Interpretation of the Supreme People's Court on Several Issues Concerning the Application of Law to the Trial of Patent Dispute Cases (Adopted on 19 June 2001 at the 1180th Meeting of the Adjudication Committee of the
Supreme People's Court)
With a view to duly adjudicating cases of patent disputes, the following Provisions are made in accordance with the provisions of the General Principles of the Civil Law of the People's Republic of China (hereinafter referred to as the General Principles of the Civil Law), the Patent Law of the People's Republic of China, (hereinafter referred to as the Patent Law), the Civil Procedure Law of the People's Republic of China and the Administrative Procedure Law of the People's Republic of China:
Article 1 The people's court accepts following cases of patent disputes:
1. disputes over the ownership of the right to apply for patent;
2. disputes over the ownership of the patent right;
3. disputes over contracts for assignment of the patent right or the right to apply for patent;
4. disputes arising from patent infringement;
5. disputes arising from counterfeiting other persons' patents; 6. disputes over the exploitation fee after the publication of the applications for patent for invention and before the grant of the patent right;
7. disputes over the reward and remuneration for the inventors or creators of service inventions;
8. cases of pre-litigation requests for stopping infringement or for property preservation;
9. disputes over the qualification of inventors or creators;
10. cases of dissatisfaction with the reexamination decisions by the Patent Reexamination Board to uphold rejection of applications;
11. cases of dissatisfaction with the reexamination decisions by the Patent Reexamination Board on requests for invalidation of the patent right;
12. cases of dissatisfaction with the reexamination decisions by the Patent Administrative Organ under the State Council on execution of compulsory licenses;
13. cases of dissatisfaction with the adjudication by the Patent Administrative Organ under the State Council on the royalties for execution of compulsory licenses;
14. cases of dissatisfaction with the administrative reexamination decisions by the Patent Administrative Organ under the State Council;
15. cases of dissatisfaction with the administrative decisions by the administrative authorities for patent affairs; and
16. any other cases of patent disputes.
Article 2 Patent dispute cases of first instance shall be under the jurisdiction of the intermediate people' courts of the seats of the People's Government of the Provinces, Autonomous Regions and Municipalities under the Central Government and the intermediate people' courts designated by the Supreme People's Court.
Article 3 Where any interested party, dissatisfied with the reexamination decision made by the Patent Reexamination Board after 1 July 2001 on the requests for revocation of a patent for utility model or design, institutes a lawsuit in the people's court, the people's court does not accept the lawsuit.
Article 4 Where any interested party, dissatisfied with the reexamination decision made by the Patent Reexamination Board after 1 July 2001 to uphold the rejection of the application for patent for utility model or design or with the decision on the request for invalidation of the patent right for utility model or design, institutes a lawsuit in the people's court, the people's court shall accept the lawsuit.
Article 5 Lawsuits instituted against acts of infringement of the patent right shall be under the jurisdiction of the people's court of the place where the defendant has its or his domicile or of the place where the infringing acts take place. Places where acts of infringement take place include: places where acts take place of manufacturing, using, offering for sale, selling or importing products accused of infringing a patent for invention or utility model; places where the acts of using a patented process takes place and where acts take place of using, offering for sale, selling or importing products acquired directly according to the patented process; places where acts of manufacturing, selling or importing products of patented designs; places where acts of
counterfeiting patents of other persons take place; and places where consequences of the preceding infringing acts arise.
Article 6 Where a plaintiff takes action against the manufacturer of an infringing product, but not against the seller as well and the places where the infringing products are manufactured and sold are not the same place, the people's court of the place of the manufacture has the jurisdiction; where the action is taken with both the manufacturer and seller accused as the co-defendants, the people's court of the place where the infringing products are sold has the jurisdiction. Where the seller is a subsidiary of the manufacturer and the plaintiff takes action against the act of the infringing product manufacturer to manufacture and sell the product, the people's court of the place where the products are sold has the jurisdiction.
