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Several Opinions of the Higher People's Court of Beijing Municipality on Strengthening Intellectual Property Adjudication and Promoting Innovative Development [Effective]
北京市高级人民法院关于加强知识产权审判促进创新发展的若干意见 [现行有效]
【法宝引证码】

Several Opinions of the Higher People's Court of Beijing Municipality on Strengthening Intellectual Property Adjudication and Promoting Innovative Development 

北京市高级人民法院关于加强知识产权审判促进创新发展的若干意见

(Deliberated and adopted at the 11th meeting of the Judicial Committee of the Higher People's Court of Beijing Municipality in 2018) (北京市高级人民法院2018年第11次审判委员会会议审议通过)

For the purposes of thoroughly implementing Xi Jinping Thought on Socialism with Chinese Characteristics in a New Era and the spirit of the 19th CPC National Congress and the Second and Third Plenary Sessions of the 19th CPC Central Committee, attacking the implementation of the requirements of a series of important speeches delivered by General Secretary Xi Jinping in relation to strengthening intellectual property protection and the Opinions on Several Issues concerning Heightening Reform and Innovation in the Field of Intellectual Property Adjudication issued by the General Office of the CPC Central Committee and the General Office of the State Council, accelerating the construction of an innovation-oriented country, guaranteeing the “four-sphere center” city strategy of Beijing with all-out efforts, especially strengthening intellectual property adjudication to promote Beijing in precipitating the construction of a national cultural center and a science and technology innovation center, maximizing the function of judicial protection of intellectual property, and stimulating innovation, based on the actual work of the courts across the city, the following opinions are hereby offered. 为深入贯彻习近平新时代中国特色社会主义思想、党的十九大和十九届二中、三中全会精神,抓好落实习近平总书记关于加强知识产权保护的系列重要讲话要求以及中办国办《关于加强知识产权审判领域改革创新若干问题的意见》,加快建设创新型国家,全力保障北京“四个中心”城市战略,尤其是加强知识产权审判促进北京加快全国文化中心、科技创新中心建设,充分发挥知识产权司法保护职能,激励创新,结合全市法院工作实际,提出如下意见。
I. General requirements for strengthening intellectual property adjudication and promoting innovative development 一、加强知识产权审判促进创新发展的总体要求
1. Guaranteeing the innovation-driven development strategy. The innovation-driven development strategy is related to the big picture of national economic and social development. The important role of intellectual property adjudication in safeguarding the innovation-driven development strategy shall be sufficiently understood. From the perspective of national strategies, a concept that protection of intellectual property is that of innovation shall be established. The creation, protection and use of intellectual property shall be enhanced, the system and mechanism barriers limiting the development of intellectual property adjudication shall be removed, the functional role of intellectual property adjudication in stimulating and protecting innovation and promoting scientific and technological progress and social development shall be maximized, and the rule of law environment for science and technology innovation shall be optimized. 1.保障创新驱动发展战略。创新驱动发展战略关系国家经济社会发展全局。充分认识知识产权审判在保障创新驱动发展战略方面的重要作用。立足国家战略层面,树立保护知识产权就是保护创新的理念。强化知识产权创造、保护、运用,破解制约知识产权审判发展的体制机制障碍,充分发挥知识产权审判激励和保护创新、促进科技进步和社会发展的职能作用,优化科技创新的法治环境。
2. Strengthening the protection and conversion of property. The property system is the foundation of the socialist market economy and protecting property is the inevitable requirement of adherence to the basic socialist economic system. Intellectual property, as an important kind of property, may become advanced productivity through conversion and application. The property acquired by startup owners and innovators in accordance with the law shall be protected by the law. The judicial protection of intellectual property shall be strengthened, so as to sufficiently capitalize on intellectual property, promote the creation, conversion and application of innovative achievements, and provide powerful judicial guarantees for building a strong intellectual property country and a science and technology world power. 2.加强产权保护与转化。产权制度是社会主义市场经济的基石,保护产权是坚持社会主义基本经济制度的必然要求。知识产权作为重要的产权类型,通过转化应用,可以形成先进的生产力。创业者、创新者依法获得的产权,应当受到法律的保护。加强知识产权司法保护,充分实现知识产权价值,促进创新性成果的创造和转化应用,为建设知识产权强国和世界科技强国提供司法保障。
