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1 商标异议制度简述及异议程序的新变化 Overview of the Trademark Opposition System and the new developments to the opposition procedure Administration of Industry and Commerce 孙丙旺 Sun Bingwang 国家工商行政总局商标局

2 商标异议制度简述 Overview of the Trademark Opposition System Administration of Industry and Commerce

3 商标异议制度的概念 Definition of the Trademark Opposition System 商标异议制度 : 是指自然人法人或者其他组织在法定期限内对商标注册申请人经商标局初步审定并刊登公告的商标提出不同意见, 请求商标局撤销对该商标的初步审定, 由商标局依法作出准予注册或不予注册决定的制度提出异议的一方为异议人, 商标注册申请人为被异议人, 该初步审定商标为被异议商标 The trademark opposition system refers to a system under which a natural person, legal person or any other organization files, within the time limit prescribed by law, an opposition to an applicant s trademark which is preliminarily approved and published by the Trademark Office, requesting the Trademark Office to withdraw the preliminary approval, and then the Trademark Office decides, in accordance with the law, whether to approve or reject the registration. The party that files the opposition is the opponent, the trademark applicant is the respondent, and the preliminarily approved trademark is the opposed trademark.

4 商标异议程序和商标注册申请审查的联系与区别 Connections and differences between the trademark opposition procedure and the trademark registration examination 商标异议程序与商标注册申请审查都是商标注册程序中的重要组成部分, 两者既有联系又有区别 Both the trademark opposition procedure and the trademark registration examination are indispensable components of the trademark registration procedure. There are connections as well as differences between the two. 审查标准原则上具有一致性, 但不完全相同异议审查中有关商标是否近似的判断体现了个案原则 Their criteria for examination are consistent in principle, but not exactly the same. The determination of the similarity between the trademarks in the opposition procedure reflects the case by case principle. 注册申请审查属于主动审查, 异议审查属于被动审查 The trademark registration examination is an ex officio examination, while the trademark opposition procedure is a passive one. 适用法律条款不同 Their applicable legal provisions are different.

5 商标异议制度设立目的 Purposes of the trademark opposition procedure 保护在先权利人利害关系人的利益 Protecting the interests of the prior rights holders and interested parties. 保护消费者的利益 Protecting the interests of consumers 维护社会公众利益和公序良俗 Safeguarding the social public interests and the public order and customary practices. 有利于社会公众对商标局审查工作进行监督 Facilitating the supervision of the social public on the examination work of the Trademark Office

6 商标异议制度的历史沿革 History of the trademark opposition procedure 2001 年修改商标法之前, 商标异议案件由商标评审委员会复审后作出终局裁定 ( 行政二审 ) Before the 2011 Amendment of the Trademark Law, the Trademark Review and Adjudication Board makes the final decision after reviewing oppositions. (administrative second instance) 2001 年修改后的商标法在保留复审的基础上, 增加了司法救济程序 ( 行政二审司法二审的四审终审制 ) The 2001 Amendment kept the administrative review and added procedure for judicial relief. (4-tier adjudication with administrative and judiciary second instances) 2013 年修改并于 2014 年 5 月 1 日实施的商标法简化了异议程序, 完善了异议制度 The Trademark Law as amended in 2013 and effective as of 1 May 2014, simplified the opposition procedure and improved the opposition system.

7 商标法修订后异议程序的新变化 Amendments to the Trademark Law: New developments of the opposition procedure

8 1 商标法及实施条例的新规定 New provisions of the Trademark Law and its Implementing Regulation 2 商标异议程序的启动 Initiation of the opposition procedure 3 在先权利与利害关系的判断 Assessment of prior rights and interests

9 商标法及其实施条例的新规定 New provisions of the Trademark Law and its Implementing Regulation 增加了对异议人主体资格的限制 Added restrictions on the eligible person to file an opposition 新商标法及其实施条例 The Amended Trademark Law and its Implementing Regulation 明确了提出异议申请的理由 Clarified grounds for filing oppositions 简化了商标异议确权程序 Simplified confirmation procedure of the opposed trademark 突出了诚实信用原则, 加强了对恶意抢注的防范 Emphasized principle of good faith, and strengthened prevention against bad faith preemptive registrations 增加了对异议审查时限的明确规定 Added clear time-limit for examination of oppositions

