The International

Patent System

Patent Cooperation Treaty (PCT)

Workshop
Organized by WIPO
In Cooperation with the GCC Patent Office

Riyadh
Dr. Ali Jazairy May 25 to 26, 2016
Senior Counsellor
PCT International Cooperation Division
Patents and Technology Sector, WIPO
Speaker Outline The International
Patent System

The PCT System:

01 – Introduction
02 – The PCT International Phase
03 – International Search and International Preliminary Examination
04 – The PCT National Phase
05 – The ePCT System
06 – The Use of the PCT System as an Engine for Technology
Transfer

Dr. Ali Jazairy

Senior Counsellor
PCT International Cooperation Division
Patents and Technology Sector, WIPO
 The International
Patent System

Introduction to the PCT System

 Traditional patent systems
(months) 0 File
12
applications
File abroad
application
locally

■Local patent application followed within 12 months by

multiple foreign applications claiming priority under Paris
Convention:
 multiple formality requirements
 multiple searches
 multiple publications
 multiple examinations and prosecutions of applications
 translations and national fees required at 12 months
■Some rationalization because of regional arrangements:
ARIPO, EAPO, EPO, OAPI The International
Patent System
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 PCT system
Local patent application followed within 12 months by
international application under the PCT, claiming Paris
Convention priority, with “national phase” commencing at
30 months*:
 one set of formality requirements
 international search
 international publication
 international preliminary examination
 international application can be put in order before
national phase
 translations and national fees required at 30 months,*
and only if applicant wishes to proceed
* For exceptions, see The International
Patent System
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 Traditional patent system vs. PCT system
Fees for:
- translations
- Office fees
- local agents File
(months) applications
abroad
0 12
Traditional Fees for:
File local - translations
application - Office fees
- local agents

Enter
national
International
(months) phase
publication
PCT 0 12 16 18 22 28 30

File local File PCT International (optional) (optional)

application application search report & File demand for International
written opinion International preliminary
preliminary report on
examination patentability

The International
Patent System
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 The PCT system
Chapter I

20 30 Enter
national
phase
International
(months) publication
0 12 16 18 19

File local File PCT International SIS

application or, optional
application search report Request
and written (optional) File demand
opinion of the
ISA
International 30 Enter
Preliminary national
examination phase

Chapter II

The International
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 General remarks on the PCT system (1)
■ The PCT system is a patent “filing” system, not a patent
“granting” system. There is no “PCT patent”
■ The PCT system provides for
 an international phase comprising:
 filing of the international application
 international search and written opinion of the ISA
 international publication and
 international preliminary examination
 a national/regional phase before designated Offices
■ The decision on granting patents is taken exclusively
by national or regional Offices in the national phase The International
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 General remarks on the PCT system (2)

■ Only inventions may be protected via the PCT by

applying for patents, utility models and similar titles.
■ Design and trademark protection cannot be obtained via
the PCT. There are separate international conventions
dealing with these types of industrial property protection
(the Hague Agreement and the Madrid Agreement and
Protocol, respectively).
■ The PCT is administered by WIPO as are other
international treaties in the field of industrial property,
such as the Paris Convention.

The International
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 PCT Contracting States (148)
States designated for regional protection and also, unless otherwise indicated, national protection
EA Eurasian Patent EP European Patent
AM Armenia AL Albania1 LI Liechtenstein
AZ Azerbaijan AT Austria LT Lithuania
BY Belarus * BE Belgium LU Luxembourg
KG Kyrgyzstan BG Bulgaria * LV Latvia
KZ Kazakhstan CH Switzerland * MC Monaco
RU Russian Federation * CY Cyprus MK The former Yugoslav
TJ Tajikistan CZ Czech Republic Republic of Macedonia1
TM Turkmenistan DE Germany * MT Malta
DK Denmark * NL Netherlands
EE Estonia NO Norway
ES Spain PL Poland
FI Finland PT Portugal
* FR France RO Romania
GB United Kingdom RS Serbia1
* GR Greece SE Sweden
HR Croatia1 * SI Slovenia
HU Hungary SK Slovakia
* IE Ireland SM San Marino
IS Iceland TR Turkey
* IT Italy
* Regional patent only
The International
1 Extension agreement continues to apply to applications filed before 1 January 2008 (for Patent System
AJ presentation-10 HR), 1 January 2009 (for MK), 1 May 2010 (for AL) or 1 October 2010 (for RS)
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 PCT Contracting States (148) (continued)
States designated for regional protection and also, unless otherwise indicated, national protection