Article 7 Where a plaintiff institutes a lawsuit with respect to the patent application filed before 1 January 1993 and on the basis of the patent for invention of process granted to the application, the lawsuit is under the jurisdiction as determined in the light of the provisions of Articles 5 and 6 of these Provisions. The people's court, in substantial hearing of the preceding cases, applies the provision that a patent for invention of process is not extended to the product.
Article 8 Any plaintiff takes action against an infringement of patent right for utility model shall produce the search report made by the Patent Administrative Organ under the State Council when instituting the lawsuit. Where any defendant involved in the case of dispute arising from the infringement of the patent right for utility model or design shall, when making its or his defence, file a request for invalidation of the plaintiff's patent right.
Article 9 Where the defendant files a request for invalidation of the patent right when making its or his defence in the case received by the people's court of dispute as arising from the infringement of the patent right for utility model or design, the people's court shall suspend the legal proceedings. However, under any one of the following circumstances, the legal proceedings may not be suspended:
(1) where no technical documentation is found in the search report produced by the plaintiff that results in the loss of novelty or inventiveness of the patent for utility model;
(2) where the defendant's evidence is sufficient to prove that its or his used technology has been known to the public;
(3) where the proof or basis the defendant has furnished for requesting the invalidation of the patent right in question is obviously insufficient; or
(4) any other circumstances where the people's court finds that the legal proceedings should not be suspended.
Article 10 Where the defendant files a request for invalidation of the patent right in question after the expiration of the time for making defence in a case received by the people's court of dispute arising from the infringement of the patent right for utility model or design, the people's court shall not suspend the legal proceedings, except that it is found necessary to do so upon consideration.
Article 11 Where the defendant files a request for invalidation of the patent right in question in a case received by the people's court of dispute arising from infringement of patent right for design or one from infringement of patent right for utility model or design in which the Patent Reexamination Board uphold, upon examination, the patent right, the people's court may not suspend the legal proceedings.
Article 12 Where the people's court decides to suspend the legal proceedings, the patentee or the interested party requests for ordering the defendant to desist from the relevant act or for taking other measures to halt the spread of damages caused by the infringement and provides guaranty, and the people's court, upon consideration, finds it in compliance with the provisions of the relevant laws, the people's court may simultaneously make the relevant ruling when deciding to suspend the legal proceedings.
Article 13 Where the people's court preserves property of the patent right, it shall send the Patent Administrative Organ under the State Council a notification for assistance in execution of the property preservation, indicating the matters for which assistance is sought and the duration of the patent right preservation, with the people's court ruling paper attached. For a patent right preservation that shall not last more than six months, the term is counted from the date the Patent Administrative Organ under the State Council receives the notification of assistance for execution. If it is still necessary to continue to take the measure to preserve the patent right, the people's court shall send to the Patent Administrative Organ under the State Council the notification of assistance for executing the continued preservation before the expiration of the time limit fixed for the preservation. Where such notification is not delivered before the expiration of the time limit fixed for the preservation, the property preservation of the patent right is deemed to have been automatically released. The people's court may take the property preservation measure for the pledged patent right, the pledge’s priority of compensation is not affected by the preservation measure; the exclusive licensing contract concluded between the patentee and the licensee does not affect the people's court's adopting the
property preservation of the patent right. The people's court shall not re-preserve the patent right that has been preserved.
Article 14 Where in respect of any invention-creation completed before 1 July 2001 by making use of the material and/or technical condition of the entity to which the inventor or creator belongs, the entity and the inventor or creator has concluded a contract, agreeing on the ownership of the right to apply for patent and of the patent right, the agreement shall be observed.
Article 15 Where any case received by the people's court of dispute arising from patent right infringement relates to conflict of rights, the legitimate rights and interests of the interested party that enjoys the prior right according to law shall be protected.
Article 16 The prior legitimate rights referred to in Article 23 of the Patent Law include the trademark right, copyright, right of enterprise name, portrait right and the right to use the package or decoration peculiar to any known goods, etc.
Article 17 The first paragraph "the extent of protection of the right for invention or utility model shall be determined by the terms of the claims. The description and the appended drawings may be used to interpret the claims" of Article 56 of the Patent Law means that the extent of protection of patent right should be determined by the necessary technical features expressly stated in the claims, including the extent as determined by the features equivalent to the necessary technical features. The equivalent features refer to the features which use substantially the same means, perform substantially the same function and produce substantially the same as the stated technical features and which can be contemplated by an ordinarily skilled artisan in the art without inventive labor.
