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Course on the International Patent Filing System:

Joint Degree Master Programme in Intellectual Property Law SS. Cyril and Methodius University Iustinianus Primus Law Faculty and University of Strasbourg (UdS) Centre for International Intellectual Property Studies (CEIPI). Course on the International Patent Filing System:

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Course on the International Patent Filing System:

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  1. Joint Degree Master Programme in Intellectual Property Law SS. Cyril and Methodius University Iustinianus Primus Law Faculty and University of Strasbourg (UdS) Centre for International Intellectual Property Studies (CEIPI) Course on the International Patent Filing System: The Patent Cooperation Treaty (PCT)-- November 2012 -- By: Isabelle BOUTILLON Adjunct Professor, 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).

  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

  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 »

  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]

  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

  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

  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

  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

  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]

  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]

  12. PCT Offices and International Authorities 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 Art. 2, 10, 16, 22, 32] [PCT Art. 55]

  13. Role of offices and authorities in the PCT procedure RO filing International search and (unilateral) examinationexamination (with possible intervention by applicant) national phase receiving Office International Searching AuthorityInternational Preliminary Examining Authoritydesignated Officeelected Office ISA IPEA DO/EO 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 IB International Bureau of WIPO International Bureau acting as « universal » and « safeguard » receiving Office RO/IB

  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 - technicalmultiples national / regional legislations [PCT Art. 1, 44, 45] [PCT Art. 27]

  15. « Patents Space » Paris Convention PCT TRIPS Agreement ARIPO PLT EPC Budapest Treaty National laws EAPC Strasbourg Arrangement OAPI Bilateral Agreements with EPO CH - LITREATY

  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]

  17. The PCT Texts structure PCT Treaty Regulations Gazette Agreements Guidelines on fees Administrative Instructions Guidelines for international search and examination Guidelines forreceiving Offices PCT Applicant’s Guide PCT Newsletter

  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

  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

  20. IV.- General overview of the procedure: … recalling the traditional patent system underthe Paris Convention Subsequent filings of national or regional * applications claiming the priority of the first filing First filing of the patent application at the national or regional stage * [months] 0 12 National or regional * granting procedures of various length, complexity and cost * In the framework of regional arrangements(ARIPO, EAPC, EPC, OAPI) * *

  21. The PCT system PCT Filing with priority claim [months] 0 12 30 International phase First national or regional filing National phases beforedesignated offices

  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

  23. V.- Procedure step-by-step: the international phase in 5 steps Chapter Iof Treaty 2nd step---international search and examination (unilateral) 4th step - optional step - --- international supplementary search 3rd step--- international publication 1st step---PCT filing (months) 30 19 0 12 16 18 22 priority National phases 5th step - optional step - --- international preliminary examination (continuation of examination with possible intervention by applicant) Chapters I and IIof Treaty

  24. Main time limits to monitor 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) ?

  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

  26. V.-A- Filing of the international application [PCT Art. 9; Reg R. 18; Art. 27.3 ] The applicantnatural personlegal entity Where to file: the receiving Officenational Officeregional OfficeInternational Bureau acting as receiving office [PCT Art. 10; Reg R. 19]

  27. Requirements for an international filing date [PCT Art. 11.1] 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 State name of applicant description at least one claim

  28. Designations of PCT Contracting States [PCT Art. 4, 11.1(iii)(b); Reg R. 4.9] 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]

  29. Still about the filing [PCT Art. 14] 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 Reg R. 19.1, 19.4]

  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]

  31. PCT filing with priority claim or without [PCT Art. 8; Reg R.4.10] PCT = filing under priority First national or regional filing [months] 0 12 30 International phase National phases before designated Offices PCT = first filing or filing outside of priority period [months] 0 30 International phase

  32. « Priority date » [PCT Art. 2(xi)] 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

  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

  34. V.-B- Search and examination: an overall view International Preliminary Report on Patentability IPRP International Search Report Supplementary International Search Report Written opinion 0 28 12 16 18 30 International publication Entry into national phases PCT Filing Priority

  35. General framework for search and examination [PCT Art. 16, 32] International Searching Authorities (ISA) International Preliminary Examining Authorities (IPEA) International agreements between each ISA/IPEA and the International Bureau PCT Search and Examination Guidelines

  36. International Authorities (ISAs/IPEAs) available 18 ISAs/IPEAs appointed by PCT Union Assembly of 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 [PCT Art. 16, 32;Reg R. 35, 59]

  37. International search and written opinion by International Searching Authority (ISA) International Search Report (ISR) Written opinion by ISA 0 12 30 16 18 2 months modifications of the claims

  38. International search 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 [PCT Art. 15; Reg R. 33] [PCT Reg R. 34] [PCT Art. 18; Reg R. 43]

  39. Written Opinion by the ISA [PCT Art. 34; Reg R. 43bis] 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 [PCT Reg R. 43bis]

  40. Applicant’s reply, reaction, next step 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 ») [PCT Art. 19; Reg R. 46] [PCT Art. 31] [PCT Reg R. 44bis]

  41. If international preliminary examination is not requested Written opinion by ISA International Preliminary Report on Patentability (IPRP ch.I) no Preliminary examinationrequested? (months) 16 18 30 22

  42. If international preliminary examination is requested (1rst) Writtenopinion by IPEA Written opinion by ISA International Preliminary Report on Patentability (IPRP ch.II) (2nd) Writtenopinion by IPEA Preliminaryexamination requested? 22 Demand for international preliminary examination yes 28 30 [preferably with] Amendments or arguments (in response to (2nd) written opinion by IPEA) Amendments or arguments (in response to written opinion by ISA)

  43. International preliminary examination 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 [PCT Art. 31, 33] [PCT Art. 31; Reg R. 53, 54] [PCT Reg R. 64]

  44. Applicant’s reply, reaction, next step [PCT Art. 34; Reg R. 66] 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

  45. At the end of the international phase [PCT Art. 35; Reg R. 44bis] « 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

  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

  47. V.-C- Publication [PCT Art. 21; Reg R. 48] 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 [PCT Art. 55.4); Reg R. 48, 86] [PCT Reg R. 48] [PCT Art. 21, 29; Reg R. 33, 34]

  48. A few other questions relating to international publication Electronic form of publication Communication to designated Offices Prevent publication ? Postpone publication ? Advance publication ? Cases where there will be no 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]

  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

  50. V.-D- Entry into national phase Applicant’s decision initiativewhere (designated office(s))how General time limit : 30 months from priority date31 or morereinstatement of rights Early entry [PCT Art. 22, 39; Reg R. 49, 76] [PCT Art. 22, 23, 39, 40] [PCT Reg R. 49.6] [PCT Art. 23, 40]

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