Application, savings and transitional provisions Purpose of this document To minimise the risk of drafting errors, the application, savings and transitional provisions will not be drafted until the substantive provisions are finalised after consultation. However, IP Australia understands that stakeholders will need to understand how the changes are intended to apply in order to provide considered comment on the substantive provisions. This document sets out the intended operation of the application, savings and transitional provisions for the regulations. It applies to schedules 3 and 6 (the second tranche) of the exposure draft regulations. Principles underlying transitional arrangements The principles underpinning the application provisions are that the changes should: take effect as soon as possible, to quickly bring about a better balance and operation to the intellectual property system; not unduly prejudice the users of the system, particularly with respect to not affecting rights granted prior to implementation of the changes, or making incorrect a decision of the Commissioner made prior to the changes. give applicants control and certainty over whether the old or new rules apply to their application. Where regulations are made under a provision in the Raising the Bar Act, the application provisions usually mirror the application provisions for the relevant item in the Act. Where the application provision differs (e.g. where the regulation is not dependent on a provision of the Raising the Bar Act) the policy is explained in more detail. Schedule 3 – Reducing delays in resolution of patent and trade marks applications The new regulations will mostly apply to only those opposition proceedings where a Notice of Opposition (for patents) or a Notice of Intention to Oppose (for trade marks) is filed on or after the commencement of Schedule 3 of the Raising the Bar Act – on 15 April 2013. However, it is intended that some of the new regulations would apply to all opposition proceedings (including those filed prior to commencement of the Raising the Bar Act) from the date of commencement. Commencing oppositions Patent and trade mark applications are advertised for acceptance by the Commissioner or Registrar prior to the actual granting of the patent or registration of the trade mark. The general public is given a period of time, from advertisement, in which to file their Notice of Opposition to the grant of the patent or trade mark. 1 Most of the changes will apply to oppositions commenced by Notices of Opposition filed after commencement. However, where there is a changed period to commence oppositions or a new step in commencing an opposition, it is intended that transitional and savings provisions will operate as follows. Patent Regulations Extending procedural opposition period from 1 month to 2 months New subregulations 5.10(2) and 5.10(3) replace old subregulations 5.3(5) and 5.3(6) and increase the opposition period from 1 month to 2 months. It is intended that, where the opposition period falls accross the commencement date, the opponent will be able to benefit from the new longer period. Where the relevant advertisement occurs prior to the commencement of the Raising the Bar Act, but the Notice of Opposition is filed after commencement, the new time periods would apply for oppositions under old regulations 5.3(5) and (6). For example, if a section 223 extension of time was advertised two weeks before commencement, an opponent who waited until after commencment to file their Notice of Opposition should have two months from the date of advertisement. Shortening procedural opposition period from 3 months to 2 months New subregulation 5.10(1) replaces old subregulation 5.3(3) and decreases the opposition period from 3 months to 2 months. However, for the changes to 5.3(3), it is intended that, where the opposition period falls across the commencement date, the opponent is not disavantaged and can use the old longer period. Where the relevant advertisement occurs prior to commencement on 15 April 2013, but the Notice of Opposition is filed after that date, the old time period would apply for oppositions under the old 5.3(3). For example, where an amendment under section 104(4) of the Patents Act is advertised for acceptance the day before commencement, under subregulation 5.3(3), a party has 3 months in which to file the Notice of Opposition. Repealing formal oppositions for amendments to the Register In regards to current regulation 5.3(5A), which is repealed from the new regulations, it is not intended for a party to be able to file a Notice of Opposition after the commencement of the Raising the Bar Act, even where the opposition period started prior to commencement. Instead, if under the new regulation 10.7 (see Item [55] of Schedule 6) the Commissioner advertises a request for rectification of the Register, there would then be a 2 months period before the Register is rectified. A party seeking to object to a correction to the Register will then, under new regulation 22.22 (see Item [74] of Schedule 6), have a right to be heard – this is an informal process rather