Joint Degree Master Programme in Intellectual Property Law

Joint Degree Master Programme in Intellectual Property Law SS. Cyril and Methodius University Iustinianus Primus Law Faculty and University of Strasbourg (Ud. S) Centre for International Intellectual Property Studies (CEIPI) Course on the International Patent Filing System: The Patent Cooperation Treaty (PCT) -- November 2012 -- By: Isabelle BOUTILLON Adjunct Professor, CEIPI I. Boutillon – November 2012 - CEIPI 1

Document established partly on the basis of articles published by the author in « Juris. Classeur, Lexis. Nexis, France » and partly on the basis of documentation published by the World Intellectual Property Organization (WIPO). I. Boutillon – November 2012 - CEIPI 2

Table of contents I. - Introduction II. - A few important dates III. - The PCT: a treaty, a system and a framework IV. - General overview of the procedure V. - Procedure step by step V. -A- Filing V. -B- Search and examination V. -C- Publication V. -D- Entry into national phase V. -E- Access to the file VI. - Conclusion I. Boutillon – November 2012 - CEIPI 3

I. - Introduction: about the « PCT » The « PCT » is an international multilateral treaty The « PCT » as a treaty is the foundation for the « PCT system » I. Boutillon – November 2012 - CEIPI 4

I. - Introduction: the PCT system … is a patent FILING system simplifying and streamlining the patent procedure for obtaining patent protection in multiple countries for applicants worldwide [PCT Preamble] is NOT a patent GRANTING system there are no « PCT patents » or « international patents » is THE ONLY INTERNATIONAL patent filing system existing today I. Boutillon – November 2012 - CEIPI 5

I. - Introduction II. - A few important dates III. - The PCT: a treaty, a system and a framework IV. - General overview of the procedure V. - Procedure step by step V. -A- Filing V. -B- Search and examination V. -C- Publication V. -D- Entry into national phase V. -E- Access to the file VI. - Conclusion I. Boutillon – November 2012 - CEIPI 6

II. - A few important dates Conclusion of the Treaty: June 1970 Entry into force: January 1978 Start of operations: June 1, 1978 18 Contracting States same day as the European Patent Convention (EPC) Today: 146 Contracting States More than 100 offices and International Authorities ~180, 000 new PCT applications filed per year worldwide I. Boutillon – November 2012 - CEIPI 7

The Former Yugoslav Republic of Macedonia (MK) is a PCT Contracting State since August 10, 1995 is a European Patent Convention (EPC) Contracting State since January 1, 2009 is therefore accessible in a PCT application filed by any PCT applicant worldwide either for a national MK patent or a EP patent designating MK I. Boutillon – November 2012 - CEIPI 8

I. - Introduction II. - A few important dates III. - The PCT: a treaty, a system and a framework IV. - General overview of the procedure V. - Procedure step by step V. -A- Filing V. -B- Search and examination V. -C- Publication V. -D- Entry into national phase V. -E- Access to the file VI. - Conclusion I. Boutillon – November 2012 - CEIPI 9

III. - The PCT: a treaty, a system and a framework International TREATY in the field of patents "Special agreement" under Article 19 of the Paris Convention Administered by WIPO [PCT Art. 1] The PCT Contracting States constitute a UNION "International Patent Cooperation Union" [PCT Art. 1] The ASSEMBLY of the Union consists of the Contracting States I. Boutillon – November 2012 - CEIPI [PCT Art. 53] 10

About … Treaty, Cooperation and Patents [PCT Art. 1] Treaty Contracting States - which must be countries party to Paris Convention Cooperation between - national / régional offices - International Authorities - International Bureau of WIPO Patents - field of patents (protection of inventions) - « patentability » ? I. Boutillon – November 2012 - CEIPI [PCT Art. 1] [PCT Art. 1, 2] 11

PCT Offices and International Authorities Existing national / regional Offices [PCT Art. 2, 10, 16, 22, 32] which act also under the PCT as: receiving Offices (RO) International Searching Authorities (ISA) International Preliminary Examining Authorities (IPEA) designated Offices (DO) International Bureau of WIPO (IB) I. Boutillon – November 2012 - CEIPI [PCT Art. 55] 12

