企業(yè)知識(shí)產(chǎn)權(quán)合規(guī)標(biāo)準(zhǔn)指引（中英文）

企業(yè)知識(shí)產(chǎn)權(quán)合規(guī)標(biāo)準(zhǔn)指引（試行）第一章

總則第一條【制定依據(jù)】

為加強(qiáng)企業(yè)的知識(shí)產(chǎn)權(quán)合規(guī)工作管理，有效防范和化解知識(shí)產(chǎn)權(quán)合規(guī)風(fēng)險(xiǎn)，引導(dǎo)企業(yè)依法合規(guī)經(jīng)營、健康發(fā)展，根據(jù)《關(guān)于建立涉案企業(yè)合規(guī)第三方監(jiān)督評(píng)估機(jī)制的指導(dǎo)意見（試行）》，參照《企業(yè)知識(shí)產(chǎn)權(quán)管理規(guī)范》，結(jié)合企業(yè)合規(guī)改革試點(diǎn)工作經(jīng)驗(yàn)，制定本指引。第二條【制定目的】

企業(yè)知識(shí)產(chǎn)權(quán)合規(guī)風(fēng)險(xiǎn)管理的目標(biāo)是實(shí)現(xiàn)對(duì)知識(shí)產(chǎn)權(quán)合規(guī)風(fēng)險(xiǎn)的有效識(shí)別和管理，確保公司管理和各項(xiàng)經(jīng)營活動(dòng)的合法合規(guī)，推動(dòng)企業(yè)全面加強(qiáng)知識(shí)產(chǎn)權(quán)合規(guī)管理，提升依法合規(guī)經(jīng)營管理水平，保障企業(yè)持續(xù)健康發(fā)展。第三條【合規(guī)風(fēng)險(xiǎn)】

本指引所指的知識(shí)產(chǎn)權(quán)合規(guī)風(fēng)險(xiǎn)，是指企業(yè)及其員工因知識(shí)產(chǎn)權(quán)不合規(guī)行為，引發(fā)法律責(zé)任，造成刑事追責(zé)、經(jīng)濟(jì)或聲譽(yù)損失以及其他負(fù)面影響。涉知識(shí)產(chǎn)權(quán)的法律風(fēng)險(xiǎn)包括但不限于：（一）專利權(quán)法律風(fēng)險(xiǎn)：1.專利許可權(quán)濫用風(fēng)險(xiǎn)、專利申請(qǐng)權(quán)爭議風(fēng)險(xiǎn)、被侵犯專利的風(fēng)險(xiǎn)、被提起專利侵權(quán)訴訟的風(fēng)險(xiǎn)、專利轉(zhuǎn)讓糾紛風(fēng)險(xiǎn)等；2.未能有效開發(fā)和實(shí)施專利的風(fēng)險(xiǎn)、管理不善導(dǎo)致專利失效的風(fēng)險(xiǎn)等。（二）商標(biāo)權(quán)法律風(fēng)險(xiǎn)：1.商標(biāo)申請(qǐng)風(fēng)險(xiǎn)，商標(biāo)未注冊(cè)或被他人搶先注冊(cè)、申請(qǐng)類別不全、重點(diǎn)類別保護(hù)力度不夠、申請(qǐng)的標(biāo)識(shí)不全面;2.商標(biāo)使用風(fēng)險(xiǎn)，申請(qǐng)地域不全、未對(duì)目標(biāo)市場(chǎng)全面布局、對(duì)商品或服務(wù)類別越權(quán)使用或許可他人使用、侵犯他人在先權(quán)利、商標(biāo)使用不規(guī)范使用等。（三）著作權(quán)法律風(fēng)險(xiǎn)：1.職務(wù)作品、委外創(chuàng)作、版權(quán)商的權(quán)屬確定風(fēng)險(xiǎn);2.作品素材侵權(quán)風(fēng)險(xiǎn);3.互聯(lián)網(wǎng)信息網(wǎng)絡(luò)傳播權(quán)侵權(quán);4.許可使用和轉(zhuǎn)讓中的法律風(fēng)險(xiǎn)等。（四）商業(yè)秘密風(fēng)險(xiǎn)：1.被他人盜竊、以間諜或黑客手段竊取;2.內(nèi)部員工被收買;3.對(duì)外宣傳、合作過程中泄露;4.員工離職泄密等。第四條【合規(guī)原則】

企業(yè)知識(shí)產(chǎn)權(quán)合規(guī)體系建設(shè)應(yīng)當(dāng)堅(jiān)持獨(dú)立性、有效性、全面性、動(dòng)態(tài)性和可查性原則：（一）獨(dú)立性原則：合規(guī)職能部門的運(yùn)行不受任何不當(dāng)?shù)母蓴_和壓力；合規(guī)職能部門應(yīng)嚴(yán)格依照法律法規(guī)及企業(yè)相關(guān)制度規(guī)定等對(duì)企業(yè)和員工行為進(jìn)行客觀評(píng)價(jià)和處理；承擔(dān)合規(guī)管理職責(zé)的人員應(yīng)獨(dú)立履行職責(zé)，不受其他部門和人員的干涉。（二）有效性原則：合規(guī)管理制度應(yīng)有效嵌入到經(jīng)營業(yè)務(wù)的具體環(huán)節(jié)當(dāng)中，與法律風(fēng)險(xiǎn)防范、審計(jì)監(jiān)察、內(nèi)控及風(fēng)險(xiǎn)管理等工作相統(tǒng)籌、相銜接，并建立全員合規(guī)責(zé)任制，明確管理人員和各崗位員工的合規(guī)責(zé)任并督促有效落實(shí)，確保合規(guī)管理閉環(huán)。（三）全面性原則：企業(yè)知識(shí)產(chǎn)權(quán)合規(guī)管理的基礎(chǔ)性和關(guān)鍵領(lǐng)域包括專利、商業(yè)秘密、商標(biāo)、著作權(quán)；合規(guī)工作應(yīng)覆蓋業(yè)務(wù)涉及的研發(fā)、生產(chǎn)、銷售、對(duì)外合作、投資推廣、招投標(biāo)及采購等各個(gè)環(huán)節(jié)，貫穿決策、執(zhí)行、監(jiān)督全流程，并確保所有與知識(shí)產(chǎn)權(quán)相關(guān)的業(yè)務(wù)、部門和人員均已納入合規(guī)工作體系。（四）動(dòng)態(tài)性原則：合規(guī)工作應(yīng)與企業(yè)經(jīng)營范圍、組織結(jié)構(gòu)和業(yè)務(wù)規(guī)模相適應(yīng)；合規(guī)工作應(yīng)根據(jù)企業(yè)內(nèi)外部環(huán)境的變化適時(shí)進(jìn)行調(diào)整和完善；企業(yè)經(jīng)營管理中存在的合規(guī)風(fēng)險(xiǎn)問題，要能夠得到及時(shí)反饋、糾正和改進(jìn)。（五）可查證原則：合規(guī)工作應(yīng)有明確的流程規(guī)范作依據(jù)，確保企業(yè)合規(guī)管理有跡可循、有證可查。第五條【合規(guī)體系】

知識(shí)產(chǎn)權(quán)合規(guī)體系的建立應(yīng)當(dāng)涵蓋組織體系、制度體系、運(yùn)行體系、風(fēng)險(xiǎn)識(shí)別處置體系等。第二章

