Overview of PCT Operations
Mr. Mougamadou Abidine, Head, Processing Section 1, PCT Processing Service
Mr. Serge Thobie, Assistant Head, French Translation Section, PCT Translation Service
PCT Operations Division
Innovation and Technology Sector
Geneva
03 October 2013
Contents
PCT Operations Structure
PCT Operations Tasks
Facts and Figures
Electronic Environment (E-Dossier)
IT Developments
ePCT
 Languages & Translation
Questions?
Tour
2
PCT Operations Structure
3
Innovation and Technology Sector
Mr. James Pooley
Deputy Director
General
Mr. Guriqbal
Singh Jaiya
DirectorAdvisor
Mr. Claus Matthes
Director
PCT Business
Dvpt. Division
Mr. Matthew Bryan
Director
PCT Legal
Division
Mr. Philippe
Baechtold
Acting Director
PCT Operations
Division
Vacant
Director
PCT
Int. Coop.
Division
Mr. Marco Aleman
Acting Director
Patent Law
Division
Mr. Matt Rainey
Director
Innovation Division
4
PCT Operations Division
Processing
Service
+200
Translation
Service
+80
IS
Service
+30
Functional
Support
Section
+2
5
6
Processing Service Structure
PCT PROCESSING SECTION 1
PCT PROCESSING SECTION 2
Teams working in
Non-Latin Languages
Teams working in Latin
Languages
PT01: Korean, English
PT02: Chinese, English
PT04: Arabic, Russian, English
PT07: Japanese, English
PT08: Japanese, English
Document Team
PT03: English
PT05: German, English
PT06: German, English
PT09: French, Portuguese,
Spanish, English
RPT: RO/IB
Publication Support Team
7
Team Composition
A Processing Team consists of
 1 Team Coordinator
 Approximately 6-7 Examiners
 Approximately 12-13 Assistant-Examiners
Tasks that cannot be decentralized into the teams are
allocated to 2 Support Units
 Document Team (9 persons)
 Publication Support Team (7 persons)
8
PCT Operations Tasks
Receipt of documents
Formality Examination
Translation
Publication
Handling of requests for supplemental
international search
Communication
Archiving
9
Processing Teams
 All formality examination tasks, technical preparation for publication
and republication (in image and XML formats) are done in the
Processing Teams
 Multi-tasking staff is familiar with all processing tasks within the
respective level
 Practical training (learning on the job) is provided within the PTs
 Deployment of systematic quality checks among all teams
 Easy to prioritize backlogs within the PTs
 Single point of responsibility for an IA with one organizational unit
(improved contacts with Receiving Offices, applicants, etc.)
 Possibility to try new processes and procedures out in one team
before deploying to all
 Continue to provide excellent customer service to our clients
10
Document and Publication Support Team
Receipt of all documents in paper and electronic format
Scanning of paper documents and uploading of
documents received on optical media
Monitoring of incoming documents (Dashboard)
Communication on request to the Designated and
Elected offices (early national phase entry)
OCR checking
Contacting International Searching Authorities for
missing data
Establishing the publication lists
11
SHEP Dashboard
(monitoring tool for all incoming documents)
12
Facts and Figures
13
PCT Filing Rates
PCT filings in 2011: 182,369
PCT filings in 2012: 193,800
(6.3% increase)
14
Share of PCT applications
by region of origin
15
PCT Filing Rates Asian Countries
PCT filings in 2012: 193,800 (6.3% increase)
Continuation of growth for JP, CN, KR
 Japan: 38,874 (2011) 43,600 (2012) 12.2%
 China: 16,402 (2011) 18,677 (2012) 13.9%
 Korea: 10,447 (2011) 11,848 (2012) 13.4%
Percentage from Asian countries now 38%
16
Record Copies Received
per Medium of Filing
17
Filing methods per Office
(over the last 12 months)
18
Number of Incoming Documents
19
Unit Cost
Unit cost = (total cost of production:number of publications) + storage costs
Direct costs
Cost of Processing (CHF)
1,200
934
1,000
800
Indirect costs
1,042
833
833
295
302
393
351
600
821
821
271
282
285
780
747
249
400
649
583
538
532
509
540
536
498
2004
2005
2006
2007
2008
2009
2010
2011
200
0
Processing Year
Direct costs: PCT administration and program, including outsourcing
budgets
Indirect costs: Building, IT, HR, …..
