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Announcement of the National Intellectual Property Administration for Amending the Guidelines for Patent Examination (Announcement 343 of the National Intellectual Property Administration) [Expired]
国家知识产权局关于修改《专利审查指南》的公告(国家知识产权局公告第343号) [失效]
【法宝引证码】

Announcement of the National Intellectual Property Administration for Amending the Guidelines for Patent Examination 

国家知识产权局关于修改《专利审查指南》的公告

(Announcement No. 343 of the National Intellectual Property Administration) (国家知识产权局公告第三四三号)

For the purposes of comprehensively implementing the decisions and deployments of the CPC Central Committee and the State Council for strengthening intellectual property protection, and responding to the needs of innovation entities for further specifying the rules for examining patent applications involving artificial intelligence and other new formats and new fields, the National Intellectual Property Administration has decided to amend the Guidelines for Patent Examination, which are hereby issued and shall come into force on February 1, 2020. 为全面贯彻党中央、国务院关于加强知识产权保护的决策部署,回应创新主体对进一步明确涉及人工智能等新业态新领域专利申请审查规则的需求,决定对《专利审查指南》作出修改,现予发布,自2020年2月1日起施行。
特此公告。
National Intellectual Property Administration 国家知识产权局
December 31, 2019 2019年12月31日
Decision of the National Intellectual Property Administration for Amending the Guidelines for Patent Examination 国家知识产权局关于修改《专利审查指南》的决定
The National Intellectual Property Administration (“CNIPA”) has decided to make the following amendments to the Guidelines for Patent Examination: 国家知识产权局决定对《专利审查指南》作出修改。
Section 6 is added as follows in Chapter IX, Part II of the Guidelines for Patent Examination: 在《专利审查指南》第二部分第九章增加第6节,内容如下:
6. Relevant provisions on the examination of applications for invention patents containing algorithmic features or business rules and method features 6. 包含算法特征或商业规则和方法特征的发明专利申请审查相关规定
Applications for invention patents involving artificial intelligence, “Internet plus,” big data, and blockchain, among others, generally include rules and method features of algorithms or business rules and methods and other intellectual activities. This section is developed for prescribing the specialty of the examination of such types of applications according to the Patent Law and its detailed implementation rules. 涉及人工智能、“互联网+”、大数据以及区块链等的发明专利申请,一般包含算法或商业规则和方法等智力活动的规则和方法特征,本节旨在根据专利法及其实施细则,对这类申请的审查特殊性作出规定。
6.1 Examination standards 6.1 审查基准
Examination shall be conducted for solutions requiring protection, i.e. the solutions defined by the claims. In the examination, the technical features shall not be simply separated from the algorithmic features or the business rules and method features. Instead, all the contents recorded in a claim shall be regarded as a whole, and the technical means involved, the technical problems resolved, and the technical effects obtained shall be analyzed. 审查应当针对要求保护的解决方案,即权利要求所限定的解决方案进行。在审查中,不应当简单割裂技术特征与算法特征或商业规则和方法特征等,而应将权利要求记载的所有内容作为一个整体,对其中涉及的技术手段、解决的技术问题和获得的技术效果进行分析。
6.1.1 Examination under item (2), paragraph 1, Article 25 the Patent Law 6.1.1 根据专利法二十五条第一款第(二)项的审查
Where a claim involves an abstract algorithm or simple commercial rules and methods, but does not contain any technical feature, the claim shall fall under the rules and methods for the intellectual activities prescribed in item (2), paragraph 1, Article 25 of the Patent Law and no patent shall be granted thereto. For example, a method for building a mathematical model based on an abstract algorithm and excluding technical features falls under the circumstance under which a patent right shall not be granted according to item (2), paragraph 1, Article 25 of the Patent Law. For another example, a method of rebate according to the consumption amount of users whose features are business rules and method features related to the rebate rules and do not contain any technical features falls under the circumstance under which a patent right shall not be granted according to item (2), paragraph 1, Article 25 of the Patent Law. 如果权利要求涉及抽象的算法或者单纯的商业规则和方法,且不包含任何技术特征,则这项权利要求属于专利法二十五条第一款第(二)项规定的智力活动的规则和方法,不应当被授予专利权。例如,一种基于抽象算法且不包含任何技术特征的数学模型建立方法,属于专利法二十五条第一款第(二)项规定的不应当被授予专利权的情形。再如,一种根据用户的消费额度进行返利的方法,该方法中包含的特征全部是与返利规则相关的商业规则和方法特征,不包含任何技术特征,属于专利法二十五条第一款第(二)项规定的不应当被授予专利权的情形。
Where a claim contains technical features in addition to algorithmic features or business rules and method features, the claim as a whole is not a rule for or method of any intellectual activity. Its possibility of obtaining a patent right shall not be excluded according to item (2), paragraph 1, Article 25 of the Patent Law. 如果权利要求中除了算法特征或商业规则和方法特征,还包含技术特征,该权利要求就整体而言并不是一种智力活动的规则和方法,则不应当依据专利法二十五条第一款第(二)项排除其获得专利权的可能性。
