RULES FOR IMPLEMENTATION OF THE PATENT LAW

    Article 1  These Rules are formulated in accordance with the provisions
of Article 68 of the Patent Law of the People’s Republic of China (hereinafter
referred to as “the Patent Law”).

    Article 2  “Invention” in the Patent Law means any new technical solution
relating to a product, a process or an improvement thereof.

    “Utility model” in the Patent Law means any new technical solution
relating to the shape, the structure, or their combination, of a product,
which is fit for practical use.

    “Design” in the Patent Law means any new design of the shape, pattern,
colour, or their combination, of a product, which creates an aesthetic feeling
and is fit for industrial application.

    Article 3  All the procedures provided for by the Patent Law and these
Rules shall be conducted in a written form.

    Article 4  Any document submitted under the Patent Law and these Rules
shall be in Chinese. The standard scientific and technical terms shall be used
whenever there are such standard terms as prescribed by the State. Where no
generally accepted translation in Chinese can be found for the name of a
foreigner or a foreign locality or a foreign scientific or technical term, the
one in the original language shall be also indicated.

    Where any certificate or certifying document which is submitted in
accordance with the Patent Law or these Rules is in a foreign language, the
Patent Office may require that a Chinese translation be also submitted within
a specified time limit.

    Article 5  For any document mailed by the Patent Office to the addressee
residing in any of the municipalities directly under the people’s governments
of provinces, autonomous regions or above, the 8th day from the date of
mailing, shall be presumed to be the receiving date, and for that mailed to
the addressee residing in any of the other places, the 16th day from the date
of mailing shall be so presumed.

    For any document sent to the Patent Office by the applicant by mail, the
date of mailing indicated by the postmark shall be the date of filing. If the
date of mailing indicated by the postmark on the envelope is not readable, the
date on which the Patent Office receives the document shall be presumed to be
the date of filing, except where the date of mailing is proved by the
applicant.

    Article 6  The first day of any time limit prescribed in the Patent Law or
these Rules shall not be counted. Where a time limit is counted by year or by
month, it shall expire on the corresponding day of the last month; if there is
no corresponding day in that month, the time limit shall expire on the last
day of that month.    If a time limit expires on an official holiday, the time limit shall
expire on the first working day after that official holiday.

    Article 7  Where a time limit prescribed in the Patent Law or these Rules
or specified by the Patent Office is not met because of force majeure or any
other justifiable reason, the applicant, the patentee or any other interested
party may, within one month from the day on which the impediment is removed,
state the reasons and request for an extension of the time limit, with the
exception of the time limits prescribed in Article 24, Article 29, the first
sentence of Article 41, Article 45 and Article 61 of the Patent Law.

    Before the expiration of any time limit specified by the Patent Office, an
applicant who, on the basis of a justified reason, wishes to have the time
limit extended may make a request, accompanied with relevant proof, to the
Patent Office.

    Article 8  Where the invention-creation for which a patent is applied by a
unit of the national defense system relates to the security of the State and
is required to be kept secret, the application for patent shall be filed with
the patent organization set up by the competent department of science and
technology of national defense. The Patent Office shall make a decision on the
basis of the observations on the examination of the application presented by
the said patent organization.

    Article 9  Subject to the preceding Article, the Patent Office, after
receiving an application for patent which is required to be examined for the
purpose of security, shall send it to the competent department concerned of
the State Council for examination. The said department shall, within 4 months
from the receipt of the application, send a report on the results of the
examination to the Patent Office. Where the invention-creation for which a
patent is applied is required to be kept secret, the Patent Office shall
handle it as a secret application for patent and notify the applicant
accordingly.

    Article 10  A job-related invention-creation made by any person in
execution of the tasks of the unit to which he belongs as mentioned in Article
6 of the Patent Law, refers to invention-creation made

    (1) in the course of performing his own duty;

    (2) in the execution of any task, other than his own duty, which was
entrusted to him by the unit to which he belongs;

    (3) within 1 year from his resignation, retirement or change of work,
where the invention-creation relates to his own duty or the other task
entrusted to him by the unit to which he previously belonged.

    Material resources of the unit, as mentioned in Article 6 of the Patent
Law, refer to the unit’s money, equipment, spare parts, raw materials, or
technical data which are not to be disclosed to the public.

    Article 11  An inventor or designer as mentioned in the Patent Law refers
to any person who has made creative contributions to the substantive features
of the invention-creation. Any person who, in the course of accomplishing the
invention-creation, is responsible only for organizational work, or who offers
facilities for making use of material resources, or who takes part in other
auxiliary services, shall not be regarded as inventors or designers.

    Article 12  Two or more applicants who file, on the same day, applications
for patent on the same invention-creation, as provided for in Article 9 of the
Patent Law, shall, after receiving a notification from the Patent Office, hold
consultation among themselves so as to decide who shall be the applicant.