than a formal opposition. (Please also see Item 79 of Schedule 6 of the Raising the Bar Act.) However, it is intended that a request to amend the Register or a patent under the old regulation 10.7 would be treated as a request to rectify the Register under new section 191A of the Patents Act and new regulation 10.7 if: a request is published under old regulation 10.7(3) before commencment, and 2 the period in old regulation 5.3(5A) has not expired before commencement, and a notice has not been filed under old regulation 5.3(5A) before commencement As the request would be treated as a section 191A request, the Commissioner would be required to wait 2 months after publishing the notice for third parties to indicate that they were adversely affected and to request to be heard under regulation 22.22. The original publication under old regulation 10.7(3) would be taken to be the publication under new regulation 10.7(2) in Schedule 6 – thus the Commissioner would not have to republish the request a second time. It is intended that the current opposition periods (for current subregulations 5.3(3), 5.3(5) and 5.3(6)) would continue to apply, after the commencement of the Raising the Bar Act, to any relevant application advertised for acceptance prior to 15 April 2013. Trade Marks Regulations Currently, regulation 5.1 specifies that a party who seeks to oppose the registration of a trade mark application has 3 months from the advertisement of acceptance by the Registrar, in which to file a Notice of Opposition. Under the current Regulations, the Notice of Opposition is a single document setting out details for the opponent and the grounds on which the trade mark application is to be opposed. Changes made by item 18 of Schedule 3 of the Raising the Bar Act provide for the introduction of a two component Notice of Opposition, which separates out the details of the opponent from the grounds on which the trade mark application will be opposed. The first part of the Notice of Opposition is the Notice of Intention to Oppose and the second part is a statement of grounds and particulars. New subregulation 5.7(1) specifies that the period in which file the Notice of Intention to Oppose is 2 months from the date of advertisement. New subregulation 5.8(1) then provides that the opponent has a further month (from the filing date of the Notice of Intention to Oppose) in which to file a statement of grounds and particulars. Similar changes are also proposed for non-use oppositions (under Part 9 of the Trade Marks Regulations) and oppositions to International Registrations Designating Australia – IRDA - (under Part 17A of the Trade Marks Regulations). It is intended that where a trade marks application is advertised for acceptance prior to the commencement of the Raising the Bar Act, the initial period to do the first step to oppose an application will remain at the current 3 months. IP Australia recognises that if a trade mark application is advertised for acceptance in the 3 months prior to commencement on 15 April 2013, the opposition period may not lapse until after that date, and the following situations may occur. First situation: advertised in the 3 months before commencement, but opponent files Notice of Opposition before commencement. Where the opponent files a Notice of Opposition (under the current regulations) prior to commencement on 15 April 2013 this will not be an issue. The old regulations (with the exceptions described below) will apply to the opposition. 3 Second situation: advertised in the 3 months before commencement and opponent files notice after commencement Where the opponent files the notice after commencement on 15 April 2013, the notice could be overdue, given the change in the opposition period from 3 months to 2 months to file the Notice of Intention to Oppose. It is intended that where a person seeks to institute opposition proceedings after 15 April 2013, the opponent be required to file a Notice of Opposition as described by the new regulations – i.e. both a Notice of Intention to Oppose and a statement of grounds and particulars. To ensure that opponents (for trade marks advertised prior to commencement) are not disadvantaged by the change in regulations, IP Australia intends that there would be transitional provisions that would allow an opponent to file the first component, the Notice of Intention to Oppose within 3 months of the application being advertised as accepted. This would only apply to oppositions where the application was advertised as accepted prior to commencement on 15 April 2013. The opponent would then be required to file a statement of grounds and particulars, under new regulation 5.8, within a month of filing the Notice of Intention to Oppose. For example, a trade mark application is advertised for acceptance on 15 March 2013, a party will then have 3 months under current regulation 5.1 in which to file a Notice of Opposition. If they file before 15 April 2013 (the day of commencement of the Raising the Bar Act), they will be required to file only a Notice of Opposition as described by current subsection 52(2) of the Trade Marks Act. However, the