Measures for Compulsory Licensing of Patent Implementation Promulgated by the State Intellectual Property Office on 2003-6-13
Chapter I General Provisions
Article 1 In order to standardize implementing the granting, expenses determination and termination procedures for compulsory licensing of invention patent or patent of utility models (hereinafter referred to as the compulsory licensing), the Measures are hereby formulated in accordance with the Patent Law of the PRC (hereinafter referred to as the Patent Law), the Implementation Rules of the Patent Law of the PRC (hereinafter referred to as the Implementation Rules of the Patent Law) and the relevant laws and regulations.
Article 2 The State Intellectual Property Office is in charge of the acceptance and investigation of the petitions and makes decisions on compulsory licensing, the adjudication of the use fees of compulsory licensing and the termination of compulsory licensing.
Article 3 The petitions for granting compulsory licensing, for adjudication of the use fees of compulsory licensing and for termination of compulsory licensing shall be handled with in Chinese in a written form.
In case the certificates, certification document submitted in compliance with the Measures are in foreign languages, the parties concerned shall provide the translation version in Chinese at the same time, and failure to submit the Chinese version will be deemed as failure to provide the relevant certificates or certification documents.
Article 4 When petitioning for the right holders of invention or patent of utility models to offer licenses in implementing their patents but failing to obtain such licenses in a reasonable term, the unit eligible for such implementation may petition for granting of the compulsory licensing in implementing the invention patent or patent of utility models according to the provision of Article 48 of the Patent Law.
In case an invention or utility model obtaining patent is of material technological advancement in obvious economic significance as compared with the previous one that has obtained patent and its implementation depends on the implementation of the previous invention or utility model, the patent holder thereof may according to the provision of Article 50 of the Patent Law petition for granting the compulsory licensing in implementing the former patent, and vise versa.
In emergency or irregular event of the state, or for the purposes of public interest, the competent department under the State Council is entitled to grant the compulsory licensing for implementing the invention patent or patent of utility models as per the petitions based on the provisions of Article 49 of the Patent Law.
Article 5 When authorizing the patent agency to submit the petition for compulsory licensing, the petitioner shall provide the power of attorney and the authority indicated.
When there are no less than two petitioners without authorized patent agency, unless otherwise stated in the petition, the first petitioner indicated in the petition shall be deemed as the representative.
Chapter II Review and Decisions of Petitions for Compulsory Licensing
Article 6 When petitioning for grant of compulsory licensing, an application for compulsory licensing should be submitted to the State Intellectual Property Office, indicating the following items:
(I)Name and address of the petitioner;
(II)Nationality of the petitioner or the country where the headquarter is located;
(III)The name, patent number, date of application and date of authorized announcement of the invention patent or patent of utility models relating to the petitioned compulsory licensing;
(IV)Name of the right holders of the invention patent or patent of utility models relating to the petitioned compulsory licensing;
(V)Reasons and facts for petitioning for grant of the compulsory licensing;
(VI)When authorizing a patent agency, the petitioner shall indicate the relevant items; and in case there is no authorized patent agency, name, address, postcode and contact telephone of the contact person should be indicated;
(VII)The signature or stamp of the petitioner; and if there is an authorized agency, the stamp of the agency is required also;
(VIII)List of the attached documents;
(IX)Other items required to state.
The petition and attached documents should be executed in two copies.
Article 7 In case a petition for compulsory licensing relating to multiple invention patent or patent of utility models involves two or more patent right holders, different petitions should be submitted to different patent right holders.
Article 8 In any of the following cases relating to the compulsory licensing, the State Intellectual Property Office will not accept the petition with notification to the petitioner:
(I)the patent number of the invention patent or patent of utility models relating to the petitioned compulsory licensing is not clear or is hard to identify;
(II)The petitioning documents without Chinese version;
(III)Obviously no reason available for petitioning compulsory licensing.
Article 9 In case the petitioning documents do not meet the provisions of Articles 6 and 7 of the Measures, the petitioner shall within 15 days upon receipt of the notice make up for the documents. In case of failure to making up for the documents required, the petition will be deemed as no submission.
The petitioner shall within a month upon the petition for compulsory licensing pay the petitioning fees of compulsory licensing; and in case of nonpayment or insufficient payment of such petitioning fees, the petition will be deemed as no submission.
Article 10 In terms of the petitions for compulsory licensing in compliance with the provisions of the Patent Law, the Implementation Rules of the Patent Law and the Measures, the State Intellectual Property Office shall send the copy of the petition to the patent right holders. The patent right holders shall state their opinions within the time schedule specified. In case of no reply beyond the time schedule, the State Intellectual Property Office may make a decision as usual.
Article 11 The State Intellectual Property Office shall review the reasons stated by the petitioner and the relevant certification documents. In case of field verification required, the State Intellectual Property Office shall assign no less than two persons to carry out the field verification.
