Prsentation PowerPoint

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Using the Patent Cooperation Treaty (PCT) as a
Strategic Tool for Business Success
May 20, 2009 2nd WIPO Seminar on Intellectual
Property and Creative Small and Medium-Sized
Enterprises in the Digital Environment Matthew
R. Bryan - Director, Patent Cooperation Treaty
Legal Division, WIPO
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1) What is the PCT? 2) The advantages of the
PCT 3) Recent and future developments
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1) What is the PCT?
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Using the traditional patent system to seek
international patent protection
File applications abroad
0
(months)
12
File application locally

• Local patent application followed within 12
  months by multiple foreign applications claiming
  priority under Paris Convention
• - multiple formality requirements
• - multiple searches
• - multiple publications
• - multiple examinations and prosecutions of
  applications
• - translations and national fees required at 12
  months
• Some rationalization because of regional
  arrangements
• ARIPO, EAPO, EPO, OAPI

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• A mainly procedural international treaty
  facilitating certain steps in the process of
  obtaining patents internationally
• More specifically, the PCT establishes a
  procedure for the filing and processing of a
  single application for a patent which has legal
  effect in the countries which are Treaty members
• Simplifies the procedure for obtaining patent
  protection in many countries, making it more
  efficient and economical for
• (1) users of the patent system (applicants and
  inventors) and
• (2) patent Offices

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141 PCT States
Costa Rica Côte d'Ivoire Croatia Cuba C
yprus Czech Republic Democratic People's
Republic of Korea Denmark Dominica Dominican
Republic Ecuador Egypt El Salvador Equatorial
Guinea Estonia Finland France, Gabon Gambia
Georgia Germany Ghana Greece Grenada Guatemal
a Guinea
Albania Algeria Angola Antigua and
Barbuda Armenia Australia Austria Azerbaija
n Bahrain Barbados Belarus Belgium Belize
Benin Bosnia and Herzegovina Botswana
Brazil Bulgaria Burkina Faso Cameroon Can
ada Central African Republic Chad Chile (2
June 09) China Colombia Comoros Congo
Malawi Malaysia Mali Malta Mauritania Mex
ico Monaco Mongolia Montenegro Morocco Moz
ambique Namibia Netherlands New
Zealand Nicaragua Niger Nigeria Norway Oman Papua
New Guinea Peru (6 June 09) Philippines
St. Kitts and Nevis Sweden Switzerland Syrian
Arab Republic Tajikistan The former Yugoslav
Republic of Macedonia Togo Trinidad and
Tobago Tunisia Turkey Turkmenistan Uganda U
kraine United Arab Emirates United
Kingdom United Republic of Tanzania United
States of America Uzbekistan Viet
Nam Yugoslavia Zambia Zimbabwe
Guinea-Bissau Honduras Hungary Iceland India
Indonesia Ireland Israel Italy Japan Kaz
akhstan Kenya Kyrgyzstan Lao Peoples Dem
Rep. Latvia Lesotho Liberia Libyan Arab
Jamahiriya Liechtenstein Lithuania Luxembourg M
adagascar
Poland Portugal Republic of Korea Republic of
Moldova Romania Russian Federation Saint
Lucia Saint Vincent and the Grenadines
San Marino Sao Tomé e Principe Senegal Seychell
es Sierra Leone Singapore Slovakia Slovenia
South Africa Spain Sri Lanka Sudan Swazi
land
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The PCT System --typical use, in more detail
Enter national phase
International publication
(months)
12
0
16
18
30
22
28
File local application
File PCT application
International search report written opinion
(optional) File demand forInternational
preliminary examination
(optional) International preliminary report on
patentability
Typically a national patent application in the
home country of the applicant
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The PCT System --typical use, in more detail
Enter national phase
International publication
(months)
12
0
16
18
30
22
28
File local application
File PCT application
International search report written opinion
(optional) File demand forInternational
preliminary examination
(optional) International preliminary report on
patentability
Typically filed in same national patent
office--one set of fees, one language, one set of
formality requirements--and legal effect in all
PCT States
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The PCT System --typical use, in more detail
Enter national phase
International publication
(months)
12
0
16
18
30
22
28
File local application
File PCT application
International search report written opinion
(optional) File demand forInternational
preliminary examination
(optional) International preliminary report on
patentability
Report on state of the art (prior art documents
and their relevance) initial patentability
opinion
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The PCT International Searching Authorities

• Today the Patent Offices of
• Australia
• Austria
• Canada
• China
• Finland
• Japan
• Republic of Korea
• Russian Federation
• Spain
• Sweden
• United States of America
• European Patent Office
• Nordic Patent Institute
• Soon the Patent Offices of India and Brazil