10 ( 一 ) 增加了异议人主体资格限制 (I) Added restrictions on the eligible person to file an opposition 新商标法第三十三条规定 : Article 33 of the amended Trademark Law: 对初步审定公告的商标, 自公告之日起三个月内, 在先权利人利害关系人认为违反本法第十三条第二款和第三款第十五条第十六条第一款第三十条第三十一条第三十二条规定的, 或者任何人认为违反本法第十条第十一条第十二条规定的, 可以向商标局提出异议 For a preliminarily approved and published trademark, within three months from the date of publication, a prior rights holder or an interested party which believes that paragraph 2 or 3 of Article 13, Article 15, paragraph 1 of Article 16, Article 30, Article 31, or Article 32 of this Law is violated, or any person which believes that Article 10, 11, or 12 of this Law is violated, may file an opposition with the Trademark Office.

11 旧商标法第三十条 : Article 30 of the previous Trademark Law 对初步审定的商标, 自公告之日起三个月内, 任何人均可以提出异议 Any person may file an opposition to a trademark which has been preliminary approved, within three months from the day it is published. 实质是 : 任何人基于任何理由均可提出异议 In essence, any person may file an opposition on any ground.

12 任何人提出商标异议的理由 : Grounds for any person to file a trademark opposition: ( 二 ) 限定了提出异议申请的理由 (II) Defined grounds for filing an opposition 被异议商标可能违反商标法第十条第十一条或第十二条的规定 The opposed trademark might violate Article 10, 11, or 12 of the Trademark Law ( 维护社会公众利益和公序良俗, 社会公众的监督途径 ) (as a means of public scrutiny to safeguard social interest and the public order and customary practices) 在先权利人利害关系人提出商标异议的理由 : Grounds for a prior rights holder or an interested party to file a trademark opposition: 被异议商标违反商标法第十三条第二款和第三款第十五条第十六条第一款第三十条第三十一条或第三十二条的规定 The opposed trademarks violates paragraph 2 or 3 of Article 13, Article 15, paragraph 1 of Article 16, Article 30, Article 31, or Article 32 of the Trademark Law ( 特定主体的权利救济 ) (remedies to the rights of certain persons)

13 任何人可以基于以下理由提出异议 Grounds for any person to file an opposition: 新商标法第十条 : 不得作为商标使用的标志 Article 10 of the amended Trademark Law: signs that may not be used as trademarks 新商标法第十一条 : 不得作为商标注册的标志 Article 11 of the amended Trademark Law: signs that may not be registered as trademarks 新商标法第十二条 : 以三维标志申请注册商标的, 仅由商品自身的性质产生的形状为获得技术效果而需有的商品形状或者使商品具有实质性价值的形状, 不得注册 Article 12 of the amended Trademark Law: Where the registration of a three dimensional trademark is applied for, it shall not be registered if it is only a shape resulting from the nature of the goods, a shape of the goods necessary for achieving a technical effect, or a shape to add a substantive value to the goods.

14 在先权利人或利害关系人的异议理由 Grounds for a prior rights holder or an interested party to file an opposition: 新商标法第十三条第二和第三款 : 驰名商标保护 Paragraphs 2 and 3 of Article 13 of the amended Trademark Law: protection of well-known trademarks 新商标法第十五条 : 防止因代理关系代表关系或其他合同业务关系导致商标被抢注 Article 15 of the amended Trademark Law: protection against preemptive registration by way of agent or representative relationship, or any other contractual or business relationship. 新商标法第十六条第一款 : 地理标志保护 paragraph 1 of Article 16 of the amended Trademark Law: protection of geographic indications 新商标法第三十条 : 在先商标权保护 Article 30 of the amended Trademark Law: protection of prior trademark rights 新商标法第三十一条 : 商标同日申请 Article 31 of the amended Trademark Law: trademark applications filed on the same day 新商标法第三十二条 : 禁止损害各种在先权利, 禁止抢先注册他人已使用并有一定影响的商标 Article 32 of the amended Trademark Law: prohibition on the infringement of prior rights of any kind, and prohibition on the preemptive registration of a trademark already used by others and have achieved a certain infulence.