period in which to file notice does not expire until 15 June 2013. It is intended that if the party files on or after 15 April, but before 15 June 2013, they will be required to file a Notice of Intention to Oppose under new subregulation 5.7(2) and then have a further month to file a statement of grounds and particulars under new subregulation 5.8(1). If they file after 15 June 2013, without making an appropriate request to extend the time under regulation 5.10, any notices provided would be invalid and the opposition would not start. This will also apply to non-use oppositions (under Part 9 of the Trade Marks Regulations) and oppositions to IRDAs (including oppositions to cessation of protection for non-use)(under Part 17A of the Trade Marks Regulations). Third situation: application advertised after commencement When a trade mark application is advertised for acceptance on or after 15 April 2013 (the day of commencement), a party will have 2 months under new subregulation 5.7(1) in which to file their Notice of Intention to Oppose and then a further month from that filing date in which to file a statement of grounds and particulars under new subregulation 5.8(1). This will also apply to non-use oppositions (under Part 9 of the Trade Marks Regulations) and oppositions to IRDAs (under Part 17A of the Trade Marks Regulations). Oppositions filed prior to commencement of the Raising the Bar Act In general, where a Notice of Opposition has been lodged and an opposition proceeding has been started prior to the commencement of the Raising the Bar Act the opposition will continue to proceed under the current regulations, subject to the exceptions discussed below. Broadly, for pre-commencement initiated oppositions, the exceptions are as follows: 4 Move from the ‘serve-and-file’ regime to the ‘file-and-give’ regime for documents filed after commencment. New tougher extension of time test to apply to extensions of evidentiary periods that began on or after commencement. Summary of submissions requirement to apply to hearings where the hearing date was set on or after commencment. Ability to request multiple copies of documents for documents filed on or after commencement. These exceptions are detailed below and will apply for both patent and trade marks oppositions. Filing & Service requirements Currently, patents, trade marks and designs oppositions follow many of the same processes, including requiring that parties serve a copy of documents on the alternate party and also file the documents with the Office. Changes made by the draft regulations remove the requirement to serve documents on the alternate party, instead the Commissioner (for patents) or the Registrar (for trade marks and designs) will be required to give a copy of any document filed to the alternate party. It is intended that the change be implemented immediately for all oppositions: i.e. move from a ‘serve-and-file’ regime to a ‘file-and-give’ regime for all documents filed after commencment. This is to prevent both the Office and users from having to check the date of the Notice of Opposition to decide whether they will need to serve or only file the document. It is much easier for both users and the Office to know that all documents must only be filed after the commencement of the Raising the Bar Act. For opposition proceedings started prior to commencement on 15 April 2013, where the prescribed period for serving and filing the relevant document started after the commencement of the Act, the old regulations would apply except that: Where a person must serve a document (and then file it) within a time period under the old legislation, the person must now file the document within the time period. The Commissioner must give the filed document to the other party as soon as practicable, A reference to a document having been served (including for calculating a later time period) is a reference to the document having been filed. We recognise that where the Commissioner is required to give a copy of the filed document there may be a delay between the first party filing the document and the second party being given the document by the Commissioner. As the subsequent time period for the next step in the opposition is usually calculated from when the preceding document was served (now to be filed), this could result in a de facto shortening of the time period that the other party has to conduct the next step: the time period would start before they have been given the document by the Commissioner. It is not intended that time periods be shortened in this manner. 