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Using the Patent Cooperation Treaty as a Strategic Tool for Business Success. Seminar on Intellectual Property and Creative Small and Medium-sized Enterprises in the Digital Environment Matthew R. Bryan - Director, Patent Cooperation Treaty Legal Division, WIPO (May 21, 2008).

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slide1

Using the Patent Cooperation Treaty as a Strategic Tool for Business Success

Seminar on Intellectual Property and Creative Small and Medium-sized Enterprises in the Digital Environment

Matthew R. Bryan - Director, Patent Cooperation Treaty Legal Division, WIPO

(May 21, 2008)

slide2

1) What is the PCT?

2) The advantages of the PCT

using the traditional patent system to seek international patent protection
Using the traditional patent system to seek international patent protection

File

applications

abroad

0

(months)

12

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

File

application

locally

slide5

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

slide6

The PCT System

--typical use, in more detail

Enter

national

phase

International

publication

(months)

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

Typically a national patent application in the home country of the applicant

slide7

The PCT System

--typical use, in more detail

Enter

national

phase

International

publication

(months)

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

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

slide8

The PCT System

--typical use, in more detail

Enter

national

phase

International

publication

(months)

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

Report on state of the art (prior art documents and their relevance) + initial patentability opinion

slide9

The PCT International Searching Authorities

  • Today: the Patent Offices of
    • Australia
    • Austria
    • Canada
    • China
    • Finland
    • Japan
    • Republic of Korea
    • Russian Federation
    • Spain
    • Sweden
    • United States of America
    • European Patent Office
    • Nordic Patent Institute
  • Soon: the Patent Offices of India and Brazil
slide10

The PCT System

--typical use, in more detail

Disclosing to world content of application in standardized way

Enter

national

phase

International

publication

(months)

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

slide11

The PCT System

--typical use, in more detail

Enter

national

phase

International

publication

(months)

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

Request an additional patentability analysis on basis of amended application

slide12

The PCT System

--typical use, in more detail

Enter

national

phase

International

publication

(months)

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

Additional patentability analysis, designed to assist in national phase decision-making

slide13

The PCT System

--typical use, in more detail

Express intention and take steps to pursue to grant in various states

Enter

national

phase

International

publication

(months)

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

general remarks on the pct system 1
General remarks on the PCT system (1)

The PCT system is a patent “filing” system, not a patent “granting” system. There is no “PCT patent” or “global patent”

The decision on granting patents is made exclusively by national or regional Offices in the national phase

Only inventions may be protected via the PCT by applying for patents, utility models and similar titles

Design and trademark protection cannot be obtained via the PCT. There are separate international conventions dealing with these types of industrial property protection (the Hague Agreement and the Madrid Agreement and Protocol, respectively)

10.02.05

slide15

General remarks on the PCT system (2)

The PCT is administered by WIPO as are other international conventions in the field of industrial property, such as the Paris Convention

PCT signed in June 1970, in Washington, D.C., and became operational in June 1978 with 18 States

slide16

=PCT

139 PCT States

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

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

China

Colombia

Comoros

Congo

Malawi

Malaysia

Mali

Malta

Mauritania

Mexico

Monaco

Mongolia

Montenegro

Morocco

Mozambique

Namibia

Netherlands

New Zealand

Nicaragua

Niger

Nigeria

Norway

Oman

Papua New Guinea

Philippines

St. Kitts and Nevis

Sweden

Switzerland

Syrian Arab Republic

Tajikistan

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

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

Poland

Portugal

Republic of Korea

Republic of Moldova

Romania

Russian Federation

Saint Lucia

Saint Vincent and the Grenadines

San Marino

Sao Tomé e Principe (3 July 08)

Senegal

Seychelles

Sierra Leone

Singapore

Slovakia

Slovenia

South Africa

Spain

Sri Lanka

Sudan

Swaziland

slide17

Growth in PCT filings

Approx. 156,100 total filings in 2007 =

+4.7%

slide20
Most businesses worldwide which seek and use patents share objectives to:
  • control costs while preserving options
  • make informed business decisions
  • use the best tools available when seeking protection

The PCT responds to these objectives

slide21

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. brings the world within reach

5. protects applicant from certain inadvertent errors

6. evolves to meet user needs

7. is used by the world’s major corporations, universities and research institutions when they seek international patent protection

8. allows applicants to apply securely and easily online, and to save money by doing so

slide22

1. Postpones the major costs associated with internationalizing a patent application

slide23

Fees for:

--translations--Office fees--local agents

Fees for:

--translations--Office fees--local agents

Traditional patent system

vs.

