| Notice of the State Intellectual Property Office on Issuing the Several Opinions on Strict Patent Protection | | 国家知识产权局关于印发《关于严格专利保护的若干意见》的通知 |
| (No. 93 [2016] of the State Intellectual Property Office) | | （国知发管字〔2016〕93号） |
| The intellectual property bureaus of all provinces, autonomous regions, and municipalities directly under the Central Government; the Intellectual Property Bureau of Xinjiang Production and Construction Corps; and all departments of the State Intellectual Property Office, all departments of the patent offices, and all entities directly under the State Intellectual Property Office ("SIPO"); and all social organizations: | | 各省、自治区、直辖市知识产权局，新疆生产建设兵团知识产权局；局机关各部门，专利局各部门，局直属各单位、各社会团体： |
| For purposes of implementing in depth the decisions and arrangements of the CPC Central Committee and the State Council with regard to strict protection of intellectual property rights, conscientiously carrying out the Opinions of the CPC Central Committee and the State Council on Improving the Property Rights Protection System and Lawfully Protecting Property Rights (No. 28 [2016], CPC Central Committee), vigorously fulfilling the government's functions of supervision and protection of patents, effectively tightening the clampdown upon patent infringement and counterfeiting, enhancing coordination in patent granting, confirmation and protection, conscientiously and more strictly protecting patent rights, and vigorously advancing the building of a powerful intellectual property nation, the SIPO developed the Several Opinions on Strict Patent Protection, which are hereby issued to you for your conscientious implementation. | | 为深入贯彻党中央、国务院关于严格知识产权保护的决策部署，认真落实《中共中央国务院关于完善产权保护制度依法保护产权的意见》（中发〔2016〕28号），积极履行政府专利保护监管职责，切实加大对专利侵权假冒行为的打击力度，增强专利授权、确权、维权的协调性，全面从严保护专利权，大力推进知识产权强国建设，我局制定了《关于严格专利保护的若干意见》，现印发你们，请认真贯彻执行。 |
| | 特此通知。 |
| Annex: Several Opinions on Strict Patent Protection | | 附件：关于严格专利保护的若干意见 |
| State Intellectual Property Office | | 国家知识产权局 |
| November 29, 2016 | | 2016年11月29日 |
| Annex: | | 附件： |
| Several Opinions on Strict Patent Protection | | 关于严格专利保护的若干意见 |
| For purposes of implementing in depth the decisions and arrangements of the CPC Central Committee and the State Council with regard to strict protection of intellectual property rights, conscientiously carrying out the Opinions of the CPC Central Committee and the State Council on Improving the Property Rights Protection System and Lawfully Protecting Property Rights (No. 28 [2016], CPC Central Committee), and advancing the building of a powerful intellectual property nation, the following opinions on strict patent protection are hereby offered. | | 为深入贯彻党中央、国务院关于严格知识产权保护的决策部署，认真落实《中共中央国务院关于完善产权保护制度依法保护产权的意见》（中发〔2016〕28 号），推进知识产权强国建设，现就严格专利保护提出如下意见。 |
| I. General requirements | | 一、总体要求 |
| (1) Guiding ideology | | （一）指导思想 |
| With regard to strict patent protection, we must comprehensive implement the spirit of the 18th National Congress of the Communist Party of China (CPC) and the Third, Fourth, Fifth, Sixth Plenary Sessions of the 18th CPC Central Committee, carry out in depth the spirit of a series of important speeches delivered by the General Secretary Xi Jinping, according to the requirement of the overall layout for "economic, political, cultural, social, and ecological progress" and the Four-Pronged Comprehensive Strategy, firmly develop the concept of innovative, coordinated, green, open and shared development, forge ahead, have the courage to bring forth new ideas, highlight the Chinese characteristics, accelerate the development of a policy system and working mechanism of strict protection of patent rights, fully raise the efficiency and level of patent protection, severely clamp down patent infringement and counterfeiting, satisfy the need of innovators, market participants and consumers, create a good environment for innovative development, and effectively protect the fundamental interests of the people. | | 严格专利保护，必须全面贯彻党的十八大和十八届三中、四中、五中、六中全会精神，深入贯彻习近平总书记系列重要讲话精神，按照“五位一体”总体布局、“四个全面”战略布局的要求，牢固树立创新、协调、绿色、开放、共享的发展理念，开拓进取，勇于创新，突出中国特色，加快构建严格保护专利权的政策体系、工作机制，全面提升专利保护的效率与水平，严厉打击侵权假冒行为，满足广大创新主体、市场主体与消费者需要，营造创新发展良好环境，切实维护群众根本利益。 |
