(Effective Date:1992.12.21–Ineffective Date:)
CHAPTER I GENERAL PROVISIONS CHAPTER II APPLICATION FOR PATENT CHAPTER III EXAMINATION AND APPROVAL OF APPLICATION FOR PATENT CHAPTER
IV INVALIDATION OF PATENT RIGHT CHAPTER V COMPULSORY LICENSE FOR EXPLOITATION OF PATENT CHAPTER VI REWARDS TO INVENTOR OR CREATOR
OF SERVICE INVENTION-CREATION CHAPTER VII ADMINISTRATIVE AUTHORITIES FOR PATENT AFFAIRS CHAPTER VIII PATENT REGISTER AND PATENT GAZETTE
CHAPTER IX FEES CHAPTER X SUPPLEMENTARY PROVISIONS
Article 1 These Rules are formulated in accordance with 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 Any proceeding 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 if there is a prescribed one set forth by the State. Where no generally accepted translation in Chinese can be found for
a foreign name or locality or scientific or technical term, the one in the original language shall be also indicated.
Where any certificate or certified document submitted in accordance with the Patent Law and these Rules is in foreign language, and
where the Patent Office deems it necessary, it may request a Chinese translation of the certificate or the certifying document to
be submitted within a specified time limit; where the translation is not submitted within the specified time limit, the certificate
or certifying document shall be deemed not to have been submitted.
Article 5 For any document sent by mail to the Patent Office, the date of mailing indicated by the postmark on the envelope shall be presumed
to be the date of filing. If the date of mailing indicated by the postmark on the envelope is illegible, the date on which the Patent
Office receives the document shall be the date of filing, except where the date of mailing is proved by the addresser.
Any document of the Patent Office may be served by mail, by personal delivery or by public announcement. Where any party concerned
appoints a patent agency, the document shall be sent to the patent agency; where no patent agency is appointed, the document shall
be sent to the person first named in the request or to the representative. If such person refuses to accept document, it shall be
presumed to have been served.
For any document sent by mail by the Patent Office, the 16th day from the date of mailing shall be presumed to be the date on which
the addressee receives the document.
For any document which shall be delivered personally in accordance with the prescription of the Patent Office, the date of delivery
is the date on which the addressee receives the document.
Where the address of a document is not clear and it cannot be sent by mail, the document may be served by making an announcement in
the Patent Gazette.
At the expiration of one month from the date of the announcement, the document shall be presumed to have been served.
Article 6 The first day of any time limit prescribed in the Patent Law and 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 observed because of force
majeure, resulting the loss of rights on the part of a party concerned, he or it shall, within two months from the date on which
the impediment is removed, at the latest within two years immediately following the expiration of that time limit, state the reasons,
together with relevant supporting documents and request the Patent Office to restore his or its rights.
Where a time limit prescribed in the Patent Law or these Rules or specified by the Patent Office is not observed because of any justified
reason, resulting the loss of rights on the part of a party concerned, he or it shall, within two months from the date of receipt
of a notification from the Patent Office, state the reasons and request the Patent Office to restore his or its rights.
Where the party concerned makes a request for an extension of a time limit specified by the Patent Office, he or it shall, before
the time limit expires, state the reasons to the Patent Office and complete the relevant procedures.
The provisions of paragraphs 1 and 2 of this Article shall not be applicable to the time limit referred to in Articles 24, 29, 41,
45 and 61 of the Patent Law.
The provisions of paragraph 2 of this Article shall not be applicable to the time limit referred to in Article 88 of these Rules.
Article 8 Where the invention for which a patent is applied for by a unit of the national defence system relates to the secrets of the State
concerning national defence 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 defence under the State Council. Where any application for
patent for invention relating to the secrets of the State concerning national defence and requiring to be kept secret is received
by the Patent Office, the Patent Office shall transfer the application to the afore- mentioned patent organization for examination.
The Patent Office shall make a decision on the basis of the opinions of the said patent organization after examination. In addition
to the preceding paragraph, the Patent Office, after receiving a patent application for an invention which is required to be examined
for its confidential nature shall send it to the department concerned of the State Council for examination.
The said department shall, within four months from receipt of the application, send a report on the results of the examination to
the Patent Office. Where the invention is required to be kept secret, the Patent Office shall handle the application as one for secret
patent and notify the applicant accordingly.
Article 9 The date of filing referred to in the Patent Law, except that mentioned in Articles 28 and 45, means the priority date where a right
of priority is claimed.
The date of filing referred to in these Rules means the date on which the application for patent is filed with the Patent Office.
Article 10 “Service invention-creation made by a person in execution of the tasks of the unit to which he belongs” mentioned in Article 6 of
the Patent Law refers to any invention-creation made:
(1) in the course of performing his own duty;
(2) in execution of any task, other than his own duty, which was entrusted to him by the unit to which he belongs;
(3) within one 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 means of the unit” mentioned in Article 6 of the Patent Law refers to unit’s money, equipment, spare parts, raw materials,
or technical data which are not to be disclosed to the public.
