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Change of Bibliographic Items

From Part I: Preliminary Examination Chapter 1: Preliminary Examination of Invention Patent Applications

Bibliographic items include application number, application date, name of the invention or creation, classification number, priority items (including the application number, application date, and name of the original receiving office of the earlier application), applicant or patentee items (including name, nationality or registered country/region, address, postal code, unified social credit code or identity document number), inventor’s name, patent agency items (including name, agency code, address, postal code, patent agent’s name, qualification certificate number, contact number), contact person items (including name, address, postal code, contact number), and representative, among others.

Changes in personnel-related bibliographic items (such as applicant or patentee items, inventor’s name, patent agency items, contact person items, representative) should be processed by the parties according to regulations. Changes in other bibliographic items can be altered by the patent office based on the situation.

In cases of transfer of patent application rights (or patent rights) or other causes of transfer, the applicant (or patentee) should register with the patent office in the form of a change in bibliographic items.

1 Procedures for Changing Bibliographic Items

1.1 Change of Bibliographic Items Application Form

To process changes in bibliographic items, a Change of Bibliographic Items Application Form should be submitted. If multiple bibliographic items of a single patent application are being changed at the same time, only one application form is needed. For continuous changes of the same bibliographic item in a single patent application, separate application forms for each change should be submitted. Continuous transfers of patent application rights (or patent rights) should not be processed as continuous changes. For changes to the same bibliographic item across multiple patent applications, with the content of change being exactly the same, a batch Change of Bibliographic Items Application Form may be submitted.

1.2 Fee for Changing Bibliographic Items

If the applicant requests to change the inventor and/or applicant (or patentee), a fee for changing bibliographic items, i.e., a procedure fee for changing bibliographic items, must be paid. The fee for changing bibliographic items as published in the patent fee schedule of the patent office refers to the cost for each declaration of change of bibliographic items for a single patent application. If an applicant simultaneously proposes continuous changes for the same bibliographic item for one patent application (or patent), the fee is paid as for a single change. If an applicant makes a batch request for changing the name of the applicant (or patentee) without involving a transfer of rights, the fee is paid according to the relevant regulations.

1.3 Deadline for Paying the Fee for Changing Bibliographic Items

The fee for changing bibliographic items should be paid within one month from the date of request, except as otherwise provided. If not paid or not fully paid within this period, the request for changing bibliographic items is considered not made.

1.4 Who Handles the Change of Bibliographic Items Procedures

If a patent agency is not engaged, the procedures for changing bibliographic items should be handled by the applicant (or patentee) or their representative. If a patent agency is engaged, it should be handled by the agency. Changes due to a transfer of rights can be handled by the new right holder; if the new right holder has engaged an agency, it should be handled by their appointed patent agency.

2 Proof Documents for Changing Bibliographic Items

2.1 Change of Name of Applicant (or Patentee)

When an applicant (or patentee) requests to change their name, they must provide their identity document number or unified social credit code. If unable to provide an identity document number or unified social credit code, or if the provided information is incorrect, the following proof documents are required:

(1) Individuals changing their name should submit proof from the household registration department.

(2) Individuals changing due to a writing error should submit a signed or stamped statement and their identity proof document.

(3) Corporate legal persons changing their name should submit proof from the industrial and commercial administration department.

(4) Institutional legal persons and social organizations changing their name should submit proof from the registration management department.

(5) Government legal persons changing their name should submit proof issued by the superior competent department.

(6) Other organizations changing their name should submit proof from the registration management department.

(7) Foreign individuals, enterprises, or organizations changing their name should submit corresponding proof documents according to the above regulations.

(8) Foreign individuals, enterprises, or organizations changing their Chinese transliteration should submit a statement from the applicant (or patentee).

2.2 Transfer of Patent Application Rights (or Patent Rights)

(1) If the applicant (or patentee) requests a change due to a transfer of rights arising from a dispute over ownership, and if the dispute is resolved through negotiation, a rights transfer agreement signed or stamped by all parties involved should be submitted. If resolved through mediation by local intellectual property management departments, the department’s mediation document should be submitted. If resolved through mediation or judgment by a people’s court, the effective mediation document or judgment should be submitted. For a first-instance court judgment, the examiner should notify other parties to confirm if an appeal is filed. If no response is received within the specified period or if there is a clear decision not to appeal, the change should be made according to this judgment. If an appeal is filed, the party should submit proof issued by the higher people’s court, and the original people’s court judgment does not take legal effect. If resolved by arbitration, the arbitration mediation document or arbitration award should be submitted.

(2) If the applicant (or patentee) requests a change due to the transfer or donation of rights, a transfer or donation contract signed or stamped by both parties should be submitted. When necessary, proof of subject qualification, such as objections to the transfer or donation of patent application rights (or patent rights), contradictions in documents submitted multiple times, or inconsistency in signatures or stamps in the transfer or donation agreement compared to the case file, should be provided. If the contract is made by an entity, it should bear the entity’s official seal or a contract-specific seal. For contracts made by individuals, they should be signed or stamped by the person. If there are multiple applicants (or patentees), proof of agreement from all right holders for the transfer or donation should be submitted.

