without the prior written consent of the Disclosing Party

32、. The analysis with the written consent of the Disclosing Party shall also be proceeded for the intended purpose of this Agreement or other purpose agreed to, in advance and in writing, by the Disclosing Party and use, or the Parties shall execute a separate material transfer agreement, and the Reci

33、pient promise to use the Confidential Information separately. 3.4 本协议接受方不得借项目谈判或科技合作之机，以盗窃、利诱、胁迫或者其他不正当手段获取披露方的保密信息，或者披露、使用、允许他人使用以上述手段获取的权利人的保密信息。3.4 The Recipient shall not steal, induce, thread, or get the Confidential Information in improper ways of the Disclosing Party by means of negotiation o

34、r scientific cooperation. Disclosure, use or allowing a third Party to use the Confidential Information mentioned above is also forbidden by this Agreement. 4. 接受方对于保密信息的权利4. No Rights to Confidential Information在本协议项下之保密信息的提供并不赋予保密信息接受方以下权利或许可：（a）使用披露方的任何发明、商业秘密、专利、或其他知识产权；（b）实施任何与披露方保密信息有关的发明或专利。另

35、外，除非获得披露方明确的书面同意，接受方不得申请关于披露方的保密信息或与之有关的专利。本协议并不使双方负有签订进一步协议的义务。The furnishing of Confidential Information provided hereunder this Agreement shall not serve to grant or convey any right or license to the Recipient:(a) to use any invention, trade secret, patent, or other intellectual property of the

36、Disclosing Party or (b) to practice any invention or patents relating to the Confidential Information of the Disclosing Party. Further, nothing herein shall give the Recipient the right to file patent applications on or related to the Confidential Information of the Disclosing Party without the Disc

37、losing Partys express written consent. This Agreement shall not place either Party under any obligation to enter into any further agreement with the other Party.5. 保密信息的权属5. Ownership of Confidential Information5.1 披露方对其保密信息享有排他性所有权。5.1 All Confidential Information of the Disclosing Party shall rema

38、in the exclusive property of such Disclosing Party. 5.2任何基于本协议所涉及的保密信息而获得的发明、发现、外观设计或改进等智力成果，无论其是否具有可专利性，均由披露方享有相关权利。5.2 Any and all inventions, discoveries, designs and improvements, whether patentable or not, conceived and/or made as a result of the Confidential Information under this Agreement sh

39、all become the sole property of the Disclosing Party. 6. 保密信息的披露6. Disclosure of Confidential Information只有在获得披露方书面同意，以及由接受方员工以外的第三方个人或实体签署附件A中所示文件的情况下，保密信息接受方才可以将披露方的保密信息披露给该等第三方个人或实体。接受方同意，其应负责确保，基于本协议获知的保密信息的所有个人将对保密信息予以保密并且不会将保密信息披露给未经认可的任何个人或以任何未经认可的方式进行披露。接受方同时同意，其应负责确保基于本协议获知保密信息的个人根据本协议规定如期返

40、还或销毁该等保密信息。Disclosures of Confidential Information to persons or entities, other than employees of the Recipient, may be made by the Recipient only with the written consent of the Disclosing Party and upon signature of the form in Exhibit A by such third person or entity. The Recipient agrees that i

41、t shall be responsible for ensuring that all persons to whom Confidential Information is disclosed under this Agreement shall keep such information confidential and shall not disclose or divulge the same to any unauthorized person or in any unauthorized manner. The Recipient also agrees that it shal

42、l be responsible for ensuring that all persons to whom the Confidential Information is disclosed under this Agreement return such information to the Disclosing Party or destroy it in accordance with the terms of this Agreement. 7. 对谈判的保密7. Discussions are Confidential协议双方同意，不得将关于商业机会的谈判正在进行的事实，以及与可能

43、在计划或在着手进行的任何交易有关的条款、条件或其他情况等信息披露给第三方。The Parties agree not to disclose to any person either the fact that discussions regarding the Business Opportunity are taking place or any terms, conditions, or other facts to be involved.8. 保密信息的返还8. Return of Confidential Information.披露方有权随时要求接受方返还保密信息。在披露方提交书

44、面请求之日起30日内，商业秘密接受方应将披露方提供的包含保密信息的有形资料，以及接受方在披露方披露的保密信息的基础上产生的各项资料和附件返还给披露方，包括但不限于：所有机读或人工读取的文档、手册、电脑程序、笔记、原型、模型、样品、设备、复印件等。对于难以返还的保密信息，接受方应向披露方提交书面保证，保证立即销毁所有保密信息的载体。但是，接受方有权为了存档目的在法律文件中保存一份商业秘密的记录。The Disclosing Party has the right to require the Recipient to return Confidential Information at any

45、time. The Recipient will return to the Disclosing Party all tangible forms of Confidential Information provided by the Disclosing Party, including, but not limited to, all documentation, brochure, computer programs, notes, prototypes, models, samples, devices and copies thereof, both in machine read

46、able form and human readable form, within thirty (30) days of the Disclosing Partys written request. As to any Confidential Information for which return is not practical, the Recipient shall provide the Disclosing Party with written assurance that all such Confidential Information has been destroyed

47、. However, the Recipient shall be permitted to keep one record of the Confidential Information in its legal files for archival purposes only.9. 本协议对双方合作的效力9. No Business Obligations本协议并不使任何一方负有必须使双方建立起商业合作或科技合作的义务，但是本协议双方应该基于诚实信用的原则进行商业合作或科技合作的谈判，同时并不限制本协议可以经双方约定成为双方后续合作协议的条款或附件。Neither Party shall

48、be obligated to establish any business or technology cooperation relationship with the other Party by virtue of this Agreement. Nonetheless, Parties to this Agreement should be of good faith in negotiation for business or technology cooperation. In the meanwhile, there is no limit that when agreed by the Parties, this Agreement may become the terms or exhibit of the further cooperation agreement between both Parties. 10. 权利救济10. I