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The PCT System --typical use, in more detail
Disclosing to world content of application in
standardized way
Enter national phase
International publication
(months)
12
0
16
18
30
22
28
File local application
File PCT application
International search report written opinion
(optional) File demand forInternational
preliminary examination
(optional) International preliminary report on
patentability
12
The PCT System --typical use, in more detail
Enter national phase
International publication
(months)
12
0
16
18
30
22
28
File local application
File PCT application
International search report written opinion
(optional) File demand forInternational
preliminary examination
(optional) International preliminary report on
patentability
Request an additional patentability analysis on
basis of amended application
13
The PCT System --typical use, in more detail
Enter national phase
International publication
(months)
12
0
16
18
30
22
28
File local application
File PCT application
International search report written opinion
(optional) File demand forInternational
preliminary examination
(optional) International preliminary report on
patentability
Additional patentability analysis, designed to
assist in national phase decision-making
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The PCT System --typical use, in more detail
Express intention and take steps to pursue to
grant in various states
Enter national phase
International publication
(months)
12
0
16
18
30
22
28
File local application
File PCT application
International search report written opinion
(optional) File demand forInternational
preliminary examination
(optional) International preliminary report on
patentability
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General remarks on the PCT system (1)

• The PCT system is a patent filing system, not a
  patent granting system. There is no PCT
  patent or global patent
• The decision on granting patents is made
  exclusively by national or regional Offices in
  the national phase
• Only inventions may be protected via the PCT by
  applying for patents, utility models and similar
  titles
• Design and trademark protection cannot be
  obtained via the PCT. There are separate
  international conventions dealing with these
  types of industrial property protection (the
  Hague Agreement and the Madrid Agreement and
  Protocol, respectively)

10.02.05
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General remarks on the PCT system (2)

• The PCT is administered by WIPO as are other
  international conventions in the field of
  industrial property, such as the Paris Convention
• PCT signed in June 1970, in Washington, D.C., and
  became operational in June 1978 with 18 States

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PCT Statistics
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International applications received in 2008 by
country of origin
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WIPOs Revenue 2008/09
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(2) Why use the PCT? its advantages
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• Most businesses worldwide which seek and use
  patents share objectives to
• control costs while preserving options
• make informed business decisions
• use the best tools available when seeking
  protection

The PCT responds to these objectives
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The PCT, as the cornerstone of the international
patent system, provides a worldwide system for
simplified filing and processing of patent
applications, which--
1. postpones the major costs associated with
internationalizing a patent application 2.
provides a strong basis for patenting
decisions 3. harmonizes formal requirements 4.
brings the world within reach 5. protects
applicant from certain inadvertent errors 6.
evolves to meet user needs 7. is used by the
worlds major corporations, universities and
research institutions when they seek
international patent protection 8. allows
applicants to apply securely and easily online,
and to save money by doing so
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1. Postpones the major costs associated with
internationalizing a patent application
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Traditional patent system vs. PCT system
File applications abroad
(months)
12
0
Traditional
File local application
Enter national phase
International publication
(months)
PCT
0
12
30
16
18
22
28
File PCT application
International search report written opinion
(optional) File demand forInternational
preliminary examination
File local application
(optional) International preliminary report on
patentability
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PCT Costs--in perspective
According to IP Global Estimator, the total cost
of hypothetical application (RO/US, ISA/EP, 46
pages/12 claims w/3 independent, national phase
in AU, CA, EPO, JP, MX, US, and EP validation in
DE, FR, GB, IT, NL SE, maintenance fees--from
filing until expiration of 12 national phase
patents at 20 years from the filing date) would
be USD 232,742 The PCT filing fees, including
the international search by the EPO, (total USD
3,637) represented 1.6 of what the PCT
applicant could expect to pay throughout the full
life of this patent family If the payment of
annual maintenance fees is eliminated from the
above calculation, the total amount that the
applicant would expect to pay to see his/her
patents granted is reduced to USD 86,398. PCT
filing fees would then represent 4.2 of this
amount Estimate date July 1, 2007
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2. Provides a strong basis for patenting decisions
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The PCT International Searching Authorities

• The active ISAs are the following patent offices
  
• Australia
• Austria
• Canada
• China
• Finland
• Japan
• Republic of Korea
• Russian Federation
• Spain
• Sweden
• United States of America
• European Patent Office
• Nordic Patent Institute
• Appointed but not yet acting are the Offices of
  India and Brazil

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Example international search report
Symbols indicatingwhich aspect of patentability
the document cited is relevant to (for example,
novelty, inventive step, etc.)
The claim numbersin your application towhich
the document isrelevant
Documents relevant to whether or not your
invention may be patentable
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Example written opinion of the ISA
Reasoning supporting the assessment
Patentability assessment of claims
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3. Harmonizes formal requirements
PCT Applicants Guide, paragraph 26 There is a
prescribed form for the international
application. This form must be accepted by all
designated Offices for the purposes of the
national phase, so that there is no need to
comply with a great variety of widely differing
formal requirements in the many countries in
which protection may be sought.
PCT Article 27(1) No national law shall require
compliance with requirements relating to the form
or contents of the international application
different from or additional to those which are
provided for in this Treaty and Regulations.
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4. Brings the world within reach
How? PCT application Legal effect of a
regular national patentapplication in all PCT
States
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5. protects applicants from certain inadvertent
errors