In case the reasons stated by the petitioner and the relevant certification documents are insufficient or false, the State Intellectual Property Office may prior to the refusal to the petition of compulsory licensing send notification to the petitioner for providing the latter with an opportunity for statement of its opinions.
Article 12 In case the petitioner or the patent right holders request for hearing, the State Intellectual Property Office may organize a hearing.
The State Intellectual Property Office shall seven days before the hearing send notification to the petitioner, patent right holders and other persons of interest.
Except for involvement of state secrets, commercial secrets or personal privacy, the hearing should be held in open session.
When the State Intellectual Property Office is holding a hearing, the petitioner, patent right holders and other persons of interest may defend and make cross-examination.
The hearing should be recorded in writing, which should be singed or stamped upon
confirmation without error by the participants.
The hearing procedure is not applicable to the petitions for grant of compulsory licensing according to the provisions of Article 49 of the Patent Law.
Article 13 In any of the following cases, the State Intellectual Property Office shall made a decision on refusal to the petition for compulsory licensing, with notification sent to the petitioner:
(I)the petitioner is not an eligible subject as specified by Article 4 of the Measures;
(II)The reasons for petitioning the grant of the compulsory licensing are not in compliance wit the provisions of Articles 48, 49 and 50 of the Patent Law;
(III)The reasons are not in compliance with the provision of Article 72 of the Implementation Rules of the Patent Law when the petition for compulsory licensing involves the invention and creation of semiconductor technologies.
If objecting to the decision of refusal to the petition of compulsory licensing, the petitioner may institute a lawsuit with the people’s court within three months upon receipt of the notice.
Article 14 The petitioner may withdraw its petitions for compulsory licensing from time to time, and in case the petitioner withdraw its petitions prior to the decision by the State Intellectual Property Office, the review procedures for the petition of compulsory licensing terminates.
In case of reaching a licensing contract on patent implementation by and between the petitioner and the patent right holder prior to the decision by the State Intellectual Property Office, timely notice should be given to the State Intellectual Property Office and the petition for compulsory licensing should be withdrawn directly.
Article 15 In case of no reason for refusal to the petition of the compulsory licensing through review, the State Intellectual Property Office shall make a decision on granting compulsory licensing, with the following items stated:
(I)Name and address of the individual or unit obtaining the compulsory licensing for patent implementation;
(II)The name, patent number, date of application and date of authorized announcement of the invention patent or patent of utility models relating to the petitioned compulsory licensing;
(III)Scope, scale and term of the compulsory licensing granted;
(IV)Reasons, facts and legal basis for the decisions;
(V)The stamp of the State Intellectual Property Office and the signature of the responsible persons;
(VI)Date of decisions; and
(VII)Other relevant matters.
The decisions on granting the compulsory licensing should be timely notified to the petitioner and the patent right holders.
Article 16 In case the patent right holders object to the decision of granting compulsory licensing, lawsuit may be brought at the people’s court in within three months upon the receipt of the notice.
Article 17 The decision that has come into force on granting compulsory licensing should be registered on the patent register and published on the patent gazette of the State Intellectual Property Office, the government websites and China Intellectual Property News.
Chapter III Review and Finding of the Petitions for Adjudication of the Use Fees of the Compulsory Licensing
Article 18 The petitions for the State Intellectual Property Office to determine the use fees of the compulsory licensing shall be available for the following conditions:
(I)Publication of the decisions on granting the compulsory licensing;
(II)The petitioner is the patent right holder or a unit or individual that obtains the compulsory licensing;
(III)Failure to reach an agreement through mutual consultation.
Article 19 In case of petitioning for determining the use fees of the compulsory licensing, an application should be submitted for adjudication of the use fees of the compulsory licensing, indicating the following items:
(I)Name and address of the petitioner;
(II)Nationality of the petitioner or the country where the headquarters of the petitioner is located;
(III)Document number that making the decisions on granting the compulsory licensing;
(IV)Name and address of the petitioned;
(V)Reasons for petition of the adjudication of the use fees of the compulsory licensing;
(VI)When authorizing a patent agency, the petitioner shall indicate the relevant items; and in case there is no authorized patent agency, name, address, postcode and contact telephone of the contact person should be indicated;
(VII)The signature or stamp of the petitioner; and if there is an authorized agency, the stamp of the agency is required also;
(VIII)List of the attached documents;
(IX)Other items required to state.
The petition and attached documents should be executed in two copies.
Article 20 In any of the following cases relating to the petitions for the adjudication of the use fees of the compulsory licensing, the State Intellectual Property Office may not accept the petitions, with notification sent to the petitioner:
(I)The decisions involved on granting the compulsory licensing are not clear or not published;
(II)The petitioning documents without Chinese version;
(III)Obviously no reason available for petition for adjudication of the use fees of the compulsory licensing.
