1. I. Boutillon – November 2012 - CEIPI1 Course on the International Patent Filing System: The Patent Cooperation Treaty (PCT) -- November 2012 -- By: Isabelle BOUTILLON Adjunct Professor, CEIPI Joint Degree Master Programme in Intellectual Property Law SS. Cyril and Methodius University Iustinianus Primus Law Faculty and University of Strasbourg (UdS) Centre for International Intellectual Property Studies (CEIPI)

2. I. Boutillon – November 2012 - CEIPI2 Document established partly on the basis of articles published by the author in « JurisClasseur, LexisNexis, France » and partly on the basis of documentation published by the World Intellectual Property Organization (WIPO).

3. I. Boutillon – November 2012 - CEIPI3 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

4. I. Boutillon – November 2012 - CEIPI4 I.- Introduction: about the « PCT » The « PCT » is an international multilateral treaty The « PCT » as a treaty is the foundation for the « PCT system »

5. I. Boutillon – November 2012 - CEIPI5 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 is NOT a patent GRANTING system there are no « PCT patents » or « international patents » is THE ONLY INTERNATIONAL patent filing system existing today [PCT Preamble]

6. I. Boutillon – November 2012 - CEIPI6 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

7. I. Boutillon – November 2012 - CEIPI7 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

8. I. Boutillon – November 2012 - CEIPI8 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

9. I. Boutillon – November 2012 - CEIPI9 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

10. I. Boutillon – November 2012 - CEIPI10 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 The PCT Contracting States constitute a UNION "International Patent Cooperation Union" The ASSEMBLY of the Union consists of the Contracting States [PCT Art. 1] [PCT Art. 53]

11. I. Boutillon – November 2012 - CEIPI11 About … Treaty, Cooperation and Patents 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 » ? [PCT Art. 1] [PCT Art. 1, 2]

12. I. Boutillon – November 2012 - CEIPI12 Existing national / regional Offices 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) PCT Offices and International Authorities [PCT Art. 2, 10, 16, 22, 32] [PCT Art. 55]

13. I. Boutillon – November 2012 - CEIPI13 receiving Office International Searching Authority International Preliminary Examining Authority designated Office elected Office Role of offices and authorities in the PCT procedure PCT system administration in general international publication access to the files competent as any national / regional receiving Office, - but in all cases - and also as a safeguard RO ISA IPEA DO/EO filing International search and (unilateral) examination examination (with possible intervention by applicant) national phase IB RO/IB International Bureau of WIPO International Bureau acting as « universal » and « safeguard » receiving Office

14. I. Boutillon – November 2012 - CEIPI14 The PCT, part of the « Patent space » « Patent space » consist of: more than 10 instruments - international, such as Paris Convention, PCT, etc. - regional, such as EPC - bilateral - technical multiples national / regional legislations [PCT Art. 27] [PCT Art. 1, 44, 45]

15. I. Boutillon – November 2012 - CEIPI15 EPC EAPC OAPI ARIPO CH - LI TREATY TRIPS Agreement PLT Bilateral Agreements with EPO Budapest Treaty Strasbourg Arrangement National laws PCT Paris Convention « Patents Space »

16. I. Boutillon – November 2012 - CEIPI16 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 Other essential texts (legal and/or technical) developed within the framework of the main texts, to assist: offices, authorities and applicants, patent agents, attorneys [PCT Art. 58, 55, 16, 32, 58.4; Reg R. 15, 16, 57]

17. I. Boutillon – November 2012 - CEIPI17 The PCT Texts structure Regulations AgreementsGazette Guidelines on fees Administrative Instructions Guidelines for international search and examination Guidelines for receiving Offices PCT Applicant’s Guide PCT Newsletter PCT Treaty

18. I. Boutillon – November 2012 - CEIPI18 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

19. I. Boutillon – November 2012 - CEIPI19 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

20. I. Boutillon – November 2012 - CEIPI20 [months] First filing of the patent application at the national or regional stage * Subsequent filings of national or regional * applications claiming the priority of the first filing In the framework of regional arrangements (ARIPO, EAPC, EPC, OAPI) * * National or regional * granting procedures of various length, complexity and cost * 012 IV.- General overview of the procedure: … recalling the traditional patent system under the Paris Convention

21. I. Boutillon – November 2012 - CEIPI21 [months] National phases before designated offices International phase PCT Filing with priority claim First national or regional filing 12 030 The PCT system

