Transcript The Patent Cooperation Treaty (PCT): a tool for facilitating international patent protection for MSMEs Matthew R.

The Patent Cooperation Treaty (PCT):
a tool for facilitating international patent
protection for MSMEs
Matthew R. Bryan - Director, Patent Cooperation Treaty Legal Division, WIPO
International Convention on Intellectual Property and Competitiveness of Micro,
Small and Medium-sized Enterprises (MSMEs), Rome, Italy
December 10, 2009
1) The PCT
2) The PCT’s advantages for SMEs
1) The PCT
Using the traditional patent system to seek
international patent protection
(months)
0
12
File
applications
abroad
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
• 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
142 PCT States
=PCT
Albania
Algeria
Angola
Antigua and Barbuda
Armenia
Australia
Austria
Azerbaijan
Bahrain
Barbados
Belarus
Belgium
Belize
Benin
Bosnia and Herzegovina
Botswana
Brazil
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
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
Malawi
Malaysia
Mali
Malta
Mauritania
Mexico
Monaco
Mongolia
Montenegro
Morocco
Mozambique
Namibia
Netherlands
New Zealand
Nicaragua
Niger
Nigeria
Norway
Oman
Papua New Guinea
Peru
Philippines
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
Seychelles
Sierra Leone
Singapore
Slovakia
Slovenia
South Africa
Spain
Sri Lanka
Sudan
Swaziland
St. Kitts and Nevis
Sweden
Switzerland
Syrian Arab Republic
Tajikistan
Thailand (24 Dec. 2009)
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
Yugoslavia
Zambia
Zimbabwe
The PCT System
--typical use, in more detail
(months)
0
File local
application
Typically a national
patent application in
the home country of
the applicant
12
File PCT
application
(optional)
Request
supplementary
international
International
search
publication
16
18 19
22
International
search report
& written
opinion
(optional)
File
demand for
International
preliminary
examination
Enter
national
phase
28
(optional)
International
preliminary
report on
patentability
30
The PCT System
--typical use, in more detail
(months)
0
12
File local
application
File PCT
application
(optional)
Request
supplementary
international
International
search
publication
16
18 19
22
International
search report
& written
opinion
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
(optional)
File
demand for
International
preliminary
examination
Enter
national
phase
28
(optional)
International
preliminary
report on
patentability
30
The PCT System
--typical use, in more detail
(months)
0
12
File local
application
File PCT
application
(optional)
Request
supplementary
international
International
search
publication
16
18 19
22
International
search report
& written
opinion
Report on state of
the art (prior art
documents and their
relevance) + initial
patentability opinion
(optional)
File
demand for
International
preliminary
examination
Enter
national
phase
28
(optional)
International
preliminary
report on
patentability
30
The PCT System
--typical use, in more detail
Disclosing to world
content of application (optional)
in standardized way Request
(months)
0
12
File local
application
File PCT
application
supplementary
international
International
search
publication
16
18 19
22
International
search report
& written
opinion
(optional)
File
demand for
International
preliminary
examination
Enter
national
phase
28
(optional)
International
preliminary
report on
patentability
30
The PCT System
--typical use, in more detail
(months)
0
12
File local
application
File PCT
application
(optional)
Request
supplementary
international
International
search
publication
16
18 19
22
International
search report
& written
opinion
(optional)
File
demand for
International
preliminary
examination
Enter
national
phase
28
(optional)
International
preliminary
report on
patentability
30
The PCT System
--typical use, in more detail
(months)
0
12
File local
application
File PCT
application
(optional)
Request
supplementary
international
International
search
publication
16
18 19
22
International
search report
& written
opinion
(optional)
File
demand for
International
preliminary
examination
Request an additional
patentability analysis on basis
of amended application
Enter
national
phase
28
(optional)
International
preliminary
report on
patentability
30
The PCT System
--typical use, in more detail
(months)
0
12
File local
application
File PCT
application
(optional)
Request
supplementary
international
International
search
publication
16
18 19
22
International
search report
& written
opinion
(optional)
File
demand for
International
preliminary
examination
Enter
national
phase
28
30
(optional)
International
preliminary
report on
patentability
Additional patentability
analysis, designed to assist
in national phase decisionmaking
The PCT System
--typical use, in more detail
(months)
0
12
File local
application
File PCT
application
(optional)
Request
supplementary
international
International
search
publication
16
18 19
22
International
search report
& written
opinion
(optional)
File
demand for
International
preliminary
examination
Express intention
and take steps to
pursue to grant in
various states
Enter
national
phase
28
(optional)
International
preliminary
report on
patentability
30
PCT Statistics
180000
160000
140000
Jan to August ’09
120000
100000
80000
60000
40000
20000
0
78
80
82
84
86
88
90
92
94
96
98
00
02
04
06
08
International applications received in 2009
by country of origin (Jan-Aug.)