    Article 13  The patentee who has concluded any licensing contract for
exploitation of the patent with another party shall, within 3 months from the
entry into force of the contract, submit the contract to the Patent Office for
the record.

    Article 14  The patent agencies as mentioned in Paragraph 1, Article 19,
and Article 20, of the Patent Law refer to the China Council for the Promotion
of international Trade, the Shanghai Patent Agency, the China Patent Ltd. and
other patent agencies designated by the State Council.

    Article 16  Anyone who applies for a patent shall submit application
documents in duplicate.

    Article 17  Other related matters to be stated in a written request as
mentioned in Paragraph 2, Article 26, of the Patent Law refer to:

    (1) the nationality of the applicant;

    (2) where the applicant is an enterprise or other organization, the name
of the country in which the applicant has its head office;

    (3) where the applicant has entrusted a patent agency, the name and
address of the patent agency and the name of the patent agent;

    (4) where the applicant is a unit, the name of its representative;

    (5) where the priority is claimed, the relevant matters which shall be
indicated;

    (6) the signature or the seal of the applicant;

    (7) a list of the documents constituting the application;

    (8) a list of the documents appending the application.

    Where there are two or more applicants and where they have not entrusted a
patent agency, they shall designate a representative; if no representative is
designated, the applicant first signed shall be considered as the
representative.

    Where an application for a patent on a design is filed, a brief
description of the design shall, when necessary, be included.

    Article 18  Except where the nature of the invention or utility model
calls for a different mode and order of presentation, the description of an
application for a patent for invention or utility model shall, in the
following order:

    (1) state the post_title of the invention or utility model as appearing in
the request;

    (2) specify the technical field to which the invention or utility model
relates;

    (3) indicate the existing technology which, as far as known to the
applicant, can be regarded as useful for the understanding, searching and
examination of the invention or utility model, and cite the documents
reflecting such technology;

    (4) specify the objective which the invention or utility model is
designed to achieve;

    (5) disclose the invention or utility model in a manner sufficiently
clear and complete so that an ordinary technician in the relevant field of
technology can carry it out;

    (6) state the merits or effective results of the invention or utility
model as compared with the prior art;

    (7) briefly describe the figures in the drawings, if any;

    (8) describe in detail the best mode contemplated by the applicant for
carrying out the invention or utility model, with reference to the drawing, if
any.

    The description of the invention or utility model may contain chemical or
mathematical formulae but no commercial advertising.

    Article 19  The same sheet of drawings may contain several figures of the
invention or utility model. The figures shall be numbered consecutively in
Arabic numerals and arranged in numerical order.

    The scale and the distinctness of the drawings shall be such that a
reproduction with a linear reduction in size to two-thirds will still enable
all details to be clearly distinguished.

    Reference signs used in the drawings of an application shall be consistent
throughout. Reference signs not appearing in the description of the invention
or utility model shall not appear in the drawings.

    The drawings shall not contain any other explanatory notes, except words
which are indispensable.

    Article 20  The claims shall define clearly and concisely the matter for
which protection is sought in terms of the technical features of the invention
or utility model.

    If there are several claims, they shall be numbered consecutively in
Arabic numerals.

    The technical terminology used in the claims shall be consistent with that
used in the description. The claims may contain chemical or mathematical
formulae but no drawings. They shall not, except where absolutely necessary,
contain such references to the description or drawing “as described in part…
of the description”, or “as illustrated in figure… of the drawings”.

    Article 21  Claims may be independent or dependent.

    An independent claim shall outline the essential technical contents of an
invention or utility model and describe the indispensable technical features
constituting the invention or utility model.

    A dependent claim relying on the reference to one or more other claims
shall refer only to the preceding claim or claims.

    Article 22  Except where the nature of the invention or utility model
calls for other forms of expression, an independent claim shall be presented in
the following form:

    (1) a preamble indicating the technical field to which the invention or
utility model pertains and the technical features of the prior art which
relate closely to the subject matter of the invention or utility model;

    (2) a characterizing portion, stating, in such words as “the invention (or
utility model) is characterized in that…” or in similarly concise
expressions, the technical features of the invention or utility model, which,
in combination with the features stated in the preamble, constitute those to
be protected.

    Each invention or utility model shall have only one independent claim,
which shall precede all the dependent claims relating to the same invention or
utility model.

    Article 23  Except where the nature of the invention or utility model
calls for other forms expression, a dependent claim shall be presented in the
following form:

    (1) a reference portion, indicating the serial number(s) of the claim(s)
referred to. Where possible, the reference to the serial number shall be
placed at the beginning of the claim(s);

    (2) a characterizing portion, which by stating the additional technical
features of the invention or utility model, further defines the technical
features cited in the reference portion.