3. Creating a sound business environment. Laws, regulations and judicial policies regarding intellectual property protection shall be sufficiently and dutifully used, and the quality and efficiency of trial of intellectual property cases shall be improved. The building of intellectual property protection systems for emerging fields and business types shall be promoted, and the efforts to punish illegal acts of infringing intellectual property shall be intensified, so as to cost infringers dearly. The activism and initiative of innovators with intellectual property rights shall be triggered, and the law shall be used as a weapon to enforce rights. A rule of law environment that guarantees social innovation and fair and orderly business in accordance with the law shall be created. 3.塑造良好营商环境。用足用好知识产权保护的相关法律法规和司法政策,提高知识产权案件审理质量和效率。推动新兴领域和业态知识产权保护制度建设,加大对知识产权侵权违法行为的惩治力度,让侵权者付出沉重代价。调动拥有知识产权的创新主体的积极性和主动性,自觉运用法律武器依法维权。形成依法保障社会创新、公平有序营商的法治环境。
4. Using the leading role of the judiciary. A judicial policy for intellectual property highlighting “judicial ascendancy, strict protection, classification implementation of policy, and proportion” shall be implemented. The leading role of intellectual property rights in protecting innovation and maintaining fair competition shall be exploited, and case adjudication shall be closely combined with the promotion of innovative development. New ideas shall be produced, new strategies shall be studied, and the advantages of judicial protection as a permanent and stable, leading and demonstration, and final and definitive mechanism shall be used. The lawful rights of innovators shall be fully guaranteed, and their enthusiasm for innovation shall be encouraged. Efforts shall be made to build Beijing courts into "preferred bodies” to settle intellectual property disputes that the parties trust. 4.发挥司法主导作用。实行“司法主导、严格保护、分类施策、比例协调”的知识产权司法政策。发挥知识产权保护创新和维护公平竞争的主导作用,将案件审判与促进创新发展紧密结合。开拓新思路、研究新策略,发挥司法保护稳定长效、引领示范、终局权威的机制优势。充分保障创新主体的合法权利,激励其创新热情。努力将北京法院打造成当事人信赖的知识产权争端解决“优选地”。
5. Improving the dispute resolution mechanism. The reform and innovation in the field of intellectual property adjudication shall be strengthened, the updating of the standards for application of law shall be enhanced, and the intellectual property adjudication systems and mechanisms compatible with innovative development shall be improved. New situations and problems in the field of intellectual property adjudication shall be researched and judged, judicial resources shall be optimized, procedures shall be adjusted, special rules of intellectual property litigation procedures shall be explored, a diversified dispute resolution mechanism shall be adopted, and the substantive resolution of disputes shall be promoted. 5.完善纠纷解决机制。加强知识产权审判领域改革创新,强化法律适用标准的与时俱进,完善与创新发展相配套的知识产权审判体制机制。研判知识产权审判领域出现的新情况、新问题,优化司法资源,调整程序设置,探索知识产权诉讼程序特殊规则,采取多元化纠纷解决机制,促进纠纷的实质性解决。
6. Strengthening professional adjudication. The construction experience of the Beijing Intellectual Property Court that is susceptible to replication and promotion shall be summarized, the advancement of the modernization of the adjudicative system and capacity shall be precipitated, and a new mode of trial and administration that meets the characteristics of intellectual property adjudication shall be established. The establishment of a system of intellectual property adjudication standards and rules shall be unified to provide judicial guarantee for the integrated development of Beijing, Tianjin and Hebei province. An intellectual property adjudication team administering the law equitably and for the people shall be built, and various intellectual property cases shall be tried in a high-quality and efficient manner. 6.加强专业化审判水平。总结北京知识产权法院可复制、可推广的建设经验,加快推进审判体系和审判能力现代化建设,建立符合知识产权审判特点的审理和管理新模式。统一知识产权裁判标准规则体系建设,为京津冀一体化发展提供司法保障。建设公正司法、司法为民的知识产权审判队伍,优质高效审理各类知识产权案件。
II. Using rules of adjudication in accordance with the law and intensifying the efforts to protect technological innovation 二、依法运用审判规则,加大对技术创新的保护力度
7. Strengthening the protection of scientific and technological achievements in key technological fields in accordance with the law. According to the characteristics of different technological fields, specific requirements of industry policies and the actual circumstances of development of new business types, the scope of protection of scientific and technological achievements shall be accurately defined. Attention shall be paid to the protection of inventions and creations involving major national strategic needs, major scientific research projects and works, critical core technologies, advantageous industries, and other fields, and especially the efforts to protect inventions and creations in the implementation and application stages shall be intensified. The driving effect of trial of technology cases on scientific and technological innovation shall be strengthened, and all kinds of scientific and technological achievements that play a game-changing and driving role in economic growth shall be protected as legally required, so as to promote industry development. 7.依法加强对重点技术领域科技成果的保护。根据不同技术领域特点、具体产业政策要求和新业态发展实际,准确界定科技成果的保护范围。注重保护涉及国家重大战略需求、重大科研项目和工程、关键核心技术以及优势产业等领域的发明创造,尤其加大对进入实施和运用阶段的发明创造保护力度。加强技术类案件审理对科技创新的带动效应,依法保护对经济增长具有突破和带动作用的各类科技成果,促进产业发展。