PCT system

File

applications

abroad

(months)

12

0

Traditional

File local application

Enter

national

phase

International

publication

(months)

PCT

0

12

16

18

22

28

30

File PCT

application

International

search report & written opinion

(optional)

File demand forInternational

preliminary

examination

(optional)

International

preliminary report on patentability

File local

application

slide24

PCT Costs--in perspective

According to IP Global Estimator, the total cost of hypothetical application (RO/US, ISA/EP, 46 pages/12 claims w/3 independent, national phase in AU, CA, EPO, JP, MX, US, and EP validation in DE, FR, GB, IT, NL & SE, + maintenance fees--from filing until expiration of 12 national phase patents at 20 years from the filing date)would be USD $232,742

The PCT filing fees, including the international search by the EPO, (total: USD $3,637) represented 1.6% of what the PCT applicant could expect to pay throughout the full life of this patent family

If the payment of annual maintenance fees is eliminated from the above calculation, the total amount that the applicant would expect to pay to see his/her patents granted is reduced to USD $86,398. PCT filing fees would then represent 4.2% of this amount

[Estimate date: July 1, 2007]

slide26

Example: international search report

Symbols indicatingwhich aspect of patentability the document cited is relevant to (for example, novelty, inventive step, etc.)

The claim numbersin your application towhich the document isrelevant

Documents relevant to whether or not your invention may be patentable

slide27

Example: written opinion of the ISA

Reasoning supporting the assessment

Patentability assessment of claims

slide28

3. Harmonizes formal requirements

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.”

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.”

slide29

4. Brings the world within reach

How?

PCT application = Legal effect of a regular national patentapplication in all PCT States

slide30

5. 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
slide32

PCT Meetings Calendar

  • MIA meeting—April 7-9, 2008 in Vienna
  • PCT Asia –-April 21-22, 2008, in Singapore
  • PCT Working Group—week of May 26, 2008 in Geneva
  • PCT Assembly—September/October 2008
slide33

7. Is used by the world’s major corporations, universities and research institutions when they seek international patent protection

top pct applicants 2007
Top PCT Applicants (2007)

1. Matsushita Electric—JP (2100)

2. Philips—NL (2041)

3. Siemens—DE (1644)

4. Huawei—CN (1365)

5. Bosch—DE (1146)

6. Toyota—JP (997)

7. Qualcomm—US (974)

8. Microsoft—US (845)

9. Motorola—US (824)

10. Nokia—FI (8922)

11. BASF—DE (810)

12. 3M—US (769)

13. LG Electronics—KR (719)

14. Fujitsu—JP (708)

15. Sharp—JP (702)

16. NEC—JP (626)

17. Intel—US (623)

18. Pioneer—US (611)

19. IBM—US (606)

20. Samsung—KR (598)

slide35

Other PCT users

Nestle (CH)

Novartis (CH)

Colgate Palmolive (US)

L’Oreal (FR)

Rhone Poulenc (FR)

Hoechst (US y DE)

Glaxo (GB)

Leica (CH)

Shell (NL)

Elf (FR)

Salomon (FR)

CNRS (FR)

MIT (US)

University of Texas (US)

CalTech (US)

Johns Hopkins(US)

University of Michigan (US)

Columbia University (US)

Wisconsin Alumni Research Foundation (US)

University of Florida (US)

Stanford University (US)

Daimler Benz (DE)

Volvo (SE)

Ford (US)

Nissan (JP)

Renault (FR)

Honda (JP)

Kawasaki (JP)

Hitachi (JP)

British Telecom (GB)

MCI (US)

AT&T (US)

Boeing (US)

McDonnell Douglas (US)

slide37

1. Prepare application body: in XML using thePCT-SAFEEditor or in PDF

2. Prepare Request using free, WIPO-producedPCT-SAFEsoftware

0101010

1010101

0101010

Signature

3. Electronically sign: WIPO Customer digital certificate or other

4. Transmit (on-line or on CD-R)

5. Receive a receipt (for on-line filings)

PCT Electronic filing overview

slide39

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)
slide40

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: pct.infoline@wipo.int