企業(yè)知識產(chǎn)權(quán)合規(guī)標準指引（試行）

企業(yè)知識產(chǎn)權(quán)合規(guī)標準指引(試行)上海市浦東新區(qū)人民檢察院新發(fā)展中心(聯(lián)合發(fā)布)企業(yè)知識產(chǎn)權(quán)合規(guī)標準指引(試行)第一章總則知(一)專利權(quán)法律風險：1.專利許可權(quán)濫用風險、專利申請權(quán)爭議風險、被侵犯越權(quán)使用或許可他人使用、險等。部門應(yīng)嚴格依照法律法規(guī)及企業(yè)相關(guān)制度規(guī)定等對企業(yè)和員工行為進行客觀評(四)動態(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)；第二章合規(guī)管理組織體系：(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)風險識別與預(yù)警；(四)參與業(yè)務(wù)部門對重要商業(yè)伙伴的合規(guī)盡調(diào)和定期評價；(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)認證；(七)推動合規(guī)責任納入崗位職責和員工績效管理；(八)建立合規(guī)績效考核指標，監(jiān)控和衡量合規(guī)績效；(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)職能部門承擔的合規(guī)管理職責。第三章合規(guī)管理制度體系項管：用于知識產(chǎn)權(quán)申請、設(shè);第四章合規(guī)管理運行體系利(二)企業(yè)生產(chǎn)活動中的知識產(chǎn)權(quán)管理。注意發(fā)現(xiàn)有知識產(chǎn)權(quán)價值的創(chuàng)新成果，宜對外公開的操作規(guī)程、(三)企業(yè)研發(fā)活動中的知識產(chǎn)權(quán)管理。建立研發(fā)活動的知識產(chǎn)權(quán)跟蹤檢索分析(四)企業(yè)營銷活動的知識產(chǎn)權(quán)管理。對產(chǎn)品即將投放的市場進行同類產(chǎn)品知識引進和第五章合規(guī)風險識別處置體系大險。權(quán)第六章第三方監(jiān)督評估體系： 的 (二)職責權(quán)限：1.是否明確知識產(chǎn)權(quán)合規(guī)管理部門及合規(guī)人員的崗位職責；2.及溝通程序。 erpriseCompliancewithIntellectualPropertyRightsImplementationIGeneralRulesGuidingOpinionsonEstablishmentofaThird-partySupervisionandEvaluationMechanismfortheComplianceofEnterprisesInvolvedinCriminalCases(forTrailImplementation)”,the“SpecificationsfortheAdministrationofIntellectualPropertyRightsofEnterprises”andthepilotworkingexperienceonenterprisecompliancereforms,forthepurposesofenhancingenterprises’compliancemanagementworkforintellectualpropertyrights,guardingagainstanddefusecompliancerisksrelatedtointellectualpropertyrights,andguidingenterprisestooperateincompliancewithrelevantlawandregulatoryrequirementsaswellastodeveloppliancemanagementforintellectualpropertyrightsofenterprisesaretoeffectivelyidentifyandmanagecompliancerisksrelatedtoactivitiesconformstorelevantlawsandregulatoryrequirements;andtopromoteenterprisestocomprehensivelyenhancetheircompliancemanagementonintellectualpropertyrights,advancetheirlawfulbusinessmanagementlevel,andguaranteethesustainableandhealthydevelopmentofenterprises.Article3[ComplianceRisks]The“compliancerisksrelatedtointellectualpropertylresponsibilitiescriminalchargesfinancialorreputationallossesoranyothernegativeinfluencesresultedfromenterprises’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:incompleteapplicationforterritoriesthatregisteredusingorlicensingotherstousetheregisteredtrademarkbeyondthelicensedcategoryofthegoodsorservices,infringementofothers’priorrights,non-standardizeduseoftrademarks,etc.confirmationofcorporates’copyrightsthereof;2.risksofworks’materialinfringements;3.rightofdisseminationviainformationnetworksinfringements;4.legalrisksinthelicenseduseandtransferofcopyrights,etc.(4)RisksofTradeSecrets:1.risksoftradesecretsbeingacquiredbyothersviatheft,spyingorhacking;2.risksofinternalemployeesbeingboughtoff;3.risksoftradesecretsleakageinthecourseofexternaldisseminationsandcollaborations;4.risksofemployees’disclosureoftradesecretsafterleavingoffice,etc.forintellectualpropertyrightsshouldadheretotheprinciplesofindependence,ectivenesscomprehensivenessdynamismandtraceability(1)Independence:Theoperationofcompliancemanagementdepartmentshallbefreefromanyundueinterferenceandpressure;thecompliancemanagementdepartmentshallobjectivelyevaluateandhandletheactsofenterprisesanditsemployeesinstrictaccordancewithlawsandregulationsaswellasrelevantrulesoftheenterprises;thepersonnelwhoundertakecompliancemanagementresponsibilitiesshallperformitsdutiesindependentlywithoutanyinterferencefromotherdepartmentsandpersonnel.