    Dependent claims referring to more than two other claims shall not serve
as reference to each other.

    Article 24  The abstract shall indicate the technical field to which the
invention or utility model pertains, the technical problems to be solved, the
essential technical features and the use or uses of the invention or utility model. The abstract may, where applicable, contain the
chemical formula or the
figure which best characterizes the invention or utility model. The whole text
of the abstract shall contain preferably not more than 200 words.

    Article 25  Where an application for a patent for invention concerns a
micro-biological process or a product thereof and involves the use of a
micro-organism which is not available to the public, the applicant shall, in
addition to the other requirements provided for in the Patent Law and these
Rules,

    (1) deposit a sample of the micro-organism with a depositary institution
designated by the Patent Office before the date of filing, or, at the latest,
on the date of filing;

    (2) give in the application document relevant information of the
characteristics of the micro-organism;

    (3) indicate in the request the scientific name (with its Latin name) and
the name of the depositary institution, the date on which the sample of the
micro-organism was deposited and the file number of the deposit, and submit a
receipt of deposit from that institution.

    Article 26  After the publication of an application for a patent for
invention relating to a micro-organism, any unit or individual which or who
intends to make use of the micro-organism mentioned in the application for the
purpose of experiment shall make a request to the Patent Office containing the
following:

    (1) the name and address of the unit or individual making the request;

    (2) an undertaking by the unit or individual making the request not to
make the micro-organism available to any other person;

    (3) an undertaking to use the micro-organism for experimental purpose only
before the grant of the patent right.

    Article 27  The size of drawings or photographs of a design submitted in
accordance with the provisions of Article 27 of the Patent Law shall not be
smaller than 3 cm x 8 cm, nor larger than 19 cm x 27 cm.

    The applicant may submit for each design drawings or photographs of
difierent angles, sides or positions so as to clearly show the object for
which protection is sought. The applicant shall indicate on each drawing or
photograph the angle, side or position, and mark on the top left and right of
the back of drawing or photograph its consecutive number and the name of the
applicant.

    Article 28  Where an application for a patent for design seeking
protection of colours is filed, a drawing or photograph in colour, and a
drawing or photograph in white and black, shall be submitted, and a statement
of the colours for which protection is sought shall be made on the drawing or
photograph in white and black.

    Article 29  Where the Patent Office finds it necessary, it may require the
applicant for a patent on design to submit a sample or model of the product
incorporating the design. The volume of the sample or model submitted shall
not exceed 30 cm x 30 cm x 30 cm, and its weight shall not surpass 15 kilos.
Articles easily perishable or fragile, or articles that are dangerous shall
not be submitted as sample or model.

    Article 30  Academic or technical conferences mentioned in Item (2) of
Article 24 of the Patent Law mean any academic or technical conference
organized by a competent department concerned of the State Council or by a
national academic association.

    Article 31  Where any application for a patent fails under the provisions
of Item (1) or Item (2) of Article 24 of the Patent Law, the applicant shall,
when filing the application, make a declaration and, within a time limit of 2
months from the date of filing, submit a certificate issued by the unit which organized the international exhibition or academic or
technical conference,
stating that the invention-creation was in fact exhibited or made public there
and also the date of its exhibition or making public.

    Where any application for a patent falls under the provisions of item (3)
of Article 24 of the Patent Law, the Patent Office may, when necessary,
require the applicant to submit the relevant proof.

    Article 32  Where the applicant for a patent on invention claims priority,
it or he shall, within 15 months from the date on which it or he first filed
the application in a foreign country, submit the filing number accorded by
that country.

    Article 33  Where two or more priorities are claimed for an application
for a patent, the priority period for the application shall be calculated from
the earliest priority date.

    Article 34  Where an application for a patent is filed by any foreigner,
foreign enterprise or other foreign organization having no habitual residence
or business office in China, the Patent Office may, when there is any doubt,
require the applicant to submit the following documents:

    (1) a certificate concerning the nationality of the applicant;

    (2) a certificate concerning the seat of the headquarters of a foreign
enterprise or other foreign organization;

    (3) a testimonial showing that the country, to which the foreigner,
foreign enterprise or other foreign organization belongs, recognizes that
Chinese citizens or units are, under the same conditions applied to its
nationals, enpost_titled to patent rights and other related rights in that country.