15 ( 三 ) 简化了商标异议确权程序 (III) The simplified confirmation procedure of the opposed trademark 新商标法第三十五条第二款规定 : 商标局做出准予注册决定的, 发给商标注册证, 并予公告异议人不服的, 可以依照本法第四十四条第四十五条的规定向商标评审委员会请求宣告该注册商标无效 Paragraph 2, Article 35 of the amended Trademark Law: In the case of approval of a registration, the Trademark Office shall issue a certificate of trademark registration, and publish the registered trademark. The opponent may, under Article 44 and 45 of this Law, request the Trademark Review and Adjudication Board to invalidate the trademark registration. 商标法第三十五条第三款规定 : 商标局做出不予注册决定, 被异议人不服的, 可以自收到通知之日起十五日内向商标评审委员会申请复审 Paragraph 3, Article 35 of the amended Trademark Law: In the case of disapproval of a registration, the applicant may apply to the Trademark Review and Adjudication Board for a review within 15 days after receiving the disapproval notice.

16 法院两审 2-tire court trial 法院诉讼 Litigation at court 异议复审审理 Review of opposition 18 个月 18 months 异议复审 Review of opposition 初步审定公告至异议裁定 From preliminary approval and publication to opposition decision 3+18=21 个月 3+18=21 months 商标异议 Opposition to registration 申请至初步审定 From application to preliminary approval 个月 months 商标申请 Application to registration 现行商标法修订前, 商标取得注册的时间最长可达 4 年以上 Before the amendment to the Trademark Law, the registration of a trademark may take as long as over 4 years.

17 成立 acceptable 异议申请 Filing of Oppositio n 形式审查 Formal examinati on 实质审查 Substa ntive examin ation 部分成立 Partially acceptable dissatisfied 不服异议复审 Review of opposition 不服 dissatisfi ed 诉讼 ( 两审 ) Litigation (2-tier system) 注册 Registrati on 不成立 Unacceptable 18 个月 18 months 18 个月 18 months 旧异议流程 The previous opposition procedure 异议申请 Filing of Opposition 形式审查 Formal examination 实质审查 Substantive examination 不予注册 Rejection of registration 部分不予注册 Partial rejection of registration 不服 dissatisfied 复审 review 12 个月 12 months 不服 dissatisfied 起诉 Filing of a suit 注册 registrati on 核准注册 Approval of registration 12 个月 12 months 占异议案件 80% 以上 accounting for over 80% of total opposition cases 新异议流程 The amended opposition procedure

18 ( 四 ) 强调诚实信用原则, 制止恶意抢注 Emphasized the principle of good faith, and strengthened prevention against bad faith preemptive registration 新商标法第七条第一款 : 申请注册和使用商标, 应当遵循诚实信用原则 Paragraph 1, Article 7 of the amended Trademark Law: In the application for registration of or use of a trademark, the principle of good faith shall be followed. 新商标法第十五条第一款 : 未经授权, 代理人或者代表人以自己的名义将被代理人或者被代表人的商标进行注册, 被代理人或者被代表人提出异议的, 不予注册并禁止使用 Paragraph 1, Article 15 of the amended Trademark Law: Where an agent or a representative applies for registration of a trademark of the principal or the represented party in the agent's or the representative's own name without authorization, the trademark shall not be registered and shall be prohibited from use upon opposition from the principal or the represented party. 新商标法第十五条第二款 : 就同一种商品或者类似商品申请注册的商标与他人在先使用的未注册商标相同或者近似, 申请人与该他人具有前款规定以外的合同业务往来关系或者其他关系而明知该他人商标存在, 该他人提出异议的, 不予注册 Paragraph 2, Article 15 of the amended Trademark Law: Where an applicant for registration of a trademark identical with or similar to an unregistered trademark in prior use by another party on identical or similar goods, has any contractual, business or other relationship (except the relationship described in the preceding paragraph) with the other party and knows the existence of the unregistered trademark, the trademark shall not be registered upon opposition from the other party.

