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Introduction to the Patent Cooperation Treaty
Charles PearsonOffice of PCT Legal AdministrationUnited States Patent and Trademark Office
November 2014 Patent Cooperation Treaty 1
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Objectives
• To understand the structure and function of the Patent Cooperation Treaty (PCT)– International and National Stages
• To understand duties and obligations under the Treaty– IB (International Bureau)– RO (receiving Office)– ISA (International Searching Authority)– SISA (Supplementary International Searching Authority)– IPEA (International Preliminary Examining Authority)– DO/EO (Designated Office/Elected Office)
November 2014 Patent Cooperation Treaty 2
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The Patent Cooperation Treaty
• A United Nations Treaty– signed June 1970 – became operational June 1978– administered by the International Bureau
(IB)• of the World Intellectual Property Organization
(WIPO) in Geneva, Switzerland
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International Patent?
• An international application (IA) is filed under the PCT but…– there is no “international patent”– the PCT functions as a patent application filing
system– the IA must still be prosecuted
• in each national or regional office where patent protection is desired
November 2014 Patent Cooperation Treaty 4
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PCT Benefits for Applicants
• Simplifies the process of filing foreign applications– one set of formality requirements– establishes a filing date in all PCT Contracting States
• Postpones costs– for filing in the national/regional offices– translation fees, filing fees, attorney fees
• Provides – an early indication of prior art and – a written opinion as to the novelty, inventive step and
industrial applicability of the claimed invention• Gives extra time for assessment of commercial
viability in designated States
November 2014 Patent Cooperation Treaty 5
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PCT Benefits for Offices
• Provides every regional and national patent Office, where protection is sought, the benefit of– an International Search Report (ISR) and – Written Opinion of the International Searching Authority
(WOISA)– optionally, a Supplementary International Search Report
(SISR)• by a Supplementary International Searching Authority
– optionally, an International Preliminary Report on Patentability (Chapter II) – IPRP (CH II) • by an International Preliminary Examining Authority (IPEA)
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PCT Contracting State
• A country which is a signatory to the PCT
• Eighteen (18) Contracting States in 1978
• Currently 148 Contracting States
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LSAC – December 2014 8
PCT Contracting States
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PCT World Map(148 Contracting States on 03 August 2013)
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LSAC – December 2014 10
International Applications Filed
• In 2013, estimated 205,300 PCT international applications were filed
‒ 57,793 filed in US (28.1% of total PCT filings)
• Since the inception of the PCT system, over 2.5 million international applications have been filed worldwide
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LSAC – December 2014 11
Applications Filed at USPTO
• In 2014, PCT Filings in RO/US increased 11.5% from 2013
• National phase application filing increased 6.4%
Fiscal Year 2008 2009 2010 2011 2012 2013 2014International Applications (RO/US) 54488 47572 45701 48285 52417 56226 62697U.S. National Phase Applications 57345 57879 61587 65463 67573 73488 78213
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The International Application
• A single application– filed together with a Request
• by a resident/national of a PCT Contracting State– filed in one language– filed in one patent Office
• the receiving Office (RO) • usually the applicant's home patent Office
– treated as a national application • in each designated State as of the international filing date
• Formalities in compliance with the PCT – must be accepted during national phase
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Paris Convention Filing Timeline
0 12
Fileapplication
locally
File multipleapplications
abroad
(months)
• Local patent application filed first– multiple foreign applications filed at 12 months, claiming priority
under the Paris Convention• multiple formality requirements• multiple prosecutions of applications• translations and national/regional fees required at 12 months
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PCT Filing Timeline
0
(months)
File first application
Enternational
phase
30
File International Application
12 18
International Publication
• Local patent application filed first– single international application filed at 12 months,
claiming priority under the Paris Convention• one set of formalities requirements• one international phase prosecution• translations and national/regional fees and prosecution not required
until 30 months
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Two Phases of the PCT
• International phase – Chapter I (mandatory)– Chapter II (optional)
• National phase (stage)
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Chapter I
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Chapter I - Filing and Searching
• International application is – filed in a receiving Office (RO)– searched by an International Searching Authority (ISA)
• Documents issued– International Search Report (Form PCT/ISA/210)
• rarely, Declaration of Non-Establishment of ISR (Form PCT/ISA/203)
– Written Opinion of the ISA (Form PCT/ISA/237)• reissued as IPRP (Chapter I) at 30 months (Form PCT/IB/373)
– optional - Supplementary International Search Report (SISR - Form PCT/SISA/501)
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• Optional amendment to claims only, by applicant– filed directly with the IB under PCT Article 19
