Regulations on the Protection of Layout-design of Integrated Circuits (2001.10.1)
Chapter I General Provisions
Rule 1 Purposes
These Implementing Rules (hereinafter referred to as the Rules) are formulated in accordance with the Regulations on the Protection of Layout Designs of Integrated Circuits (hereinafter referred to as the Regulations) in order to protect the exclusive rights of layout-design of integrated circuits (hereinafter referred to as layout-design) and to promote the development of, and innovations in, integrated circuit technology in China.
Rule 2 Registration Authority
The Intellectual Property Administrative Department under the State Council mentioned in the Regulations refers to the China National Intellectual Property Administration (the CNIPA).
Rule 3 Forms Required for Going through Formalities
All the documents prescribed by the Regulations and the Rules shall be in writing or in any other form otherwise provided for by the CNIPA.
Rule 4 Agencies
Where any Chinese entity or person applies for registration of its or his or her layout-design in China, and handles any matter relating to the layout-design, it or he or she may appoint a patent agency to do so on its or his or her behalf.
Where any foreigner, foreign enterprise or other foreign organization that does not have a habitual residence or business establishment in China applies for registration of its or his or her layout-design in China and handles any matter relating to the layout-design, it or he or she shall appoint a patent agency designated by the CNIPA to do so on its or his or her behalf.
Rule 5 Application Document and Determination of Date of filing
Where any entity or person applies for the registration of its or his or her layout-design with the CNIPA, it or he or she shall submit an application form for layout-design registration and a reproduction or drawing of the layout-design; and an integrated circuit sample incorporating the layout-design shall also be submitted if the layout-design has been put into commercial exploitation before the date of filing.
The date on which the CNIPA receives said layout-design application document in the foregoing paragraph is the date of filing. If the application document is sent by mail, the date of the postmark it bears is the date of filing.
Rule 6 Language of Documents
All the documents submitted in accordance with the Regulations and the Rules shall be in Chinese. The standard scientific and technical terms shall be used if there are prescribed ones set forth by the State. Where no generally accepted translation in Chinese can be found for a foreign personal name or place name or scientific or technical term, its original language shall be also indicated.
Where any certificate and certified document submitted in accordance with the Regulations and the Rules are in a foreign language, the CNIPA may, when finding it necessary, require the interested party to furnish the Chinese translation thereof within a specified time limit; where the party fails to do so within the specified time limit, the certificate and certified document shall be deemed not to have been submitted.
Rule 7 Delivery and Service of Documents
As for any documents sent to the CNIPA by mail, the date of postmark shall be the date of delivery. Where the date of postmark is not clearly shown, the date on which the CNIPA receives the documents is the date of delivery, except that the interested party can prove otherwise.
Documents of the CNIPA may be served on a party by mail, by direct delivery, or by any other means. Where the party appoints a patent agency, the documents shall be delivered to the patent agency. Where no patent agency is appointed, the documents shall be delivered to the contact person indicated in the application form.
For documents mailed by the CNIPA, the date on which the party received the documents shall be presumed to be 15 days from the date of sending the documents by mail.
As for the documents that shall be directly delivered according to the provisions by the CNIPA, the date of delivery shall be the date of service.
Where the address to which a document is to be sent is unclear and the document cannot be mailed, the document may be served on the party concerned by public announcement. Such document shall be deemed to have been served after one month from the date of announcement.
Rule 8 Calculation of Time limit
The first day of any time limit prescribed in accordance with the Regulations and the Rules shall not be calculated as part of the time limit. Where a time limit is calculated in year or month, the corresponding date of the last month of such time limit shall be the date of expiration of the time limit. Where there is no such corresponding date, the last day of that month shall be the date of expiration of the time limit.
Where the date of expiration of the time limit is a statutory holiday, the first working day after the holiday shall be the date of expiration of the time limit.
Rule 9 Restoration of Rights and Extension of Time Limit
Where a time limit prescribed in the Rules or specified by the CNIPA is not observed by a party concerned because of force majeure, resulting in loss of his or her or its rights, it or he or she may, within two months from the date on which the impediment is removed and within two years, at the latest, immediately following the expiration of that time limit, state the reasons, attach the relevant certifying documents and request the CNIPA to restore its or his or her rights.
