May 20, 2009
2nd WIPO Seminar on Intellectual Property and Creative Small and Medium-Sized
Enterprises in the Digital Environment
Matthew R. Bryan - Director, Patent Cooperation Treaty Legal Division, WIPO

1) What is the PCT?
2) The advantages of the PCT
3) Recent and future developments

Using the traditional patent system to seek international patent protection
(months) 0
File application locally
12
File applications abroad
Local patent application followed within 12 months by multiple foreign applications claiming priority under Paris Convention:
- multiple formality requirements
- multiple searches
- multiple publications
- multiple examinations and prosecutions of applications
- translations and national fees required at 12 months
Some rationalization because of regional arrangements:
ARIPO, EAPO, EPO, OAPI

• A mainly procedural international treaty facilitating certain steps in the process of obtaining patents internationally
• More specifically, the PCT establishes a procedure for the filing and processing of a single application for a patent which has legal effect in the countries which are Treaty members
• Simplifies the procedure for obtaining patent protection in many countries, making it more efficient and economical for:
(1) users of the patent system (applicants and inventors); and
(2) patent Offices

141 PCT States
=PCT
Albania
Algeria
Angola
Antigua and Barbuda
Armenia
Australia
Austria
Azerbaijan
Bahrain
Barbados
Belarus
Belgium
Belize
Benin
Bosnia and Herzegovina
Botswana
Brazil
Bulgaria
Burkina Faso
Cameroon
Canada
Central African Republic
Chad
Chile (2 June 09)
China
Colombia
Comoros
Congo
Costa Rica
Côte d'Ivoire
Croatia
Cuba
Cyprus
Czech Republic
Democratic People's
Republic of Korea
Denmark
Dominica
Dominican Republic
Ecuador
Egypt
El Salvador
Equatorial Guinea
Estonia
Finland
France ,
Gabon
Gambia
Georgia
Germany
Ghana
Greece
Grenada
Guatemala
Guinea
Guinea-Bissau
Honduras
Hungary
Iceland
India
Indonesia
Ireland
Israel
Italy
Japan
Kazakhstan
Kenya
Kyrgyzstan
Lao People’s Dem Rep.
Latvia
Lesotho
Liberia
Libyan Arab Jamahiriya
Liechtenstein
Lithuania
Luxembourg
Madagascar
Malawi
Malaysia
Mali
Malta
Mauritania
Mexico
Monaco
Mongolia
Montenegro
Morocco
Mozambique
Namibia
Netherlands
New Zealand
Nicaragua
Niger
Nigeria
Norway
Oman
Papua New Guinea
Peru (6 June 09)
Philippines
Poland
Portugal
Republic of Korea
Republic of Moldova
Romania
Russian Federation
Saint Lucia
Saint Vincent and the Grenadines
San Marino
Sao Tomé e Principe
Senegal
Seychelles
Sierra Leone
Singapore
Slovakia
Slovenia
South Africa
Spain
Sri Lanka
Sudan
Swaziland
St. Kitts and Nevis
Sweden
Switzerland
Syrian Arab Republic
Tajikistan
The former Yugoslav
Republic of Macedonia
Togo
Trinidad and Tobago
Tunisia
Turkey
Turkmenistan
Uganda
Ukraine
United Arab Emirates
United Kingdom
United Republic of Tanzania
United States of America
Uzbekistan
Viet Nam
Yugoslavia
Zambia
Zimbabwe

The PCT System
--typical use, in more detail
(months)
0
File local application
Typically a national patent application in the home country of the applicant
12
File PCT application
16
International publication
18 22
International search report
& written opinion
(optional)
File demand for
International preliminary examination
Enter national phase
28
(optional)
International preliminary report on patentability
30

The PCT System
--typical use, in more detail
(months)
0 12 16
International publication
18
File local application
File PCT application
International search report
& written opinion
Typically filed in same national patent office--one set of fees, one language, one set of formality requirements--and legal effect in all PCT States
22
(optional)
File demand for
International preliminary examination
Enter national phase
28
(optional)
International preliminary report on patentability
30

