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1、规范申请专利行为的规定ProvisionsonRegulatingPatentApplicationActivities制定机关：国家知识产权局发文字号I国家知识产权局令第77号公布日期：2023.12.21善行日期：2024.01.20效力位阶：部门规章法规类别：专利综合规定Issuingauthority：InstrumentalitiesoftheStateCoundl,AAdministrationslStateIntellectualPropertyOfficeDocumentNumber：OrderNo.77oftheChinaNationalIntellectualPropert
2、yAdministrationDateissued：12-21-2023Effectivedate：01-20-20241.evelofAuthority：DepartmentalRulesAreaof1.aw：Patent国家知识产权局令OrderoftheChinaNationalIntellectualPropertyAdministration（第77号）规范申请专利行为的规定已经国家知识产权局局务会审议通过，现予公布，自2024年1月20日起施行。(No.77)TheProvisionsonRegulatingPatentApplicationActivities,asdeliber
3、atedandadoptedattheexecutivemeetingoftheChinaNationalIntellectualPropertyAdministration(uCNIPAn),areherebyissuedandshallcomeintoforceonJanuary20,2024.局长：申长雨2023年12月21日规范申请专利行为的规定Director:ShenChangyuDecember21,2023第一条为了规范申请专利行为，维护专利工作的正常秩序，根据中华人民共和国专利法中华人民共和国专利法实施细则专利代理条例等有关法律法规制定本规定。ProvisionsonRegu
4、latingPatentApplicationActivitiesArticle1Forthepurposesofregulatingpatentapplicationactivitiesandmaintainingthenormalorderofthepatentwork,theseProvisionsaredevelopedinaccordancewiththePatent1.awofthePeople,sRepublicofChina,theDetailedRulesfortheImplementationofthePatent1.awofthePeoplesRepublicofChin
5、a,theRegulationonPatentAgency,andotherrelevantlawsandregulations.第二条提出或者代理提出专利申请的，应当遵守法律、行政法规和部门规章的有关规定，遵循专利法立法宗旨，恪守诚实信用原则，以真实发明创造活动为基础，不得弄虚作假，不得违反中华人民共和国专利法实施细则第十条的规定实施非正常申请专利行为。第三条本规定所称非正常申请专利行为包括：Article2Whoeverfilesapatentapplicationbyitselforhimselforasanagentshallabidebytherelevantprovisionsof
6、laws,administrativeregulationsanddepartmentalrules,observethelegislativepurposesofthePatent1.aw,adheretotheprincipleofgoodfaith,andbebasedonrealinnovationandcreationactivities;andshallneitherpracticefraudnorconductanyabnormalpatentapplicationactivityinviolationofArticle11oftheDetailedRulesfortheImpl
7、ementationofthePatent1.awofthePeoplesRepublicofChina.（一）所提出的多件专利申请的发明创造内容明显相同，或者实质上由不同发明创造特征、要素简单组合形成的；Article3ForthepurposeoftheseProvisions,abnormalpatentapplicationactivitiesMincludethefollowing:（一）所提出专利申请存在编造、伪造、变造发明创造内容、实验数据或者技术效果，或者抄袭、简单替换、拼凑现有技术或者现有设计等类似情况的；(1) Themultiplepatentapplicationssu
8、bmittedareobviouslythesameintermsofthecontentofinventionsandcreations,oraresubstantiallyformedbyasimplecombinationofdifferentinventionandcreationcharacteristicsorelements.(2) Astothepatentapplicationssubmitted,thecontent,experimentaldataortechnicaleffectsoftheinventionsorcreationsarefabricated,falsi
9、fied,oraltered,ortheexistingtechnologiesordesignsareplagiarized,simplysubstitutedorpiecedtogether,orthereareothersimilarcircumstances.（三）所提出专利申请的发明创造内容主要为利用计算机技术等随机生成的；（四）所提出专利申请的发明创造为明显不符合技术改进、设计常理,或者变劣、堆砌、非必要缩限保护范围的；(3) Thecontentofinventionsandcreationsinvolvedinpatentapplicationsisgeneratedrando
10、mlybyusingcomputertechnologies,amongothers.(4) Theinventionsandcreationsinvolvedinthepatentapplicationssubmittedobviouslydonotconformtothecommonsenseoftechnologicalimprovementsordesigns,orareinferiororpileduporhavetheirprotectionscopenarrowedunnecessarily.（五）申请人无实际研发活动提交定件由利由诸.日不能住,合理创笈(5) Applicant
11、ssubmitmultiplepatentaDicationswithoutconductinactualR&D释的;（六）将实质上与特定单位、个人或者地址关联的多件专利申请恶意分散、先后或者异地提出的；activitiesandcannotmakereasonableexplanations.(6) Multiplepatentapplicationssubstantiallyassociatedwithspecificentities,individualsoraddressesaresubmittedrespectively,successively,orindifferentplace