合規(guī)管理組織體系第六條【合規(guī)職責(zé)】

企業(yè)可根據(jù)自身行業(yè)性質(zhì)、經(jīng)營規(guī)模等合理選擇和設(shè)置知識(shí)產(chǎn)權(quán)合規(guī)部門或合規(guī)人員，組織、協(xié)調(diào)和監(jiān)督合規(guī)管理工作，在直接負(fù)責(zé)各項(xiàng)合規(guī)管理工作的同時(shí)為其他部門提供合規(guī)管理支持，并確保其對(duì)涉及重大合規(guī)風(fēng)險(xiǎn)事項(xiàng)的一票否決權(quán)。其具體工作職責(zé)主要包括：（一）研究起草合規(guī)管理計(jì)劃、制定合規(guī)管理制度，組織制訂合規(guī)管理戰(zhàn)略規(guī)劃及合規(guī)管理年度報(bào)告；（二）持續(xù)關(guān)注法律法規(guī)等規(guī)則變化，組織開展合規(guī)風(fēng)險(xiǎn)識(shí)別與預(yù)警；（三）參與企業(yè)重大決策并提出合規(guī)建議和意見，參與企業(yè)重大事項(xiàng)合規(guī)審查和風(fēng)險(xiǎn)應(yīng)對(duì)；（四）參與業(yè)務(wù)部門對(duì)重要商業(yè)伙伴的合規(guī)盡調(diào)和定期評(píng)價(jià)；（五）指導(dǎo)各部門合規(guī)工作落地，并提供合規(guī)咨詢，組織合規(guī)認(rèn)證；（六）組織開展合規(guī)檢查與考核，對(duì)制度和流程進(jìn)行合規(guī)性評(píng)價(jià)，督促違規(guī)整改和持續(xù)改進(jìn)；（七）推動(dòng)合規(guī)責(zé)任納入崗位職責(zé)和員工績效管理；（八）建立合規(guī)績效考核指標(biāo)，監(jiān)控和衡量合規(guī)績效；（九）建立合規(guī)舉報(bào)管理體系，受理合規(guī)管理職責(zé)范圍內(nèi)的舉報(bào)，組織或參與對(duì)舉報(bào)事件的調(diào)查，并提出處理建議；（十）組織或協(xié)助業(yè)務(wù)部門、人力資源部門開展合規(guī)培訓(xùn)；（十一）其他適合由合規(guī)職能部門承擔(dān)的合規(guī)管理職責(zé)。第七條【組織保障】

企業(yè)董事會(huì)、監(jiān)事會(huì)、高級(jí)管理人員應(yīng)當(dāng)履行必要的合規(guī)管理職責(zé)，對(duì)知識(shí)產(chǎn)權(quán)合規(guī)計(jì)劃制定與執(zhí)行給予支持，確保合規(guī)部門（人員）行使職權(quán)的獨(dú)立，保障資源充足。第八條【內(nèi)部配合】企業(yè)各部門在職權(quán)范圍內(nèi)配合落實(shí)合規(guī)管理的日常工作，可在本部門設(shè)置合規(guī)聯(lián)絡(luò)員，進(jìn)行合規(guī)風(fēng)險(xiǎn)信息收集和報(bào)送，配合合規(guī)部門就相關(guān)問題調(diào)查并及時(shí)整改。第三章合規(guī)管理制度體系第九條【合規(guī)審查】

企業(yè)應(yīng)建立健全規(guī)范化的知識(shí)產(chǎn)權(quán)事務(wù)管理和決策流程，將知識(shí)產(chǎn)權(quán)合規(guī)審查作為規(guī)章制度制定、重大事項(xiàng)決策、重要合同簽訂、重大項(xiàng)目運(yùn)營等經(jīng)營管理行為的必經(jīng)程序，及時(shí)對(duì)不合規(guī)的內(nèi)容提出修改建議，未經(jīng)合規(guī)審查不得實(shí)施。第十條【合規(guī)監(jiān)察】

企業(yè)應(yīng)定期對(duì)知識(shí)產(chǎn)權(quán)合規(guī)體系進(jìn)行合規(guī)監(jiān)察，由合規(guī)管理部門人員落實(shí)實(shí)施，并形成合規(guī)監(jiān)察報(bào)告。監(jiān)察內(nèi)容主要包括對(duì)知識(shí)產(chǎn)權(quán)合規(guī)體系運(yùn)行有效性的評(píng)價(jià)和對(duì)知識(shí)產(chǎn)權(quán)合規(guī)績效進(jìn)行評(píng)價(jià)，以確保知識(shí)產(chǎn)權(quán)合規(guī)目標(biāo)的實(shí)現(xiàn)。第十一條【合規(guī)舉報(bào)】

企業(yè)鼓勵(lì)對(duì)潛在或?qū)嶋H存在的違反知識(shí)產(chǎn)權(quán)合規(guī)方針或合規(guī)義務(wù)的行為進(jìn)行舉報(bào)。企業(yè)應(yīng)拓寬合規(guī)績效反饋來源，為相關(guān)人員設(shè)立舉報(bào)機(jī)制、求助熱線、情況反饋、建議箱等，為供應(yīng)商、承包商等第三方設(shè)立投訴處理系統(tǒng)，重點(diǎn)搜集有關(guān)企業(yè)不合規(guī)情況、合規(guī)疑問及對(duì)合規(guī)有效性和合規(guī)績效評(píng)價(jià)等反饋內(nèi)容。第十二條【績效評(píng)價(jià)】

企業(yè)通過設(shè)立科學(xué)的知識(shí)產(chǎn)權(quán)合規(guī)績效考核評(píng)價(jià)指標(biāo)，科學(xué)評(píng)價(jià)各部門合規(guī)工作績效及合規(guī)工作貢獻(xiàn)，把知識(shí)產(chǎn)權(quán)合規(guī)績效考核評(píng)價(jià)納入對(duì)各部門及相關(guān)負(fù)責(zé)人的年度綜合考核，將員工的合規(guī)履職情況作為員工考核、提拔、評(píng)先選優(yōu)等工作的重要依據(jù)。績效評(píng)價(jià)重點(diǎn)圍繞合規(guī)風(fēng)險(xiǎn)特征相關(guān)的指標(biāo)，包括不限于各項(xiàng)合規(guī)制度落實(shí)的主動(dòng)性和有效性、部門人員被有效培訓(xùn)的比例、相關(guān)監(jiān)管機(jī)構(gòu)介入的頻率、因不合規(guī)問題產(chǎn)生的被處罰、賠償、商譽(yù)受損等負(fù)面影響、潛在的不合規(guī)風(fēng)險(xiǎn)、合規(guī)相關(guān)信息的記錄保存情況等。第十三條【不合規(guī)調(diào)查】

企業(yè)應(yīng)建立不合規(guī)的調(diào)查制度，堅(jiān)持公平、公正的調(diào)查原則，及時(shí)、徹底地調(diào)查對(duì)本企業(yè)及員工或有關(guān)第三方不當(dāng)行為的任何指控或懷疑。調(diào)查企業(yè)的應(yīng)對(duì)性文件、采取的一切紀(jì)律或補(bǔ)救措施，以及在吸取經(jīng)驗(yàn)教訓(xùn)后對(duì)知識(shí)產(chǎn)權(quán)合規(guī)管理體系的修訂。查明不當(dāng)行為的根源、知識(shí)產(chǎn)權(quán)合規(guī)管理體系的漏洞和責(zé)任缺失的原因，包括管理者、最高管理層和治理機(jī)構(gòu)的行為、職責(zé)。對(duì)查明的原因進(jìn)行審慎分析，分析應(yīng)考慮企業(yè)人員的數(shù)量、水平，以及不合規(guī)的程度、普遍性、嚴(yán)重性、持續(xù)時(shí)間和頻率等因素。第十四條【文件信息化管理】

企業(yè)應(yīng)建立文件信息化管理制度，確保對(duì)企業(yè)管理中形成的相關(guān)知識(shí)產(chǎn)權(quán)的重要過程予以記錄、標(biāo)識(shí)、貯存、保護(hù)、檢索、保存和處置；對(duì)行政決定、司法判決、律師函等外來文件進(jìn)行有效管理，確保其來源與取得時(shí)間的準(zhǔn)確性。外來文件和記錄文件應(yīng)當(dāng)完整，明確保管方式和保存期限。文件管理體系的載體，不限于紙質(zhì)文件，也包括電子文件。第十五條【資源配置】