Role of offices and authorities in the PCT procedure receiving Office International Searching Authority International Preliminary Examining Authority designated Office elected Office International Bureau of WIPO International Bureau acting as « universal » and « safeguard » receiving Office I. Boutillon – November 2012 - CEIPI RO filing ISA International search and (unilateral) examination IPEA DO/EO examination (with possible intervention by applicant) national phase IB PCT system administration in general international publication access to the files RO/IB competent as any national / regional receiving Office, - but in all cases - and also as a safeguard 13

The PCT, part of the « Patent space » consist of: more than 10 instruments - international, such as Paris Convention, PCT, etc. - regional, such as EPC [PCT Art. 1, 44, 45] - bilateral - technical multiples national / regional legislations [PCT Art. 27] I. Boutillon – November 2012 - CEIPI 14

« Patents Space » Paris Convention PCT TRIPS Agreement ARIPO PLT EPC Budapest Treaty EAPC Strasbourg Arrangement OAPI CH - LI TREATY I. Boutillon – November 2012 - CEIPI National laws Bilateral Agreements with EPO 15

The PCT Texts 8 main types of text articulated in 5 hierarchical levels Main legal texts expressly provided for by the Treaty: Regulations, Gazette, Agreements, Administrative Instructions, Fees Guidelines [PCT Art. 58, 55, 16, 32, 58. 4; Reg R. 15, 16, 57] Other essential texts (legal and/or technical) developed within the framework of the main texts, to assist: offices, authorities and applicants, patent agents, attorneys I. Boutillon – November 2012 - CEIPI 16

The PCT Texts structure PCT Treaty Gazette Agreements Regulations Guidelines on fees Guidelines for international search and examination Administrative Instructions Guidelines for receiving Offices PCT Applicant’s Guide PCT Newsletter I. Boutillon – November 2012 - CEIPI 17

The main two PCT Texts The Treaty concluded in June 1970 modified in September 1979, February 1984 and October 2001 Current version is in force since October 3, 2001 Regulations adopted in June 1970 modified 34 times since Current version is in force since July 1, 2012 Next version will be in force as from January 1, 2013 I. Boutillon – November 2012 - CEIPI 18

I. - Introduction II. - A few important dates III. - The PCT: a treaty, a system and a framework IV. - General overview of the procedure V. - Procedure step by step V. -A- Filing V. -B- Search and examination V. -C- Publication V. -D- Entry into national phase V. -E- Access to the file VI. - Conclusion I. Boutillon – November 2012 - CEIPI 19

IV. - General overview of the procedure: … recalling the traditional patent system under the Paris Convention First filing of the patent application at the national or regional stage * [months] 0 * In the framework of regional arrangements * (ARIPO, EAPC, EPC, OAPI) * I. Boutillon – November 2012 - CEIPI Subsequent filings of national or regional * applications claiming the priority of the first filing 12 National or regional * granting procedures of various length, complexity and cost 20

The PCT system PCT Filing with priority claim [months] 0 12 International phase 30 First national or regional filing National phases before designated offices I. Boutillon – November 2012 - CEIPI 21

I. - Introduction II. - A few important dates III. - The PCT: a treaty, a system and a framework IV. - General overview of the procedure V. - Procedure step by step V. -A- Filing V. -B- Search and examination V. -C- Publication V. -D- Entry into national phase V. -E- Access to the file VI. - Conclusion I. Boutillon – November 2012 - CEIPI 22

V. - Procedure step-by-step: the international phase in 5 steps Chapter I of Treaty 1 st step --PCT filing (months) 0 2 nd step --international search and examination (unilateral) 12 priority Chapters I and II of Treaty I. Boutillon – November 2012 - CEIPI 3 rd step --international publication 16 18 19 4 th step - optional step --international supplementary search 22 5 th step - optional step --international preliminary examination (continuation of examination with possible intervention by applicant) 30 National phases 23

Main time limits to monitor Only TWO critical events: at 12 months : file a PCT application ? at 30 months : national phases ? And if so, where ? Exceptionally: at 18 months : international publication ? at 19 months : international supplementary search ? at 22 months : request for international preliminary examination (under PCT Chapter II) ? I. Boutillon – November 2012 - CEIPI 24

I. - Introduction II. - A few important dates III. - The PCT: a treaty, a system and a framework IV. - General overview of the procedure V. - Procedure step by step V. -A- Filing V. -B- Search and examination V. -C- Publication V. -D- Entry into national phase V. -E- Access to the file VI. - Conclusion I. Boutillon – November 2012 - CEIPI 25

