PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016...

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PCT at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado, planta 16 Paseo de la Castellana, 75 28071 Madrid Spain Seminar reference PR56-2016 Organised by European Patent Academy European Patent Office (EPO) In co-operation with OEPM European Patent Academy European Patent Office Bob-van-Benthem Platz 1 80469 Munich Germany Tel. +49 89 2399 5454 [email protected] www.epo.org www.epo.org/learning

Transcript of PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016...

Page 1: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

PCT at the EPO

Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado, planta 16 Paseo de la Castellana, 75 28071 Madrid Spain

Seminar reference PR56-2016

Organised by European Patent Academy European Patent Office (EPO)

In co-operation with OEPM

European Patent Academy European Patent Office Bob-van-Benthem Platz 1 80469 Munich Germany Tel. +49 89 2399 5454 [email protected] www.epo.org www.epo.org/learning

Page 2: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Speakers

Patricia García-Escudero, Director General, OEPM

Camille-Rémy Bogliolo, lawyer, European and International Legal Affairs – PCT, EPO

Javier Vera Roa, Technical advisor, Patent department, OEPM

Juan Arias Sanz, European patent attorney, COAPI from 09.00 Registration 09.30 Welcome Patricia García-Escudero

Camille-Rémy Bogliolo 09.45 Status update on PCT in 2015/16 10.15 PCT procedure before the EPO as RO Case study: incorporation by reference at the EPO as RO New service in “PCT Direct” 11.45 Coffee break 12.00 The SPTO as International Authority and during the national phase 13.15 Lunch 14.15 PCT procedure before the EPO as ISA Focus on non-unity under Rule 40 PCT 15.45 Coffee break 16.00 Entry into the European phase PCT-PPH 16.30 New PCT Rules (as of 1 July 2016)

Report on the latest discussions at the PCT WG on May 2016 17.00 End of seminar

Page 3: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Camille-Rémy Bogliolo Madrid, 3 November 2016 Head, Department of PCT Affairs

Status update on PCT in 2015/16

Contracting States

Latest PCT statistics

Page 4: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

PCT Contracting States (151) (October 2016)

Page 5: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

EA Eurasian Patents (8)

AM Armenia AZ Azerbaijan BY Belarus KG Kyrgyzstan KZ Kazakhstan RU Russian Federation TJ Tajikistan TM Turkmenistan

States designated in PCT applications both for the purposes of a regional protection and, except if otherwise indicated, for the purposes of national protection.

PCT Contracting States: 151 (1)

EP European Patents (38)

AL Albania

AT Austria * BE Belgium BG Bulgaria CH Switzerland * CY Cyprus

CZ Czechia DE Germany

DK Denmark EE Estonia

ES Spain FI Finland * FR France

GB United Kingdom * GR Greece HR Croatia

HU Hungary * IE Ireland IS Iceland

* IT Italy LI Liechtenstein * LT Lithuania

LU Luxembourg * LV Latvia

* MC Monaco MK The former Yugoslav

Republic of Macedonia

* MT Malta * NL Netherlands NO Norway

PL Poland PT Portugal RO Romania RS Serbia

SE Sweden * SI Slovenia SK Slovakia SM San Marino TR Turkey

* Regional patent only

Page 6: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

AP ARIPO (18)

BW Botswana

GH Ghana

GM Gambia

KE Kenya

* LR Liberia

LS Lesotho

MW Malawi

MZ Mozambique

NA Namibia

RW Rwanda

SD Sudan

SL Sierra Leone

ST Sao Tome and Principe

* SZ Swaziland

TZ United Republic of Tanzania

UG Uganda

ZM Zambia

ZW Zimbabwe

States designated in PCT applications both for the purposes of a regional protection and, except if otherwise indicated, for the purposes of national protection.

* BF Burkina Faso

* BJ Benin

* CF Central African Republic

* CG Congo

* CI Côte d’Ivoire

* CM Cameroon

* GA Gabon

* GN Guinea

* GQ Equatorial Guinea

* GW Guinea-Bissau

* KM Comoros

* ML Mali

* MR Mauritania

* NE Niger

* SN Senegal

* TD Chad

* TG Togo

* Regional patent only

PCT Contracting States: 151 (2)

OA OAPI (17)

Page 7: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

PCT Contracting States: 151 (3) Except if otherwise indicated, States designated in PCT applications for the purposes of national protection only

AE United Arab Emirates

AG Antigua and Barbuda

AO Angola

AU Australia

* BA Bosnia and Herzegovina

BB Barbados

BH Bahrain

BN Brunei Darussalam

BR Brazil

BZ Belize

CA Canada

CL Chile

CN China

CO Colombia

CR Costa Rica

CU Cuba

DJ Djibouti

DM Dominica

DO Dominican Republic

DZ Algeria

EC Ecuador

EG Egypt

GD Grenada

GE Georgia

GT Guatemala

HN Honduras

NZ New Zealand

OM Oman

PA Panama

PE Peru

PG Papua New Guinea

PH Philippines

QA Qatar

RW Rwanda

SA Saudi Arabia

SC Seychelles

SG Singapore

ST Sao Tome and Principe

SV El Salvador

SY Syrian Arab Republic

TH Thailand

TN Tunisia

TT Trinidad and Tobago

UA Ukraine

US United States of America

UZ Uzbekistan

VC Saint Vincent and the

Grenadines

VN Viet Nam

ZA South Africa

* Possible extension of the European patents

** Possible validation of the European patents for international applications filed

on or after 1 March 2015 for Morocco, or on or after 1 November 2015 for the Republic of Moldova

ID Indonesia

IL Israel

IN India

IR Iran (Islamic Republic of)

JP Japan

KH Cambodia (as of 8.12.2016)

KM Comoros

KN Saint Kitts and Nevis

KP Democratic Republic of Korea

KW Kuwait

LA Lao People’s Democratic

Republic

LC Saint Lucia

LK Sri Lanka

LY Libya

** MA Morocco

** MD Republic of Moldova

* ME Montenegro

MG Madagascar

MN Mongolia

MX Mexico

MY Malaysia

NG Nigeria

NI Nicaragua

Page 8: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

International Search Authorities (21/22 operational)

AU – Australia

AT – Austria

BR – Brazil

CA – Canada

CL – Chile

CN – China

EG – Egypt

FI – Finland

IN – India

IL – Israel

JP – Japan

KR – Republic of Korea

RU – Russian Federation

ES – Spain

SE – Sweden

SG – Singapore

TR – Turkey (appointed in Oct. 2016)

UA – Ukraine

US – United States of America

EP – European Patent Office

XN – Nordic Patent Institute (Denmark, Iceland, Norway)

XV – Visegrad Patent Institute (Czech Republic, Hungary, Poland, Slovakia) (01.07.2016)

Page 9: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Latest PCT statistics : Top 5 Offices

2008 2009 2010 2011 2012 2013 2014 2015

RO/US 52.053 46.055 45.228 49.366 52.010 57.670 61.869 57.384 (26,5%)

RO/JP 28.027 29.291 31.523 37.972 42.787 43.075 41.292 43.097 (20%)

RO/EP 29.495 27.360 28.900 30.893 32.430 32.036 32.902 34.144 (15,8%)

RO/CN 6.081 8.000 12.917 17.471 19.924 22.927 27.087 31.033 (14,3%)

RO/KR 7.911 8.025 9.639 10.413 11.869 12.439 13.138 14.593 (6,7%)

RO/IB 9.050 8.686 8.679 8.773 9.781 10.393 10.516 10.302 (4,8%)

Others 30.624 27.987 27.454 27.549 26.534 26.727 27.335 26.217 (12,1%)

Total 163.241 155.404 164.341 182.437 195.335 205.272 214.139 216.770

I- Overview of the evolution of PCT filings divided by RO

2008 2009 2010 2011 2012 2013 2014 2015

ISA/EP 76.903 76.227 68.706 70.194 72.232 77.450 80.753 (38,2%) 81.131 (38%)

ISA/JP 26.524 28.930 29.989 35.641 40.531 42.383 40.077 (19%) 43.569 (20,4%)

ISA/KR 13.011 17.046 20.971 23.164 29.912 34.406 30.167 (14,3%) 27.929 (13,1%)

ISA/CN 5.892 6.823 10.615 14.600 18.221 20.707 25.234 (12%) 27.406 (12,8%)

ISA/US - 17.322 15.550 12.963 18.477 13.764 20.723 (9,8%) 20.680 (9,7%)

Others 11.800 11.314 11.734 12.197 12.165 13.634 14.203 (6,7%) 12.640 (5,9%)

Total - 157.662 157.565 168.759 191.538 202.344 211.157 213.355

II- Overview of the number of ISRs established by ISA

III- Overview of the number of IPERs established by IPEA

2008 2009 2010 2011 2012 2013 2014 2015

IPEA/EP 10.855 9.584 8.264 7.177 7.746 7.305 7.640 (55,6%) 9.119 (58,1%)

IPEA/JP 2.376 2.175 1.905 2.206 2.741 2.470 2.233 (16,3%) 2.482 (15,8%)

IPEA/KR 476 368 308 248 254 254 259 (1,9%) 238 (1,5%)

IPEA/CN 396 425 394 340 450 433 336 (2,4%) 407 (2,6%)

IPEA/US 2.181 2.151 2.879 3.459 2.628 2.644 1. 712 (12,5%) 1.838 (11,7%)

Others 2.460 2.174 1.922 1.662 1.903 1.588 1.558 (11,3%) 1.622 (10,3%)

Total 18.744 16.877 15.672 15.092 15.722 14.694 13.738 15.706

Page 10: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

PCT applications filed in 2015 (total)

2014: 214,323 demandes internationales (+4.5%)

http://www.wipo.int/export/sites/www/ipstats/en/docs/infographics_pct_2015.pdf

2015: 217.229 (+1.6%)

0

50000

100000

150000

200000

250000

78 80 82 84 86 88 90 92 94 96 98 00 02 04 06 08 10 12 14

Page 11: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

0

10.000

20.000

30.000

40.000

50.000

60.000

US JP CN DE KR FR GB NL CH SE IT CA FI AU ES

PCT applications filed in 2015 by applicant’s origin (not by receiving Office)

CN: + 16.8 % FI: -12.1%

KR: + 11.5 % CA: -7.2%

IL: + 7.4% ES: -10.3%

[ES: 1.705 in 2014 vs 1.530 in 2015]

Page 12: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Main PCT applicants, 2015

1. Huawei—CN (3.898) = (3.442)

2. Qualcomm—US (2.442) = (2.409)

3. ZTE—CN (2.155) = (2.179)

4. Samsung—KR (1.683) [ 11] (1.381)

5. Mitsubishi—JP (1.593) = (1.593)

6. Ericsson—SE (1.481) [ 7] (1.512)

7. LG Electronics—KR (1.457) [ 16] (1.138)

8. Sony Corporation—JP (1.381) [ 21] (982)

9. Philips—NL (1.378) [ 10] (1.391)

10. HP—US (1.310) [ 25] (826)

11. Siemens—DE (1.292) [ 9] (1.399)

12. Intel—US (1.250) [ 6] (1.539)

13. Robert Bosch—DE (1.247) = (1.371)

14. BOE Technology—CN (1.227) [ 34] (553)

15. Toyota—JP (1.214) [ 12] (1.378)

() number of published international applications [ #] classification in 2014

Page 13: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Camille-Rémy Bogliolo Madrid, 3 November 2016 Head, Department of PCT Affairs

PCT procedure before the EPO

as receiving Office

Page 14: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

PCT procedure before the EPO as receiving Office (RO)

Conditions for choosing EPO as RO

Applicability of PCT to EPC Contracting States

PCT Direct service

Address for Correspondence (AfC)

Representation rules for non-European applicants

New : means of filing and payment, use of smart cards at the EPO

Case study: incorporation by reference at the EPO as RO

Page 15: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Conditions for the selection of RO/EP (1)

Nationality / Residence of the applicant:

The EPO is receiving office (RO) for international applications for all EPC

Contracting States receives applications from:

- nationals from EPC Contracting States, and

- residents in an EPC Contracting State (natural / legal persons)

ATTENTION: Nationality / residence of a person mentioned only as an

inventor is irrelevant for the purposes of filing an international application,

but his/her designation is required for the European phase.