Article 11 “Inventor” or “creator” 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, during the course of accomplishing the invention-creation, is responsible only for organization
work, or who offers facilities for making use of materials means, or who takes part in other auxiliary functions, shall not be considered
as inventor or creator.
Article 12 For any identical invention-creation, only one patent right shall be granted.
Two or more applicants who file, on the same day, applications for patent for the identical invention-creation, as provided for in
Article 9 of the Patent Law, shall, after receipt of a notification from the Patent Office, hold consultation among themselves to
decide the person or persons who shall be enpost_titled to file the application.
Article 13 Any license contract for exploitation of the patent which has been concluded by the patentee with a unit or individual shall, within
three months from the date of entry into force of the contract, be submitted to the Patent Office for record.
Article 14 “The patent agency” as stipulated in Article 19 paragraph 1 and Article 20 of the Patent Law shall, on the authorization of the State
Council, be designated by the Patent Office.
Article 15 Where any dispute arises concerning the right to apply for a patent for an invention-creation or the right to own a patent right
which has been granted, any of the parties concerned may request an administrative authority for patent affairs to handle the matter
or may institute legal proceedings in a people’s court.
Any party to a dispute concerning the right to apply for a patent or the right to own a patent right which has been brought to an
administrative authority for patent affairs or to a people’s court for a settlement, may request the Patent Office to suspend the
relevant procedures.
Any party requesting the suspension of the relevant procedures by the Patent Office in accordance with the preceding paragraph, shall
submit a written request to the Patent Office, together with the relevant document certifying the acceptance of the case by an administrative
authority for patent affairs or by a people’s court.
CHAPTER II APPLICATION FOR PATENT
Article 16 Anyone who applies for a patent shall submit application documents in duplicate.
Any applicant who appoints a patent agency for filing an application for a patent with, or for dealing with other patent matters before,
the Patent Office, shall submit a power of attorney indicating the scope of the power entrusted.
Article 17 Other related matters mentioned in Article 26, paragraph 2 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 the principal business
office;
(3) where the applicant has appointed a patent agency, the relevant matters to be indicated;
(4) where the priority of an earlier application is claimed, the relevant matters to be indicated;
(5) the signature or seal of the applicant or the patent agency;
(6) a list of the documents constituting the application;
(7) a list of the documents appending the application;
(8) any other related matter which needs to be indicated.
Where there are two or more applicants and where they have not appointed a patent agency, they shall designate a representative.
Article 18 The description of an application for a patent for invention or utility model shall be presented in the following manner and 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 background art 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 art;
(4) specify the purpose which the invention or utility model is designed to fulfil;
(5) disclose the technical solution of the invention or utility model, as claimed, in such a manner that a person having ordinary
skill in the field can understand it and fulfil the purpose of the invention or utility model;
(6) state the advantageous effects of the invention or utility model, with reference to the background 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; this shall be
done in terms of examples, where appropriate, and with reference to the drawings, if any.
The manner and order mentioned in the preceding paragraph shall be observed by the applicant of a patent for invention of a patent
for utility model, unless, because of the nature of the invention or utility model, a different manner or order would afford a better
understanding and a more economical presentation.
The description of the invention or utility model shall not contain such references to the claims as: “as described in part … of
the claim,” nor shall it contain commercial advertising.
Article 19 The same sheet of drawings may contain several figures of the invention or utility model, and the drawings shall be numbered and
arranged in numerical order consecutively as “Figure 1, Figure 2…”
The scale and the distinctness of the drawings shall be such that a reproduction with a linear reduction in size to two-thirds would
still enable all details to be clearly distinguished.
Drawing reference signs not appearing in the text of the description of the invention or utility model shall not appear in the drawings.
Drawing reference signs not appearing in the drawings shall not appear in the text of the description. Drawing reference signs for
the same composite part used in an application document shall be consistent throughout. 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 drawings as: “as described in part
… of the description”, or “as illustrated in figure … of the drawings.”
The technical features mentioned in the claims may, in order to facilitate quicker understanding of the claim, make reference to the
corresponding reference signs in the drawings of the description. Such reference signs shall follow the corresponding technical features
and be placed between parentheses, and they shall not be construed as limiting the claims.
Article 21 The claims shall have an independent claim, and may also contain dependent claims.
An independent claim shall outline the technical solution of an invention or utility model and describe the indispensable technical
features necessary for fulfilling the purpose of the invention or utility model.
A dependent claim shall further define the claim which it refers to by additional features that are claimed for protection.