AP ARIPO Patent OA OAPI Patent

BW Botswana * BF Burkina Faso
GH Ghana * BJ Benin
GM Gambia * CF Central African Republic
KE Kenya * CG Congo
LR Liberia * CI Côte d’Ivoire
LS Lesotho * CM Cameroon
MW Malawi * GA Gabon
MZ Mozambique * GN Guinea
NA Namibia * GQ Equatorial Guinea
RW Rwanda (from 24.09.2011) * GW Guinea-Bissau
SD Sudan * ML Mali
SL Sierra Leone * MR Mauritania
* SZ Swaziland * NE Niger
TZ United Republic of Tanzania * SN Senegal
UG Uganda * TD Chad
ZM Zambia * TG Togo
ZW Zimbabwe
* Regional patent only
The International
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 PCT Contracting States (148) (continued)
States designated for national protection only except where otherwise indicated
AE United Arab Emirates ID Indonesia OM Oman
AG Antigua and Barbuda IL Israel PA Panama
AO Angola IN India PE Peru
AU Australia IR Islamic Republic of Iran PG Papua New Guinea
* BA Bosnia and Herzegovina JP Japan PH Philippines
BB Barbados KM Union of the Comoros QA Qatar
BH Bahrain KN Saint Kitts and Nevis SA Saudi Arabia
BN Brunei Darussalam KP Democratic People’s SC Seychelles
BR Brazil Republic of Korea SG Singapore
BZ Belize KR Republic of Korea ST Sao Tome and Principe
CA Canada LA Lao People’s Democratic SV El Salvador
CL Chile Republic SY Syrian Arab Republic
CN China LC Saint Lucia TH Thailand
CO Colombia LK Sri Lanka TN Tunisia
CR Costa Rica LY Libya TT Trinidad and Tobago
CU Cuba MA Morocco UA Ukraine
DM Dominica MD Republic of Moldova US United States of America
DO Dominican Republic * ME Montenegro UZ Uzbekistan
DZ Algeria MG Madagascar VC Saint Vincent and
EC Ecuador MN Mongolia the Grenadines
EG Egypt MX Mexico VN Viet Nam
GD Grenada MY Malaysia ZA South Africa
GE Georgia NG Nigeria
GT Guatemala NI Nicaragua
HN Honduras NZ New Zealand The International
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* Extension of European patent possible
 Countries not yet PCT Contracting States
(45)
Afghanistan Guyana Pakistan
Andorra Haiti Palau
Argentina Iraq Paraguay
Bahamas Jamaica Samoa
Bangladesh Jordan Solomon Islands
Bhutan Kiribati Somalia
Bolivia Kuwait South Sudan
Burundi Lebanon Suriname
Cambodia Maldives Timor-Leste
Cabo Verde Marshall Islands Tonga
Democratic Republic of Mauritius Tuvalu
Congo Micronesia Uruguay
Djibouti Myanmar Vanuatu
Eritrea Nauru Venezuela
Ethiopia Nepal Yemen
Fiji The International
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 The International
Patent System

PCT Timeline
 PCT TIMELINE
Request for
supplementary international
search (optional)
International publication

National/Regional/
International search
PCT filing/
report (ISR) and
(priority date) Supplementary international
written opinion (WO)
of ISA search report (SISR)

PCT filing 30 National

phase entry

(months) 0 12 16 18 19 22 28

2 months from ISR:

IB communicates
filing of claims IPRP (Chapter II) IPRP (Chapter I or II)
amendments (optional) established to DOs/EOs

Filing of demand and Article 34

amendments and/or arguments
(optional)

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 Non-applicability of time limit of 30 months
under Article 22(1)
 The Offices of the following States have notified the International
Bureau that they will not apply the 30 month time limit under
Chapter I, as of 1 April 2002, for as long as modified Article 22(1) is
not compatible with their national law:
LU Luxembourg
TZ United Republic of Tanzania
UG Uganda
 Where one of these States has been designated for the purposes of
a regional patent, the applicable time limit is 31 months
 If no demand for international preliminary examination is filed
before the expiration of 19 months in respect of above States, the
national phase will have to be entered before the expiration of 20 or
21 months from the priority date
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 The International
Patent System