Page 16: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Conditions for the selection of RO/EP (2)

Multiple applicants :

at least one of the applicants has to comply with the nationality /

residence criterion

possibility to select an applicant for certain PCT Contracting States

only .... but:

ATTENTION: when a State is designated for a national and

regional patent, the applicants have to be the same for both

designations - Rule 4(5)(d) PCT

if a priority is claimed, it is enough that the applicant of the earlier

application is also (one) applicant in the subsequent PCT application

Page 17: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Conditions the selection of RO/EP (3)

The PCT does not extend to all territories of the EPC Contracting

States (ex.: Jersey, Bermuda, Cayman Islands, ...):

applicants residing on such territories must ensure that they are entitled

to file an international application with the EPO as receiving office

(criteria: nationality)

all PCT applicants wanting to benefit from protection in these territories

must first verify if this protection can be obtained thanks to a national

patent (e.g. validation of UK patent)

See OJ EPO 2014, A.33

Page 18: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Applicability of PCT to territories covered by the EPC (1)

Territories of EPC Contracting States in which the PCT is applicable:

Denmark :

Faroe Islands (FO),

Greenland (GL)

Finland :

Åland Islands (AX)

France :

French Polynesia (PF), French Southern Territories (TF), New

Caledonia (NC), Saint Barthélemy (BL), Saint-Martin (French part)

(MF), Saint-Pierre-et-Miquelon (PM), Wallis et Futuna (WF)

Page 19: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Applicability of PCT to territories covered by the EPC (2)

Territories of EPC Contracting States where the PCT is applicable:

Netherlands :

Curaçao (CW), Saint-Martin (Dutch part) (SX), Aruba (AW)

Norway :

Bouvet Island (BV),

Svalbard and Jan Mayen (SJ)

United Kingdom :

The Isle of Man (IM)

Page 20: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Applicability of PCT to territories covered by the EPC (3)

Territories of EPC Contracting States where the PCT is NOT

applicable

UNITED KINGDOM :

British Virgin Islands (BVI), Guernesey (GG), Jersey (JE),

Bermuda (BM), Cayman Islands (KY), Falkland Islands (FK), Îles

Turks and Caicos Islands (TC), Anguilla (AI), Gibraltar (GI),

Montserrat (MS), Pitcairn (PN), Saint Helena, Ascension and

Tristan da Cunha (SH), South Georgia and the South Sandwich

Islands (GS).

Page 21: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Relevant for applicants filing a PCT application and claiming priority from

a 1st filing searched by EPO who are interested in a quick outcome

How? File “PCT Direct letter” with PCT application containing informal

comments on objections of earlier search opinion + possibility of showing

“track changes” → PCT Direct is free of charge

Examiner will establish ISR and WO-ISA taking into account informal

comments on the earlier search opinion

Increase likelihood of receiving positive WOISA. + 200 letters / month

Since Nov. 2014 at RO/EP; since July 2015 open to all ROs (see EPO

OJ 2015, A51)

« PCT Direct » Service

Page 22: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

PCT Direct : concept

Applicant

files first

application

searched by EPO

files second

application (PCT

application)

searched by EPO

Applicant

First search

performed by

EPO within 6 m

Comments taken into

account by EPO

examiner when preparing

the second ISR & WO-ISA

WO-ISA

positive or negative

Chapter II? National /

regional phases

PCT Direct Letter

attached to 2nd filing

Second search fee

refunded by EPO

Page 23: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

PCT Direct for Spanish applicants (time line)

1st filing searched by EPO e.g. PCT at RO/ES,

ISA/EPO

PCT 2nd filing + informal comment to WOISA on 1st filing

at any RO with ISA/EPO

0 m

< 3 m

6 m

< 12 m

EPO ISA

EPO ISR + WOISA on 1st PCT

ISR + WOISA on 2nd PCT

WOISA positive?

PCT Chap II Entry Reg. And Nat. Phases

(with PPH?)

Euro-PCT

high priority direct grant

17 m

within +/- 1

year from

entry into EP

Phase when

expedited

NO YES

Priority

claim

30/31 m

Spanish agent (possible)

European patent attorney (compulsory)

Page 24: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

“PCT Direct” search refunds if ISA=EPO

100 % refund where EPO

can make full use of earlier ISR

(“doublure”)

25 % refund where EPO

can make partial use of earlier ISR

Search fee: € 0

Search fee: €1.875

1st filing (EPO/ISA)

e.g. PCT Priority

2nd PCT filing

(“doublure”)

PCT

Direct

Letter

Claim

Priority

Page 25: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

PCT – direct

Why PCT-direct?

Additional opportunity to discuss with the examiner

the objections raised in the EESR of the first filing.

Examiner “notices” amendments to the claims and

description

Page 26: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Address for Correspondence (AfC) (1)

Previous EPO practice

Only legal persons acting without a representative could indicate

an address of correspondence which did not coincide with the

address of their place of business.

Recipient indicated for the address for correspondence must be

the applicant.

Revised practice (since November 2014)

Differentiation between international and European phase of an

application alignment of EPO’s practice on the practice of the

IB for the international phase.

Page 27: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Address for Correspondence (AfC): new practice (2)

In the international phase, if no representative has been appointed:

all applicants (either natural or legal persons),

can indicate as AfC an address situated in any State in the World

(not only EPC Contracting States),

even if that address is the one of a person other than the applicant.

In the European phase:

any applicant, whether a natural or legal person,

can indicate as AfC, an address located on the territory of an

EPC Contracting States

only if the address is the applicant’s address (for legal persons,

the address may include a sub-division within a firm, provided this

is not a different legal person).

Page 28: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Address for correspondence (AfC): European phase (3)

An address for correspondence indicated in the Euro-PCT

application for the international phase is not valid for the

European phase if:

it is located outside the territories of EPC Contracting States;

belongs to another person.

The applicant will have to indicate a new address for

correspondence fulfilling the conditions under the European phase

(Form 1200 or separate letter).

See OJ EPO 2014, A99

Page 29: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Representation in case of a non-European applicant

In the case of multiple applicants only,

if one or more of the applicants is / are not domiciled in an EPC

Contracting State...

but at least one of the applicants is domiciled in an EPC Contracting

State,

the latter applicant is considered as the deemed common

representative under Rule 90(2) PCT

For the (other) non-European applicant(s), there no requirement by

RO/EP for representation by a European representative

Page 30: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

New means of filing

RO-EP accepts paper filings, filings by fax, CMS, PCT-SAFE and ...

Since April 2014 : online filing of subsequently filed documents under

PCT, possible at the EPO via eOLF (PCT-SDF module).

Since July 2014 : Filing of a Chapter 2 demand for a preliminary

international examination via eOLF (PCT-DEMAND module).

Since November 2014 : Filing of international applications with RO/EP

directly with ePCT (WIPO).

NEW: Since 1st November 2016: ePCT service extended to all

subsequently filed documents for RO/EP, ISA/EP et IPEA/EP.

Emergency solution (better than fax) : web-form filing on EPO website

Page 31: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Current Fee payment methods at the EPO

Bank transfers to EPO’s bank account

Fee payments to EPO bank accounts must be made in EUR and transferred

without charge to the EPO

Use of a deposit account held with the EPO, replenished via bank transfer:

2 possibilities of deposit account payment: debit order for individual fees, and

automatic debit order.

Electronic means of payment for EPO deposit accounts holders:

Online Filing (PCT/RO 101, PCT-SFD, PCT-Demand)

Online Fee Payment (batch payment, deposit account management)

New Online Filing – CMS, PCT-SAFE

ePCT (PCT/RO/101, SFD)

Objective for 2017 (to be confirmed): to stop paper order and accept

payments by credit card.

Page 32: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Use of Smart Cards at the EPO

I- Accessing the Online Fee Payment web service

II- Filing and fee payment directly to the EPO systems

Online Filing

New Online Filing - CMS

III- Access documents at the EPO

Page 33: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

I- Online Fee Payment web service

Access

via Internet browser; EPO deposit account needed

Authentication

with Smartcard

Page 34: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

I- Online Fee Payment – features (I)

Pay any EP and PCT fee to the EPO online

Upload and perform batch payments

Manage (request and revoke) automatic debit orders

View payment plan for automatic debit orders

Page 35: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

I- Online Fee Payment – features (II)

View pending orders from Online Fee Payment and all online filing tools (this

includes Online Filing, New Online Filing - CMS and ePCT)

View all transactions within 90 days (older ones available in Account History)

View statements

Page 36: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

I- Online Fee Payment

New features from 1 November 2016

increased visibility of replenishments

(i.e. one day after receipt at EPO)

optimized pending order balance within search function

additional features:

statement for selected timeframe

batch payment: single pdf confirmation files for each

application no.

Planned for the near future

validation tool to identify and block payments for dead files

Page 37: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

II- Online Filing Access

locally or server installed software

for sending it securely connects to the EPO online filing server

Authentication

with Smartcard

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II- Online Filing – software updates

Software and fee updates are available for download and installation

from EPO’s website

Page 39: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

II- Online Filing – features (I)

Prepare and file documents including fee payment

EP related:

EP applications (EP1001)

Entry into European Phase (EP1200)

Subsequently filed documents and/or fee payment (EP1038)

PCT related:

PCT application (PCT/RO/101)

Demand Chapter II PCT (PCT-DEMAND)

Subsequently filed documents and related fee payments (PCT-SFD)

New from 1 November 2016: all PCT fees may be paid via the PCT-SFD

plug-in

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II- Online Filing – features (II)

For new EP and new PCT applications an automated fee calculation is

available

Request for automatic debiting may be indicated

Page 41: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

II- New Online Filing – CMS

Access

via Internet browser; EPO CMS account needed

Authentication

with Smartcard

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II- New Online Filing – CMS – features (I)

System and fees are updated on EPO side – no action from users needed

Update information available on EPO website

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II- New Online Filing – CMS – features (II)

Prepare and file documents including fee payment

EP related:

EP applications (EP1001)

Entry into European Phase (EP1200)

Subsequently filed documents and/or fee payment (EP1038)

PCT related:

PCT application (PCT/RO/101)

Subsequently filed documents and related fee payments (PCT1038)

Page 44: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

II- New Online Filing – CMS – features (III)

For new EP and new PCT applications an automated fee calculation is

available

Request for automatic debiting may be indicated

Deferred execution date may be indicated

Page 45: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

III- Access documents

Potentially access filed EP documents using CMS or eOLF.

Potentially receive EP Mail electronically via Mailbox

Any more questions regarding the use of smart cards: please contact Richard

Garvey at [email protected]

Page 46: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Case Study : Incorporation by reference at RO-EP

PLT and PCT framework

Missing element vs missing part

Requirements: formal and substantive

Practical examples: general and specific to EPO acting as RO

Advice to applicants

Effect upon entry into the national or regional phase

Conclusion

Page 47: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Background

The Patent Law Treaty (PLT, signed 1 June 2000 in Geneva)

introduces the concept of incorporation by reference of missing

parts and elements in Article 5

Harmonize the practices in proceedings before Offices acting

under the PCT and applying national laws

Enable the inclusion of accidentally omitted elements or parts that

are contained in an earlier application of which priority is validly

claimed, without affecting the international filing date

Page 48: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

PCT framework

• Since 1 April 2007 in force under the PCT

• To date, 8 Offices acting as receiving Office (RO) have not yet

withdrawn their notification of incompatibility with their national law

(Rule 20.8(a) PCT): BE, CU, CZ, DE, ID, IT, KR, MX

• To date, 8 Offices acting as designated Office (DO) have not yet

withdrawn their notification of incompatibility with their national law

(Rule 20.8(b) PCT): CN, CU, CZ, DE, ID, KR, MX, TR

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Missing element

Definition for the purposes of incorporation by reference: the whole

description or the full set of claims

If the RO finds that an element is missing in the papers purporting to

be an international application, it invites the applicant (PCT/RO/103):

to furnish the required element the international filing date

(IFD) changes into the day the requirements for filing an

international application are fulfilled (Article 11(2)(b) and Rule

20.3(b)(i) PCT)

or

to confirm that the element is incorporated by reference if the

conditions of incorporation by reference are met, the IFD is

maintained (Rule 20.6(b) and 20.3(b)(ii) PCT)

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Missing part

Definition: part of the description, part of the claims, part or all of the

drawings

Where the RO finds a part is missing, it invites the applicant

(PCT/RO/107):

to complete the purported international application by furnishing

the missing part the IFD changes into the date of receipt of the

missing part (Rule 20.5(c) PCT)

or

to confirm that the part was incorporated by reference if the

conditions for incorporation by reference are met, the IFD is

maintained (Rule 20.6(b) and 20.5(d) PCT)

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Formal requirements: time limit (Rule 20.7 PCT)

Where an invitation was issued by the RO (Rule 20.3(a) or

Rule 20.5(a) PCT): two months from the date of the invitation

the RO informs the applicant if in these two months the priority

period expires

Where no invitation was sent to the applicant by the RO: two months

from the filing date

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Formal requirements: confirmation (Rule 20.6 PCT)

Written notice confirming that the element or part in question is

incorporated by reference in the international application

accompanied by:

The sheet(s) embodying the entire element or part as contained in

the priority document

A copy of the priority document, if not already submitted

A translation if the earlier application is not in the language of the

international application

An indication of where the missing part is in the priority document

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Condition: 'completely contained' (Rule 20.6 PCT)