Article 22 An independent claim of an invention or utility model shall contain a preamble portion and a characterizing portion, and be presented
in the following forms:
(1) a preamble portion, indicating the post_title of the claimed subject matter of the invention or utility model, and those essential
technical features that are common to the invention or utility model and the prior art;
(2) a characterizing portion, stating, in such wording as “characterized in that …” or in similar expressions, the technical features
of the invention or utility model, which distinguish it from the prior art. These features, in combination with the features stated
in the preamble portion, serve to define the scope of protection of the invention or utility model.
Independent claims may be presented in any other form, where it is not appropriate, according to the nature of the invention or utility
model, to present them in the form prescribed in the preceding paragraph.
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 A dependent claim of an invention or utility model shall contain a reference portion and a characterizing portion, and be presented
in the following form:
(1) a reference portion, indicating the serial number(s) of the claim(s) referred to, and the post_title of the subject matter;
(2) a characterizing portion, stating the additional technical features of the invention or utility model. A dependent claim referring
to one or more other claims shall refer only to the preceding claim or claims. A multiple dependent claim which refers to more than
one other claim shall not serve as a basis for any other multiple dependent claim.
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(s) of the invention or utility model. The abstract may contain the chemical formula
which best characterizes the invention. In an application for a patent which contains drawings, the applicant shall indicate and
provide a drawing which best characterizes the invention or utility model. The scale and the distinctness of the drawing shall be
such that a reproduction with a linear reduction in size to 4 cm * 6 cm would still enable all details to be clearly distinguished.
The whole text of the abstract shall contain not more than 200 Chinese characters. There shall be no commercial advertising in the
abstract.
Article 25 Where an application for a patent for invention concerns a new micro-organism, 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, complete the following procedures:
(1) deposit a sample of the micro-organism with a depository institution designated by the Patent Office before the date of filing,
or, at the latest, on the date of filing, and submit, at the time of filing, or, at the latest, within three months from the filing
date, a receipt of deposit and the viability proof from the depository institution; where they are not submitted within the specified
time limit, the sample of the micro-organism shall be deemed not to have been deposited;
(2) give in the application document relevant information of the characteristics of the micro-organism;
(3) indicate, where the application relates to the deposit of the micro- organism, in the request and the description the scientific
name (with its Latin name), the name and address of the depository institution, the date on which the sample of the micro-organism
was deposited and the accession number of the deposit; where, at the time of filing, they are not indicated, they shall be supplied
within three months from the date of filing; where after the expiration of the time limit they are not supplied, the sample of the
micro-organism shall be deemed not to have been deposited.
Article 26 After the publication of an application for a patent for invention relating to a micro-organism, any unit or individual that 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 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 * 8 cm, nor larger than 15cm * 22 cm.
Where an application for a patent for design seeking concurrent protection of colours is filed, a drawing or photograph in colour,
and a drawing or photograph in white and black, shall be submitted.
The applicant shall submit, in respect of the subject matter of the product incorporating the design which is in need of protection,
the relevant views and stereoscopic drawings or photographs, so as to clearly show the subject matter for which protection is sought.
Article 28 Where an application for a patent for design is filed, a brief explanation of the design shall, when necessary, be indicated.
The brief explanation of the design shall include the main creative portion of the design, the colours for which protection is sought
and the omission of the view of the product incorporating the design. The brief explanation shall not contain any commercial advertising
and shall not be used to indicate the function and the uses of the product.
Article 29 Where the Patent Office finds it necessary, it may require the applicant for a patent for 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 * 30 cm * 30 cm, and its weight
shall not surpass 15 kilos. Articles easy to get rotten or broken, or articles that are dangerous, may not be submitted as sample
or model.
Article 30 The existing technology mentioned in Article 22, paragraph 3 of the Patent Law means any technology which has been publicly disclosed
in publications in the country or abroad, or has been publicly used or made known to the public by any other means in the country,
before the date of filing, that is prior art.
Article 31 The academic or technological meeting mentioned in Item 2 of Article 24 of the Patent Law means any academic or technological meeting
organized by a department concerned of the State Council or by a national academic association.
Where any application for a patent falls 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 two months from the date of filing, submit a certificate
issued by the unit which organized the international exhibition or academic or technological meeting, stating that the invention-creation
was in fact exhibited or published and also the date of its exhibited or publication. 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
a certifying document.
Article 32 Where an applicant is to comply with the requirements for claiming the right of priority in accordance with Article 30 of the Patent
Law, he or it shall, in his or its written declaration, indicate the date of filing and the filing number of the application which
was first filed (hereinafter referred to as the earlier application) and the country in which that application was filed. If the
written declaration does not contain the date of filing of the earlier application and the name of that country, the declaration
shall be deemed not to have been made. Where the foreign priority is claimed, the copy of the earlier application document submitted
by the applicant shall be certified by the competent authority of the foreign country concerned; where the domestic priority is claimed,
the copy of the earlier application document shall be prepared by the Patent Office.