Article 21 In case the petitioning documents do not meet the provisions of Articles 49 of the Measures, the petitioner shall within 15 days upon receipt of the notice make up for the documents. In case of failure to making up for the documents required, the petition will be deemed as no submission.
The petitioner shall within a month upon the petition for compulsory licensing pay the petitioning fees of adjudication of the use fees of the compulsory licensing; and in case of nonpayment or insufficient payment of such petitioning fees, the petition will be deemed as no submission.
Article 22 In terms of the petitions for adjudication of the use fees of the compulsory licensing in compliance with the provisions of the Patent Law, the Implementation Rules of the Patent Law and the Measures, the State Intellectual Property Office shall send the copy of the petition to the counterpart. The counterpart shall state their opinions within the time schedule specified. In case of no reply beyond the time schedule, the State Intellectual Property Office may make a decision as usual.
During the adjudication of the use fees of the compulsory licensing, the parties concerned may submit written opinions. The State Intellectual Property Office may listen to the oral
opinions of both parties as required by the actual circumstances of the case.
Article 23 The petitioner may withdraw its petitions for adjudication from time to time, and in case the petitioner withdraw its petitions for adjudication prior to the decision by the State Intellectual Property Office, the adjudication procedures terminates.
Article 24 The State Intellectual Property Office shall within three months upon receipt of the petition make a decision on adjudication of the use fees of the compulsory licensing.
Article 25 The decision on the adjudication of the use fees of the compulsory licensing shall indicate the following items:
(I)Name and address of the individual or unit obtaining the compulsory licensing for patent implementation;
(II)The name, patent number, date of application and date of authorized announcement of the invention patent or patent of utility models relating to the petitioned compulsory licensing;
(III)Reasons for the adjudication;
(IV)The stamp of the State Intellectual Property Office and the signature of the responsible persons;
(V)Date of decisions; and
(VI)Other relevant matters.
The decisions on adjudication of the use fees of the compulsory licensing should be timely notified to both parties.
Article 26 In case the patent right holder and the unit or individual obtaining the compulsory implementation licensing objects to the decision of the adjudication of the use fees of the compulsory licensing, lawsuit may be brought at the people’s court in within three months upon the receipt of the notice.
Chapter IV Review and Decision on Terminating the Petition for Compulsory Licensing
Article 27 The compulsory licensing automatically terminates upon the expiry of the valid term of the compulsory licensing specified by the decision on granting the compulsory licensing.
When the compulsory licensing terminates automatically, announcement should be registered on the patent register and published on the patent gazette of the State
Intellectual Property Office, the government websites and China Intellectual Property News.
Article 28 In case the reasons for compulsory licensing are eliminated without reoccurrence prior to the expiry of the valid term of the compulsory licensing specified in the decision on granting the compulsory licensing, the patent right holders may request for the State Intellectual Property Office to make a decision on terminating the compulsory licensing.
In case of petitioning for terminating the compulsory licensing, an application should be submitted for terminating the compulsory licensing, indicating the following items:
(I)Name and address of the patent right holders;
(II)Nationality of the patent right holders or the country where its headquarters is located;
(III)Document number that makes the decisions on the compulsory licensing requested to terminate;
(IV)Reasons for petition of terminating the compulsory licensing;
(V)When authorizing a patent agency, the patent right holder shall indicate the relevant items; and in case there is no authorized patent agency, name, address, postcode and contact telephone of the contact person should be indicated;
(VI)The signature or stamp of the patent right holder; and if there is an authorized agency, the stamp of the agency is required also;
(VII)List of the attached documents;
(VIII)Other items required to state.
The patent right holder shall submit the petition application and attached documents in two copies.
Article 29 In any of the following cases relating to the petitions for terminating the compulsory licensing, the State Intellectual Property Office may not accept the petitions, with notification sent to the petitioner:
(I)The petitioner is not the right holders of the invention patent or the patent of utility model requested under the compulsory licensing;
(II)The document number is not clear for the decision on granting the compulsory licensing requested to terminate are not clear or not published;
(III)The petitioning documents without Chinese version;
(IV)Obviously no reason available for terminating the compulsory licensing.
Article 30 In case the petitioning documents do not meet the provisions of Articles 28 of the Measures, the petitioner shall within 15 days upon receipt of the notice make up for the documents. In case of failure to making up for the documents required, the petition will be deemed as no submission.
Article 31 In terms of the petitions for terminating the compulsory licensing in compliance with the provisions of the Measures, the State Intellectual Property Office shall send the copy of the petition to the unit or individual that obtains the compulsory implementation licensing. The unit or individual that obtains the compulsory implementation licensing shall state their opinions within the time schedule specified. In case of no reply beyond the time schedule, the State Intellectual Property Office may make a decision as usual.
