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Patent Cooperation Treaty (PCT) Update 2012
National Seminar on the Occasion of Start of Operation as an International Searching and Preliminary Examination Authority
July 2, 2012
Li Maor
Consultant, Division for Certain Countries in Europe and Asia
2
What’s New in 2012
Update on PCT membership and statistics
PCT rule changes
ePCT
Licensing
Third party observations
Office to office feedback
PCT-PPH
PATENTSCOPE
Future PCT changes / improvements
3
The PCT in 1978
4
The PCT Today
5
146 PCT Contracting States
AlbaniaAlgeriaAngolaAntigua and BarbudaArmeniaAustraliaAustriaAzerbaijanBahrainBarbadosBelarusBelgiumBelizeBeninBosnia and HerzegovinaBotswanaBrazilBulgariaBurkina FasoBrunei Darussalam (24 July 2012)CameroonCanadaCentral African RepublicChadChileChinaColombiaComorosCongoCosta RicaCôte d'IvoireCroatiaCubaCyprusCzech RepublicDemocratic People's Republic of KoreaDenmark
DominicaDominican RepublicEcuadorEgyptEl SalvadorEquatorial GuineaEstoniaFinlandFranceGabonGambiaGeorgiaGermanyGhanaGreeceGrenadaGuatemalaGuineaGuinea-BissauHondurasHungaryIcelandIndiaIndonesiaIrelandIsraelItalyJapanKazakhstan
KenyaKyrgyzstanLao People’s Dem Rep.LatviaLesothoLiberiaLibyaLiechtensteinLithuaniaLuxembourgMadagascarMalawiMalaysiaMaliMaltaMauritaniaMexicoMonacoMongoliaMontenegroMorocco
Saint LuciaSaint Vincent and the GrenadinesSan MarinoSao Tomé e PrincipeSenegalSerbiaSeychellesSierra LeoneSingaporeSlovakiaSloveniaSouth AfricaSpainSri LankaSudanSwazilandSwedenSwitzerlandSyrian Arab RepublicTajikistanThailand
The former Yugoslav Republic of MacedoniaTogoTrinidad and Tobago TunisiaTurkeyTurkmenistanUgandaUkraineUnited Arab EmiratesUnited KingdomUnited Republic of TanzaniaUnited States of AmericaUzbekistanViet NamZambiaZimbabwe
MozambiqueNamibiaNetherlandsNew ZealandNicaraguaNigerNigeriaNorwayOmanPanama (7 September 2012)Papua New GuineaPeruPhilippinesPolandPortugalQatarRepublic of Korea Republic of MoldovaRomaniaRwandaRussian FederationSaint Kitts and Nevis
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Countries not yet PCT Contracting StatesAfghanistanAndorraArgentinaBahamasBangladeshBhutanBoliviaBurundiCambodiaCape VerdeDemocratic Republic of CongoDjiboutiEritreaEthiopiaFijiGuyana
HaitiIran (Islamic Republic of)IraqJamaicaJordanKiribatiKuwaitLebanonMaldivesMarshall IslandsMauritiusMicronesiaMyanmarNauruNepalPakistanPalau
ParaguaySamoaSaudi ArabiaSolomon IslandsSomaliaSouth SudanSurinameTimor-LesteTongaTuvaluUruguayVanuatuVenezuelaYemen(47)
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Update on PCT International Authorities (17)(International Search and Preliminary Examining Authorities)
• Australia
• Austria
• Brazil
• Canada
• China
• Egypt (not yet operating)
• Finland
• India (not yet operating)
• Israel (operational since 1 June 2012)
• Japan
• Republic of Korea
• Russian Federation
• Spain
• Sweden
• United States of America
• European Patent Office
• Nordic Patent Institute (Denmark, Iceland, Norway)
8PCT Applications
0
20000
40000
60000
80000
100000
120000
140000
160000
180000
200000
78 80 82 84 86 88 90 92 94 96 98 00 02 04 06 08 10
+10.7% in 2011 almost 182,000 international 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%
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0
5'000
10'000
15'000
20'000
25'000
30'000
35'000
40'000
45'000
50'000
US JP DE CN KR FR GB CH NL SE CA IT FI AU ES IL
International applications received in 2011 by country of origin
10
0
200
400
600
800
1'000
1'200
1'400
AT IN DK BE RU NO SG BR TR IE NZ ZA MY LU PL MX CZ SA HU UA SI CL BB PT GR
International applications received in 2011 by country of origin (cont.)
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Top PCT Applicants (2011)
1. ZTE--CN (2826)
2. Panasonic--JP (2463)
3. Huawei--CN (1831)
4. Sharp--JP (1755)
5. Bosch--DE (1518)
6. Qualcomm--US (1494)
7. Toyota--JP (1417)
8. LG Electronics--KR (1336)
9. Philips--NL (1148)
10. Ericsson--SE (1116)
11. NEC--JP (1056)
12. Siemens--DE (1039)
13. Mitsubishi Electric--JP (834)
14. BASF--DE (773)
15. Samsung Electronics--KR (757)
16. Nokia--FI (698)
17. IBM--US (661)
18. HP--US (591)
19. 3M--US (563)
20. Hitachi--JP (547)
12Israel and the PCTParty to PCT since June 1, 1996
In 2011:
1,452 PCT applications filed with Israel as country of origin
#16 by number of applications filed
#15 by receiving Offices (1,062 filed)
Significant users among Universities
Hebrew University of Jerusalem
Tel Aviv University
Examples of PCT users:
Technion Research and Development Foundation, Ltd.