The PCT System
--typical use, in more detail
(months)
0
File local application
12 16
International publication
18 22
File PCT application
International search report
& written opinion
Report on state of the art (prior art documents and their relevance) + initial patentability opinion
(optional)
File demand for
International preliminary examination
Enter national phase
28
(optional)
International preliminary report on patentability
30

The PCT International Searching Authorities
• Today: the Patent Offices of
– Australia
– Austria
– Canada
– China
– Finland
– Japan
– Republic of Korea
– Russian Federation
– Spain
– Sweden
– United States of America
– European Patent Office
– Nordic Patent Institute
• Soon: the Patent Offices of India and Brazil

(months)
0
File local application
The PCT System
--typical use, in more detail
Disclosing to world content of application in standardized way
12
File PCT application
16
International publication
18 22
International search report
& written opinion
(optional)
File demand for
International preliminary examination
Enter national phase
28
(optional)
International preliminary report on patentability
30

The PCT System
--typical use, in more detail
(months)
0
File local application
Enter national phase
12
File PCT application
16
International publication
18 22
International search report
& written opinion
(optional)
File demand for
International preliminary examination
Request an additional patentability analysis on basis of amended application
28
(optional)
International preliminary report on patentability
30

The PCT System
--typical use, in more detail
(months)
0
File local application
12
File PCT application
16
International publication
18 22
International search report
& written opinion
(optional)
File demand for
International preliminary examination
28
Enter national phase
(optional)
International preliminary report on patentability
30
Additional patentability analysis, designed to assist in national phase decisionmaking

The PCT System
--typical use, in more detail
Express intention and take steps to pursue to grant in various states
(months)
0
File local application
12
File PCT application
16
International publication
18 22
International search report
& written opinion
(optional)
File demand for
International preliminary examination
Enter national phase
28
(optional)
International preliminary report on patentability
30

10.02.05
General remarks on the PCT system (1)
• The PCT system is a patent “filing” system, not a patent
“granting” system. There is no “PCT patent” or “global patent”
• The decision on granting patents is made exclusively by national or regional Offices in the national phase
• Only inventions may be protected via the PCT by applying for patents, utility models and similar titles
• Design and trademark protection cannot be obtained via the
PCT. There are separate international conventions dealing with these types of industrial property protection (the Hague
Agreement and the Madrid Agreement and Protocol, respectively)

General remarks on the PCT system (2)
• The PCT is administered by WIPO as are other international conventions in the field of industrial property, such as the Paris
Convention
• PCT signed in June 1970, in Washington, D.C., and became operational in June 1978 with 18 States

PCT Statistics
180000
160000
140000
120000
100000
80000
60000
40000
20000
0
78 80 82 84 86 88 90 92 94 96 98 00 02 04 06 08

International applications received in 2008 by country of origin
60'000
50'000
40'000
30'000
20'000
10'000
0
US JP DE KR FR CN GB NL SE CH CA IT FI AU IL

WIPO’s Revenue 2008/09
76%
15%
1%2%
6%
Member States
PCT System
Madrid Sytem
Hague System
Other

Most businesses worldwide which seek and use patents share objectives to:
1) control costs while preserving options
2) make informed business decisions
3) use the best tools available when seeking protection
The PCT responds to these objectives

The PCT, as the cornerstone of the international patent system, provides a worldwide system for simplified filing and processing of patent applications, which--
1. postpones the major costs associated with internationalizing a patent application
2. provides a strong basis for patenting decisions
3. harmonizes formal requirements
4. brings the world within reach
5. protects applicant from certain inadvertent errors
6. evolves to meet user needs
7. is used by the world’s major corporations, universities and research institutions when they seek international patent protection
8. allows applicants to apply securely and easily online, and to save money by doing so