Article 33 Any applicant may claim one or more priorities for an application for a patent; where the priorities of several earlier applications
are claimed, the priority period for the application shall be calculated from the earliest priority date.
Where any applicant claims the right of domestic priority, if the earlier application is one for a patent for invention, he or it
may file an application for a patent for invention or utility model for the same subject matter; if the earlier application is one
for a patent for utility model, he or it may file an application for a patent for utility model or invention for the same subject
matter. But when the later application is filed, if the earlier application is one for a patent for utility model, it may not be
the basis of domestic priority:
(1) where foreign or domestic priority has already been claimed;
(2) where a patent right has been granted;
(3) where it belongs to divisional application filed as prescribed.
Where the domestic priority is claimed, the earlier application shall be deemed to be withdrawn from the date on which the later application
is filed.
Article 34 Where an application for a patent is filed or the right of foreign priority is claimed by any applicant having no habitual residence
or business office in China, the Patent Office may, when necessary, 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 business office or the headquarters, if the applicant is an enterprise or other organization;
(3) a testimonial showing that the country, to which the foreigner, foreign enterprise or other foreign organization belongs, recognizes
that Chinese citizens and entities are, under the same conditions applied to its nationals, enpost_titled to patent right, right of priority
and other related rights in that country.
Article 35 Two or more inventions or utility models belonging to a single general inventive concept which may be filed as one application in
accordance with the provisions of Article 31, paragraph 1 of the Patent Law shall be technically interrelated and contain one or
more same or corresponding special technical features.
The expression “special technical features” shall mean those technical features that define a contribution which each of those inventions,
considered as a whole, makes over the prior art.
The claims in one application for a patent for two or more inventions which are in conformity with the provisions of the preceding
paragraph may be any of the following:
(1) independent claims of the same category for two or more products or processes which cannot be included in one claim;
(2) an independent claim for a product and an independent claim for a process specially adapted for the manufacture of the product;
(3) an independent claim for a product and an independent claim for a use of the product;
(4) an independent claim for a product, an independent claim for a process specially adapted for the manufacture of the product, and
an independent claim for a use of the product;
(5) an independent claim for a product, an independent claim for a process specially adapted for the manufacture of the product, an
independent claim for an apparatus specially designed for carrying out the process;
(6) an independent claim for a process and an independent claim for an apparatus specially designed for carrying out the process.
The claim in one application for a patent for two or more utility models which are in conformity with the provisions of the first
paragraph of this Article may be independent claims for two or more products which cannot be included in one claim.
Article 36 The expression “the same class” mentioned in Article 31, paragraph 2 of the Patent Law means that the products incorporating the
designs belong to the same subclass in the classification of products for designs, The expression “be sold or used in sets” means
that the products incorporating the designs have the same designing concept and are customarily sold or used at the same time.
Where two or more designs are filed as one application in accordance with the provisions of Article 31, paragraph 2 of the Patent
Law, they shall be numbered consecutively and the numbers shall be placed in front of the post_titles of the view of the product incorporating
the design.
Article 37 When withdrawing an application for a patent, the applicant shall submit to the Patent Office a declaration stating the post_title of
the invention-creation, the filing number and the date of filing.
Where a declaration to withdraw an application for a patent is submitted after the printing preparation has been done by the Patent
Office for publishing of the application documents, the application shall be published as scheduled.
CHAPTER III EXAMINATION AND APPROVAL OF APPLICATION FOR PATENT
Article 38 Any person who is to examine or hear a case in the procedures of preliminary examination, substantial examination, reexamination,
revocation or invalidation shall, on his own initiative or upon the request of the party concerned or any other interested person,
avoid being present in any of the following situations:
(1) where he is a close relative of the party concerned or the latter’s agent;
(2) where he has an interest in the application for patent or the patent right;
(3) where he has such other kinds of relations with the party concerned or the latter’s agent that might influence impartial examination
and hearing.
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.
The avoidance of a person in examining and hearing a case shall be decided by the Patent Office.
Article 39 Upon the receipt of an application for a patent for invention or utility model consisting of a request, a description (a drawing
being indispensable for utility model) and one or more claims, or an application for a patent for design consisting of a request
and one or more drawings or photographs showing the design, the Patent Office shall accord the date of filing and a filing number
and notify the applicant.
