www.smithmoorelaw.com



2006 Hot Topics and Updates for
 Intellectual Property Paralegals
                   N.C. Bar Cen...
www.smithmoorelaw.com




            Many Thanks to

              Jay Erstling

      Director, Office of the PCT

World...
www.smithmoorelaw.com




Patents
www.smithmoorelaw.com




          Paris Convention Timeline

                  Traditional Patent Systems



(months) 0
...
www.smithmoorelaw.com



     Patent Cooperation Treaty (PCT)
              Applications
• Postpone some foreign filing ex...
www.smithmoorelaw.com


                                               PCT Timeline
                              PCT TIME...
www.smithmoorelaw.com




                  Contents

• Effect of the new search and examination
  system introduced in 20...
www.smithmoorelaw.com

     Effect of the New Search and
 Examination System Introduced in 2004
                     Backg...
www.smithmoorelaw.com



   Is the New Search and Examination
         System a Better System?
• Objective:
   – To solve ...
www.smithmoorelaw.com

                 International Search and Preliminary
                             Examination
    ...
www.smithmoorelaw.com

                      PCT Growth
140000

120000

100000

80000

60000

40000

20000

     0
       ...
www.smithmoorelaw.com




           Country Ranking - 2005
                    Applications   Growth

USA                ...
www.smithmoorelaw.com




             Top Applicants - 2005

1. Philips              11. Kodak
2. Matsushita           12...
www.smithmoorelaw.com


               Chapter II Demands
90000
80000
70000
60000
50000
40000
30000
20000
10000
    0
    ...
www.smithmoorelaw.com



         International PCT Filings
http://www.wipo.int/pct/en/seminar/basic_1/
www.smithmoorelaw.com




     Electronic Filing and Processing

160000
140000
120000
100000
 80000
 60000
 40000
 20000
 ...
www.smithmoorelaw.com




  USPTO EFS-Web PCT Filing Overview
                     Access EFS-Web
                     Acc...
www.smithmoorelaw.com



International PCT Filings – Unregistered
                 Filer




                 Select Type ...
www.smithmoorelaw.com



       International PCT Filings – Registered
                       Filer


                    ...
www.smithmoorelaw.com




PCT Application Data

                               Enter Key
                             Bibl...
www.smithmoorelaw.com




PCT Application Data

                           Correspondence
                               A...
www.smithmoorelaw.com



           PCT
Attach PCT-Safe Files - .ZIP



               Bibliographic Data
              Ec...
www.smithmoorelaw.com



                           PCT
                    Attach Files - PDF




                       ...
www.smithmoorelaw.com



     PCT
Calculate Fees




                 Discount for using
                 EFS and PCT-SAFE
www.smithmoorelaw.com

     PCT
Confirm/Submit


                  Save Package before
                  submitting to USP...
www.smithmoorelaw.com



         PCT
Acknowledgment Receipt

            Time and Date
          Stamp in EASTERN
       ...
www.smithmoorelaw.com




International Searching Authorities - 2005
         ISA             ISR/WOSA       (%)
European ...
www.smithmoorelaw.com




            Contracting States

• Non-stop growth: over one million
  applications
• Non-stop ex...
www.smithmoorelaw.com




                Timeliness
                                   21%
       53%



                ...
www.smithmoorelaw.com



     2006 Rule Changes, Adopted in
             October 2005
• Publication
  – E-Publication
  – ...
www.smithmoorelaw.com



Electronic Publication Replaced Paper as
           the Legal Publication
• Since April 1, 2006 (...
www.smithmoorelaw.com

http://www.wipo.int/pctdb/en/search-adv.jsp
www.smithmoorelaw.com
www.smithmoorelaw.com
www.smithmoorelaw.com
www.smithmoorelaw.com
www.smithmoorelaw.com



 Arabic Became New Official Publication
              Language
Since April 1, 2006
• But applicat...
www.smithmoorelaw.com



Publication of All Declarations for National
             Phase Purposes
• Declarations for natio...
www.smithmoorelaw.com



     Changes to Exclusions to Overall
          Designation System
• Concerns the “self-designati...
www.smithmoorelaw.com




Exclusion system applies to DE, JP, KR, RU
www.smithmoorelaw.com



     2007 Rule Changes, Adopted in
             October 2005
PLT-related changes
• Incorporation ...
www.smithmoorelaw.com



       Incorporation by Reference of
    Missing Elements of the Application
• Missing elements o...
www.smithmoorelaw.com




       Restoration of Priority Rights (1)
• PCT filing is
   – more than 12 months after priorit...
www.smithmoorelaw.com




      Restoration of Priority Rights (2)

