PCT Update 2012 WIPO-WTO Colloquium for Teachers of intellectual property June 13, 2012

1. PCT Update 2012 WIPO-WTO Colloquium for Teachers of intellectual property June 13, 2012 Matthew Bryan, Director, PCT Legal Division, WIPO

2. (optional) Request for supplementary international search The PCT System (optional) Supplementary international search report International publication (months) 19 0 12 16 18 22 28 30 File local application File PCT application International search report & written opinion (optional) File demand forInternational preliminary examination (optional) International preliminary report on patentability

3. Certain PCT Advantages 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. protects applicant from certain inadvertent errors 5. evolves to meet user needs 6. is used by the world’s major corporations, universities and research institutions when they seek international patent protection

4. The PCT in 1978

5. The PCT Today

6. 146 PCT States =PCT Albania Algeria Angola Antigua and Barbuda Armenia Australia Austria Azerbaijan Bahrain Barbados Belarus Belgium Belize Benin Bosnia and Herzegovina Botswana Brazil Brunei Darussalam (24 July 2012) Bulgaria Burkina Faso Cameroon Canada Central African Republic Chad Chile China Colombia Comoros Congo Costa Rica Côte d'Ivoire Croatia Cuba Cyprus 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 Guatemala Guinea Malawi Malaysia Mali Malta Mauritania Mexico Monaco Mongolia Montenegro Morocco Mozambique Namibia Netherlands New Zealand Nicaragua Niger Nigeria Norway Oman Panama (7 September 2012) Papua New Guinea Peru Philippines Guinea-Bissau Honduras Hungary Iceland India Indonesia Ireland Israel Italy Japan Kazakhstan Kenya Kyrgyzstan Lao People’s Dem Rep. Latvia Lesotho Liberia Libyan Arab Jamahiriya Liechtenstein Lithuania Luxembourg Madagascar St. Kitts and Nevis Sweden Switzerland Syrian Arab Republic Tajikistan Thailand The former Yugoslav Republic of Macedonia Togo Trinidad and Tobago Tunisia Turkey Turkmenistan Uganda Ukraine United Arab Emirates United Kingdom United Republic of Tanzania United States of America Uzbekistan Viet Nam Zambia Zimbabwe Poland Portugal Qatar Republic of Korea Republic of Moldova Romania Rwanda Russian Federation Saint Lucia Saint Vincent and the Grenadines San Marino Sao Tomé e Principe Senegal Serbia Seychelles Sierra Leone Singapore Slovakia Slovenia South Africa Spain Sri Lanka Sudan Swaziland

7. Countries not yet PCT Afghanistan Andorra Argentina Bahamas Bangladesh Bhutan Bolivia Burundi Cambodia Cape Verde Democratic Republic of Congo Djibouti Eritrea Ethiopia Fiji Guyana Haiti Iran (Islamic Republic of) Iraq Jamaica Jordan Kiribati Kuwait Lebanon Maldives Marshall Islands Mauritius Micronesia Myanmar Nauru Nepal Pakistan Palau Paraguay Samoa Saudi Arabia Solomon Islands Somalia South Sudan Suriname Timor-Leste Tonga Tuvalu Uruguay Vanuatu Venezuela Yemen (47)

8. Evolution of PCT use

9. 2 million PCT applications April 14, 2011: event marking the filing of the 2 millionth PCT application

10. PCT Applications CN: +33.4% JP: +20.9% CA: +8.3% KR: +8% US: +8% CH: +6.8% FR: +4.8% SE: +4.1% DE: +4.1% RU: +17.8% BR: +15.6% IN: +13.1% +10.7% in 2011

11. International applications received in 2011 by country of origin

12. International applications received in 2011 by country of origin (cont.)

13. PCT Applications by Field of Technology (2011)

14. Highest filing technical areas (2011)

15. PCT International Searching Authorities The ISAs are the following 17 offices: • Australia • Austria • Brazil • Canada • China • Egypt (not yet operating) • Finland • India (not yet operating) • Israel (June 1, 2012) • Japan • Republic of Korea • Russian Federation • Spain • Sweden • United States of America • European Patent Office • Nordic Patent Institute