Article 40 In any of the following situations, the Patent Office shall not accept and shall notify the applicant accordingly:
(1) where the application for a patent for invention or utility model does not contain a request, a description (or a description
of utility model without drawings) or claims, or the application for a patent for design does not contain a request, drawings or
photographs;
(2) where the application is not written in Chinese;
(3) where the application is not in conformity with the provisions of paragraph 1 of Article 94 of these Rules;
(4) where the request does not contain the name and address of the a
| Category |
SPECIAL ECONOMIC ZONES AND COASTAL ECONOMIC DEVELOPMENT ZONES |
Organ of Promulgation |
The State Council |
Status of Effect |
In Force |
| Date of Promulgation |
1992-07-07 |
Effective Date |
1992-07-07 |
|
|
|
Reply of the State Council to the Application of Liaoning Province to Build a Border Economic Cooperation Zone in Dandong |
(July 7, 1992)
The People’s Government of Laoning Province:
The Application for Establishment of a Riverside Development Zone Dandong
has been received and the reply is as follows:
Your application has been approved for the establishment of a border
economic cooperation zone and the implementation of the policy on border
economic cooperation zones stipulated by No.21 Letter of the State Council
issued in 1992, while continuing to implement the policy on costal economic
open areas. The specific location and scope of the border economic cooperation
zone shall be examined and approved by the Special Economic Zones Office of
the State Council in conjunction with the relevant departments.
| Category |
CIVIL AVIATION |
Organ of Promulgation |
The State Council |
Status of Effect |
In Force |
| Date of Promulgation |
1993-08-03 |
Effective Date |
1993-08-03 |
|
|
|
Provisions for the Administration of Civil Air Transport Sales Agencies |
Chapter I General Provisions
Chapter II Conditions for Establishment
Chapter III Examination, approval and Registration Procedures
Chapter IV Control of Operation
Chapter V Penalty
Chapter VI Supplementary Provisions
(Approved by the State Council on July 5, 1993 and promulgated in
Directive No.37 by the General Administration of Civil Aviation of China on
August 3, 1993)
Chapter I General Provisions
Article 1 These Provisions are formulated in order to maintain the market
order of civil air transport and safeguard the lawful rights and interests of
the public, civil air transport enterprises and civil air transport sales
agencies.
Article 2 These Provisions are applicable to civil air transport sales
agencies engaged in the sale of passenger and cargo transport on behalf of
civil air transport enterprises in the territory of the People’s Republic of
China.
Article 3 In these Provisions,
(1) Civil air transport sales agency (hereinafter referred to as ‘air
transport sales agency’) refers to a profit-making undertaking appointed by a
civil air transport enterprise to be engaged in the sale of air passenger and
cargo transport and related business operations for and on behalf of the
principal within the agreed scope of authority;
(2) Civil air transport enterprise refers to an enterprise engaged in the
carriage of passengers, baggages, cargo and mail with civil aircraft;
(3) Civil air transport sales agent (hereinafter referred to as ‘sales
agent’) refers to an enterprise engaged in air transport sales agency;
(4) Competent administrative organ of civil air transport of the People’s
Republic of China (hereinafter referred to as ‘civil aviation competent
administrative organ’) refers to the General Administration of Civil Aviation
of China;
(5) Regional administrative organ of civil air transport of the People’s
Republic of China (hereinafter referred to as ‘civil aviation regional
administrative organ’) refers to the regional administration of civil aviation
of China.
Article 4 Air transport sales agencies are divided into the following two
categories in accordance with the scope of agency service:
(1) Category-I air transport sales agency, engaged in the sales agency
service of civil air transport on international routes or regional routes
leading to Hongkong, Macao and Taiwan;
(2) Category-II air transport sales agency, engaged in the sales agency
service of civil air transport on domestic routes excluding regional routes
leading to Hongkong, Macao and Taiwan.
Article 5 Air transport sales agencies are administered in accordance
with the following principles:
(1) Meeting social demand, making things convenient for the public and
distributing the network of sales agencies rationally;
(2) Protecting just competition and promoting service quality.
Article 6 Sales agents must observe the laws and regulations of China and
subject themselves to the supervision and administration of civil aviation
competent administrative organ or civil aviation regional administrative
organ, as appropriate.
Chapter II Conditions for Establishment
Article 7 A sales agent shall obtain the corporate capacity of an
enterprise of the People’s Republic of China according to law.
Article 8 The amount of registered capital of a sales agent shall conform
to the following requirements:
(1) The registered capital of a category-I air transport sales agent shall
not be less than RMB 1,500,000 yuan;
(2) The registered capital of a category-II air transport sales agent
shall not be less than RMB 500,000 yuan.
The registered capital of a sales agent shall be increased by RMB 500,000
yuan for the addition of every branch office or business point.
For a sales agent concurrently engaged in the sale of air transport, its
capital used specifically for such sale shall meet the above requirements.
Article 9 A sales agent shall have available the following conditions for
business operation:
(1) fixed independent business location;
(2) telecommunications facilities and other necessary business facilities;
(3) civil air transport regulations and material corresponding to its
sales agency service;
(4) at least three people possessing appropriate qualification
certificates of air transport sales personnel.