• invited corrections of defects fee payments
• non-competent receiving Office
• double formality review
• restoration of priority
• missing parts
• rectification of obvious mistakes
• excuse of national phase entry delay

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6. Evolves to meet user needs
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PCT Meetings

• MIA meetingannual (usually first quarter)
• PCT Working Groupannual (usually second quarter)
• PCT AssemblySeptember/October
• Conferencesfor example
• PCT ChinaBeijing, December 2007
• PCT AsiaSingapore, April 2008
• PCT for the AmericasMiami, November 2008

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7. Is used by the worlds major corporations,
universities and research institutions when they
seek international patent protection
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Top PCT Applicants (2008)

• HuaweiCN (1737)
• PanasonicJP (1729)
• PhilipsNL (1551)
• ToyotaJP (1364)
• BoschDE (1273)
• SiemensDE (1089)
• NokiaFI (1005)
• LG ElectronicsKR (992)
• EricssonSE (984)
• FujitsuJP (983)
• QualcommUS (907)
• NECJP (825)
• SharpJP (814)
• MicrosoftUS (805)
• Motorola US (778)
• BASFDE (721)
• IBMUS (664)
• 3MUS (663)
• SamsungKR (639)

Of the top 100 companies using the PCT system in
2008, 38 were from the United States, 28 from
Japan and 13 from Germany
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Other PCT users
Nestle (CH) Novartis (CH) Colgate Palmolive
(US) LOreal (FR) Rhone Poulenc (FR) Hoechst (US
y DE) Glaxo (GB) Leica (CH)
Daimler Benz (DE) Volvo (SE) Ford (US) Nissan
(JP) Renault (FR) Honda (JP) Kawasaki (JP)
Shell (NL) Elf (FR) Salomon (FR) CNRS (FR) MIT
(US) University of Texas (US) CalTech (US) Johns
Hopkins(US) University of Michigan (US) Columbia
University (US) Wisconsin Alumni Research
Foundation (US) University of Florida
(US) Stanford University (US)
Hitachi (JP) British Telecom (GB) MCI (US) ATT
(US) Boeing (US) McDonnell Douglas (US)
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8. apply securely and easily online, and save
money by doing so
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PCT Electronic filing overview
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PCT E-filing fee reductions

• 100 Swiss francs paper filings request
  printout created with PCT-SAFE diskette
  prepared with PCT- SAFE
• 100 Swiss francs electronic filings request
  not in character coded format (for ex., PDF)
• 200 Swiss francs electronic filings text of
  application not in character coded format
  (for example, PDF)
• 300 Swiss francs electronic filings text of
  application in character coded format (for
  example, XML)

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(3) Recent and future developments
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2009 PCT Developments

• SIS (Supplementary International Search)
  effective January 1, 2009

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The PCT System Supplementary International Search
Enter national phase
International publication
(months)
18
12
0
16
30
22
28
File local application
File PCT application
International search report written opinion
(optional) File demand forInternational
preliminary examination
(optional) International preliminary report on
patentability
44
Supplementary International Search Objectives

• give applicants option to request one or more
  supplementary (language-based) searches from
  participating ISAs in addition to the main PCT
  search
• help users by reducing likelihood of new prior
  art in national phase
• takes into account the growing linguistic
  diversity in the prior art

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2009 PCT Developments

• SIS (Supplementary International Search)
  effective January 1, 2009
• First requests have been filed
• 3 offices participating thus far

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Supplementary International Search Authorities

• Participation of ISAs
• NPIJan. 1, 2009
• RUJan. 1, 2009
• SEJan. 1, 2009limitation to 1000 Supp.
  Searches/year
• ATsometime in 2009
• AUunder consideration, but not as of Jan. 1,
  2009
• BRnot yet decided
• CAno intention to offer in near future
• CNunder consideration
• EPOplanned for Jan. 1, 2010, limited ìnitially
  to several 100s/year and increased if needed up
  to several 1000s/year by 2013
• ESno intention
• FIplanned for Jan. 1, 2010
• INunknown
• JPOno intention
• KRunder consideration
• USno intention in near future due to workload

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Recent PCT developments

• SIS (Supplementary International Search)
  effective January 1, 2009
• 1 July 2009 Rule changes
• new practice on furnishing claim amendments
  (complete set)
• Administrative Instruction/practice changes on
  sequence listings

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Things were working on

• Private file inspection
• Document upload system pilot
• Furnishing priority documents via digital
  libraries
• Digital Access Service for priority documents
• Email of IB notifications to applicants
• PCT distance learning course
• PCT webinars for the user community
• New resources for PCT applicants
• Multilingual terminology resources
• PatentScope enhancements
• Full file contents will be available for IAs
  filed on or after 1 Jan. 2009
• National phase entry data now for 34 countries

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Where to get help

• For further information about the PCT, see
• http//www.wipo.int/pct/en/
• For general questions about the PCT, contact the
  PCT Information Service at
• Telephone [phone]
• Facsimile (41-22) 338 83 39
• E-mail pct.infoline_at_wipo.int

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PatentScope
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• Questions?