1. Postpones the major costs associated with internationalizing a patent application

Traditional
(months)
0
File local application
PCT
(months)
0
File local application
Traditional patent system
Fees for:
--translations
--Office fees
--local agents vs.
PCT system
File applications abroad
12
12
File PCT application
16
International publication
18
International search report & written opinion
22
(optional)
File demand for
International preliminary examination
28
(optional)
International preliminary report on patentability
30
Fees for:
--translations
--Office fees
--local agents
Enter national phase

PCT Costs--in perspective
According to IP Global Estimator, the total cost of hypothetical application
(RO/US, ISA/EP, 46 pages/12 claims w/3 independent, national phase in AU, CA, EPO, JP, MX, US, and EP validation in DE, FR, GB, IT, NL & SE, + maintenance fees--from filing until expiration of 12 national phase patents at 20 years from the filing date) would be USD $232,742
The PCT filing fees, including the international search by the EPO,
(total: USD $3,637) represented 1.6% of what the PCT applicant could expect to pay throughout the full life of this patent family
If the payment of annual maintenance fees is eliminated from the above calculation, the total amount that the applicant would expect to pay to see his/her patents granted is reduced to USD $86,398.
PCT filing fees would then represent 4.2% of this amount
[Estimate date: July 1, 2007]

2. Provides a strong basis for patenting decisions

The PCT International Searching Authorities
• The active ISAs are the following patent offices:
– Australia
– Austria
– Canada
– China
– Finland
– Japan
– Republic of Korea
– Russian Federation
– Spain
– Sweden
– United States of America
– European Patent Office
– Nordic Patent Institute
• Appointed but not yet acting are the Offices of India and Brazil

Example: international search report
Symbols indicating which aspect of patentability the document cited is relevant to (for example, novelty, inventive step, etc.)
Documents relevant to whether or not your invention may be patentable
The claim numbers in your application to which the document is relevant

Example: written opinion of the ISA
Reasoning supporting the assessment
Patentability assessment of claims

3. Harmonizes formal requirements
PCT Applicant’s Guide, paragraph 26: “There is a prescribed form for the international application. This form must be accepted by all designated Offices for the purposes of the national phase, so that there is no need to comply with a great variety of widely differing formal requirements in the many countries in which protection may be sought.”
PCT Article 27(1): “No national law shall require compliance with requirements relating to the form or contents of the international application different from or additional to those which are provided for in this Treaty and
Regulations.”

4. Brings the world within reach
How?
PCT application = Legal effect of a regular national patent application in all PCT States

5. protects applicants from certain inadvertent errors
• invited corrections of defects & fee payments
• non-competent receiving Office
• double formality review
• restoration of priority
• missing parts
• rectification of obvious mistakes
• excuse of national phase entry delay

6. Evolves to meet user needs

PCT Meetings
(1) MIA meeting —annual (usually first quarter)
(2) PCT Working Group —annual (usually second quarter)
(3) PCT Assembly —September/October
(4) Conferences —for example:
“PCT China”—Beijing, December 2007
“PCT Asia”—Singapore, April 2008
“PCT for the Americas”—Miami, November 2008

7. Is used by the world’s major corporations, universities and research institutions when they seek international patent protection

Top PCT Applicants (2008)
1.
Huawei
—CN (1737)
2.
Panasonic
—JP (1729)
3.
Philips
—NL (1551)
4.
Toyota
—JP (1364)
5.
Bosch
—DE (1273)
6.
Siemens
—DE (1089)
7.
Nokia
—FI (1005)
8.
LG Electronics
—KR (992)
9.
Ericsson
—SE (984)
10.
Fujitsu
—JP (983)
11.
Qualcomm
—US (907)
12.
NEC
—JP (825)
13.
Sharp
—JP (814)
14.
Microsoft
—US (805)
15.
Motorola — US (778)
16.
BASF —DE (721)
17.
IBM —US (664)
18.
3M —US (663)
19.
Samsung —KR (639)
20.
Dupont
—US (517)
Of the top 100 companies using the PCT system in
2008, 38 were from the United States,
28 from Japan and
13 from Germany