5 Instead it is intended that the application and savings provisions should contain a mandatory extension of time for the subsequent time period to account for the delay, as follows: Where a period for party A to do an action is calculated from the date that party B files a document, and The Commissioner does not give the document to party A on the day it is filed, then The Commissioner must extend the period for party A to do the action by an amount equal to the number of days between when the document was filed and when the Commissioner gave the document to the Party A. Note that this extension will not apply where the period for Party A to do an action is calculated from the date Party A serves an earlier document (for example for patents, the date for the opponent to serve the evidence in support is calculated from the date the opponent serves the opposition statement). As Party A knows when they filed the document, there is no need to extend their subsequent period due to delays in giving the document to the other party. The extension should only apply where the time period for one party to do something is calculated from when the other party serves the document. New Extension of Time test A major cause of protracted opposition proceedings, for both patents and trade marks, is extensions to the various periods for providing evidence. Currently, regulation 5.10 of the Patents Regulations prescribes the power for the Commissioner to grant or refuse extensions of time for the serving of evidence in opposition proceedings. Similarly, current regulation 5.15 of the Trade Marks Regulations prescribes the powers for the Registrar in these situations. Changes made by the draft regulations alter the test to be applied by the Commissioner, or Registrar, for deciding whether to grant an extension of time to file evidence. For patents the changes are made in new regulation 5.9 of the Patents Regulations. While for trade marks the change in test is found in new regulation 5.16 of the Trade Marks Regulations. Similar changes are also proposed for non-use oppositions (under Part 9 of the Trade Marks Regulations) and oppositions to IRDAs (including oppositions to cessation of protection for non-use)(under Part 17A of the Trade Marks Regulations). It is intended that the new extension of time test be implemented as soon as possible after commencement on 15 April 2013 for all opposition proceedings. For example, where the opposition proceeding started prior to 15 April 2013, but the relevant evidential period began on or after that date, then the new extension of time test would apply to any extension of time sought for that evidential period. Conversely, where the opposition proceeding started prior to commencement of the Act and the evidential period began prior to 15 April 2013, then the current extension of time test would apply to any extension of time sought for that evidential period. Hearings - Summary of Submissions Currently, the Registrar of Trade Marks and the Commissioner of Patents requests parties to provide a summary of their submissions prior to a hearing. This permits the 6 matters of contention between parties to be narrowed and focussed, and can help the hearing officer to be appropriately prepared. New subregulations 5.20(4) and 5.20(5) of the Patents Regulations introduce provisions formalising the filing of summaries of submissions. The remainder of new regulation 5.20 of the Patents Regulation deals with other aspects of hearing opposition matters. New regulation 5.18 of the Trade Marks Regulations formalise the filing of summaries of submissions by the parties to opposition proceedings. It is intended that these provisions apply to all opposition proceedings as soon as possible. IP Australia considers that where an opposition has been started prior to commencement on 15 April 2013 and a hearing date has already been set by the Commissioner before that date – the hearing date being after 15 April 2013 – it would disadvantage the parties to suddenly require them to file summaries of submission before the hearing according to the new rules. Similar changes are proposed for procedural oppositions (under Parts 6 and 21.20 of the Trade Marks Regulations), non-use oppositions (under Part 9 of the Trade Marks Regulations) and oppositions to IRDAs (under Part 17A of the Trade Marks Regulations). It is intended that new regulation 5.20 of the Patents Regulations and new regulation 5.18 of the Trade Marks Regulations should apply to all opposition proceedings started before, on or after commencement on 15 April 2013 where the Commissioner, or the Registrar, has not set the hearing date, or sent a notice of hearing to the parties, prior to commencement. This will also apply to procedural oppositions (under parts 6 and 21.20 of the Trade Marks Regulations), non-use oppositions (under Part 9 of the Trade Marks Regulations) and oppositions to IRDAs (including oppositions to cessation of protection for non-use)(under Part 17A of the Trade Marks Regulations). Parties to provide multiple copies of documents and evidence Changes to the Patent and Trade Marks Regulations will enable the Commissioner, or Registrar, to direct parties to file multiple copies of a document. This will help to faciliate the giving of documents, by the Commissioner, to the other party. New regulation 5.3 of the Patents Regulations and new regulation 5.4 of the Trade Marks Regulations should apply to all oppositions, regardless of whether they were started before, on or after commencement on 15 April 2013. This will also apply to non-use oppositions (under Part 9 of the Trade Marks Regulations) and oppositions to IRDAs (including oppositions to cessation of protection for non-use)(under Part 17A of the Trade Marks Regulations). Schedule 6 – Simplifying the IP system Application provisions will not be necessary for items [1], [2], [4], [20], [62], [68] to [70], [71], [74], [81] to [85], [87] and [88]. These items are intended to apply in the same way as the corresponding provisions of the Act. As the corresponding provisions of the Act have no application provisions, no application provisions should be necessary for these regulations. Where an amendment is made by an item that requires application provisions it is intended that transitional and savings provisions will operate as follows. 