6.1.2 Examination under paragraph 2, Article 2 of the Patent Law 6.1.2 根据专利法二条第二款的审查
Where a claim required to be protected as a whole does not fall under the circumstance under which the patent right is excluded according to item (2), paragraph 1, Article 25 of the Patent Law, whether it belongs to a technical solution prescribed in paragraph 2, Article 2 of the Patent Law shall be examined. 如果要求保护的权利要求作为一个整体不属于专利法二十五条第一款第(二)项排除获得专利权的情形,则需要就其是否属于专利法二条第二款所述的技术方案进行审查。
When examining whether a claim containing algorithmic features or business rules and method features is a technical solution, all features recorded in the claim shall be considered as a whole. If the claim records that the technical issues to be resolved have adopted the technical means utilizing the natural law and the technical effect conforming to the natural law is obtained therefrom, the solution defined by the claim belongs to the technical solution prescribed in paragraph 2, Article 2, of the Patent Law. For example, if the various steps of an algorithm involved in a claim are closely related to the technical problem to be solved, and the data processed by the algorithm are data with specific technical meaning in the technical field, the execution of the algorithm can directly reflect the process of resolving a certain technical problem with natural law, technical effects have been obtained, and the solution defined in the claim generally belongs to a technical solution prescribed in paragraph 2, Article 2 of the Patent Law. 对一项包含算法特征或商业规则和方法特征的权利要求是否属于技术方案进行审查时,需要整体考虑权利要求中记载的全部特征。如果该项权利要求记载了对要解决的技术问题采用了利用自然规律的技术手段,并且由此获得符合自然规律的技术效果,则该权利要求限定的解决方案属于专利法二条第二款所述的技术方案。例如,如果权利要求中涉及算法的各个步骤体现出与所要解决的技术问题密切相关,如算法处理的数据是技术领域中具有确切技术含义的数据,算法的执行能直接体现出利用自然规律解决某一技术问题的过程,并且获得了技术效果,则通常该权利要求限定的解决方案属于专利法二条第二款所述的技术方案。
6.1.3 Examination of novelty and creativity 6.1.3 新颖性和创造性的审查
When examining the novelty of an application for invention patent containing algorithmic features or business rules and method features, all the features recorded in the claim shall be considered, and all the features include both technical features and algorithmic features or business rules and method features. 对包含算法特征或商业规则和方法特征的发明专利申请进行新颖性审查时,应当考虑权利要求记载的全部特征,所述全部特征既包括技术特征,也包括算法特征或商业规则和方法特征。
When examining creativity of an application for an invention patent that contains both technical features and algorithmic features or business rules and method features, the algorithmic features or business rules and method features that are functionally and mutually supportive and interactive with technical features shall be considered with the technical features as a whole. “Relationship of functionally supporting each other and mutual interaction” means that algorithmic features or business rules and method features are closely combined with technical features, have jointly formed technical means to resolve a technical problem, and may obtain corresponding technical effects. 对既包含技术特征又包含算法特征或商业规则和方法特征的发明专利申请进行创造性审查时,应将与技术特征功能上彼此相互支持、存在相互作用关系的算法特征或商业规则和方法特征与所述技术特征作为一个整体考虑。“功能上彼此相互支持、存在相互作用关系”是指算法特征或商业规则和方法特征与技术特征紧密结合、共同构成了解决某一技术问题的技术手段,并且能够获得相应的技术效果。
For example, if the algorithm in a claim is applied in a specific technical field and can resolve a specific technical problem, it can be considered that the algorithmic features and technical features are functionally and mutually supportive and interactive with each other, and the algorithmic features become the composition of the algorithmic features adopted, in the examination of creativity, the contribution of the described algorithmic features to the technical solutions shall be considered. 例如,如果权利要求中的算法应用于具体的技术领域,可以解决具体技术问题,那么可以认为该算法特征与技术特征功能上彼此相互支持、存在相互作用关系,该算法特征成为所采取的技术手段的组成部分,在进行创造性审查时,应当考虑所述的算法特征对技术方案作出的贡献。
For another example, if the implementation of the business rules and method features in the claims requires adjustment to or improvement of the technical means, it may be deemed that the business rules and method features and the technical features are functionally and mutually supportive and interactive with each other, and in the creativity examination, the contribution of the stated business rules and method features to the technical solution shall be considered. 再如,如果权利要求中的商业规则和方法特征的实施需要技术手段的调整或改进,那么可以认为该商业规则和方法特征与技术特征功能上彼此相互支持、存在相互作用关系,在进行创造性审查时,应当考虑所述的商业规则和方法特征对技术方案作出的贡献。
6.2 Examination examples 6.2 审查示例
According to the aforesaid examination standards, examination examples of applications for invention patents containing algorithmic features or business rules and method features are given. 以下,根据上述审查基准,给出包含算法特征或商业规则和方法特征的发明专利申请的审查示例。