8. Reasonably defining the object of patent protection and enabling protection efforts to match technological contribution. The modes for the protection of rights in new technology as well as innovations in business methods and software in new industries shall be studied, the examination criterion for objects of patents shall be reasonably used, new technologies conducive to social and economic development shall be included in the scope of patent protection, and efforts shall be made to achieve synchronization between innovation and protection. Technological contribution shall be fully considered, inventions and creations conducive to industry development and international competition shall be examined in a moderately relaxed manner, and the protection of patents for original and independent innovations shall be strengthened. 8.合理界定专利保护客体,使保护力度与技术贡献相匹配。研究新技术、新产业中商业方法创新和软件革新的权利保护模式,合理运用专利客体审查标准,将有利于社会经济发展的新技术纳入专利保护范围,努力实现创新与保护同步。充分考虑技术贡献,适度从宽审查有利于产业发展和国际竞争的发明创造,加大对原始创新、自主创新专利的保护。
9. Accurately using methods to interpret patent claims and applying the standards for revision of patent documents in a relaxed manner. The methods to interpret claims at different stages of patent granting and recognition shall be accurately used, and the terms for claims shall be reasonably defined, so as to ensure that valuable inventions are protected. Whether the revision of patent documents is beyond limits shall be determined by whether the patent application document can serve as support. In the post-grant review procedures, the revised claims that narrow the scope of protection, are “instruction manual-based” and create no new technical solutions shall be generally acceptable, and a new technical feature that is not contained in the issued claims but only exists in the instruction manual shall not be added. 9.准确运用专利权利要求解释方法,从宽掌握专利文件修改标准。在专利授权和确权不同阶段准确运用权利要求解释方法,合理界定权利要求用语的含义,确保有价值的发明创造得到保护。认定专利文件修改是否超范围,以能否得到专利申请文件支持的标准进行判断。在专利确权程序中,对于修改后的权利要求缩小了保护范围、符合“以说明书为依据”且未产生新的技术方案的,通常可以接受,但不得新增在授权权利要求中没有,而仅在说明书中存在的技术特征。
10. Strengthening examination standards and moderately improving the creativity judgment standards for patents. When the creativity relating to patents is judged, technical concepts and purpose of invention shall be fully considered, attention shall be paid to the whole doctrine, and the simple division and separate understanding of technical solutions shall be avoided, so as to improve the quality of patent granting. For the identification of the contents and scope of public disclosure of prior art, justification shall be sufficient, and subjective presumption shall be inappropriate. Any ex officio change in evidence portfolio in the litigation stage shall be avoided, and the administrative decisions by administrative agencies shall be rationally respected. Attention shall be paid to the technological development in patent-related markets, the examination standards for granting conditions shall be strengthened, and judicial review functions shall be maximized. 10.强化审查标准,适度提高专利创造性判断标准。专利创造性判断要充分考虑技术构思和发明目的,注重整体原则,避免对技术方案进行简单分割、拆分理解,提高专利授权质量。对于现有技术公开内容和范围的认定,应当充分释理,不宜主观推定。避免在诉讼阶段依职权改变证据组合,理性尊重行政机关的行政决定。关注专利相关市场的技术发展,强化授权条件的审查标准,充分发挥司法审查职能。
11. Moderate leniency and strictness and effective containment of patent infringement. The application of the doctrine of equivalents shall be generally supported by corresponding evidence, and in the absence of evidence or sufficient justification, the determination of infringement by the doctrine shall be inappropriate. According to the match between claims and technical contributions, the criteria for infringement cases involving inventions and utility models shall be distinguished, and the doctrine of equivalents shall be applied with moderate leniency and strictness, so as to promote better protection of high-quality inventions and creations. The applicable requirements for joint patent infringement shall be accurately understood, so as to effectively curb infringements by adopting part of patent technical solutions. 11.宽严适度,有效遏制专利侵权行为。等同原则的适用一般应当有相应的证据支持,无证据或未能充分说理的,不宜判定为等同侵权。依照权利与技术贡献的匹配程度不同,区分发明与实用新型侵权案件的认定标准,宽严适度地适用等同原则,促使高质量的发明创造获得更强的保护。准确把握专利共同侵权的适用要件,有效遏制不完全实施专利技术方案的侵权行为。
