Strategic Dual Filings in China: A Practical Solution for SMEs Under Stricter Examination Standards

Written by Dr. Xiaopeng Zhao, IP Expert and collaborator of the China IP SME Helpdesk.

In recent years, the China National Intellectual Property Administration (CNIPA) has significantly tightened its examination standards. Grant rates for both invention patents and utility models have dropped noticeably. As a result, it has become increasingly difficult—especially for small and medium-sized enterprises (SMEs)—to obtain effective IP protection in China quickly and reliably. In this context, the strategic use of dual filings—simultaneously submitting a utility model and an invention patent—has gained renewed relevance, albeit in a modified form.

Previously, it was common practice to file a utility model and an invention patent simultaneously for the same technical solution. However, this approach is now increasingly reaching its limits. While utility models in China have traditionally been known for their relatively quick and straightforward grant procedures, the standards here are also being raised. Requirements for inventive step are now being interpreted more strictly, and in particular, the invention patent examination process has become lengthier and more selective.

A practical alternative of the Dual Filings lies in differentiating the content of the two applications:

• The utility model is filed with narrower claims, focusing on the core technical idea and offering a smaller scope of protection.
• This restriction increases the chances of a speedy grant and of obtaining a positive evaluation report ("实用新型专利评价报告")—a key tool for asserting rights.
• The invention patent can be filed in parallel, but with broader or differently structured claims that extend or deepen the scope of protection.

The strategic advantage of this approach is clear: even before the lengthy invention patent examination is completed, the applicant already holds an enforceable right in the form of the utility model. With a positive evaluation report, the rights holder can take early action against infringers.

If the invention patent is later granted as well, two distinct IP rights exist for the same technical concept—each with a different claim scope. This reduces the risk of total loss of protection and greatly increases legal flexibility for the rights holder.