What is intellectual property certification

Intellectual property management system certification is to standardize intellectual property certification activities, improve its effectiveness and strengthen supervision and management. According to laws, administrative regulations and departmental rules such as patent law of the people's Republic of China, trademark law of the people's Republic of China, copyright law of the people's Republic of China, regulations of the people's Republic of China on accreditation, administrative measures for certification bodies, etc Stipulate management system certification.
Release information
Announcement of State Intellectual Property Office of China Certification and Accreditation Administration
No. 5, 2018
In accordance with the regulations of the people's Republic of China on certification and accreditation and the measures for the administration of certification bodies, the CNCA and the State Intellectual Property Office jointly formulated the measures for the administration of intellectual property certification, which are hereby promulgated.
National Accreditation and Supervision Commission
State Intellectual Property Office
February 11, 2018
Full text of policy
Measures for the administration of intellectual property certification
Chapter I General Provisions
Article 1 In order to standardize the activities of intellectual property authentication, improve its effectiveness, and strengthen supervision and management, these measures are formulated in accordance with the provisions of laws, administrative regulations and departmental rules such as the patent law of the people's Republic of China, the Trademark Law of the people's Republic of China, the copyright law of the people's Republic of China, the regulations of the people's Republic of China on authentication and accreditation, and the measures for the administration of authentication agencies.
Article 2 the term "intellectual property certification" as mentioned in these Measures refers to the conformity assessment activities by which the certification bodies prove that the intellectual property management system and intellectual property services of legal persons or other organizations conform to the relevant national standards or technical specifications.
Article 3 authentication of intellectual property includes authentication of intellectual property management system and authentication of intellectual property service.
The certification of intellectual property management system refers to the qualification assessment activities by which the certification body certifies that the internal intellectual property management system of a legal person or other organization conforms to the requirements of relevant national standards or technical specifications.

Intellectual property service certification refers to the qualification assessment activities by which the certification body certifies that the intellectual property services provided by legal persons or other organizations meet the requirements of relevant national standards or technical specifications.
Article 4 the state certification and Accreditation Administration (hereinafter referred to as the CNCA) and the State Intellectual Property Office shall, in accordance with the principles of unified management, division of labor and cooperation, and joint implementation, formulate, adjust and issue certification catalogue and certification rules, and organize certification supervision and management.
Article 5 the certification of intellectual property rights shall be guided by the government and driven by the market, and shall be subject to catalogue management.
Article 6 the State encourages legal persons or other organizations to improve their intellectual property management level or intellectual property service ability through intellectual property authentication.
Article 7 the authentication of intellectual property shall adopt unified authentication standards, technical specifications and rules, and use unified authentication marks.
Article 8 these Measures shall apply to the certification of intellectual property rights and its supervision and administration within the territory of the people's Republic of China.
Chapter II certification bodies and certification personnel
Article 9 institutions engaged in intellectual property certification (hereinafter referred to as certification institutions) shall be established in accordance with the law, meet the requirements stipulated in the regulations of the people's Republic of China on certification and accreditation and the measures for the administration of certification institutions, have the requirements for relevant professional ability to engage in intellectual property certification activities, and may engage in certification activities within the scope of approval only after being approved by the CNCA.
When approving the qualification of certification bodies, the CNCA may consult with the State Intellectual Property Office if it involves issues in the field of intellectual property.
Article 10 a certification body may establish branches and offices, and submit relevant information to the CNCA and the State Intellectual Property Office within 30 days from the date of establishment.
Article 11 the personnel engaged in certification examination (examination) of certification institutions shall be full-time certification personnel, meeting the requirements of relevant knowledge and skills required for the activities of intellectual property certification, and meeting the relevant requirements of the professional qualifications of national certification personnel.
Chapter III code of conduct
Article 12 certification bodies shall establish risk prevention mechanisms and take reasonable and effective preventive measures against the risks and responsibilities that may arise from their certification activities.

