【中英文对照版】知识产权行政保护技术调查官管理办法.docx

国家知识产权局办公室关于 印发知识产权行政保护技 术调查官管理办法的通知（国知办发保字（2023） 35 号）各省、自治区、直辖市和新 疆生产建设兵团知识产权 局，四川省知识产权服务促 进中心，各地方有关中心； 国家知识产权局局机关各部 门，专利局各部门，商标 局，局其他直属单位、各社知识产权行政保护技术调查官管理办法MeasuresfortheAdministrationofTechnicalInvestigatorsintheAdministrativeProtectionofIntellectualProperty制定机关：国家知识产权局发文字号：国知办发保字202335号公布日期：2023.09.15施行日期：2023.09.15效力位阶：部门规范性文件法规类别：知识产权综合规定IssuingAuthority：ChinaNationalIntellectualPropertyAdministrationDocumentNumber：No.352023oftheGeneralOfficeoftheChinaNationalIntellectualPropertyAdministrationDateIssued:09-15-2023EffectiveDate：09-15-20231.evelofAuthority：DepartmentalRegulatoryDocumentsAreaofLaw：GeneralProvisionsonIntellectualPropertyNoticebytheGeneralOfficeoftheChinaNationalIntellectualPropertyAdministrationofIssuingtheMeasuresfortheAdministrationofTechnicalInvestigatorsintheAdministrativeProtectionofIntellectualProperty(No.352023oftheChinaNationalIntellectualofficesPropertyAdministration)Theintellectualpropertybureausofallprovinces,autonomousregions,municipalitiesdirectlyundertheCentralGovernmentandXinjiangProductionandConstructionCorps,theSichuanIntellectualPropertyServicePromotionCenter,andallrelevantlocalcenters;andalldepartmentsoftheChinaNationalIntellectualPropertyAdministration(uCNIPAn)andthePatentOffice,theTrademarkOffice,andothersubordinateentitiesoftheCNIPA会团体:andallsocialorganizations:TheMeasuresfortheAdministrationofTechnicalInvestigatorsintheAdministrativeProtectionofIntellectualPropertyareherebyissuedforyourdiligentimplementation.现将知识产权行政保护技 术调查官管理办法印发给 你们，请认真贯彻执行。特此通知QGeneralOfficeoftheChinaNationalIntellectualPropertyAdministrationSeptember15,2023MeasuresfortheAdministrationofTechnicalInvestigatorsintheAdministrativeProtectionofIntellectualPropertyChapterIGeneralProvisions国家知识产权局办公室2023年9月15日知识产权行政保护技术调查 官管理办法第一章总则第一条为了贯彻落实 中共中央、国务院印发的 知识产权强国建设纲要 (2021 2035年)和中 共中央办公厅、国务院办公 厅印发的关于强化知识产 权保护的意见决策部署， 加强技术调查官队伍建设与 管理，规范技术调查官参与 知识产权行政案件办理，健 全知识产权行政保护专业技 术支撑体系，制定本办法。Article1ForthepurposesofimplementingthedecisionsanddeploymentsoftheOutlineforBuildinganIntellectualPropertyPowerhouse(2021-2035)issuedbytheCPCCentralCommitteeandtheStateCouncilandtheOpinionsonStrengtheningIntellectualPropertyProtectionissuedbytheGeneralOfficeoftheCPCCentralCommitteeandtheGeneralOfficeoftheStateCouncil,strengtheningtheconstructionandmanagementoftheteamsoftechnicalinvestigators,standardizingtheparticipationoftechnicalinvestigatorsinthehandlingofintellectualproperty(“IP”)administrativecases,andimprovingtheprofessionaltechnicalsupportsystemforadministrativeprotectionofIP,theseMeasuresaredeveloped.Article2ThetechnicalinvestigatorsforadministrativeprotectionofIP(hereinafterreferredtoasthe“technicalinvestigators")areprofessionalandtechnicalpersonnelassignedordispatchedbytheIPadministrativedepartmenttoparticipateinthehandlingofIPadministrativecases,provideconsultationfortheidentificationoftechnicalfactsofcases,issuetechnicalinvestigationopinionsandprovideothernecessarytechnicalassistance.