22. I. Boutillon – November 2012 - CEIPI22 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

23. I. Boutillon – November 2012 - CEIPI23 National phases (months) priority 181612 0 30 1st step --- PCT filing 2nd step --- international search and examination (unilateral) 3rd step --- international publication 5th step - optional step - --- international preliminary examination (continuation of examination with possible intervention by applicant) V.- Procedure step-by-step: the international phase in 5 steps 19 22 4th step - optional step - --- international supplementary search Chapters I and II of Treaty Chapter I of Treaty

24. I. Boutillon – November 2012 - CEIPI24 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) ? Main time limits to monitor

25. I. Boutillon – November 2012 - CEIPI25 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

26. I. Boutillon – November 2012 - CEIPI26 V.-A- Filing of the international application The applicant natural person legal entity Where to file: the receiving Office national Office regional Office International Bureau acting as receiving office [PCT Art. 9; Reg R. 18; Art. 27.3 ] [PCT Art. 10; Reg R. 19]

27. I. Boutillon – November 2012 - CEIPI27 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 Requirements for an international filing date [PCT Art. 11.1]

28. I. Boutillon – November 2012 - CEIPI28 Designations of PCT Contracting States Global and automatic filing of request = all designations available on the date of filing Choice of types of protection : at national phase stage national / regional patent patent / other title No designation fee required [PCT Art. 4; Reg R. 4.9, 49bis] [PCT Art. 4.2; Reg R. 15] [PCT Art. 4, 11.1(iii)(b); Reg R. 4.9]

29. I. Boutillon – November 2012 - CEIPI29 Still about the filing Important elements not required upon filing of the application, which can be submitted subsequently : fees translation signature, power of attorney abstract 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) [PCT Art. 14] [PCT Reg R. 19.1, 19.4]

30. I. Boutillon – November 2012 - CEIPI30 Effects of the international application International filing = regular national filing International filing date = effective filing date in each designated State = starting point of the international phase = potential priority date (Paris Convention) [PCT Art. 11.4, Paris Conv.] [PCT Art. 11.3, 11.4]

31. I. Boutillon – November 2012 - CEIPI31 [months] International phase National phases before designated Offices International phase PCT = filing under priority PCT = first filing or filing outside of priority period First national or regional filing 12 0 030 PCT filing with priority claim or without [PCT Art. 8; Reg R.4.10]

32. I. Boutillon – November 2012 - CEIPI32 « Priority date » 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 [PCT Art. 2(xi)]

33. I. Boutillon – November 2012 - CEIPI33 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

34. I. Boutillon – November 2012 - CEIPI34 Entry into national phases 181612 0 30 Written opinion International Search Report Supplementary International Search Report 28 International Preliminary Report on Patentability IPRP International publication PCT Filing Priority V.-B- Search and examination: an overall view

35. I. Boutillon – November 2012 - CEIPI35 International Searching Authorities (ISA) International Preliminary Examining Authorities (IPEA) International agreements between each ISA/IPEA and the International Bureau PCT Search and Examination Guidelines General framework for search and examination [PCT Art. 16, 32]

36. I. Boutillon – November 2012 - CEIPI36 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 International Authorities (ISAs/IPEAs) available [PCT Art. 16, 32; Reg R. 35, 59]

37. I. Boutillon – November 2012 - CEIPI37 16 12 030 International Search Report (ISR) modifications of the claims 2 months 18 Written opinion by ISA International search and written opinion by International Searching Authority (ISA)

38. I. Boutillon – November 2012 - CEIPI38 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 International Search Report (ISR) citations of relevant documents indication according to the International Patent Classification (IPC) fields on which the search was carried out International search [PCT Art. 15; Reg R. 33] [PCT Art. 18; Reg R. 43] [PCT Reg R. 34]

39. I. Boutillon – November 2012 - CEIPI39 Characteristics preliminary, non binding novelty ? inventive step ? industrial application ? First step of the examination procedure obligatory and unilateral on the basis of the PCT application as filed Relevant date = priority date Written Opinion by the ISA [PCT Art. 34; Reg R. 43bis] [PCT Reg R. 43bis]

40. I. Boutillon – November 2012 - CEIPI40 Amend the claims ? Request international preliminary examination (under Chapter II of the Treaty) ? 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 ») Applicant’s reply, reaction, next step [PCT Art. 19; Reg R. 46] [PCT Art. 31] [PCT Reg R. 44bis]

41. I. Boutillon – November 2012 - CEIPI41 (months) 30 Written opinion by ISA International Preliminary Report on Patentability (IPRP ch.I) 1618 Preliminary examination requested ? 22 no If international preliminary examination is not requested