(3) Transfers of patent application rights (or patent rights) involving foreigners, foreign enterprises, or other foreign organizations should comply with the following:

    (i) If both the transferor and transferee are foreigners, foreign enterprises, or other foreign organizations, a transfer contract signed or stamped by both parties should be submitted.

    (ii) For transfers of invention or utility model patent applications (or patents) where the transferor is a Chinese mainland individual or entity, and the transferee is a foreigner, foreign enterprise, or other foreign organization, a “Technology Export License” or “Technology Export Contract Registration Certificate” issued by the Ministry of Commerce of the State Council or a local commerce authority, along with a signed or stamped transfer contract, should be submitted.

    (iii) If the transferor is a foreigner, foreign enterprise, or other foreign organization, and the transferee is a Chinese mainland individual or entity, a transfer contract signed or stamped by both parties should be submitted.

For joint transfers involving Chinese mainland individuals or entities and foreigners, foreign enterprises, or other foreign organizations, the provisions of (ii) or (iii) apply, depending on the nature of the transfer.

(4) If the applicant (or patentee) is an entity requesting a change due to merger, division, cancellation, or change of organizational form, proof documents issued by the registration management department should be submitted.

(5) If the applicant (or patentee) requests a change due to inheritance, a notarized document proving that the party is the sole legal heir or includes all legal heirs should be submitted. Except where explicitly provided otherwise, joint heirs should jointly inherit the patent application right (or patent right).

(6) For changes due to auction, legally effective proof documents should be submitted.

(7) For transfers of patent rights during the pledge period, in addition to the necessary proof documents for the change, proof documents agreeing to the change from both parties involved in the pledge should be submitted.

2.3 Change of Inventor

(1) For requests to change the inventor’s name due to a name change, proof documents issued by the household registration department must be provided.

(2) For requests to correct errors in the inventor’s name, a declaration signed or stamped by the inventor and their identity proof document should be submitted.

(3) For requests due to omission or incorrect entry of the inventor, the request should be made within one month from the date of receipt of the acceptance notification. Proof documents signed or stamped by all applicants (or patentees) and all inventors (before and after the change) must be submitted, stating the reason for the change and declaring that the changed inventors have made a substantive contribution to the invention as per Article 14 of the Implementing Regulations of the Patent Law.

(4) For requests due to disputes over inventor qualifications, refer to Section 6.7.2.2(1) of this chapter.

(5) For requests to change the Chinese transliteration of an inventor’s name, a declaration from the inventor must be submitted.

2.4 Change of Patent Agency and Agent

(1) If a patent agency changes its name or address, it must first complete the registration change procedures with the competent department of the State Intellectual Property Office. After the registration change procedures take effect, the patent office will uniformly process changes for all effective patent applications and patents represented by the agency. Changes of patent agents should be handled individually by the patent agency.

(2) When terminating or resigning from an engagement, the other party must be notified in advance. When terminating the engagement, the applicant (or patentee) should submit a Change of Bibliographic Items Application Form and a dismissal letter signed or stamped by all applicants (or patentees), or simply submit a Change of Bibliographic Items Application Form signed or stamped by all applicants (or patentees). When resigning from the engagement, the patent agency should submit a Change of Bibliographic Items Application Form and a declaration of consent for the resignation signed or stamped by the applicant (or patentee) or their representative, or a declaration by the patent agency stating that the applicant (or patentee) has been notified.

If the change procedures are not in compliance, the examiner should issue a notification considering the request as not made. If the procedures comply, the examiner should issue a notification of procedural compliance. Until the change procedures take effect, the original patent agency engagement remains valid, and the services provided by the patent agency for the applicant (or patentee) continue to be valid after the change procedures take effect.

For patent applications where the first-named applicant is a foreigner without a habitual residence or business establishment in mainland China, the applicant (or patentee) must also engage a new patent agency simultaneously when terminating or resigning from an engagement, otherwise the examiner should issue a notification considering the request as not made.

(3) If the applicant (or patentee) changes the patent agency, they must submit a declaration terminating the engagement with the original patent agency and a power of attorney for the new patent agency, signed or stamped by all applicants (or patentees).

(4) In the case of transfer of patent application rights (or patent rights), the changed applicant (or patentee) engaging a new patent agency must submit a power of attorney signed or stamped by all changed applicants (or patentees). If the changed applicant (or patentee) continues with the original patent agency, only a power of attorney signed or stamped by the new applicants (or patentees) is required.

2.5 Change of Nationality of Applicant (or Patentee)

When the applicant (or patentee) changes nationality, they must submit identity proof documents.

2.6 Requirements for the Format of Certifying Documents

(1) In all submitted certifying documents, the application number (or patent number), the name of the invention or creation, and the name of the applicant (or patentee) must be stated.

(2) A single certifying document should correspond only to one request for a change in recorded items. If the same recorded item undergoes consecutive changes, separate certifying documents must be submitted for each change.

(3) All certifying documents must be originals. If a certifying document is a photocopy, it must be notarized or stamped with the official seal of the issuing authority (except for originals confirmed by the Patent Office); for certifying documents formed overseas that are photocopies, they must be notarized.