Article 13 certification bodies shall not engage in consulting, agency, training, information analysis and other services related to their certification work, product development and marketing, and shall not have any interest relationship with certification consulting bodies and certification clients in terms of assets, management or personnel.
Article 14 certification bodies and their certification personnel shall have the obligation to keep confidential the state secrets, trade secrets and technical secrets they know in their business activities.
Article 15 certification bodies shall perform the following duties:（1） Carry out certification within the scope of approval;（2） Issue certification certificate to the client who has obtained certification and allow him to use the certification mark;（3） Track and inspect the use of certification certificate and certification mark;（4） Supervise and audit the continuous compliance of certification;（5） Accept relevant certification complaints and complaints.
Article 16 certification bodies shall establish internal management, restriction, supervision and responsibility mechanisms to ensure the standardization and effectiveness of certification activities, and ensure their continuous effectiveness.
Article 17 certification bodies shall exercise effective management over their branches, standardize their certification activities, and bear corresponding responsibilities for their certification activities.
Branches shall establish the same management, restriction, supervision and responsibility mechanism as certification bodies.
Article 18 certification bodies shall, in accordance with the measures for the administration of certification bodies, publish and submit relevant information to the CNCA.
The information specified in the preceding paragraph shall be submitted to the State Intellectual Property Office at the same time.
Article 19 certification bodies shall establish and improve personnel managementAs well as personnel competency criteria, all personnel carrying out certification activities such as audit (review) and certification decision shall be evaluated to ensure their competency continues to meet the requirements of the criteria.
The certification personnel shall be honest and trustworthy, fulfill their duties and standardize the operation.
Article 20 certification bodies and their certification personnel shall be responsible for the certification results and bear corresponding legal liabilities.
Chapter IV Implementation of certification
Article 21 when engaging in authentication activities, authentication institutions shall, in accordance with the provisions of the basic norms and rules for authentication of intellectual property rights, engage in authentication activities, draw authentication conclusions, ensure the integrity, objectivity and authenticity of the authentication process, and shall not add, reduce or omit the procedural requirements stipulated in the basic norms and rules for authentication.
Article 22 the authentication procedure of intellectual property management system mainly includes the examination and verification of documents and activities involving the creation, application, protection and management of intellectual property in the operation process of legal persons or other organizations, the supervision and verification after obtaining the certificate, and the re authentication and verification.
The certification procedure of intellectual property service mainly includes the review of service quality characteristics, service process and management of the legal person or other organization providing intellectual property service, supervision and review after obtaining the certificate, and recertification review.
Article 23 the certification agency shall not issue certification certificates to the certification clients who are ordered by the intellectual property administrative department or other departments to suspend their business for rectification or who are included in the list of subjects of credit information breach of the state.
Article 24 the certification body shall make a complete record of the whole process of certification, keep the corresponding certification records and certification materials, and file them. The certification records shall be true and accurate to verify the effective implementation of the certification activities.
Article 25 the certification body shall, within the period of validity of the certification certificate, supervise and examine whether the holder of the certification certificate continues to meet the certification requirements. The first supervision and audit after the initial certification shall be conducted within 12 months from the date of certification decision, and the interval between the two supervision and audit shall not exceed 12 months. The contents of each supervision and audit need not be the same as the initial certification, but the audit contents of the whole system shall be covered within the validity period of the certification certificate.
The certification body shall make a decision on maintaining, suspending or revoking the certification certificate according to the situation of supervision and examination.
Article 26 If the authentication client has any objection to the authentication decision or handling of the authentication institution, he may appeal or complain to the authentication institution. If there is still any objection to the result of the certification body's handling, it may appeal or complain to the CNCA or the State Intellectual Property Office.
Chapter V certification certificate and certification mark
Article 27 the intellectual property certificate (hereinafter referred to as the certificate) shall include the following basic contents:

（1） Name and address of the certification client;

（2） Scope of certification;

（3） Standards or technical specifications on which certification is based;

（4） Certificate number;

（5） Certification category;

（6） Date and validity of certificate;

（7） The name, address and mark of the certification body;

（8） Certification mark;

