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| Order of the Director General of State Intellectual Property Office | | 国家知识产权局局长令 |
(No. 31) | |
（第31号） |
These Measures for the Compulsory Licensing for Patent Implementation, which were deliberated and adopted at the executive meeting of State Intellectual Property Office, are hereby promulgated and shall come into force as of July 15, 2003. | |
《专利实施强制许可办法》已经局务会议审议通过，现予公布，自2003年7月15日起施行。 |
Director General Wang Jingchuan | |
局长 王景川 |
June 13, 2003 | |
二00三年六月十三日 |
Measures for the Compulsory Licensing for Patent Implementation | |
专利实施强制许可办法 |
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| Chapter I General Provisions | | 第一章 总则 |
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| Article 1 In order to standardize the implementation of granting, royalty adjudication and termination procedures for compulsory licensing of patents of inventions or utility models (hereinafter referred to as the compulsory licensing), these Measures are formulated in accordance with the Patent Law of the People's Republic China (hereinafter referred to as the Patent Law), the Detailed Rules for the Implementation of the Patent Law of the People's Republic China (hereinafter referred to as the Detailed Rules for the Implementation of the Patent Law) and the relevant laws and regulations. | | 第一条 为规范实施发明专利或者实用新型专利的强制许可（以下简称强制许可）的给予、费用裁决和终止程序，根据《中华人民共和国专利法》（以下简称专利法）、《中华人民共和国专利法实施细则》（以下简称专利法实施细则）以及有关法律法规，制定本办法。 |
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| Article 2 The State Intellectual Property Office shall take the charge of the acceptance and examination of the petitions for compulsory licensing, for the adjudication of royalties for compulsory licensing, and for the termination of compulsory licensing, and shall make decisions. | | 第二条 国家知识产权局负责受理和审查强制许可、强制许可使用费裁决和终止强制许可的请求并作出决定。 |
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| Article 3 The petitions for granting compulsory licensing, for the adjudication of royalties for compulsory licensing, and for the termination of compulsory licensing shall be handled in Chinese and in written form. | | 第三条 请求给予强制许可、请求裁决强制许可使用费和请求终止强制许可,应当使用中文以书面形式办理。 |
In case the certificates and certification documents submitted in compliance with these Measures are in a foreign language, the parties concerned shall provide a Chinese translation at the same time, and failure to submit a Chinese version shall be deemed as failure to provide the relevant certificates and certification documents. | |
依照本办法提交的证件、证明文件是外文的，当事人应当同时提交中文译文。未按规定提交中文译文的，视为未提交该证件、证明文件。 |
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| Article 4 Where any entity which is qualified to implement the invention or utility model has made requests for authorization from the patentee of an invention or utility model to implement its or his patent on reasonable terms and such efforts have not been successful within a reasonable period of time, it may petition for granting the compulsory licensing for implementing the patent of invention or utility model according to the prescriptions of Article 48 of the Patent Law. | | 第四条 具备实施条件的单位以合理的条件请求发明或者实用新型专利权人许可实施其专利，而未能在合理长的时间内获得这种许可的，可以根据专利法第四十八条的规定请求给予实施发明专利或者实用新型专利的强制许可。 |
Where an invention or utility model for which a patent right was granted involves any important technical progress of obvious economic significance as compared to another invention or utility model for which a patent right has been granted earlier and the implementation of the later invention or utility model depends on the implementation of the earlier invention or utility model, the patentee of the later invention or utility model may, according to the prescriptions of Article 50 of the Patent Law, petition for granting compulsory licensing for implementing the former patent, and vise versa. | |
一项取得专利权的发明或者实用新型比前已经取得专利权的发明或者实用新型具有显著经济意义的重大技术进步，其实施又有赖于前一发明或者实用新型的实施的，该专利权人可以根据专利法第五十条的规定请求给予实施前一专利的强制许可，前一专利权人也可以请求给予实施后一专利的强制许可。 |
Where an emergency or extraordinary event occurs to the state, or where the public interest so requires, the competent department under the State Council is entitled to grant the compulsory licensing for implementing the patent of invention or utility model as petitioned according to the provisions of Article 49 of the Patent Law. | |
在国家出现紧急状态或者非常情况时，或者为了公共利益的目的，国务院有关主管部门有权根据专利法第四十九条的规定请求给予实施发明专利或者实用新型专利的强制许可。 |
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| Article 5 Where a petitioner authorizes a patent agency to submit a petition for compulsory licensing, the petitioner shall provide a power of attorney, in which the authority shall be stated. | | 第五条 请求人委托专利代理机构提出强制许可请求的，应当提交委托书，写明委托权限。 |
Where there are two or more petitioners and no authorized patent agency, unless it is otherwise stated in the petition, the first petitioner indicated in the petition shall be deemed as the representative. | |
请求人有两个以上且未委托专利代理机构的，除请求书中另有声明外，以请求书中指明的第一请求人为代表人。 |
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| Chapter II Examination and Decision of Petitions for Compulsory Licensing | | 第二章 强制许可请求的审查和决定 |
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| Article 6 To petition for granting compulsory licensing, an application for compulsory licensing shall be submitted to the State Intellectual Property Office, which shall indicate the following items: | | 第六条 请求给予强制许可的，应当向国家知识产权局提交强制许可请求书，写明下列各项： |
