Post on 22-Dec-2015
The Patent Cooperation Treaty (PCT)
WIPO-KIPO-KIPA IP PANORAMA BUSINESS SCHOOL
7 October 2008
Kim Jae Hyon, PCT Legal DivisionWIPO
(1) What is the PCT?
(2) Why use the PCT? What are its advantages?
(3) Recent PCT Developments
(4) Things we’re working on
(1) What is the PCT?
• 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
• The decision on granting patents is made exclusively by national or regional Offices in the national phase
• Signed in June 1970, in Washington, D.C., and became operational in June 1978 with 18 States
• As of 27 September 2007, the PCT has 138 Contracting States
=PCT
AlbaniaAlgeriaAngola (27 December 2007)Antigua and BarbudaArmeniaAustraliaAustriaAzerbaijanBahrain BarbadosBelarusBelgiumBelizeBeninBosnia and HerzegovinaBotswana BrazilBulgariaBurkina FasoCameroonCanadaCentral African RepublicChadChina Colombia Comoros Congo
Costa RicaCôte d'IvoireCroatiaCubaCyprusCzech RepublicDemocratic People's Republic of KoreaDenmarkDominicaDominican RepublicEcuadorEgyptEl SalvadorEquatorial Guinea EstoniaFinlandFrance,
GabonGambiaGeorgia GermanyGhana GreeceGrenadaGuatemalaGuinea
Guinea-Bissau HondurasHungaryIcelandIndiaIndonesiaIreland IsraelItalyJapanKazakhstanKenyaKyrgyzstanLao People’s Dem Rep.Latvia Lesotho LiberiaLibyan Arab JamahiriyaLiechtenstein LithuaniaLuxembourgMadagascar
MalawiMalaysiaMaliMaltaMauritaniaMexicoMonacoMongoliaMontenegroMoroccoMozambiqueNamibia NetherlandsNew ZealandNicaraguaNigerNigeriaNorwayOmanPapua New GuineaPhilippines
PolandPortugalRepublic of Korea Republic of MoldovaRomaniaRussian FederationSaint LuciaSaint Vincent and the Grenadines San MarinoSenegalSeychellesSierra LeoneSingaporeSlovakiaSloveniaSouth AfricaSpainSri LankaSudanSwaziland
St. Kitts and NevisSwedenSwitzerlandSyrian Arab RepublicTajikistan The former Yugoslav Republic of Macedonia TogoTrinidad and Tobago TunisiaTurkeyTurkmenistanUgandaUkraineUnited Arab EmiratesUnited KingdomUnited Republic of TanzaniaUnited States of AmericaUzbekistanViet NamYugoslaviaZambiaZimbabwe
138 PCT States
Growth in PCT member States over last 10 years
2003Papua New GuineaSyrian Arab RepublicEgyptBotswana
2002Saint Vincent
and the Grenadines
Seychelles
2001Colombia Ecuador Equatorial Guinea Philippines Oman Zambia Tunisia
2000AlgeriaAntigua and
BarbudaMozambiqueBelize
1999United Arab
EmiratesSouth AfricaCosta RicaDominicaUnited
Republic of Tanzania
Morocco
1998Cyprus Croatia Grenada India
1997YugoslaviaGhanaZimbabweSierra LeoneIndonesiaGambiaGuinea-
Bissau
1996TurkeyIsraelCubaSaint LuciaBosnia and
Herzegovina
2004San Marino
2005ComorosNigeriaLibyan
Arab Jamahiriya
St. Kitts and Nevis
2006HondurasEl SalvadorMalaysiaLao People’s Democratic RepublicGuatemala
2007MaltaBahrainDominican
RepublicAngola
Growth in PCT filings
PCT Filing forecastsPCT Filing Forecast
93,
239
10
8,2
30
110,
39
0
115
,19
3
122
,61
0
13
6,6
80
148,
846
157
,80
0
165
,40
0
17
4,6
00
18
3,8
00
192
,70
0
0
20,000
40,000
60,000
80,000
100,000
120,000
140,000
160,000
180,000
200,000
220,000
2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011
Num
ber
of P
CT
ap
plic
atio
ns
File
d
The PCT System--typical use, in more detail
(months)
File PCTapplication
120 30
International search report
& written opinion
16 18
Internationalpublication
(optional)File
demand forInternational
preliminary examination
File localapplication
Enternationalphase
22 28
(optional)International preliminary report on
patentability
The PCT System--typical use, in more detail
(months)
File PCTapplication
120 30
International search report
& written opinion
16 18
Internationalpublication
(optional)File
demand forInternational
preliminary examination
File localapplication
Enternationalphase
22 28
(optional)International preliminary report on
patentability
Typically a national patent application in the home country of
the applicant
The PCT System--typical use, in more detail
(months)
File PCTapplication
120 30
International search report
& written opinion
16 18
Internationalpublication
(optional)File
demand forInternational
preliminary examination
File localapplication
Enternationalphase
22 28
(optional)International preliminary report on
patentabilityTypically filed in same
national patent office--one set of fees, one language,
one set of formality requirements--and legal effect in all PCT States
The PCT System--typical use, in more detail
(months)
File PCTapplication
120 30
International search report
& written opinion
16 18
Internationalpublication
(optional)File
demand forInternational
preliminary examination