42. I. Boutillon – November 2012 - CEIPI42 30 International Preliminary Report on Patentability (IPRP ch.II) Demand for international preliminary examination 28 (2 nd ) Written opinion by IPEA (1 rst ) Written opinion by IPEA Amendments or arguments (in response to written opinion by ISA) Amendments or arguments (in response to (2 nd ) written opinion by IPEA) [preferably with] Preliminary examination requested ? 22 yes Written opinion by ISA If international preliminary examination is requested

43. I. Boutillon – November 2012 - CEIPI43 Purpose of examination preliminary non binding opinion novelty ? inventive step ? industrial application ? 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 International preliminary examination [PCT Art. 31, 33] [PCT Art. 31; Reg R. 53, 54] [PCT Reg R. 64]

44. I. Boutillon – November 2012 - CEIPI44 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 Applicant’s reply, reaction, next step [PCT Art. 34; Reg R. 66]

45. I. Boutillon – November 2012 - CEIPI45 At the end of the international phase « 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 [PCT Art. 35; Reg R. 44bis]

46. I. Boutillon – November 2012 - CEIPI46 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

47. I. Boutillon – November 2012 - CEIPI47 Time limit : shortly after the expiration of 18 months from the priority date Contents 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 V.-C- Publication [PCT Art. 21; Reg R. 48] [PCT Art. 55.4); Reg R. 48, 86] [PCT Reg R. 48] [PCT Art. 21, 29; Reg R. 33, 34]

48. I. Boutillon – November 2012 - CEIPI48 Electronic form of publication Communication to designated Offices Prevent publication ? Postpone publication ? Advance publication ? Cases where there will be no publication A few other questions relating to international publication [PCT Reg R. 48] [PCT Art. 20; Reg R. 47] [PCT Reg R. 90bis.1] [PCT Reg R. 90bis.3] [PCT Art. 21.2; Reg R. 48] [PCT A. 11, 14, 24, 64; Reg R. 29, 90bis]

49. I. Boutillon – November 2012 - CEIPI49 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

50. I. Boutillon – November 2012 - CEIPI50 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 V.-D- Entry into national phase [PCT Art. 22, 39; Reg R. 49, 76] [PCT Art. 22, 23, 39, 40] [PCT Reg R. 49.6] [PCT Art. 23, 40]

51. I. Boutillon – November 2012 - CEIPI51 Granted patents No national phase Rejection or abandonment National phase National phases International phase 12 0 31313030

52. I. Boutillon – November 2012 - CEIPI52 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 application as published priority document International Search Report International Preliminary Report on Patentability Acts which constitute entry into national phase [PCT Art. 22, 39] [PCT Art. 20; Reg R. 17.2, 70]

53. I. Boutillon – November 2012 - CEIPI53 Furnishing of proofs of allegations / declarations names, indications, documents Requirement for mandatory representation appointment of a local agent or attorney Substantive conditions of patentability definition of prior art evidence National requirements remaining to be complied with upon entry into national phase [PCT Art. 27.2, 27.3, 27.4; Reg R.51bis] [PCT Art. 27.7] [PCT Art. 27.5, 27.6]

54. I. Boutillon – November 2012 - CEIPI54 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

55. I. Boutillon – November 2012 - CEIPI55 Who has access the applicant any person authorized by the applicant third parties 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 V.-E- Access to the file of the international application [PCT Art. 30, 38; Reg R. 17.2, 94]

56. I. Boutillon – November 2012 - CEIPI56 [months] As from 30 months, ACCESS to certain items relating to examination: ISA written opinion, IPRP (Ch.I or Ch.II) 12 0 18 As from international publication, ACCESS to all items in the file other than those relating to examination (Ch. I or Ch. II) Before international publication: NO ACCESS 30 National phases: ACCESS according to national law IB DO EO Access to the file of the international application by third parties

57. I. Boutillon – November 2012 - CEIPI57 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

58. I. Boutillon – November 2012 - CEIPI58 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

59. I. Boutillon – November 2012 - CEIPI59 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

60. I. Boutillon – November 2012 - CEIPI60 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

61. I. Boutillon – November 2012 - CEIPI61 VI.- Conclusion (4) Constant evolution requiring involvement of Contracting States IP offices WIPO all users (applicants, agents, other users) Potential for yet future developments

62. I. Boutillon – November 2012 - CEIPI62 The end.