CHINA: An Introduction to Intellectual Property: Non-litigation (PRC Firms)

A Brief Introduction to Amendments of China's Revised Implementing Regulations of the Patent Law and Guidelines for Patent Examination 

In order to align with the new patent law which came into effect on 1 June 2021, the China National Intellectual Property Administration (CNIPA) started preparations for the revision of the Implementing Regulations of the Patent Law ("Implementing Regulations") and the Guidelines for Patent Examination ("Guidelines") three years ago. The CNIPA has been engaging in relevant revision work in the past three years or so, and during that time, news about the revision of the Implementing Regulations and Guidelines always attracted much attention. As an important supporting administrative regulation and departmental rule to ensure the effective implementation of the Patent Law, it has a significant impact on how the Patent Law is implemented and the final effects of its implementation.

The Implementing Regulations of the Patent Law of the People's Republic of China (Draft Amendment) were deliberated and approved at the Executive Meetings of the State Council on 3 November 2023, and on 21 December 2023. The Decision of the State Council on Amending the Implementing Regulations of the Patent Law of the People's Republic of China was announced by the State Council (Decree No 769), accompanied by the release of the full text of the revised Implementing Regulations. On the same day, the Guidelines for Patent Examination (2023) were published by the CNIPA (Decree No 78). The revised Implementing Regulations and Guidelines will both come into effect on 20 January 2024.

The comprehensive revision of the Implementing Regulations is to adapt to the fourth amendment of the Patent Law, and at the same time, it is an important supporting legislative work carried out to fulfill the obligation of China as a contracting party acceding, on February 5, 2022, to the Geneva Act (1999) of the Hague Agreement Concerning International Registration of Industrial Designs. With the previous revision of the Implementing Regulations dating back to nearly fourteen years ago, this revision brings substantial amendments and some key system adjustments, which actively respond to the innovators' needs in patent application, examination and protection. The revision has further optimised China's patent application and examination system and improved the standards of its patent creation, use, protection, management and services. In this article, the revision of the Implementing Regulations and Guidelines will be reviewed in four aspects.

1. Implementation of the amendments to the Patent Law and provision of details on systems and rules established by the new Patent Law

The new Patent Law, which took effect on 1 June 2021, has introduced a number of systems and rules for strengthening the protection of the legitimate rights and interests of patentees, promoting the commercialisation and use of patents, and improving the patent granting system. These new systems and rules, such as partial design, the principle of good faith, exceptions of disclosure not prejudicing novelty, patent term compensation, patent open licensing, and deferred examination, have brought practical convenience and benefits to the innovators. The revised Implementing Regulations and Guidelines offer a clear basis and guidance for the effective implementation of the new Patent Law, playing a crucial role in improving the patent system. Take the patent term compensation as an example, the revised Implementing Regulations clearly stipulates the condition for requesting compensation of a patent term, the scope of compensation, the calculation method of compensation period, and the operation procedures. In respect of deterred examination, the revision adds the provision that utility model patent applications can be deferred for examination by one year, meaning all of the three types of patent applications in China are now eligible for deferred examination. At the same time, the examination request for design patent applications can be made on the basis of months. It also allows applications to withdraw the deferred request at any time before the extension period expires. The modified deferred examination system, together with the existing mechanisms of expedited examination and centralised examination, can more comprehensively respond to and meet innovators' diverse needs, by making the examination cycle better aligned, coordinated and matched with the market-oriented operation of patents, and providing the applicants with great flexibility and convenience.

2. Connection with international treaties, fulfillment of international treaty obligations, and further integration into international rules

Since the 1999 Geneva Act of the Hague Agreement in China came into force on 5 May 2022, Chinese applicants have been able to quickly and conveniently get international protection of designs in the 96 countries (as of August 1, 2023) covered by the Hague System, and the applicants from these countries have been able to obtain protection of designs in China through international design applications. Although China's domestic legislation has duly kept in pace with the issuance of the Interim Measures for Handling of Relevant Affairs after Accession to the Hague Agreement, the said interim measures are not sufficient, and the requirements and processes stipulated therein still have room for improvement from operational perspective. The Implementing Regulations provide legal references and guidance for accepting international design applications and processing international design applications designated for China. Specifically, the new details have been added in Rules 136-144 in Chapter 12 of Implementing Regulations and the new Guidelines have included a new section Part VI. These stipulate the requirements and procedures for the submitting an application for international registration of designs to the International Bureau through the CNIPA, to review the international design application. It actively implements the international treaty obligations when joining the Hague Agreement. It connects domestic design application procedures with international processes, promoting alignment and integration of the domestic patent system with its international counterparts.