Where a time limit prescribed in the Rules or specified by the CNIPA is not observed by a party concerned because of any justified reason, resulting in loss of its or his or her rights, it or he or she may, within two months from the date of receipt of a notification from the CNIPA, state the reasons and request the CNIPA to restore its or his or her rights.
When requesting an extension of a time limit specified by the CNIPA, any party concerned shall, before the expiration of the time limit, state the reasons, and go through the relevant formalities at the CNIPA.
No request for extension of the time limit prescribed in the Regulations may be made.
Rule 10 Joint Ownership
Where a layout-design is jointly created by two or more entities or persons, the creators shall jointly apply for the registration of the layout-design; where a contract or an agreement is concluded, the contract or agreement shall prevail.
Where a jointly owned layout-design is involved, each of the rights holders of the layout-design shall, without the authorization of the other rights holder(s) of the layout-design, not assign or pledge its or his or her part of the rights or enter into any exclusive or sole licensing contract relating thereto with another person.
Rule 11 Assignment of Exclusive Rights to Foreigner
Where any Chinese entity or person assigns the exclusive rights of a layout-design to a foreigner, it or he or she shall, when registering the assignment with the CNIPA, submit document indicating that the relevant competent department under the State Council approves the assignment.
Where the exclusive rights of layout-design is transferred, the party concerned shall, by furnishing the relevant certified or legal document, go through the formalities for any bibliographic change with the CNIPA.
Chapter II Application for Registration of Layout-design and Examination Thereof.
Rule 12 Application Documents
Where an application for registration of layout-design is filed in writing, the layout-design application form in duplicate and a reproduction or drawing of the layout-design shall be submitted to the CNIPA.
Where an application for registration of layout-design is filed in any other form specified by the CNIPA, the application shall comply with the provisions.
Where the applicant appoints a patent agency to file the application for registration of layout-design with the CNIPA and go through other formalities, it or he or she shall simultaneously submit a power of attorney with express scope of the power entrusted.
Where there are two or more applicants and no patent agency is appointed, the first applicant indicated in the application form shall be their representative, except that it is otherwise stated therein.
Rule 13 Application Forms
The following information shall be indicated in the application form for registration of the layout-design:
(1) the name or title, address or place of residence of the applicant;
(2) the nationality of the applicant;
(3) the title of the layout-design;
(4) the name or title of the creator of the layout-design;
(5) the date on which the creation of the layout-design is completed;
(6) the category of the integrated circuits in which the layout-design is incorporated;
(7) where the applicant appoints a patent agency, it or he or she shall indicate the relevant matters; where it or he or she does not appoint a patent agency, it or he or she shall indicate the name, address, postal code and telephone number of the contact person;
(8) the date on which an act of commercial exploitation takes place, where the layout-design has been put into commercial exploitation referred to in Article 17 of the Regulations (i.e. first commercially exploited anywhere in the world);
(9) where the application for registration of the layout-design contains confidential information, the page number of the reproduction or drawing of the layer of drawings containing the confidential information and the total number of such pages;
(10) the signature or seal of the applicant or its or his or her patent agency;
(11) a checklist of the items contained in the application document;
(12) supplementary documents and a checklist of the samples; and
(13) any other matters required to be indicated.
Rule 14 Reproductions or Drawings
The reproduction or drawing of the layout-design submitted in accordance with Article 16 of the Regulations (filing an application for registration of layout-design) shall meet the following requirements:
(1) The paper size of the reproduction or drawing shall, at least, be 20 or more times the size of the integrated circuits made by incorporating the layout-design; the applicant may, at the same time, furnish an electronic version of the reproduction or drawing; where an electronic version of the reproduction or drawing is submitted, it shall contain all the information of the layout-design, with indication of the data format of the document;
(2) Where the reproduction or drawing contains several pages, they shall be numbered in order and accompanied by a table of contents;
(3) The page version of the reproduction or drawing shall be of the A4 size; if it is larger than the A4 paper size, it shall be folded to the A4 size; and
(4) Brief specification may be attached to the reproduction or drawing to indicate the structure, technology and function of the layout-design of the integrated circuits or any other matters that should be explained.