| (2) Basic principles | | （二）基本原则 |
| Adhering to serving the big picture. In strict patent protection, with an eye to system improvement and mechanism innovation, in-depth reform must be assisted in; based on regulated competition and tightened supervision, the rule of law shall be advanced; and with a focus on advocating honesty and stimulating innovation, economic development shall be promoted. | | 坚持服务大局。严格专利保护，必须着眼于完善体制、创新机制，助力深化改革；着眼于规范竞争、强化监管，推进依法治国；着眼于弘扬诚信、激励创新，促进经济发展。 |
| Strengthening coordinated advancement. In strict patent protection, a protection mechanism featuring patent granting and confirmation, administrative law enforcement, judicial adjudication, rights protection and assistance, social honesty and mutual promotion of mediation and arbitration must be established; play shall be further given to the advantages of administrative protection, and the improvement of the protection mode featuring complementary advantages and organic connection of administrative path and judicial path shall be accelerated; the overall coordination mechanism shall be improved and the forming of a coordinated, smooth and effective big protection pattern shall be advanced. | | 强化协同推进。严格专利保护，必须构建授权确权、行政执法、司法裁判、维权援助、社会诚信及调解仲裁相互促进的保护机制；进一步发挥行政保护的优势，加快完善行政和司法两条途径优势互补、有机衔接的保护模式；完善统筹协调机制，推进形成协调、顺畅、高效的大保护格局。 |
| Highlighting key points. In strict patent protection, patent protection in key parts and fields must be effectively tightened, the law enforcement and regulatory mechanism shall be innovated on and severer punishment shall be imposed for patent infringement and counterfeiting; a quick coordinated protection mechanism shall be established, the coordination of patent granting, confirmation and protection shall be enhanced, and the quality and efficiency in all parts of patent protection shall be improved; patent protection in new business type fields such as the Internet, e-commerce and big data shall be advanced and patent protection in the livelihood issue fields such as foods, drugs, environmental protection and work safety shall be strengthened. | | 注重突出重点。严格专利保护，必须切实加强关键环节和重点领域的专利保护工作，创新执法监管机制，加大对侵权假冒行为的惩治力度；建立快速协同保护机制，增强授权、确权、维权的协调性，提高专利保护各环节的质量和效率；推进互联网、电子商务、大数据等新业态新领域的专利保护，加强食品药品、环境保护、安全生产等民生领域的专利保护。 |
| (3) Work goals | | （三）工作目标 |
| By 2020, the policy system and working systems and mechanisms with regard to strict patent protection will have been basically improved, the degree, efficiency and level of patent law enforcement and case handling will have been comprehensively raised, the cooperation mechanism of patent protection will have been in effective operations, the interaction mechanism of patent granting, confirmation and protection will have been in positive operation, the quick coordinated protection mechanism will have been comprehensively deepened, and a favorable interaction relation between patent protection and innovation level and patent quality will have been developed. Patent infringement and counterfeiting will have been effectively contained, criminal elements will have been severely cracked down upon, the lawful rights and interests of patentees will have been practically protected, patentees' and general public trust in and satisfaction with patent protection will have been improved significantly, the ability of patent rights protection will have been dramatically improved, the atmosphere of respecting creation and admiring innovation will have become more positive, and the pattern of strict patent protection will have been formed. | | 到2020 年，严格专利保护的政策法规体系与工作体制机制基本健全，专利执法办案力度、效率和水平全面提升，专利保护协作机制有效运行，专利授权确权维权联动机制运行良好，快速协同保护机制全面深化，专利保护与发明水平、专利质量之间形成良性互动关系。专利侵权假冒行为得到有效遏制，违法犯罪分子受到严厉打击，专利权人合法权益得到切实维护，权利人与社会公众对专利保护的信任度、满意度大幅提高，专利维权能力显著提升，尊重创造、崇尚创新的氛围更加浓厚，严格专利保护的局面基本形成。 |