企業(yè)可以根據(jù)自身情況，設(shè)立知識(shí)產(chǎn)權(quán)經(jīng)常性預(yù)算科目，保障知識(shí)產(chǎn)權(quán)合規(guī)管理工作的正常進(jìn)行，經(jīng)費(fèi)項(xiàng)目科包括：用于知識(shí)產(chǎn)權(quán)申請(qǐng)、注冊(cè)、登記、維護(hù)、檢索、分析、評(píng)估、訴訟和培訓(xùn)等費(fèi)用；用于知識(shí)產(chǎn)權(quán)合規(guī)管理機(jī)構(gòu)的運(yùn)行費(fèi)用；用于知識(shí)產(chǎn)權(quán)合規(guī)管理體系建立、運(yùn)行、維護(hù)和更新的費(fèi)用；用于知識(shí)產(chǎn)權(quán)激勵(lì)的費(fèi)用。有條件的企業(yè)可設(shè)立知識(shí)產(chǎn)權(quán)風(fēng)險(xiǎn)準(zhǔn)備金。第十六條【保密管理】企業(yè)應(yīng)建立保密管理制度，明確涉密人員，設(shè)定保密登記和接觸權(quán)限,對(duì)容易造成企業(yè)知識(shí)產(chǎn)權(quán)秘密流失的設(shè)備，規(guī)范其使用人員、目的、方式和流通;明確涉密信息范圍，規(guī)定保密等級(jí)、期限和傳遞、保存及銷毀的要求;明確涉密區(qū)域，規(guī)定客戶及參訪人員活動(dòng)范圍等。第十七條【合規(guī)文化】

企業(yè)應(yīng)建立對(duì)技術(shù)人員、知識(shí)產(chǎn)權(quán)管理人員、全體員工分層級(jí)合規(guī)培訓(xùn)制度。從增強(qiáng)知識(shí)產(chǎn)權(quán)保護(hù)意識(shí)、知識(shí)產(chǎn)權(quán)價(jià)值觀、營造崇尚創(chuàng)新尊重知識(shí)產(chǎn)權(quán)的氛圍、重視知識(shí)產(chǎn)權(quán)宣傳教育等方式進(jìn)行知識(shí)產(chǎn)權(quán)文化的建設(shè);結(jié)合知識(shí)產(chǎn)權(quán)管理制度建設(shè)和人才建設(shè)，構(gòu)建有利于調(diào)動(dòng)企業(yè)員工知識(shí)產(chǎn)權(quán)工作積極性的激勵(lì)機(jī)制，樹立尊重和保護(hù)知識(shí)產(chǎn)權(quán)的企業(yè)形象。第四章合規(guī)管理運(yùn)行體系第十八條【獲取合規(guī)】

企業(yè)應(yīng)及時(shí)申請(qǐng)注冊(cè)登記各類知識(shí)產(chǎn)權(quán)，明確有關(guān)專利申請(qǐng)、集成電路布圖設(shè)計(jì)登記、商標(biāo)注冊(cè)、著作權(quán)登記、商業(yè)秘密保護(hù)等知識(shí)產(chǎn)權(quán)獲取及其后續(xù)維護(hù)或主動(dòng)放棄的管理措施和工作程序。第十九條【維護(hù)合規(guī)】

企業(yè)應(yīng)明晰處置和運(yùn)營知識(shí)產(chǎn)權(quán)管理規(guī)定，明確職務(wù)發(fā)明成果的界定條件以及委托或合作開發(fā)成果知識(shí)產(chǎn)權(quán)歸屬的處置原則，明確有關(guān)專利權(quán)、商標(biāo)權(quán)、著作權(quán)等知識(shí)產(chǎn)權(quán)轉(zhuǎn)讓、許可、投資、質(zhì)押的管理措施和工作程序。第二十條【運(yùn)用合規(guī)】

企業(yè)應(yīng)注重生產(chǎn)經(jīng)營環(huán)節(jié)知識(shí)產(chǎn)權(quán)管理，明確在原材料及設(shè)備采購(包括軟件等)、技術(shù)和產(chǎn)品開發(fā)、技術(shù)轉(zhuǎn)讓(許可)與合作、委托加工、產(chǎn)品銷售、廣告宣傳或展銷、招投標(biāo)、進(jìn)出口貿(mào)易、企業(yè)合資及并購和上市等環(huán)節(jié)中所可能涉及的各類知識(shí)產(chǎn)權(quán)事務(wù)的管理措施和工作程序：（一）企業(yè)采購活動(dòng)中的知識(shí)產(chǎn)權(quán)管理。企業(yè)應(yīng)收集相關(guān)知識(shí)產(chǎn)權(quán)信息，必要時(shí)應(yīng)要求供方提供權(quán)屬證明；做好供方信息、進(jìn)貨渠道、進(jìn)價(jià)策略等信息資料的管理和保密工作；在采購合同中應(yīng)明確知識(shí)產(chǎn)權(quán)權(quán)屬、許可使用范圍、侵權(quán)責(zé)任承擔(dān)等內(nèi)容。（二）企業(yè)生產(chǎn)活動(dòng)中的知識(shí)產(chǎn)權(quán)管理。注意發(fā)現(xiàn)有知識(shí)產(chǎn)權(quán)價(jià)值的創(chuàng)新成果，及時(shí)采取相應(yīng)的知識(shí)產(chǎn)權(quán)保護(hù)措施；對(duì)于生產(chǎn)過程中不宜對(duì)外公開的操作規(guī)程、各種報(bào)表和試驗(yàn)記錄、檢驗(yàn)檢測(cè)記錄等，應(yīng)建立相應(yīng)的保密制度，采取相應(yīng)的保密措施；承攬委托加工、來料加工、貼牌生產(chǎn)等加工業(yè)務(wù)時(shí)，注意規(guī)避對(duì)外加工業(yè)務(wù)中的知識(shí)產(chǎn)權(quán)風(fēng)險(xiǎn)，明確雙方知識(shí)產(chǎn)權(quán)權(quán)利義務(wù)、保密責(zé)任。（三）企業(yè)研發(fā)活動(dòng)中的知識(shí)產(chǎn)權(quán)管理。建立研發(fā)活動(dòng)的知識(shí)產(chǎn)權(quán)跟蹤檢索分析與監(jiān)控制度；明確對(duì)研發(fā)成果的知識(shí)產(chǎn)權(quán)歸屬管理；加強(qiáng)對(duì)研發(fā)活動(dòng)的檔案和保密管理，建立技術(shù)研發(fā)檔案、記錄管理制度，確保研發(fā)活動(dòng)具有可追溯性；加強(qiáng)對(duì)研發(fā)成果申請(qǐng)專利的挖掘與質(zhì)量的管控。（四）企業(yè)營銷活動(dòng)的知識(shí)產(chǎn)權(quán)管理。對(duì)產(chǎn)品即將投放的市場(chǎng)進(jìn)行同類產(chǎn)品知識(shí)產(chǎn)權(quán)狀況的調(diào)查分析，防止遭遇知識(shí)產(chǎn)權(quán)侵權(quán)指控；正確使用注冊(cè)商標(biāo)或?qū)＠?hào)等知識(shí)產(chǎn)權(quán)標(biāo)志，對(duì)消費(fèi)者和有關(guān)市場(chǎng)主體進(jìn)行必要提醒；建立產(chǎn)品銷售市場(chǎng)監(jiān)控機(jī)制，多渠道地監(jiān)控同類產(chǎn)品的市場(chǎng)情況；對(duì)發(fā)現(xiàn)侵權(quán)的，應(yīng)當(dāng)進(jìn)行重點(diǎn)信息收集，必要情況時(shí)進(jìn)行公證。第二十一條【上市審查】企業(yè)上市前，應(yīng)對(duì)已有的無形資產(chǎn)的法律狀態(tài)、存續(xù)年限、法律風(fēng)險(xiǎn)等進(jìn)行整體的評(píng)估與規(guī)劃；對(duì)上市公司準(zhǔn)備使用的無形資產(chǎn)的權(quán)屬和法律狀態(tài)以及招股說明書中的相關(guān)內(nèi)容進(jìn)行審查；完整地披露知識(shí)產(chǎn)權(quán)獲取、喪失、轉(zhuǎn)讓等信息。第二十二條【涉外業(yè)務(wù)】