Article 18 Where any act of patent infringement takes place before 1 July 2001, the civil liability under the Patent Law before this revision shall apply; where such act takes place after 1 July 2001, the provisions of the revised Patent Law shall apply to impose the civil liability.
Article 19 Where any one counterfeits another person's patent, the people's court may impose, on it or him, the civil liability according to the provision of Article 58 of the Patent Law. Where the administrative authority for patent work does not impose any administrative penalty, the people's court may impose civil penalty pursuant to the provision of Article 134, paragraph three, of the General Principles of the Civil Law, and the amount of the applicable fine in civil terms may be determined in the light of the provision of Article 58 of the Patent Law.
Article 20 Where the people's court imposes liability for compensation on the infringer according to the provision of Article 57, paragraph one, of the Patent Law, it may, on the request of the rightholder, determine the amount of compensation according to the losses suffered by the rightholder due to the infringement or the interests sought by the infringer from the infringement. The losses suffered by the rightholder due to the infringement may be computed by the total of the infringing products sold in the market times the reasonable profit of each infringing product. Where it is difficult to determine the total reduction in the volume of sale by the rightholder, the total of the infringing products sold in the market times the reasonable profit of each infringing product may be deemed to the losses suffered by the rightholder due to the infringement. The interest of the infringer from the infringement may be computed according to the total of infringing products sold in the market times the reasonable profit of each infringing product. The income of the infringer from the infringement is generally counted according to the business profit of the infringer. As for the infringer who solely engages in infringement as its or his entire business, the income may be computed according to its or his sales profit.
Article 21 Where the losses of the infringee or the income of the infringer is difficult to be determined, the people's court may, where the patent licensing fee may be referred to, determine the reasonable amount of compensation according to the kind of patent right involved, the nature and facts of the infringement by the infringer, the amount of the patent licensing fee, the nature, extent and time of the patent license with reference to one to three times the patent licensing fee; where there is no patent licensing fee to be referred to or the license fee is obviously unreasonable, the people's court may, according to the factors, such as the kind of the patent right, the nature and facts of the infringement, determine the amount of compensation of more than RMB 5,000 Yuan and less than RMB 300,000 Yuan, but not exceeding RMB 500,000 Yuan at most.
Article 22 The people's court may, on the request of the rightholder or according to the specific facts of a case, include the reasonable expenses paid for investigation or for stopping the infringement in the amount of compensation.
Article 23 The limitation for action against patent right infringement is two years, computed from the date when the patentee or the interested party knows or has reasonable grounds to know about the infringing act. Where the rightholder does not take action until two years later and if the infringing act continues when the action is taken, the people's court shall, within the term of validity of the patent right in question, rule that the defendant desist from the infringing act, and the amount of compensation
for the infringement shall be computed from two years before the date when the rightholder institutes legal proceedings in the people's court.
Article 24 The offering for sale referred to in Articles 11 and 63 of the Patent Law means the expression of will for sale by way of advertisement, shop window display or exhibition.
Article 25 Where the people's court receives a case of dispute arising from patent infringement in which the administrative authority for patent affairs has made an infringement or non-infringement determination, the people's court may, on the request of the interested party to the lawsuit, carry on a comprehensive examination.
Article 26 Where there is any discrepancy between the former relevant judicial interpretations and these Provisions, these Provisions shall prevail.
