Notice of the State Intellectual Property Office on Further Carrying Out the "Blue Sky" Special Rectification Action in the Intellectual Property Agency Industry

2023-04-11

Guozhi Shipping Letter [2023] No. 51

Intellectual Property Offices of all provinces, autonomous regions, municipalities directly under the Central Government and Xinjiang Production and Construction Corps, and Sichuan Intellectual Property Service Promotion Center; All departments of the State Intellectual Property Office, all departments of the Patent Office, the Trademark Office, other units directly under the Bureau, and social organizations:

In recent years, the State Intellectual Property Office has thoroughly implemented the spirit of General Secretary Xi Jinping's important instructions on "improving the intellectual property service system", conscientiously implemented the decisions and arrangements of the Party Central Committee and the State Council, focused on creating a healthy and orderly environment for the development of the intellectual property service industry, and continued to carry out the "blue sky" special rectification action in the intellectual property agency industry nationwide. With the rapid development of the intellectual property agency industry, some new situations and new problems have gradually emerged, and the supervision of intellectual property agency still needs to be continuously strengthened.

In order to further strictly regulate the behavior of intellectual property agency, vigorously promote the healthy development of the industry, and provide better intellectual property services to stimulate the innovation vitality of the whole society and promote high-quality economic development, the State Intellectual Property Office has decided to further carry out the "blue sky" special rectification action of the intellectual property agency industry in 2023, and the relevant matters are hereby notified as follows:

1. Strictly implement the new regulations on trademark agency, and crack down on all kinds of outstanding illegal agency behaviors

(1) Thoroughly implement the Provisions on the Supervision and Administration of Trademark Agency. In October 2022, the State Administration for Market Regulation issued the Provisions on the Supervision and Administration of Trademark Agency (hereinafter referred to as the "Provisions"), which comprehensively refines the relevant provisions of the Trademark Law of the People's Republic of China and the Regulations for the Implementation of the Trademark Law of the People's Republic of China, providing institutional support for effectively cracking down on all kinds of illegal trademark agents and further standardizing trademark agency behaviors. All localities should fully understand the importance of implementing the "Provisions", perform the responsibilities specified in the "Provisions" in accordance with the law, increase publicity and training, continuously improve the efficiency of trademark agency supervision in the region, and form a good situation of agencies and practitioners abiding by the law as soon as possible.

(2) Crack down on prominent trademark agents in violation of laws and regulations. In accordance with the requirements of the "Provisions", all localities shall act as an agent for preemptively registering, hoarding hot word trademarks, acting as agents for trademarks with major adverse social impacts, colluding with personnel engaged in trademark registration and management, and engaging in violations of laws and regulations in the process of acting for cross-border e-commerce business and engaging in trademark agency business through the Internet, impersonating the names of state organs and state organ staff, forging and altering legal documents, seals, and signatures. Accepting the entrustment of both parties with conflicts of interest in the same trademark agency and other violations of laws and regulations will be the key targets of rectification in 2023, and the relevant departments will effectively increase the crackdown. if the circumstances are serious, it shall be reported to the State Intellectual Property Office for handling in a timely manner; and where a crime is suspected, it shall be transferred to the relevant departments for investigation of criminal responsibility in accordance with law.

(3) Strengthen record management and highlight governance at the source. According to the requirements of the "Provisions", the State Intellectual Property Office issued the "Announcement on the Re-filing of Trademark Agencies", organized the re-filing of trademark agencies and practitioners, established practitioner files, and realized the linkage management of agency and examination, and the relevant work was completed in April 2023 and timely feedback to all localities. All localities should sort out and form a directory of trademark agencies and practitioners in their respective regions based on the latest filing information, and work with relevant departments to update the "double random, one open" inspection list, improve the list of inspection items, and strengthen the daily supervision of trademark agencies and practitioners.

二、持续强化专利代理整治，巩固严格规范行业秩序良好态势

（一）持续整治非正常专利申请代理行为。国家知识产权局持续向各地通报非正常专利申请及代理信息，加强对进一步规范专利代理行为的正向引导。各地要充分履行代理行为发生地属地监管职责，依法依规加大对非正常专利申请代理行为的查处力度，加大跨地区联合监管力度，积极配合支持其他省份协查请求。对于反复代理、撤回后再次提交、代理涉外非正常专利申请等情节严重或明显恶意的，依法给予严肃处理；情节特别严重、社会影响较大的，及时报送国家知识产权局处理。