Teva Pharmaceutical Industries, Ltd.
Ramot at Tel Aviv University Ltd.
Yeda Research and Development Co. Ltd.
Sandisk IL Ltd.
Yissum Research Development Company
13
The ISAs are the following 17 offices:
AustraliaAustriaBrazilCanadaChinaEgypt (not yet operating)FinlandIndia (not yet operating)Israel (as of June 1, 2012)JapanRepublic of KoreaRussian FederationSpainSwedenUnited States of AmericaEuropean Patent OfficeNordic Patent Institute
PCT International Searching Authorities
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PCT Rule Changes 2012
Entry into force on July 1, 2012
(1) Inclusion of Chinese patent documents in the PCT minimum documentation (amended Rule 34)
(2) New Rule 82quater (force majeure)
Excuse of delay in meeting PCT time limits by offices where a time limit could not be met due to war, revolution, civil disorder, strike, natural calamity, etc.
Case by case determination by offices
The Rule does not apply to
the 12 month priority period
the time limit for entry into the national phase
15
ePCT
WIPO online service that provides secure electronic access to the files of PCT applications maintained by the IB
For PCT applications filed as from 1 January 2009
Secure access via ePCT private services requires a WIPO user account and valid digital certificate
Access via ePCT public services for online document upload requires only a basic WIPO user account
Future
online web filing of new PCT applications
Extension of ePCT for use by interested Offices
More information:
https://pct.wipo.int/ePCT
January 2012 edition of the PCT Newsletter
16
ePCT (2) – Main Features
Up-to-date bibliographic data and status informationView processing status of documentsUploaded documents are immediately visible in the file viewAutomatic generation of a signed cover letter for uploaded documents to comply with PCT Rule 92.1 requirementManage access rightsDownload individual documents or packagesSecure messaging for contact with WIPO Processing TeamLeave private notes invisible to the IB and not appearing as part of the application fileHistory of actions takenCustomizable notification preferences (e-mail warnings)Online actions for withdrawals (PCT applications and priority claims) and Rule 92bis changes
17
ePCT (3) – Future Improvements
Online web filing of new PCT applications
NOT currently possible to file PCT applications using ePCT
Further online actions, e.g., withdrawal of Demand, designations and/or elections, request to indicate availability for licensing, etc
Third party observations
Extension of ePCT to interested Offices in their various capacities (RO, ISA, SISA, IPEA, DO, EO)
18
ePCT (3) – Future Improvements
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 functionApplicants can interact through this system with all PCT Offices and AuthoritiesEasier for all offices to access and process PCT applications and related documentsCommunication/transmission between all PCT offices and authorities via this systemFully functional demo version: https://pctdemo.wipo.int/epct
19
PCT Online Document Upload
Existing online document upload (separate from ePCT) to be decommissioned in July 2012
Document upload integrated in ePCT
WIPO User Account (public or private) required to use ePCT document upload
21
Licensing Indications
Applicants can indicate the availability of a PCT application for licensing
New Form PCT/IB/382 “Request for indication of availability for licensing purposes”
Available as from January 1, 2012
Can be submitted at any time prior to the expiration of 30 months from priority
The licensing-related information will be
published in the application bibliographic data
searchable in PATENTSCOPE
22
Third Party Observations (1)
System to allow third parties to submit observations during the international phase indicating why they think the invention is either not new or not inventive
If member states agree, could be expanded to permit observations on clarity and sufficiency of disclosure
Limited to the international phase
Objective is to provide national Offices with the most complete information possible on which to base their decisions
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)Main Features
Web-based system using web-forms in PATENTSCOPE
Free-of-charge
Third party identity may be withheld from the applicant or the public
Submissions possible until the expiration of 28 months from the priority date
Third-party supplied documents will not be available via PATENTSCOPE but will be made available to International Authorities and national Offices
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Third Party Observations (4)Role of the International Bureau
checks that observation is not obviously “spam”accepts the observation into the public file or requests modifications if there are obvious errorsnotifies the applicant of submission of observations, and invites applicant to respond if desiredmakes observations publicly available as separate document in PATENTSCOPEsends to DO/EOs compilation of all observations per document together with any cited documents, and applicant responses
Expected launch in July 2012 (TODAY!)