Rule 15 Applications Involving Confidential Information
Where a layout-design is not put into commercial exploitation before the date of filing, the application for registration thereof may contain confidential information, and the proportion comprising such information shall not, at most, exceed 50% of the total area of the layout-design of the integrated circuits. The page number of the reproduction or drawing of the layer of drawings containing the confidential information and the total number of such pages shall be the same as what are indicated in the application form for registration of the layout-design.
Where an application for registration of the layout-design contains confidential information, the reproduction or drawing of the layer of drawings containing the confidential information shall be submitted in a separate bag for holding confidential files. Unless it is made necessary by infringement litigation or administrative proceedings, no one is allowed to view or copy the confidential information.
Rule 16 Samples of Integrated Circuits
Where a layout-design is put into commercial exploitation before the date of filing, four samples of the integrated circuits incorporating the layout-design shall be submitted when filing an application for registration, and the samples shall meet the following requirements:
(1) the submitted 4 samples of the integrated circuits shall be put in special containers that can ensure the samples are not damaged and a filled form uniformly prepared by the CNIPA shall be submitted together therewith;
(2) the name of the applicant, the application number and the title of the integrated circuits shall be indicated on the surface of the containers; and
(3) an appropriate method shall be used to immobilize the samples of the integrated circuits in the containers, keeping the samples free from damage and enabling the samples to be stored in a desiccator for a minimum of 10 years.
Rule 17 Refusal of Acceptance
Where any of the following circumstances arises in respect of an application for registration of a layout-design, the CNIPA shall refuse to accept the application and notify the applicant thereof:
(1) where the application form for layout-design registration or a reproduction or drawing of the layout-design is not submitted, where the layout-design has been put into commercial exploitation but samples of the integrated circuits are not submitted, or where there is a discrepancy among the afore-mentioned submitted items;
(2) where the foreign applicant comes from a country which has not concluded an agreement on the protection of layout-designs with China or which has not acceded, with China, to an international treaty on the protection of layout-designs;
(3) where the related layout-design is not eligible for protection under Article 12 of the Regulations;
(4) where the related layout-design is not eligible for registration under Article 17 of the Regulations;
(5) where the application document is not in Chinese;
(6) where the category of the application is not clear, or it is difficult to determine that the application pertains to a layout-design;
(7) where no agency is appointed in accordance with the related provisions; or
(8) where the application form for registration of layout-design is not filled out completely.
Rule 18 Rectification and Amendment of Documents
Except for applications which are not accepted under Rule 17 of the Rules, where an application document does not meet the requirements set forth in the Regulations and the Rules, the applicant shall make rectification within two months from the date of receipt of the office action of the CNIPA.
The rectification shall be made according to the requirements of the office action. Where no response is made before the expiration of the time limit, the application shall be deemed to have been withdrawn.
Where the application document still does not meet the requirements of the Regulations and the Rules after the applicant makes the rectification according to the office action of the CNIPA, the CNIPA shall make a decide of rejection.
The CNIPA may, on its own initiative, correct obvious lexical and graphical errors in a layout-design application document. Where such correction is made, the CNIPA shall notify the applicant thereof.
Rule 19 Rejection of Application
Except that it is otherwise provided for in paragraph two of Rule 18 of the Rules, where one of the following circumstances arises concerning the layout-design in respect of which an application is filed for registration, the CNIPA shall make a decision of rejection and state the grounds on which the decision is made:
(1) where the application is obviously not in conformity with the provisions of Article 2 (1) and (2) of the Regulations; or
(2) where the application is obviously not in conformity with the provisions of Article 5 of the Regulations.
Rule 20 Taking Effect of Exclusive Rights of Layout-design
Where no ground for rejection is found in the preliminary examination of an application for registration of a layout-design, the CNIPA shall issue the Certificate of Registration of Layout-design, and publicly announce the same on the website of the CNIPA and in the China Intellectual Property News. The exclusive rights of layout-design take effect on the date of filing.