(2)Effectiveness:Thecompliancemanagementsystemshallbeeffectivelyembeddedinthespecificprocessesofbusinessoperation,beintegratedandconnectedwithlegalrisksprevention,auditandsupervision,internalcontrolandrisksmanagement,etc.Acomplianceresponsibilitysystem,whichspecifiesthecomplianceresponsibilitiesofmanagersandemployeesforeachpositionandsupervisestheireffectiveimplementation,shallbeestablishedforallemployeestoensureaclosedloopofcompliancemanagement.thecomplianceworkshallcoverallbusinessactivitiessuchasresearchanddevelopment,production,sales,cooperation,investmentandmarketing,biding,andprocurement,etc.,runthroughthewholeprocessofdecision-making,executionandsupervision,andguaranteetheinclusionofallintellectualpropertyrights-relatedbusinesses,departmentsandpersonnelinthecompliancesystem.(4)Dynamism:Thecomplianceworkshallbecompatiblewiththebusinessscopeoftheenterprise,itsorganizationalstructureandbusinessscale;timelyadjustmentsandimprovementsshallbemadetothecomplianceworkaccordingtotheinternalandexternalenvironmentchangesoftheenterprise;thecompliancerisksexistinthebusinessmanagementshallbereported,correctedandimprovedintime.(5)Traceability:Thecomplianceworkshallhaveclearproceduralinstructionstoactprovable.Article5[ComplianceManagementSystem]Theestablishmentofacompliancealpropertyrightsshallincludeorganizationalsysteminstitutionalsystem,operatingsystem,risksidentificationandhandlingsystem,etc.erIIComplianceManagementOrganizationalSystemArticle6[ComplianceResponsibility]Inlightofitsbusinessnatureandscales,enterprisesmayreasonablyselectandappointintellectualpropertyrightscompliancemanagementdepartmentorpersonnel,whichcanorganize,coordinateandsuperviseenterprises’compliancemanagementwork,takedirectresponsibilitiesforcompliancemanagementaswellassimultaneouslysupportotherdepartmentsforcompliancemanagement.Enterprisesmayguaranteesuchdepartmentorpersonnel’svetopowerformattersinvolvingsignificantcompliancerisks.Theirdutiesmainlyinclude:(1)Researchinganddraftingcompliancemanagementplans,makingcompliancegementrulesorganizingthedevelopmentofstrategicplansandannualreportsofompliancemanagement(2)Payingcontinuousattentiontochangesinlaws,regulationsandotherrules,andnizingtheidentificationandearlywarningofcompliancerisk(3)Participatingintheenterprises’majordecisions-making,providingcompliancesuggestionsandopinionsandtakingpartincompliancereviewsandriskmanagementeenterprisesmaterialmattersbusinesspartners(5)Instructingtheimplementationofcomplianceworkineachdepartment,providingianceconsultingandorganizingcompliancecertification(6)Organizingcomplianceinspectionandassessment,conductingcomplianceevaluationoverrulesandprocedures,andurgingcorrectiveactionsandcontinuousimprovementsovernon-compliance;(7)Promotingtheintegrationofcomplianceresponsibilitiesintojobdutiesandperformancemanagementereviewindicatorsmonitoringandmeasuringeperformance(9)Establishingcompliancereportingmanagementsystem,acceptingreportswithinthescopeofcompliancemanagementduties,organizingorparticipatingintheinvestigationofreportedincidentsandofferingsuggestionsforhandling;(10)Organizingorassistingbusinessdepartmentsandhumanresourcessectionstocompliancetrainings(11)Othercompliancemanagementdutiessuitableforthecompliancemanagementdepartment.Article7[OrganizationalSupport]Theboardofdirectors,boardofsupervisorsandseniormanagersofenterprisesshallperformnecessarycompliancemanagementpropertyrights’complianceplan,andensuretheindependentexerciseofauthoritybythecompliancemanagementdepartment(personnel),withsufficientresourcesguaranteed.Article8[InternalCollaborations]Eachdepartmentofenterprisesshallcollaboratewithinthescopeoftheirauthoritiestoimplementtheroutineworkofcompliancemanagementandappointasectioncomplianceliaisonwhowillbeabletocollectandreportinformationregardingcompliancerisksaswellastocooperatewiththecompliancedepartmenttoinvestigaterelevantissuesandmakecorrections.erIIIComplianceManagementInstitutionalSystemArticle9[ComplianceControl]Enterprisesshallestablishasoundandstandardizedentanddecisionmakingprocessofintellectualpropertyrightstakeasrulesformulation,materialmatters’decision-making,importantcontracts’conclusionandsignificantprojects’operation,aswellasproposechangestonon-compliancecontentintime.Suchactivitiesshallnotbeimplementedwithoutcompliancecontrol.Article10[ComplianceMonitoring]Compliancemonitoringonthecompliancesystemofintellectualpropertyrightsshallbeconductedregularlybyenterprises.Suchandacompliancemonitoringreportshallbeproduced.Thecompliancemonitoringshallmainlyincludeevaluationfortheeffectivenessofthecompliancesystemofintellectualpropertyrightsandtherelevantcomplianceperformance,soastoensuretherealizationofthepurposesofintellectualpropertyrightscompliance.shallencouragereportingofpotentialoractualviolationsofintellectualpropertyrights’compliancepoliciesorobligations.Enterprisesshallbroadenthesourcesoffeedbacksforcomplianceperformance,establishreportingsystems,helphotlines,feedbackorsuggestionboxesforrelevantpersonnel,andsetupacomplianthandlingsystemforthirdpartiessuchassuppliersregardingtheenterprisesnoncomplianceactions,compliancequeriesandevaluationsforcomplianceeffectivenessandperformance.Article12[PerformanceReview]Enterprisesshallsetupscientificcomplianceperformancereviewindicatorsofintellectualpropertyrights,evaluateeachdepartment’scomplianceperformanceandcontributionstothecomplianceworkinascientificmanner,incorporatecomplianceperformancereviewintotheannualcomprehensiveassessmentofeachdepartmentandtherelevantpersonsincharge,andtakecomplianceperformanceasanimportantbasisforemployeeassessment,promotion,meritratingandotherwork.includingbutnotlimitedto,initiativeandeffectivenessoftheimplementationofeachcompliancerules,effectivetrainingratioofdepartmentalpersonnel,frequencyofinterventionsbyregulatoryinstitutionsnegativeimpactsarisingfromnon-complianceissuessuchaspenalties,compensations,damagetogoodwill,etc.,potentialrisksofnon-compliance,andtherecord-keepingofcompliance-relatedinformation,etc.systemfornon-compliance,adheringtoprinciplesofjustandfair,andpromptlyandthoroughlyinvestigateanyclaimsorsuspicionsofmisconductsbyenterprises,itsemployeesorrelatedthirdparties.Theyshallinvestigateenterprises’responsivedocumentations,disciplinaryorremedialmeasures,andadjustthecompliancemanagementsystemforintellectualpropertyrightsinlightoftheselessonslearned;overnancelevelofthepersonnel,aswellasthedegree,prevalence,severity,durationandfrequencyofnon-complianceincidents.Article14[DocumentedInformationManagement]Enterprisesshallestablishaattheimportantprocessintheformationofrelevantintellectualpropertyrightsinbusinessmanagementarerecorded,marked,stored,protected,retrieved,preservedanddisposed.Effectivemanagementshallbeconductedoverexternaldocumentssuchasadministrativerecordfilesshallbecompletewithclearpreservemethodsandretentionperiods.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.Regardingtheequipmentthatmayserspurposes,usagemodesandcirculationofsuchequipment;specifythescopeofconfidentialinformation,classifiedlevelandperiod,aswellastherequirementsfortransmission,preservationanddestruction.Theconfidentialareasandtheareaswhichcustomersandvisitorshaveaccesstoshallalsobeidentified.trainingsystemfortechnicalpersonnel,intellectualpropertymanagementpersonnelectualpropertycultureshallbecarriedoutintermsofenhancingtheawarenessofintellectualpropertyprotectionandintellectualactivepursuitofinnovationandduerespectforknowledge,attachingimportancetointellectualpropertypublicityandeducation.fintellectualpropertymanagementsystemmthatisconducivetomobilizethatrespectsandprotectsintellectualpropertyrights.rIVComplianceManagementOperatingSystemArticle18[ComplianceInAcquisition]Enterprisesshallmaketimelyapplicationsfortheregistrationofvarioustypesofintellectualpropertyrights,clarifythemanagementmeasuresandproceduresforapplicationsandregistrationsforpatent,ademarksandcopyrightstradesecretsprotectionaswellastheirsubsequentmaintenanceorabandonment.ianceInMaintenanceEnterprisesshallclarifytherulesregardingthedisposalandimplementationofintellectualpropertyrights,specifytheconditionsfordefiningserviceworksaswellasprinciplestodeterminetheownershipofintellectualpropertyrightsforcommissionedworkorco-authoredwork,andprovidethemanagementmeasuresandproceduresforthetransfer,licensing,investmentandpledgeofintellectualpropertyrightssuchaspatents,trademarksandcopyrights.Article20[ComplianceinImplementation]Enterprisesshallfocusontheclarifythemanagementmeasuresandproceduresforallkindsofmattersconcerningintellectualpropertyrightsthatmightariseintheprocurementofrawmaterialsandequipment(includingsoftwares,etc.),technologyandproductdevelopment,technologytransfer(licensing)andcooperation,commissionedprocessing,salesofesexhibitionbidingimportandexporttradejointventuresmergersandacquisitions,andlisting,etc.Themeasuresandproceduresinclude:mentEnterprisesshallcollectrelevantinformationofintellectualpropertyandrequestthesuppliertoproduceproofofownershipwherenecessary;conductmanagementandconfidentialityworkforsuppliers’information,purchasechannels,andpurchasepricestrategies,etc.;andspecifytheownershipofintellectualpropertyrights,thescopeoflicensing,andtortliability,etc.,intheprocurementagreement.(2)Intellectualpropertymanagementinproduction.Enterprisesshallfocusonfindingouttheinnovativeachievementswithintellectualpropertyvalues,andtakecorrespondingprotectivemeasuresinatimelymanner.Regardingthoseoperatingproceduresvariousreportsandtestrecordsinspectionandtestingrecordsetc,whicharenotsuitableforpublicdisclosureduringproduction,anappropriateconfidentialityasuresofconfidentialnatureshallbetakenEnterprisesshallalsopayattentiontoavoidingintellectualpropertyrisksintheandclarifyingrights,obligationsandconfidentialityofbothpartiesconcerningintellectualproperty.(3)Intellectualpropertymanagementinresearchanddiscovery(“R&D”).Enterprisesshallbuildanintellectualpropertytracking,retrieval,analysisandmonitoringsystemforR&Dactivities;clarifyintellectualpropertyownershipmanagementofR&Dachievements;strengthenthemanagementofthearchivesandconfidentialityofR&Dactivities,establishamanagementsystemofR&Darchivesandrecords,whichguaranteesthetraceabilityofR&Dactivities;andenhancetheselectionandqualitycontroloverR&Dresultsthatproceedtopatentapplication.(4)Intellectualpropertymanagementinmarketing.Enterprisesshallinvestigateandftheproductsofthesamekindsinthemarketwheretheirproductsaretobelaunched,soastopreventfromencounteringdtrademarksandrelevantmarketentitieswherenecessary;establishamechanismtomonitorthemarketforthesalesofproductandusemultiplechannelstomonitorthemarketsituationoftheproductsofthesamekinds.Forthosefoundtobeinfringing,keyArticle21[ListingExamination]Beforeenterpriselisting,acomprehensiveevaluationandplanningforthelegalstatus,durationandlegalrisksofexistingintangibleassetsshallbeconducted.Theownershipandlegalstatusoftheintangiblebeexamined,andtheacquisition,lossandtransferoftheintellectualpropertyrightsshallbecompletelydisclosed.Article22[OverseasBusiness]Enterprisesshallactivelycarryoutthelayoutofintellectualpropertyrightsinoverseasbusiness