The omitted element or part must be completely contained in the

earlier application from which the priority was validly claimed must

be identical to the corresponding text/drawing in the priority document

Request contains a statement of incorporation by reference (Rule

4.18 PCT), subject to confirmation under Rule 20.6 PCT Box No.

VI in Form PCT/RO/101

Page 54: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

European Patent Office

Decision by RO: overview of the procedure

request for incorporation by reference

of missing parts and elements

RO checks if formal requirements are

fulfilled (time limit

+ confirmation of incorporation)

yes no

IFD is date of receipt of

missing part or element,

applicant notified with form PCT/RO/114

RO checks if 'completely contained'

condition is fulfilled

yes no

IFD is date of receipt of

missing part or element,

applicant notified with form PCT/RO/114

IFD is maintained,

applicant notified with form PCT/RO/114

applicant may request the missing

part concerned to be disregarded

no correction, IFD maintained

applicant may request the missing

part concerned to be disregarded

no correction, IFD maintained

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European Patent Office

Practical examples (1): general

Example 1: missing element

the full set of claims is missing

RO noticed shortly after the filing date

RO is expected to spot the missing

element

Decision: RO issues invitation

(PCT/RO/103) to the applicant, who has

then two months to furnish missing

element or request incorporation by

reference

Example 2: missing part unnoticed

by RO

several pages of the description are missing,

number of pages in Check List of the

Request is accurate

two months after the filing date

applicant found out about the mistake and

informed the RO

RO is expected to spot the missing part

Decision: RO issues invitation (PCT/RO/107)

to the applicant, who has then two months to

furnish missing part or request incorporation

by reference

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European Patent Office

Practical examples (2): missing drawings

Example 3: missing page of

drawings

Example 4: missing feature in a

drawing

p.1 p.3 p.4

RO is expected to spot the missing

page of drawings

Decision: RO issues invitation

(PCT/RO/107) to the applicant, who has or request incorporation by reference

Figure 1a

Figure 1c

Fig.1

RO is not expected to spot a missing

feature in a drawing

Decision: RO does not issue invitation

(PCT/RO/107) to the applicant

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European Patent Office

Practical examples (3): others

Example 5: addition of priority

claim

Priority not claimed on the filing date

Some pages of the drawings appear to be

missing

Completely contained in the priority

claimed one week after the filing date

Rule 4.18 PCT requires that the priority

of the earlier application is claimed on the

filing date

Decision: Incorporation by reference not

allowed

Example 6: obvious mistake in

numbering of drawings

Missing drawings completely contained in

earlier application whose priority is

claimed

Mistake in the numbering of drawings in

the earlier application (e.g. Fig.1, Fig. 2,

Fig. c, Fig.4, no Fig.3). Description refers

to Fig.1, Fig. 2, Fig.3, Fig.4).

Rectification of clerical mistake allowed

(Rule 91 PCT)

Decision: RO issues invitation

PCT/RO/107 and PCT/RO/108.

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European Patent Office

Practical examples (4): others

Example 7: Inclusion of wrong page of drawings

Application contained a wrong sheet of

drawings with two figures

Correct sheet also contains two (but

different) figures

Description correctly refers to two figures

RO/IB can not be expected to verify

whether the figures submitted are the

correct ones. The formality check

performed will not detect this error

Decision: RO does not issue invitation

(PCT/RO/107) to the applicant

Example 8: Removal of information not

allowed

Together with his confirmation of incorporation

by reference, applicant submits a replacement

sheet which includes missing parts completely

contained in the earlier application

However, the replacement sheet also leaves

out several paragraphs which were originally

contained in the description

RO/IB will not accept that certain information

originally disclosed is removed through

incorporation by reference

Decision: If there still is sufficient time,

applicant will be invited to resubmit relevant

replacement pages; if the time limit has already

expired, request will not be granted

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European Patent Office

Practical examples (5): others

Example 9: sequence listing as a

missing part

References to a sequence listing in the

description

No sequence listing filed on the filing date

Sequence listing completely contained in

the earlier application whose priority is

claimed

Sequence listing filed in the application

is a part of the description (Rule 5.2 PCT)

Decision: RO issues invitation

PCT/RO/107

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European Patent Office

Practical examples (6): others

Example 10: missing paragraph in

description filed with IB instead of

RO/EP

applicant requested incorporation by

reference with the IB after publication

RO/EP received the request forwarded by

the IB

Request must be filed with the RO

RO/EP is not expected to spot a

missing paragraph

Decision: RO does not issue invitation

(PCT/RO/107) to the applicant

Example 11: entire set of new

elements was filed

application as filed was complete

(description and claims)

new description and claims are entirely

unrelated to the elements originally filed

whole set of new description and

claims does not qualify as missing

element

Decision: Request not granted

Page 61: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Our advice to applicants

This procedure is time consuming for both users and Offices, and

requests are not always granted

Be careful: always check the content of the acknowledgement

of receipt after filing an international application

Use online file access tools (such as ePCT) right after submission

of your application to verify correct contents of your application

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Effect on DO: full review (Rule 82ter.1 PCT)

DOs may review decisions of ROs which have allowed incorporation

by reference if the DO finds:

no priority document was furnished

the statement of incorporation was missing or not submitted

no written notice confirming incorporation by reference was submitted

no required translation of the priority document was furnished, or

the element or part in question was not completely contained in the

priority document

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Effect on DO: outcome of review (Rule 82ter.1 PCT)

If the DO decides the incorporation by reference did not meet the

criteria

the DO may treat the international application as if the

international filing date had been accorded on the basis of the

date on which the sheets containing the missing elements or

parts were submitted

the DO has to give the applicant the opportunity to make

observations on this outcome and/or to request that, at least the

missing parts which had been furnished be disregarded

If the DO notified the IB of incompatibility with their national law, the

DO will apply the above as well (Rule 20.8 (c) PCT)

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Entry into the regional phase with the EPO

Where the priority document is not in an EPO official language, the

applicant must provide (Rule 51bis.1(e)(ii) PCT):

a translation of the priority document, and

in cases of missing parts, an indication as to where that part is

contained in the translation of the priority document

Page 65: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Conclusion

EPO and IB / USPTO practices differ only marginally, i.e. when a

completely new specification (description & claims) is filed.

EPO suggested to 2013 PCT WG to align the RO Guidelines to

Rule 20 PCT (PCT/WG/6/20), in order to avoid loss of rights when

entering into the regional phase; there was no consensus.

Discussions continued in the PCT WG on this matter since 2013,

especially regarding the cases of erroneously filed applications.

The target is to explore possibilities that could achieve greater

consistency and legal certainty for applicants.

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La OEPM como Administración Internacional del PCT y

durante la Fase Nacional

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OEPM: Actividades en el PCT

Oficina receptora de solicitudes PCT (desde 1989)

Administración encargada de la Búsqueda Internacional – ISA (nombramiento 1993)

Administración encargada del Examen Preliminar Internacional – IPEA (inicio actividades 2003)

Entrada en fase nacional de solicitudes

LA OEPM Y EL PCT

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LA OEPM COMO AI

LA OEPM COMO ADMINISTRACIÓN DE BÚSQUEDA (ISA) Y DE EXAMEN PRELIMINAR INTERNACIONAL (IPEA)

La Oficina Española de Patentes y Marcas (OEPM) realiza su actividad como Administración Internacional tanto de Búsqueda como de Examen Preliminar Internacional del PCT, respecto a aquellas solicitudes internacionales para las que la OEPM sea competente al provenir la solicitud de nacionales o residentes en España o de un país hispanohablante adherido al PCT y que haya designado a la OEPM.

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ADMINISTRACIONES INTERNACIONALES DEL PCT: 22

• AT

• AU

• BR

• CA

• CL

• CN

• EG

• EP

• ES

• FI

• IL

• IN

• JP

• KR

• RU

• SE

• SG

• UA

• US

• XN

• XV

• TR

LA OEPM COMO ISA

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Solicitud PCT Oficina Receptora Fase

Internacional PCT en Español

Fase Nacional en cada Estado

OEPM

España

---------

México

Chile

Colombia

Costa Rica

Cuba

Rep Dominicana

Ecuador

El Salvador

Guatemala

Honduras

Nicaragua

Panamá

Perú

LA OEPM COMO ISA

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REQUISITOS MÍNIMOS PARA SER ISA (Regla 36.1 PCT)

• Al menos 100 examinadores con cualificación suficiente para realizar las búsquedas en los distintos campos técnicos

• Disponer o tener acceso a la documentación mínima PCT referida en la Regla 34

• Tener capacidad para realizar búsquedas en los distintos idiomas de la documentación mínima PCT

• Debe disponerse de un Sistema de Gestión de Calidad y de Revisión Interna

LA OEPM COMO ISA

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PCT Sistema de gestión de calidad

OEPM Certificación ISO 9001:2008 → 9001:2015

LA OEPM COMO ISA

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RESPONSABILIDAD PRINCIPAL DE UNA ISA: “descubrir el estado de la técnica pertinente” (Artículo 15 PCT)

INFORMES EMITIDOS DENTRO DEL CAPÍTULO I:

CAPÍTULO I: • Informe de Búsqueda Internacional (IBI) • Opinión Escrita (OE)

LA OEPM COMO ISA

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INFORME DE BÚSQUEDA INTERNACIONAL

Lista de documentos relativos al estado de la técnica con indicación de su grado de relevancia:

X Y A

X: de particular relevancia: un sólo documento afecta a novedad o actividad inventiva de una Reivindicación.

Y: de particular relevancia combinado con otro/s de la misma categoría: dos documentos combinados afectan a actividad inventiva de una Reivindicación.

A: refleja el estado de la técnica sin cuestionar la patentabilidad

LA OEPM COMO ISA

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OPINIÓN ESCRITA EN EL CAPÍTULO I DEL PCT

Objetivo:

• Proporcionar al solicitante una primera indicación de NOVEDAD, ACTIVIDAD INVENTIVA Y APLICACIÓN INDUSTRIAL de la solicitud

• Igualmente se da información sobre otros defectos de la solicitud.

• Intentar que la OE sea de la máxima utilidad para las etapas posteriores, incluyendo sugerencias de modificaciones que evitarían una opinión negativa en fases posteriores.

Se emite simultáneamente con el

Informe de Búsqueda Internacional

LA OEPM COMO ISA

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LA OEPM COMO ISA

(FORMULARIO PCT/ISA/237):

Primera Página

I. Base de la Opinión

II. Prioridad

III. Falta de formulación de opinión

IV. Falta de Unidad

V. Novedad, Actividad Inventiva y Aplicación Industrial

VI. Documentos Citados

VII. Defectos

VIII.Observaciones sobre Claridad y Congruencia

Opinión Escrita: Elementos

La OE es un documento compuesto de 8 recuadros que

analizan los distintos aspectos de la solicitud PCT

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Ejemplo OEPM: Opinión Escrita Primera Página

LA OEPM COMO ISA

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Ejemplo OEPM: Opinión Escrita

negativa

LA OEPM COMO ISA

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LA OEPM COMO ISA

Ejemplo OEPM: Opinión Escrita

positiva

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LA OEPM COMO ISA

INFORMES DE BÚSQUEDA INTERNACIONAL PCT EN LA OEPM

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Plazos

• Si la solicitud PCT reivindica prioridad: – En el plazo de TRES meses desde la fecha de entrada

en ISA

• Si la solicitud PCT no reivindica prioridad: – En el plazo de NUEVE meses desde la fecha de

presentación internacional

INFORME DE BÚSQUEDA

INTERNACIONAL

OPINIÓN

ESCRITA

LA OEPM COMO ISA

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Plazos OEPM: estadísticas OMPI 2014

LA OEPM COMO ISA

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LA OEPM COMO IPEA

Informes emitidos dentro de cada capítulo:

CAPÍTULO I: • Informe de Búsqueda Internacional • Opinión Escrita

CAPÍTULO II

• 2ª Opinión Escrita • Informe Preliminar Internacional sobre Patentabilidad

LA OEPM COMO ADMINISTRACIÓN DE EXAMEN PRELIMINAR INTERNACIONAL

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LA OEPM COMO IPEA

Búsquedas top-up (complementaria) Reglas 66.1ter y 70.2.f) del PCT:

El informe de examen preliminar internacional incluye las denominadas búsquedas top-up (complementarias), cuyo propósito principal consiste en encontrar estado de la técnica, potencialmente relevante, que haya sido publicado con posterioridad a la realización de la búsqueda internacional.

Modificación del PCT relevante en vigor desde Julio de 2014

El formulario PCT/IPEA/409 ahora incluye en el Recuadro I (Base del Informe) una referencia a su realización

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LA OEPM COMO IPEA

Ejemplo OEPM: Informe Preliminar Internacional sobre

Patentabilidad negativo

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LA OEPM Y EL PCT

Tasas de Solicitudes PCT OEPM

(2016)

Tasas PCT € Descuentos

Transmisión (R.14.1) 75 Pres. Electr.