V. -A- Filing of the international application The applicant natural person legal entity [PCT Art. 9; Reg R. 18; Art. 27. 3 ] [PCT Art. 10; Where to file: the receiving Office Reg R. 19] national Office regional Office International Bureau acting as receiving office I. Boutillon – November 2012 - CEIPI 26

Requirements for an international filing date [PCT Art. 11. 1] The applicant is the national of a PCT Contracting State or has his residence in a PCT Contracting State The application is filed with a competent receiving Office The application (i. e. , description, claims) is filed in an accepted language The application contains the minimum elements : indication « PCT » the designation of at least one PCT State name of applicant description at least one claim I. Boutillon – November 2012 - CEIPI 27

Designations of PCT Contracting States Global and automatic filing of request = all designations available on the date of filing [PCT Art. 4, 11. 1(iii)(b); Reg R. 4. 9] Choice of types of protection : at national phase stage national / regional patent / other title No designation fee required I. Boutillon – November 2012 - CEIPI [PCT Art. 4; Reg R. 4. 9, 49 bis] [PCT Art. 4. 2; Reg R. 15] 28

Still about the filing [PCT Art. 14] Important elements not required upon filing of the application, which can be submitted subsequently : fees translation signature, power of attorney abstract [PCT Reg R. 19. 1, 19. 4] National security requirements to be complied with by applicant before filing at the International Bureau (as universal and safeguard office for all applicants) or at the European Patent Office (as regional office) I. Boutillon – November 2012 - CEIPI 29

Effects of the international application International filing = regular national filing [PCT Art. 11. 4, Paris Conv. ] International filing date = effective filing date in each designated State = starting point of the international phase = potential priority date (Paris Convention) [PCT Art. 11. 3, 11. 4] I. Boutillon – November 2012 - CEIPI 30

PCT filing with priority claim or without [PCT Art. 8; Reg R. 4. 10] First national or regional filing [months] 0 PCT = filing under priority 12 International phase 30 National phases before designated Offices PCT = first filing or filing outside of priority period [months] 0 30 International phase I. Boutillon – November 2012 - CEIPI 31

« Priority date » [PCT Art. 2(xi)] Priority date is: [if one priority claimed] = the filing date of the application whose priority is claimed [if more than one priority is claimed] = filing date of the earliest application whose priority is claimed [if no priority is claimed] = PCT filing date Used for the calculation of important time limits I. Boutillon – November 2012 - CEIPI 32

I. - Introduction II. - A few important dates III. - The PCT: a treaty, a system and a framework IV. - General overview of the procedure V. - Procedure step by step V. -A- Filing V. -B- Search and examination V. -C- Publication V. -D- Entry into national phase V. -E- Access to the file VI. - Conclusion I. Boutillon – November 2012 - CEIPI 33

V. -B- Search and examination: an overall view International Search Report 0 Priority 12 Written opinion 16 PCT Filing I. Boutillon – November 2012 - CEIPI 18 International publication Supplementary International Search Report International Preliminary Report on Patentability IPRP 28 30 Entry into national phases 34

General framework for search and examination [PCT Art. 16, 32] International Searching Authorities (ISA) International Preliminary Examining Authorities (IPEA) International agreements between each ISA/IPEA and the International Bureau PCT Search and Examination Guidelines I. Boutillon – November 2012 - CEIPI 35

International Authorities (ISAs/IPEAs) available 18 ISAs/IPEAs appointed by PCT Union Assembly of which 15 are in operation National Offices of the following 13 PCT States: AT Austria, AU Australia, BR Brazil, CA Canada, CN China, ES Spain, FI Finland, IL Israel, JP Japan, KR Republic of Korea, RU Russian Federation, SE Sweden and US and the following 2 Offices: EPO and Nordic Institute [The national Offices of EG Egypt, IN India and CL Chile have not yet announced when they will be operational] Each receiving Office specifies the Authority or Authorities it wishes to make available to its applicants If several Authorities are competent for a given application, the applicant chooses [PCT Art. 16, 32; I. Boutillon – November 2012 - CEIPI Reg R. 35, 59] 36

International search and written opinion by International Searching Authority (ISA) International Search Report (ISR) 0 12 Written opinion by ISA 16 18 30 2 months modifications of the claims I. Boutillon – November 2012 - CEIPI 37