File localapplication
Enternationalphase
22 28
(optional)International preliminary report on
patentability
Report on state of the art (prior art
documents and their relevance) + initial
patentability opinion
The PCT System--typical use, in more detail
(months)
File PCTapplication
120 30
International search report
& written opinion
16 18
Internationalpublication
(optional)File
demand forInternational
preliminary examination
File localapplication
Enternationalphase
22 28
(optional)International preliminary report on
patentability
Disclosing to world content of application in standardized way
The PCT System--typical use, in more detail
(months)
File PCTapplication
120 30
International search report
& written opinion
16 18
Internationalpublication
(optional)File
demand forInternational
preliminary examination
File localapplication
Enternationalphase
22 28
(optional)International preliminary report on
patentability
Request an additional patentability analysis on basis
of amended application
The PCT System--typical use, in more detail
(months)
File PCTapplication
120 30
International search report
& written opinion
16 18
Internationalpublication
(optional)File
demand forInternational
preliminary examination
File localapplication
Enternationalphase
22 28
(optional)International preliminary report on
patentability
Additional patentability analysis, designed to assist in national phase decision-
making
The PCT System--typical use, in more detail
(months)
File PCTapplication
120 30
International search report
& written opinion
16 18
Internationalpublication
(optional)File
demand forInternational
preliminary examination
File localapplication
Enternationalphase
22 28
(optional)International preliminary report on
patentability
Express intention and take steps to pursue to grant in
various states
(2) Why use the PCT?
What are its advantages?
1. brings the world within reach
2. postpones the major costs associated with internationalizing a patent application
3. provides a strong basis for patenting decisions
4. is used by the world’s major corporations, universities and research institutions when they seek international patent protection
5. allows you to apply securely and easily online, and to save money by doing so
As the cornerstone of the international patent system, the PCT provides a worldwide system for simplified filing and processing of patent applications, which--
1. Brings the world within reach
How?
PCT application = Legal effect of a regular national patentapplication in all PCT States
2. Postpones the major costs associated with internationalizing a patent application
What are those large initial costs?
1) Translations of the patent applications (which are highly technical documents) into various national languages
2) Official fees for payment to national/regional patent offices (for example, filing fees, claims fees, etc.)
3) Fees for the services of local patent agents/attorneys in the designated states
When are these costs incurred?
Traditional patent systemvs.
PCT systemFees for:
--translations--Office fees--local agents
0 12
File local application
Fileapplications
abroad(months)
Traditional
(months)
File PCTapplication
12 30
International search report & written opinion
16 18
Internationalpublication
(optional)File
demand forInternational
preliminary examination
File localapplication
Enternationalphase
22 28
(optional)International preliminary report on
patentability
PCT 0
Fees for:
--translations--Office fees--local agents
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
Thus, 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]
3. Provides a strong basis for patenting decisions
Together with the time gained (as previously explained) and the postponement of the significant costs, it is the
information about the potential patentability of the invention
that is received during the PCT process which is the most valuable for the PCT applicant
What does this potential patentability information consist of?
In Chapter I of the Treaty (before the international publication), it is the content of the
International Search Report (ISR)
and the
Written Opinion of the International Searching Authority
In Chapter II of the Treaty (after international publication), it is the content of the
International Preliminary Report on Patentability (Chapter II) (IPRP (Ch. II))
Documents relevant to whether or not your
invention may be patentable
Symbols indicatingwhich aspect of
patentability the document cited is
relevant to (for example, novelty, inventive step,
etc.)