• complete set of claims• within 2 months of ISR mailing date
• Publication of international application by the IB– with ISR and Article 19 amendments, if any– available on IB web site - PATENTSCOPE
Chapter I - Amendment and Publication
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International Searching Authority (ISA)
• Each PCT Contracting State reaches agreement– with one/more ISA(s) to search international applications filed
in its receiving Office• Applicants who are U.S. residents or nationals
– filing in the RO/US or RO/IB can select as ISA• USPTO• European Patent Office (EPO)• Korean Intellectual Property Office (KIPO) • Australian Patent Office (IPAU)• Russian Federation (Rospatent)• Israel Patent Office (ILPO)
• USPTO acts as ISA for international applications filed in certain other receiving Offices
November 2014 Patent Cooperation Treaty 19
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International Searching and Preliminary Examining Authorities
• AT Austria• AU Australia• BR Brazil• CA Canada• CL Chile• CN China• EG Egypt• EP EPO• ES Spain• UK Ukraine*• SG Singapore*
• FI Finland• IL Israel• IN India• JP Japan• KR Republic of Korea• RU Russian Federation• SE Sweden• US United States• XN Nordic Patent Institute• Chile
*Has not yet commenced operationsNovember 2014 Patent Cooperation Treaty 20
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18|
|File local (priority)
application
0|
12|
16|
(months)
30|
Typically a national patent application in the country of the applicant
28|
PCT System Priority application filed
Date for calculation of all PCT time limits
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18|
|File local (priority)
application
0|
12*|
16|
(months)
30|
28|
PCT System – Chapter IInternational Application Filed
|File
international application
under the PCT
Start of International phase
Typically filed in the same national office international filing/search fees one language one set of formalities legal effect in all PCT States
Chapter I (no Demand filed)Where no priority application is filed, the IFD is the date for calculation of all PCT time limits
*may be more than 12 months where the international application contains a restoration-eligible priority claim
November 2014 Patent Cooperation Treaty 22
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18|
|File local (priority)
application
0|
12*|
16|
(months)
30|
28|
PCT System – Chapter IISR and WOISA Issued
|File PCT
Time limit is the later of: 3 months after the ISA receives
the search copy 9 months after the priority date
Chapter I (no Demand filed)
|International
Search Report (ISR) and Written
Opinion of ISA (WOISA)
ISA: establishes ISR citing relevant prior art
(PCT/ISA/210) rarely, non-establishment of ISR
(PCT/ISA/203) prepares written opinion (PCT/ISA/237)
November 2014 Patent Cooperation Treaty 23
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International Search Report
Form PCT/ISA/210
(second sheet)
Documents Considered to be Relevant
24
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International Search Report Cited Documents (References)
Document Categories
Document Citations & Relevant Passages
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Three Main Categories of Prior Art in an ISR
• “X” document – Claimed invention lacks
• novelty or • inventive step when considered alone (lacks inventive step = obvious)
• “Y” documents – Claimed invention lacks inventive step
• when two or more documents are used in combination
• “A” document – General state of the art reference
November 2014 Patent Cooperation Treaty 26
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• “P” document− intervening reference − published on or after the priority date but before the IFD− listed as “X,P” or “Y,P” or “A,P”
• “O” document− non-written disclosure − published after the IFD− describes earlier oral disclosure− listed as “X,O” or “Y,O” or “A,O”
• “E” document− U.S. or foreign patent or patent application published on or after
the IFD but having a filing or priority date prior to the IFD− listed as “X,E” or “Y,E” or “A,E”
Three Additional Categories of Prior Art in an ISR
November 2014 Patent Cooperation Treaty 27
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Written Opinion of the ISACover Sheet
Form PCT/ISA/237
(cover sheet)
Contents of the WOISA
28
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Written Opinion of the ISABasis of this Opinion
Form PCT/ISA/237
Box No. I
• Basis of this opinion– application as filed
• translated• rectified
– no amendments• in contrast to CH II
November 2014 Patent Cooperation Treaty 29
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WOISAReasoned Statement
Form PCT/ISA/237
Box No. V
Citations and explanations on novelty, inventive step and industrial applicability of the claimed invention
30
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18|
|File local (priority)
application
0|
12*|
16|
(months)
30|
28|
PCT System – Chapter IArticle 19 Amendment Filed
|File PCT
Filed in the IB claim amendments only within 2 months of
ISR/WOISA mailing date
Chapter I (no Demand filed)
|ISR & WOISA
|(optional) Article 19 amendment
November 2014 Patent Cooperation Treaty 31
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18|
|File local (priority)
application
0|
12*|
16|
(months)
30|
28|
PCT System – Chapter IInternational Application Publication
|File PCT
Chapter I (no Demand filed)
|ISR & WOISA
WIPO publishes IA example: WO2013/018714 accessible via DERWENT
database and WIPO website Includes ISR and any
Article 19 amendmentsInternationalPublication
|
|Article 19amendments(optional)
November 2014 Patent Cooperation Treaty 32
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Japanese Language IAPublished under the PCT
Bibliographic Page
English translation of Abstract
(always present where publication is not in English)
33
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Published IA withArticle 19 amendment
First page of Amended Claims
Stamped as AMENDED SHEET (ARTICLE 19)
34
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18|