Article 10 A foreign legal person or a foreigner, who has set up a
Chinese-foreign joint venture or a Chinese-foreign cooperative enterprise in
accordance with the relevant laws of the People’s Republic of China and is
qualified for the conditions stipulated in these Provisions, may be engaged in
category-I air transport sales agency in the territory of the People’s
Republic of China after being approved by the civil aviation competent
administrative organ; and may be engaged in the cargo sales of category-II air
transport sales agency in the territory of the People’s Republic of China
after being approved by the civil aviation regional administrative organ.
Chapter III Examination, approval and Registration Procedures
Article 11 An air transport sales agency shall be applied for in
accordance with the following procedures:
(1) For category-I air transport sales agency, a written application shall
be submitted to the civil aviation competent administrative organ;
(2) For category-II air transport sales agency, a written application
shall be submitted to the civil aviation regional administrative organ of the
place where the business location of the applicant is situated.
Article 12 In applying for air transport sales agency, the following
documents and materials shall be submitted:
(1) application in writing;
(2) articles of association of the enterprise;
(3) name, post and resume of the principal person in charge and the
namelist of sales personnel;
(4) business facilities and telecommunications equipment available;
(5) capital credit certificate;
(6) proof of financial guarantee;
(7) photocopy of the appropriate qualification certificates of air
transport sales personnel;
(8) intention letter of agency appointment issued by a civil air transport
enterprise;
(9) other documents and material for submission as required.
An applicant applying for category-I air transport sales agency to be
engaged in cargo sales shall also submit a photocopy of ‘Confirmation of
International Cargo Transport Agency of the People’s Republic of China’.
Article 13 The civil aviation competent administrative organ or civil
aviation regional administrative organ shall make a decision of approval or
disapproval in accordance with these Provisions within 30 days beginning from
the day of accepting the application.
The civil aviation competent administrative organ or civil aviation
regional administrative organ shall verify and issue appropriate certificate
of approval for the operation of air transport sales agency to applicants
conforming to the conditions for engaging in such agency.
The period of validity of the certificate of approval for the operation of
air transport sales agency is three years.
Article 14 The sales agent shall apply for registration with the
administration of industry and commerce at the place of its business location
against the certificate of approval for the operation of air transport sales
agency issued by the civil aviation competent administrative organ or civil
aviation regional administrative organ.
Article 15 A sales agent operating an air transport sales agency may
apply for setting up branch offices or business points in case its annual sales
volume was more than double the minimum level prescribed in Article 28 of
these Provisions for two consecutive years, and it was not subject to the
penalty of fine or suspension of business for rectification during these two
years.
Article 16 A sales agent to set up branch offices or business points to
operate air transport sales agency shall apply for separate certificates of
approval for the operation of air transport sales agency for its branch
offices or business points in accordance with these Provisions.
A sales agent shall be responsible for the business behavior of its branch
offices or business points.
Article 17 The civil aviation competent administrative organ may decide
to suspend the acceptance of applications for air transport sales agency
within prescribed period in the light of the macro supply and demand of civil
air transport market.
The decision made by the civil aviation competent administrative organ in
accordance with the preceding paragraph shall be announced.
Chapter IV Control of Operation
Article 18 In the appointment and operation of agency the civil air
transport enterprise and sales agent shall comply with the regulations of the
civil aviation competent administrative organ, prevent error in business and
man-made accident in transport, and safeguard public interest.
Article 19 A sales agent shall perform civil air transport sales agency
within the scope of approved agency category.
Article 20 A sales agent may sign air transport sales agency agreement
with any civil air transport enterprise having the right of operation in the
territory of the People’s Republic of China within the scope of approved
agency category so as to perform civil air transport sales agency.
In the appointment and operation of agency the civil air transport
enterprise or sales agent must not practise any unjust act of competition.
Article 21 The sales agent and civil air transport enterprise shall
determine through consultation the standard of air transport sales agent
commission in accordance with the principle of equality and mutual benefit,
except the legal standard prescribed by the civil aviation competent
administrative organ and competent price department.
The sales agent shall publish the standard of business charges at its
business location and submit such charges to the civil aviation competent
administrative organ or civil aviation regional administrative organ which
issued the certificate of approval for the operation of air transport sales
agency for file.
Article 22 The sales agent and civil air transport enterprise shall
strictly carry out the air transport sales agency agreement signed between the
two parties.
The sales agent shall submit the air transport sales agency agreement to
the civil aviation competent administrative organ or civil aviation regional
administrative organ which issued the certificate of approval for the
operation of air transport sales agency for file.
Article 23 The sales agent shall use special invoices for air transport
sales agency while carrying out passenger sales of category-I air transport
sales agency.
Article 24 The sales agent shall submit an annual report of its operation
to the civil aviation competent administrative organ or civil aviation
regional administrative organ which issued the certificate of approval for the
operation of air transport sales agency for file.