19 新商标法第十九条第四款 : Paragraph 14, Article 19 of the amended Trademark Law: 商标代理机构除对其代理服务申请商标注册外, 不得申请注册其他商标 Trademark agencies may not apply for registration of trademarks other than those applied for on behalf of their clients. 新商标法第三十二条 : Article 32 of the amended Trademark Law: 不得以不正当手段抢先注册他人已经使用并有一定影响的商标 Preemptive registration by illicit means of a trademark with a certain reputation already used by another party shall be prohibited.

20 ( 五 ) 增加了对审查时限的明确规定 (V) The newly added clear time-limit for examination of the opposition 异议审限 : 自初步审定公告期满之日起 12 个月内特殊情况下, 经国务院工商行政管理部门批准, 延长 6 个月 ( 商标法 35 条 ) Time-limit for examination of opposition: within 12 months upon expiry of the publication period. Under special circumstances, the time limit may be extended by six months with the approval of the administrative department for industry and commerce under the State Council. (Article 35 of the amended Trademark Law) 实施条例第十一条 : 异议审限除外情形 Article 11 of the Implementing Regulation of the Trademark Law: Periods of time that are not counted in the time limit for opposition examination: 公告送达期间 The time for service by publication 补充证据材料期间 The time for a party to provide supplementary evidence 补正期间 The time for a party to correct documents 因当事人更换需要重新答辩的期间 The time for submitting a new statement of defense as a result of the change of a party. 依案件申请人请求等待在先权利案件审理结果的期间 The time of waiting for the results of another case involving prior rights

21 Number of opposition filings received in recent years 近年来异议收文情况

22 二商标异议程序的启动 II. Initiation of the opposition procedure 在法定异议期内提出申请 Opposition filed within the prescribed time limit 受理要件 Conditions for acceptance 以法定异议理由提出申请 Opposition filed based on the prescribed grounds 形式要件齐备 Compliance with the formal requirements 主体资格适格 Eligible person to file an opposition

23 ( 一 ) 在法定异议期内提出申请 (I)Opposition filed within the prescribed time limit 法定异议期为三个月, 自被异议商标初审公告的次日起算 The prescribed period of time is three months, counted from the next day of the publication of a preliminary approved trademark. 综合考虑了以下几方面需要 : 在先权利人利害关系人知晓初审公告并准备材料提出异议申请的需要, 充分发挥社会公众监督作用的需要, 以及商标注册平均周期不宜过长的需要 Such prescription is based on consideration of the following needs: the need of the prior rights holder or the interested party to become aware of the publication and to prepare the necessary documents for the opposition; the need for the social scrutiny, and the need to keep the average trademark prosecution period not too long.

24 ( 二 ) 以法定异议理由提出申请 (I)Opposition filed based on the prescribed grounds 任何人提出商标异议的理由 : Grounds for any person to file an opposition: 被异议商标可能违反商标法第十条第十一条或第十二条的规定 The opposed trademark might violate Article 10, 11, or 12 of the Trademark Law 在先权利人利害关系人提出商标异议的理由 : Grounds for a prior rights holder or an interested party to file an opposition: 被异议商标违反商标法第十三条第二款和第三款第十五条第十六条第一款第三十条第三十一条或第三十二条的规定 The opposed trademarks violates paragraph 2 or 3 of Article 13, Article 15, paragraph 1 of Article 16, Article 30, Article 31, or Article 32 of the Trademark Law