（二）持续重拳打击无资质专利代理行为。国家知识产权局持续加强专利数据分析，定期筛查无资质专利代理行为线索并转送各地查处。各地在案件查办过程中要注重以申请人为突破口，及时收集、调取代理合同、交易信息等关键证据材料，避免从事无资质代理人员通过欺骗、威胁、诱导申请人等方式转移、销毁证据。要按照有关规定从严认定违法所得，并将代理非正常申请、拒不配合调查等行为作为从重处罚情节依法依规给予高倍数或顶格罚款。对于出租、出借资质的代理机构，严格实施“双处罚”。

（三）加强对提交虚假材料等行为的整治。对于代理机构冒用他人身份信息、伪造变造法律文件等弄虚作假行为，各地要加大整治力度。对于与委托人签订代理委托协议，但未以代理机构名义开展专利代理业务的，应将其列为重点监管对象，提高日常检查频次，及时向社会公示检查结果，同时向相关委托人发送风险提示，对发现存在代理非正常专利申请、未落实签名责任制等违法违规行为的，依法给予严肃处理。要及时督促不符合执业许可条件机构限期整改，对于未按时完成整改或拒不整改的机构，要依法依规给予处理。

三、加快构建综合监管体系，推动形成知识产权代理行业多元共治格局

（一）深化代理行业信用协同监管。国家知识产权局将在全国建立专利代理信用评价管理机制，并做好信用评价结果公示。还将加快研究制定商标代理信用评价办法，并在重点地区开展试点工作。各地要严格落实各项知识产权代理信用监管规定，做好信用信息采集、信用计分、信用修复审核等工作。对于属于《市场监督管理严重违法失信名单管理办法》《国家知识产权局知识产权信用管理规定》失信情形的，及时将其列入名单，并实施相应管理措施。要强化知识产权代理行业信用评价结果运用，因地制宜制定守信激励和失信限制细化措施，对守信主体配套给予激励措施，充分发挥正向引领作用；对失信主体严格实施协同限制，实现代理领域“一处失信、处处受限”。

（二）加强社会监督作用。国家知识产权局将继续加强知识产权代理信息公示及风险预警，进一步便利社会公众慎选、优选代理机构。各地要进一步畅通社会公众举报投诉渠道，依法加强监管信息公示，指导各类创新主体特别是知识产权优势、示范企业慎选、优选代理机构。

（三）强化行业自律作用。中华全国专利代理师协会、中华商标协会要进一步发挥行业自律作用，完善自律规范和惩戒规则，加强业务培训和经验交流，加大优秀知识产权代理机构的培育力度，引导机构自觉抵制违法违规代理行为，树立质量优先的价值导向。各地要加强对本地区知识产权服务行业组织的指导，推进完善行业自律规则，积极开展自律惩戒，组织开展线索调查、暗访和协查办案等工作，协同做好舆情应对。有条件的地方，要加快推进成立专门的专利、商标代理行业组织，积极发挥行业组织作用，加快形成监管合力。

(4) Promote institutions to improve the level of autonomy. The State Intellectual Property Office will promote the strengthening of the professional capacity building of agency practitioners, guide the establishment of an advanced training system for agency practitioners, and promote the development of institutions in the direction of standardization, standardization, quality and specialization. All localities should urge agencies and agents to earnestly perform their main responsibilities, improve internal quality management, compliance reporting and other systems, and promote the legal and standardized operation of institutions. Guide the development of a series of trainings on the internship, practice and updating of professional and technical knowledge of patent agents in the region, as well as a series of training for trademark agency practitioners, and encourage agencies to expand multi-level and diversified high-quality services.

The State Intellectual Property Office will continue to promote cross-regional collaborative supervision in key areas, strengthen the supervision and assessment of the intensity, efficiency and quality of supervision in various regions, and regularly report on the experience and practices of various regions and the progress of special actions. All localities should enrich the power of agency supervision, increase the intensity of supervision, implement regulatory responsibilities, and continuously improve the capacity of intellectual property agency supervision in the region. Make full use of government portals, traditional media, and new media information dissemination channels to strengthen publicity on the phased results of special actions and typical cases, increase the breadth and depth of publicity, and further enhance the influence and deterrence of special rectifications. All localities are requested to submit the detailed plan of the "blue sky" action of their province before April 21 and the annual summary to the Intellectual Property Application Promotion Department of our bureau before November 30. Problems and useful experiences and practices found in the course of the action should be reported in a timely manner.

Notice is hereby given.

State Intellectual Property Office

March 31, 2023

Source: State Intellectual Property Office