12、sformaliciouspurposes.（七）出于不正当目的转让、受让专利申请权，或者虚假变更发明人、设计人的；（八）违反诚实信用原则、扰乱专利工作正常秩序的其他非正常申请专利行为。第四条任何单位或者个人不得代理、诱导、教唆、帮助他人实施各类非正常申请专利行为。(7) Therightstoapplyforpatentsaretransferredoracceptedforillicitpurposes,orinventorsordesignersarefalselychanged.(8) Otherabnormalpatentapplicationactivitiesthatviolat
13、etheprincipleofgoodfaithanddisruptthenormalorderofthepatentwork.第五条国务院专利行政部门根据中华人民共和国专利法中华人民共和国专利法实施细则相关规定，在专利申请的受理、初步审查、实质审查、复审程序或者国际申请的国际阶段程序中发现或者根据举报线索得知，并初步认定存在非正常申请专利行为的，可以组成专门审查工作组或者授权审查员启动专门审查程序，通知申请人在指定的期限内陈述意见并提交证明材料，或者主动撤回相关专利申请、法律手续办理请求。Article4Noentityorindividualmayactasanagentforothers
14、incommitting,induceorinstigateotherstocommit,orhelpotherscommitvariousabnormalpatentapplicationactivities.第六条申请人无正当理由逾期未答复的，相关专利申请视为撤回，相关法律手续办理请求视为未Article5WherethepatentadministrativedepartmentoftheStateCouncilfindsduringtheproceduresofacceptance,preliminaryexamination,substantiveexamination,orrevi
15、ewofpatentapplicationsorduringtheinternationalproceduresforinternationalapplicationsorlearnsfromcluestotip-offsandpreliminarilydeterminesthatthereareanyabnormalpatentapplicationactivities,itmayformanadhocexaminationgrouporauthorizeexaminerstoinitiatespecialexaminationprocedurestonotifyapplicantsandr
16、equirethemtomakestatementsandsubmitcertificationmaterialsorvoluntarilywithdrawrelevantpatentapplicationsorrequestsforundergoinglegalproceduresduringspecifiedperiods.Article6Ifanapplicantfailstomakearesponsewithoutanyjustifiablereason,therelevantpatentapplicationshallbedeemedtnhboonuithrlrQnnHthoronm
17、et提出。第七条经申请人陈述意见后，国务院专利行政部门仍然认为属于非正常申请专利行为的，应当依法驳回相关专利申请，或者不予批准相关法律手续办理请求。forundergoingrelevantlegalproceduresshallbedeemedtohavenotbeenmade.申请人对驳回专利申请决定不服的，可以依法提出专利复审请求；对不予批准相关法律手续办理请求不服的，可以依法提出行政复议申请或者提起行政诉讼。Article7Where,afteranapplicantmakesastatement,thepatentadministrativedepartmentoftheStateC
18、ouncilstillconsidersthattheactivityfallswithinthescopeofabnormalpatentapplicationactivities,itmayrejecttherelevantpatentapplicationinaccordancewiththelawordisapprovetherequestforundergoingrelevantlegalprocedures.第八条对实施非正常申请专利行为的单位或者个人，依据中华人民共和国专利法中华人民共和国专利法实施细则实施行政处罚。Wheretheapplicantrefusestoaccept
19、thedecisiontorejecttherelevantpatentapplication,itorhemaymakeapatentreviewrequest;andwheretheapplicantrefusestoacceptthedecisiontodisapprovetherequestforundergoingrelevantlegalprocedures,itorhefileanadministrativereconsiderationapplicationoranadministrativelawsuitinaccordancewiththelaw.对实施本规定第四条规定的非
20、正常申请专利行为的专利代理机构，以及擅自开展专利代理业务的机构或者个人，依据专利代理条例及相关规定实施行政处罚。Article8TheentitiesorindividualsthatcommitabnormalpatentapplicationactivitiesshallbesubjecttoadministrativepunishmentsinaccordancewiththePatent1.awofthePeoplesRepublicofChinaandtheDetailedRulesfortheImplementationofthePatent1.awofthePeoplesRepu
21、blicofChina.对于违反本规定涉嫌犯罪的，依法移送司法机关追究刑事责任。ThepatentagenciesthathavecommittedanyabnormalpatentapplicationactivitiesasmentionedinArticle4oftheseProvisionsandtheinstitutionsorindividualsthatconductpatentagencybusinesswithoutapprovalshallbesubjecttoadministrativepunishmentsinaccordancewiththeRegulationonP
22、atentAgencyandotherrelevantprovisions.WhoeverviolatestheseProvisionsandissuspectedofanycrimeshallbetransferredtojudicialorganforcriminalliabilityinaccordancewiththelaw.第九条可以对非正常申请专利行为采取下列处理措施：（一）对该非正常专利申请不予减缴专利费用；对于五年内多次实施非正常申请专利行为等情节严重的申请人，其在该段时间内提出的专利申请均不予减缴专利费用；已经减缴的，要求其补缴相关减缴费用；Article9Thefollow