26
Office to Office Quality Feedback
System being developed that would allow national Offices to provide quality-related feedback to International Authorities (ISA/IPEA/SISA)
Offices providing feedback would upload a file to the International Bureau using PCT Electronic Data Interchange (PCT-EDI)
Feedback will then be communicated by the International Bureau to the International Authority concerned
27
PCT-PPH (1)
Patent Prosecution Highway originally conceived as a bilateral agreement between two patent Offices
Accelerated patent prosecution in the office of second filing based on the work product of the first office
PCT-PPH is an expansion of the original PPH whereby accelerated patent prosecution may be available on the basis of positive PCT work products, e.g., written opinion, IPRP Ch.I or Ch.II
http://www.wipo.int/pct/en/filing/pct_pph.html
28
PCT-PPH (2)
JPO statistics (Jan-June 2011)
Average pendency from PPH request to final decision
Non-PPH: 33.4 months
PPH: 7.4 months
PCT-PPH: 3.5 months
Grant rate
Non-PPH: 58.1%
PPH: 68.3%
PCT-PPH: 93.6%
29
PCT-PPH (3)
USPTO statistics (Jan-June 2011)
Average pendency from PPH request to final decision
Non-PPH: 33.5 months
PPH: 11.6 months
PCT-PPH: 5.5 months
Grant rate
Non-PPH: 47%
PPH: 89%
PCT-PPH: 96%
30
PCT-PPH (4)
“Using PCT-PPH to get US patents faster”—Carl Oppedahl
http://www.youtube.com/watch?v=XnSShsUHXss
Discussions under way to develop a uniform (plurilateral) scheme “PPH 2.0” designed to streamline and simplify the multitude of co-existing bilateral PPH arrangements
31
PATENTSCOPE (1)
National/regional patent collections in PATENTSCOPE (28)Argentina, Brazil, Chile, Colombia, Costa Rica, Cuba, Dominican Republic, Ecuador, El Salvador, Guatemala, Honduras, Israel, Kenya, Mexico, Morocco, Nicaragua, Panama, Peru, Republic of Korea, Russian Federation including USSR, Singapore, South Africa, Spain, Uruguay, Viet Nam, ARIPO, EPO, LATIPATMore than 10 million national and regional patents and applications searchable, including 2 million published PCT applications
On-the-fly translations of PCT descriptions and claims (and patents in national collections) in 52 languages via Google Translate
Special tool for Korean to English applicationsMachine translation tool for titles and abstracts (cut/paste)
En/Fr, Fr/En, En/Cn, Cn/En currentlyKr/En, Jp/En coming soon
32
PATENTSCOPE (2)
New customizable interface for those creating free account
Can save settings (such as default interface and length of search list), save queries, download result list, etc.
National phase information from 43 countries + 3 IGOs
CLIR (Cross-Lingual Information Retrieval)
Allows you to search a term or phrase and its variants in English, French, German, Japanese, Spanish, Chinese, Korean, Russian and Portuguese while entering query in only 1 language
Search PATENTSCOPE on your smartphone
http://www.wipo.int/patentscope/search/mobile/index.jsf
33
PATENTSCOPE (3)
Corpus of English/French PCT titles and abstracts (20 years of data) available for purchase, or free for research purposes
8 million parallel segments/170 million words
Will contribute to improving quality of machine translation systems for patent documents
Other language pairs planned
34
Future PCT Changes / Improvements
Color drawings
ePCT
Collaborative search and examination
Pilot project between the EPO, KIPO and USPTO on the co-production of the ISR and the Written Opinion for PCT applications
Sequence listing standard
35PCT Goals (1)Improve quality of PCT workproducts Work with ISAs to improve quality of ISR/WO Third party observation system O2O quality feedback mechanism Collaborative 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 Priority Document Access Service ePCT Color drawings PCT-PPH
Improve PCT-related infrastructure, in the interests of applicants and Offices facilitate sharing of national, regional and international reports increase in PATENTSCOPE coverage, as well as new features and contents
36
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
2nd IP5 pilot is ongoing (USPTO/EPO/KIPO), and WIPO following closely 2nd pilot scheduled for completion summer 2012
The only real question is how to implement this into the PCT
PCT Goals (2) Collaborative PCT Search
37
PCT Working Group 2012 (1)
America Invents Act
Some PCT Rule changes (estimated entry into force 1 January 2013)
Inventor will no longer need to be named as applicant for the US
Collaborative projects between some offices
provision of training and access to databases to offices from developing countries
Fee reductions
For certain applicants from developing countries and LDCs (SMEs, universities, research institutes)
New discussion paper to be prepared for the PCT Working Group in 2013
38
PCT Working Group 2012 (2)
Further proposals for improvement:
(1) Availability of the Written Opinion at 18 months
(2) Color drawings
As part of international applications filed in electronic form
(3) PCT Minimum Documentation
Discussion of definition and extent
Creation of a task force of the International Authorities
(4) Introduction of a top-up search
Requiring IPEAs to perform during Chapter II examination
Prior art available after establishment of the search report
To be discussed again in more detail at the next Working Group in 2013
39
PCT Resources
More information on the PCT resources website: www.wipo.int/pct
PCT Information Service
Telephone: (+41-22) 338 83 38
Facsimile: (+41-22) 338 83 39
E-mail: [email protected]
Seminars
Distance learning course
Webinars