第二条知识产权行政保护技术调查官（以下简称技术调查官）是受知识产权管理部门的指派或调派，参与知识产权行政案件办理，为查明案件技术事实提供咨询、出具技术调查意见和其他必要技术协助的专业技术人员。Article3Accordingtothecasehandlingneeds,technicalinvestigatorsshallperformthefollowingdutiesinthehandlingofIPadministrativecases:第三条根据办案需要，技术调查官在知识产权行政案件办理活动中履行下列职责：(1)Puttingforwardsuggestionsonthefocusofdisputesoverthetechnicalfactsandthescope,sequenceandmethodoftheinvestigation.（一）对技术事实的争议焦点以及调查范围、顺序、方法等提出建议；(2)Participatingininvestigationandobtainingevidence,andinquisitionandinspection.（二）参与调查取证、勘验；(3)Participatingininterrogationsandoralhearings.（三）参与询问、口头审理；(4)Puttingforwardtechnicalinvestigationopinions.（四）提出技术调查意见;(5)Assistingcasehandlingpersonnelinorganizingappraisersandprofessionalsinrelatedtechnicalfieldstoputforwardopinions.（五）协助办案人员组织鉴定人、相关技术领域的专业人员提出意见；(6)Attendmeetingsrelatedtocasehandling.（六）列席案件办理有关会议;(7)Completingotherrelevantwork.（七）完成其他相关工作。Article4ThedevelopmentadministrationappointmentCNIPAshallberesponsiblefortheofnationalmeasuresfortheoftechnicalinvestigators,andtheandmanagementoftechnicalinvestigatorstoparticipateinthehandlingofIPadministrativecaseswithsignificantimpactacrossthecountry.第四条国家知识产权局负责制定全国技术调查官管理办法，聘任和管理技术调查官参与全国范围内有重大影响的知识产权行政案件办理。ProvincialIPadministrativedepartmentsshallberesponsiblefortheoverallmanagementoftechnicalinvestigatorsintheirjurisdictions,andaccordingtolocalrealitiesandworkneeds,organizeandcarryoutemployment,classifiedmanagement,evaluationandcommendation,andintra-regioaldeploymentoftechnicalinvestigatorsintheirjurisdictions.省级知识产权管理部门负责辖区内技术调查官的统筹管理，根据本地实际和工作需要，组织开展对辖区内技术调查官的聘任、分类管理、考评表彰和区域内调派等工作。Article5TheCNIPAshallbuildandmaintaintheNationalTechnicalInvestigatorsInformationDatabase,andprovidealistoftechnicalinvestigatorsselectedintotheNationalTechnicalInvestigatorsInformationDatabase.第五条国家知识产权局建设和维护全国技术调查官信息库，提供入选全国技术调查官信息库的技术调查官名录。ProvincialIPadministrativedepartmentsmayestablishandmaintaintheinformationbaseoftechnicalinvestigatorsintheirjurisdictions.省级知识产权管理部门可以建设和维护本辖区的技术调查官信息库。ChapterIlAppointment第二章聘任Article6TechnicalinvestigatorsappointedbytheCNIPAandtechnicalinvestigatorsselectedintotheNationalTechnicalInvestigatorsInformationDatabaseshallhavethefollowingqualifications:第六条国家知识产权局聘任的技术调查官和入选全国技术调查官信息库的技正高级专业技术职称的专业 技术资格，或者具有10年以 上生产、设计、研发等工作 经验，或者具有10年以上知 识产权代理、审查等工作经 验，或者具有10年以上知识 产权执法保护、调解仲裁、 司法审判等相关实际从业经 历。地方知识产权管理部门可以 根据本地实际调整辖区内技 术调查官的任职条件，将本 条第三项规定的学历条件放 宽至普通高等院校理工农医 类专业本科及以上学历，本 条第四项规定的专业技术资 格放宽至副高级专业技术职 称，工作经验年限放宽至5 年。术调查官应具备以下任职条件：(1)Havingafirmpoliticalstanceandabidingbydisciplineandlaw.（一）政治立场坚定，遵纪守法；(2)Havingsoundscientificandtechnological（二）具备良好的科学技术literacy,andrigorousworkattitude.素养，工作态度严谨；(3)Havingamaster'sdegreeoraboveinscience,（三）具有普通高等院校理agricultureandmedicinefromanordinaryinstitutionofhigherlearning.