Internacional OMPI 1.219 90% (OMPI)

Búsqueda OEPM (EPO) 1.875 (=) 75%

Examen OEPM (EPO) 589 (1.930) -

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Descuentos y reembolsos en las tasas PCT aplicados por la OEPM

Si la búsqueda PCT se basa en una búsqueda anterior realizada por la OEPM, reembolso de un 50% de la tasa de búsqueda PCT .

Si la búsqueda PCT se basa parcial o totalmente en una búsqueda anterior realizada por otra ISA u otra Oficina nacional también se practican reembolsos (Reglas 12bis.1, 16.3 y 41.1)

TASAS Y COSTES PCT EN LA OEPM

LA OEPM Y EL PCT

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Los solicitantes, personas físicas, jurídicas, nacionales o residentes en un país ajeno al EPC clasificado por el Banco Mundial en el grupo de países de “ingresos bajos”, “ingresos medianos bajos” o “ingresos medianos altos” están exentos del 75% del importe de la tasa de búsqueda internacional. Los siguientes estados cumplen estas condiciones:

CO Colombia GT Guatemala

CR Costa Rica HN Honduras

CU Cuba MX México

DO Rep. Dominicana NI Nicaragua

EC Ecuador PE Perú

SV El Salvador

LA OEPM Y EL PCT

TASAS Y COSTES PCT EN LA OEPM

Descuentos en las tasas PCT aplicados actualmente por la OEPM

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Tasa del Informe sobre el Estado de la Técnica (IET) en el procedimiento nacional

Reembolso:

75% si IBI lo realizó EPO o ISAs del CPE

25% si IBI lo realizó otra ISA

Dispensa pago si IBI lo realizó OEPM

LA OEPM Y EL PCT

TASAS Y COSTES PCT EN LA OEPM

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Entrada en fase regional europea tras el proceso PCT en la OEPM.

Ventajas si se ha realizado la fase internacional en la OEPM cuando se entra en fase regional en la EPO:

Existe una reducción de la tasa de búsqueda complementaria de la EPO para Solicitudes Internacionales PCT cuya ISA ha sido la OEPM.

Estas reducciones tiene el propósito de que las tasas totales sean independientes de la Administración Internacional europea elegida (AT, FI, ES, SE, NPI y VPI)

Se obtiene la ventaja adicional de que el solicitante obtiene un informe de búsqueda complementario europeo.

El descuento actual (2016 – 2020) es de 1.110 €

La vía Euro-PCT

LA OEPM Y EL PCT

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Transmisión de archivos por vía electrónica dentro de la propia OEPM y al exterior:

Ejemplares originales de las solicitudes internacionales PCT

Notificaciones a la Oficina Internacional de la OMPI

Informes de búsqueda, opiniones escritas e informes de examen preliminar internacional

Documentos de prioridad electrónicos: Documento de prioridad depositado en una base de datos segura de OMPI para reivindicar una prioridad.

Desde septiembre 2016: participación en el PCT Paperless Pilot Proyect, cuyo resultado positivo reciente permite la entrega a la EPO de la documentación del PCT únicamente en formato electrónico

OEPM: Automatización de las tareas administrativas en el entorno PCT

LA OEPM Y EL PCT

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EL PCT EN LA NUEVA LEY DE PATENTES

El PCT en la nueva Ley de Patentes 24/2015, de 24 de julio

Incorporado en el Título XIV: Aplicación de los convenios internacionales

• Capítulo I: Patente Europea (artículos 151 a 161) • Capítulo II: PCT

Sección 1ª. Solicitudes PCT depositadas en España (artículos 162 a 166)

Sección 2ª. Solicitudes PCT que designan a España (artículos 167 a 174)

La nueva LP 24/2015 integra y eleva a rango de ley la mayoría de las disposiciones contempladas en el antiguo RD 1123/1995 sobre PCT.

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EL PCT EN LA NUEVA LEY DE PATENTES

PCT en la NLP: ASPECTOS RELEVANTES

Entrada en vigor 1 Abril 2017. Recoge las actividades de la OEPM como ISA, IPEA, Oficina

Designada y Oficina Elegida Incorpora que el incumplimiento de presentación en la OEPM de

una Solicitud Internacional del PCT realizada en España y presentada por primera vez, privará de efectos en España a la solicitud internacional (Art. 163.2 NLP)

Entrada en fase nacional pago tasa de solicitud y realización del IET (Art 169)

Interferencias de novedad. Se extienden a las SIs PCT que hayan entrado en fase nacional en España (Art 6.3).

Se incorpora una disposición estableciendo que el régimen de tasas del PCT está condicionado al Acuerdo Especial entre la Organización Europea de Patentes y España relativo a la Cooperación en cuestiones relacionadas con el PCT.

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LA OEPM FASE NACIONAL PCT

LA OEPM FASE NACIONAL PCT

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Plazos de entrada en Fase Nacional PCT (Art. 22 PCT)

• Oficina designada (Capítulo I)

- Antes de 30 meses desde la fecha prioridad (Art 22.1)

- Antes de 20 meses para Estados que han comunicado incompatibilidad con el Art 22.1

• Oficina elegida (Capítulo II)

- Antes de 30 meses si el examen se solicita en plazo de 19 meses desde prioridad (Art 39)

- En caso contrario el plazo aplicable por OE (Art 39.1.b)).

PCT FASE NACIONAL: PLAZO

OEPM: 30 meses en ambos casos

LA OEPM FASE NACIONAL PCT

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LA OEPM FASE NACIONAL PCT

Las establecidas por la Oficina Nacional:

- OEPM: Tasa de presentación

Las anualidades vencidas

- OEPM: No se abonan anualidades hasta la concesión

Posibilidad de exención, reducción o reembolso

OEPM: Exención del IET y OE cuando hay un Informe de Búsqueda Internacional del PCT previo realizado por la OEPM. Posibilidades de reembolso parcial en otros casos.

PCT FASE NACIONAL. TASAS OEPM

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LA OEPM FASE NACIONAL PCT

Requisitos traducción OEPM Cap. I

• Descripción

• Reivindicaciones, (modificadas + declaración Art. 19)

• Texto de dibujos

• Resumen.

Requisitos traducción OEPM Cap. II

• Descripción

• Reivindicaciones

• Texto dibujos

• Resumen

• Toda parte modificada según su inclusión en anexos del Informe de examen.

PCT FASE NACIONAL. TRADUCCIONES

No se exige traducción del documento prioritario salvo cuando la validez de la prioridad sea relevante para determinar la patentabilidad

de la invención y también en caso de incorporación por referencia

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Una solicitud internacional puede tener una fecha de presentación internacional en la OEPM posterior al periodo de prioridad (12 meses), aunque esa fecha debe estar incluida dentro de los dos meses siguientes a la expiración del periodo de prioridad (Regla 26bis.3 PCT)

PCT FASE NACIONAL OEPM RESTABLECIMIENTO DEL DERECHO DE PRIORIDAD

LA OEPM FASE NACIONAL PCT

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Efecto del restablecimiento del derecho de prioridad en la Oficina Designada: “Diligencia Debida”*

Reglas 26bis.3 y 49ter.1.b):

Si la Oficina Receptora ha restaurado el derecho de prioridad sobre la base del criterio de la “diligencia debida”, el restablecimiento surte efecto en todos los Estados Designados (salvo en aquellos que hayan notificado la incompatibilidad).

* La no presentación de la solicitud dentro del período de prioridad ocurrió a pesar de haber actuado con la diligencia debida según las circunstancias.

LA OEPM FASE NACIONAL PCT

PCT FASE NACIONAL OEPM RESTABLECIMIENTO DEL DERECHO DE PRIORIDAD

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Reglas 26bis.3 y 49ter.1.b):

Si la Oficina receptora ha restaurado el derecho de prioridad sobre la base del criterio de la “falta de intencionalidad”, el restablecimiento surte efecto en sólo en los Estados Designados cuya legislación nacional aplique ese criterio, o un criterio más favorable.

Efecto del restablecimiento del derecho de prioridad en la Oficina designada: “No intencionalidad”*

* La no presentación de la solicitud dentro del período de prioridad fue no intencional

LA OEPM FASE NACIONAL PCT

PCT FASE NACIONAL OEPM RESTABLECIMIENTO DEL DERECHO DE PRIORIDAD

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Posible en la OEPM, cuando el solicitante no ha cumplido los actos para entrar en la fase nacional en el plazo previsto

El solicitante puede presentar una solicitud de restablecimiento y entrar en fase nacional en el plazo que expire antes entre:

- 2 meses desde la fecha de supresión de la causa del incumplimiento del plazo de entrada en fase nacional, o

- 12 meses desde la fecha de expiración del plazo para entrar en

fase nacional; Se aplicarán los criterios de diligencia debida.

PCT FASE NACIONAL OEPM RESTABLECIMIENTO DE DERECHOS POR INCUMPLIMIENTO DE PLAZOS DE ENTRADA EN FASE NACIONAL (Regla 49.6)

LA OEPM FASE NACIONAL PCT

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PCT FASE NACIONAL OEPM PUBLICACIÓN DE LA SOLICITUD INTERNACIONAL.

La SI que designe a España tendrá efectos de una solicitud nacional desde el momento que se le haya otorgado una fecha de presentación internacional

La publicación de una SI, para la que la OEPM actúe como Oficina Designada, sustituye a la publicación de la solicitud de patente nacional (Art 170 NLP).

- Protección provisional a partir de la fecha de la publicación internacional en español

- O a partir de la fecha en que una traducción de la solicitud en español se encuentre a disposición del público en la OEPM

LA OEPM FASE NACIONAL PCT

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LA OEPM FASE NACIONAL PCT

Efectos de la concesión de la patente. Prohibición de la doble protección en la OEPM

Una patente concedida por la OEPM sobre la base de una SI tendrá los mismos efectos y el mismo valor que la concedida sobre la base de una solicitud nacional

Prohibición de doble protección: en caso de mismo solicitante, fecha de presentación y misma invención (Art 173 NLP)

PCT FASE NACIONAL OEPM. CONCESIÓN

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PATENT PROSECUTION HIGHWAY (PPH)

PPH

La OEPM participa desde 2010 mediante una serie de acuerdos bilaterales con otras oficinas de Propiedad Industrial de otros países.

La OEPM forma parte del acuerdo llamado PPH Global en el que participan más de 20 oficinas y ha firmado también acuerdos bilaterales PPH con oficinas nacionales.

La mayoría de acuerdos contemplan el PCT-PPH

PPH Global PPH bilaterales

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PROCEDIMIENTO PPH en OEPM

• Se aplica a solicitudes con prioridad extranjera y/o a fase nacional PCT provenientes de los países a los que se ha

llegado al acuerdo.

• Debe solicitarse un procedimiento PPH. El PPH puede solicitarse en cualquier momento de la tramitación.

• Una solicitud de PPH se admite si se aporta un resultado de búsqueda o examen POSITIVO de la Oficina de Primer

Depósito (OFF) en al menos una de las reivindicaciones.

• Toda/s la/s reivindicación/es presentadas en la OEPM deben

corresponder con la/s que se han determinado patentables en la OFF.

• Una solicitud PPH admitida desencadena un procedimiento acelerado de concesión.

PPH

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LA SOLICITUD PPH en la OEPM

• Formulario de petición

• Informe de búsqueda y/o examen positivo

• Tabla de correspondencia entre las reivindicaciones originales y las declaradas patentables

• Copia de las acciones realizadas por la OFF, si no son accesibles por la OEPM.

• Copia de documentos citados por el examinador de la OFF y no accesibles normalmente por la OEPM

• Idioma de la documentación PPH se admite inglés o español.

PPH

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¡Muchas gracias!