International search Purpose of search relevant state of the art relevant date (PCT filing date) Documentation to be used by ISA minimum PCT documentation other documentation held by ISA [PCT Art. 15; Reg R. 33] [PCT Reg R. 34] International Search Report (ISR) [PCT Art. 18; Reg R. 43] citations of relevant documents indication according to the International Patent Classification (IPC) fields on which the search was carried out I. Boutillon – November 2012 - CEIPI 38

Written Opinion by the ISA Characteristics preliminary, non binding novelty ? inventive step ? industrial application ? [PCT Art. 34; Reg R. 43 bis] First step of the examination procedure obligatory and unilateral on the basis of the PCT application as filed Relevant date = priority date I. Boutillon – November 2012 - CEIPI [PCT Reg R. 43 bis] 39

Applicant’s reply, reaction, next step Amend the claims ? [PCT Art. 19; Reg R. 46] Request international preliminary examination (under Chapter II of the Treaty) ? [PCT Art. 31] If preliminary examination is not requested, conversion of the written opinion into the International Preliminary Report on Patentability under Chapter I of the Treaty ( « IPRP Ch. I » ) [PCT Reg R. 44 bis] I. Boutillon – November 2012 - CEIPI 40

If international preliminary examination is not requested Written opinion by ISA (months) I. Boutillon – November 2012 - CEIPI 16 no 18 22 Preliminary examination requested ? International Preliminary Report on Patentability (IPRP ch. I) 30 41

If international preliminary examination is requested (1 rst) Written opinion by ISA Written opinion by IPEA Preliminary examination requested ? yes opinion by IPEA International Preliminary Report on Patentability (IPRP ch. II) 22 Demand for international preliminary examination [preferably with] Amendments or arguments (in response to written opinion by ISA) I. Boutillon – November 2012 - CEIPI (2 nd) Written 28 30 Amendments or arguments (in response to (2 nd) written opinion by IPEA) 42

International preliminary examination Purpose of examination preliminary non binding opinion novelty ? inventive step ? industrial application ? [PCT Art. 31, 33] [PCT Art. 31; Reg R. 53, 54] Examination procedure not mandatory (upon express request from applicant) not unilateral (applicant’s intervention expected) on the basis of application as filed / modified and /or with arguments Relevant date = priority date I. Boutillon – November 2012 - CEIPI [PCT Reg R. 64] 43

Applicant’s reply, reaction, next step [PCT Art. 34; Reg R. 66] Amend the application (description, claims, drawings) Present arguments Ask for an interview with examiner Do not reply Wait for IPRP Ch. II to decide whether to enter into national phase and how I. Boutillon – November 2012 - CEIPI 44

At the end of the international phase [PCT Art. 35; Reg R. 44 bis] « IPRP Ch. I » or « IPRP Ch. II » = closing of the PCT search and examination procedure there are no appeals possible during the international phase IPRP = basis for the national examination even if it does not bind the designated Offices I. Boutillon – November 2012 - CEIPI 45

I. - Introduction II. - A few important dates III. - The PCT: a treaty, a system and a framework IV. - General overview of the procedure V. - Procedure step by step V. -A- Filing V. -B- Search and examination V. -C- Publication V. -D- Entry into national phase V. -E- Access to the file VI. - Conclusion I. Boutillon – November 2012 - CEIPI 46

V. -C- Publication [PCT Art. 21; Reg R. 48] Time limit : shortly after the expiration of 18 months from the priority date Contents [PCT Art. 55. 4); Reg R. 48, 86] international application per se and the « Gazette » (now referred to as « Official Notifications » ) Language(s) of publication Effects of publication state of the art provisional protection I. Boutillon – November 2012 - CEIPI [PCT Reg R. 48] [PCT Art. 21, 29; Reg R. 33, 34] 47

A few other questions relating to international publication Electronic form of publication Communication to designated Offices [PCT Reg R. 48] [PCT Art. 20; Reg R. 47] Prevent publication ? [PCT Reg R. 90 bis. 1] Postpone publication ? [PCT Reg R. 90 bis. 3] Advance publication ? [PCT Art. 21. 2; Reg R. 48] Cases where there will be no publication [PCT A. 11, 14, 24, 64; Reg R. 29, 90 bis] I. Boutillon – November 2012 - CEIPI 48