（9） Other content.
Article 28 the validity of the certificate shall be three years.
If re certification is required at the expiration of the validity period, the holder of the certification certificate shall apply to the certification body for re certification three months before the expiration of the validity period, and the re certification procedure is the same as the initial certification.
Article 29 the unified intellectual property certification mark (hereinafter referred to as the certification mark) promoted by the State shall be used for intellectual property certification. The pattern of certification mark consists of basic pattern and identification information of certification body. The basic pattern of intellectual property management system certification is shown in Figure 1, and the basic pattern of intellectual property service certification system is shown in Figure 2, among which ABCDE representative organization is abbreviated in Chinese or English:
Article 30 the holder of a certification certificate shall use the certification mark correctly.
The certification body shall, in accordance with the provisions of the certification rules and in light of different circumstances, make a decision on the alteration, suspension or cancellation of the certification certificate in a timely manner, and shall take effective measures to supervise the holder of the certification certificate to correctly use the certification certificate and certification mark.
Article 31 a certification body shall provide the public with a way to inquire about the validity of the certification certificate.
Article 32 No organization or individual may forge, alter, falsely use, illegally trade in or transfer authentication certificates and authentication marks.
Chapter VI Supervision and Administration
Article 33 the CNCA and the State Intellectual Property Office shall establish a coordination mechanism for the supervision and administration of intellectual property certification, supervise and inspect the intellectual property certification institutions, and investigate and deal with any illegal act found in accordance with the provisions of the regulations on certification and accreditation, the administrative measures for certification institutions and other laws and regulations.
Article 34 Local quality and technical supervision departments at all levels, entry-exit inspection and quarantine institutions (hereinafter referred to as local certification supervision departments) and local intellectual property administrative departments shall, in accordance with their respective legal responsibilities, establish a corresponding regulatory coordination mechanism, supervise and inspect the intellectual property certification activities within their jurisdiction, investigate and deal with illegal behaviors, and report to CNCA and the state in a timely manner Intellectual Property Office.
Article 35 in the process of qualification examination and approval, if a certification institution practices fraud, conceals the truth or no longer meets the qualification requirements of the certification institution, its qualification shall be revoked by the CNCA according to law.
Article 36 If a certification personnel issues false certification conclusions or the certification results are seriously untrue in the process of certification, it shall be punished in accordance with the relevant provisions of the state on certification personnel.
Article 37 certification bodies, certification clients and certification certificate holders shall cooperate with the supervision and inspection work carried out by certification regulatory authoritiesArticle 38 any illegal act in violation of relevant laws and regulations on certification and accreditation shall be punished according to its provisions.
Article 39 Any organization or individual shall have the right to report any illegal act of intellectual property certification to the certification regulatory department and the intellectual property administrative department at all levels. The certification supervision departments at all levels and the intellectual property administrative departments at all levels shall investigate and handle the matter in a timely manner and keep it confidential for the informant.
Chapter VII supplementary provisions
Article 40 these Measures shall be interpreted by the CNCA and the State Intellectual Property Office.
Article 41 these Measures shall come into force as of April 1, 2018. The opinions on the implementation of the certification of intellectual property management system (GKL [2013] No. 56) issued by CNCA and SIPO on November 6, 2013 shall be repealed at the same time.
Appendix: intellectual property certification catalogue
Content interpretation
In order to implement the guiding opinions of the CPC Central Committee and the State Council on carrying out quality improvement actions (ZF [2017] No. 24) and the opinions of the State Council on strengthening the construction of quality certification system and promoting overall quality management (GF [2018] No. 3), on February 11, 2018, the CNCA and the State Intellectual Property Office jointly issued the measures for the administration of intellectual property certification (2018) Announcement No. 5) (hereinafter referred to as the "management measures") aims to comprehensively regulate the activities of intellectual property certification, improve the effectiveness of intellectual property certification, and strengthen the supervision of certification bodies in and after the event. The promulgation of the administrative measures is a specific measure to implement the construction of China's innovative country and quality power, which provides an important legal and policy basis for promoting the construction of intellectual property certification system in line with the needs of China's economic and social development.
In November 2013, the CNCA and the State Intellectual Property Office jointly issued the opinions on the implementation of intellectual property management system certification (GKL [2013] No. 56) (hereinafter referred to as the "opinions") to jointly explore and carry out the work of intellectual property management system certification. By the end of 2017, 8127 enterprises had passed the certification of intellectual property management system, covering 29 provinces and cities. According to the survey and statistics, 99.2% of the certified enterprises believe that the intellectual property management system has effectively improved the innovation ability of the enterprise, which is conducive to the enterprise's competitive advantage in the market; 76.16% of the certified enterprises have raised the intellectual property management to the strategic level of the enterprise, and overall layout of the research and development direction and business strategy; 58.2% of the certified enterprises believe that the establishment of the intellectual property management system is conducive to accelerating the enterprise's realization of innovation New revenue. Practice has proved that the certification of enterprise intellectual property management system has become an important starting point to comprehensively improve the internal management level of enterprises and obtain external competitive advantages. It has played an important role in promoting the innovation and development of enterprises, enhancing the core competitiveness of enterprises, promoting the supply side structural reform, and building an innovative country. However, with the rapid development of China's social economy, the implementation opinions have not adapted to the requirements of the new situation, and it is urgent to formulate the management measures.
1、 The necessity of formulating management measures（1） The need of promoting the high quality development of intellectual property in China
The report of the 19th National Congress of the Communist Party of China emphasizes that China's economy has changed from a stage of high-speed growth to a stage of high-quality development. We should "advocate innovative culture and strengthen the creation, protection and application of intellectual property rights". In order to promote the high-quality development of China's intellectual property industry, establish and improve the certification system in the field of intellectual property, and comprehensively improve the quality of creation, utilization efficiency, protection effect and management level of the intellectual property of innovation subjects, it is necessary to expand the certification of a single intellectual property management system to an intellectual property certification system covering management system and service certification, Accelerate the realization of "full coverage" of intellectual property certification for enterprises, colleges and universities, and major innovation subjects of scientific research organizations.（2） Adapt to the needs of national certification and accreditation related laws and regulations revision
With the revision and reissue of the upper level laws such as the regulations on certification and accreditation and the administrative measures for certification bodies, some provisions in the implementation opinions have not met the new requirements. It is necessary to modify and improve the main contents of the implementation opinions in the form of the administrative measures to make them meet the requirements of the upper level laws.（3） The need of carrying out the national reform of "releasing management service"
In order to implement the requirements of the State Council's "deregulation service" reform, and closely focus on the two major tasks of innovation capacity-building and overall quality management improvement, it is urgent to introduce certification and accreditation means in the field of intellectual property, optimize government services, strengthen the supervision during and after the event, and promote the modernization of intellectual property governance system and governance capacity. Specifically: first, further open the certification market, stimulate market vitality, encourage the development of a number of intellectual property certification institutions with strong technical ability and high service level; second, maintain the effectiveness of certification, establish the credibility of certification, and strengthen the professional requirements of certification institutions and practitioners; third, strengthen the post event supervision, regulate the behavior of certification institutions and practitioners, and maintain health Healthy, fair and orderly certification market order.