Rule 21 Certificate of Registration of Layout-design
The Certificate of Registration of Layout-design issued by the CNIPA shall comprise the following:
(1) the name or title and address of the rights holder of the layout-design;
(2) the title of the layout-design;
(3) the time when the layout-design was first exploited commercially, where the layout-design had been exploited commercially before the date of filing;
(4) the date of filing of the application for registration of the layout-design and date of completion of the creation of the layout-design;
(5) the date of issuance of the Certificate of Registration of Layout-design;
(6) the registration number of the layout-design: and
(7) the seal of the CNIPA and the signature of the Commissioner thereof.
Rule 22 Correction
The CNIPA shall promptly correct any errors in the announcement of a layout-design once found, and publicly announce the correction.
Chapter III Reexamination and Review on Applications for Registration of Layout-design and Revocation of Exclusive rights
Rule 23 Reexamination and Revocation Organization
The Patent Reexamination Board of the CNIPA (hereinafter referred to as the Patent Reexamination Board) is responsible for the examination of the reexamination requests filed out of dissatisfaction with the decision made by the CNIPA on the rejection of its or his or her layout-design and for the examination of the cases of revocation of the exclusive rights of layout-design.
Rule 24 Request for Reexamination
Where one requests the Patent Reexamination Board for reexamination, it or he or she shall file a request for reexamination, state the grounds, and furnish relevant evidence if necessary. Where the reexamination request does not comply with the relevant provisions of Article 19 of the Regulations, the Patent Reexamination Board shall refuse to accept it.
Where a reexamination request is not in the prescribed format, the reexamination petitioner shall make rectification within the time limit specified by the Patent Reexamination Board; where no rectification is made before the expiration of the time limit, the reexamination request shall be deemed not to have been filed.
Rule 25 Amendment of Documents during Reexamination Proceedings
The reexamination petitioner may amend the layout-design application documents when it or he or she files a reexamination request or responds to the notice of reexamination issued by the Patent Reexamination Board; but the amendment shall be limited to the elimination of defects pointed out in the rejection decision, or in the notice of reexamination.
The amended application document shall be submitted in duplicate.
Rule 26 Reexamination Decision
Where the Patent Reexamination Board holds, upon its examination, that the request for reexamination of a layout-design registration application does not comply with the relevant provisions of the Regulations or the Rules, it shall notify the reexamination petitioner, requesting it or him to make an observation within a specified time limit. Where no response is made before the expiration of the time limit, the reexamination request shall be deemed to have been withdrawn; where after the reexamination petitioner makes an observations or amendment, the Patent Reexamination Board considers that the application still does not comply with the relevant provisions of the Regulations or the Rules, it shall make a reexamination decision to uphold the rejection decision.
Where the Patent Reexamination Board holds, upon its examination, that the decision of rejection does not comply with the relevant provisions of the Regulations or the Rules, or that the amended application document has eliminated the defects pointed out in the decision of rejection, it shall revoke the initial rejection decision and notify the original examination department to register the application and publicly announce the registration.
In the reexamination decision, the Patent Reexamination Board shall indicate the grounds on which the reexamination decision is based, and notify the layout-design registration applicant.
Rule 27 Withdrawal of Reexamination Request
The reexamination petitioner may withdraw its or his or her request for reexamination before the Patent Reexamination Board makes its decision.
Where the reexamination petitioner withdraws its or his or her request for reexamination before the Patent Reexamination Board makes its decision, the reexamination proceedings terminate.
Rule 28 Review Request
Where any party concerned is not satisfied or in dispute with one of the following administrative actions made by the CNIPA, it or he or she may file an application for review with the administrative review department of the CNIPA:
(1) refusing to accept the layout-design application;
(2) deeming a layout-design application to have been withdrawn;
(3) not allowing the restoration of relevant rights; or
(4) any other specific administrative action that infringes the legitimate rights and interests of an interested party.
Rule 29 Revocation Proceedings
Where the exclusive rights of layout-design are found not in conformity with the provisions of Articles 2 (1) or (2), 3, 4, 5, 12 or 17 of the Regulations after the public announcement of the registration of the layout-design, the Patent Reexamination Board shall revoke the exclusive rights of layout-design.