20
Electronic Environment
E-Dossier
21
 E-Dossier: one platform capable of handling all documents in the
10 publication languages which is continuously improved
 Notifications by e-mail to applicants
 Digital Access Service for priority documents (DAS)
 e-PCT : public and private file inspection
 Uploading of documents by applicants to the IB via web interface
 Full text search in XML for all PCT publication languages with
the exception of Arabic
 Improvement of electronic transmissions of documents between
WIPO and receiving Offices
22
E-Dossier System
Functions:
Managing of Team’s Work (work distribution, searching
and reporting functions, …)
Processing and examining applications, including data
processing
Preparing International Publication
Quality Control
Managing of Translation Work
23
Work List
24
Processing and Examining Applications,
Including Data Processing
25
Preparing International Publication
Publication List
Technical Preparation for Image Publication
Technical Preparation for XML Publication
26
Publication List
27
Technical Preparation for Image Publication
28
Technical Preparation for XML Publication
29
XML Editor
30
Preparing International Publication
International Publication shall be effected promptly after
the expiration of 18 months from the priority date
Publication on PatentScope®
Image Publication
XML Publication
31
Quality Control Tool
32
IT Developments
33
 E-Dossier: one platform capable of handling all documents in the 10
publication languages which is continuously improved
 Notifications by e-mail to applicants
 Uploading of documents by applicants to the IB via web interface
https://webaccess.wipo.int/pctservice/en/
 Digital Access Service for priority documents (DAS)
 e-PCT : public and private file inspection
 Full text search in XML (English, French, German, Spanish, Russian,
Japanese, Korean)
 Extending XML publication to all XML filings from all receiving Offices
 Improvement of electronic transmissions of documents between WIPO
and receiving Offices
34
ePCT Overview
35
What is ePCT?
A range of electronic services provided by the
International Bureau to assist applicants and Offices in
processing International Applications. It is based on
direct and secure interaction with the International
Bureau’s systems for both published and unpublished
applications and associated documents
ePCT services are divided into two categories:
 Private: offers access to the entire file of an IA including
confidential information. It requires a strong authentication
(digital certificate)
 Public: does not offer access to confidential information. It
requires a ‘simple’ authentication (username and password)
36
Current PCT Communications
(an approximation)
IB file store
reports and
status updates
record copies+
many forms
various
correspondence
e-filing
RO file store
applicant
subsequent
correspondence
reports and
queries
ISA file store
(mainly) search copies
37
Single Common Web Interface (ePCT)
RO
ISA/IPEA
Preferred route
for all types of
communication
Applicant
Single
Common
Web
Interface
Electronic routing of documents and data
between Offices (EDI,Trinet, web interfaces, etc)
38
Overview by area of development
Applicant portal development
Web filing
• Single portal for all actions and info,
irrespective of responsible Office
• Information entered is used directly;
no more transcription errors
• Live file - always up-to-date
• Data checks using same functions
as IB; always up-to-date
• Share drafts in ePCT like a normal
IA file - rights carry through to IA
• View IA file immediately on filing(*)
Receiving Offices
International Authorities
• Direct access to IB+ISA(*) file
• Option of using online tools
equivalent to RO/IB
• Offer e-filing without need to run
own server
• Alternative to PCT-EDI with built-in
local files and records management
• Direct access to IB+RO(*) file
• Share access to application body,
including all updates(*) as soon as
approved by RO, IB, ISA or IPEA
(*)
feature which would be dependent on level of participation by other Office
39
Objectives
Single common means of electronic communication for
applicant
 Doesn’t matter which Office is responsible for processing
particular piece of correspondence
 View files and processing status information from all Offices
simultaneously and “real time”
Eliminate delays and loss of quality due to printing,
posting and rescanning, including incorrect work based
on out-of-date information
Eliminate transcription errors by using data entry by
applicant or originating Office
Seek other efficiencies by moving away from replication
of paper processes - paper-style forms evolve towards
usable information triggering appropriate actions
40
ePCT – some milestones
May 2011: ePCT used by small pilot group of applicants e-filing at
RO/IB using WIPO digital certificates
December 2011: System opened up to all applicants for any IAs filed
since 1 January 2009, regardless of filing type (electronic, paper)
April 2012: First online actions for applicants to interact with their
electronic files; take e-ownership via PCT-SAFE at time of filing
July 2012: private file inspection pilot for Offices (FI, EP, etc.) in their
various roles as RO, ISA, IPEA
October 2012: Additional online actions added for applicants.
December 2012: ePCT-Filing launched in demo mode for a closed
pilot group.
January 2013: Over 200 applicants use ePCT , in approximately
6000 active international applications, mainly from the USA, top user
is Panasonic (JP).