25 ( 三 ) 形式要件齐备 (III)Compliance with the formal requirements 原商标法实施条例第二十二条第一款 : Paragraph 1, Article 22 of the previous Implementing Regulation of the Trademark Law 商标异议书 ( 一式两份 ) ( 有明确的请求和事实依据 ) Trademark opposition form in duplicate (with specific claims and factual basis) 现商标法实施条例第二十四条 : Article 24 of the current Implementing Regulation of the Trademark Law 下列材料一式两份 : the following materials in duplicate: 商标异议申请书 ( 有明确的请求和事实依据 ) Application form for trademark opposition (with specific claims and factual basis) 异议人的身份证明 The opponent's identity papers 异议人的主体资格证明 ( 以相对理由提出异议时 ) Proof on the opponent s eligibility as a prior right holder or an interested party (where the opposition is filed on the relative grounds)

26 ( 四 ) 主体资格适格 (IV)Eligible person to file an opposition 商标法实施条例第二十六条第二项: Subparagraph 2, Article 26 of the Implementing Regulation of the Trademark Law: 商标异议申请人主体资格异议理由不符合商标法第三十三条规定的, 商标局不予受理, 书面通知申请人并说明理由 Where the opponent's eligibility or the ground of opposition fails to satisfy the provision of Article 33 of the Trademark Law., the Trademark Office shall reject an application for trademark opposition, and notify the applicant in writing of the rejection and the reasons for the rejection. 因此, 异议人以相对理由提出异议申请, 要提交作为在先权利人或利害关系人的证明, 该证明文件应当能证明异议人是其所主张在先权利的权利人或利害关系人 Accordingly, an opponent who files an opposition on a relative ground shall submit proof as to the eligibility as a prior right holder or an interested party. Such proof shall be sufficient to prove that the opponent is the right holder of the claimed prior right, or is an interested party.

27 三在先权利与利害关系的判断 III. Assessment of prior rights and interests 在先权利的类型 Types of prior rights 审查要点 Key points for examination 在先权利的认定 Determination of prior rights 利害关系的判断 Assessment of interests 驰名商标的保护 Protection of well-known trademarks

28 ( 一 ) 在先权利的类型 (I) Types of prior rights 商标法明文列举的权利 : 在先商标注册权在先商标申请权在先商标使用权驰名商标权地理标志权 Prior rights enumerated in the Trademark Law: right to register a prior trademark, right to file application for registration of a prior trademark, right to use a prior trademark, rights to a well-know trademark, rights to a geographic indication. 其他在先权利 : 企业名称权外观设计专利权著作权肖像权姓名权名誉权域名权等 Other prior rights: rights to a trade name, rights to a design, copyright, rights to person portrait, rights to person name, rights to reputation, rights to a domain name, etc.

29 ( 二 ) 在先权利的认定 (II) Determination of prior rights 根据异议双方陈述的事实与理由, 个案认定 The prior rights shall be identified on a case by case basis according to the facts and reasons stated by the parties. 只需证明存在损害的可能, 不以实际损害后果为前提 The parties only need to prove the likelyhood of harm, and the actual harm is not necessary. 例如, 著作权的证明文件包括但不限于 : For example, the evidence of copyright includes and is not limited to : 著作权登记证书作品发表记录原始创作资料著作权转让合同出版合同发行合同委托设计合同等 Copyright registration certificate, record for the publication of a work, the orginial materials related the creattion of the work, contract for copyright transfer, publication contract, distribution contract, design comissioning contract, etc.

30 ( 三 ) 利害关系的判断 (III) Assessment of interests 利害关系的界定更多的是政策考量过程 : 应当具备直接的利益相关性, 需要在保障异议权和防止滥用异议权之间取得平衡, 还需考虑举证上的可行性和便利程度 The assessment of interests is more of a process of policy consideration. The party shall be of direct interest. The protection of the right to file an opposition and the prevention of the abuse of that right shall be balanced. The feasibility and convenience of evidence produce shall also be considered. 例如, 在先商标权的利害关系人包括但不限于 : 合法继承人被许可使用人与商标注册人有投资关系或监管关系的人商标质权人等 For example, the interested parties to a prior trademark right include but are not limited to: legal heirs, licencees, persons that are of investment or supervision relationship to the trademark owner, trademark pledgee, etc.