If priority claim restored by receiving Office on the
...
www.smithmoorelaw.com




      Restoration of Priority Rights (3)

• If priority claim not restored by receiving Office
 ...
www.smithmoorelaw.com




      Rectification of Obvious Mistakes

• Determination of obviousness of mistake and of
  rect...
www.smithmoorelaw.com



  Addition of Korean Patent Documents
       to PCT Minimum Documentation
• At the request of the...
www.smithmoorelaw.com




         Changes Under Discussion

      PCT Reform Working Group (8th session)
                ...
www.smithmoorelaw.com




              very much

Thank you for your attention


                                        ...
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PCT Some New Developments 2006

  1. 1. www.smithmoorelaw.com 2006 Hot Topics and Updates for Intellectual Property Paralegals N.C. Bar Center, Cary, NC Friday, Oct. 27, 2006 Patent Cooperation Treaty (PCT) Some New Developments Presentation by Stan Antolin Smith Moore LLP Greensboro, NC
  2. 2. www.smithmoorelaw.com Many Thanks to Jay Erstling Director, Office of the PCT World Intellectual Property Organization
  3. 3. www.smithmoorelaw.com Patents
  4. 4. www.smithmoorelaw.com Paris Convention Timeline Traditional Patent Systems (months) 0 12 File applications abroad File applications locally
  5. 5. www.smithmoorelaw.com Patent Cooperation Treaty (PCT) Applications • Postpone some foreign filing expense • Multilateral treaty concluded in Washington in 1970 and entered into force in 1978. • Administered by the International Bureau (IB) of the World Intellectual Property Organization (WIPO), headquartered Geneva, Switzerland • Online PCT Information http://www.wipo.int/pct/en/index.html
  6. 6. www.smithmoorelaw.com PCT Timeline PCT TIMELINE – Chapter II (for international applications filed on or after 1 January 2004) Early filing of demand** International publication National/Regional/ International search PCT filing/ resort (ISR) and (priority date) Chapter II written opinion 30 national (WO) of ISA* phase entry PCT filing 0 12 16 18 19 22 28 (months) IE communicales 2 months from ISR: IPRF (Chapter II) file claims amendments to EOs Filing of demand and Article 34 amendments and/or arguments*** IPRP (Chapter 1) established
  7. 7. www.smithmoorelaw.com Contents • Effect of the new search and examination system introduced in 2004 • 2006 Rule changes • 2007 Rule changes • Changes under discussion
  8. 8. www.smithmoorelaw.com Effect of the New Search and Examination System Introduced in 2004 Background • First PCT Reform discussions started in 2000 on two main subjects – overall and automatic designation system – search and examination system • Introduction in 2001 of single time limit for national phase entry: 30 months • First package of significant Rules changes – adopted in October 2002 – entered into force on January 1, 2004
  9. 9. www.smithmoorelaw.com Is the New Search and Examination System a Better System? • Objective: – To solve PCT workload problems and streamline the system • by reducing the demand for international preliminary examination • while still providing quality service to users • Methodology: – Amend the Regulations to mold and stretch the legal framework • but leave the Treaty intact • Query: Does the new system meet its objectives?
  10. 10. www.smithmoorelaw.com International Search and Preliminary Examination - Overview of the Procedure - Chapter I only International Written International Preliminary Search Opinion Report on Patentability Report No of the (IPRP ch.I) ISA -established by IB- ch.II international (month) 0 12 16 18 30 22 preliminary examination Priority PCT Publication National ? filing 28 phase International Preliminary Report on Patentability Yes (IPRP ch.II) Chapter I and Chapter II -established by IPEA-
  11. 11. www.smithmoorelaw.com PCT Growth 140000 120000 100000 80000 60000 40000 20000 0 2000 2001 2002 2003 2004 2005 2000 2001 2002 2003 2004 2005 Total IAs filed 93,240 108,231 110,390 115,198 122,607 134,073 Percent increase 16.1% 2.0% 4.4% 6.4% 9.4%
  12. 12. www.smithmoorelaw.com Country Ranking - 2005 Applications Growth USA 45,111 3.9% Japan 25,145 24.1% Germany 15,870 4.3% France 5,522 6.5% United Kingdom 5,115 1.7% Republic of Korea 4,747 33.5% Netherlands 4,435 4.7% Switzerland 3,096 6.9% Sweden 2,784 -2.1% China 2,452 43.8%
  13. 13. www.smithmoorelaw.com Top Applicants - 2005 1. Philips 11. Kodak 2. Matsushita 12. Honeywell 3. Siemens 13. Ericsson 4. Nokia 14. Samsung 5. Bosch 15. Procter & Gamble 6. Intel 16. Sony 7. BASF 17. Mitsubishi 8. 3M 18. Dupont 9. Motorola 19. Toyota 10. DiamlerChrysler 20. Thomson