3. Introduction of new systems and mechanisms to further improve the patent application system

To fully respond to the diverse needs of innovators, the revised Implementing Regulations and Guidelines have brought in new systems and mechanisms, with a view to facilitate the applicants and innovators, improve the quality and efficiency of patent examination, safeguard the legitimate rights and interests of the patentees, strengthen patent public services, and foster the commercialisation and use of patents. or example, the updated Implementing Regulations and Guidelines have introduced the "incorporation by reference" system, which serves as a new remedial channel for applicants submitting missing materials by referring to the corresponding part in their earlier application within a specified time. Also newly provided in the revised Implementing Regulations and Guidelines are the "addition, correction and restoration of priority claim", which are remedies of significant convenience to the applicants. The existence of the priority system can help applicants seize the priority date in time, exclude technologies disclosed after that date from the scope of existing technology, and also provide applicants with more time to complete the global patent layout and reasonable planning of patent R&D. It provides many rights and interests to applicants and patenees.

4. Fine-tuning and improvement of existing rules and practices

The revised Implementing Regulations and Guidelines also fine-tune and improve some existing rules and practices based on practical situations and needs, including but not limited to:

 i) Cancelling the 15-day mailing time for documents delivered digitally not only shortens the deadline for reply notices and decisions by 15 days, but also simplifies the calculation and management of deadlines, which is consistent with international practice;

 ii) The time to change or add an inventor is limited to one month from the date of receipt of the Notification of Acceptance of Patent Application. The requirements for supporting documents are also more detailed and strict, reflecting the emphasis on inventor qualifications.Correspondingly, applicants are also required to exercise caution and fill in investor information carefully when submitting the application;

 iii) The statutory extension of the time limit in the event of a national emergency or extraordinary situation has been added, thus greatly facilitating applicants in these specific circumstances;

iv) Cancel the two-month waiting period before issuing a Notification of Termination of Patent Right. That is, if the patent annual fee has not been paid at the expiration of the late payment period or the patent annual fee or late payment fee has been paid in full, the notice will be issued directly without waiting for two months. This provision shortens the time for the patentee to restore patent rights and also improves the efficiency of examination;

v) It clearly stipulates that artificial intelligence cannot be used as an inventor, giving a clear answer to the fierce discussions in the industry;

vi) The revision of the examination standards for invention patent applications related to computer programmes actively responds to the development demands of industries in new technology fields such as artificial intelligence, big data, and blockchain, promotes the improvement of patent quality, and effectively strengthens patent protection for new business forms and new fields.

This revision of the Implementing Rules and Guidelines comprehensively optimises and improves the existing patent system. It is a milestone event in China's patent system. It will not only greatly improve the quality and efficiency of China's patent applications and examinations, but also greatly improve the quality and efficiency of China's patent applications and examinations. It will effectively strengthen the strength and scope of China's patent protection, and will ultimately promote the improvement of China's innovation vitality and competitiveness.

新专利法实施细则与专利审查指南修改简介 

为配合2021年6月1日起施行的新专利法，国家知识产权局三年前就开启了专利法实施细则和专利审查指南的修改准备工作。在这三年多时间内，专利法实施细则和专利审查指南的修订始终备受关注：实施细则和审查指南作为保证专利法有效实施的重要配套行政法规和部门规章，对于专利法具体如何实施和实施的最终成效有着重大的影响和作用。

2023年11月3日，国务院常务会议审议通过《中华人民共和国专利法实施细则（修正草案）》。2023年12月21日国务院第769号令公布了《国务院关于修改〈中华人民共和国专利法实施细则〉的决定》并发布了修改后的专利法实施细则的全文。同日，国家知识产权局第78号令公布了《专利审查指南（2023）》。修改后的专利法实施细则和专利审查指南将于2024年1月20日起施行。

本次实施细则的修改是适应专利法第四次修正而进行的全面修改，也是履行我国2022年2月5日向世界知识产权组织交存《工业品外观设计国际注册海牙协定》（1999年文本）加入书后进行配套立法工作的重要组成部分。本次实施细则修改距上一次修改已接近十四年之久，因而本次修改内容比较多，制度调整比较大，积极回应了创新主体对于专利申请、审查和保护等方面的需求，对于进一步完善中国专利申请和审查制度，提升中国专利创造、运用、保护、管理和服务水平具有重要的意义。下面，本文将从四个方面介绍此次实施细则和专利审查指南的修订。