The claim numbersin your application to
which the document isrelevant
Example: international search report
Example: written opinion of the ISA
Patentability assessment of claims
Reasoning supporting the
assessment
Example: international preliminary report on patentability (Ch. II)
Reasoning supporting the
assessment
Patentability assessment of claims
(usually, as amended)
He/she uses it as a basis for their patenting decisions--decisions about:
1) whether to enter the national phase
2) where to enter the national phase
Example--
Based on the information received during both Chapters I and II, the Procter & Gamble company found that it:
--abandoned 20% of PCT filings at national phase (did not enter national phase at all anywhere);
--when it did enter national phase, it did so in only 70% of the States it had originally intended to patent in
What does the applicant do with the information from the ISR, ISO and IPRP Ch. II?
4. Is used by the world’s major corporations, universities and research institutions
when they seek international patent protection
International applications received in 2007 by country of origin
Top PCT Applicants (2007)
TOP Korean PCT users
• LG Electronics• Samsung Electronics• LG Chemicals• ETRI – Electronics & Telecom. Research Institute• Seoul National University• POSCO – Pohang Iron & Steel Company• AMORE PACIFIC CORP.• LG Innotek Co. Ltd.• KIST – Korea Institute of Science & Technology
5. apply securely and easily online, and save money for doing so!
PCT Electronic filing overview1. Prepare application body: in XML using the PCT-SAFE Editor or in PDF
2. Prepare Request using free, WIPO-produced PCT-SAFE software
3. Electronically sign: WIPO Customer digital certificate or other
0101010
1010101
0101010Signat
ure
4. Transmit (on-line or on CD-R)
5. Receive a receipt (for on-line filings)
PCT E-filing fee reductions 100 Swiss francs: paper filings
request printout created with PCT-SAFEdiskette prepared with PCT- SAFE
100 Swiss francs: electronic filings request not in character coded format (for
ex., PDF)
200 Swiss francs: electronic filingstext of application not in character
coded format (for example, PDF)
300 Swiss francs: electronic filingstext of application in character coded
format (for example, XML)
39.5% of IAs filed fully electronically
Less than 40% are filed on paper only
23 receiving Offices accept PCT
electronic filing
E-Filing Percentage Forecast
0%
10%
20%
30%
40%
50%
60%
70%
80%
90%
100%
1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011
Per
cen
tag
e o
f P
CT
ap
plic
ati
on
s
XML PDF Easy Paper
Percentage of filing method types
2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011
Paper 71.3% 65.3% 59.0% 54.2% 51.2% 46.0% 43.3% 38.3% 36.0% 34.0% 31.7% 29.9%
Easy 28.7% 34.7% 41.0% 44.9% 34.7% 27.7% 25.0% 22.2% 19.6% 17.9% 16.2% 14.6%
PDF 0.0% 0.0% 0.0% 1.0% 5.5% 8.9% 12.1% 16.8% 20.0% 22.2% 24.1% 25.7%
XML 0.0% 0.0% 0.0% 0.0% 8.7% 17.4% 19.6% 22.7% 24.3% 26.0% 27.9% 29.7%
(3) Recent PCT developments
Effective April 2007:
• restoration of the right of priority (PCT Rule 26bis.3)
• applications filed with parts missing (PCT Rule 20)
• addition of patent documents of the Republic of Korea to the PCT minimum documentation (PCT Rule 34.1)
1 April 2007 Amendments to the PCT Regulations
1 July 2008 Changes to the PCT Regulationsand other changes
Effective July 2008:
• Use the results of an earlier search
(PCT Rule 12bis.1)• Use of e-mail address, for receiving communication
from a PCT office, in the PCT Request
(Form PCT/RO/101)
1 January 2009 Amendmentsto the PCT Regulations
• Supplementary International Search
(PCT Rule 45bis)• Korean is a PCT publication language
(PCT Rule 48.3)
(4) Things we’re working on
PCT-related projects currently underway
• Priority document digital access service
• Extension of national phase entry information availability
– 30 Offices currently providing data, with 1.2 million national phase notifications, updated monthly
• Patent landscaping tools
• Private file inspection
• XML processing
• Terminology database/Multilingual searching
• National patent collections
Future PCT Issues
• Comprehensive review of PCT minimum documentation• PCT solution for color drawings• EPO future proposal for claims fees in PCT• Ramifications for PCT of new US rules on claims and
continuations• Potential for creating online repositories of national and
PCT search and examination reports• New PCT translation paradigm, building on multilingual
searching
Questions?