Using the Patent Cooperation Treaty as a
Strategic Tool for Business Success
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
(May 21, 2008)
1) What is the PCT?
2) The advantages of the PCT
1) What is the PCT?
Using the traditional patent system to seek
international patent protection
(months)
0
12
File
applications
abroad
File
application
locally
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
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
International
publication
16
18
International
search report
& written
opinion
Enter
national
phase
22
28
(optional)
File
demand for
International
preliminary
examination
(optional)
International
preliminary
report on
patentability
30
The PCT System
--typical use, in more detail
(months)
0
12
File local
application
File PCT
application
International
publication
16
18
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
Enter
national
phase
22
28
(optional)
File
demand for
International
preliminary
examination
(optional)
International
preliminary
report on
patentability
30
The PCT System
--typical use, in more detail
(months)
0
12
File local
application
File PCT
application
International
publication
16
18
International
search report
& written
opinion
Report on state of
the art (prior art
documents and their
relevance) + initial
patentability opinion
Enter
national
phase
22
28
(optional)
File
demand for
International
preliminary
examination
(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
The PCT System
--typical use, in more detail
Disclosing to world
content of application
in standardized way
(months)
0
12
File local
application
File PCT
application
International
publication
16
18
International
search report
& written
opinion
Enter
national
phase
22
28
(optional)
File
demand for
International
preliminary
examination
(optional)
International
preliminary
report on
patentability
30
The PCT System
--typical use, in more detail
(months)
0
12
File local
application
File PCT
application
International
publication
16
18
International
search report
& written
opinion
Enter
national
phase
22
(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
12
File local
application
File PCT
application
International
publication
16
18
International
search report
& written
opinion
Enter
national
phase
22
28
30
(optional)
File
demand for
International
preliminary
examination
(optional)
International
preliminary
report on
patentability
Additional patentability
analysis, designed to assist
in national phase decisionmaking
The PCT System
--typical use, in more detail
(months)
0
12
File local
application
File PCT
application
International
publication
16
18
International
search report
& written
opinion
Express intention
and take steps to
pursue to grant in
various states
Enter
national
phase
22
28
(optional)
File
demand for
International
preliminary
examination
(optional)
International
preliminary
report on
patentability
30
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)
10.02.05
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
139 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
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
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 (3 July 08)
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
Growth in PCT filings
160000
140000
Approx.
156,100 total
filings in
2007 =
120000
100000
+4.7%
80000
60000
40000
20000
0
78 79 80 81 82 83 84 85 86 87 88 89 90 91 92 93 94 95 96 97 98 99 00 01 02 03 04 05 06 07
International applications received in 2007
by country of origin
60'000
50'000
40'000
30'000
20'000
10'000
0
US
JP
DE
KR
FR
GB
CN
NL
CH
SE
IT
CA
AU
FI
IL
(2) Why use the PCT?: its advantages
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 patent system
vs.
PCT system
Fees for:
--translations
--Office fees
--local agents
(months)
Traditional
0
File
applications
abroad
12
Fees for:
--translations
--Office fees
--local agents
File local
application
International
publication
(months)
PCT
0
File local
application
Enter
national
phase
12
16
File PCT
application
International
search report &
written opinion
18
22
28
(optional)
File
demand for
International
preliminary
examination
(optional)
International
preliminary
report on
patentability
30
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
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 Calendar
(1) MIA meeting—April 7-9, 2008 in Vienna
(2) PCT Asia –-April 21-22, 2008, in Singapore
(3) PCT Working Group—week of May 26, 2008 in Geneva
(4) PCT Assembly—September/October 2008
7. Is used by the world’s major corporations,
universities and research institutions
when they seek international patent protection
Top PCT Applicants (2007)
1. Matsushita Electric—JP (2100)
2. Philips—NL (2041)
3. Siemens—DE (1644)
4. Huawei—CN (1365)
5. Bosch—DE (1146)
6. Toyota—JP (997)
7. Qualcomm—US (974)
8. Microsoft—US (845)
9. Motorola—US (824)
10. Nokia—FI (8922)
11. BASF—DE (810)
12. 3M—US (769)
13. LG Electronics—KR (719)
14. Fujitsu—JP (708)
15. Sharp—JP (702)
16. NEC—JP (626)
17. Intel—US (623)
18. Pioneer—US (611)
19. IBM—US (606)
20. Samsung—KR (598)
Other PCT users
Nestle (CH)
Shell (NL)
Daimler Benz (DE)
Hitachi (JP)
Elf (FR)
Volvo (SE)
British Telecom (GB) Novartis (CH)
Colgate Palmolive (US)
Ford (US)
MCI (US)
L’Oreal (FR)
Salomon (FR)
Nissan (JP)
Rhone Poulenc (FR)
Renault (FR)
AT&T (US)
Hoechst (US y DE)
CNRS (FR)
Honda (JP)
Glaxo (GB)
Kawasaki (JP)
Leica (CH)
MIT (US)
University of Texas (US)
Boeing (US)
CalTech (US)
McDonnell Douglas (US)
Johns Hopkins(US)
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 PCTSAFE software
010101
0
101010
1
010101
0
Signatu
re
5. Receive a
receipt (for online filings)
3. Electronically
sign: WIPO
Customer digital
certificate or
other
4. Transmit (online or on CD-R)
PCT efilings—2007
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)
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
Questions?