I. Boutillon – November 2012 - CEIPI 1
Course on the International Patent Filing System:
The Patent Cooperation Treaty (PCT)-- November 2012 --
By: Isabelle BOUTILLONAdjunct Professor, CEIPI
Joint Degree Master Programme in Intellectual Property Law
SS. Cyril and Methodius UniversityIustinianus Primus Law Faculty
andUniversity of Strasbourg (UdS)
Centre for International Intellectual Property Studies (CEIPI)
I. Boutillon – November 2012 - CEIPI 2
Document establishedpartly on the basis of articles published by the author in
« JurisClasseur, LexisNexis, France » and partly on the basis of documentation published bythe World Intellectual Property Organization (WIPO).
I. Boutillon – November 2012 - CEIPI 3
Table of contents I.- Introduction
II.- A few important dates
III.- The PCT: a treaty, a system and a framework
IV.- General overview of the procedure
V.- Procedure step by stepV.-A- Filing V.-B- Search and examinationV.-C- PublicationV.-D- Entry into national phaseV.-E- Access to the file
VI.- Conclusion
I. Boutillon – November 2012 - CEIPI 4
I.- Introduction: about the « PCT »
The « PCT » is an international multilateral treaty
The « PCT » as a treaty is the foundation for the « PCT system »
I. Boutillon – November 2012 - CEIPI 5
I.- Introduction: the PCT system …
is a patent FILING systemsimplifying and streamlining the patent procedure
for obtaining patent protection in multiple countries
for applicants worldwide
is NOT a patent GRANTING systemthere are no « PCT patents »
or « international patents »
is THE ONLY INTERNATIONAL patent filing systemexisting today
[PCT Preamble]
I. Boutillon – November 2012 - CEIPI 6
I.- Introduction
II.- A few important dates
III.- The PCT: a treaty, a system and a framework
IV.- General overview of the procedure
V.- Procedure step by stepV.-A- Filing V.-B- Search and examinationV.-C- PublicationV.-D- Entry into national phaseV.-E- Access to the file
VI.- Conclusion
I. Boutillon – November 2012 - CEIPI 7
II.- A few important dates
Conclusion of the Treaty: June 1970
Entry into force: January 1978
Start of operations: June 1, 197818 Contracting Statessame day as the European Patent Convention (EPC)
Today:146 Contracting StatesMore than 100 offices and International Authorities~180,000 new PCT applications filed per year worldwide
I. Boutillon – November 2012 - CEIPI 8
The Former Yugoslav Republic of Macedonia (MK)
is a PCT Contracting State since August 10, 1995
is a European Patent Convention (EPC) Contracting State since January 1, 2009
is therefore accessible in a PCT application filed by any PCT applicant worldwide
either for a national MK patent or a EP patent designating MK
I. Boutillon – November 2012 - CEIPI 9
I.- Introduction
II.- A few important dates
III.- The PCT: a treaty, a system and a framework
IV.- General overview of the procedure
V.- Procedure step by stepV.-A- Filing V.-B- Search and examinationV.-C- PublicationV.-D- Entry into national phaseV.-E- Access to the file
VI.- Conclusion
I. Boutillon – November 2012 - CEIPI 10
III.- The PCT: a treaty, a system and a framework
International TREATY in the field of patents
"Special agreement" under Article 19 of the Paris Convention
Administered by WIPO
The PCT Contracting States constitute a UNION"International Patent Cooperation Union"
The ASSEMBLY of the Union consists of the Contracting States
[PCT Art. 1]
[PCT Art. 1]
[PCT Art. 53]
I. Boutillon – November 2012 - CEIPI 11
About … Treaty, Cooperation and Patents
TreatyContracting States- which must be countries party to Paris Convention
Cooperation between- national / régional offices- International Authorities- International Bureau of WIPO
Patents- field of patents (protection of inventions)- « patentability » ?