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| (1)the name or title and address of the petitioner; | | （一）请求人的姓名或者名称、地址； |
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| (2)the nationality of the petitioner or the country where its headquarters is located; | | （二）请求人的国籍或者其总部所在的国家； |
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| (3)the name, patent number, date of application, and date of authorized announcement of the patent of invention or utility model for which a petition is filed for compulsory licensing; | | （三）被请求强制许可的发明专利或实用新型专利的名称、专利号、申请日及授权公告日； |
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| (4)the name or title of the patentee of the invention or utility model for which a petition is filed for compulsory licensing; | | （四）被请求强制许可的发明专利或实用新型专利的专利权人姓名或者名称； |
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| (5)reasons and facts for petitioning for the grant of compulsory licensing; | | （五）请求给予强制许可的理由和事实； |
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| (6)the relevant matters where there is a patent agency authorized by the petitioner, or the name, address, postcode and contact telephone of the contact person where there is no authorized patent agency; | | （六）请求人委托专利代理机构的，应当注明的有关事项；请求人未委托专利代理机构的，其联系人的姓名、地址、邮政编码及联系电话； |
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| (7)the signature or stamp of the petitioner; and if there is an authorized agency, the stamp of the agency is also required; | | （七）请求人的签字或者盖章；委托代理机构的，还应当有该专利代理机构的盖章； |
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| (8)the list of the attached documents; and | | （八）附加文件清单； |
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| (9)other items required to be stated. | | （九）其他需要注明的事项。 |
The petition and the attached documents shall be in duplicate. | |
请求书及其附加文件应当一式两份。 |
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| Article 7 Where a petition for compulsory licensing involves two or more patents of inventions or utility models, if two or more patentees are involved, the petitions shall be submitted to different patentees. | | 第七条 强制许可请求涉及多项发明专利或者实用新型专利的，如果涉及两个或者两个以上的专利权人，应当按不同专利权人分别提交请求书。 |
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| Article 8 If a petition for compulsory licensing is under any of the following circumstances, the State Intellectual Property Office shall not accept the petition and notify the result to the petitioner: | | 第八条 强制许可请求有下列情形之一的，国家知识产权局不予受理，并通知请求人： |
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| (1)The patent number of the patent of invention or utility model for which a petition is filed for compulsory licensing is petitioned is not clear or is hard to identify; | | （一）被请求强制许可的发明专利或者实用新型专利的专利号不明确或者难以确定； |
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| (2)The petitioning documents are provided without a Chinese version; or | | （二）请求文件未使用中文； |
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| (3)It is obviously groundless to compulsory licensing. | | （三）明显不具备请求强制许可的理由。 |
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| Article 9 In case the petitioning documents do not meet the provisions of Article 6 or 7 of these Measures, the petitioner shall, within 15 days upon receipt of the notice, correct and supplement the documents. In case the documents have not been corrected and implemented within the time limit, it shall be deemed as no petition has been submitted. | | 第九条 请求文件不符合本办法第六条、第七条规定的，请求人应当在收到通知之日起15日内进行补正。期满未补正的，该请求视为未提出。 |
The petitioner shall, within one month upon the petition for compulsory licensing, pay petitioning fees for compulsory licensing; and in case such petitioning fees have not been paid or have not been fully paid within the time limit, it shall be deemed as no petition has been submitted. | |
请求人应当自提出强制许可请求之日起1个月内缴纳强制许可请求费；逾期未缴纳或者未缴足的，该请求视为未提出。 |
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| Article 10 In the case of a petition for compulsory licensing in compliance with the provisions of the Patent Law, the Detailed Rules for the Implementation of the Patent Law and these Measures, the State Intellectual Property Office shall send the duplicate of the petition to the patentee. The patentee shall state its/his opinions within a specified time limit. In case there is no reply within the time limit, it shall not affect the State Intellectual Property Office's making a decision. | | 第十条 对符合专利法、专利法实施细则及本办法规定的强制许可请求，国家知识产权局应当将请求书副本送交专利权人。专利权人应当在指定期限内陈述意见。期满未答复的，不影响国家知识产权局作出决定。 |
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| Article 11 The State Intellectual Property Office shall examine the reasons stated and the relevant certification documents submitted by the petitioner. In case an on-site verification is required, the State Intellectual Property Office shall assign two or more persons to carry out the on-site verification. | | 第十一条 国家知识产权局应当对请求人陈述的理由和提交的有关证明文件进行审查。需要实地核查的，国家知识产权局应当指派两名以上工作人员实地核查。 |
In case the reasons stated and the relevant certification documents submitted by the petitioner are insufficient or false, the State Intellectual Property Office may, before making a decision on turning down the petition of compulsory licensing, notify the petitioner, and provide it/him with an opportunity to state its/his opinions.
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请求人陈述的理由和提交的有关证明文件不充分或不真实的，国家知识产权局在作出驳回强制许可请求的决定前应当通知请求人，给予其陈述意见的机会。
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