16. Top PCT Applicants 2011 • ZTE Corporation—CN (2826) • Panasonic—JP (2463) • Huawei—CN (1831) • Sharp—JP (1755) • Bosch—DE (1518) • Qualcomm—US (1494) • Toyota—JP (1417) • LG Electronics—KR (1336) • Philips—NL (1148) • Ericsson—SE (1116) • NEC—JP (1056) • Siemens—DE (1039) • Mitsubishi Electric—JP (834) • BASF—DE (773) • Samsung Electronics—KR (757) • Nokia—FI (698) • IBM—US (661) • HP—US (591) • 3M—US (563) • Hitachi—JP (547) • By number of PCT applications published in 2011

17. Top University PCT Applicants 2011 • University of California • MIT • University of Texas • Johns Hopkins • Korea Advanced Institute of Science and Technology • Seoul National University • University of Tokyo • University of Michigan • Cornell University • Harvard University • University of Florida • Columbia University • Leland Stanford University • Kyoto University • University of Pennsylvania • Isis Innovation Limited • Korea University • Cal Tech • Osaka University • Arizona State University

18. Top Government/Research Institution PCT Applicants 2011 • Commissariat a l’Energie Atomique et aux Energies Alternatives (FR) • Fraunhofer-Gesellschaft zur Forderung Der Angewandten Forschung e.v. (DE) • Centre National de la Recherche Scientifique (CNRS) (FR) • Agency of Science, Technology and Research (SG) • Consejo Superior de Investigaciones Cientificas (CSIC) (ES) • China Academy of Telecommunications Technology (CN) • Mimos Berhad (MY) • Electronics & Telecommunications Research Institute of Korea (KR) • National Institute of Advanced Industrial Science and Technology (JP) • United States of America, represented by the Secretary, Department of Health and Human Services (US) • Institut National de la Sante et de la Recherche Medicale (INSERM) (FR) • Nederlandse Organisatie voor Toegepast-Natuurwetenschappelijk Onderzoek Tno (NL) • Institute of Microelectronics of Chinese Academy of Sciences (CN) • Battelle Memorial Institute (US) • Council of Scientific and Industrial Research (IN)

19. 3 PCT Goals (1) Improve quality of PCT workproducts Further improve PCT user experience Improve PCT-related infrastructure, in the interests of applicants and Offices

20. 3 PCT Goals (2) Improve quality of PCT workproducts Work with ISAs to improve quality of ISR/WO Third party observation system Office to Office quality feedback mechanism Introduct collaborative PCT search, in cooperation with IP5 Enable search strategy sharing between PCT authorities Further improve PCT user experience Encouraging Offices to withdraw incompatibilities Indication of willingness to license ePCT Color drawings PCT-PPH Improve PCT-related infrastructure facilitate sharing of national, regional and international reports increase in PATENTSCOPE coverage, as well as new features and contents

21. Availability for license • As of January 1, 2012, PCT applicants can indicate in relation to their published applications that the invention is available for license • Such indications can be submitted at the time of filing or until expiration of 30 months from priority • The licensing-related information is: • published in the application bibliographic data • a search criterion in PATENTSCOPE

22. Third Party Observations (1) • Goal: give national offices (and PCT Authorities) better/more complete information on which to base their decisions • System to allow third parties to draw attention to relevant prior art which may have a bearing on ultimately patentability • Web-based system accessible either via qualifying applications in PATENTSCOPE, or via logging into public ePCT and furnishing IA number • Live system scheduled for deployment July 2, 2012 • Modifications to Administrative Instructions and Guidelines being prepared

23. Third Party Observations (2) • Qualifying applications: • published PCT application • within 28 months from priority date • fewer than 10 observations have been made on that IA • 3rd party has not yet made an observation on that IA • 3rd party enters up to 10 citations, briefly indicates how they are relevant, and preferably uploads copies of the patent documents cited • free of charge • identification of submitter required, but can opt to not have identification disclosed to applicant, national offices and public • all submitted observations which pass WIPO review are made available on PATENTSCOPE • third party-uploaded documents not available via PATENTSCOPE but available to IAs/DOs/EOs