工农医类专业硕士及以上学历；（四）在相关技术领域具有(4)Havingprofessionalandtechnicalqualificationofseniorprofessionalandtechnicaltitleintherelevanttechnicalfield,orhavingmorethan10yearsofworkexperienceinproduction,design,researchanddevelopment,orhavingmorethan10yearsofworkexperienceinIPagencyandexamination,orhavingmorethan10yearsofpracticalexperienceinlawenforcementandprotectionofIP,mediationandarbitration,judicialtrial,etc.ThelocalIPadministrativedepartmentsmayadjusttheworkingconditionsoftechnicalinvestigatorsinthejurisdictionsaccordingtothelocalactualconditions,relaxtheacademicqualificationsstipulatedinitem(3)ofthisarticletobachelor'sdegreeoraboveinscience,agricultureandmedicinefromordinaryinstitutionsofhigherlearning,relaxtheprofessionalandtechnicalqualificationsstipulatedinitem(4)ofthisarticletoassociateseniorprofessionalandtechnicaltitle,andrelaxtheworkingexperienceyearsto5years.Article7Technicalinvestigatorsmaybefull-timeorpart-time.Full-timetechnicalinvestigatorsshallbeappointedinaccordancewiththerelevantregulationsoftheIPadministrativedepartments.Part-timetechnicalinvestigatorsmaybeappointedonameritbasisthroughrecommendationbyentities,recommendationintheindustry,selfrecommendation,directionalinvitationandothermeans.Article8Underanyofthefollowingcircumstances,apersonshallnotbeappointedasatechnicalinvestigator:(1) Heissubjecttocriminalpunishmentforacrime.(2) HeispunishedbyPartydisciplineorgovernmentdiscipline,orheisunderinvestigationforbeingsuspectedofviolatinglawsanddisciplines,andnoconclusionhasbeenreached.(3) Heisdismissedfrompublicoffice,orhasservedasatechnicalinvestigatorandisorderedtoquitbytheIPadministrativedepartment.(4) Othercircumstancesunderwhichheisnotsuitabletoserveasatechnicalinvestigator.第七条技术调查官可 以采取全职或兼职形式。全 职技术调查官按照知识产权 管理部门相关规定进行聘 任。兼职技术调查官可以通 过单位推荐、行业推荐、自 我推荐、定向邀请等方式择 优聘任。第八条具有以下情形 之一的，不予聘任为技术调 查官：（一）曾因犯罪受过刑事处 罚的；（二）曾受党纪、政纪处分 的，或者涉嫌违法违纪接受 审查，尚未作出结论的；（S）曾被开除公职的，或 者曾担任技术调查官，被知 识产权管理部门责令退出 的；（四）不适合担任技术调查 官的其他情形。第九条被聘任的技术 调查官名单，在知识产权管 理部门官网予以公示。技术 调查官的任职期限为五年。 期满后及聘期内工作职位等 情况发生重大变动的由聘任Article9ThelistofappointedtechnicalinvestigatorsshallbepublicizedontheofficialwebsitesoftheIPadministrativedepartments.Thetermofofficeofatechnicalinvestigatorshallbefiveyears.Incaseofmajorchangesaftertheexpirationofthetermofofficeandduringtheemploymentperiod,theappointingdepartmentshalldecidewhethertocontinuewiththeappointment.ChapterIIIRightsandObligationsArticle 10 Technicalinvestigatorsshallputforwardtechnicalinvestigationopinionsindependentlyandshallnotbeinterferedbyanyentityorindividual.Article 11 IntheprocessofparticipatinginthehandlingofIPadministrativecases,atechnicalinvestigatorshallnotaccepttheinquiryofthepartiestoacase.Article 12 WithrespecttothetechnicalfactsinvolvedinIPadministrativecases,technicalinvestigatorsshallremainobjectiveandneutral.Article 13 TechnicalinvestigatorsshallassumetheobligationtokeepconfidentialtheinformationrelatedtocaseslearnedduringtheprocessofparticipatinginthehandlingofIPadministrativecases.Article 14 TechnicalinvestigatorsshallassistofficershandlingIPadministrativecasesinascertainingthetechnicalfactsofcases.AftertheconclusionofanIPadministrativecase,theworkdutiesoftechnicalinvestigatorsshallbeterminated.Intheeventofsubsequentadministrativereconsiderationoradministrativelitigation,technicalinvestigatorsshallnolongerassumetheobligationtoparticipate,unlessasotherwiseprovidedforbylaw.