企業(yè)應(yīng)積極開展涉外業(yè)務(wù)中的知識(shí)產(chǎn)權(quán)布局；對(duì)擬引進(jìn)的技術(shù)或者產(chǎn)品的相關(guān)知識(shí)產(chǎn)權(quán)狀況進(jìn)行調(diào)查分析，并對(duì)侵權(quán)風(fēng)險(xiǎn)進(jìn)行綜合評(píng)估；簽訂技術(shù)或產(chǎn)品引進(jìn)合同、輸出合同(包括代理合同)應(yīng)明確技術(shù)或產(chǎn)品引進(jìn)的許可方式和范圍、后續(xù)改進(jìn)成果的歸屬和分享、權(quán)利維護(hù)、雙方的保密責(zé)任和義務(wù)、引進(jìn)技術(shù)或產(chǎn)品發(fā)生知識(shí)產(chǎn)權(quán)侵權(quán)時(shí)供方應(yīng)承擔(dān)的法律責(zé)任等內(nèi)容。第五章

合規(guī)風(fēng)險(xiǎn)識(shí)別處置體系第二十三條【識(shí)別與預(yù)警】

企業(yè)應(yīng)通過完善合規(guī)風(fēng)險(xiǎn)信息收集機(jī)制，全面系統(tǒng)梳理企業(yè)經(jīng)營活動(dòng)中可能存在的合規(guī)風(fēng)險(xiǎn)，建立合規(guī)風(fēng)險(xiǎn)臺(tái)賬，對(duì)風(fēng)險(xiǎn)源、風(fēng)險(xiǎn)類別、風(fēng)險(xiǎn)形成因素、可能發(fā)生的后果及發(fā)生的概率等展開系統(tǒng)分析，對(duì)有典型意義、普遍存在的以及可能造成嚴(yán)重后果的風(fēng)險(xiǎn)應(yīng)及時(shí)發(fā)布預(yù)警。第二十四條【風(fēng)險(xiǎn)檢查】

企業(yè)應(yīng)由合規(guī)管理部門人員牽頭，負(fù)責(zé)組織、協(xié)調(diào)企業(yè)各項(xiàng)合規(guī)檢查工作，可抽調(diào)相關(guān)部門人員共同組成檢查組，根據(jù)企業(yè)業(yè)務(wù)情況定期開展合規(guī)風(fēng)險(xiǎn)檢查。針對(duì)檢查發(fā)現(xiàn)的合規(guī)風(fēng)險(xiǎn)，合規(guī)檢查組應(yīng)提出整改建議，各部門提出具體解決方案，解決方案經(jīng)合規(guī)檢查組確認(rèn)后，由合規(guī)管理機(jī)構(gòu)督促各部門積極落實(shí)整改方案。第二十五條【風(fēng)險(xiǎn)分級(jí)】

企業(yè)可對(duì)所識(shí)別的知識(shí)產(chǎn)權(quán)合規(guī)風(fēng)險(xiǎn)分為三類：重大知識(shí)產(chǎn)權(quán)風(fēng)險(xiǎn)、中等知識(shí)產(chǎn)權(quán)風(fēng)險(xiǎn)、一般知識(shí)產(chǎn)權(quán)風(fēng)險(xiǎn)。（一）重大知識(shí)產(chǎn)權(quán)風(fēng)險(xiǎn)包括：法律、規(guī)則、準(zhǔn)則以及地方法治環(huán)境的重大變化對(duì)經(jīng)營活動(dòng)產(chǎn)生的知識(shí)產(chǎn)權(quán)風(fēng)險(xiǎn)；監(jiān)管機(jī)構(gòu)出具的各類處罰決定、監(jiān)管意見、風(fēng)險(xiǎn)提示等情況；向監(jiān)管機(jī)構(gòu)報(bào)送證明性材料、專項(xiàng)匯報(bào)材料、監(jiān)管意見落實(shí)整改情況、各類合規(guī)材料等相關(guān)情況；業(yè)務(wù)開展過程中存在的違反法律、規(guī)則和準(zhǔn)則的重大知識(shí)產(chǎn)權(quán)風(fēng)險(xiǎn)信息；各類制度文件中存在的不符合法律、規(guī)則和準(zhǔn)則要求的情況；因知識(shí)產(chǎn)權(quán)合規(guī)問題導(dǎo)致企業(yè)被訴的情況；其他應(yīng)被確定為重要合規(guī)風(fēng)險(xiǎn)的事項(xiàng)。（二）中等知識(shí)產(chǎn)權(quán)風(fēng)險(xiǎn)包括：企業(yè)經(jīng)營活動(dòng)中新出現(xiàn)的知識(shí)產(chǎn)權(quán)風(fēng)險(xiǎn)或原有風(fēng)險(xiǎn)的變化；既定合規(guī)風(fēng)險(xiǎn)應(yīng)對(duì)方案執(zhí)行情況及執(zhí)行效果發(fā)生變化，不能全部達(dá)到原來目標(biāo)；對(duì)企業(yè)經(jīng)營可能存在一定影響，但影響較小或未來造成直接損失較小；其他可以被認(rèn)定為中等合規(guī)風(fēng)險(xiǎn)的事項(xiàng)。（三）除上述重要知識(shí)產(chǎn)權(quán)風(fēng)險(xiǎn)、中等知識(shí)產(chǎn)權(quán)風(fēng)險(xiǎn)外，企業(yè)對(duì)推動(dòng)知識(shí)產(chǎn)權(quán)合規(guī)管理、提升依法合規(guī)經(jīng)營管理水平、保障公司持續(xù)健康發(fā)展影響較小，需要通過加強(qiáng)管理等方式進(jìn)行完善的事項(xiàng)，作為一般知識(shí)產(chǎn)權(quán)風(fēng)險(xiǎn)事項(xiàng)進(jìn)行管理。第二十六條【風(fēng)險(xiǎn)應(yīng)對(duì)】

企業(yè)應(yīng)根據(jù)不同的合規(guī)風(fēng)險(xiǎn)類型制定和選擇知識(shí)產(chǎn)權(quán)風(fēng)險(xiǎn)應(yīng)對(duì)方案，應(yīng)對(duì)方案應(yīng)包括總體方案和專項(xiàng)方案。對(duì)重大風(fēng)險(xiǎn)事項(xiàng)，企業(yè)合規(guī)管理部門和各部門應(yīng)共同研究出臺(tái)具體整改方案，明確整改主體、具體責(zé)任人、整改時(shí)間節(jié)點(diǎn)等具體要求，合規(guī)管理部門以月為時(shí)間節(jié)點(diǎn)統(tǒng)計(jì)整改完成情況，并及時(shí)向企業(yè)決策層領(lǐng)導(dǎo)匯報(bào)。第二十七條【問責(zé)機(jī)制】企業(yè)根據(jù)自身情況制定合規(guī)風(fēng)險(xiǎn)問責(zé)，對(duì)知識(shí)產(chǎn)權(quán)合規(guī)績效目標(biāo)、績效獎(jiǎng)金和其他激勵(lì)措施進(jìn)行定期評(píng)審，以驗(yàn)證是否有適當(dāng)?shù)拇胧﹣矸乐共缓弦?guī)行為；對(duì)違反企業(yè)知識(shí)產(chǎn)權(quán)合規(guī)義務(wù)、目標(biāo)、制度和要求的人員，進(jìn)行適當(dāng)?shù)募o(jì)律處分，必要時(shí)追究相關(guān)責(zé)任。第六章第三方監(jiān)督評(píng)估體系第二十八條【設(shè)計(jì)評(píng)估】