    Article 35  According to the provisions in Paragraph 1, Article 31 of the
Patent Law, the claims in a patent application for an invention or utility
model may be any of the following:

    (1) two or more independent claims of the same category of product or
process, which cannot be included in one claim;

    (2) an independent claim for a product as well as for the process
specially adopted for the manufacture of that product;

    (3) an independent claim for a product as well as for the use of that
product;

    (4) an independent claim for a product, the process specially adopted for
the manufacture of that product as well as for the use of that product;

    (5) an independent claim for a product, the process specially adopted for
the manufacture of that product, as well as for the equipment specially
designed for carrying out the process;

    (6) an independent claim for a process as well as for the equipment
specially designed for carrying out that process;

    (7) an independent claim for a process as well as for the product directly
manufactured by carrying out that process.

    Article 36  Where a patent application for a design contains two or more
designs in accordance with the provisions in Paragraph 2, Article 31 of the
Patent Law, the designs shall be numbered consecutively and the products
incorporating the designs shall be indicated in the request of the
application. The consecutive numbers shall be marked on the bottom left of the
back of the drawings or photographs of the design.

    Article 37  When withdrawing a patent application, the applicant shall
submit to the Patent Offfice a declaration stating the post_title of the
invention-creation, the filing number and the date of filing.

    Article 38  In any of the following cases, an examiner or a member of the
Patent Reexamination Board shall, on his own initiative or upon the request
of the applicant or any other interested party, withdraw from his office:

    (1) where he is a close relative of the applicant or the patent agent;

    (2) where he has an interest in the patent application;

    (3) where he has such other kinds of relations with the applicant or the
patent agent that might influence the impartial examination of the application.

    Where a member of the Patent Reexamination Board has taken part in the
examination of the application, the provisions of the preceding paragraph
shall apply.

    Article 39  Upon the receipt of a written request, a description (a
drawing being indispensable for utility model) and one or more claims for a
patent for an invention or utility model, or a written request and one or more
drawings or photographs showing the design for a patent application for
design, the Patent Office shall accord the date of filing and a filing number,
and notify them to the applicant.

    Article 40  If the application documents submitted do not contain a
request or a description or claims, or if they are not in conformity with the
provisions of Article 27 of the Patent Law, the Patent Office shall reject the
application and notify the applicant accordingly.

    Article 41  Where the description of an invention mentions that it
contains “explanatory notes to the drawings” but the drawings are missing, the
applicant shall, within the time limit specified by the Patent Office, either
furnish the drawings or make a declaration for the deletion of the
“explanatory notes to the drawings”. If the drawings are submitted later, the
date of their delivery at, or mailing to, the Patent Office shall be the date
of filing of the application; if the “explanatory notes of the drawings” are
deleted, the original date of filing shall be retained.

    Article 42  Where an application for a patent contains two or more
inventions, utility models or designs, the applicant may, at any time before
the announcement of the application under Article 39 or Article 40 of the
Patent Law, or after the said announcement at the time when the Patent Office
considers the filing of a divisional application is justified, submit to the
Patent Office a request for the division of the application and divide it on
its or his own initiative into several applications.

    If the Patent Office finds that the application for a patent is not in
conformity with the provisions of Article 31 of the Patent Law and Article 35
of these Rules, it shall require the applicant to divide the application
within a specified time limit. If, without any justified reason, the applicant
does not give any response within the time limit, the application shall be
deemed to have been withdrawn.

    Article 43  For divisional applications filed in accordance with
Article 42 of these Rules, the original date of filing of the application may
be retained, provided that they do not go beyond the scope as contained in the
original description.

    Article 44  Where, upon preliminary examination, the Patent Office finds
that a patent application obviously fails under Article 3 or Article 25 of the
Patent Law, or is obviously not in conformity with Article 18 or Article 19 of
the Patent Law or Article 2 of these Rules, it shall require the applicant to
present its or his observations within a specified time limit. If the
applicant, without any justified reason, fails to meet the time limit for
presenting observations, the application shall be deemed to have been
withdrawn.

    Where, after the applicant has made the observations, the Patent Office
still finds that the application is obviously not in conformity with the
provisions of the articles cited in the preceding paragraph, the application
shall be rejected.

    Article 45  Where a patent application belongs to any of the following
cases, the applicant shall, within a time limit specified by the Patent
Office, make due rectification:

    (1) the written request is not presented in the prescribed form or the
indications therein are not in conformity with the requirements;    (2) the description and its drawings or the
claims of the invention or
utility model are not in conformity with the relevant provisions;

    (3) the patent application for an invention or utility model does not
contain an abstract;

    (4) the drawings or photographs contained in the patent application for a
design are not in conformity with the relevant provisions;

    (5) a patent agency is entrusted, but no power of attorney is submitted;

    (6) any other deficiencies which call for rectifications.

    If the applicant, without any justified reason, fails to meet the time
limit for rectifying the deficiencies, the application shall be deemded to
have been withdrawn. If, after the rectification, the patent application is
still not in conformity with the relevant provisions of the Patent Law or
these Rules, it shall be rejected.

 &nbs