Basics of the PCT

 The international application
 The international filing date
 The applicant
 Competent RO and ISA
 The international application
■ Only one application filed, containing, by default, the
designation of all States (for every kind of protection
available) and usual priority claim(s)
■ Has the effect of a regular national filing (including
establishment of a priority date) in each designated State:
the international filing date is the filing date in each
designated State
■ Filed in one language
■ Filed with one office
■ One set of formality requirements
■ Delays national processing until 30 months from the
priority date (for exceptions, see The International

www.wipo.int/pct/en/texts/reservations/res_incomp.html)
Patent System
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 Minimum requirements for an
international filing date (Article 11(1)) (1)
■ The application must contain at least:
 an indication that it is intended as an international
application
 a request which has the effect of making all possible
designations (Article 4 and Rules 3 and 4.9)
 the name of the applicant (Rule 4.5)
 a description (Rule 5)
 a claim (Rule 6)

The International
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 Minimum requirements for an
international filing date (Article 11(1)) (2)
■ Note that if:
 none of the applicants have the right to file with the
receiving Office for reasons of residence or
nationality (Rules 18 and 19); or
 the application is filed in a language not accepted by
the receiving Office for that purpose (Rule 12.1),
the receiving Office will transmit the application to the
receiving Office of the International Bureau for further
processing (Rule 19.4)
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 Not required for obtaining an
international filing date
■ payment of fees
■ applicant’s signature
■ title of the invention
■ abstract
■ drawings (for missing drawings, see Article 14(2) and
Rule 20.5)
■ translation into language of search or publication
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 The PCT applicant (Article 9 and Rule 18)
■ The applicant may be a natural person (e.g. the
inventor) or a legal entity (e.g. company, university,
NGO) (also for the US since 16 September 2012)
■ It is possible to indicate different applicants for different
designated States (Rule 4.5(d))
■ At least one of the applicants must be a national
or resident of a PCT Contracting State (Rule 18.3)

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 Where to file the international application
(Rule 19)
■ with a national Office
■ with the International Bureau of WIPO, or
■ with a regional Office

For details, see PCT Applicant’s Guide, International

Phase, General Information, Annexes B1 and B2

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 Choice of receiving Office

Considerations:
■ Accepted filing languages
■ Choice of International Searching Authorities
■ Criteria for restoration of the priority right and fee to be paid
■ Possibility to incorporate by reference
■ Acceptance of pre-conversion files

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 Which ISA(s) is (are) competent (Rule 35)
■ The competent ISA(s) is (are) specified by the RO
■ If more than one is specified by the RO, the applicant has the
choice:
 in making that choice, the applicant must take into account
the language(s) accepted by the ISA (a translation of the
international application for the purposes of international
search may be required in certain cases (Rule 12.3))
■ If the international application is filed with RO/IB, the
competent ISAs will be those which would have been
competent if the international application had been filed with
(any of) the national or regional Office(s) which, on the basis of
applicant's nationality or residence, could be a competent RO
■ Choice of ISA to be indicated in the request (Box No. VII)
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 The International
Patent System

ISAs / IPEASs Around the World

 21 ISAs / IPEAs Around the World
[ ] Australian Patent Office (IPEA/AU)
[ ] Austrian Patent Office (IPEA/AT)
[ ] Canadian Commissioner of Patents (IPEA/CA)
[ ] Egyptian Patent Office (IPEA/EG)
[ ] European Patent Office (IPEA/EP)
[ ] Federal Service on Intellectual Property, Patents and Trademarks (Russian Federation)
(IPEA/RU)
[ ] Indian Patent Office (IPEA/IN)
[ ] Intellectual Property Office of Singapore (IPEA/SG)
[ ] Israel Patent Office (IPEA/IL)
[ ] Japan Patent Office (IPEA/JP)
[ ] Korean Intellectual Property Office (IPEA/KR)
[ ] National Board of Patents and Registration of Finland (IPEA/FI)
[ ] National Institute of Industrial Property (IPEA/BR)
[ ] National Institute of Industrial Property of Chile (IPEA/CL)
[ ] Nordic Patent Institute (IPEA/XN)
[ ] Spanish Patent and Trademark Office (IPEA/ES)
[ ] State Intellectual Property Office of the People’s Republic of China (IPEA/CN)
[ ] State Intellectual Property Service of Ukraine (IPEA/UA)
[ ] Swedish Patent and Registration Office (IPEA/SE)
[ ] United States Patent and Trademark Office (IPEA/US)
[ ] Visegrad Patent Institute (IPEA/VP [two letter code to be confirmed]) The International
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 Languages for ISAs / IPEAs
[ ] Arabic (accepted by ISA/EG)
[ ] Chinese (accepted by ISA/CN)
[ ] English (accepted by ISA/AT, ISA/AU, ISA/BR,
ISA/CA, ISA/CN, ISA/EG, ISA/EP, ISA/FI, ISA/IL,
ISA/IN, ISA/JP, ISA/KR, ISA/RU, ISA/SE, ISA/US, ISA/XN)
[ ] French (accepted by ISA/AT, ISA/CA, ISA/EP, ISA/SE
(for certain applicants only))
[ ] German (accepted by ISA/AT, ISA/EP)
[ ] Japanese (accepted by ISA/JP)
[ ] Korean (accepted by ISA/KR)
[ ] Portuguese (accepted by ISA/BR)
[ ] Russian (accepted by ISA/AT, ISA/RU)
[ ] Spanish (accepted by ISA/BR, ISA/ES)