最高人民法院公告
《最高人民法院关 于审理专利纠纷案件适用法律问题的若干规定》已于２００１年６月１９日由最高人民法院审判委员会第１１８０次会议通过，现予公布，自２００１年７月１日起 施行。 ２００１年６月２２日 最高人民法院关于审理专利纠纷案件适用法律问题的若干规定 （２００１年６月１９日最高人民法院审判委员会 第１１８０次会议通过 法释〔２００１〕２１号） 为了正确审理专利纠纷案件，根据《中华人民共和国民法通则》（以下简称民法通则）、 《中华人民共和国专利法》（以下简称专利法）、《中华人民共和国民事诉讼法》和《中华人民共和国行政诉讼法》等法律的规定，作如下规定：
第一条 人民法院受理下列专利纠纷案件： １、 专利申请权纠纷案件； ２、专利权权属纠纷案件； ３、专利权、专利申请权转让合同纠纷案件； ４、侵犯专利权纠纷案件； ５、假冒他人专利纠纷案件； ６、发明专利申请公布后、专利权授予前使用费纠纷案件； ７、职务发明创造发明人、设计人奖励、报酬 纠纷案件； ８、诉前申请停止侵权、财产保全案件； ９、发明人、设计人资格纠纷案件； １０、不服专利复审委员会维持驳 回申请复审决定案件； １１、不服专利复审委员会专利权无效宣告请求决定案件； １２、不服国务院专利行政部门实施强制许可决定案 件； １３、不服国务院专利行政部门实施强制许可使用费裁决案件； １４、不服国务院专利行政部门行政复议决定案件； １５、不服管理专利工作的部门行政决定案件； １６、其他专利纠纷案件。
第二条 专利纠纷第一审案件，由各省、自治区、直辖市人民政府所在地的中级人民法院和最高人 民法院指定的中级人民法院管辖。
第三条 当事人对专利复审委员会于２００１年７月１日以后作出的关于实用新型、外观设计专利权撤销请求复审决定不服向人民法院起诉的，人民法院不予受理。
第四条 当事人对专利复审委员会于２００１年７月１日以后 作出的关于维持驳回实用新型、外观设计专利申请的复审决定，或者关于实用新型、外观设计专利权无效宣告请求的决定不服向人民法院起诉的，人民法院应当受 理。
第五条 因侵犯专利权行为 提起的诉讼，由侵权行为地或者被告住所地人民法院管辖。 侵权行为地包括：被控侵犯发明、实用新型专利权的产品的制造、使用、许诺销售、销售、 进口等行为的实施地；专利方法使用行为的实施地，依照该专利方法直接获得的产品的使用、许诺销售、销售、进口等行为的实施地；外观设计专利产品的制造、销 售、进口等行为的实施地；假冒他人专利的行为实施地。上述侵权行为的侵权结果发生地。
第六条 原告仅对侵权产品制造者提起诉讼，未起诉销售者，侵权产品制造地与销售地不一致的， 制造地人民法院有管辖权；以制造者与销售者为共同被告起诉的，销售地人民法院有管辖权。 销售者是制造者分支机构，原告在销售地起诉侵权产品制 造者制造、销售行为的，销售地人民法院有管辖权。
第七 条 原告根据１９９３年１月１日以前提出的专利申请和根据该申请授予的方法发明专利权提起的侵权诉讼，参照本规定第五条、第六条的 规定确定管辖。 人民法院在上述案件实体审理中依法适用方法发明专利权不延及产品的规定。
第八条 提起侵犯实用新型专利权诉讼的原告，应当在起诉时出具由国务院专利行政部门作出的 检索报告。 侵犯实用新型、外观设计专利权纠纷案件的被告请求中止诉讼的，应当在答辩期内对原告的专利权提出宣告无效的请求。
第九条 人民法院受理的侵犯实用新型、外观设计专利权纠纷 案件，被告在答辩期间内请求宣告该项专利权无效的，人民法院应当中止诉讼，但具备下列情形之一的，可以不中止诉讼： （一）原告出具的检索报告 未发现导致实用新型专利丧失新颖性、创造性的技术文献的； （二）被告提供的证据足以证明其使用的技术已经公知的； （三）被告请求 宣告该项专利权无效所提供的证据或者依据的理由明显不充分的； （四）人民法院认为不应当中止诉讼的其他情形。