[PCT Art. 1]
[PCT Art. 1]
[PCT Art. 1, 2]
I. Boutillon – November 2012 - CEIPI 12
Existing national / regional Offices
which act also under the PCT as: receiving Offices (RO)International Searching Authorities (ISA) International Preliminary Examining Authorities (IPEA)designated Offices (DO)
International Bureau of WIPO (IB)
PCT Offices and International Authorities
[PCT Art. 2, 10, 16, 22, 32]
[PCT Art. 55]
I. Boutillon – November 2012 - CEIPI 13
receiving Office
International Searching Authority
International Preliminary Examining Authority
designated Officeelected Office
Role of offices and authorities in the PCT procedure
PCT system administration in generalinternational publicationaccess to the files
competent as any national / regional receiving Office,- but in all cases - and also as a safeguard
RO
ISA
IPEA
DO/EO
filing
International search and (unilateral) examination
examination (with possible intervention by applicant)
national phase
IB
RO/IB
International Bureau of WIPO
International Bureau acting as « universal » and « safeguard »
receiving Office
I. Boutillon – November 2012 - CEIPI 14
The PCT, part of the « Patent space »
« Patent space » consist of:
more than 10 instruments- international, such as Paris Convention,
PCT, etc. - regional, such as EPC- bilateral- technical
multiples national / regional legislations[PCT Art. 27]
[PCT Art. 1, 44, 45]
I. Boutillon – November 2012 - CEIPI 15
EPC
EAPC
OAPI
ARIPO
CH - LITREATY
TRIPS Agreement
PLT
Bilateral Agreements with EPO
Budapest Treaty
Strasbourg Arrangement National laws
PCT
Paris Convention
« Patents Space »
I. Boutillon – November 2012 - CEIPI 16
The PCT Texts
8 main types of textarticulated in 5 hierarchical levels
Main legal texts expressly provided for by the Treaty:Regulations, Gazette, Agreements, Administrative Instructions, Fees Guidelines
Other essential texts (legal and/or technical) developed within the framework of the main texts, to assist:
offices, authorities and applicants, patent agents, attorneys
[PCT Art. 58, 55, 16, 32, 58.4; Reg R. 15, 16, 57]
I. Boutillon – November 2012 - CEIPI 17
The PCT Texts structure
RegulationsAgreementsGazette
Guidelines on fees
Administrative Instructions
Guidelines for international search
and examinationGuidelines for
receiving Offices
PCT Applicant’s Guide
PCT Newsletter
PCT Treaty
I. Boutillon – November 2012 - CEIPI 18
The main two PCT Texts
The Treatyconcluded in June 1970modified in September 1979, February 1984 and October 2001
Current version is in force since October 3, 2001
Regulationsadopted in June 1970modified 34 times since
Current version is in force since July 1, 2012Next version will be in force as from January 1, 2013
I. Boutillon – November 2012 - CEIPI 19
I.- Introduction
II.- A few important dates
III.- The PCT: a treaty, a system and a framework
IV.- General overview of the procedure
V.- Procedure step by stepV.-A- Filing V.-B- Search and examinationV.-C- PublicationV.-D- Entry into national phaseV.-E- Access to the file
VI.- Conclusion
I. Boutillon – November 2012 - CEIPI 20
[months]
First filing of the patent
application at the national or
regional stage *
Subsequent filings of national or
regional * applications
claiming the priority of the first filing
In the framework of regional arrangements(ARIPO, EAPC, EPC, OAPI)
**
National or regional * granting
procedures of various length, complexity and
cost*
0 12
IV.- General overview of the procedure: … recalling the traditional patent system under the Paris Convention
I. Boutillon – November 2012 - CEIPI 21
[months]
National phases before
designated offices
International phase
PCT Filing with priority claim
First national or regional filing
12 0 30
The PCT system
I. Boutillon – November 2012 - CEIPI 22
I.- Introduction
II.- A few important dates
III.- The PCT: a treaty, a system and a framework
IV.- General overview of the procedure
V.- Procedure step by stepV.-A- Filing V.-B- Search and examinationV.-C- PublicationV.-D- Entry into national phaseV.-E- Access to the file
VI.- Conclusion
I. Boutillon – November 2012 - CEIPI 23
National phases
(months) priori
ty
181612 0 30
1st step---
PCT filing
2nd step---
international search
and examinati
on (unilateral
)
3rd step---
international
publication
5th step - optional step -
--- international
preliminary examination (continuation of
examination with possible intervention
by applicant)
V.- Procedure step-by-step: the international phase in 5 steps
1922
4th step - optional step
- ---
international supplementary
search
Chapters I and II
of Treaty
Chapter Iof Treaty
I. Boutillon – November 2012 - CEIPI 24
Only TWO critical events:
at 12 months : file a PCT application ?
at 30 months : national phases ? And if so, where ?
Exceptionally:
at 18 months : international publication ?
at 19 months : international supplementary search ?
at 22 months : request for international preliminary
examination (under PCT Chapter II) ?