2、 Main content

The management measures include the following six aspects:

（1） Working principles

The certification of intellectual property is based on the national push certification system, i.e. the CNCA and the State Intellectual Property Office, based on the principle of unified management, division of labor, cooperation and joint implementation, and according to the actual needs of the development of intellectual property undertakings, select and determine appropriate national standards in the field of intellectual property as the certification basis, jointly formulate, adjust and publish the catalogue of intellectual property certification, and organize the development of intellectual property certification Certification in the field of property rights.

（2） Qualification requirements of certification body

Certification machine（2） Qualification requirements of certification body

Qualification requirements of certification bodies are divided into general requirements and professional requirements. The general requirements are in line with the relevant provisions of the regulations on certification and accreditation and the measures for the administration of certification bodies. Meanwhile, it is clear that certification bodies engaged in the field of intellectual property should meet the professional requirements of "relevant professional ability requirements for engaging in intellectual property certification activities".

（3） Requirements for certification auditors

The certification auditors shall "meet the requirements of relevant knowledge and skills required to engage in intellectual property certification activities", and meet the requirements of national certification personnel qualification. The full-time system shall be implemented for the certification and audit personnel.

（4） Code of conduct for certification bodies and branches

First, strengthen the management of branches and offices. Where a certification body establishes a branch or office, it shall submit relevant information to the CNCA and the State Intellectual Property Office 30 days from the date of establishment. Second, strengthen the main responsibility of certification bodies. The certification body shall exercise effective management over its branches and bear corresponding responsibilities for the certification business activities of its branches. Third, the certification body and the certification personnel are responsible for the certification results and bear the corresponding legal responsibilities. Fourth, the certification body should establish risk prevention mechanism, personnel management system and internal management, restriction, supervision and responsibility mechanism. The fifth is to clarify the scope of responsibilities of certification bodies, and prohibit certification bodies from engaging in consulting, agency, training, information analysis and other services related to their certification work, as well as product development and marketing activities.