7 Part 1 - Designs Regulations Item [3] - Hearing requirements Regulations 11.22 and 11.23 will apply to all hearings where the hearing notice or invitation to be heard has been issued on or after commencement of the Raising the Bar Act. Part 2 - Patents Regulations Item [5] – Convention countries Consistent with item 34 of schedule 6 of the Raising the Bar Act, the application of this item will mirror item 133(2) of schedule 6 of the Act. Item [6] - Secret use Consistent with item 29 of schedule 6 of the Raising the Bar Act, the application of this item will mirror item 133(1) of schedule 6 of the Act. Item [7] - Grace period Consistent with items 32 and 33 of schedule 6 of the Raising the Bar Act, the application of this item will mirror item 133(4) of schedule 6 of the Act. Item [8] - Notice of Entitlement required at filing The repeal of these provisions will apply to all applications filed on or after commencement of the Raising the Bar Act on 15 April 2013. Items [9] - [12], [19], [23], [26], [27], [31], [36], [37], [42], [46], [48] [51], [64], [65] and [77] - PCT and Convention applications: co-location of Chapter 8 regulations Consistent with item 34 of schedule 6 of the Raising the Bar Act, the application of these items will mirror item 133(2) of schedule 6 of the Act. Items [13] and [21] - Period for Convention applications Consistent with item 42 of schedule 6 of the Raising the Bar Act, the application of these items will mirror item 133(2) of schedule 6 of the Act. Items [14], [32] and [75] - Regulations for checking PCT applications The PCT formality check should apply to all PCT applications that enter national phase on or after 15 April 2013 - the date of commencement of the majority of the items in schedule 6 of the Raising the Bar Act. This reduces complexity and streamlines introduction of the administrative changes made by commencement of the Raising the Bar Act and its associated Regulations. However, this means that the amendments will apply to PCT applications filed before commencement of new section 29A(5), as provided for by item 133(2) of Schedule 6 of the Raising the Bar Act. Items [15] to [18] - Filing date of PCT applications 8 Consistent with item 35 of schedule 6 of the Raising the Bar Act, the application of these items will mirror item 133(2) of schedule 6 of the Act. Items [22] and [24] – Priority date of amended specifications These items are consequential to the changes in item 33 of schedule 1 of the Raising the Bar Act. Consistent with this, the application of these items will mirror item 55(9) in schedule 1. Item [25] - Disregarding Convention and PCT applications Consistent with item 44 of schedule 6 of the Raising the Bar Act, the application of regulation 3.14A will mirror item 133(8) of schedule 6 of the Act. Consistent with item 45 of schedule 6 of the Raising the Bar Act, regulations 3.14B should not require an application provision. Item [28] - Directions to request exam from 6 to 2 months The amendment should apply to all directions issued, under subsection 44(2) of the Patents Act, on or after commencement of the Raising the Bar Act. Item [29] - Examination of PCT applications Consistent with items 46 and 47 of schedule 6 of the Raising the Bar Act, the application of this item will mirror item 133(2) of schedule 6 of the Act. Items [30], [33] to [35] and [59] - Repeal of modified examination and deferment A savings provision will apply for these items, consistent with item 134 of schedule 6 of the Raising the Bar Act. Item [38] - Sensitive information not OPI The amendments should apply to any document (other than a specification) related to a patent application whether filed before, on or after commencement. For example, if the Commissioner were to come across a document filed in 2010 which contained sensitive personal information but had already become OPI, the Commissioner should be able to make the document non-OPI on 15 April 2013. Item [39] - Publication of PCT applications Consistent with item 58 of schedule 6 of the Raising the Bar Act, the application of this item will mirror item 133(2) of schedule 6 of the Act. Items [40], [41], [44], [55], [78] and [79] - Grant of patent Consistent with items 60 to 64 of schedule 6 of the Raising the Bar Act, the application of these items will mirror item 133(9) of schedule 6 of the Act. Item [43] - Date of a patent The amendments should apply to all PCT applications filed with the receiving Office on or after commencement of the Raising