I. - Introduction II. - A few important dates III. - The PCT: a treaty, a system and a framework IV. - General overview of the procedure V. - Procedure step by step V. -A- Filing V. -B- Search and examination V. -C- Publication V. -D- Entry into national phase V. -E- Access to the file VI. - Conclusion I. Boutillon – November 2012 - CEIPI 49

V. -D- Entry into national phase Applicant’s decision initiative where (designated office(s)) how General time limit : 30 months from priority date 31 or more reinstatement of rights Early entry I. Boutillon – November 2012 - CEIPI [PCT Art. 22, 39; Reg R. 49, 76] [PCT Art. 22, 23, 39, 40] [PCT Reg R. 49. 6] [PCT Art. 23, 40] 50

National phase 0 12 International phase 30 31 National phases Granted patents No national phase I. Boutillon – November 2012 - CEIPI Rejection or abandonment 51

Acts which constitute entry into national phase [PCT Art. 22, 39] Applicant must do the following: make an express request for entry into national phase file a translation of the application pay the national fees The International Bureau transmits to each designated Office, copies of the following documents on behalf of the applicant: [PCT Art. 20; PCT application as published Reg R. 17. 2, 70] priority document International Search Report International Preliminary Report on Patentability I. Boutillon – November 2012 - CEIPI 52

National requirements remaining to be complied with upon entry into national phase Furnishing of proofs of allegations / declarations names, indications, documents [PCT Art. 27. 2, 27. 3, 27. 4; Reg R. 51 bis] Requirement for mandatory representation appointment of a local agent or attorney Substantive conditions of patentability definition of prior art evidence I. Boutillon – November 2012 - CEIPI [PCT Art. 27. 7] [PCT Art. 27. 5, 27. 6] 53

I. - Introduction II. - A few important dates III. - The PCT: a treaty, a system and a framework IV. - General overview of the procedure V. - Procedure step by step V. -A- Filing V. -B- Search and examination V. -C- Publication V. -D- Entry into national phase V. -E- Access to the file VI. - Conclusion I. Boutillon – November 2012 - CEIPI 54

V. -E- Access to the file of the international application Who has access the applicant any person authorized by the applicant third parties [PCT Art. 30, 38; Reg R. 17. 2, 94] To which documents contained in the file of the international application At which Office or Authority International Bureau designated / elected Offices others ? As of when I. Boutillon – November 2012 - CEIPI 55

Access to the file of the international application by third parties IB IB [months] As from 30 months, ACCESS to certain items relating to examination: ISA written opinion, IPRP (Ch. I or Ch. II) Before international publication: NO ACCESS 0 12 18 30 IB As from international publication, ACCESS to all items in the file other than those relating to examination (Ch. I or Ch. II) I. Boutillon – November 2012 - CEIPI DO EO National phases: ACCESS according to national law 56

I. - Introduction II. - A few important dates III. - The PCT: a treaty, a system and a framework IV. - General overview of the procedure V. - Procedure step by step V. -A- Filing V. -B- Search and examination V. -C- Publication V. -D- Entry into national phase V. -E- Access to the file VI. - Conclusion I. Boutillon – November 2012 - CEIPI 57

VI. - Conclusion (1) From the viewpoint of the main beneficiaries of the system: the applicant and his agent advantages single procedure great flexibility predictability of the international phase main steps and main time limits guarantees minimum requirements last minute filing reasonable time limits numerous safeguards I. Boutillon – November 2012 - CEIPI 58

VI. - Conclusion (2) From the viewpoint of the institutional beneficiaries of the system: the Contracting States, their offices and authorities predictability of the international phase main steps and main time limits sharing of work = reduction of unnecessary duplication in the national phase assistance for technical cooperation I. Boutillon – November 2012 - CEIPI 59

VI. - Conclusion (3) The only existing international patent filing system Clear and simple principles Simple to use with numerous safeguards for applicants More complex mechanic if various options are used Major articulation in the international patent system including many treaties and conventions I. Boutillon – November 2012 - CEIPI 60

VI. - Conclusion (4) Constant evolution requiring involvement of Contracting States IP offices WIPO all users (applicants, agents, other users) Potential for yet future developments I. Boutillon – November 2012 - CEIPI 61

The end. I. Boutillon – November 2012 - CEIPI 62