Article 32 The State Intellectual Property Office shall review the reasons stated by the patent right holder and the relevant certification documents. In case of field verification required, the State Intellectual Property Office shall assign no less than two persons to carry out the field verification.
In case the reasons stated by the patent right holder and the relevant certification documents are insufficient or false, the State Intellectual Property Office may prior to making decision send notification to the patent right holder for providing the latter with an opportunity for statement of its opinions.
Article 33 When holding that the reasons for petition of terminating the compulsory licensing do not hold water through review, the State Intellectual Property Office shall make a decision on rejecting the petition of terminating the compulsory licensing.
If objecting to the decision on rejecting to the petition of terminating the compulsory licensing, the patent right holder may institute a lawsuit with the people’s court within three months upon receipt of the notice.
Article 34 The patent right holder may withdraw its petitions for terminating the compulsory licensing from time to time, and in case the patent right holder withdraws its petitions prior to the decision by the State Intellectual Property Office, the relevant procedures terminates.
Article 35 In case of no reason for refusal to the petition of terminating the compulsory licensing through review, the State Intellectual Property Office shall make a decision on terminating the compulsory licensing, with the following items stated:
(I)Name and address of the patent right holder;
(II)Name and address of the individual or unit obtaining the compulsory licensing for
patent implementation;
(III)The name, patent number, date of application and date of authorized announcement of the invention patent or patent of utility models relating to the petitioned compulsory licensing;
(IV)Document number of deciding the grant of the compulsory licensing;
(V)Facts and legal basis for the decisions;
(VII)The stamp of the State Intellectual Property Office and the signature of the responsible persons;
(VIII)Date of decisions; and
(IX)Other relevant matters.
The decision on the petition of terminating the compulsory licensing should be timely notified to the patent right holders and the unit or individual obtaining the compulsory implementation licensing.
Article 36 In case the unit or individual obtaining the compulsory implementation licensing objects to the decision on terminating the compulsory licensing, lawsuit may be brought forth at the people’s court in within three months upon receipt of the notice.
Article 37 The decision that has come into force on terminating the compulsory licensing should be registered on the patent register and published on the patent gazette of the State Intellectual Property Office, the government websites and China Intellectual Property News.
Chapter V Supplementary Provisions
Article 38 The interpretation of the Measures is vested with the State Intellectual Property Office.
Article 39 The Measures shall come into force as of July15, 2003.
(Source: China International Electronic Commerce Network)
国家知识产权局局长令 （第31号）
《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。 局长 王景川 二00三年六月十三日 专利实施强制许可办法
第一章 总则
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。
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。
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。 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。
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。 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。 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。
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。 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。
第 二章 强制许可请求的审查和决定
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： （一）请求人的姓名或者名称、 地址； （二）请求人的国籍或者其总部所在的国家； （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； （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； （五）请求给予强制许可的理由和事实； （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； （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； （八）附加文件清单； （九）其他需要注明的事项。 请求书及其附加文件应当一式两份。
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。
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： （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； （二）请求文件未使用 中文； （三）明显不具备请求强制许可的理由。
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。 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。
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。
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。 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。
第十二条 请求人或者专利权人要求听证的，由国家知识产 权局组织听证。 国家知识产权局应当在举行听证7日前通知请求人、专利权人和其他利害关系人。 除涉及国家秘密、商业秘密或者个 人隐私外，听证公开进行。 国家知识产权局举行听证时，请求人、专利权人和其他利害关系人可以进行申辩和质证。 举行听证时应当 制作听证笔录，交听证参加人员确认无误后签字或者盖章。 根据专利法第四十九条规定请求给予强制许可的，本条规定的听证程序不予适用。
第十三条 有下列情形之一的，国家知识产权局应当作出驳 回强制许可请求的决定，并通知请求人： （一）请求人不具备本办法第四条规定的主体资格； （二）请求给予强制许可的理由不符合 专利法第四十八条、第四十九条和第五十条的规定； （三）强制许可请求涉及的发明创造是半导体技术的，其理由不符合专利法实施细则第七十二条 的规定。 请求人对驳回强制许可请求的决定不服的，可以自收到通知之日起3个月内向人民法院起诉。
第十四条 请求人可以随时撤回其强制许可请求。请求人在国 家知识产权局作出决定前撤回其请求的，强制许可请求的审查程序终止。 在国家知识产权局作出决定前，请求人与专利权人订立了专利实施许可合同 的，应当及时通知国家知识产权局，并撤回其强制许可请求。
第十五条 强制许可请求经审查没有发现驳回理由的，国家知识产权局应当作出给予强制许可的决 定，写明下列各项： （一）取得实施强制许可的个人或者单位的姓名或者名称、地址； （二）被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； （三）给予强制许可的范围、规模和期限； （四）决定的理由、事实和法律依据； （五）国家知识产权局的印章及负责人签字； （六）决定的日期； （七）其他有关事项。