一、落实专利法的修改、对专利法有关制度的进一步细化 2021年6月1日起施行的新专利法在加强对专利权人合法权益的保护、促进专利转化运用、完善专利授权制度等方面增设了多项制度，这些制度给创新主体带来了切实的便利性和实际权益。例如局部外观设计、诚实信用原则、不丧失新颖性公开的例外情形、专利权期限补偿、开放许可和延迟审查制度等。新实施细则和专利审查指南为新专利法的落地实施提供了具体明确的依据和指引，对于完善我国专利制度有着积极显著的意义。例如，本次修订清楚明确地规定了专利权期限补偿的请求条件、补偿范围、补偿期限计算方式以及操作流程等。本次修订增加了实用新型专利申请可延迟审查一年时间的规定，实现了三种专利申请类型都可申请延迟审查的制度设计，同时将外观设计专利申请的延迟审查请求调整为以月为单位。在请求延迟审查后，申请人还可以在延审期限届满前根据自身情况随时撤回延迟审查请求。本次修改后的延迟审查制度，与现有的加快审查、集中审查等制度相结合，能够更加全面地回应和满足创新主体的多样化需求，使审查周期更好地与专利的市场化运作相协调、相匹配，给申请人提供了巨大的灵活性和便利性。

二、无缝衔接国际条约，积极落实国际条约义务、进一步融入国际规则自2022年5月5日起海牙协定1999年文本对中国生效以后，中国申请人可以通过国际外观设计申请的方式在海牙体系覆盖的96个（截止2023年8月1日）国家中快速便捷地实现外观设计的国际保护，这些国家的申请人同样可以通过国际外观设计申请在中国获得保护。中国国内��立法虽然通过“关于加入《海牙协定》后相关业务处理暂���办法”快速跟上，但是该暂行办法的法律层级不够高，其规定的要求和流程在操作层面上还有进一步改善的空间。新实施细则和新专利审查指南的修订进一步完善了这一制度，为受理外观设计国际申请以及处理指定中国的外观设计国际申请提供了法律依据和实操指引。具体而言，新实施细则新增了第十二章第136-144条，新专利审查指南增加了第六部分，具体规定了通过专利局向国际局提交外观设计国际注册申请以及专利局审查外观设计国际申请的相关要求和流程，积极落实了加入海牙协定所应当承担的国际条约义务，让外观设计国际申请程序与国内程序无缝衔接起来，也使中国专利制度进一步与国际专利制度接轨、融入国际专利制度体系。

三、新增加和引入一些制度，从而进一步完善专利申请制度为全面回应创新主体的多样化需求，本次新实施细则和专利审查指南新增了多项制度，其出发点就是便利申请人和创新主体、提高专利审查质量和效率、维护专利权人合法权益、加强专利公共服务、促进专利转化运用。例如，新实施细则和专利审查指南引入了援引加入制度，在申请人���交申请文件发生遗漏时，申请人可以在指定时间内通过援引在先申请中相应部分的方式加入遗漏项目或部分,为申请人提供了一种新的救济渠道。另外，新实施细则和专利审查指南引入了优先权要求的增加、改正及恢复制度，这一救济渠道为申请人提供了极大的便利。优先权日对于专利申请而言是一个极其重要的日子，是用于确定现有技术的重要分界线。优先权制度的存在，能够帮助申请人及时抢占优先权日，将该日期以后公开的技术都排除在现有技术的范围之外，同时还给申请人提供了较多的时间完成全球专利布局、合理规划专利研发及申请进度，为申请人和专利权人提供了诸多权益。

四、对现行制度的调整和完善

新实施细则和新专利审查指南还根据实际情况和需求对现行制度进行了适当的调整和完善，包括但不局限于：

一) 取消电子形式送达文件的15天邮路时间，不仅将答复通知书和决定的期限缩短了15天，同时简化了期限的计算和管理，与国际通行做法也是一致的；

二) 将变更或增加发明人的时机限制为收到受理通知书之日起一个月内，同时对证明文件的要求也更加细致和严格，反映出对发明人资格的重视，相应地，也要求申请人在提交申请时慎重对待和填写发明人信息；

三) 增加了在国家出现紧急状态或者非常情况时对期限的法定延长，从而在这些特定情况下大大方便了申请人；

四) 取消发出专利权终止通知书前的2个月等待期，即，专利年费滞纳期满仍未缴纳或者缴足专利年费或者滞纳金后就直接发出该通知书，不再等待2个月，此规定缩短了专利权人恢复专利权的时间，同时也提高了审查效率；

五) 明确规定人工智能不能作为发明人，对业内激烈的探讨给出了明确的答复；

六) 修改有关计算机程序的发明专利申请审查标准，积极回应了人工智能、大数据、区块链等新技术领域产业的发展诉求、促进专利质量提升，切实加强了对新业态新领域的专利保护力度。

本次实施细则和专利审查指南修订对现有专利制度进行了全面的优化和完善，是中国专利制度上一个里程碑式的事件，不仅将极大地提高中国的专利申请和审查的质量和效率，还将有效地强化中国专利保护的力度和范围，最终必将促进中国创新活力和竞争力的提升。