Page 109: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Camille-Rémy Bogliolo Madrid, 3 November 2016 Head, Department of PCT Affairs

PCT procedure before the EPO

as International Authority

Page 110: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

PCT procedure before the EPO as ISA and IPEA

Informal clarification before search (PCT-CLAR)

Supplementary International Search (SIS)

Collaborative Search & Examination Pilot (CS&E)

Pilot programme on “Search Strategies”

Chapter II: Second written opinion and top-up search

Focus: Non-unity procedure under the PCT

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EPO as ISA in 2015

EPO ranks 1st in the world as ISA, over 81 100 international search reports

were established in 2015, which amounts to 38% worldwide

38

20,4

13,1

12,8

9,7

5,9

International Search Reports established in 2015 (%)

EPO

JPO

KIPO

SIPO

USPTO

Others

43,1

9,5 0,9

26,7

19,8

Origin of Search Copies received by ISA/EP in 2015 (%)

RO/EP

RO/IB

RO/JP

RO/US

Others

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Latest developments at the EPO as ISA

PCT Direct service fully operational (around 220 files / month)

International search fee charged by EPO=ISA frozen at EUR 1 875 since 2012 and at least up until 2018

Dispense of European supplementary search fee (EUR 1 300)

Early Certainty for Search programme in full speed with a general improvement on the timeliness of PCT search reports:

94,2% of A1 publications (Q1-Q2 2016) vs 80,6% in 2012

73,1% of ISRs established under Rule 42 PCT (3 m from receipt of search copy or 9 m from priority) in Q1-Q2 2016 vs 54% in 2012

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Informal Clarification before search

EPO may request clarification before issuing a partial ISR/WOISA

Contact is usually by phone or fax (Form PCT/ISA/207); 2 weeks to reply

Reply is not mandatory, but the risk is to have an incomplete search. The

applicant can reply by:

indicating matter to search and/or

arguing that his claims are searchable/comply with requirements

however, amendments are not possible

EPO examines reply and may:

search a fall-back position chosen by applicant

be convinced by applicant's arguments – full search

not be convinced – partial/no search

No consequences in EP phase (R. 62a/63 EPC do not apply)

OJ EPO 2011, 327; ISPE GL 9.34 and 9.35

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Supplementary International Search (SIS) at the EPO

Given the language knowledge (English, German, French), the SISR

established by the EPO helps to overcome problems posed by the

linguistic diversity of the prior art that may be found in the national phase

Same quality of search, fee and advantages as for EPO’s international

search e.g. dispensation of supplementary European search in EP phase

Because the SIS by EPO is of the same scope and high quality as the

international search in EP phase, SISR established by EPO is respected

by national offices upon entry into the national phase

Explanations provided by EPO in an annex to the SISR are equivalent to

the information contained in a written opinion established by EPO as ISA

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SIS at the EPO (2)

Applicants may be represented before the EPO as SISA by the agent

appointed for the international phase. Thus, Spanish applicants can

continue to be represented by the Spanish agent appointed on file.

EPO as SISA also searches inventions which have not been searched by

the ISA. The applicant must indicate which invention is to be searched.

Requirements for filing a SIS request :

A request must be filed (and the fees paid) with the IB within 19 months

from the priority date (as of 1 July 2017, it will be 22 months).

Establishment of the SISR :

SISR is established within 28 months within priority date. Therefore, it

may improve the basis for deciding on national or European phase entry.

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SIS at the EPO (3)

Limited costs : SIS fee (EUR 1 875) and the handling fee for the

benefit of the IB (CHF 200) BUT after entry in the European phase,,

no fee for

Eur. Suppl. search fee (EUR 1 300);

claims fee if there are more than 15 claims.

Costs for a “useless” application are much higher: (third) renewal

fee (EUR 470), filing fee (EUR 120), Suppl. search fee (EUR 1 300),

designation fee (EUR 585), claims fee as of the 16th claim and up

until the 50th (EUR 235)

In 2015, the EPO established 62,5% of all SIS reports.

More information : Euro-PCT 2016 Guide, 272 s.

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PCT Collaborative Search & Examination (CS&E)

Concept: one PCT search performed by the main ISA in collaboration with

“peer” ISAs which provide contributions and feedback; IP5 project.

Aim: high quality search, increased legal certainty early on in the procedure

Pilot phases 1 and 2 (2010-12) were Office driven, and with only 3

participating Offices (EPO, KIPO, USPTO) working on English files

Pilot phases 1 and 2 covered only a handful of files, and there was no

automatic monitoring of the files entering the various national phases

Pilot phases 1 and 2 could not be used as a conclusive basis to implement

the proposed product in the PCT framework, and a 3rd phase was needed

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CS&E Pilot phase 3 Pilot phase 3 will be applicant-driven and all IP5 Offices will participate

Aim: check efficiency gains for Offices and potential uptake by applicants

Pilot phase 3 is divided in two phases:

preparatory phase launched by IP5 Heads on 2 June, and

operational phase to be launched (tentatively) by mid 2017.

Period of operational phase: 3 years to monitor entry into national phases

100 files per main ISA will be processed with English and non-English files

(including Asian languages: Chinese, Korean and Japanese)

Secure electronic platform for exchange of information and monitoring of KPIs

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CS&E Pilot Group

CS&E Cooperation Framework endorsed by IP5 Heads: sets the timeline

of the CS&E Pilot and the mandate of the CS&E Pilot Group

CS&E Pilot Group (IP5 + WIPO representatives) is in charge of :

during the preparatory phase, organizing the launch of the

operational phase on a solid basis (i.a. collaborative scheme and

methodology, operational and quality requirements, financial

assessment, IT tool etc.)

during the operational phase, monitoring the pilot, reporting to IP5 &

PCT relevant bodies and informing the user community

by the end of the pilot, making a recommendation regarding the

implementation of the new product in the PCT framework on the

basis of the experience gained and the outcome of the KPIs

CS&E Pilot Group met for the first time on 17.10.2016 (Munich) and

agreed on a Roadmap. Next meeting of the Group will be in February.

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EPO Pilot: Search Strategies

Information Sheet on Search Strategy annexed to all search reports

established by EPO under both PCT and EPC

Contains relevant data on classification, databases and key words used by

EPO examiners when performing the search

Available via file inspection in PATENTSCOPE (for PCT) and European

Patent Register (for EP)

Service available since 1 Nov. 2015 and running until end 2016 (to be

extended in 2017)

See OJ EPO 2015, A86

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EPO as IPEA in 2015

EPO ranks 1st in the world as IPEA with over 9 100 international

preliminary examination reports having been established in 2015, which

amounts to 58.2% worldwide (reaching even 63,4% in Q1-Q2 2016!)

58,1 15,8

1,5 2,6

11,7

10,3

International Preliminary Examination reports Established in 2015 (%)

EPO

JPO

KIPO

SIPO

USPTO

Others

37,4

7,9

0,5

37,5

16,6

Origins of Demands received by IPEA/EP in 2015 Q1-3 (%)

RO/EP

RO/IB

RO/JP

RO/US

Others

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Overview of the Chapter 2 procedure

Demand

22 m

1st filing

ISR +

WO-ISA

17 m

Publication

IA + ISR

WO-ISA

18 m

Yes

No

IPER

28 m

Filing IA IS IPE

30/31 m

National

phase

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Online filing in Chapter II

Since 1 April 2014 it is possible to file documents relating to the

international application under Rule 89bis.2 PCT online via the

PCT-SFD plug-in in the EPO online filing software

− OJ EPO 2014, A50

Since 30 June 2014 the demand under PCT Chapter II may be

filed online via the PCT-DEMAND plug-in in the EPO online

filing software

− OJ EPO 2014, A71

Since 1 November 2016 the demand under PCT Chapter II may be

filed online via the ePCT

− OJ EPO 2016, A78

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Overview of Chapter II procedure at EPO

Reply to WO-ISA;

amendments

Demand

Reply to WO;

amendments

3PO?

No reply

to WO-ISA

IPER

(top-up

search)

SISR Top-up search;

Further WO if objections;

Altern. telephone interview

IPER

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Second WO in Chapter II PCT (1)

New policy since October 2011 in order to enable more interaction

within Chapter II

− Get ready for grant in the European phase

If the EPO acted as ISA

− The WO-ISA is considered the first WO under Chapter II PCT

(Rule 66.1bis(a) PCT)

A second WO is issued under Rule 66.4 PCT if

− the applicant filed amendments (or arguments) for the Chapter II

procedure, and

− there are objections outstanding so that the IPER would be

negative were it to be issued

Published in OJ EPO 10/2011, 532

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Second WO in Chapter II PCT (2)

Exception:

No second WO issued if a telephone consultation was requested

before second WO is established

Minutes of telephone consultation with time limit for reply takes the

place of the second WO

Background:

Article 34(2)(a) and Rule 66.6 PCT provide for the right to one

telephone consultation

Page 127: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Second WO in Chapter II PCT (3)

The applicant may reply to the second WO or, where applicable,

the minutes of the telephone consultation

Within the time limit set of (as a rule) two months

By filing comments and/or amendments

Page 128: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Top-up search in Chapter II (EPO practice) (1)

New Rule 66.1ter PCT entered into force on 1 July 2014

Top-up search in Chapter II will be done in the same manner as for

European applications (Art. 54(3) EPC)

Will include potentially conflicting prior art under Art. 54(3) EPC,

ie also WO publications which have not yet entered the

European Phase

Concentrates on intermediate prior art but also e.g. documents

cited in national proceedings for the same application if such

documents became available to the EPO as IPEA

Published in OJ EPO 2014, A57

Page 129: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Top-up search in Chapter II (2)

EPO practice – timing of top-up search:

Top-up search in Chapter II will normally be done at the start of

Chapter II in order to allow further interaction with applicant should

relevant documents be found

In cases of non-unity an invitation to pay additional fees will be sent

first and then the top-up search conducted only for inventions for

which fees were paid

Page 130: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Top-up search in Chapter II (3)

EPO practice – scope with respect to the claims:

Will as a general rule be made for all claims forming the basis for the

procedure under Chapter II

Examples:

Unsearched subject-matter claimed

− The top-up search will not extend beyond the subject-matter

searched by the ISA

Amendments going beyond the original disclosure

− Top-up search limited to the scope of the claims forming the basis

of the Report

Page 131: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Top-up search in Chapter II (4)

Exception:

No top-up search if considered to "serve no useful purpose"

Examples:

"notorious knowledge" in the field of computer implemented

inventions

excluded subject-matter

Page 132: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Top-up search in Chapter II (5)

EPO practice – interaction with applicant:

If relevant documents under Rule 64.1 are found giving rise to

objections under novelty and inventive step

− A second WO is issued (or telephone consultation) along the lines

set out before

If only intermediate prior art or potentially conflicting applications

are found and there are no other objections

− Second WO only if Art. 54(3) EPC objection in EP phase

Otherwise an IPER is issued mentioning the documents found

under Box VI for information to the applicant

Page 133: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Advantages of Chapter II

Get the application in order for grant in the national/regional phase

If the EPO acted as IPEA

− 50% reduction in the examination fee

(Art. 14(2) Rules Relating to Fees)

With a positive IPER

A quick grant before the EPO

− If desired in combination with a PACE (accelerated examination)

request

Strong basis for PPH (e.g. USPTO and JPO):

− Enables accelerated examination

Other offices as well relies to a large extent on a positive IPER from

the EPO

Page 134: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Positive IPER: Euro-PCT phase (1)

To ensure consistency the EPO has taken the following measures:

Same examiner in charge in the subsequent EP procedure as

in PCT

In case of a positive IPER the future examining division will be

consulted already at the Chapter II stage

Positive results

− Very high grant rate for positive IPER, and quickly

Page 135: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Positive IPER: Euro-PCT phase (2)

Mandatory reply in case of positive assessment of patentability:

In case no other objections in the IPER (e.g. non-unity, formal,

clarity, etc.)

− It is not necessary to provide a reply to the IPER upon entry into

the EP phase

− The file will be treated with priority in the EP phase

In case of outstanding objections

− A substantive reply with amendments to overcome the raised

objections, possibly in combination with a PACE request, is

expected for a quick grant

Page 136: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Focus : Non-unity procedure under the PCT

International search

Supplementary International search

International Preliminary Examination

European phase where EPO was ISA/SISA

Page 137: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Legal basis for unity of invention - I

EPO Guidelines F-V, 1

"With regard to substantive criteria, unity of invention is examined in

search and substantive examination in both European and PCT

procedures according to the same principles."

Rule 13.1 PCT

"The international application shall relate to one invention only or to

a group of inventions so linked as to form a single general inventive

concept ("requirement of unity of invention")."

Art. 82 EPC

"The European patent application shall relate to one invention only

or to a group of inventions so linked as to form a single general

inventive concept."