41
ePCT– setting up access rights (e-filed IAs)
Taking ‘eOwnership’ of a PCT application
Once eOwnership established, the application appears
on user’s ‘Workbench’ and eOwner can give/remove
access rights to an application to other associated
users - requires ‘e-Handshake’ process
The IB can control secure access
42
eHandhakes
Each user account has a Customer ID (above)
Only to be exchanged with trusted associates
Similar to friends on ‘Facebook’
An eHandshake does not give automatic access rights to
all your applications – specific access rights have to be
granted
43
ePCT – private services
 Secure data transmission (certificate required)
 Secure management of access rights (eOwner, eEditor,
eViewer)
 Personal history information (access rights changes, etc)
 View/Search/Filter your applications
 Private notes/comments
 Arrange your applications into portfolios
 History of actions in ePCT for an international application
 Upload documents and online actions (eg. Rule 92bis requests,
request to withdraw IA, etc. )
 Display PCT timeline and bibliographic data for an international
application (visual aid to monitor important PCT time limits)
 E-mail warnings for approaching deadlines, e.g., 30 month time
limit expires in 1 month.
44
ePCT – public services
 Login with Username + password (no certificate required)
 Upload documents to IB and RO/IB
 View of application content restricted to documents that YOU
uploaded via ePCT (no access to other confidential documents
and data)
 Submit Third Party Observations on close prior art
 Personal history information
45
ePCT-Filing (currently in development with a
closed pilot in demo mode)
File application through the ePCT private services portal
- no need to take eOwnership later on
Allows all data checks conducted by IB to be made at
time of preparation of the IA for filing and all reference
data is up to date
File direct to RO/IB initially as a pilot
Later option to host RO file at IB for Offices as an
alternative to a local RO server and receive e-filings
directly
46
ePCT for Offices
Initial functionality available for receiving Offices and
International Authorities:
 Provides real time online secure access to the electronic files of
international applications (pre and post publication),
 Upload electronic documents directly into the IB’s processing
system (eg. Priority documents)
 Shows timeline of key time limits and outstanding actions to be
taken
 New uploaded documents are immediately visible in the internal
system of the IB and also in the ePCT file
47
ePCT - Offices
Some of the participating offices:













Australia (AU)
Austria (AT)
Belgium (BE)
Bulgaria (BG)
Canada (CA)
Finland (FI)
Hungary (HU)
Morocco (MA)
Netherlands (NL)
Republic of Korea (KR)
Switzerland (CH)
Ukraine (UA)
United States (US)
48
Languages & Translation
49
10 PCT Publication Languages
•
Arabic
•
Chinese
•
English
•
French
•
German
•
Japanese
•
Korean
•
Portuguese
•
Russian
•
Spanish
Estimated number of words of PCT translation 2007-13, in millions
(2013 based on forecast translation volumes)
108.4
95.8
75.9
57.3
2007
61.1
61
63.2
2008
2009
2010
2011
2012
2013 (forecast)
51
Number of translations, all document types, 2008-13
(2013 based on forecast translation volumes)
450,700
403,550
343,100
303,395
307,694
2008
2009
297,446
2010
2011
2012
2013 (forecast)
52
Number of translations, by document type, in 2012
264,795
78,455
60,300
Abstracts
ISRs
Patentability reports
53
Number of translations per document type, 2008-12
264,795
233,471
214,934216,693
203,460
2008
2009
2010
2011
2012
78,455
60,300
35,920 37,639 38,710
Abstracts
ISRs
45,765
63,864
52,541 53,362 55,276
Patentability reports
54
Number of abstracts translated per language combination in 2012
SP/FR
1,605 (1%)
SP/EN
1,605 (1%)
FE/EN
5,655 (2%)
KR/EN
8,040 (3%)
JP/FR
1,462 (1%)
RU/EN
1,015 (0%)
RU/FR
1,015 (0%)
PT/EN
423 (0%)
PT/FR
423 (0%)
CN/FR
270 (0%)
CN/EN
11,674 (4%)
DE/EN
18,650 (7%)
DE/FR
18,650 (7%)
EN/FR
156,078 (60%)
JP/EN
38,230 (14%)
55
Number of patentability reports translated per language in 2012
Korean
7,731 (10%)
German
18,600 (24%)
Chinese
11,765 (15%)
French
6,097 (8%)
Spanish
1,521 (2%)
Russian
830 (1%)
Japanese
31,610 (40%)
Portuguese
301 (0%)
56
THANK YOU
Questions?
57
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