| II. Fully performing the functions of government supervision and tightening crackdown upon patent infringement and counterfeiting | | 二、充分履行政府监管职责，加大打击专利侵权假冒力度 |
| (4) Comprehensively enhancing patent law enforcement and supervision | | （四）全面加强专利执法监管 |
| The functions of interim and ex-post supervision in the field of patent protection shall be vigorously performed. A regulatory mode adapting to the development of new technology and mode of manufacturing and trading shall be developed, the interim and ex-post supervision policy system in the field of patent protection shall be improved, the development and improvement of the rules for patent law enforcement and supervision shall be advanced, industrial supervision and social supervision shall be coordinated, online and offline supervision shall be integrated, consideration shall be given to key and general supervision, supervision effect shall be improved and the functions of government supervision shall be practically performed. | | 积极履行专利保护领域事中事后监管职责。建立适应新的技术发展与生产交易方式的监管方式，完善专利保护领域事中事后监管政策体系，推进建立健全专利执法监管规则，协调行业监管与社会监管，融合线上监管与线下监管，兼顾重点监管与一般监管，提升监管成效，切实履行政府监管职责。 |
| The mode of patent law enforcement and supervision shall be innovated on. The internet mode and on-site random inspection mode shall be comprehensively used, by analyzing big data, clues to patent infringement and counterfeiting shall be precisely discovered, and the prevalence rates of patent infringement and counterfeiting and the demand for law enforcement and patent protection in all regions shall be scientifically determined, so as to provide adequate basis to reasonably allocate resources of law enforcement and supervision, and determine the degree of law enforcement and case handling. The monitoring of patent infringement and counterfeiting risks shall be strengthened, with respect to enterprises and goods with high risk of patent infringement and counterfeiting, information survey shall be deepened, risk research and analysis shall be enhanced and the measures for the monitoring of patent infringement and counterfeiting risks shall be adopted in a timely manner. Relevant fields shall be chosen for first breakthroughs and the advancement of the innovation on patent law enforcement and supervision mechanisms in all fields shall be accelerated. | | 创新专利执法监管方式。综合运用网络方式与现场抽查方式，通过大数据分析，精准发现专利侵权假冒线索，科学判断各地专利侵权假冒行为发生率与执法维权需求度，为合理配置执法监管资源、确定执法办案力度提供充分依据。加强专利侵权假冒风险监控，针对专利侵权假冒高风险企业与高风险商品，深化信息调查，强化风险研判，及时采取专利侵权假冒风险监控措施。选择相关领域先行突破，加快推进各领域专利执法监管机制创新。 |
| The online patent law enforcement and supervision mechanism shall be deepened. The supervision of online trading platforms shall be strengthened, the requirements for patent rights safeguarding and protection in all parts such as review of proprietors' access to the networks and routine operations shall be specified, and online trading platforms shall be guided in establishing an internal complaint handling mechanism with respect to patent infringement and counterfeiting. The cooperation with online trading platforms shall be enhanced, early warning, monitoring and advance risk prevention of patent infringement and counterfeiting shall be strengthened, and clues to patent infringements, counterfeits and violations of law shall be discovered and mastered in a timely manner. The cooperation and dispatch mechanism of patent law enforcement in the field of e-commerce shall be deepened so as to improve the efficiency of online case handling and the cooperation in transferring online cases to offline cases. In respect of clues to online patent infringement and counterfeiting, offline investigation shall be vigorously conducted and quick handling shall be made in accordance with the law. The patent law enforcement and supervision of cross-border e-commerce shall be strictly conducted and combination of domestic supervision and cross-border supervision shall be promoted. | | 深化线上专利执法监管机制。