the Bar Act on 15 April 2013. Item [45] - Repeal of Chapter 8 (PCT and Convention applications) 9 Consistent with item 67 of schedule 6 of the Raising the Bar Act, the application (repeal) of this item will mirror item 133(2) of schedule 6 of the Act. Item [47] – Period for examination of innovation patents Consistent with items 45 and 68 of schedule 6 of the Raising the Bar Act, paragraphs 9A.4(d) and (e) should not require an application provisions. Paragraph 9A.4 (f) will apply to applications where a request for examination is made on or after commencement of the Raising the Bar Act on 15 April 2013. Consistent with item 69 of schedule 6 of the Raising the Bar Act, the application of paragraph 9A.4(g) will mirror item 133(12) of schedule 6 of the Act. Item [52] – Revocation of grant of leave to amend Consistent with item 54 of schedule 6 of the Raising the Bar Act, the application of this item will mirror item 133(11) of schedule 6 of the Act. Item [53] - Regulations for rectifying the Register and amending patent deeds The repeal should apply in the same manner as item 79 of schedule 6 of the Raising the Bar Act. Accordingly we do not consider that an application provision is required. Note that repeal of the provisions for sealing patent deeds only applies to patents granted on or after the commencement date – see item 133(9) of schedule 6 of the Raising the Bar Act. Accordingly, there will be some physical patent deeds sealed before commencement that may need to be amended after commencement. Similarly, there may be post-commencement oppositions to amendment of pre-commencement patent deeds under regulations 5.3(5A) and 10.7(4). A savings provision may be required to account for these situations, depending on whether sections 7(2)(c) – (e) of the Acts Interpretation Act 19011 and 15 (c) – (e) of Legislative Instruments Act 2003 would preserve the operation of these provisions. Item [54] - Convention Countries Consistent with item 34 of schedule 6 of the Raising the Bar Act, the application of this item will mirror item 133(2) of schedule 6 of the Act. Item [56] - Withdrawing PCT applications Although this amendment relates to item 76 in schedule 6, IP Australia would like the amendments to apply in similar manner as item 11 of schedule 3 of the Raising the Bar Act – see item 32(6) of schedule 3. The changes should apply to notices of withdrawal filed on, or after, commencement of the Raising the Bar Act on 15 April 2013 and where Article 11 (3) of the PCT ceases to have effect in Australia in relation to a PCT application under Article 24(1)(i) of the PCT on or after commencement. IP Australia is consulting with the Office of Legislative drafting and Publishing as to whether this is possible. Otherwise, the introduction of the changes to prevent withdrawal of opposition without the Commissioner’s consent would be delayed for PCT applications. 1 As applied to legislative instruments by section 13(1) of the Legislative Instruments Act. 10 Item [57] - Lapsing of deferred applications Consistent with item 77 of schedule 6 of the Raising the Bar Act, the application of this item will mirror item 133(15) of schedule 6 of the Act. Items [58], [63], [66], [67] and [80] - Acceptance period from 21 to 12 months The amendment of these provisions is to apply to applications where a request for examination is made on or after commencement of the Raising the Bar Act on 15 April 2013. Item [60] – reference to declarations under section 36 Consistent with item 40 of schedule 6 of the Raising the Bar Act, the application of this provision will mirror item 133(6) of schedule 6 of the Act. Item [61] – Acceptance period Paragraph 13.4(1)(g) will apply to applications where a request for examination is made on or after commencement of the Raising the Bar Act on 15 April 2013. Consistent with item 54 of schedule 6 of the Raising the Bar Act, the application of paragraph 13.4(1)(ga) will mirror item 133(11) of schedule 6 of the Act. Item [65] - Lapsing of PCT applications Consistent with item 78 of schedule 6 of the Raising the Bar Act, the application of this item will mirror item 133(2) of schedule 6 of the Act. Item [72] - Hearings requirements Regulations 22.22 and 22.23 will apply to all hearings where the hearing notice or invitation to be heard has issued on or after commencement of the Raising the Bar Act on 15 April 2013. Item [73] - Non-infringement of copyright The amendments should apply to acts (mentioned in section 226(1)) done in relation to the prescribed documents where the acts are done on or after the commencement of the regulations – i.e. 15 April 2013. The new section 226 of the Patents Act, commenced the day after Royal Assent, on the 16 April 2012. Item [76] – Convention countries Consistent with item 34 of schedule 6 of the Raising the Bar Act, the application of this item will mirror item 133(2) of schedule 6 of the Act. Trade Marks Regulations Item [86] - Hearings requirements Regulations 21.15 and 21.16 will apply to all hearings where the hearing notice or invitation to be heard has issued on or after commencement of the Raising the Bar Act on 15 April 2013. 11