Main time limits to monitor
I. Boutillon – November 2012 - CEIPI 25
I.- Introduction
II.- A few important dates
III.- The PCT: a treaty, a system and a framework
IV.- General overview of the procedure
V.- Procedure step by stepV.-A- Filing V.-B- Search and examinationV.-C- PublicationV.-D- Entry into national phaseV.-E- Access to the file
VI.- Conclusion
I. Boutillon – November 2012 - CEIPI 26
V.-A- Filing of the international application
The applicantnatural personlegal entity
Where to file: the receiving Officenational Officeregional OfficeInternational Bureau acting as receiving office
[PCT Art. 9; Reg R. 18; Art. 27.3 ]
[PCT Art. 10; Reg R. 19]
I. Boutillon – November 2012 - CEIPI 27
The applicant is the national of a PCT Contracting State or has his residence in a PCT Contracting State
The application is filed with a competent receiving Office
The application (i.e., description, claims) is filed in an accepted language
The application contains the minimum elements :indication « PCT »the designation of at least one PCT Statename of applicantdescriptionat least one claim
Requirements for an international filing date [PCT Art. 11.1]
I. Boutillon – November 2012 - CEIPI 28
Designations of PCT Contracting States
Global and automaticfiling of request = all designations
available on the date of filing
Choice of types of protection : at national phase stage
national / regional patentpatent / other title
No designation fee required
[PCT Art. 4; Reg R. 4.9, 49bis]
[PCT Art. 4.2; Reg R. 15]
[PCT Art. 4, 11.1(iii)(b); Reg R. 4.9]
I. Boutillon – November 2012 - CEIPI 29
Still about the filing
Important elements not required upon filing of the application, which can be submitted subsequently :
feestranslationsignature, power of attorneyabstract
National security requirements to be complied with by applicant before filing
at the International Bureau (as universal and safeguard office for all applicants) or at the European Patent Office (as
regional office)
[PCT Art. 14]
[PCT Reg R. 19.1, 19.4]
I. Boutillon – November 2012 - CEIPI 30
Effects of the international application
International filing = regular national filing
International filing date= effective filing date in each designated
State = starting point of the international phase
= potential priority date (Paris Convention)
[PCT Art. 11.4, Paris Conv.]
[PCT Art. 11.3, 11.4]
I. Boutillon – November 2012 - CEIPI 31
[months]
[months]
International phase
National phases before
designated Offices
International phase
PCT = filing under priority
PCT = first filing or filing outside of priority period
First national or regional filing
12 0
0 30
30
PCT filing with priority claim or without[PCT Art. 8; Reg R.4.10]
I. Boutillon – November 2012 - CEIPI 32
« Priority date »
Priority date is:
[if one priority claimed] = the filing date of the application whose priority is claimed
[if more than one priority is claimed] = filing date of the earliest application whose priority is claimed
[if no priority is claimed] = PCT filing date
Used for the calculation of important time limits
[PCT Art. 2(xi)]
I. Boutillon – November 2012 - CEIPI 33
I.- Introduction
II.- A few important dates
III.- The PCT: a treaty, a system and a framework
IV.- General overview of the procedure
V.- Procedure step by stepV.-A- Filing V.-B- Search and examinationV.-C- PublicationV.-D- Entry into national phaseV.-E- Access to the file
VI.- Conclusion
I. Boutillon – November 2012 - CEIPI 34
Entry into
national phases
1816120 30
Written
opinion
International Search Report
Supplementary International
Search Report
28
International Preliminary Report
on Patentability
IPRP
International
publication
PCT Filing
Priority
V.-B- Search and examination: an overall view
I. Boutillon – November 2012 - CEIPI 35
International Searching Authorities (ISA)
International Preliminary Examining Authorities (IPEA)
International agreements between each ISA/IPEA and the International Bureau
PCT Search and Examination Guidelines
General framework for search and examination
[PCT Art. 16, 32]
I. Boutillon – November 2012 - CEIPI 36
18 ISAs/IPEAs appointed by PCT Union Assemblyof which 15 are in operation
National Offices of the following 13 PCT States: AT Austria, AU Australia, BR Brazil, CA Canada, CN China, ES Spain, FI Finland, IL Israel, JP Japan, KR Republic of Korea, RU Russian Federation, SE Sweden and US
and the following 2 Offices: EPO and Nordic Institute
[The national Offices of EG Egypt, IN India and CL Chile have not yet announced when they will be operational]
Each receiving Office specifies the Authority or Authorities it wishes to make available to its applicants
If several Authorities are competent for a given application, the applicant chooses
International Authorities (ISAs/IPEAs) available
[PCT Art. 16, 32;Reg R. 35, 59]
I. Boutillon – November 2012 - CEIPI 37
1612 0 30
International Search
Report (ISR)
modifications of the claims
2 months
18
Written opinion by ISA
International search and written opinion by International Searching Authority (ISA)
I. Boutillon – November 2012 - CEIPI 38
Purpose of searchrelevant state of the artrelevant date (PCT filing date)
Documentation to be used by ISAminimum PCT documentationother documentation held by ISA
International Search Report (ISR)citations of relevant documentsindication according to the International Patent
Classification (IPC)fields on which the search was carried out
International search
[PCT Art. 15; Reg R. 33]
[PCT Art. 18; Reg R. 43]
[PCT Reg R. 34]
I. Boutillon – November 2012 - CEIPI 39
Characteristicspreliminary, non bindingnovelty ?inventive step ?industrial application ?
