PCT at the EPO...PCT at the EPO Programme 3 November 2016 Madrid, Spain Venue Spanish Patent and...

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

http://www.oepm.es/en/index.html

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

http://www.oepm.es/comun/documentos_relacionados/Ponencias/107_01_PonenciasSeminarioPCT_3_nov_2016.pdfhttp://www.oepm.es/comun/documentos_relacionados/Ponencias/107_02_PonenciasSeminarioPCT_3_nov_2016.pdfhttp://www.oepm.es/comun/documentos_relacionados/Ponencias/107_03_PonenciasSeminarioPCT_3_nov_2016.pdfhttp://www.oepm.es/comun/documentos_relacionados/Ponencias/107_04_PonenciasSeminarioPCT_3_nov_2016.pdfhttp://www.oepm.es/comun/documentos_relacionados/Ponencias/107_05_PonenciasSeminarioPCT_3_nov_2016.pdfhttp://www.oepm.es/comun/documentos_relacionados/Ponencias/107_06_PonenciasSeminarioPCT_3_nov_2016.pdf

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

Status update on PCT in 2015/16

Contracting States

Latest PCT statistics

PCT Contracting States (151) (October 2016)

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

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)

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

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)

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

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

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

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]

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


PCT procedure before the EPO

as receiving Office

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

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.

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

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

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)


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)


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).

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

http://www.epo.org/law-practice/legal-texts/official-journal/2015/06/a51/2015-a51.pdfhttp://www.epo.org/law-practice/legal-texts/official-journal/2015/06/a51/2015-a51.pdfhttp://www.epo.org/law-practice/legal-texts/official-journal/2015/06/a51/2015-a51.pdfhttp://www.epo.org/law-practice/legal-texts/official-journal/2015/06/a51/2015-a51.pdfhttp://www.epo.org/law-practice/legal-texts/official-journal/2015/06/a51/2015-a51.pdfhttp://www.epo.org/law-practice/legal-texts/official-journal/2015/06/a51/2015-a51.pdfhttp://www.epo.org/law-practice/legal-texts/official-journal/2015/06/a51/2015-a51.pdfhttp://www.epo.org/law-practice/legal-texts/official-journal/2015/06/a51/2015-a51.pdfhttp://www.epo.org/law-practice/legal-texts/official-journal/2015/06/a51/2015-a51.pdf

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

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)

“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

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

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.

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).

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

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

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

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.

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

I- Online Fee Payment web service

Access

via Internet browser; EPO deposit account needed

Authentication

with Smartcard

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

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

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

II- Online Filing Access

locally or server installed software

for sending it securely connects to the EPO online filing server

Authentication

with Smartcard

II- Online Filing – software updates

Software and fee updates are available for download and installation

from EPO’s website

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

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

II- New Online Filing – CMS

Access

via Internet browser; EPO CMS account needed

Authentication

with Smartcard

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

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)

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

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]

mailto:[email protected]

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

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

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

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)

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)

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

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

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

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,


IFD is maintained,


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


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


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


(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


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)


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



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



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



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)


PCT/RO/107



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



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

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

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

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)

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

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.

1/43

La OEPM como Administración Internacional del PCT y

durante la Fase Nacional

2/43

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

3/43

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.

4/43

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

5/43

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

6/43

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

7/43

PCT Sistema de gestión de calidad

OEPM Certificación ISO 9001:2008 → 9001:2015

LA OEPM COMO ISA

8/43

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

9/43

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

10/43

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

11/43

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

12/43

Ejemplo OEPM: Opinión Escrita Primera Página

LA OEPM COMO ISA

13/43

Ejemplo OEPM: Opinión Escrita

negativa

LA OEPM COMO ISA

14/43

LA OEPM COMO ISA

Ejemplo OEPM: Opinión Escrita

positiva

15/43

LA OEPM COMO ISA

INFORMES DE BÚSQUEDA INTERNACIONAL PCT EN LA OEPM

16/43

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

17/43

Plazos OEPM: estadísticas OMPI 2014

LA OEPM COMO ISA

18/43

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

19/43

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

20/43

LA OEPM COMO IPEA

Ejemplo OEPM: Informe Preliminar Internacional sobre

Patentabilidad negativo

21/43

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) -

22/43

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

23/43

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


Descuentos en las tasas PCT aplicados actualmente por la OEPM

24/43

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


25/43

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

26/43

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

27/43

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.

28/43

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.

29/43

LA OEPM FASE NACIONAL PCT


30/43

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


31/43


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

32/43


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

33/43

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


34/43

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.



35/43

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



36/43

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)


37/43

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


38/43


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

39/43

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

40/43

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

41/43

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

43/43

¡Muchas gracias!


PCT procedure before the EPO

as International Authority

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

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

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

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

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

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.

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.

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

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

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.

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

http://www.epo.org/law-practice/legal-texts/official-journal/2015/10/a86.htmlhttp://www.epo.org/law-practice/legal-texts/official-journal/2015/10/a86.html

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

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

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

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

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


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


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

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

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


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


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


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

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

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

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

Focus : Non-unity procedure under the PCT

International search

Supplementary International search

International Preliminary Examination

European phase where EPO was ISA/SISA

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."

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

Non-unity in international search

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

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

Payment of additional search fees

X

ISR / WOISA

Applican

t

#1

#1

#2

ISR / WOISA

≤ 1m

≤ 1m

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)

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

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

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?

The a posteriori cascade problem

ISR & WOISA

#2.1

#2.2

#2

#2.3

#1

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

Non-unity in Supplementary International Search

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

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

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

Non-unity in international preliminary examination

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)

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

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

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.

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

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

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

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.

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

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

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

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.

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

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

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

Time limit:

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


Entry into the European phase

Early Entry

Early Certainty from Search

Acceleration schemes: PCT-PPH, PACE, waivers

Global dossier

The EPO as d

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