Page 138: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Legal basis for unity of invention - II

• The EPO does not require the invitation to be reasoned; a

reasoned non-unity opinion will be provided later-on in the opinion

attached to the final search report (B-XI,5) no ha lugar protesta

en búsqueda

• Under PCT an invitation to pay additional search fees must be

reasoned (Rule 40.1(i) PCT) ha lugar protesta

Page 139: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Non-unity in international search

Page 140: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Invitation to pay additional search fees

#1

#2

Invitation

(Art. 17.3a PCT

Rule 40.1 PCT)

Form PCT/ISA/206

Search results (inv. 1)

Fee request (inv. 2)

Unity reasoning

Time limit: one month

Applicant

Page 141: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Invitation to pay additional search fees Art. 17(3)(a) PCT / Rule 40.1 PCT Unity reasoning R. 40.1(i) PCT

Problem solution approach W11/89, W10/92, W8/94

Closest prior art W18/92

Common/corresponding feature R. 13.2 PCT

Division of inventions

Amount due per extra invention EUR 1 875

Search results on 1st invention: Form PCT/ISA/206

If no additional fee is paid, the annex will be considered as the final search

OJ EPO 1989, 61

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Payment of additional search fees

X

ISR / WOISA

Applican

t

#1

#1

#2

ISR / WOISA

≤ 1m

≤ 1m

Page 143: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Payment of additional search fees

Additional fees paid directly to ISA R. 40.2(b) PCT

Within 1 month of invitation R. 40.1(iii) PCT

Indicate which inventions are paid for

1x full search fee for each extra invention: EUR 1 875 R. 158(1) EPC

Extra search fees can be refunded:

By filing a protest

Protest fee: EUR 875 R. 40.2(c) PCT (may be required by ISA)

Where the EPO searched the priority R. 16.3 PCT (partial refund)

Page 144: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

The non-unity protest Rule 40.2(c) PCT Formal requirements Filed on time (≤ 1m) + protest fee (EUR 875) paid on time (≤ 1m)

R. 40.2(c) PCT

In an EPO language OJ 1993, 540, R. 92.2(b) PCT

Reasoning required R. 40.2(c) PCT, W8/89

Simple allegation – insufficient

No/insufficient reasoning – merit not examined

No further reasons after expiry of time limit

Example: payment of additional fee under protest

Page 145: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

The non-unity protest Rule 40.2(c) PCT

Procedure

Further submissions possible W15/00

Amendments are not possible W3/91, W3/94, W6/94

Review body: 3 examiners, one of whom shall chair the panel and

another of whom shall be the examiner who was responsible for

issuing the invitation to pay additional fees OJ EPO 2015, A59

Decision

Full refund of all contested additional search fees (& protest fee)

Refund of some contested additional fees

No refund of any additional search fees

Patentscope WO2012062920

Page 146: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

The non-unity protest Rule 40.2(c) PCT

Was it indicated/implied if non-unity was a priori or a posteriori?

In a posteriori cases:

Was the problem reformulated, where necessary?

Was the prior art relevant to unity identified?

Was the common/corresponding technical feature:

identified?

shown to be known as a solution to problem in prior art?

Page 147: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

The a posteriori cascade problem

ISR & WOISA

#2.1

#2.2

#2

#2.3

#1

Page 148: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

The a posteriori cascade problem

Additional search fee(s) paid for invention(s) other than first

Cascade a posteriori lack of unity found in one of these inventions

EPO has two options, to search either:

all sub-inventions (2.1, 2.2, 2.3)

only the first sub-invention (2.1) Art. 17(3)(a) PCT

The EPO cannot send a second invitation – Euro-PCT Guide 2016, 267

Cascade non-unity identified in ISR/WO-ISA

Page 149: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Non-unity in Supplementary International Search

Page 150: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Normal case – first invention searched

No invitation to pay additional SIS-fees is sent

One invention searched/opinion given

This is usually the first invention in the claims R. 45bis.6(a) PCT

Exceptionally another invention is searched instead

#1

#2

Applicant SISR / Opinion

#1

Page 151: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Special case – request under Rule 45bis.1(d) PCT

ISA found lack of unity:

Applicant can request SISA to search an invention other than first

This is done on the SIS-request

If EPO as SISA disagrees with ISA (finds unity) – searches all claims

If EPO as SISA also finds non-unity:

same division as ISA: searches invention requested

different division to ISA: searches most appropriate invention

Page 152: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Special case – request under Rule 45bis.1(d) PCT

#2

#1

Applican

t

SISR / Opinion

#1

#2

Invitation

Applicant

ISA

SISA

SIS-request:

Please search

invention #2

Page 153: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Non-unity in international preliminary examination

Page 154: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Invitation to pay additional examination fees Art. 34(3)(a) PCT/Rule 68.2 PCT Where more than one searched invention remains in claims:

IPEA/EP invites the applicant to either:

pay additional examination fees for searched inventions, or

restrict the claims to comply with unity

Form PCT/IPEA/405

Invitation contains unity reasoning:

same requirements as ISA invitation

ISA reasons may need adapting due to amendments

Invitation indicates amount due per extra invention (EUR 1 930)

Page 155: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Payment of additional examination fees Additional fees paid directly to IPEA within 1 month of invitation

R. 68.2(iii) PCT

Indicate which inventions are paid for

1x full examination fee for each extra invention R. 158(2) EPC)

WO/IPER cover all searched inventions paid for Art. 34(3)(c) PCT

Fees not payable for unsearched inventions Euro-PCT Guide 2016,

399

Extra fees may be refunded by filing a protest EUR 875 R. 68.3(c)

PCT

Page 156: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Non-unity passing from ISA/EP to IPEA/EP

#1

#2

#3

ISR & WOISA

X

#1

#2

ISA/EP IPEA/EP

Invitation

R. 68.2 PCT

Applicant IPER

X

IPER

#1

#2

#1

Application

Page 157: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Non-payment/limitation of claims

Examination based on "main invention“ Art. 34(3)(c) PCT

"Main invention" – usually first in claims

"Main invention" may change where:

amendments filed before invitation

claims limited in reply to invitation

Limit to one searched invention = "main invention"

Limit to unsearched invention – cannot be examined R. 66.1(e) PCT

e) Claims relating to inventions in respect of which no international search

report has been established need not be the subject of international preliminary

examination.

Page 158: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Non-unity in the European phase EP was (S)ISA

Page 159: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Procedure from 01.11.2014 (EPO was (S)ISA) – Invitation to pay additional search fees

Inventions not searched by EPO persist in claims in EP phase:

Invitation to pay search fee for unsearched inventions EUR 1 300

R.164(2) EPC

Based on claims on file on expiry of a 6 month period R. 161(1) EPC

if all unsearched inventions deleted before this: no invitation

If all claimed inventions already searched in PCT: no invitation

Page 160: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Invitation to pay additional search fees

#1

#2

I(S)SR & WO

X

#1

(S)ISA/EP

Invitation

R. 164(2) EPC

Applicant

EP regional phase

X

#1

#2

#1

Search

results &

docs

&

Comm &

&

Comm

Applicatio

n

Page 161: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Additional Searches I (EPO was (S)ISA)

After the six-month period for response to the R.161(1) communication,

Examining Division starts examination

• If Examining Division considers that the application claims one or more

unsearched inventions invitation under R.164(2) EPC is sent (further

search fee in EP lower that in PCT – Rfees 2(1)2).

• If no search fee is paid only invention searched is prosecuted

• If a search fee is paid for a certain invention Ex. Div. does the

corresponding search (“search incident during substantive

examination”)

• Before 01.11.2014: Not possible to do additional searches for unsearched

inventions.

Page 162: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Additional Searches II (EPO was (S)ISA)

• Invitation under R.164(2) EPC is also sent for

• Unsearched inventions from a cascade (C-III, 2.3)

• Invention imported from description (F-VI, 13.1 (iv))

Only if invention imported before expiry of R. 161(1) EPC period

R. 137(5) EPC applies from expiry of R. 161(1) EPC period

Special cases

Auxiliary requests – invitation based on main request (CIII, 2.3)

Claims suffering a severe lack of clarity Art. 84 EPC

EPO sends a normal communication raising clarity (Art. 94(3))

Clarified claims filed, revealing an unsearched invention

No invitation under R. 164(2) EPC is sent Divisional

Page 163: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Additional fees paid under Rule 164(2) EPC (1) (EPO was (S)ISA) Time limit < 2 months from invitation R. 164(2)(a)EPC

EPO then searches inventions paid for

Search results issued as an annex R. 164(2)(b) EPC

to normal examination communication R. 71(1)(2) EPC or

to invitation to approve text for grant R. 71(3) EPC

Cited documents accompany above communication

Page 164: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Additional fees paid under Rule 164(2) EPC (2)

Normal examination communication contains/provides:

all objections to all inventions searched in PCT/EP C-III, 2.3

unity objection (where applicable) C-III, 2.3

request to delete all unsearched inventions R. 164(2)(c) EPC

an exceptional exemption to R. 137(3) EPC H-II, 2.3

Any invention searched by EPO in PCT or EP phase can be pursued

Page 165: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Additional fees paid under Rule 164(2) EPC (EPO was (S)ISA) – Example by Derk Visser

• ISA is EPO – inventions A and B in PCT are non-unitary

• Non further search fee paid ISA searched only invention A first mentioned

in the claims

• Entry EP Phase – inventions B, A and C for prosecution (C taken from the

description)

• No amendments under R 161 (1).

• Examining Division invites, according to R164(2), applicant to pay search fee

for inventions B and C.

• Applicant pays further search fee for invention C

• Art. 94(3) EPC communication includes search results for invention C, the

findings of the examining division for inventions A and C, and a request to limit

the invention to a single invention.

• Applicant selects invention C for prosecution and deletes inventions A and B.

• Inventions A and B can only be pursued in divisionals.

Page 166: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Non Unity in the European Phase EP was not (S)ISA

Page 167: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

New procedure from 01.11.2014 (EP was not (S)ISA) – Invitation to pay additional fees – Rule 164(1) EPC If claims lack unity, procedure is analogous to EP direct:

partial search report on 1st invention sent – R. 164(1)(a) EPC

invitation to pay additional fees also sent – R. 164(1)(b) EPC

No ESOP – B-XI, 5

• Claims are those on file on expiry of period under R. 161(2) EPC

• EPO position on unity independent of ISA finding – B-VII, 2.3

• If no further search fees are paid only first searched invention for

prosecution (+ ESOP)

• If further fees are paid Supplementary search report for each invention paid

+ ESOP

• Before 01.11.2014: SSR limited to 1st claimed invention

Page 168: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Additional fees paid – Rule 164(1) EPC (EP was not (S)ISA)

Time limit: <2 months from invitation

No fee reductions are given for additional search fees

Supplementary search report issued on all inventions paid for

Supplementary search report accompanied by ESOP, containing:

all relevant objections to invention 1st mentioned in claims

all relevant objections to all other inventions searched by EPO

a unity objection

Applicant must then reply to ESOP (Rule 70a EPC)

Examination can be based on any invention searched by EPO (G 2/92)

60

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Additional fees paid – Rule 164(1) EPC EP was not (S)ISA – Example by Derk Visser

• ISA not EPO – inventions A and B in PCT are non-unitary

• Non further search fee paid ISA searched only invention A first mentioned

in the claims

• Entry EP Phase – inventions B, A and C for prosecution (C taken from the

description)

• No amendments under R 161 (2).

• Partial Supplementary Search Report relates to invention B, raises non-unity

objection to inventions B, A and C.

• Applicant pays further search fee for invention C

• Supplementary Search Report will cover: inventions B and C.

• Applicant selects invention C for prosecution and deletes inventions A and B.

• Inventions A and B can only be pursued in divisionals.

61

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Camille-Rémy Bogliolo Madrid, 3 November 2016 Head, Department of PCT Affairs

Entry into the European phase

Early Entry

Early Certainty from Search

Acceleration schemes: PCT-PPH, PACE, waivers

Global dossier

Page 171: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

The EPO as designated Office

In 2015: 98 228 international applications entered the European phase

(92 007 in 2014) vs 61 724 Euro-direct applications = 61,4% of total

EPO Form 1200 to be filed directly at the EPO

National route closed for the following 12 EPO Member States: as of

01.01.2016, Belgium, Cyprus, France, Greece, Ireland, Italy, Latvia,

Lithuania, Malta, Monaco, the Netherlands and Slovenia.

Time limit:

31 months from the filing date or, if a priority is claimed, from

the oldest priority

OR

Request for early processing

Page 172: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

The EPO as designated Office: Share of grants

3

56% 58% 58% 60% 62%

0%

25%

50%

75%

100%

2011 2012 2013 2014 2015

Share of PCT at the EPO PCT

European

Page 173: PCT at the EPO - Oficina Española de Patentes y Marcas ... at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and Trademark Office (OEPM) Sala Julio Delicado,

Request for early processing (1)

Processing ban until expiry of 31 months from filing/priority

Article 22(3) / 39(1)(b) PCT, Rule 159(1) EPC

Only the applicant can lift this processing ban

Articles 23(1)/40(1) PCT

Requirements:

− Explicit request for early processing (preferably with explicit

reference to Article 23(2) / 40(2) PCT)

− Compliance with the requirements of Rule 159 EPC as if the

31-month period expired on the date early processing is

requested

(OJ EPO 2013, 156)

4

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Request for early processing (2)

Requirements specific to Euro-PCT applications:

always to be fulfilled : filing fee, and specification of

application documents forming the basis of EP phase

proceedings

depending on the case : translation if the application was

not published in an EPO official language, and European

supplementary search fee if the EPO was not ISA or SISA

Requirements applicable to any European application:

designation fee

examination request, and examination fee

(third) renewal fee

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Consequences of an effective request

The processing ban has been lifted by the applicant:

The application is processed like any Euro-PCT application

having (regularly) entered the European phase

Article 153(2) EPC

Time limits under the EPC for procedural acts (payment of fees,

submission of documents) must be complied with

6

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Consequences of a non-effective request EPO issues Form 1231 informing the applicant of deficiencies

The applicant then has a choice between:

doing nothing, i.e. not pursuing the request for early entry

− The international phase continues

− The processing ban still applies

Article 23(1) / 40(1) PCT

− Regular entry into the European phase on expiry of the 31-month

period Rule 159(1) EPC

pursuing the request for early entry by

− fulfilling any missing requirement as indicated in Form 1231

− complying with any further requirement due on the date on which

the request is pursued

7

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Waivers in the grant procedure – overview

Purpose:

− Accelerate the procedure

− Increase procedural efficiency both for users and the Office

Waivers and PACE requests are to be distinguished and have to be filed

separately:

− PACE is a request to speed up the processing

− A waiver is abandoning the right to a communication

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Waiving the right to a communication under Rules 161 and 162 EPC

A communication under Rules 161 and 162 EPC gives the applicant the

opportunity to comment on the WO-ISA and file amendments, and

informs him of any claims fees due

The applicant may waive the right to receive such a communication under

Rules 161 and 162 EPC

This waiver avoids the 6-month period set in the communication under

Rules 161 and 162 EPC

9

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Waiving the right to an invitation under Rule 70(2) EPC (only EPO ≠ (S)ISA)

The EPO invites the applicant to indicate after search whether he wishes

to proceed further with the application under Rule 70(2) EPC

The applicant can waive this right and request examination unconditionally,

irrespective of the results of the search

This waiver avoids the 6-month period set in the communication under

Rule 70(2) EPC

10

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PACE in search

European patent applications filed on or after 1 July 2014

Extended/partial European search report already issued within six

months from the filing date/expiry of the period under

Rule 161 EPC (if possible)

Since the introduction of ECfS, all searches are being processed

according to the PACE timeline!