First step of the examination procedureobligatory and unilateralon the basis of the PCT application as filed
Relevant date = priority date
Written Opinion by the ISA
[PCT Art. 34; Reg R. 43bis]
[PCT Reg R. 43bis]
I. Boutillon – November 2012 - CEIPI 40
Amend the claims ?
Request international preliminary examination (under Chapter II of the Treaty) ?
If preliminary examination is not requested,conversion of the written opinion into the International Preliminary Report on Patentability under Chapter I of the Treaty (« IPRP Ch. I »)
Applicant’s reply, reaction, next step
[PCT Art. 19; Reg R. 46]
[PCT Art. 31]
[PCT Reg R. 44bis]
I. Boutillon – November 2012 - CEIPI 41
(months)
30
Written
opinion by ISA
International Preliminary Report on Patentability
(IPRP ch.I)
16 18Preliminary examinationrequested
?
22
no
If international preliminary examination is not requested
I. Boutillon – November 2012 - CEIPI 42
30
International Preliminary Report on
Patentability (IPRP ch.II)
Demand for international preliminary examination
28
(2nd) Written
opinion by IPEA
(1rst) Writtenopinion by IPEA
Amendments or arguments (in
response to written opinion by ISA)
Amendments or
arguments (in response
to (2nd) written
opinion by IPEA)
[preferably with]
Preliminaryexamination
requested? 22
yes
Written
opinion by ISA
If international preliminary examination is requested
I. Boutillon – November 2012 - CEIPI 43
Purpose of examinationpreliminary non binding opinionnovelty ?inventive step ?industrial application ?
Examination procedurenot mandatory (upon express request from applicant)not unilateral (applicant’s intervention expected)on the basis of application as filed / modified
and /or with arguments
Relevant date = priority date
International preliminary examination
[PCT Art. 31, 33]
[PCT Art. 31; Reg R. 53, 54]
[PCT Reg R. 64]
I. Boutillon – November 2012 - CEIPI 44
Amend the application (description, claims, drawings)
Present arguments
Ask for an interview with examiner
Do not reply
Wait for IPRP Ch. II to decide whether to enter into national phase and how
Applicant’s reply, reaction, next step
[PCT Art. 34; Reg R. 66]
I. Boutillon – November 2012 - CEIPI 45
At the end of the international phase
« IPRP Ch. I » or « IPRP Ch. II » = closing of the PCT search and examination procedure
there are no appeals possible during the international phase
IPRP = basis for the national examination
even if it does not bind the designated Offices
[PCT Art. 35; Reg R. 44bis]
I. Boutillon – November 2012 - CEIPI 46
I.- Introduction
II.- A few important dates
III.- The PCT: a treaty, a system and a framework
IV.- General overview of the procedure
V.- Procedure step by stepV.-A- Filing V.-B- Search and examinationV.-C- PublicationV.-D- Entry into national phaseV.-E- Access to the file
VI.- Conclusion
I. Boutillon – November 2012 - CEIPI 47
Time limit : shortly after the expiration of 18 months from the priority date
Contentsinternational application per se and the « Gazette » (now referred to as « Official Notifications »)
Language(s) of publication
Effects of publicationstate of the artprovisional protection
V.-C- Publication
[PCT Art. 21; Reg R. 48]
[PCT Art. 55.4); Reg R. 48, 86]
[PCT Reg R. 48]
[PCT Art. 21, 29; Reg R. 33, 34]
I. Boutillon – November 2012 - CEIPI 48
Electronic form of publication
Communication to designated Offices
Prevent publication ?
Postpone publication ?
Advance publication ?