加强网络交易平台监管，对经营者入网审核、日常经营各环节的专利维权保护提出明确要求，引导网络交易平台建立针对侵权假冒行为的内部投诉处理机制。强化与网络交易平台合作，加强对侵权假冒的预警监测和事前风险防范，及时发现和掌握专利侵权假冒违法线索。深化电子商务领域专利执法协作调度机制，提升线上案件办理效率和线上转线下案件协作水平。针对线上专利侵权假冒线索，积极开展线下调查，依法进行快速处理。严格对跨境电子商务的专利执法监管，促进国内监管与跨境监管的结合。 |
| (5) Vigorously rectifying patent infringement and counterfeiting | | （五）大力整治侵权假冒行为 |
| Special rectification campaigns shall be enhanced. The centralized dispatching in special rectification campaigns shall be enhanced, the joint forces in special rectification campaigns shall be strengthened, the tightening of law enforcement and case handling shall be promoted, the effect of clampdown upon patent infringement and counterfeiting shall be improved, and the phenomenon of "bad money drives out good money" in the innovation field shall be prevented and contained, so as to boost the confidence of innovators and patentees. The use of technical means shall be strengthened and the types and methods of special campaigns shall be expanded. Patent infringement and counterfeiting in the fields of food, drugs, environmental protection, work safety, etc. shall be firmly clamped down to practically protect the vital interests of the people. | | 强化专项整治行动。加强对专项整治行动的统一调度，增强专项整治行动合力，推动加大执法办案力度，提升对侵权假冒行为的打击效果，防止和打击创新领域的劣币驱逐良币现象，提振创新者与权利人信心。加强技术手段运用，拓展专项行动类型与方式。坚决打击食品药品、环境保护、安全生产等领域侵权假冒行为，切实维护人民群众切身利益。 |
| Crackdown scope shall be expanded in accordance with the law. Pursuant to the laws and regulations, provision of facilitating conditions for patent infringement and counterfeiting shall be vigorously cracked down upon. The efficiency of crackdown upon patent infringement shall be raised and if in a case, upon the determination of patent infringement, the same patent is again infringed upon, the cessation of the infringement upon the same patent shall be ordered as soon as possible. In respect of the use and sale of patent infringing and counterfeit products, the manufacturing source shall be investigated in accordance with the law and practically cracked down upon. | | 依法延伸打击范围。依照法律法规，积极打击为侵权假冒提供便利条件的行为。提高打击侵权行为的效率，对认定侵权成立后，再次侵犯同一专利权的案件，依法尽快责令停止侵权。对使用或销售侵权假冒产品的行为，依法深挖生产源头，切实予以严厉打击。 |
| (6) Effectively raising the efficiency of law enforcement and case handling | | （六）切实提高执法办案效率 |
| Formalities and modes of case docketing, serving and handling shall be simplified. The formalities of docketing cases of patent infringement disputes shall be simplified and a docketing registration system of cases of patent infringement disputes shall be promoted. A mode of online announcement on case serving information shall be established to facilitate the serving of cases. A written trial mechanism of patent infringement cases shall be piloted and with respect to a case of infringement on design or utility model at the docketing of which the plaintiff has submitted a patent evaluation report, upon the statements by the parties and cross-examination, a handling decision may be made through written trial. In respect of a case with adequate preparation before court hearing and comprehensive collection of evidence, a pilot program that a handling decision is made upon the end of the viva voce trial may be conducted. In the case of a case of patent infringement and counterfeiting with adequate evidence, a pilot program that a decision is made on site to end counterfeiting shall be conducted. Standard-format handling decisions shall be promoted in design patent cases. | | 简化立案、送达与处理的手续和方式。简化专利侵权纠纷案件立案手续，推行专利侵权纠纷案件立案登记制。建立案件送达信息的网上公告方式，方便案件送达。试行侵权纠纷案件书面审理机制，对立案时请求人已提交专利权评价报告的外观设计、实用新型侵权案件，经当事人陈述和质证后，可以书面审理作出处理决定。对庭前准备充足、证据收集全面的案件，可试行在口头审理结束后当场作出处理决定。对于证据充分的假冒专利案件，试行当场做出停止假冒行为的决定。在外观设计专利案件中推行格式化处理决定书。 |