(1) Applications for invention patents containing algorithmic features or business rules and method features under item (2), paragraph 1, Article 25 of the Patent Law are not subject matter of patent protection. (1)属于专利法二十五条第一款第(二)项范围之内的包含算法特征或商业规则和方法特征的发明专利申请,不属于专利保护的客体。
[Example 1] 【例1】
A method of building a mathematical model 一种建立数学模型的方法
Overview of the application 申请内容概述
The solution to the application for an invention patent is a method of building a mathematical model, which increases the accuracy of modeling by increasing the number of training samples. The modeling method also uses training samples of other categories of tasks related to the first classification of tasks as training samples of the mathematical model of the first classification of tasks, thereby increasing the number of training samples, and uses the feature values, extracted feature values, label values, and other relevant mathematical models to conduct training. Finally the mathematical model of the first classification of tasks is obtained, which overcomes the shortcomings of relatively poor modeling accuracy due to overfitting caused by fewer training samples. 发明专利申请的解决方案是一种建立数学模型的方法,通过增加训练样本数量,提高建模的准确性。该建模方法将与第一分类任务相关的其它分类任务的训练样本也作为第一分类任务数学模型的训练样本,从而增加训练样本数量,并利用训练样本的特征值、提取特征值、标签值等对相关数学模型进行训练,并最终得到第一分类任务的数学模型,克服了由于训练样本少导致过拟合而建模准确性较差的缺陷。
Claims of the application 申请的权利要求
A method of building a mathematical model is characterized by and includes the following steps: 一种建立数学模型的方法,其特征在于,包括以下步骤:
According to the feature values in the training samples of the first classification of tasks and the feature values in the training samples of the second classification of tasks, training is conducted for the initial feature extraction model and the target feature extraction model is obtained; of which, the second classification of tasks are other categories of tasks related to the first classification of tasks. 根据第一分类任务的训练样本中的特征值和至少一个第二分类任务的训练样本中的特征值,对初始特征提取模型进行训练,得到目标特征提取模型;其中,所述第二分类任务是与所述第一分类任务相关的其它分类任务;
According to the said target feature extraction model, the future values in each training sample of the said first classification of tasks are respectively processed, to obtain the extraction feature values corresponding to each training sample. 根据所述目标特征提取模型,分别对所述第一分类任务的每个训练样本中的特征值进行处理,得到所述每个训练样本对应的提取特征值;
The extracted feature values and label values corresponding to each training sample constitute extracted training samples, training is conducted for initial classification model, and target classification model is obtained. 将所述每个训练样本对应的提取特征值和标签值组成提取训练样本,对初始分类模型进行训练,得到目标分类模型;
The said target classification model and the said target feature extraction model are composed into a mathematical model of the first classification of task. 将所述目标分类模型和所述目标特征提取模型组成所述第一分类任务的数学模型。
Analysis and conclusion 分析及结论
This solution does not involve any specific application field. The feature value, extracted feature value, label value, target classification model, and target feature extraction model of the processed training samples are abstract general data. The process of training the mathematic model with the relevant data of the training samples is a series of steps of the abstract mathematical method. The final result is also an abstract mathematical model under general classification. This solution is an abstract model building method. Its processing objects, processes, and results do not involve the combination with specific application areas. It belongs to the optimization of abstract mathematical methods and the entire solution does not include any technical features. The solution to an application for an invention patent belongs to the rules and methods of intellectual activity prescribed item (2), paragraph 1, Article 25 of the Patent Law, but does not belong to the subject matter of patent protection. 该解决方案不涉及任何具体的应用领域,其中处理的训练样本的特征值、提取特征值、标签值、目标分类模型以及目标特征提取模型都是抽象的通用数据,利用训练样本的相关数据对数学模型进行训练等处理过程是一系列抽象的数学方法步骤,最后得到的结果也是抽象的通用分类数学模型。该方案是一种抽象的模型建立方法,其处理对象、过程和结果都不涉及与具体应用领域的结合,属于对抽象数学方法的优化,且整个方案并不包括任何技术特征,该发明专利申请的解决方案属于专利法二十五条第一款第(二)项规定的智力活动的规则和方法,不属于专利保护客体。
(2) An application for an invention patent that utilizes technical means and obtain technical effects in order to resolve technical problems and incorporates algorithmic features or business rules and method features belongs to the technical scheme prescribed in paragraph (2), Article 2 of the Patent Law, and therefore belongs to the subject matter of patent protection.
......
 (2)为了解决技术问题而利用技术手段并获得技术效果的包含算法特征或商业规则和方法特征的发明专利申请,属于专利法二条第二款规定的技术方案,因而属于专利保护的客体。
......

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