合規(guī)管理體系設(shè)計(jì)的有效性評(píng)估和審查標(biāo)準(zhǔn)主要有：（一）違規(guī)風(fēng)險(xiǎn)的識(shí)別和評(píng)估：1.是否定期組織合規(guī)管理部門（人員），對(duì)可能面臨的知識(shí)產(chǎn)權(quán)合規(guī)風(fēng)險(xiǎn)進(jìn)行全面評(píng)估，重點(diǎn)識(shí)別在知識(shí)產(chǎn)權(quán)研發(fā)、采購、生產(chǎn)、營銷等生產(chǎn)經(jīng)營各階段的風(fēng)險(xiǎn)；2.是否根據(jù)風(fēng)險(xiǎn)識(shí)別和評(píng)估確定的合規(guī)管理重點(diǎn)問題，發(fā)展與可能面臨的知識(shí)產(chǎn)權(quán)合規(guī)風(fēng)險(xiǎn)相匹配的風(fēng)險(xiǎn)控制和處理能力；3.是否定期更新企業(yè)風(fēng)險(xiǎn)評(píng)估制度，及時(shí)識(shí)別和評(píng)估原有風(fēng)險(xiǎn)的新變化及新產(chǎn)生的風(fēng)險(xiǎn)。（二）政策和程序安排：1.是否根據(jù)企業(yè)的合規(guī)風(fēng)險(xiǎn)、業(yè)務(wù)范圍、規(guī)模等，制定知識(shí)產(chǎn)權(quán)合規(guī)管理相關(guān)制度，對(duì)各個(gè)環(huán)節(jié)進(jìn)行規(guī)范化管理；2.是否明確相關(guān)制度的執(zhí)行標(biāo)準(zhǔn)，明確責(zé)任主體和責(zé)任內(nèi)容；3.是否對(duì)知識(shí)產(chǎn)權(quán)合規(guī)獲取、維護(hù)、運(yùn)用等重點(diǎn)環(huán)節(jié)建立合規(guī)管理運(yùn)行機(jī)制，防控可能產(chǎn)生的風(fēng)險(xiǎn)。（三）培訓(xùn)和溝通安排：1.是否建立合規(guī)培訓(xùn)制度，定期組織開展有針對(duì)性的知識(shí)產(chǎn)權(quán)合規(guī)學(xué)習(xí)培訓(xùn)，確保員工充分認(rèn)識(shí)到知識(shí)產(chǎn)權(quán)合規(guī)重要性、掌握崗位知識(shí)產(chǎn)權(quán)專業(yè)技能，通過培訓(xùn)提升各層級(jí)的知識(shí)產(chǎn)權(quán)業(yè)務(wù)能力；2.是否建立知識(shí)產(chǎn)權(quán)及其合規(guī)管理的內(nèi)部及外部溝通渠道，并將知識(shí)產(chǎn)權(quán)合規(guī)文化、合規(guī)目標(biāo)及合規(guī)業(yè)務(wù)納入溝通內(nèi)容，確保及時(shí)收集和反饋相關(guān)信息。（四）舉報(bào)和調(diào)查機(jī)制：1.是否建立知識(shí)產(chǎn)權(quán)合規(guī)舉報(bào)及調(diào)查管理辦法，是否對(duì)重點(diǎn)風(fēng)險(xiǎn)崗位人員建立專門檢查制度；2.是否以公開方式設(shè)置舉報(bào)途徑，是否確保所有人員了解舉報(bào)程序并能夠流暢使用相關(guān)舉報(bào)程序；3.是否建立不合規(guī)調(diào)查程序，確保及時(shí)、徹底地調(diào)查不合規(guī)行為及其原因。（五）執(zhí)行和保障機(jī)構(gòu)：1.是否設(shè)立知識(shí)產(chǎn)權(quán)合規(guī)管理部門及合規(guī)人員，作為企業(yè)合規(guī)管理牽頭部門，組織、協(xié)調(diào)和監(jiān)督管理工作；2.是否明確企業(yè)審計(jì)、監(jiān)察、內(nèi)控、質(zhì)量、安全及各業(yè)務(wù)部門在各自職權(quán)范圍內(nèi)配合落實(shí)知識(shí)產(chǎn)權(quán)合規(guī)管理的日常工作；3.是否在確定企業(yè)知識(shí)產(chǎn)權(quán)合規(guī)相關(guān)人員時(shí)，要求具備相應(yīng)的專業(yè)資質(zhì)、良好的業(yè)務(wù)素質(zhì)及職業(yè)操守。（六）第三方監(jiān)管機(jī)制：1.是否定期對(duì)知識(shí)產(chǎn)權(quán)合規(guī)體系進(jìn)行合規(guī)監(jiān)察并形成合規(guī)監(jiān)察報(bào)告，重點(diǎn)評(píng)價(jià)知識(shí)產(chǎn)權(quán)合規(guī)體系運(yùn)行的有效性，以確保知識(shí)產(chǎn)權(quán)合規(guī)目標(biāo)的實(shí)現(xiàn)；2.是否在必要時(shí)聘請(qǐng)第三方機(jī)構(gòu)，對(duì)企業(yè)知識(shí)產(chǎn)權(quán)合規(guī)體系及合規(guī)風(fēng)險(xiǎn)管理有效性進(jìn)行評(píng)估，并出具評(píng)估報(bào)告。第二十九條【執(zhí)行評(píng)估】