| A classified case-handling guidance mechanism shall be established. In respect of cases crossing provinces or with national influence, a request may be made for the SIPO to give guidance or impose supervision, and with respect to cases crossing prefecture-level cities, a request may be made for the intellectual property bureaus of provinces (autonomous regions and municipalities directly under the Central Government) to give guidance or impose supervision. Through entrustment by departments at higher levels or authorization by local regulations, county-level intellectual property bureaus with good conditions shall be promoted in investigating and dealing with counterfeit patents and mediating and handling patent disputes. The intellectual property bureaus of all provinces (autonomous regions and municipalities directly under the Central Government) may organize law enforcement and case-handling backbones within their respective jurisdictions to handle major and difficult cases within their respective jurisdictions in a centralized and quick manner. When municipal and county-level intellectual property bureaus encounter specific problems in the application of rules in law enforcement and case handling, the intellectual property bureaus of provinces (autonomous regions and municipalities directly under the Central Government) shall, in principle, make timely replies, and a request may be made for the SIPO to make a reply in the case of the relevant parties have dissenting opinions on the former replies. | | 建立办案分级指导机制。跨省份、具有全国影响力的案件可报请国家知识产权局指导或督办，跨地级市的案件可提请省（区、市）知识产权局指导或督办。通过上级机关委托或地方法规授权的方式，推动有条件的县级知识产权局查处假冒专利、调处专利纠纷。各省（区、市）知识产权局可组织辖区内执法办案骨干，集中、快速办理辖区内的重大、疑难案件。市级、县级知识产权局在执法办案中遇到的具体规则适用问题，原则上由省（区、市）知识产权局及时答复，有关方面对答复有不同意见的，可请求国家知识产权局答复。 |
| (7) Effectively advancing investigation and evidence collection | | （七）有效推进调查取证工作 |
| Investigation and evidence collection means shall be made full use of. Where it is difficult for a patentee to collect evidence, the investigation and evidence collection means such as registration, preservation and sampling for evidence collection shall be fully and reasonably used to appropriately relieve the patentee of burden of proof; and upon the acceptance and docketing of a patent infringement dispute case, the direct service mode shall be adopted as much as possible and investigation and evidence collection shall be made during the service. In investigation and evidence collection, a person or enterprise subject to the investigation that refuses to cooperate shall be listed in the list of dishonesty of the credit investigation system according to the relevant provisions. Where the laws and regulations conferred the powers to impose seizure, arrest, seal up for safekeeping, provisional detainment and other measures on local intellectual property bureaus, such powers shall be fully exercised in accordance with the law. The safekeeping of case evidence and relevant supporting documents by the means of notarization shall be explored. | | 充分运用调查取证手段。对权利人举证确有困难的，应充分、合理使用登记保存、抽样取证等调查取证手段，适当减轻专利权人举证负担；专利侵权纠纷案件立案受理后，应尽量采取直接送达方式，在送达的同时进行调查取证。调查取证时，对拒绝配合的被调查人员和企业，依照相关规定列入征信系统失信名单。对法律、法规赋予地方知识产权局实施查封、扣押、封存、暂扣等措施的，应依法充分行使。探索以公证方式保管案件证据及相关证明材料。 |
| (8) Effectively raising the level of patent infringement determination | | （八）切实提升侵权判定水平 |