A sales agent concurrently engaged in air transport sales agency shall
maintain separate account numbers and account books for the revenue and
expenditure accrued in the operation of air transport sales agency.
Article 25 The sales agent must observe the regulations concerning air
transport price and air transport sales agency service charges of China.
Article 26 The sales agent must not transfer air transport documents to
others for sale, or complete air transport documents at a business location
not registered.
Article 27 A sales agent who continues the operation of sales agency
after the expiration of its certificate of approval for the operation of air
transport sales agency shall apply in writing for renewing the certificate to
civil aviation competent administrative organ or civil aviation regional
administrative organ one month before the expiration of such certificate.
In case a sales agent fails to apply for the renewal of the certificate of
approval for operation in accordance with the provision in the preceding
paragraph, it shall automatically forfeit its qualification for air transport
sales agency at the time of expiration of such certificate.
Article 28 The certificate of approval for the operation of air transport
sales agency shall not be renewed if the annual average sales volume of a
sales agent fails to reach the following minimum standard:
(1) For a category-I air transport sales agent, the sale of transportation
of 2,000 passengers or 100 tons of cargo;
(2) For a category-II air transport sales agent, the sale of
transportation of 5,000 passengers or 200 tons of cargo.
The provision of the preceding paragraph shall not apply if in the opinion
of the civil aviation competent administrative organ or civil aviation
regional administrative organ it is still necessary to maintain a sales agent
because the sales agent is the sole sales agent in the area where such agent
is situated and the service quality of such agent is good.
Article 29 A civil air transport enterprise must not sign an air
transport sales agency agreement with a unit or an individual under one of the
following circumstances:
(1) a unit or an individual not in possession of a certificate of approval
for the operation of air transport sales agency;
(2) the business scope of the business license of the unit or individual
does not include air transport sales agency.
Article 30 In case the certificate of approval for the operation of air
transport sales agency of a sales agent is withdrawn or expires, the civil air
transport enterprise shall immediately terminate its performance of the air
transport sales agency agreement signed with such agent.
Chapter V Penalty
Article 31 A sales agent in violation of these Provisions shall be
penalized by the civil aviation competent administrative organ or civil
aviation regional administrative organ as follows:
(1) Violation of Article 21, paragraph 2 of Article 22 and Article 24 of
these Provisions shall be penalized by warning and instruction to correct
within prescribed time; failure to correct within the prescribed time or a
second violation within six months shall be penalized by suspension of
operation for rectification for 3 to 15 days.
(2) Violation of Article 19 and Article 23 shall be penalized by
instruction to correct within prescribed time and imposition of a fine of over
RMB 1,000 yuan but below 10,000 yuan; failure to correct within prescribed
time or a second violation within six months shall be penalized by suspension
of operation for rectification for 7 to 30 days.
(3) Violation of Article 18, paragraph 2 of Article 20, Article 25 and
Article 26, shall be penalized by the imposition of a fine of over RMB 3,000
yuan but below 30,000 yuan or the suspension of operation for rectification
for 15 to 90 days at the same time in addition to instructing the sales agent
to indemnify the victim for economic loss; serious cases resulting in adverse
influence or the recurrence of same violation for three times within two years
shall be penalized by the withdrawal of the certificate of approval for the
operation of air transport sales agency.
Article 32 In case the certificate of approval for the operation of air
transport sales agency of a sales agent is withdrawn, the civil aviation
competent administrative organ or civil aviation regional administrative organ
shall suggest that the administration of industry and commerce revoke or
change the business license of the sales agent.
Article 33 In the case of unlawful operation of civil air transport sales
agency without the certificate of approval for the operation of air transport
sales agency, the civil aviation competent administrative organ or civil
aviation regional administrative organ, as appropriate, shall ban the unlawful
operation of such sales agent, confiscate its unlawful earnings and impose a
fine to the amount of over RMB 30,000 yuan but below 100,000 yuan.
Article 34 In the case of violation of Article 18, the second paragraph
of Article 20, Article 29 and Article 30 by a civil air transport enterprise,
the civil aviation competent administrative organ or civil aviation regional
administrative organ, as appropriate, shall instruct the enterprise to correct
immediately and impose a fine of over RMB 10,000 yuan but below 100,000 yuan.
Article 35 In the case of gross violation of these Provisions
constituting a crime, criminal responsibility shall be investigated and
affixed in accordance with the law.
Article 36 If a party refuses to comply with the specific administrative
act performed by the civil aviation competent administrative organ or civil
aviation regional administrative organ in accordance with these Provisions, it
may apply for reconsideration of the case to the civil aviation competent
administrative organ and may also initiate administrative proceedings directly
to the people’s court within 15 days beginning from the day on which the
specific administrative act comes to its knowledge.