30'000
25'000
20'000
15'000
10'000
5'000
0
US
JP
DE
KR
CN
FR
GB
NL
CH
SE
IT
CA
FI
AU
IL
(2) The PCT’s advantages for MSMEs
Most businesses worldwide which seek to obtain
and use patents share objectives to:
1) control costs while preserving options
2) make informed business decisions
3) use the best tools available when seeking
protection
And MSMEs need to achieve these objectives
more than other businesses
►The PCT responds to these objectives
The PCT, as the cornerstone of the international patent system,
provides a worldwide system for simplified filing and processing of
patent applications, which-1. brings the world within reach
2. harmonizes formal requirements
3. protects applicant from certain inadvertent errors
4. evolves to meet user needs
5. assists applicants in preparing and filing electronic applications,
and saves them money by doing so
6. postpones the major costs associated with internationalizing a
patent application
7. provides a strong basis for patenting decisions
8. maintains a useful collection of disclosed technologies
1. Brings the world within reach
How?
PCT application = Legal effect of a regular national patent
application in all PCT States
2. Harmonizes formal requirements
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.”
PCT Applicant’s 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.”
3. 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
4. Evolves to meet user needs
PCT Meetings
(1) MIA meeting—annual (usually first quarter)
(2) PCT Working Group—annual (usually second quarter)
(3) PCT Assembly—September/October
(4) Conferences—for example:
“PCT China”—Beijing, December 2007
“PCT Asia”—Singapore, April 2008
“PCT for the Americas”—Miami, November 2008
5. assists applicants in preparing and filing
electronic applications, and saves them
money by doing so
PCT Electronic filing overview
1. Prepare application
body: in XML using the
PCT-SAFE Editor or in PDF
2. Prepare Request using
free, WIPO-produced PCTSAFE software
010101
0
101010
1
010101
Signatur 0
e
5. Receive a
receipt (for online filings)
3. Electronically
sign: WIPO
Customer digital
certificate or
other
4. Transmit (online or on CD-R)
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)
6. Postpones the major costs associated with
internationalizing a patent application
Traditional patent system
vs.
PCT system
Fees for:
--translations
--Office fees
--local agents
(months)
Traditional
0
File
applications
abroad
12
Fees for:
--translations
--Office fees
--local agents
File local
application
International
publication
(months)
PCT
0
File local
application
Enter
national
phase
12
16
File PCT
application
International
search report &
written opinion
18
22
28
(optional)
File
demand for
International
preliminary
examination
(optional)
International
preliminary
report on
patentability
30
Future MSME developments
At its June 2010 Working Group meeting, the PCT member states
will consider a WIPO study on a possible MSME fee reduction
7. Provides a strong basis for patenting decisions
The PCT International Searching Authorities
The active ISAs are the following 14 patent offices:
–
–
–
–
–
–
–
–
–
–
–
–
–
–
Australia
Austria
Brazil
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: India
Appointed at the 2009 PCT Assembly: Egypt and Israel
Example: international search report
Symbols indicating
which aspect of
patentability
the document cited is
relevant to (for example,
novelty, inventive step,
etc.)
Documents relevant to
whether or not your
invention may be
patentable
The claim numbers
in your application to
which the document is
relevant
Example: written opinion of the ISA
Reasoning
supporting the
assessment
Patentability
assessment
of claims
8. maintains a useful documentary resource
of disclosed technologies
PCT PatentScope™ database
(1) Almost 1.7 million published PCT applications and certain
associated documents, in multiple languages, searchable
(2) National phase entry data systematically from 36 countries
(3) National patent collections (test interface)
a) ARIPO, Korea, Singapore, South Africa, Cuba, Mexico,
Vietnam, Israel, PCT, All – more to come
b) 10 query language choices, 10 interface language choices,
customizable settings, graphical results, integration of
GoogleTranslate,
PatentScope®
Certain national collections now
searchable via PatentScope®
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: (+41-22) 338 83 38
Facsimile: (+41-22) 338 83 39
E-mail: [email protected]