|File local (priority)
application
0|
12*|
16|
(months)
30|
28|
PCT System – Chapter ISupplementary International Search
|File PCT
Chapter I (no Demand filed)
|ISR & WOISA
|Art19
InternationalPublication
|
19|
|(optional)Supplementary International Search Request
Supplementary International
Search Report(s) (SISR)
established|
SISA: establishes SISR citing relevant
prior art (PCT/SISA/501)originally-filed claims searchedno written opinion produced
Filed in the IB prior to 19 months from priority dateindicates a Supplementary ISA (SISA)
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18|
|File local (priority)
application
0|
12*|
16|
(months)
30|
28|
PCT System – Chapter IIPRP (CH I)
|File PCT
WIPO prepares an IPRP Chapter I using the WOISA (PCT/IB/373)
Chapter I (no Demand filed)
|ISR & WOISA
|Art 19
InternationalPublication
|
|International Preliminary
Report on Patentability
(Chapter I)
November 2014 Patent Cooperation Treaty 36
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Form PCT/IB/373 (cover letter for the WOISA)
IPRP Chapter I
37
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18|
|File local (priority)
application
0|
12*|
16|
(months)
30|
28|
PCT System National Phase Entry from Chapter I
|File PCT
Applicant takes steps to pursue patent protection in various States express intention to enter
national phase pay fees provide translation
Chapter I (no Demand filed)
|ISR & WOISA
|Art 19
InternationalPublication
|
|IPRP (CH I)
Enter national phase
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Chapter II
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Chapter II (optional)Preliminary Examination by the IPEA
• A Demand is filed with an IPEA– usually accompanied by a response to the WOISA
• arguments, and/or• Article 34 amendment to the description, claims, drawings
• Documents issued– International Preliminary Report on Patentability (Chapter II)
(Form PCT/IPEA/409)• usually the only office action issued by the IPEA• no appeal or further prosecution during international stage once
issued
– Written Opinion of the IPEA (Form PCT/IPEA/408) • issued only in extraordinary circumstances
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• Each PCT Contracting State reaches agreement– with one/more IPEA to examine international applications
filed in its receiving Office
• IPEA/US is a competent IPEA – for international applications filed in RO/US– regardless of which ISA performed the search
• IPEA/US may be a competent IPEA for IAs filed – in RO/IB
• with some restrictions– in certain other receiving Offices
• where ISA/US performed the search
International Preliminary Examining Authority (IPEA)
November 2014 Patent Cooperation Treaty 41
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18|
|File local (priority)
application
0|
12*|
16|
(months)
30|
28|
PCT System – Chapter IIFiling of Demand for Chapter II Entry
|File PCT
Applicant “demands” additional examination/analysis
usually based on an amended application and/or arguments
Chapter I
|ISR & WOISA
|Art 19
InternationalPublication
|
22| | | |
File demand for International preliminary examination
Chapter II
Time limit is the later of 3 months from mailing of
ISR (or 203) and WOISA 22 months after the
priority date
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18|
|File local (priority)
application
0|
12*|
16|
(months)
30|
28|
PCT System – Chapter IIIPRP (Chapter II)
|File PCT
International Preliminary Examining Authority (IPEA) prepares non-binding report on
patentability PCT/IPEA/409 &
PCT/IPEA/416
Chapter I
||
ISR & WOISA
|Art 19
InternationalPublication
|
|International Preliminary
Report on Patentability
(Chapter II)
22|
Chapter II
||
Demand
November 2014 Patent Cooperation Treaty 43
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IPRP (CH II)Cover Sheet
Form PCT/IPEA/409
Contents of the IPRP (CH II)
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IPRP (CH II)Basis of the Report
Form PCT/IPEA/409
Box No. I
• Basis of the report– application as amended – in contrast to WOISA
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IPRP (CH II)Reasoned Statement
Form PCT/IPEA/409
Box No. V
Citations and explanations on novelty, inventive step and industrial applicability of the claimed invention
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18|
|File local (priority)
application
0|
12|
16|
(months)
30|
28|
PCT System National Phase Entry from Chapter II
|File PCT
Chapter I
||
ISR & WOISA
|Art 19
InternationalPublication
|
|IPRP(CH II)
22|
Chapter II
||
Demand
Applicant takes steps to pursue patent protection in various States express intention to enter
national phase pay fees provide translation
Enter national phase
November 2014 Patent Cooperation Treaty 47
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The National Stage
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National Stage Requirements
• PCT Articles 22 and 39 require furnishing of the following for national/regional stage entry– a copy of the international application
• unless already provided by the International Bureau
– a translation of the international application • where appropriate
– the national fee
• National/Regional Offices may have additional requirements– PCT Applicant’s Guide provides details
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35 U.S.C. 371(c) Requirements
(1) Basic national fee
(2) Copy of the IA as filed and an English translation, if applicable
(3) Article 19 amendments, if any, and an English translation, if applicable
(4) Oath/declaration complying with 35 U.S.C. 115 and 37 CFR 1.497
(5) English translation of any annexes to the IPER/IPRP (amendments), if applicable
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PATENTSCOPE Available Documents
IPRP(CH I) – PCT/IB/373 and English translation
ISR – PCT/ISA/210
WOISA – PCT/ISA/237and English translation
Priority document
Published international application
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Any questions?
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