Chapter VI Supplementary Provisions
Article 37 Rules for the implementation of these Provisions shall be
formulated by the General Administration of Civil Aviation of China.
Article 38 The General Administration of Civil Aviation of China shall be
responsible for the interpretation of these Provisions.
Article 39 These Provisions shall go into effect on the day of their
promulgation.
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19960909
The Ministry of Foreign Trade and Economic Cooperation
Measures on Administration of Examination and Approval of International Shipping Agents with Foreign Investment
the Ministry of Foreign Trade and Economic Cooperation
February 22, 1995
Article 1
These Measures are formulated in accordance with relevant laws and regulations of the State governing enterprises with foreign investment
as well as regulations concerning trade administration.
Article 2
International shipping agents” mentioned in the present Measures means enterprises with foreign investment that handle, on commission
of the consignors and consignees, international shipment and relevant business of import and export, in the name of their clients
or in their own names.
Article 3
The Ministry of Foreign Trade and Economic Cooperation of the People’s Republic of China (hereinafter called MOFTEC) shall be the
authority for examination and approval and administration of international shipping agents with foreign investment.
Article 4
The establishment of an international shipping agent with foreign investment shall be advantageous to the development of foreign trade
and fair competition.
Article 5
The establishment of an international shipping agent with foreign investment shall be in the form of either an equity joint venture
or a contractual joint venture.
Article 6
The minimum registered capital of an international shipping agent with foreign investment shall be:
(1)
US $ 1 million for ocean carriage;
(2)
US $ 800 thousand for air transport;
(3)
US $ 600 thousand for inland transport;
(4)
any shipping agent with foreign investment engaged in two or more kinds of business mentioned above shall, correspondingly, increase
the registered capital, depending on the specific requirements.
Article 7
The operation period of an international shipping agent with foreign investment shall not be longer than twenty years.
Article 8
An international shipping agent with foreign investment may, upon approval, be engaged in part or all of the following business:
International shipping business for import and export of a trade or non-trade nature through ocean, inland and air transport, including
such business as: goods collecting, space booking, space chartering, ship chartering, plane chartering, international multi-modal
transport, storage, LCL and FCL, document preparation, B/L issuing, declaration at customs, declaration for inspection, declaration
for test, insurance, settlement of transport overhead charges, etc.
Article 9
Chinese and foreign investors who apply for the establishment of international shipping agents with foreign investment shall, in addition
to the requirements by the laws and regulations of the State concerning enterprises with foreign investment, meet the following conditions:
(1)
Chinese and foreign investors who apply for the establishment of international shipping agents with foreign investment shall be enterprises
which are engaged in business relating to international transport of goods; and
(2)
the investors shall be of no less than three years’ experience in this business, with management personnel and an appropriate number
of clients.
Article 10
Application for the establishment of an international shipping agent with foreign investment shall, in accordance with the procedures
provided for by the state’s laws and regulations in force concerning enterprises with foreign investment be submitted to MOFTEC for
examination and approval. With its approval, MOFTEC shall issue the Certificate of Approval for Enterprises with Foreign Investment
and the Certificate of Approval for International Shipping Agents accordingly.
The Chinese partner shall go through the procedures with the department of administration for industry and commerce for registration
of enterprise legal person by providing the certificate of approval issued by MOFTEC.
Article 11
An international shipping agent with foreign investment may, according to the needs of business development, apply for the set-up
of branches and subsidiaries in other parts of China after one year’s operation an performance of all of the contributions by the
parties.
Application for the set-up of branches and subsidiaries shall, first, be submitted to the authorities for foreign economic relations
and trade of the places where the shipping agent is located for preliminary examination, and then for comments to the authorities
for foreign economic relations and trade in the places where the branches and subsidiaries are intended to be set up and finally
to MOFTEC for examination and approval with the proceeding approval.
An international shipping agent with foreign investment which applies for the set-up of branches and subsidiaries shall present the
following documents:
(1)
airport transmitted by the authority for foreign economic relations and trade of the place where the shipping agent is located and
a letter of approval by the authority for foreign economic relations and trade of the place where the branches and subsidiaries are
located;
(2)
a decision by the board of directors of the shipping agent for the set-up of branches and subsidiaries;
(3)
a report on business situation of the shipping agent and reasons for such setup and a feasibility study; and
(4)
a report of capital verification of the shipping agent.
An international shipping agent which applies for the set-up of branches and subsidiaries shall increase the registered capital accordingly,
and the business scope of the branches and subsidiaries shall not be greater than that of the shipping agent.
Article 12
The present Measures shall, apply to the international shipping agents set up in the mainland areas of the People’s Republic of China
with investment from companies, enterprises and other economic entities or individuals in Hong Kong, Macao and Taiwan.
Article 13
These Measures shall enter into force as of the date of promulgation.
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