部门决定是否继续聘任。第三章权利和义务第十条技术调查官独 立提出技术调查意见，不受 任何单位和个人的干涉。第十一条技术调查官 在参与知识产权行政案件办 案过程中，不接受案件当事 人的质询。第十二条对于知识产 权行政案件所涉及的技术事 实，技术调查官应保持客观 中立。第十三条技术调查官 对于参与知识产权行政案件 办理过程中知悉的与案件相 关的信息负有保密义务。第十四条技术调查官 辅助知识产权行政办案人员 查明案件技术事实。知识产 权行政案件结案后，技术调 查官的工作职责终止。其后 发生行政复议或行政诉讼 的，技术调查官不再负有参 与义务，法律另有规定除 外。第四章指派与调派ChapterIVAppointmentandAssignmentArticle15WhereanIPadministrativedepartmentneedstoconsulttheopinionsoftechnicalinvestigatorsinordertoascertainthetechnicalfactswhenhandlinganIPadministrativecase,technicalinvestigatorsmaybeappointedtoparticipateinhandlingofthecase.ThetechnicalfieldinvolvedinthetechnicalfactsandthetechnicalfieldtowhichthetechnicalinvestigatorbelongsmayrefertotheprevailingtechnicalclassificationstandardsinthefieldoflP.Aleadcasehandlershallfileawrittenapplication,andtechnicalinvestigatorsshallbeappointedwithapprovalofthepersoninchargeoftherelevantbusinessdepartmentandofficeoftheIPadministrativedepartment.Whereanappointedtechnicalinvestigatorisnotcompetentorisnotsuitabletoparticipateinthehandlingofacase,anditisnecessarytoappointanotherofficer,theleadcasehandlershallexplainthereasonsinwriting,andreporttothepersoninchargetherelevantbusinessdepartmentandofficeoftheIPadministrativedepartmentforre-appointmentafterapproval.Article 16 Whereatechnicalschemeinvolvedinacaseissignificant,difficult,andcomplex,orinvolvesmultipletechnicalfields,andonetechnicalinvestigatorcannotcompletetheworkofascertainingthetechnicalfactindependently,twoormoretechnicalinvestigatorsmaybeappointed.第十五条知识产权管 理部门在办理知识产权行政 案件时为查明技术事实需要 征询技术调查官意见的，可 以指派技术调查官参与案件 办理。技术事实涉及的技术 领域和技术调查官所属的技 术领域可以参照知识产权领 域通行的技术分类标准Q案件主办人员应提出书面申 请，由知识产权管理部门相 关业务处室负责人审批后指 派技术调查官。受指派的技 术调查官存在不能胜任或存 在不适宜参与案件办理的情 形，确需另行指派的，案件 主办人员应书面说明理由， 并报知识产权管理部门相关 业务处室负责人审批后重新 指派。第十六条案件涉及的 技术方案重大、疑难、复 杂，或涉及多个技术领域， 一名技术调查官无法单独完 成技术事实查明工作的，可 以指派两名或多名技术调查 官。第十七条存在两名或 者多名技术调查官时，知识 产权管理部门可确定一名主 办技术调查官和数名协办技 术调查官。主办技术调查官Article 17 Wheretherearetwoormoretechnicalinvestigators,theIPadministrativedepartmentmaydetermineonesponsoringtechnicalinvestigatorandseveralco-technicalinvestigators.Thesponsoringtechnicalinvestigatorshallcoordinatethetechnicalinvestigationandberesponsiblefortaskallocation.Article 18 Accordingtotheneedsofcasehandling,theleadcasehandlermayfileasupplementaryapplicationfortechnicalinvestigator,andmay,afterreportingtothepersoninchargeoftherelevantbusinessdepartmentandofficeoftheIPadministrativedepartmentforapproval,addtechnicalinvestigatorstoparticipateinthecasehandling.Article 19 TheCNIPAmayassigntechnicalinvestigatorsfromtheNationalTechnicalInvestigatorInformationDatabaseaccordingtotheneedsofcasehandling.Article 20 Wherethefollowingconditionsaremetconcurrently,thelocalIPadministrativedepartmentsmayapplyforassignmentoftechnicalinvestigatorsfromtheNationalTechnicalInvestigatorInformationDatabasetoparticipateinthehandlingofIPadministrativecases:(1) InpatentandotherprofessionalandtechnicalIPadministrativecases,therearetechnicalfactsthatmaybeonlyascertainedwithtechnicalinvestigatorsassigned.(2) ThereisnotechnicalinvestigatorinthetechnicalfieldinvolvedinthecaseorwithcompetentprofessionalabilityinthejurisdictionoftheIPadministrativedepartmentattheprovinciallevel.统筹技术调查，负责任务分 配。第十八条根据办案需 要，案件主办人员可提出技 术调查官补充申请，报知识 产权管理部门相关业务处室 负责人批准后，可补充技术 调查官参与办案。第十九条国家知识产 权局根据办案需要可以从全 国技术调查官信息库中调派 技术调查官。第二十条同时满足以 下条件的，地方知识产权管 理部门可以申请从全国技术 调查官信息库中调派技术调 查官参与知识产权行政案件 的办理：（一）在专利等专业技术性 较强的知识产权行政案件 中，确有技术事实需要调派 技术调查官才能查明；（二）所属省级知识产权管 理部门辖区内没有涉案技术 领域或专业能力与之匹配的 技术调查官；（三）所属省级知识产权管理部门无法通过咨询技术专(3) TheprovincialIPadministrativedepartmentisunabletoascertaintherelevanttechnicalfactsbyconsultingtechnicalexperts,holdingtechnicalseminarsandotheralternativemeans.Article 21 ForanapplicationforassignmentoftechnicalinvestigatorsintheNationalTechnicalInvestigatorsInformationDatabase,afterexaminationbytheCNIPA,theIPadministrativedepartmentresponsiblefortheappointmentshalldecideonthecandidatestobeassigned.Article 22 WherealocalIPadministrativedepartmentappliestotheCNIPAforassignmentoftechnicalinvestigatorstoparticipateinthehandlingofacase,itshallsubmitthecasehandlingstatustotheCNIPAwithin10workingdaysafterthecaseisconcluded.ChapterVProceduresandNormsArticle23Withinthreeworkingdaysfromthedateofthedeterminationoralterationofatechnicalinvestigator,theIPadministrativedepartmentshallnotifythepartyinatimelymanner,andnotifythepartyoftherighttoapplyfordisqualificationofthetechnicalinvestigatoraccordingtothelaw.家、召开技术研讨会等替代 方式查明有关技术事实。第二H条对于全国 技术调查官信息库中技术调 查官的调派申请，经国家知 识产权局审核后，由负责聘 任的知识产权管理部门决定 调派人选Q第二十二条地方知识 产权管理部门向国家知识产 权局申请调派技术调查官参 与案件办理的，应在案件办 结后的10个工作日内向国家 知识产权局报送案件办理情 况。第五章程序与规范第二十三条技术调查 官确定或者变更之日起三个 工作日内，知识产权管理部 门应及时告知当事人，并依 法告知当事人有申请技术调 查官回避的权利。第二十四条具有下列 情形之一的，技术调查官应 当自行回避；技术调查官没 有回避的，当事人及其代理 人有权要求其回避：（一）是案件当事人、代理 人或者当事人、代理人近亲Article24Underanyofthefollowingcircumstances,atechnicalinvestigatorshallbedisqualifiedbyhimself;andwhereatechnicalinvestigatorisnotdisqualified,thepartiesandtheiragentsshallhavetherighttorequesthisdisqualification:(1)Heisapartytooragentinthecaseoracloserelativeofapartyoragent.属的;(2)Heorhiscloserelativehasinterestrelationshipwiththecase.（二）本人或者其近亲属与案件有利害关系的；(3)Hehasotherrelationshipswiththepartiestooragentsinthecase,whichmayaffectthefairhandlingofthecase.（三）与案件当事人、代理人有其他关系，可能影响案件公正办理的；(4)Hehasservedasawitness,appraiserorinterpreterinacase.（四）担任过案件的证人、鉴定人、翻译人员的；(5)Othercircumstancesthatmayaffectthefairhandlingofthecase.（五）其他可能影响案件公正办理的情形。Article25Technicalinvestigatorsshall,withinthreeworkingdaysfromthedateofacceptanceoftheassignment,investigateandreportwhetherthereisanyreasonfordisqualification