In follow up to the “Measures Regarding the Regulation of Patent Applications” (关于规范申请专利行为的办法), China’s National Intellectual Property Administration (CNIPA) released the “Guidelines for the Determination of Abnormal Patent Applications and the Handling of Matters after the Determination” (非正常申请专利行为认定及认定后的办事指南) on May 26, 2023.  The Guidelines provided detailed information on determining abnormal patent application behavior from various perspectives as well as the procedures for handling an abnormal patent application after identification.

Excerpts follow:

(2) Determination of abnormal patent application behavior

According to the provisions of Article 2, Paragraph 2 of Announcement No. 411, abnormal patent application behaviors are determined from the following perspectives:

1. Determined from the perspective of application document writing

(1) Simultaneously or successively submit multiple patent applications that are obviously the same in content of inventions or creations, or are substantially formed by simple combinations and changes of features or elements of different inventions and creations;
(2) The submitted patent application has fabricated, forged or altered the content of inventions, experimental data or technical effects, or plagiarized, simple replacement, patchwork of existing technologies or existing designs, etc.;
(3) The inventions and creations of the submitted multiple patent applications are randomly generated mainly by using computer programs or other technologies;
(4) The invention-creation of the submitted patent application is deliberately formed for the purpose of evading patentability examination, which obviously does not conform to the common sense of technical improvement or design, or has no actual protection value. create, or make content without any search and review significance;

2. Determined from the perspective of the applicant’s application behavior

(1) The invention-creation of the submitted patent application is obviously inconsistent with the actual research and development capabilities and resource conditions of the applicant or inventor;
(2) In order to evade regulatory measures against abnormal patent application behaviors, multiple patent applications that are substantially related to a specific corporation, individual or address are file in different places or filed over time;
(3) Buying and selling the right to apply for patent application rights or the patent not for the purpose of implementing patented technology, design or other legitimate purposes, or falsely changing the inventor or designer;

3. Determination from the perspective of the agent’s agency behavior

Patent agencies, patent attorneys, or other institutions or individuals, acting as agents, inducing, abetting, helping others, or conspiring with them to implement various abnormal patent application activities;

4. Determination from other angles

Other abnormal patent application behaviors and related behaviors that violate the principle of good faith and disrupt the normal order of patent work.

2. Procedures for the investigation and handling of abnormal patent application behaviors

(1) Screening of abnormal patent application behaviors

When the CNIPA discovers indications in the process of patent application acceptance, preliminary examination, substantive examination, reexamination procedures, or international phase procedures of international applications, or obtains tip offs based on reports, and in accordance with laws and regulations such as the Patent Law and its implementation rules, and Announcement No. 411, a special working group formed by professional examiners in various fields conducts investigations.

(2) Procedures for dealing with abnormal patent application behaviors

1. The CNIPA notifies the local intellectual property management department

Based on the investigation results, the CNIPA will put forward preliminary opinions on the determination of abnormal patent application behavior, and regularly notify the local intellectual property management department of the applications involving abnormal patent application behavior.

2. The local intellectual property management department checks and notifies the applicant or agent

After receiving the notification, the local intellectual property management department conducts verification, and according to the application list, contacts the applicant or agent and informs them of follow-up disposal.

3. Disposal by the applicant or agent after receiving the notification

(1) Withdrawal of application

After receiving the notification, the applicant or agent may submit a “Statement of Withdrawal of Patent Application” to the CNIPA within the specified time limit to withdraw the application voluntarily.

(2) Appeal

If the applicant or agent is dissatisfied with the preliminary determination of abnormal patent application behavior, he may submit a “Statement of Opinion (Regarding Abnormal Application)” within the specified time limit, state his opinion and submit supporting materials.

The full text is available here (Chinese only).