23、inghandlingmeasuresmaybetakenagainstanabnormalpatentapplicationactivity:（二）在国务院专利行政部门政府网站和有关媒体上予以公告，并将相关信息纳入全国信用信息共享平台；(1) Patentfeesshallnotbereducedfortheabnormalpatentapplication;patentfeesshallnotbereducedforallthepatentapplicationsfiledbytheapplicantthathascommittedabnormalpatentapplicationacti
24、vitiesmultipletimesorhasanyotherseriouscircumstanceswithinfiveyearsduringthatperiod;andifpatentfeeshavebeenreduced,theapplicantshallberequiredtopaybacktherelevantfeesthathavebeenreduced.（三）实施非正常申请专利行为损害社会公共利益，并受到市场监督管理等部门较重行政处罚的，依照国家有关规定列入市场监督管理严重违法失信名单；(2) Anannouncementshallbeissuedonthegovernment
25、websiteofthepatentadministrativedepartmentoftheStateCouncilandrelevantmedia,andtherelevantinformationshallbeincludedintheNationalCreditInformationSharingPlatform.（四）在国务院专利行政部门的专利申请数量统计中扣除非正常申请专利行为相关的专利申请数量；(3) Whoevercommitstheabnormalpatentapplicationactivitythatdamagespublicinterestsandhasbeensubj
26、ecttorelativelyheavyadministrativepunishmentbythemarketregulatorydepartmentoranyotherdepartmentshallbeincludedinthelistofpartieswithseriousillegalanddishonestactsundermarketsupervisionandadministrationinaccordancewiththerelevantprovisionsissuedbythestate.（五）对申请人和相关代理机构不予资助或者奖励；己经资助或者奖励的，全部或者部分追还。(4)
27、 ThenumberofpatentapplicationsrelatedtotheabnormalpatentapplicationactivityshallbedeductedfromthestatisticsonthenumberofpatentapplicationsofthepatentadministrativedepartmentoftheStateCouncil.(5) Nofinancialaidsorrewardsshallbegiventoapplicantandrelevantagencies.Thefinancialsubsidiesorrewardsthathave
28、beengivenshallberecoveredinwholeorinpart.第十条采取本规定第九条所列处理措施前，必要时允许当事人陈述意见。第十一条管理专利工作的部门应当引导公众和专利代理机构依法提出专利申请，加强对非正常申请专利行为的管理。Article 10 BeforethehandlingmeasureslistedinArticle9oftheseProvisionsaretaken,thepartiesshallbeallowedtostatetheiropinionswhennecessary.地方管理专利工作的部门和专利代办处发现或者根据举报得知非正常申请专利行为线索的，
29、应当及时向国务院专利行政部门报告。国务院专利行政部门对非正常申请专利行为依法进行处理时，地方管理专利工作的部门应当予以配合。Article 11 Patentadministrativedepartmentsshallguidethepublicandpatentagenciesinfilingpatentapplicationsinaccordancewiththelaw,andstrengthentheadministrationofabnormalpatentapplicationactivities.第十二条向国外提出或者代理提出专利申请的，应当遵守中国和相关国家、地区法律法规的规定。
30、不得违反诚实信用原则，不以真实发明创造活动为基础，以弄虚作假的方式提出专利申请，牟取不正当利益。1.ocalpatentadministrativedepartmentsandpatentagencyofficesthatfindorlearnfromtip-offsanycluestoabnormalpatentapplicationactivitiesshallreporttothepatentadministrativedepartmentoftheStateCouncilinatimelymanner.Whenthepatentadministrativedepartmentofthe
31、StateCouncilhandlesabnormalpatentapplicationactivitiesinaccordancewiththelaw,localpatentadministrativedepartmentsshallbecooperative.Article 12 WhoeverfilesapatentapplicationabroadorasanagentshallcomplywiththelawsandregulationsofChinaandrelevantcountriesandregions.Noonemayviolatetheprincipleofgoodfai
32、th,fileapatentapplicationnotbasedonrealinnovationandcreationactivitiesorbypracticingfraud,orseekillegitimateinterests.第十三条本规定自2024年1月20日起施行。2007年8月27日国家知识产权局令第四十五号公布的关于规范专利申请行为的若干规定，2017年2月28日国家知识产权局令第七十五号公布的国家知识产权局关于修改关于规范专利申请行为的若干规定的决定和2021年3月11日国家知识产权局公告第四一一号公布的关于规范申请专利行为的办法同时唐I卜CArticle 13 These
33、ProvisionsshallcomeintoforceonJanuary20,2024,uponwhichtheSeveralProvisionsonRegulatingPatentApplicationActivitiesissuedbyOrderNo.45oftheCNIPAonAugust27,2007,theDecisionoftheChinaNationalIntellectualPropertyAdministrationtoAmendtheSeveralProvisionsonRegulatingPatentApplicationActivitiesissuedbyOrderNo.75oftheCNIPAonFebruary28,2017,andtheMeasuresforRegulatingPatentApplicationActivitiesissuedbyAnnouncementNo.411oftheCNIPAonMarch11,2021,shallberepealed.