  14. 14. www.smithmoorelaw.com Chapter II Demands 90000 80000 70000 60000 50000 40000 30000 20000 10000 0 1999 2000 2001 2002 2003 2004 2005 1999 2000 2001 2002 2003 2004 2005 Ch 2 Demand 56,610 67,831 80,922 80,806 64,905 42,051 24,900 Growth 19.8% 19.3% -0.1% -19.7% -35.2% -40.8%
  15. 15. www.smithmoorelaw.com International PCT Filings http://www.wipo.int/pct/en/seminar/basic_1/
  16. 16. www.smithmoorelaw.com Electronic Filing and Processing 160000 140000 120000 100000 80000 60000 40000 20000 0 2001 2005 2003 2002 2004 Paper Only Easy+Paper E-Filing
  17. 17. www.smithmoorelaw.com USPTO EFS-Web PCT Filing Overview Access EFS-Web Access EFS-Web As Unregistered As Unregistered User Filer User Filer Choose Choose Accesses USPTO Accesses USPTO PCT Filing PCT Filing Portal Portal Authenticate Type Authenticate Type as as Registered Registered Filer Filer Attach PCT-SAFE Attach PCT-SAFE .ZIP File .ZIP File Submit and Pay Form RO 101 Submit and Pay Form RO 101 Review Attached Calculate Fees Review Attached Calculate Fees Receive PCT number Receive PCT number Files (Optional) Files (Optional) immediately and/or immediately Attach .PDF File Attach .PDF File
  18. 18. www.smithmoorelaw.com International PCT Filings – Unregistered Filer Select Type of Application New Choice: International PCT filings
  19. 19. www.smithmoorelaw.com International PCT Filings – Registered Filer Digital Cert Eastern Time Authenticated stated on every page New Choice: International PCT filings
  20. 20. www.smithmoorelaw.com PCT Application Data Enter Key Bibliographic Data Enter Applicant Information Enter Customer Number for PAIR Access
  21. 21. www.smithmoorelaw.com PCT Application Data Correspondence Address
  22. 22. www.smithmoorelaw.com PCT Attach PCT-Safe Files - .ZIP Bibliographic Data Echoed Back to Filer Attach a PCT- SAFE .ZIP file
  23. 23. www.smithmoorelaw.com PCT Attach Files - PDF Attach RO 101 PDF’s in addition to the .ZIP file or in lieu of .ZIP file New Disclaimer about Credit Card form (PTO-2038)
  24. 24. www.smithmoorelaw.com PCT Calculate Fees Discount for using EFS and PCT-SAFE
  25. 25. www.smithmoorelaw.com PCT Confirm/Submit Save Package before submitting to USPTO Confirm by clicking the “Submit” button
  26. 26. www.smithmoorelaw.com PCT Acknowledgment Receipt Time and Date Stamp in EASTERN time PCT application number automatically issued
  27. 27. www.smithmoorelaw.com International Searching Authorities - 2005 ISA ISR/WOSA (%) European Patent Office 64,146 49.3% United States 25,583 19.7% Japan 23,016 17.7% Sweden 3,961 3.0% Republic of Korea 3,357 2.6% Australia 2,688 2.1% China 2,474 1.9% Canada 2,048 1.6% Austria 976 0.7% Spain 881 0.7% Russian Federation 610 0.5% Finland 426 0.3%
  28. 28. www.smithmoorelaw.com Contracting States • Non-stop growth: over one million applications • Non-stop expansion: 132 Contracting States
  29. 29. www.smithmoorelaw.com Timeliness 21% 53% 26% 0-16 months 16-18 months 18 months or more 19-20 months 4% 0-16 months 53% 20-21 months 3% 16-17 months 14% 21-30 months 11% 17-18 months 7% 30+ months 3% 18-19 months 5%
  30. 30. www.smithmoorelaw.com 2006 Rule Changes, Adopted in October 2005 • Publication – E-Publication – Arabic, new publication language – Publication of all declarations for national phase purposes • Designation system – Exclusions to overall designation system
  31. 31. www.smithmoorelaw.com Electronic Publication Replaced Paper as the Legal Publication • Since April 1, 2006 (in practice, Thursday, April 6) • Full text of all international applications • PCT Gazette • Via WIPO’s new portal “PatentScope” • Paper copies of published international applications will continue to be sent to applicants until end June 2006
  32. 32. www.smithmoorelaw.com http://www.wipo.int/pctdb/en/search-adv.jsp
  33. 33. www.smithmoorelaw.com
  34. 34. www.smithmoorelaw.com
  35. 35. www.smithmoorelaw.com
  36. 36. www.smithmoorelaw.com
  37. 37. www.smithmoorelaw.com Arabic Became New Official Publication Language Since April 1, 2006 • But applications will only be published as of October 2006 • Only for applications filed in Arabic at receiving Offices accepting Arabic as a filing language • For these applications, translation into a search and examination language still required • Change introduced at the request of Egypt
  38. 38. www.smithmoorelaw.com Publication of All Declarations for National Phase Purposes • Declarations for national phase purposes – identity of the inventor – right to file application and obtain a patent – right to claim priority – inventorship (for the US designation) – non-prejudicial disclosures and exceptions to lack of novelty • Are all published with the full text of the applications • Continue to be referred to – on the front page of the published application and in the gazette • Effective April 1, 2006, regardless of date of application filing date