12. Exploring rules of trial of standard-essential patent cases and promoting the coordinated development of industries. When the decision to issue an injunction is made, whether either party to the negotiation breaches the principle of good faith and is at obvious fault shall be taken into account in priority, and the belief that an injunction need not be issued if the patentee makes fair, reasonable and non-discriminatory promises shall not be had. The calculation of royalties from standard-essential patent licenses shall be supported by sufficient evidence, with market and technological changes and the contribution of patents to the value of products taken into account. The concurrence of patent license royalties shall be prevented. The abuse of market dominance shall be prudentially identified, and the balance of interests shall be taken into account, so as to ensure the coordinated development of all upstream and downstream industry chains. Patentees and exploiters shall be encouraged to reach a licensing agreement through good faith negotiation. Both patent hold-up and patent hold-out shall be prevented. 12.探索标准必要专利案件审理规则,促进产业协同发展。确定是否颁发禁令时,重点考虑谈判双方是否存在违背诚信原则的明显过错,不能认为权利人做出公平、合理、无歧视承诺就当然不颁发禁令。标准必要专利许可使用费计算应有充分的证据支持,考虑技术和市场变化以及专利对产品价值的贡献程度。防止出现专利许可使用费堆叠。审慎认定滥用市场支配地位,兼顾权益平衡,确保上下游各产业链条协调发展。鼓励权利人和实施人通过诚信谈判达成许可协议。既要防止专利劫持更要防止专利反向劫持。
13. Duly dealing with cases involving ownership of technological achievements as well as reward and remunerations of employee inventors and fully protecting the rights of creators of technological achievements. Attention shall be paid to define the legal boundaries between achievements by employees and those not by employees, so as not only to support inventors in acquiring technological achievements as agreed, but also to prevent the conversion of achievements by employees into those not by employees. An end shall be put as legally required to bad faith acts of illegally acquiring achievements by employees to apply for patents in the name of an individual or third party. When a dispute over reward or remuneration of an employee inventor is actioned, on the basis of respecting the parties' agreement, technicians shall be motivated to engage in science and technology innovation while enterprises are encouraged to increase investment in research and development, so as to enhance social vigor for creativity. 13.妥善处理技术成果权属及职务发明人奖励、报酬案件,充分保护技术成果创造者的权利。注意区分职务成果与非职务成果的法律界限,既要支持发明人依照约定取得技术成果权,又要防止职务成果非职务化。依法制止非法获取职务成果并以个人或第三方名义申请专利的不诚信行为。处理职务发明人奖励、报酬纠纷时,在尊重当事人约定的基础上,既要激励技术人员从事科技创新的积极性,又要鼓励企业加大研发投入,增强社会创造活力。
14. Accurately determining the rights and obligations stipulated in technology contracts and strengthening the examination of innovative contents. A contract shall be respected as written, with attention paid to declaration of true will. The rights' characteristics and accessory obligations of the technical contents involved in a contract shall be accurately defined, and the protection of innovative contents in the process of technology development, improvement, and exploitation shall be strengthened. The value of progressive achievements in the process of contract performance for the whole contract shall be reasonably estimated, and directly negating the value of partial performance only on the ground of the non-performance of the whole contract shall be inappropriate. Attention shall be paid to determining matters which the contract fails to stipulate or ambiguously stipulates, in accordance with the law, taking into account knowledge known to the public, common sense, trade practices, and usage. Agreement obstructing the free use of public technology or hindering the advancement of science and technology shall be regulated as the invalid clauses specified by the law, so as to fully guarantee the market circulation of technology.
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 14.准确认定技术合同约定的权利义务,加强对创新内容的审查。既要尊重合同的字面约定,也要注重真实意思表示。准确界定合同所涉及技术内容的权利特点和附随义务,加强对技术开发、改进、实施等过程中创新内容的保护。合理评判合同履行过程中阶段性成果在合同整体约定中的价值,不宜仅以合同整体约定未成就直接否定合同的部分履行价值。注意结合公知常识、交易习惯、常规做法等依法认定合同未约定或约定不明的事项。对于妨碍公有技术使用自由、阻碍科学技术进步的约定,依法运用法律规定的无效条款予以规制,充分保障技术的市场流通。
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