31 ( 四 ) 驰名商标的保护 (IV) Protection of well-known trademarks 个案认定因需认定被动保护为原则 The principles: case by case identification; identification on demands; passive protection. 异议部门一直重视和加强对驰名商标的保护, 包括国际品牌 The opposition examination division has been emphasizing and enhancing protection for well-known trademarks, including international brands.

32 异议程序中认定的一些驰名商标 Some well-known trademarks identified in the opposition procedure

33 异议证据材料形式要求 Formal requirements for opposition evidence materials 应编写证据目录和页码 ; catalogue of evidence and numbered pages 应载明证明事项及证明目的 ; statement of the matter to be proved and purpose of such proof 应提供原件或经公证的复印件 ; originals or notarized copies 证据材料尺寸一致, 装订成册 ; evidential materials of the same size which are bound together 外文证据应提供对应的翻译件 Evidence in a foreign language be companied with its Chinese translation

34 关于外文证据的规定 provision on evidence in a foreign language 商标法实施条例第六条申请商标注册或者办理其他商标事宜, 应当使用中文 Article 6 of Implementing Regulation of the Trademark Law: 依照商标法和本条例规定提交的各种证件证明文件和证据材料是外文的, 应当附送中文译文 ; 未附送的, 视为未提交该证件证明文件或者证据材料 The Chinese language shall be used in the application for trademark registration or in other formalities of other trademark matters. If any of the certificates, certification documents or evidential materials submitted under the Trademark Law or this Regulation is in a foreign language, a Chinese translation shall be attached thereto; otherwise, it shall be deemed to have not been submitted.

35 明确了超期证据的效力及采信条件 Clarification on the effect of evidence submitted after the expiry of the prescribed time limit, and conditions for admission 条例第二十七条 : 补充证据材料期限为自提交商标异议申请书或答辩书之日起三个月内但是, 在期满后生成或有正当理由未能在期满前提交的证据, 在期满后提交的, 商标局交对方当事人经质证后采信 Article 27 of the Implementing Regulation of the Trademark Law: Supplementary evidential materials shall be submitted within three months from the date an application form for trademark opposition or a statement of defense is flied. However, for evidence which comes into existence after the expiry of the prescribed time limit or evidence which the party fails to submit within the prescribed time limit for good reasons, if it is submitted after the expiry of the prescribed time limit, the Trademark Office may admit such evidence after it is delivered to and cross-examined by the opposing party. 超期证据的效力 : effect of evidence submitted after the expiry of the prescribed time limit: 一般情况下无效 In general: deemed not submitted 期满后生成的 Evidence that comes into existence after the expiry of the prescribed time limit 有正当理由未能提交的 Evidence not submitted within the prescribed time limit for good reasons 有效 deemed submitted 采信的条件 : 交对方当事人并质证 Conditions for admission: delivery to and cross-examination by the opposing party. 修改目的 : 公平对待当事人, 公正审查异议案件 Purpose for amendment: fair treatment to the parties and fair examination of opposition

36 商标局提供的异议申请在线资源 Online resources for the filing of oppositions provided by the Trademark Office 关于商标异议程序的相关申请书式委托书商标公告, 异议期截止日期, 异议案件当前审理状态, 异议审查结果, 异议文件送达公告均可通过访问中国商标网在线获得或在线查询 The form of application, letter of authorization, publication of trademarks, deadline for opposition filing, current status of opposition examination, result of opposition examination, the publication of service of opposition documents in relation to the trademark opposition procedure are available on the Trademark Office website: 网址 : sbj.saic.gov.cn Website:sbj.saic.gov.cn

37 谢谢! Thank you!

Microsoft Word - 0000000673_4.doc

Microsoft Word - 0000000673_4.doc 香港特別行政區政府知識產權署商標註冊處 Trade Marks Registry, Intellectual Property Department The Government of the Hong Kong Special Administrative Region 在註冊申請詳情公布後要求修訂貨品 / 服務說明商標