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Developing an International Perspective:
Using the PCT
Jay Erstling
Director, Office of the PCT
World Intellectual Property Organization (WIPO)
Geneva, Switzerland
Overview
• Importance of an international patent strategy
• Role of the PCT
Importance of an international patent strategy
• Intellectual property = a valuable business asset
• Must be:– Planned for– Protected strategically– Managed effectively
in order to be profitable
A successful international patent strategy will allow a company to:
• Steer R&D in worthwhile directions
• Acquire appropriate patent rights in the
“right” countries
• Exploit and enforce patent rights
effectively
• Manage costs
Goals
• Protect core technological advantage• Secure R&D pipeline• Reinforce products’ differentiating features
– Build patent walls
• Control key methods and processes– minimize risk of being blocked
• Leverage product and technology platforms• Balance benefits and costs
Why patent?
• To exclude competition and block copying• To facilitate market entry• To protect/expand market share• To earn income
– Profits from sales of products– Royalty income from licenses
• To raise money– Value of a good search report
• To serve as a negotiating tool in– Strategic alliances, joint ventures, cross
licensing, sales of assets
Managing costs
• Patent wisely by:
– Prioritizing inventions
– Carefully selecting countries
A country-by-country balancing act
• Analyze and balance:– Cost and complexity of obtaining rights– Cost of patent maintenance– Ability to obtain and enforce patents– Strength of the rights available– State of the law
• Against:– Value of the invention– Size of the market– Competitive landscape
Role of the PCT
Traditional patent systems
• Local patent application followed within 12 months by foreign applications in all countries in which protection is sought:– multiple formality requirements– multiple translations– multiple national fees– multiple patent agents
Fileapplications
abroad
120File
applicationlocally
National phase
(month)
PCT filing
Priority
Publication
181612 0 30
Written Opinion of the ISA
International SearchReport
International Preliminary Report on Patentability
(IPRP ch.II)-established by IPEA-
International Preliminary Report on Patentability
(IPRP ch.I) -established by IB-
Overview of the PCT procedure
ch.II international preliminary examination
?
22
No
Yes
28
Benefits of the PCT
• PCT provides time, defers costs, provides valuable information and preserves options:– One application– One Office– One language– An early effective filing date– An information-rich search of the prior art– An opportunity to amend the description and
claims– 18 additional months for patenting decisions– Easy entry into the national phase
Benefits of the PCT (continued)
• PCT:– Delays filing fees– Delays national attorney fees– Delays translation costs– Provides more time:
For testing and technical development
For marketing and commercialization
For licensing and financing
For finalizing selection of countries
– Permits early evaluation of inventions– Facilitates reallocation of IP budget resources
PCT Growth
0
20000
40000
60000
80000
100000
120000
140000
2000 2001 2002 2003 2004 2005
2000 2001 2002 2003 2004 2005Total IAs filed 93,240 108,231 110,390 115,198 122,607 134,073Percent increase 16.1% 2.0% 4.4% 6.4% 9.4%
Country ranking - 2005Applications Growth
USAJapanGermanyFranceUnited KingdomRepublic of KoreaNetherlandsSwitzerlandSwedenChinaCanadaItalyAustraliaFinlandIsrael
45,11125,14515,8705,5225,1154,7474,4353,0962,7842,4522,3152,3092,0221,8661,438
3.9%24.1%4.3%6.5%1.7%
33.5%4.7%6.9%-2.1%43.8%9.8%5.1%
10.0%11.6%17.2%
Ranking based on population - 2005Applications Applications
per million population
Switzerland 3,096 413Finland 1,866 357Sweden 2,784 309Netherlands 4,435 270Israel 1,438 227Japan 25,145 197Germany 15,870 193USA 45,111 152Australia 2,022 100Republic of Korea 4,747 97France 5,522 91United Kingdom 5,115 85Canada 2,315 70Italy 2,309 40China 2,452 2
Top applicants - 2005
1. Philips
2. Matsushita
3. Siemens
4. Nokia
5. Bosch
6. Intel
7. BASF
8. 3M
9. Motorola
10. DaimlerChrysler
11. Kodak
12. Honeywell
13. Ericsson
14. Samsung
15. Procter & Gamble
16. Sony
17. Mitsubishi
18. Dupont
19. Toyota
20. Thomson
Contracting States
• Non-stop growth: over one million applications• Non-stop expansion: 132 Contracting States
PCT: One million applications and still counting---------------------
Thank you