合規(guī)管理體系執(zhí)行的有效性評(píng)估和審查標(biāo)準(zhǔn)主要有：（一）資源配置：1.企業(yè)是否為知識(shí)產(chǎn)權(quán)合規(guī)管理配套相關(guān)基礎(chǔ)設(shè)施，將遵守企業(yè)知識(shí)產(chǎn)權(quán)合規(guī)業(yè)務(wù)、制度及要求作為人員的雇傭條件，配置相應(yīng)人員；2.是否設(shè)立知識(shí)產(chǎn)權(quán)經(jīng)常性預(yù)算科目，包括用于知識(shí)產(chǎn)權(quán)申請(qǐng)、注冊(cè)、登記、維持、分析、評(píng)估、訴訟、培訓(xùn)、管理體系運(yùn)行、維護(hù)及更新等費(fèi)用，保障知識(shí)產(chǎn)權(quán)合規(guī)管理工作正常進(jìn)行。（二）職責(zé)權(quán)限：1.是否明確知識(shí)產(chǎn)權(quán)合規(guī)管理部門及合規(guī)人員的崗位職責(zé)；2.是否明確企業(yè)董事會(huì)、監(jiān)事會(huì)、高級(jí)管理人員應(yīng)當(dāng)履行的必要合規(guī)管理職責(zé)；3.是否明確企業(yè)各部門配合落實(shí)知識(shí)產(chǎn)權(quán)合規(guī)管理的日常工作的職責(zé)及溝通程序。（三）合規(guī)意識(shí)：1.企業(yè)管理層及責(zé)任人員是否具有知識(shí)產(chǎn)權(quán)合規(guī)意識(shí)，是否熟悉知識(shí)產(chǎn)權(quán)領(lǐng)域的法律法規(guī)，是否將知識(shí)產(chǎn)權(quán)合規(guī)工作列入公司管理、考核重點(diǎn)專項(xiàng)工作；2.企業(yè)員工是否具備知識(shí)產(chǎn)權(quán)合規(guī)基本意識(shí)，是否了解并遵守企業(yè)知識(shí)產(chǎn)權(quán)合規(guī)業(yè)務(wù)、制度及要求。（四）合規(guī)管理能力：1.企業(yè)知識(shí)產(chǎn)權(quán)合規(guī)管理相關(guān)制度是否能夠有效運(yùn)行，知識(shí)產(chǎn)權(quán)合規(guī)重點(diǎn)環(huán)節(jié)的合規(guī)管理運(yùn)行機(jī)制根是否運(yùn)行流暢；2.是否制定知識(shí)產(chǎn)權(quán)合同管理制度，嚴(yán)格對(duì)合同有關(guān)知識(shí)產(chǎn)權(quán)約定進(jìn)行審查，包括明確知識(shí)產(chǎn)權(quán)歸屬、保密業(yè)務(wù)、侵權(quán)風(fēng)險(xiǎn)預(yù)案等；3.是否加強(qiáng)對(duì)第三方合作企業(yè)的合規(guī)審查及風(fēng)險(xiǎn)防控，包括審查第三方資質(zhì)、是否存在知識(shí)產(chǎn)權(quán)瑕疵、要求提供不侵犯知識(shí)產(chǎn)權(quán)承諾等。（五）獎(jiǎng)懲機(jī)制：1.是否建立科學(xué)的知識(shí)產(chǎn)權(quán)合規(guī)績效考評(píng)指標(biāo)，圍繞合規(guī)風(fēng)險(xiǎn)特征相關(guān)指標(biāo)對(duì)員工進(jìn)行考核；2.是否建立并實(shí)施相關(guān)激勵(lì)流程，調(diào)動(dòng)員工進(jìn)行知識(shí)產(chǎn)權(quán)創(chuàng)新及合規(guī)管理的積極性；3.是否對(duì)違反企業(yè)知識(shí)產(chǎn)權(quán)合規(guī)義務(wù)、目標(biāo)、制度和要求的相關(guān)人員進(jìn)行必要的處分。（六）文件化信息管理：是否將知識(shí)產(chǎn)權(quán)合規(guī)管理過程中的各項(xiàng)要素創(chuàng)建為文件化信息，建立知識(shí)產(chǎn)權(quán)信息數(shù)據(jù)庫，并有效維護(hù)和及時(shí)更新。第三十條【質(zhì)效評(píng)估】