Where the exclusive rights of layout-design are revoked, the Patent Reexamination Board shall first notify the rights holder of the layout-design, requesting it or him or her to make observations within a specified time limit. Where no response is submitted before the expiration of the time limit, the decision made by the Patent Reexamination Board to revoke the exclusive rights of layout-design will be not affected.
The Patent Reexamination Board shall indicate, in the decision to revoke the exclusive rights of layout-design, the grounds the decision is based on, and notify the rights holder of layout-design.
Rule 30 Public Announcement of Revocation Decision
Where within the prescribed time limit no proceedings are instituted in the People's Court against the decision by the Patent Reexamination Board to revoke the exclusive rights of layout-design, or after the ruling of the People's Court to uphold the decision by the Patent Reexamination Board to revoke the exclusive rights of layout-design takes effect, the CNIPA shall publicly announce the decision on revocation of the exclusive rights of layout-design on its website or in the China Intellectual Property News.
The revoked exclusive rights of layout-design shall be deemed not to have existed ab initio (from the beginning).
Chapter IV Protection of Exclusive Rights of Layout-design
Rule 31 Abandonment of Exclusive Rights of Layout-design
Any rights holder of a layout-design may, before the expiration of the protection term of its or his or her exclusive rights of layout-design, file a written declaration with the CNIPA to abandon the exclusive rights.
Where the exclusive rights of layout-design are licensed to another person for exploitation or are pledged, the abandonment of such exclusive rights of layout-design shall be done with the consent of the licensee or the pledgee.
The abandonment of the exclusive rights of layout-design shall be registered with and publicly announced by the CNIPA.
Rule 32 Conditions for Acceptance of Infringement Disputes by the CNIPA
Where a request is filed in accordance with the provisions of Article 31 of the Regulations with the CNIPA for handling of an infringement dispute concerning the exclusive rights of a layout-design, the following conditions should be satisfied:
(1) the layout-design has been registered and such registration has been publicly announced;
(2) the petitioner is the rights holder of layout-design or an entity or person directly interested in the infringement dispute;
(3) there is a clearly identified respondent;
(4) there are clearly defined claims and specific facts and grounds; and
(5) neither party concerned has instituted legal proceedings in the People's Court as to the infringement dispute.
Rule 33 Suspension/Stay and Resumption of Relevant Proceedings
Where a dispute over the right to apply for registration of a layout-design or over the ownership of the exclusive rights of the layout-design arises and a party concerned has instituted legal proceedings in the people's court, it or he or she may request the CNIPA to suspend or stay the relevant proceedings.
Where any party requesting for suspension or stay of the relevant proceedings according to the preceding provision, it or he or she shall file a request with the CNIPA accompanied by a duplicate of the acceptance document issued by the people's court.
After the ruling of the people's court takes effect, the party concerned shall go through the formalities for resumption of the relevant proceedings at the CNIPA. Where the dispute over the right to apply for registration of a layout-design or over the ownership of the exclusive rights of the layout-design is not resolved within one year from the date of filing the suspension or stay request and it is necessary to continue the suspension or stay of the relevant proceedings, the petitioner shall request an extension of the suspension or stay within the time limit. Where no such request for extension is made before the expiration of the time limit, the CNIPA shall act on its own to resume the relevant proceedings.
Where the people's court rules, in its trial of a civil case, to take preservation measures with regard to the exclusive rights of a layout-design, the CNIPA, when assisting the execution, shall suspend or stay the proceedings relating to the preserved exclusive rights of the layout-design. Where, upon expiration of the term of the preservation, the people's court does not rule to go on with the preservation measures, the CNIPA shall act on its own to resume the relevant proceedings.
Chapter V Fees
Rule 34 Required Fees
Where an application is filed with the CNIPA for registration of a layout-design, or to go through any other formalities, fees as follows shall be paid:
(1) layout-design registration fee;
(2) fees for alteration of bibliographic items, for a request for extension of a time limit or for a request for restoration of rights;
(3) fee for a request for reexamination; and
(4) fees for a request for grant of non-voluntary license or for a request for ruling on the royalties of the non-voluntary license.
The amount of the foregoing fees shall be separately specified by the Price Administrative Department of the State Council together with the CNIPA.