Cases where there will be no publication
A few other questions relating to international publication
[PCT Reg R. 48]
[PCT Art. 20; Reg R. 47]
[PCT Reg R. 90bis.1]
[PCT Reg R. 90bis.3]
[PCT Art. 21.2; Reg R. 48]
[PCT A. 11, 14, 24, 64; Reg R. 29, 90bis]
I. Boutillon – November 2012 - CEIPI 49
I.- Introduction
II.- A few important dates
III.- The PCT: a treaty, a system and a framework
IV.- General overview of the procedure
V.- Procedure step by stepV.-A- Filing V.-B- Search and examinationV.-C- PublicationV.-D- Entry into national phaseV.-E- Access to the file
VI.- Conclusion
I. Boutillon – November 2012 - CEIPI 50
Applicant’s decision initiativewhere (designated office(s))how
General time limit : 30 months from priority date31 or morereinstatement of rights
Early entry
V.-D- Entry into national phase
[PCT Art. 22, 39; Reg R. 49, 76]
[PCT Art. 22, 23, 39, 40]
[PCT Reg R. 49.6]
[PCT Art. 23, 40]
I. Boutillon – November 2012 - CEIPI 51
Granted patents
No national phase Rejection
or abandonme
nt
National phase
National phasesInternational phase12 0 3130
I. Boutillon – November 2012 - CEIPI 52
Applicant must do the following: make an express request for entry into national phasefile a translation of the applicationpay the national fees
The International Bureau transmits to each designated Office, copies of the following documents on behalf of the applicant:
PCT application as publishedpriority documentInternational Search ReportInternational Preliminary Report on
Patentability
Acts which constitute entry into national phase
[PCT Art. 22, 39]
[PCT Art. 20; Reg R. 17.2, 70]
I. Boutillon – November 2012 - CEIPI 53
Furnishing of proofs of allegations / declarationsnames, indications, documents
Requirement for mandatory representationappointment of a local agent or attorney
Substantive conditions of patentabilitydefinition of prior artevidence
National requirements remaining to be complied with upon entry into national phase
[PCT Art. 27.2, 27.3, 27.4; Reg R.51bis]
[PCT Art. 27.7]
[PCT Art. 27.5, 27.6]
I. Boutillon – November 2012 - CEIPI 54
I.- Introduction
II.- A few important dates
III.- The PCT: a treaty, a system and a framework
IV.- General overview of the procedure
V.- Procedure step by stepV.-A- Filing V.-B- Search and examinationV.-C- PublicationV.-D- Entry into national phaseV.-E- Access to the file
VI.- Conclusion
I. Boutillon – November 2012 - CEIPI 55
Who has accessthe applicantany person authorized by the applicantthird parties
To which documents contained in the file of the international application
At which Office or AuthorityInternational Bureaudesignated / elected Officesothers ?
As of when
V.-E- Access to the file of the international application
[PCT Art. 30, 38;Reg R. 17.2, 94]
I. Boutillon – November 2012 - CEIPI 56
[months]
As from 30 months, ACCESS to
certain items relating to examination: ISA written
opinion,IPRP (Ch.I or Ch.II)
12 0 18
As from international publication, ACCESS to all items in the file
other than those relating to examination (Ch. I or
Ch. II)
Before international publication:NO ACCESS
30
National phases: ACCESS according to
national law
IB
IB
IB
DO EO
Access to the file of the international application by third parties
I. Boutillon – November 2012 - CEIPI 57
I.- Introduction
II.- A few important dates
III.- The PCT: a treaty, a system and a framework
IV.- General overview of the procedure
V.- Procedure step by stepV.-A- Filing V.-B- Search and examinationV.-C- PublicationV.-D- Entry into national phaseV.-E- Access to the file
VI.- Conclusion
I. Boutillon – November 2012 - CEIPI 58
VI.- Conclusion (1)
From the viewpoint of the main beneficiaries of the system: the applicant and his agent
advantagessingle proceduregreat flexibilitypredictability of the international
phasemain steps and main time
limits
guaranteesminimum requirementslast minute filingreasonable time limitsnumerous safeguards
I. Boutillon – November 2012 - CEIPI 59
VI.- Conclusion (2)
From the viewpoint of the institutional beneficiaries of the system: the Contracting States, their offices and authorities
predictability of the international phasemain steps and main time limits
sharing of work = reduction of unnecessary duplication in the national
phase
assistance for technical cooperation
I. Boutillon – November 2012 - CEIPI 60
VI.- Conclusion (3)
The only existing international patent filing system
Clear and simple principles
Simple to use with numerous safeguards for applicants
More complex mechanic if various options are used
Major articulation in the international patent system including many treaties and conventions
I. Boutillon – November 2012 - CEIPI 61
VI.- Conclusion (4)
Constant evolution requiring involvement ofContracting StatesIP officesWIPOall users (applicants, agents, other users)
Potential for yet future developments
Top Related