（5） Certification procedure

First, the certification body is required to carry out certification activities in accordance with the procedures specified in the basic certification specifications and certification rules. The certification process is complete, objective and true, and no procedural requirements may be added, reduced or omitted. Second, it is required that certification institutions shall not issue certification certificates to enterprises that are dishonest or illegal, i.e. those ordered to suspend business for rectification by the intellectual property administrative department or other departments, or those included in the list of dishonest subjects of national credit information. Third, the certification body is required to make a complete record of the certification process and keep the corresponding certification data. Fourth, clear the specific requirements of supervision and audit. The contents of each supervision and audit need not be the same as the initial certification, but shall cover all elements of the system within the validity period of the certification certificate.

（6） Supervision and management

One is to make clear the supervision at the national level. CNCA, in conjunction with the State Intellectual Property Office, has established a collaborative mechanism for the supervision of intellectual property certification to supervise and inspect intellectual property institutions and their certification activities. Second, clear local level supervision. Local certification regulatory authorities and local intellectual property administrative authorities shall, in accordance with their respective legal responsibilities, establish corresponding regulatory coordination mechanism, implement supervision and inspection, and investigate and punish illegal acts within their jurisdiction. The third is to cancel the qualification of the certification body by cheating, concealing the real situation or failing to meet the qualification conditions of the certification body continuously. Fourth, we should strengthen information disclosure and give full play to the role of social supervision. The certification authority is required to provide the validity information of certification certificate to the public through its website or other forms.

3、 Description of relevant matters

（1） Qualification requirements of certification body

1. Qualification requirements

(1) General requirements

The general requirements are the relevant provisions of Article 10 of the regulations on certification and accreditation and Article 8 of the administrative measures for certification bodies, which are specifically as follows: first, to obtain the legal person qualification; second, to have fixed office space and necessary facilities; third, to have a management system that meets the requirements of certification and accreditation; fourth, to have a registered capital of no less than 3 million yuan; fifth, to have more than 10 corresponding persons Full time certification personnel in the field.

(2) Professional requirements

The professional requirements of the full-time certification personnel mentioned in Article 11 of the management measures are as follows: first, the above-mentioned 10 or more full-time certification personnel in the corresponding fields must cover the six categories of personnel specified in the catalogue of voluntary certification fields and qualification approval requirements (Article 24 of national accreditation [2016]); second, at least 8 of the 10 or more full-time certification personnel shall be engaged in intellectual property certification The relevant professional ability requirements of the patent agent include at least one certification rule and certification scheme maker, at least six certification reviewers, and at least one certification decision or reviewer; the third is that the patent agent qualification can be used as the proof basis of "relevant professional ability requirements for engaging in intellectual property certification activities".

2. Approval procedure

The qualification examination and approval procedures of certification bodies shall be implemented in accordance with the relevant provisions of Article 9 of the administrative measures for certification bodies. The applicant of the certification body shall apply to the CNCA, submit the application materials and supporting documents that meet the above "qualification requirements", and be responsible for the authenticity, validity and legality. For the qualification approval procedures of certification bodies, please refer to "CNCA"

- office hall - administrative licensing project - approval of establishment of certification authority ".

3. Application materials

For the materials required for the qualification application of certification bodies, please refer to "CNCA"

- Service Hall - administrative licensing project - approval of establishment of certification body - catalogue of application materials - Requirements for establishment of certification body materials ".

4. Punishment provisions

In case of fraud, concealment of the real situation or failure to continuously meet the qualification conditions of the certification body in the process of qualification examination and approval by the certification body, the CNCA will, in accordance with the relevant provisions of Article 36 of the measures for the administration of certification bodies, refuse to accept or approve and give a warning, and the applicant shall not apply again within one year. For those who fail to meet the qualification conditions of certification bodies continuously, CNCA will follow the measures for the administration of certification bodies