OJ EPO 2015, A93 (points 8 & 9)

11

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PACE requirements since 1 January 2016

PACE requires

− a written request

− using EPO Form 1005

− filed online

A PACE request can only be filed for one application at a time

A PACE request can only be filed once during each stage of the

procedure

− A PACE request filed during search will not trigger accelerated

examination

12

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Removal from the PACE programme

An application will be removed from the PACE programme if

− the applicant requests an extension of time limits

− the PACE request is withdrawn

− the application has been refused or withdrawn or is deemed to be

withdrawn

Not be possible to restore processing under the PACE programme

(a second request for the application during the same stage of the

procedure will not be processed)

Accelerated prosecution will be suspended in the event of failure

to pay renewal fees by the due date Rule 51(1) EPC

13

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PACE backlog (RAEX)

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PCT-PPH programme

A PPH request can be based on the latest PCT work product (WO-ISA

or IPER) established by the ISA or IPEA under the following conditions:

the PCT work product determines one or more claims to be

patentable/ allowable.

all claims in the application entering the national phase must

sufficiently correspond to the patentable/allowable claims which

have been examined in the international phase (declaration of

claims correspondence)

at the EPO, use of EPO Form 1009

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EPO's PPH activities

Expansion of the EPO PPH network

– Continuation of the IP5 PPH trial

– New PPH partner offices

– in 2015: Canada, Israel, Mexico, Singapore

– in 2016: Australia (1 July 2016), Colombia (1 October 2016)

– Bilateral PPH pilot programmes in preparation

– Russia, Malaysia, the Philippines

Promotion of the PCT – PPH

– in line with EPO’s objective to strengthen the PCT

– reinforce the use of PCT work products

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Status of IP5 PPH pilot programme

as of September 2016 Patent Office Work product Launch date Number of requests

JPO

PCT work products

national work products

29 January 2010

1418

2751

KIPO

PCT work products

national work products

6 January 2014

129

109

SIPO

PCT work products

national work products

6 January 2014

311

91

USPTO

PCT work products

national work products

29 January 2010

28 September 2008

308

2640

Total IP5 PPH

7767

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Status of bilateral PPH pilot programmes

as of July 2016 Patent Office Work product Launch date Number of requests

CIPO (Canada)

PCT work products

national work products

6 January 2015

42

21

ILPO (Israel)

PCT work products

national work products

6 January 2015

25

11

IMPI (Mexico)

national work products

6 January 2015

2

IPOS (Singapore)

national work products

6 January 2015

5

Total non-IP5

106

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Early Certainty from Search (ECfS)

Issue all searches with opinion on time: about 6 months after file

reception

Expedite grant following positive search opinion

Adherence to fast track examination

Fast processing of cases of substantiated third party observations

Priority to opposition first actions

Finish already started examination files before starting new cases

Backlog of searches prior to 1/7/2014 being gradually reduced

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ECfS – all new searches with opinion are now out after 6 months

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ECfS timeliness – PCT Chapter I

ISRs issued on time for A1 publication:

2015 : 89,8 %

Q1-Q2 2016 : 94,2 %

ISRs issued on time under Rule 42 PCT:

2015 : 64,4 %

Q1-Q2 2016 : 73,1 %

At the EPO we identified around 9% of non-unity cases which may

not be easily processed within the 3 m time limit under Rule 42 PCT !

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What is next? Early Certainty across all processes

Early Certainty from ... Search ECfS

− Prior art search and written opinion within 6 months

Early Certainty from ... Examination ECfE

− Grants (up to IGRA) on average within 12 months

Early Certainty from ... Opposition ECfO

− Standard Opposition within 15 months

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Recap: early processing and other ways of acceleration (EPO = ISA)

Rule 71(3) waiver Rule 161/162 waiver PCT Direct

(Early Certainty

from Search)

(Third-party

observations)

Request for

early entry

PACE for examination

PPH request

International phase Examination

Intention

to grant Filing 31 months ISR

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Recap: early processing and other ways of acceleration (EPO ≠ ISA)

Rule 71(3) waiver

Rule 161/162 waiver

Rule 70(2) waiver

International phase Supplementary

search Examination

Search

report

Intention

to grant 31 months Filing

Request for

early entry

(Early Certainty

from Search)

(Third-party

observations)

PACE for search PACE for examination

PPH request

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EPO Global Dossier service

IP5 file wrapper portal

Access to IP5 patent

family information

On-the-fly machine translation

from Asian languages to English

Free of charge

Via the European Register and

Espacenet

US data since June 2015

Example from Chinese file wrapper:

First Office Action in the original

Chinese language and the

translation into English

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SIPO file

wrappers since

06/14

KIPO and JPO

file wrappers

since 03/15

USPTO file

wrappers since

06/15

The EPO's Global Dossier

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Usage in 2015/2016

Approx. 40 000 accesses/month

0

2000

4000

6000

8000

10000

12000

14000

16000

JP

KR

CN

US

Accesses by unique visitor monthly 2015

+ graph for 2016 usage.

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Global Dossier – link to WIPO CASE

Extension of EPO One Portal Dossier and Global Dossier to WIPO

CASE:

− EPO examiners have access to WIPO CASE (since June 2016)

− Public access is planned by end of 2016

Benefit of link to WIPO CASE:

− EPO patent examiners are now able to re-use the search and

examination results from offices participating in WIPO CASE.

24 accessing offices and 10 providing offices as of June 2016

(AU, JP, US, CN, KR, IL, CA, BRN, UK, WIPO IB).

− with the agreement of participating patent offices, external patent

users will be able to view the file wrappers of an increasing number

of patent offices

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Information on PCT procedures before EPO

All PCT related information of the EPO e.g. Decisions of the

Council or of the President, Notices of the EPO, Guidelines

of the EPO, case law

=> http://www.epo.org/pct

Detailed overview of the PCT procedures before the EPO :

=> "Euro-PCT Guide 2016" (January 2016)

http://www.epo.org/applying/international/guide-for-

applicants.html

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Thank you for your attention!

Questions :

[email protected]

([email protected])

www.epo.org

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Nuevas Reglas del PCT (a 1 de Julio de 2016)

Informe de los últimos debates en el Grupo de Trabajo del PCT en Mayo 2016

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Tratado de Cooperación en materia de Patentes, 69 Artículos, última modificación 3 Octubre 2001

Reglamento del Tratado de Cooperación en materia de Patentes, 96 Reglas, última actualización 1 de julio de 2016

Instrucciones Administrativas del Tratado de Cooperación en materia de Patentes, 805 Instrucciones y 6 anexos, última actualización 1 de julio de 2016

Directrices para las Oficinas Receptoras del PCT, 339 párrafos o secciones, 2 anexos, última actualización 1 de julio de 2016

Directrices de búsqueda internacional y de examen preliminar internacional del PCT, 22 Capítulos, última actualización 1 de julio de 2016

NOVEDADES PCT

Marco legal del PCT

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Índice Cambios en el Reglamento al 1 de julio de 2016

1. Idiomas de envío utilizando el ePCT 2. Ampliación de la Regla 82quater. Fuerza mayor 3. Regla 9. Correcciones 4. Omisión de ciertas informaciones de la publicación o

del acceso público a expedientes (Reglas 48 y 94) 5. Transmisión de documentos en el marco de la

restauración del derecho de prioridad (Regla 26bis.3) Otros cambios recientes Resultados del Grupo de Trabajo del PCT: principales

modificaciones Propuestas relacionadas con el PCT en el Plan Estratégico

a Mediano Plazo (2016-2021)

NOVEDADES PCT

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Cambios en el Reglamento a 1 de julio de 2016

NOVEDADES PCT

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1.- Idiomas aceptados para las comunicaciones a través del ePCT Modificación de la Regla 92.2.d) y de la Sección 104.c) (Asamblea PCT 2015)

- Ampliación de los idiomas aceptados para las comunicaciones entre el solicitante y la Oficina Internacional a través del ePCT a los idiomas de publicación (además del inglés y francés).

- Los idiomas de comunicación de la Oficina Internacional con el solicitante continúan siendo el inglés y el francés (sin cambios)

- En vigor a partir del 1 de julio de 2016, para las solicitudes presentadas en esa fecha o posteriormente, y para las solicitudes presentadas antes de esa fecha cuando la correspondencia es recibida por la Oficina Internacional a partir de esa fecha

NOVEDADES PCT

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(c) Any communication from the applicant to the International Bureau using ePCT shall be in English, French or the language of publication. The Director General may determine that communications in such languages may also be submitted through other means of communication, and may additionally expand the languages permitted. Any such decisions by the Director General shall be published in the Gazette.

Administrative Instructions PCT Section 104.c) Language of Correspondence

d) Cualquier carta que el solicitante dirija a la Oficina Internacional deberá redactarse en francés, en inglés o en cualquier otro idioma de publicación permitido en las Instrucciones Administrativas.

Regla 92.2.d) Correspondencia

NOVEDADES PCT

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2.- Ampliación de la Regla 82quater Ampliación de la regulación de fuerza mayor a los plazos no cumplidos debido a la “indisponibilidad generalizada de los servicios de comunicación electrónica” No se ha creado ningún formulario adicional pero se ha añadido una referencia a la Regla 82quater al recuadro “Fecha efectiva de recepción de la solicitud” en los formularios PCT/IB/375 y PCT/IPEA/401 En vigor desde el 1 de julio de 2016 para solicitudes presentadas en esa fecha o posteriormente, o para solicitudes presentadas antes de esa fecha pero para las cuales el “evento” ocurrió antes o en esa fecha

NOVEDADES PCT

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2.- Regla 82quater Excusa de los retrasos en el cumplimiento de los plazos 82quater.1 Excusa de los retrasos en el cumplimiento de los plazos a) Cualquier parte interesada podrá probar que no ha cumplido con un plazo fijado en el Reglamento para realizar un acto ante la Oficina receptora, la Administración encargada de la búsqueda internacional, la Administración designada para la búsqueda suplementaria, la Administración encargada del examen preliminar internacional o la Oficina Internacional por motivos de guerra, revolución, desorden civil, huelga, calamidad natural, indisponibilidad generalizada de los servicios de comunicación electrónica u otros motivos semejantes registrados en la localidad en donde la parte interesada tenga su domicilio, su sede o su residencia, y que ha realizado el acto tan pronto como ha sido razonablemente posible.

NOVEDADES PCT

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2.- Ampliación de la Regla 82quater (cont.) ¿Cómo interpretar este término?

La Asamblea del PCT adoptó la siguiente pauta:

Al adoptar las modificaciones de la Regla 82quarter.1, la Asamblea señaló que las Oficinas y Administraciones, al examinar una solicitud en virtud de la Regla 82quater.1, para que se excuse un retraso en el cumplimiento de un plazo que no se ha cumplido debido a una indisponibilidad generalizada de los servicios de comunicación electrónica, se entiende una interrupción que afecte a amplias zonas geográficas o a un grupo numeroso de personas, a diferencia de los problemas localizados que afecten a un edificio determinado o a un único usuario.