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 Serviced States & Prior Agreement
International Searching Contracting States for which the Languages and Kinds Is prior agreement with the
Authority (ISA)/ ISA/IPEA will carry out international of Application ISA/IPEA needed before it can be
International Preliminary search/preliminary examination specified?
Examining Authority
(IPEA)
Austrian Patent Office Any developing country in conformity English, French, Agreement between Austrian Patent
(ISA/IPEA/AT) with the established practice of the United German, Hungarian, Office and your Office is required
Nations, in accordance with the Russian
obligations of the Authority within the
framework of the European Patent
Organisation.
State Intellectual Property China, Angola, India, Kenya, Liberia, Chinese, English Agreement by the State Intellectual
Office of the People’s Thailand, Turkey, Ghana, Zimbabwe, Property Office of the People’s
Republic of China India; and any State that the Authority Republic of China is required
(ISA/IPEA/CN) will specify
Egyptian Patent Office Open to All States, and in practice mainly Arabic, English Yes
(ISA/IPEA/EG) selected by Arab States
European Patent Office Any Contracting State (i)English, French, No, specification in PCT
(ISA/IPEA/EP) German, Dutch3 Questionnaire is sufficient
(ii)as an IPEA the
EPO may act only if
the search is or has
been performed by EP,
AT, FI, XN, ES and
SE
United States Patent and United States of America, Bahrain, English Agreement with the United States
Trademark Office Barbados, Brazil, Chile, Dominican Patent and Trademark Office is
(ISA/IPEA/US) Republic, Egypt, Guatemala, India, Israel, required
Mexico, New Zealand, Peru, Philippines,
Saint Lucia, South Africa, Thailand,
Trinidad and Tobago, and any State that
the Authority will specify
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 ISA / IPEA Statistics

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 The International
Patent System

Main Advantages of Accession to the

Patent Cooperation Treaty (PCT)
 Advantages for PCT Accession
■ By filing only one application under the PCT with the national
Office, or with the International Bureau of WIPO, the applicant
obtains the effect of a regularly filed national or regional patent
application for all the PCT Contracting States

■ An applicant whether a natural person or not and who is a

national and resident of certain developing countries would be
entitled to a 90% reduction of certain PCT fees in respect of
international applications filed under the PCT

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 Advantages for PCT Accession

■ The processing of the international application by the patent

Offices of the Contracting States will not—unless expressly
requested by the applicant— start until 30 months from the
priority date. The PCT therefore allows the applicant 18
months more time than he would have without using the PCT
to decide whether and for which countries he wishes to pursue
patent protection, thereby delaying the expenses of translating
the application, paying national fees and appointing local
patent agents. Furthermore, the applicant would, thanks to the
results of international preliminary reports on patentability,
have a clear view on whether it would be worthwhile to
continue to pursue his aim of obtaining patents for his invention

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 90% Fee Reductions (Proposed)

■ Algeria (DZ) ■ Morocco (MA)

■ Bahrain (BH) ■ Oman (OM)
■ Comoros (KM) ■ Palestine (PS)
■ Djibouti (DJ) ■ Qatar (QA)
■ Egypt (EG) ■ Saudi Arabia (SA)
■ Iraq (IQ) ■ Somalia (SO)
■ Jordan (JO) ■ Sudan (SD)
■ Kuwait (KW) ■ Syria (SY)
■ Lebanon (LB) ■ Tunisia (TN)
■ Libya (LY) ■ United Arab Emirates (AE)
■ Mauritania (MR) ■ Yemen (YE)
The International
Ref: PCT/WG/7/26 Patent System
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