| The level of patent infringement determination shall be effectively raised. A consultation mechanism of patent infringement determination shall be established and improved, the establishment of consultation centers for patent infringement determination and expert tanks shall be advanced, full play shall be given to the role of specialized personnel and consultation for infringement determination of difficult cases shall be effectively conducted. The patent infringement determination and the relevant evidence rules shall be better promoted and implemented, and the regulation and coordination of patent infringement determination shall be improved. The patent of original inventions featuring high degree of innovation and much investment in research and development shall be better protected. The literal infringement principle in the invention and utility model patent infringement determination shall be strictly aboded by, the doctrine of equivalents shall be vigorously applied and the defense principle of prior art and prior design shall be reasonably applied. | | 切实提高专利侵权判定水平。建立健全侵权判定咨询机制，推进专利侵权判定咨询中心与专家库建设，充分发挥专业人员的作用，有效开展疑难案件的侵权判定咨询工作。加大专利侵权判定及相关证据规则的推广施行力度，提高侵权判定的规范性与协调性。对创新程度高、研发投入大的原创性发明，加大专利保护力度。严格执行发明和实用新型专利侵权判定的全面覆盖原则，积极适用等同侵权判定原则，合理适用现有技术和现有设计抗辩原则。 |
| (9) Comprehensively strengthening the development of law enforcement ability. | | （九）全面加强执法能力建设 |
| The general improvement of the law enforcement ability of the whole system shall be advanced. The patent law enforcement and supervision ability shall be comprehensively enhanced to effectively raise the level of law enforcement and supervision. The mode of law enforcement training shall be innovated on and a mode of online training and research shall be developed. The training content shall be deepened and the outline and the textbook system for the training of administrative patent law enforcement personnel shall be adjusted and improved. Patent infringement determination training by specialized technical fields shall be provided and the fostering of specialized law enforcement talents expert in cases of particular fields shall be accelerated. The post-holding certificate and qualification administration system of law enforcement personnel shall be strictly implemented and the annual inspection of patent law enforcement certificates shall be conducted in an orderly manner. The fostering and employment of law enforcement and case-handling backbones shall be strengthened and law enforcement and case-handling backbones shall be selected to participate in the law enforcement supervision in the whole system, policy research and analysis of difficult cases. Law enforcement and case-handling backbones with not less than five years of experience in law enforcement shall be supported in participating in various high-level studies and training on law. | | 推进全系统执法能力的整体提升。全面强化专利执法监管能力，有效提升执法监管水平。创新执法培训方式，建立网络培训研讨模式。深化培训内容，调整完善专利行政执法人员培训大纲与培训教材体系。开展分专业技术领域的专利侵权判定培训，加快培养精通特定领域案件的专业性执法人才。严格实行执法人员持证上岗和资格管理制度，有序开展专利行政执法证件年检。加强执法办案骨干的培养和使用，选择执法办案骨干参与全系统的执法督导、政策研究及跨区域疑难案件分析。支持从事执法工作五年以上的执法办案骨干参加各类高层次法律研修。 |
| (10) Effectively strengthening law enforcement cooperation and dispatch. | | （十）有效加强执法协作调度 |
The patent law enforcement cooperation and dispatch mechanism shall be deepened. The dispatch of cross-regional law enforcement cases and case-handling personnel shall be vigorously conducted to ensure an unimpeded channel of cross-regional assistance in investigation, serving and implementation. Joint patent law enforcement and cooperation in law enforcement in regions along the "one belt, one road," coordinated development of Beijing, Tianjin and Hebei province, and Yangtze River economic belt shall be deepened.
．．．．．． | | 深化专利执法协作调度机制。积极开展跨地区执法案件与办案人员调度工作，确保跨区域协助调查、送达、执行的渠道畅通。深化“一带一路”、京津冀协同发展、长江经济带等区域的联合专利执法和协作执法。
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