NOVEDADES PCT

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2.- Expansión de la Regla 82quater (cont) Modificaciones a la Sección 30 de las Directrices para las Oficinas Receptoras: Excusas del retraso en el cumplimiento de los plazos

El elemento “inesperado o imprevisto” debe estar presente No se disponía de otros medios alternativos de

comunicación

NOVEDADES PCT

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3.- Modificación de la Regla 9

Generalización de la competencia de aplicación de la Regla 9.2 además de a las ORs y AIs, también a la Oficina Internacional y a la SISA (Administración designada para la búsqueda suplementaria) para que puedan hacer observar el incumplimiento y sugerir al solicitante correcciones en la solicitud internacional antes de la publicación, si contiene algunas de las expresiones definidas en la Regla 9.1:

- expresiones o dibujos contrarios a la moral o al orden público

- declaraciones denigrantes o sobre los méritos o validez de los productos, procedimientos o patentes de cualquier persona ajena al solicitante.

- ninguna declaración u otro elemento manifiestamente no pertinente o superfluo en el caso de que se trate

Entrada en vigor el 1 de julio de 2016 para solicitudes presentadas en esa fecha o posteriormente.

NOVEDADES PCT

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3.- Regla 9 Expresiones, etc., que no deben utilizarse (moral, orden público, expresiones denigrantes , …)

9.1 … 9.2 Observaciones en cuanto al incumplimiento La Oficina receptora, la Administración encargada de la búsqueda internacional, la Administración designada para la búsqueda suplementaria y la Oficina Internacional podrán hacer observar el incumplimiento de las prescripciones de la Regla 9.1 y proponer al solicitante que corrija voluntariamente su solicitud internacional en consecuencia, en cuyo caso se informará de tal propuesta a la Oficina receptora, a la Administración encargada de la búsqueda internacional competente, a la Administración designada para la búsqueda suplementaria competente y a la Oficina Internacional, según proceda.

NOVEDADES PCT

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4.- Omisión de ciertas informaciones para la publicación o el acceso público a los expedientes Se permite omitir cierta información de la publicación internacional (Regla 48.2. l))

Antecedentes - La Oficina Internacional llevaba considerando el caso que ciertos solicitantes pedían que

no se publicase determinada información delicada. - Por ejemplo, datos de tarjetas de crédito, información bancaria, números de afiliación a

la seguridad social, certificados médicos o extractos de registros con información confidencial relativa a la presentación de otras solicitudes PCT o solicitudes nacionales de patente o de registro de marcas o diseños industriales, presentados junto con una petición de restauración de derechos; información sobre el valor económico de una cesión en un documento de cesión presentado junto con una petición para la inscripción de un cambio; el domicilio del inventor, etcétera.

- Hasta ahora no existían disposiciones que permitiesen esta omisión, sólo admitida en situaciones excepcionales de buenas costumbres u orden público que no era el caso.

- Sin embargo en muchas oficinas nacionales si está establecida la posibilidad de omitir información confidencial o delicada con una casuística de posibilidades diversa.

NOVEDADES PCT

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4.- Omisión de ciertas informaciones para la publicación o el acceso público a los expedientes (cont) Se permite omitir cierta información de la publicación internacional o acceso público (Regla 48.2. l)) Petición fundamentada del solicitante a la Oficina Internacional (IB)

(nuevo formulario PCT/IB/384) . Acompañada de hojas de reemplazo y de una carta en la que se llame la atención sobre las diferencias entre las hojas sustituidas y las de reemplazo

Plazo para la presentación de una petición según la Regla 48.2: La finalización de los preparativos técnicos para la publicación

La información se omitirá de la publicación si se comprueba que: - manifiestamente no cumple el propósito de informar al público sobre la

solicitud internacional, - el acceso público a dicha información perjudicaría los intereses personales

o económicos de cualquier persona, y

- no prevalece el interés público en tener acceso a dicha información

NOVEDADES PCT

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4.- Omisión de ciertas informaciones para la publicación o el acceso público a los expedientes (cont) Regla 48.2.l) l) Previa petición fundamentada del solicitante, recibida por la Oficina Internacional antes de finalizar la preparación técnica de la publicación internacional, la Oficina Internacional omitirá de la publicación toda información respecto de la cual haya comprobado:

i) que es manifiestamente no pertinente para la divulgación de la invención; y ii) que su publicación perjudicaría los intereses personales o económicos de cualquier persona; y iii) que no prevalece el interés público en tener acceso a la misma.

La Regla 26.4 *se aplicará, mutatis mutandis, al procedimiento utilizado

NOVEDADES PCT

* La Regla 26.4 regula el procedimiento de corrección

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NOVEDADES PCT

Omisión de ciertas informaciones para la

publicación o el acceso público a los expedientes.

Regla 48.2.l)

Formulario PCT/IB/384

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4.- Omisión de ciertas informaciones para la publicación o el acceso público a los expedientes (cont) Se permite omitir cierta información de la publicación internacional (Regla 48.2) Si comprueban que hay información que cumple los criterios

requeridos, las RO, ISA, SISA o IB podrán proponer al solicitante que pida que ésta sea omitida de la publicación, según la Regla 48 (formulario PCT/IB/383)

Si la Oficina Internacional otorga una petición en virtud de la Regla 48, pedirá a las Administraciones y Oficinas que dispongan de esta información, que denieguen el acceso público a ese expediente (Formulario PCT/IB/385)

NOVEDADES PCT

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5.- Restauración del derecho de prioridad por la Oficina Receptora. Transmisión de documentos a IB Regla General 26bis.3: Las Oficinas Receptoras deberán, a partir de la modificación aprobada por la Asamblea del PCT en 2015 y entrada en vigor en julio 2016, transmitir a la Oficina Internacional todos los documentos recibidos en relación con peticiones de restauración del derecho de prioridad

Excepción: La Oficina receptora no transmitirá esa información, ya sea por petición fundamentada del solicitante, o por decisión propia, si

- manifiestamente no cumple el propósito de informar al público sobre la solicitud internacional,

- el acceso público a dicha información perjudicaría los intereses personales o económicos de cualquier persona, y

- no prevalece el interés público en tener acceso a dicha información Formulario PCT/RO/159 (decisión de la Oficina receptora)

NOVEDADES PCT

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Otros cambios recientes

NOVEDADES PCT

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Búsquedas top-up (Búsqueda complementaria)

Reglas 66.1ter y 70.2.f) del PCT:

El informe de examen preliminar internacional incluirá las denominadas “búsquedas top-up”, cuyo propósito principal consiste en encontrar patentes publicadas, potencialmente relevantes, que hayan sido divulgadas con posterioridad a la realización de la búsqueda internacional.

NOVEDADES PCT

Modificación del PCT relevante en vigor desde Julio de 2014

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Regla 66.1ter. Búsquedas complementarias

La Administración encargada del examen preliminar internacional deberá llevar a cabo una búsqueda (“búsqueda complementaria”) con el fin de descubrir la existencia de los documentos … … que hayan sido publicados o se hayan puesto a disposición de dicha Administración a los fines de la búsqueda con posterioridad a la fecha en que se haya realizado el informe de búsqueda internacional, salvo si considera que dicha búsqueda es innecesaria.

Se modifica el formulario PCT/IPEA/409 incluyendo en el Recuadro I (Base del Informe) una referencia a su realización

NOVEDADES PCT

Modificación del PCT relevante en vigor desde Julio de 2014

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NOVEDADES PCT

Procedimiento para la designación de Administraciones internacionales En 2014, la Asamblea del PCT aprobó un Entendimiento con nuevos requisitos para las Oficinas de Patentes que pretenden su designación para convertirse en Administraciones Internacionales del PCT. Estos requisitos se añaden a los ya establecidos en las reglas 36.1 y 63.1:

• Al menos 100 examinadores con cualificación suficiente para realizar las búsquedas en los distintos campos técnicos.

• Disponer o tener acceso a la documentación mínima PCT referida en la Regla 34.

• Tener capacidad para realizar búsquedas en los distintos idiomas de la documentación mínima PCT.

• Debe disponerse de un Sistema de Gestión de Calidad y de Revisión Interna.

Modificaciones del PCT en vigor desde Asamblea del PCT Septiembre de 2014

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NOVEDADES PCT

Modificaciones del PCT en vigor desde Asamblea del PCT Septiembre de 2014

Procedimiento para la designación de Administraciones internacionales Los nuevos requisitos son los siguientes:

• Recomendación viva de solicitar previamente la asistencia de una o varias Administraciones Internacionales ya existentes, para que le ayuden a evaluar en qué medida cumple los criterios.

• La solicitud debe presentarse antes del 1 de marzo para que la revise el Comité de Cooperación Técnica (CTC) que se convoca junto al Grupo de Trabajo del PCT, 3 meses antes de la reunión de la Asamblea PCT

• La Oficina candidata debe cumplir todos los criterios substantivos en el momento de ser designada por la Asamblea y debe empezar a operar como máximo 18 meses después de la designación.

• Sin embargo, el sistema de Gestión de Calidad, si no está establecido en el momento de la designación, bastará con que este planificado en su totalidad.

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NOVEDADES PCT

Administración Internacional del PCT

Año designación

Turquía 2016

Visegrado (Eslovaquia, Hungría,

Polonia y República Checa)

2015

Singapur 2014

Ucrania 2013

Chile 2012

Egipto 2009

Últimas Administraciones Internacionales del PCT designadas por la Asamblea

Nuevo procedimiento

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NOVEDADES PCT

Futuras modificaciones del PCT a partir Julio 2017

Regla 23bis. Transmisión por la Oficina Receptora de los resultados de una búsqueda o una clasificación anterior a la Administración encargada de la búsqueda internacional Se adoptó la modificación del Reglamento en la Asamblea PCT de 2015 en el sentido de establecer la obligación de la OR de proporcionar a la ISA competente los resultados de toda búsqueda y/o clasificación anterior realizada por aquella Oficina en calidad de Oficina nacional, cuando estén disponibles, con respecto a aquella(s) solicitud(es) en la(s) que se base la reivindicación de prioridad de la solicitud internacional, siempre y cuando la entrega de los citados resultados anteriores sea compatible con la legislación nacional aplicable por dicha Oficina (en particular las disposiciones relativas a la confidencialidad).

NOTA: La OEPM ya lo realiza con la EPO mediante el programa UIP

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NOVEDADES PCT

Futuras modificaciones del PCT a partir Julio 2017

Regla 95.1 Información relativa a los trámites de las Oficinas designadas y elegidas

Adoptada por la Asamblea en 2015, la exigencia a las Oficinas designadas de notificar a la Oficina Internacional en un plazo de dos meses la información de las solicitudes internacionales que entran en fase nacional. Se quiso mejorar la calidad de la información de patentes a través de un mejor acceso a la información sobre si se solicita protección o no; y a través de acceso a la información técnica de las patentes en un mayor número de idiomas. La Asamblea señaló que la información relativa a la entrada en la fase nacional se pondrá a disposición del público dentro del sitio Web de PATENTSCOPE.

- Fecha y número de solicitud nacional - Número y fecha de la publicación nacional si es el caso - Fecha de concesión de la patente y número y fecha de su publicación en su caso

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Resultados del Grupo de Trabajo del PCT

NOVEDADES PCT

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Estadísticas PCT Informe de la 23ª sesión de la Reunión de las Administraciones

Internacionales del PCT Cuestiones relacionadas con las tecnologías de la información

(servicios en línea, Programa Piloto eSearchCopy) Utilización del WIPO-CASE para la reutilización de los resultados

de la búsqueda y el examen Entrada en fase nacional mediante el sistema ePCT

NOVEDADES PCT

Grupo de Trabajo del PCT (mayo 2016). Temas tratados (1)

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Grupo de Trabajo del PCT (mayo 2016). Temas tratados (2)

Cuestiones relacionadas con los ingresos (fluctuaciones del tipo de cambio)

Coordinación de la asistencia técnica en el PCT Política de tasas para estimular la presentación de

solicitudes de patentes por parte de las universidades e instituciones públicas de investigación de determinados países

Reducciones de tasas para solicitantes de determinados países

Formación de examinadores

NOVEDADES PCT

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Prórroga de la designación de las ISAs/IPEAs Dibujos en color Número de palabras en los resúmenes y los dibujos Mejoras en el sistema de búsqueda internacional

suplementaria → Aprobado Asamblea 2016 Corrección de la solicitud internacional cuando contenga

elementos o partes presentados “por error”

NOVEDADES PCT

Grupo de Trabajo del PCT (mayo 2016). Temas tratados (3)

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Propuestas relacionadas con el PCT en el plan estratégico

a medio plazo de la OMPI

NOVEDADES PCT

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Propuestas relacionadas con el PCT en el Plan Estratégico a Medio Plazo (2016-2021) de la OMPI La Oficina Internacional continuará alentando a los Estados que

no son parte a participar en el PCT Continuará el proceso de modernización, y donde resulte

posible, de simplificación del marco normativo, adaptando el PCT a la evolución de las tecnologías de la información, y estudiando posibles formas de simplificar los flujos financieros entre las ORs, las AIs y la OI Se promoverá la implantación de la nueva presentación y funcionalidades del sistema ePCT, el desarrollo ulterior de este sistema y su mayor utilización

NOVEDADES PCT

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¡Muchas gracias!