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
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