;investigateandanalyzestatusofrelevantintellectualpropertyrightsofthetechnologyorproductstobeintroducedandcomprehensivelyevaluatetherisksofinfringements.Whenconcludingcontractsfortechnologyorproductsimportorexport(includingagencyagreements),theseissueswhichincludethelicensingmodeandscopeoftheimportedtechnologyorproducts,theownershipofthesubsequentimprovementresults,sharingandmaintenanceofrights,confidentialresponsibilitiesandobligationsofbothparties,andlegalliabilitiesthesupplierundertakesinthecaseofintellectualpropertyinfringementoftheintroducedtechnologyorproductsshallbeprovidedinthecontracts.pterVComplianceRiskIdentificationandHandlingSystemArticle23[IdentificationandEarlyWarning]Byimprovingcomplianceriskinformationcollectionmechanism,enterprisesshallcomprehensivelyandsystematicallyteaseoutthepossiblecompliancerisksintheirbusinessactivities,establishacomplianceriskledger,andsystematicallyanalyzetheorigin,categoryandformingfactorsofrisks,possibleconsequencesanditsprobability,etc.Forrisksthatareoftypicalsignificance,widespreadorcapabletocauseseriousconsequences,earlywarningsshouldbeissuedinatimelymanner.andcoordinateallkindsofcomplianceinspectionwork.Anjointinspectionteammaybeformedbypersonnelselectedfromrelevantdepartmentstoconductperiodicalcomplianceriskinspectionsbasedonthebusinessconditionsofenterprises.Astothecomplianceriskfoundininspection,theinspectionteamshallputforwardcorrectivesuggestions,andeachdepartmentshallproposespecificsolutions.Afterthesolutionsbeingconfirmedbytheinspectionteam,thecompliancemanagementplans.Article25[RisksLevel]Enterprisesmayclassifythecompliancerisksofintellectualpropertyrightsintothreelevels:Significant,Medium,andGeneral.inlaws,regulations,guidelinesandlocallegalenvironment;penaltydecisions,enciessubmissionstoregulatoryagenciesofsupportingmaterials,specialreportingmaterials,implementationofregulatorysuggestionsandrectification,compliancematerialsandinviolationsoflaws,regulationsandguidelinesduringthecourseofbusinessngsuedduetointellectualpropertycomplianceissues;othermattersthatshouldbeidentifiedassignificantcompliancerisks.(2)MediumRisksinclude:newlygeneratedintellectualpropertyrisksorchangesoforiginalrisksinbusinessactivities;changesinthemeasuresorconsequencesofimplementingtheestablishedcompliancerisksolutions,whichfailtofullymeettheoriginalobjectives;possibleimpactsonbusinessoperations,buttheimpactsaresmalldirectlossesinthefutureothermattersthatcanbedefinedasmediumcompliancerisks.(3)Apartfromtheabove-mentionedsignificantandmediumrisks,mattersthathavelessimpactonpromotingtheenterprises’compliancemanagementforintellectualpropertyrights,improvingitscompliancemanagementlevelpursuanttothelaw,orensuringthehealthydevelopmentofthecompanies,shallbemanagedasGeneralComplianceRisks,althoughtheseissuesstillneedtobeimprovedbyenhancingmanagementworkorbyothermeans.Article26[RisksSolutions]Enterprisesshalldevelopandselectriskssolutionsforngiskscompliancemanagementdepartmentandotherdepartmentsshallworkjointlytostudyandintroducespecificrectificationplans,clarifyparticularrequirementsforrectificationsubjects,specificresponsiblepersonsandrectificationtimenodes,etc.Compliancemanagementandreporttotheenterprises’decision-makingbodyintime.Article27[AccountabilityMechanism]Anaccountabilitymechanismshallbeestablishedbasedonenterprises’ownconditions.Itshallconductperiodicreviewsofperformanceobjectives,bonusandotherincentivemeasuresforintellectualpropertycompliancesoastoverifywhetherappropriatemeasuresareinplacetoavoidnon-nnelwhoviolatetheenterprises’complianceobligations,objectives,systemsandrequirementsofintellectualpropertyrights,andholdthemaccountablewhennecessary.apterVIThirdpartyEvaluationandSupervisionSystemArticle28[DesignEvaluation]Thecriteriaforassessingandreviewingthefectivenessofthedesignofcompliancemanagementsystemmainlyinclude(1)Identificationandevaluationfornon-compliancerisks:1.whetherthecompliancemanagementdepartments/personnelareregularlyorganizedtoconductacomprehensiveassessmentofthepossiblecompliancerisksofintellectualpropertyrights,withafocusontheidentificationofrisksinallstagesofproductionandandmarketing;whetherariskcontrolandhandlingcapacitymatchingtheprobableintellectualpropertycomplianceriskstobefacedwith,isdevelopedbasedonthesinthecompliancemanagementofrisksidentificationandevaluation3.whetherrisksevaluationsystemsareperiodicallyupdated,whichcanidentifyandevaluatenewchangestotheoriginalrisksaswellasnewlygeneratedrisksinatimelymanner.(2)Policyandprocedurearrangements:1.whetherrelevantcompliancemanagementsystemsforintellectualpropertyrightsareestablishedinaccordancewithcompliancesinessscopesandscalesofenterpriseetcandstandardizedmanagementsareconductedinalltheprocesses;2.whethertheexecutionstandardsofrelevantsystems,responsibleentitiesandcontentsareclarified;3.whetheracompliancemanagementoperationmechanismforkeysegmentssuchasthecomplianceacquisition,maintenanceandimplementationofintellectualpropertyrights,isestablished,andbeingprotectedfrompossiblerisks.Trainingandcommunicationarrangements:1.whetheracompliancetrainingsystemisestablished,organizingandconductingtargetedtrainingonintellectualpropertycomplianceregularly,ensuringtheemployees’fullyrecognitionoftheuisitionofprofessionalskillsforintellectualproperty,andimprovingbusinesscapacitiesatalllevelsthroughtraining;2.whetherinternalandexternalcommunicationchannelsforintellectualpropertyanditscompliancemanagementareestablished,incorporatingcomplianceculture,propertyintothecontentofcommunicationandensuringtimelycollectionandfeedbacksofrelevantinformation.(4)Reportingandinvestigationmechanisms:1.whetherareportingandinvestigationmanagementapproachforintellectualpropertyrightsissetup,andwhetheraspecialvingkeyrisksisestablishedwhetherlcanunderstandandbeingfluentinusingtherelevantreportingproceduresareguaranteed;3.whethernon-complianceinvestigationprocessesareestablished,ensuringatimelyandthoroughlyinvestigationofthenon-complianceactionsanditscauses.(5)Executionandguaranteeinstitutions:1.whethercompliancemanagementdepartmentsandpersonnelforintellectualpropertyrightsaresetup,organizing,workastheleadingdepartmentofenterprisecompliancemanagementwhethertheenterpriseaudit,supervision,internalcontrol,quality,securityandallbusinessdepartmentsbeingrequiredintheirrespectiveareaspetencetocooperatewiththeimplementationoftheroutineworkofcompliancemanagementsforintellectualpropertyrightsareclarified;3.whethercorrespondingprofessionalqualificationsgoodbusinesscompetenceandmoralityarerequiredinthecourseofappointingtheenterprises’intellectualpropertycompliancepersonnel.dicalcompliancesupervisionsforintellectualpropertycompliancesystemareconductedandcompliancesupervisionreportsareproduced,focusingonevaluatingtheeffectivenessoftheintellectualpropertycompliancesystemtoensuretherealizationoftheobjectivesofintellectualpropertycompliance;2.whetherathird-partyinstitutionisappointedwhennecessary,prisesintellectualpropertycompliancesystemandcompliancerisksmanagement,andissuingevaluationreports.Article29[ExecutionEvaluation]Standardsofevaluationandreviewingforectivenessoftheexecutionofcompliancemanagementsysteminclude(1)Resourceallocation:1.whetherenterprisesproviderelevantinfrastructureforintellectualpropertycompliancemanagement,andtakeabidanceofenterprisecompliancebusiness,rulesandrequirementsofintellectualpropertyrightsasacondition