第十条 人民法院受理的侵犯实用新型、外观设计专利权纠纷 案件，被告在答辩期间届满后请求宣告该项专利权无效的，人民法院不应当中止诉讼，但经审查认为有必要中止诉讼的除外。
第十一条 人民法院受理的侵犯发明专利权纠纷案件或者经专 利复审委员会审查维持专利权的侵犯实用新型、外观设计专利权纠纷案件，被告在答辩期间内请求宣告该项专利权无效的，人民法院可以不中止诉讼。
第十二条 人民法院决定中止诉讼，专利权人或者利害关系 人请求责令被告停止有关行为或者采取其他制止侵权损害继续扩大的措施，并提供了担保，人民法院经审查符合有关法律规定的，可以在裁定中止诉讼的同时一并作 出有关裁定。
第十三条 人民 法院对专利权进行财产保全，应当向国务院专利行政部门发出协助执行通知书，载明要求协助执行的事项，以及对专利权保全的期限，并附人民法院作出的裁定书。 对专利权保全的期限一次不得超过六个月，自国务院专利行政部门收到协助执行通知书之日起计算。如果仍然需要对该专利权继续采取保全措施的，人民法院应当 在保全期限届满前向国务院专利行政部门另行送达继续保全的协助执行通知书。保全期限届满前未送达的，视为自动解除对该专利权的财产保全。 人民 法院对出质的专利权可以采取财产保全措施，质权人的优先受偿权不受保全措施的影响；专利权人与被许可人已经签订的独占实施许可合同，不影响人民法院对该专 利权进行财产保全。 人民法院对已经进行保全的专利权，不得重复进行保全。
第十四条 ２００１年７月１日以前利用本单位的物质技术条件所完成的发明创造，单位与发明人 或者设计人订有合同，对申请专利的权利和专利权的归属作出约定的，从其约定。
第十五条 人民法院受理的侵犯专利权纠纷案件，涉及权利冲突的，应当保护在先依法享有权利的 当事人的合法权益。
第十六条 专利法第二十三条所称的在先取得的合法权利包括：商标权、著作权、企业名称权、肖像权、知名商品特有包装或者装潢使用权等。
第十七条 专利法第五十六条第一款所称的“发明或者实用新 型专利权的保护范围以其权利要求的内容为准，说明书及附图可以用于解释权利要求”，是指专利权的保护范围应当以权利要求书中明确记载的必要技术特征所确定 的范围为准，也包括与该必要技术特征相等同的特征所确定的范围。 等同特征是指与所记载的技术特征以基本相同的手段，实现基本相同的功能，达到 基本相同的效果，并且本领域的普通技术人员无需经过创造性劳动就能够联想到的特征。
第十八条 侵犯专利权行为发生在２００１年７月１日以前的，适用修改前专利法的规定追究民事 责任；发生在２００１年７月１日以后的，适用修改后专利法的规定追究民事责任。
第十九条 假冒他人专利的，人民法院可以依照专利法第五十八条的规定追究其民事责任。管理专 利工作的部门未给予行政处罚的，人民法院可以依照民法通则第一百三十四条第三款的规定给予民事制裁，适用民事罚款数额可以参照专利法第五十八条的规定确 定。
第二十条 人民法院依照 专利法第五十七条第一款的规定追究侵权人的赔偿责任时，可以根据权利人的请求，按照权利人因被侵权所受到的损失或者侵权人因侵权所获得的利益确定赔偿数 额。 权利人因被侵权所受到的损失可以根据专利权人的专利产品因侵权所造成销售量减少的总数乘以每件专利产品的合理利润所得之积计算。权利人销 售量减少的总数难以确定的，侵权产品在市场上销售的总数乘以每件专利产品的合理利润所得之积可以视为权利人因被侵权所受到的损失。 侵权人因侵 权所获得的利益可以根据该侵权产品在市场上销售的总数乘以每件侵权产品的合理利润所得之积计算。侵权人因侵权所获得的利益一般按照侵权人的营业利润计算， 对于完全以侵权为业的侵权人，可以按照销售利润计算。
第二十一条 被侵权人的损失或者侵权人获得的利益难以确定，有专利许可使用费可以参照的，人民法院可以根据专利权的类别、侵权人 侵权的性质和情节、专利许可使用费的数额、该专利许可的性质、范围、时间等因素，参照该专利许可使用费的１至３倍合理确定赔偿数额；没有专利许可使用费可