合規(guī)管理體系效果的有效性評(píng)估和審查標(biāo)準(zhǔn)主要有：（一）合規(guī)文化：1.是否將經(jīng)營活動(dòng)各環(huán)節(jié)相關(guān)的知識(shí)產(chǎn)權(quán)風(fēng)險(xiǎn)管理要求通過流程、制度、合同以及培訓(xùn)、會(huì)議等溝通方式向企業(yè)員工進(jìn)行宣傳、推廣，將知識(shí)產(chǎn)權(quán)風(fēng)險(xiǎn)管理理念及企業(yè)合規(guī)價(jià)值觀根植于經(jīng)營活動(dòng)中，營造企業(yè)知識(shí)產(chǎn)權(quán)合規(guī)文化；2.是否構(gòu)建有利于調(diào)動(dòng)員工積極性的激勵(lì)機(jī)制，樹立尊重和保護(hù)知識(shí)產(chǎn)權(quán)的企業(yè)形象。（二）合規(guī)目標(biāo)：1.企業(yè)所有的知識(shí)產(chǎn)權(quán)經(jīng)營活動(dòng)是否滿足合規(guī)目標(biāo)、符合合規(guī)要求；2.實(shí)現(xiàn)企業(yè)合規(guī)目標(biāo)的資源配置是否完善，是否有明確的時(shí)間安排及細(xì)化流程；3.是否定期監(jiān)督、檢查、記錄、評(píng)估合規(guī)目標(biāo)的進(jìn)度并進(jìn)行及時(shí)更新調(diào)整。（三）可持續(xù)發(fā)展能力：1.是否根據(jù)知識(shí)產(chǎn)權(quán)相關(guān)法律規(guī)范的調(diào)整，及時(shí)調(diào)整企業(yè)的知識(shí)產(chǎn)權(quán)合規(guī)管理體系，確保其保持最新狀態(tài)，適應(yīng)企業(yè)的知識(shí)產(chǎn)權(quán)合規(guī)目標(biāo)；2.是否定期開展知識(shí)產(chǎn)權(quán)風(fēng)險(xiǎn)內(nèi)部監(jiān)察，針對(duì)發(fā)現(xiàn)的合規(guī)風(fēng)險(xiǎn)，及時(shí)提出具體解決方案并積極落實(shí)整改。（四）違規(guī)事件及其處理：1.發(fā)現(xiàn)違規(guī)事件時(shí)，企業(yè)是否及時(shí)采取措施控制并糾正，分析違規(guī)事件產(chǎn)生的原因；2.是否針對(duì)違規(guī)事件反映的管理問題及時(shí)進(jìn)行改進(jìn)和彌補(bǔ)管理漏洞，包括改進(jìn)業(yè)務(wù)流程、重新培訓(xùn)員工、加強(qiáng)預(yù)警機(jī)制等；3.是否向內(nèi)部和外部通報(bào)違規(guī)事件相關(guān)情況，保留文件化信息。GuidelinesforEnterpriseCompliancewithIntellectualPropertyRights(ForTrialImplementation)ChapterIGeneralRulesArticle1[FormulationBasis]TheGuidelinesareformulatedinaccordancewith“TheGuidingOpinionsonEstablishmentofaThird-partySupervisionandEvaluationMechanismfortheComplianceofEnterprisesInvolvedinCriminalCases(forTrailImplementation)”,the“SpecificationsfortheAdministrationofIntellectualPropertyRightsofEnterprises”andthepilotworkingexperienceonenterprisecompliancereforms,forthepurposesofenhancingenterprises’compliancemanagementworkforintellectualpropertyrights,guardingagainstanddefusecompliancerisksrelatedtointellectualpropertyrights,andguidingenterprisestooperateincompliancewithrelevantlawandregulatoryrequirementsaswellastodevelophealthily.Article2[Purpose]Thepurposesofcompliancemanagementforintellectualpropertyrightsofenterprisesaretoeffectivelyidentifyandmanagecompliancerisksrelatedtointellectualpropertyrights,ensuringthatmanagementofenterprisesandotherbusinessactivitiesconformstorelevantlawsandregulatoryrequirements;andtopromoteenterprisestocomprehensivelyenhancetheircompliancemanagementonintellectualpropertyrights,advancetheirlawfulbusinessmanagementlevel,andguaranteethesustainableandhealthydevelopmentofenterprises.Article3[ComplianceRisks]The“compliancerisksrelatedtointellectualpropertyrights”thisGuidelinesreferredto,arelegalresponsibilities,criminalcharges,financialorreputationallossesoranyothernegativeinfluencesresultedfromenterprises’oritsemployees’non-complianceactions.Thelegalrisksconcerningintellectualpropertyrightsincludebutnotlimitedto:(1)RisksofPatentRights:1.risksrelatedtopatentlicenseabuses,therightofpatentapplicationdisputes,patentbeinginfringed,beinginvolvedinpatentinfringementlawsuit,andpatenttransferdisputes;2.risksinfailingtoeffectivelydevelopandimplementpatent,andpoormanagementcausinginvalidityofpatent,etc.(2)RisksofTrademarks:1.risksintheapplicationfortrademarks:trademarknotregisteredorpre-registeredbyothers,incompleteregisteredcategories,insufficientprotectionofkeycategories,incompleteapplicationformarks;2.risksintheimplementationoftrademarks:incompleteapplicationforterritoriesthatregisteredtrademarkscanbeusedwithin,failuretomakeoverallarrangementsfortargetmarkets,usingorlicensingotherstousetheregisteredtrademarkbeyondthelicensedcategoryofthegoodsorservices,infringementofothers’priorrights,non-standardizeduseoftrademarks,etc.(3)RisksofCopyrights:1.risksrelatedtoserviceworks,commissionedworks,andtheconfirmationofcorporates’copyrightsthereof;2.risksofworks’materialinfringements;3.rightofdisseminationviainformationnetworksinfringements;4.legalrisksinthelicenseduseandtransferofcopyrights,etc.(4)RisksofTradeSecrets:1.risksoftradesecretsbeingacquiredbyothersviatheft,spyingorhacking;2.risksofinternalemployeesbeingboughtoff;3.risksoftradesecretsleakageinthecourseofexternaldisseminationsandcollaborations;4.risksofemployees’disclosureoftradesecretsafterleavingoffice,etc.Article4[CompliancePrinciples]Theestablishmentofenterprisecompliancesystemforintellectualpropertyrightsshouldadheretotheprinciplesofindependence,effectiveness,comprehensiveness,dynamismandtraceability:(1)Independence:Theoperationofcompliancemanagementdepartmentshallbefreefromanyundueinterferenceandpressure;thecompliancemanagementdepartmentshallobjectivelyevaluateandhandletheactsofenterprisesanditsemployeesinstrictaccordancewithlawsandregulationsaswellasrelevantrulesoftheenterprises;thepersonnelwhoundertakecompliancemanagementresponsibilitiesshallperformitsdutiesindependentlywithoutanyinterferencefromotherdepartmentsandpersonnel.(2)Effectiveness:Thecompliancemanagementsystemshallbeeffectivelyembeddedinthespecificprocessesofbusinessoperation,beintegratedandconnectedwithlegalrisksprevention,auditandsupervision,internalcontrolandrisksmanagement,etc.Acomplianceresponsibilitysystem,whichspecifiesthecomplianceresponsibilitiesofmanagersandemployeesforeachpositionandsupervisestheireffectiveimplementation,shallbeestablishedforallemployeestoensureaclosedloopofcompliancemanagement.(3)Comprehensiveness:Thebasicandkeyareasofenterprisecompliancemanagementforintellectualpropertyrightsincludepatents,tradesecrets,trademarksandcopyrights;thecomplianceworkshallcoverallbusinessactivitiessuchasresearchanddevelopment,production,sales,cooperation,investmentandmarketing,biding,andprocurement,etc.,runthroughthewholeprocessofdecision-making,executionandsupervision,andguaranteetheinclusionofallintellectualpropertyrights-relatedbusinesses,departmentsandpersonnelinthecompliancesystem.(4)Dynamism:Thecomplianceworkshallbecompatiblewiththebusinessscopeoftheenterprise,itsorganizationalstructureandbusinessscale;timelyadjustmentsandimprovementsshallbemadetothecomplianceworkaccordingtotheinternalandexternalenvironmentchangesoftheenterprise;thecompliancerisksexistinthebusinessmanagementshallbereported,correctedandimprovedintime.(5)Traceability:Thecomplianceworkshallhaveclearproceduralinstructionstoactupon,soastoensurethecompliancemanagementoftheenterprisecanbetraceableandprovable.Article5[ComplianceManagementSystem]Theestablishmentofacompliancesystemforintellectualpropertyrightsshallincludeorganizationalsystem,institutionalsystem,operatingsystem,risksidentificationandhandlingsystem,etc.ChapterIIComplianceManagementOrganizationalSystemArticle6[ComplianceResponsibility]Inlightofitsbusinessnatureandscales,enterprisesmayreasonablyselectandappointintellectualpropertyrightscompliancemanagementdepartmentorpersonnel,whichcanorganize,coordinateandsuperviseenterprises’compliancemanagementwork,takedirectresponsibilitiesforcompliancemanagementaswellassimultaneouslysupportotherdepartmentsforcompliancemanagement.Enterprisesmayguaranteesuchdepartmentorpersonnel’svetopowerformattersinvolvingsignificantcompliancerisks.Theirdutiesmainlyinclude:(1)Researchinganddraftingcompliancemanagementplans,makingcompliancemanagementrules,organizingthedevelopmentofstrategicplansandannualreportsofcompliancemanagement;(2)Payingcontinuousattentiontochangesinlaws,regulationsandotherrules,andorganizingtheidentificationandearlywarningofcompliancerisk;(3)Participatingintheenterprises’majordecisions-making,providingcompliancesuggestionsandopinions,andtakingpartincompliancereviewsandriskmanagementontheenterprises’materialmatters;(4)Participatinginthebusinesssections’duediligenceandperiodicevaluationforvitalbusinesspartners;(5)Instructingtheimplementationofcomplianceworkineachdepartment,providingcomplianceconsulting,andorganizingcompliancecertification;(6)Organizingcomplianceinspectionandassessment,conductingcomplianceevaluationoverrulesandprocedures,andurgingcorrectiveactionsandcontinuousimprovementsovernon-compliance;(7)Promotingtheintegrationofcomplianceresponsibilitiesintojobdutiesandemployee’sperformancemanagement;(8)Establishingcomplianceperformancereviewindicators,monitoringandmeasuringcomplianceperformance;(9)Establishingcompliancereportingmanagementsystem,acceptingreportswithinthescopeofcompliancemanagementduties,organizingorparticipatingintheinvestigationofreportedincidents,andofferingsuggestionsforhandling;(10)Organizingorassistingbusinessdepartmentsandhumanresourcessectionstoconductcompliancetrainings;(11)Othercompliancemanagementdutiessuitableforthecompliancemanagementdepartment.Article7[OrganizationalSupport]Theboardofdirectors,boardofsupervisorsandseniormanagersofenterprisesshallperformnecessarycompliancemanagementresponsibilities,offersupportfortheformulationandimplementationoftheintellectualpropertyrights’complianceplan,andensuretheindependentexerciseofauthoritybythecompliancemanagementdepartment(personnel),withsufficientresourcesguaranteed.Article8[InternalCollaborations]Eachdepartmentofenterprisesshallcollaboratewithinthescopeoftheirauthoritiestoimplementtheroutineworkofcompliancemanagement,andappointasectioncomplianceliaison,whowillbeabletocollectandreportinformationregardingcompliancerisksaswellastocooperatewiththecompliancedepartmenttoinvestigaterelevantissuesandmakecorrections.ChapterIIIComplianceManagementInstitutionalSystemArticle9[ComplianceControl]Enterprisesshallestablishasoundandstandardizedbusinessmanagementanddecision-makingprocessofintellectualpropertyrights,takecompliancecontrolasacompulsoryprocedureforbusinessmanagementactivitiessuchasrulesformulation,materialmatters’decision-making,importantcontracts’conclusionandsignificantprojects’operation,aswellasproposechangestonon-compliancecontentintime.Suchactivitiesshallnotbeimplementedwithoutcompliancecontrol.Article10[ComplianceMonitoring]Compliancemonitoringonthecompliancesystemofintellectualpropertyrightsshallbeconductedregularlybyenterprises.Suchmonitoringshallbeimplementedbythecompliancemanagementdepartmentpersonnel,andacompliancemonitoringreportshallbeproduced.Thecompliancemonitoringshallmainlyincludeevaluationfortheeffectivenessofthecompliancesystemofintellectualpropertyrightsandtherelevantcomplianceperformance,soastoensuretherealizationofthepurposesofintellectualpropertyrightscompliance.Article11[ComplianceReporting]Enterprisesshallencouragereportingofpotentialoractualviolationsofintellectualpropertyrights’compliancepoliciesorobligations.Enterprisesshallbroadenthesourcesoffeedbacksforcomplianceperformance,establishreportingsystems,helphotlines,feedbackorsuggestionboxesforrelevantpersonnel,andsetupacomplianthandlingsystemforthirdpartiessuchassuppliersandcontractors,focusingonthecollectionoffeedbacksregardingtheenterprises’non-complianceactions,compliancequeriesandevaluationsforcomplianceeffectivenessandperformance.Article12[PerformanceReview]Enterprisesshallsetupscientificcomplianceperformancereviewindicatorsofintellectualpropertyrights,evaluateeachdepartment’scomplianceperformanceandcontributionstothecomplianceworkinascientificmanner,incorporatecomplianceperformancereviewintotheannualcomprehensiveassessmentofeachdepartmentandtherelevantpersonsincharge,andtakecomplianceperformanceasanimportantbasisforemployeeassessment,promotion,meritratingandotherwork.Theperformancereviewshallmainlyfocusontheindicatorsrelatedtocompliancerisk,includingbutnotlimitedto,initiativeandeffectivenessoftheimplementationofeachcompliancerules,effectivetrainingratioofdepartmentalpersonnel,frequencyofinterventionsbyregulatoryinstitutions,negativeimpactsarisingfromnon-complianceissuessuchaspenalties,compensations,damagetogoodwill,etc.,potentialrisksofnon-compliance,andtherecord-keepingofcompliance-relatedinformation,etc.Article13[Non-complianceInvestigation]Enterprisesshallestablishaninvestigationsystemfornon-compliance,adheringtoprinciplesofjustandfair,andpromptlyandthoroughlyinvestigateanyclaimsorsuspicionsofmisconductsbyenterprises,itsemployeesorrelatedthirdparties.Theyshallinvestigateenterprises’responsivedocumentations,disciplinaryorremedialmeasures,andadjustthecompliancemanagementsystemforintellectualpropertyrightsinlightoftheselessonslearned;findouttherootsofmisconducts,loopholesinthesystemandreasonsforresponsibilitydeficiency,includingtheactsanddutiesofmanagers,topmanagementandgovernancebodies;andprudentlyanalyzetheidentifiedcauses,takingintoaccountthenumberandlevelofthepersonnel,aswellasthedegree,prevalence,severity,durationandfrequencyofnon-complianceincidents.Article14[DocumentedInformationManagement]Enterprisesshallestablishasystemofdocumentedinformationmanagementtoensurethattheimportantprocessintheformationofrelevantintellectualpropertyrightsinbusinessmanagementarerecorded,marked,stored,protected,retrieved,preservedanddisposed.Effectivemanagementshallbeconductedoverexternaldocumentssuchasadministrativedecisions,judicialjudgementsandlawyer’sletters,ensuringtheaccuracyofthesourcesandtimingwhenthosedocumentswereobtained.Thedocumentsofexternaloriginandrecordfilesshallbecompletewithclearpreservemethodsandretentionperiods.Thecarriersofthedocumentsmanagementsystemarenotlimitedtopaperdocuments,butalsoincludeelectronicones.Article15[ResourceAllocation]

