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
Camille-Rémy Bogliolo Madrid, 3 November 2016 Head, Department of PCT Affairs
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)
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)
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).
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,
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
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
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
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.
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
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
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
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
TASAS Y COSTES PCT EN LA OEPM
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
TASAS Y COSTES PCT EN LA OEPM
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
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
LA OEPM FASE NACIONAL PCT
31/43
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
32/43
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
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
LA OEPM FASE NACIONAL PCT
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.
LA OEPM FASE NACIONAL PCT
PCT FASE NACIONAL OEPM RESTABLECIMIENTO DEL DERECHO DE PRIORIDAD
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
LA OEPM FASE NACIONAL PCT
PCT FASE NACIONAL OEPM RESTABLECIMIENTO DEL DERECHO DE PRIORIDAD
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)
LA OEPM FASE NACIONAL PCT
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
LA OEPM FASE NACIONAL PCT
38/43
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
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
42/43
43/43
¡Muchas gracias!
Camille-Rémy Bogliolo Madrid, 3 November 2016 Head, Department of PCT Affairs
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
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
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
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
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
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
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
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
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
The EPO as d