Other PCT users
Hitachi (JP)
British Telecom (GB)
MCI (US)
AT&T (US)
Boeing (US)
Nestle (CH) Shell (NL)
Novartis (CH)
Colgate Palmolive (US)
L’Oreal (FR) Salomon (FR)
Rhone Poulenc (FR)
Elf (FR)
CNRS (FR) Hoechst (US y DE)
Glaxo (GB)
Leica (CH)
McDonnell Douglas (US)
MIT (US)
University of Texas (US)
CalTech (US)
Johns Hopkins(US)
Daimler Benz (DE)
Volvo (SE)
Ford (US)
Nissan (JP)
Renault (FR)
Honda (JP)
Kawasaki (JP)
University of Michigan (US)
Columbia University (US)
Wisconsin Alumni Research
Foundation (US)
University of Florida (US)
Stanford University (US)

8. apply securely and easily online, and save money by doing so

PCT Electronic filing overview
1. Prepare application body: in XML using the
PCT-SAFE Editor or in PDF
2. Prepare Request using free, WIPO-produced PCT-
SAFE software
5. Receive a receipt (for online filings)
010101
0
101010
1
Signat
010101
0 ure
3. Electronically sign: WIPO
Customer digital certificate or other
4. Transmit (online or on CD-R)

PCT E-filing fee reductions

100 Swiss francs: paper filings request printout created with PCT-SAFE diskette prepared with PCT- SAFE

100 Swiss francs: electronic filings request not in character coded format (for ex., PDF)

200 Swiss francs: electronic filings text of application not in character coded format (for example, PDF)

300 Swiss francs: electronic filings text of application in character coded format (for example, XML)

2009 PCT Developments
• SIS (Supplementary International Search) effective January 1,
2009

The PCT System:
Supplementary International Search
(months)
0
File local application
12
File PCT application
16
International publication
18 19
22
Supplementary
Search Reports established
28
Enter national phase
30
International search report
& written opinion
Request for
Supplementary
International
Search
(optional)
File demand for
International preliminary examination
(optional)
International preliminary report on patentability

Supplementary International Search: Objectives
• give applicants option to request one or more supplementary (language-based) searches from participating ISAs in addition to the main PCT search
• help users by reducing likelihood of new prior art in national phase
• takes into account the growing linguistic diversity in the prior art

2009 PCT Developments
• SIS (Supplementary International Search) effective January 1,
2009
– First requests have been filed
– 3 offices participating thus far

Supplementary International Search: Authorities
• Participation of ISAs
– NPI—Jan. 1, 2009
– RU—Jan. 1, 2009
– SE—Jan. 1, 2009—limitation to 1000 Supp. Searches/year
– AT—sometime in 2009
– AU—under consideration, but not as of Jan. 1, 2009
– BR—not yet decided
– CA—no intention to offer in near future
– CN—under consideration
– EPO—planned for Jan. 1, 2010, limited ìnitially to several 100s/year and increased if needed up to several 1000s/year by 2013
– ES—no intention
– FI—planned for Jan. 1, 2010
– IN—unknown
– JPO—no intention
– KR—under consideration
– US—no intention in near future due to workload

Recent PCT developments
• SIS (Supplementary International Search) effective January
1, 2009
• 1 July 2009 Rule changes
– new practice on furnishing claim amendments (“complete set”)
– Administrative Instruction/practice changes on sequence listings

Things we’re working on
• Private file inspection
– Document upload system pilot
• Furnishing priority documents via digital libraries
– Digital Access Service for priority documents
• Email of IB notifications to applicants
• PCT distance learning course
• PCT webinars for the user community
• New resources for PCT applicants
• Multilingual terminology resources
• PatentScope ® enhancements
– Full file contents will be available for IAs filed on or after 1
Jan. 2009
– National phase entry data now for 34 countries

Where to get help
• For further information about the PCT, see http://www.wipo.int/pct/en/
• For general questions about the PCT, contact the PCT
Information Service at:
Telephone: (+41-22) 338 83 38
Facsimile: (+41-22) 338 83 39
E-mail: pct.infoline@wipo.int

PatentScope
®

Questions?