  39. 39. www.smithmoorelaw.com Changes to Exclusions to Overall Designation System • Concerns the “self-designation” effect under certain national laws • Loophole existing in PCT Rule since 2004 now closed • Two conditions must be fulfilled – priority application must have been filed in the country to be excluded [this condition was missing from previous wording of the Rule] and – designated Office must have notified WIPO • Now, exclusion system applies to DE, JP, KR, RU
  40. 40. www.smithmoorelaw.com Exclusion system applies to DE, JP, KR, RU
  41. 41. www.smithmoorelaw.com 2007 Rule Changes, Adopted in October 2005 PLT-related changes • Incorporation by reference of missing elements of the application • Restoration of priority rights • Rectifications of obvious mistakes Non PLT-related change • Inclusion of Korean language patent documents in PCT minimum documentation
  42. 42. www.smithmoorelaw.com Incorporation by Reference of Missing Elements of the Application • Missing elements or parts – description, claims, drawings • Three conditions – elements or parts contained in the priority document – incorporation by reference contained in the PCT application – incorporation by reference confirmed by filing a copy of the document within the prescribed time limit (2 months) • International filing date will not be affected • Some Offices have filed notifications of incompatibility with their national laws and will not be bound
  43. 43. www.smithmoorelaw.com Restoration of Priority Rights (1) • PCT filing is – more than 12 months after priority date – but within 2 months of the 12-month period • Priority claim to be maintained – for all steps in the international phase – for calculation of time limits • Receiving and designated Offices will restore priority claims – on the basis of applicant’s request for restoration showing (with evidence) either due care, or unintentionality • Some Offices have filed notifications of incompatibility with their national laws and will not be bound
  44. 44. www.smithmoorelaw.com Restoration of Priority Rights (2) If priority claim restored by receiving Office on the basis of • due care – all designated Offices will have to recognize priority claim unless they have notified incompatibility • unintentionality – only designated Offices which have not notified incompatibility and which already accept such criteria (or a more liberal one) will have to recognize priority claim • effects will therefore vary amongst designated Offices
  45. 45. www.smithmoorelaw.com Restoration of Priority Rights (3) • If priority claim not restored by receiving Office – either because request for restoration not convincing on Office or because receiving Office refused to review applicant’s request – applicant must submit request for restoration to designated Offices upon national phase entry • Each designated Office will review request for restoration (with evidence) – on the basis of due care – or unintentionality – unless the Office has notified incompatibility
  46. 46. www.smithmoorelaw.com Rectification of Obvious Mistakes • Determination of obviousness of mistake and of rectification by “competent authority” and no longer by “anyone” • No external document other than the priority document will be accepted as evidence • New time limit of 26 months from the priority date – for all types of mistakes – in all types of documents (the application, etc.) • Rule does not permit Offices to notify incompatibility but any designated Office may disregard rectification
  47. 47. www.smithmoorelaw.com Addition of Korean Patent Documents to PCT Minimum Documentation • At the request of the Republic of Korea • Patent documents published by the Office (KIPO) – Patents – published patent applications – English language abstracts of patents and patent applications – not utility models • As for documents in Japanese, Russian or Spanish: – Searching Authorities only obliged to include those documents that have English abstracts
  48. 48. www.smithmoorelaw.com Changes Under Discussion PCT Reform Working Group (8th session) (May 8 to 12, 2006) • Multiple language publication • Supplementary international search • “quality framework” for International Authorities • Disclosure of traditional knowledge and genetic resources • Color drawings, font size Also: • Digital access service for priority documents (PCT, • PLT, Paris)
  49. 49. www.smithmoorelaw.com very much Thank you for your attention Stan Antolin Smith Moore LLP 300 North Greene Street Suite 1400 Greensboro, NC 27401 336.378.5516 (voice) 336.433.7591 (direct fax) stan.antolin@smithmoorelaw.com

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