Inordertoensuretheproperimplementationofcompliancemanagement,enterprisesmaysetupregularbudgetaccountsforintellectualpropertyrights,whichmayinclude:expensesfortheapplication,registration,maintenance,retrieval,analysis,evaluation,assessment,litigationandtrainingforintellectualpropertyrights;expensesforoperationofcompliancemanagementinstitutionofintellectualpropertyrights;expensefortheestablishment,operation,maintenanceandupdateofthecompliancemanagementsystemregardingintellectualpropertyrights;expensesforintellectualpropertyincentives.Enterprisesthatmeetcertainconditionsmayalsosetupreservesforintellectualpropertyrisks.Article16[ConfidentialityManagement]Enterprisesshallestablishasystemofconfidentialitymanagement,whichspecifiessecret-relatedpersonnelandrequiresconfidentialityregistrationandaccesspermissions.Regardingtheequipmentthatmayeasilycauseleakageofintellectualpropertysecrets,enterprisesshallregulatetheusers,purposes,usagemodesandcirculationofsuchequipment;specifythescopeofconfidentialinformation,classifiedlevelandperiod,aswellastherequirementsfortransmission,preservationanddestruction.Theconfidentialareasandtheareaswhichcustomersandvisitorshaveaccesstoshallalsobeidentified.Article17[ComplianceCulture]Enterprisesshallestablishahierarchicalcompliancetrainingsystemfortechnicalpersonnel,intellectualpropertymanagementpersonnelandallemployees.Theconstructionofintellectualpropertycultureshallbecarriedoutintermsofenhancingtheawarenessofintellectualpropertyprotectionandintellectualpropertyvalues,creatinganatmosphereofactivepursuitofinnovationandduerespectforknowledge,attachingimportancetointellectualpropertypublicityandeducation.Enterprisesshallcombinetheconstructionofintellectualpropertymanagementsystemwithtalentscultivation,establishanincentivemechanismthatisconducivetomobilizeemployees’enthusiasmforintellectualpropertywork,andbuildupanenterpriseimagethatrespectsandprotectsintellectualpropertyrights.ChapterIVComplianceManagementOperatingSystemArticle18[ComplianceInAcquisition]Enterprisesshallmaketimelyapplicationsfortheregistrationofvarioustypesofintellectualpropertyrights,clarifythemanagementmeasuresandproceduresforapplicationsandregistrationsforpatent,layoutdesignofintegratedcircuits,trademarksandcopyrights,tradesecretsprotectionaswellastheirsubsequentmaintenanceorabandonment.Article19[ComplianceInMaintenance]Enterprisesshallclarifytherulesregardingthedisposalandimplementationofintellectualpropertyrights,specifytheconditionsfordefiningserviceworksaswellasprinciplestodeterminetheownershipofintellectualpropertyrightsforcommissionedworkorco-authoredwork,andprovidethemanagementmeasuresandproceduresforthetransfer,licensing,investmentandpledgeofintellectualpropertyrightssuchaspatents,trademarksandcopyrights.Article20[ComplianceinImplementation]Enterprisesshallfocusonthemanagementofintellectualpropertyrightsintheprocessesofproductionandoperation,clarifythemanagementmeasuresandproceduresforallkindsofmattersconcerningintellectualpropertyrightsthatmightariseintheprocurementofrawmaterialsandequipment(includingsoftwares,etc.),technologyandproductdevelopment,technologytransfer(licensing)andcooperation,commissionedprocessing,salesofproduct,advertisingorsalesexhibition,biding,importandexporttrade,jointventures,mergersandacquisitions,andlisting,etc.Themeasuresandproceduresinclude:(1)Intellectualpropertymanagementinprocurement.Enterprisesshallcollectrelevantinformationofintellectualpropertyandrequestthesuppliertoproduceproofofownershipwherenecessary;conductmanagementandconfidentialityworkforsuppliers’information,purchasechannels,andpurchasepricestrategies,etc.;andspecifytheownershipofintellectualpropertyrights,thescopeoflicensing,andtortliability,etc.,intheprocurementagreement.(2)Intellectualpropertymanagementinproduction.Enterprisesshallfocusonfindingouttheinnovativeachievementswithintellectualpropertyvalues,andtakecorrespondingprotectivemeasuresinatimelymanner.Regardingthoseoperatingprocedures,variousreportsandtestrecords,inspectionandtestingrecords,etc.,whicharenotsuitableforpublicdisclosureduringproduction,anappropriateconfidentialitysystemshallbeestablishedandrelevantmeasuresofconfidentialnatureshallbetaken.Enterprisesshallalsopayattentiontoavoidingintellectualpropertyrisksintheoverseasprocessingwhenbeingengagedincommissionedprocessing,processingtradewithsuppliedmaterials,originalequipmentmanufacturerandotherprocessingbusiness,andclarifyingrights,obligationsandconfidentialityofbothpartiesconcerningintellectualproperty.(3)Intellectualpropertymanagementinresearchanddiscovery(“R&D”).Enterprisesshallbuildanintellectualpropertytracking,retrieval,analysisandmonitoringsystemforR&Dactivities;clarifyintellectualpropertyownershipmanagementofR&Dachi