Rule 35 Formalities for Paying Fees
The fees required in the Regulations and the Rules may be paid directly to the CNIPA, or by postal or bank remittance, or in any other manner specified by the CNIPA.
Where the fees are paid by postal or bank remittance, at least the correct application number and the title of the fee paid shall be indicated on the money order to the CNIPA. If this provision is not complied with, the formalities for paying the fees shall be deemed not to have been gone through.
Where a fee is directly paid to the CNIPA, the day on which the fee is paid is the date of payment; where the fee is paid by postal remittance, the day of postmark is the date of payment; where the fee is paid by bank remittance, the day on which the actual bank remittance is the date of payment. However, where there are more than 15 days from the date of remittance to the date on which the CNIPA receives it, the day on which the CNIPA receives the fee is the date of payment except that the post office or bank proves otherwise.
Where the layout-design registration fee is overpaid, repaid or erroneously paid, the party concerned may request the CNIPA to return the payment, but the request shall be made within one year from date of payment.
Rule 36 Time Limits for Paying Fees
An applicant shall pay the layout-design registration fee within 2 months after the date of receipt of the acceptance notification; where the fee is not paid or not paid in full before the expiration of the time limit, the application shall be deemed to have been withdrawn.
Where a party concerned requests restoration of its or his or her rights or reexamination, it or he or she shall pay the fee within the relevant time limit specified in the Regulations and the Rules; where the fee is not paid or not paid in full before the expiration of the time limit, the request shall be deemed not to have been made.
The fees for alteration of bibliographic items, and the fees for a request for grant of non-voluntary license and for a request for ruling on the royalties of the non-voluntary license shall be paid within 1 month from the date of filing the request; the fee for a request for extension of a time limit shall be paid before the relevant time limit expires; where the fee is not paid or not paid in full after the expiration of the time limit, the request shall be deemed not to have been made.
Chapter VI Supplementary Provisions
Rule 37 Layout-design Register
The CNIPA establishes the layout-design Register in order to keep the following on record:
(1) the name or title, nationality and address of the rights holders of a layout-design and any changes thereof;
(2) any registration of layout-design;
(3) any transfer of, and succession to, the exclusive rights of layout-design;
(4) any abandonment of the exclusive rights of layout-design;
(5) any pledge and preservation of the exclusive rights of layout-design and release of such pledge and preservation;
(6) any revocation of the exclusive rights of layout-design;
(7) any termination of the exclusive rights of layout-design;
(8) any restoration of the exclusive rights of layout-design; and
(9) any non-voluntary license for exploitation of the exclusive rights of layout-design.
Rule 38 Public Announcement of Layout-designs
The CNIPA shall publish, on a regular basis, layout-design registration on its website and the China Intellectual Property News to publicly announce the following contents:
(1) any bibliographic items recorded in the Layout-design Register;
(2) any notices to the concerned parties whose addresses are not available;
(3) any corrections made by the CNIPA; and
(4) any other relevant matters.
Rule 39 Viewing and Photocopying by the Public
After the registration of a layout-design is publicly announced, the public may request to view the Layout-design Register, or request the CNIPA for a photocopy thereof. The public may also request to view the reproduction or drawings in paper form of the layout-design.
As for said electronic version of the reproduction or drawing in Rule 14 of the Rules, no one is allowed to view or copy unless it is made necessary by infringement litigation or administrative proceedings.
Rule 40 Disposal of Invalid Files
Where a layout-design application is withdrawn, deemed to have been withdrawn or rejected, and where the exclusive rights of a layout-design are announced to have been abandoned, revoked or terminated, the relevant files of the layout-design application or the exclusive rights shall not be kept after the expiration of three years from the date on which the application or exclusive rights become invalid.
Rule 41 Postal Delivery of Documents
Any document of the relevant application or exclusive rights of layout-design sent to the CNIPA shall be posted as registered mail, and each mail shall only contain the same one application document. Electronic versions of reproductions or drawings and any sample of the integrated circuits shall be mailed in such a manner as to ensure that they are not damaged in the course of the mail delivery.
Rule 42 Interpretation of the Rules
The CNIPA is responsible for the interpretation of the Rules.
Rule 43 Date of Entry into Force of the Rules
The Rules shall enter into force on 1 October 2001.