24. Third Party Observations (3) • IB’s role: • checks that observation is not obviously “spam” • accepts the observation into the public file or requests modifications if there are obvious errors • notifies the applicant of submission of observations, and invites applicant to respond if desired • makes observations publicly available as separate document in PATENTSCOPE • sends to DO/EOs compilation of all observations per document together with any cited documents, and applicant responses

25. ePCT (1) • Secure application file access and interaction with the pre-publication file • Allows authorized users to: • see the entire content of file, including documents, bibliographic data and status information, including estimated publication date • upload documents directly to the file and view them immediately • manage access rights • download individual documents or packages • set customizable email notifications • timeline graphic displaying key dates and time limits • take certain actions—withdraw IA, withdraw priority claim, 92bis requests • Still in pilot, but available to any applicant irrespective of RO and filing format • Further improvements coming in 2012: • Introduction of integrated web-based efiling with RO/IB and other participating offices • Extension of ePCT to procedures before national Offices in varying capacities (RO, ISA, SISA, IPEA, DO, EO) which wish to participate

26. ePCT (2) • Big picture (WIPO’s vision): • Would like to create a consistent service and electronic interface for all applicants across the entire PCT system, irrespective of which office performs which function • Applicants can interact through this system with all PCT Offices and Authorities • Easier for all offices to access and process PCT applications and related documents • Communication/transmission between all PCT offices and authorities via this system • Fully functional demo version: https://pctdemo.wipo.int/epct

27. WIPO’s position: collaborative search should be part of the future of the PCT PCT past discussions PCT Collaborative Search (and Examination) were important elements of initial “PCT Roadmap” proposal presented at the 2009 PCT WG Most recent status reports at 2012 PCT MIA (PCT/MIA/19/4) and 2012 PCT WG (PCT/WG/5/9) 2nd IP5 pilot is ongoing (USPTO/EPO/KIPO), and WIPO following closely 2nd pilot scheduled for completion summer 2012 Collaborative PCT Search

28. Outcomes of PCT Working Group 2012 • Agreed simplification of PCT Regulations consequential to the America Invents Act, and forwarded for approval to PCT Assembly in October • A number of proposals will be further elaborated/revised for the next session, for example: • availability of WO/ISA earlier than 30 months • obligatory IPEA top-up searches and accelerated processing path • color drawings • expansion of minimum documentation • limited Chapter I claim amendments • simplification of withdrawals • standardized national phase fee reductions for positive reports • SME fee reduction • obligatory recording of search strategies • “Global dossier” • integrate PPH into PCT • Further work to better implement restoration of priority • Future sessions of the WG will include reports on PCT technical assistance provided to developing countries

29. PCT Challenges • Improving the quality of PCT international phase work products • Building trust between patent offices, so that duplicative international phase and national phase processing can be reduced • Trying to keep PCT from being politicized like certain other parts of WIPO’s work • Language issues • 33% of applications filed in Chinese, Japanese and Korean • Helping developing countries benefit from the PCT • 15 countries account for 92.1% of IAs published in 2011 • Making PCT accessible to applicants of all types from all Contracting States (for example, SMEs) • Helping PCT users stay abreast of new developments and strategies • Unscrupulous companies/individuals who want to mislead PCT applicants into paying unrelated and unnecessary fees

33. PCT training options • PCT Distance learning course content available in the 10 PCT publication languages • PCT Webinars • providing free updates on developments in PCT procedures • upon request also for companies, law firms, law school classes, etc. • PCT seminars, training sessions and presentations (in person) • Audio & video conferencing

34. Where to get help on the PCT 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: (+41-22) 338 83 38 Facsimile: (+41-22) 338 83 39 E-mail: pct.infoline@wipo.int

35. PCT and AMC (1) • AMC=WIPO Arbitration and Mediation Center • Going to shortly be announcing a 25% reduction in the Center’s registration and administration fees available where at least one party to the dispute has been named as an applicant or inventor in a published PCT application

36. PCT and AMC (2)