2008. 7 - 특허청

2008. 7

이 책은 PCT 주요국의 국내단계 진입에 대한 이해를 돕기 위하여

WIPO 홈페이지에 게재된 자료를 번역하여 발간한 것으로 특허청의 공식

견해가 아니라는 점을 참고하시기 바랍니다.

또한, 이 책에 수록된 내용은 번역상의 의미가 약간 다를 경우가 있으며

해당국의 국내법이 제․개정됨에 따라 변경될 수 있습니다. 따라서, 잘못된

사항을 발견하시면 특허청 국제출원과(042-481-5230, 5194)로 연락주시기

바랍니다.

* 자료출처 : http://www.wipo.int/pct/guide/en/index.html

이용시 유의사항이용시 유의사항

차 례

1. 미국 ······································································· 1

2. 중국 ······································································· 61

3. 일본 ······································································· 123

4. EPO ····································································· 147

5. 독일 ······································································· 199

6. 러시아 ······································································ 219

7. 호주 ······································································· 241

8. 영국 ······································································· 267

9. 인도 ········································································· 305

10. 멕시코 ··································································· 313

Contents

1. 미 국

PCT Applicant’s Guide – National Phase – National Chapter – US

(8 November 2007)

UNITED STATES PATENT AND TRADEMARK OFFICE (USPTO)

AS DESIGNATED (OR ELECTED) OFFICE

CONTENTS

THE ENTRY INTO THE NATIONAL PHASE—SUMMARY

THE PROCEDURE IN THE NATIONAL PHASE

ANNEXES

Fees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Annex US.I Credit card payment form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Annex US.II Transmittal letter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Annex US.III Declaration of the inventor and power of attorney . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Annex US.IV Manner of making amendments in applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Annex US.V Definition of “small entity” . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Annex US.VI Recordation form cover sheet . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Annex US.VII Information disclosure statement by applicant . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Annex US.VIII

List of abbreviations:

USPTO: United States Patent and Trademark Office (USPTO)

35 USC:1 Title 35, United States Code, Patents

37 CFR:1 Title 37, Code of Federal Regulations, Patents, Trademarks and Copyrights

1 The number cited after the letters USC or CFR is the relevant section of the Patent Statute or of the Regulations, respectively.

- 2 -

미국 특허상표청 (USPTO)


지정 (또는 선택) 관청

목 차

국내단계 진입 – 요약

국내단계 절차

부록

수수료 ················································································································ 부록 US.Ⅰ

신용카드 납부서식 ················································································································ 부록 US.Ⅱ

송달장 ······································································································································ 부록 US.Ⅲ

발명자 선언서 및 위임장 ········································································································ 부록 US.Ⅳ

출원보정 방식 ······································································································ 부록 US.Ⅴ

“소규모 사업자”의 정의 ·································································································· 부록 US.Ⅵ

등록서류 커버시트 ············································································································ 부록 US.Ⅶ

출원인 정보공개서 ··········································································································· 부록 US.Ⅷ

약어 목록:

USPTO: 미국 특허상표청(USPTO)

35 USC:1 미국 특허법 Title 35

37 CFR:1 연방 특허, 상표, 저작권 규정집 Title 37

1 USC나 CFR 뒤에 인용되는 숫자는 각각 관련 특허법령이나 규정을 뜻한다.

- 3 -


(8 November 2007)

SUMMARY Designated (or elected) Office

SUMMARY

US UNITED STATES PATENT AND TRADEMARK OFFICE (USPTO)

US

Summary of requirements for entry into the national phase

Time limits applicable for entry into the national phase:

Under PCT Article 22(1): 30 months from the priority date Under PCT Article 39(1)(a): 30 months from the priority date

Translation of international application required into:1 English

Required contents of the translation for entry into the national phase:1

Under PCT Article 22: Request, description, claims (if amended, both as originally filed and as amended, together with any statement under PCT Article 19), any text matter in the drawings, abstract2 Under PCT Article 39(1): Request, description, claims, any text matter in the drawings, abstract (if any of those parts has been amended, both as originally filed and as amended by the annexes to the international preliminary examination report)2

Is a copy of the international application required?3

The applicant should only send a copy of the international application if he has not received Form PCT/IB/308 and the USPTO has not received a copy of the international application from the International Bureau under PCT Article 20. This may be the case where the applicant expressly requests an earlier start of the national phase under PCT Article 23(2). No copy is required if the international application was filed with the USPTO as receiving Office. A copy of amendments of the claims filed under PCT Article 19 with the International Bureau is required under the conditions indicated in the previous paragraph.

[Continued on next page]

______________ 1 Must be furnished within the time limit applicable under PCT Article 22 or 39(1). The requirement may still be complied with in

response to a notice sent to the applicant, provided that a processing fee is paid for furnishing the translation later. 2 If the translation of the amendments is not furnished, the amendments are considered to be cancelled (37 CFR 1.495(d) and (e)). 3 Must be furnished within the time limit applicable under PCT Article 22 or 39(1).

- 4 -


요약 지정 (또는 선택) 관청 요약

US 미국 특허상표청 (USPTO) US

국내단계 진입을 위한 요건 요약

국내단계 진입에 적용되는 기한: PCT 제22조(1): 우선일로부터 30개월

PCT 제39조(1)(a): 우선일로부터 30개월

진입시 필요한 국제출원의 번역언어:1 영어

국내단계 진입에 필요한 번역문 내용: 1 PCT 제22조: 출원서, 명세서, 청구범위 (청구범위가 보정이

이루어진 경우, PCT 제19조에 의한 설명서를 첨부하여

원본 청구범위와 보정된 청구범위 모두 제출), 도면 및

요약서2

PCT 제39조(1): 출원서, 명세서, 청구범위, 도면 및 요약서

(보정이 이루어진 경우, 원본 번역문과 국제예비심사보고서의

부속서류에 따라 보정된 번역문을 제출)2

국제출원 사본이 필요한가?3

출원인이 PCT/IB/308 서식을 수령받지 않았고, USPTO가

PCT 제20조에 따라 국제사무국으로부터 국제출원 사본을

수령받지 않았을 경우에만 출원인은 국제출원 사본을

제출해야 한다. 출원인이 PCT 제23조(2)에 따라

국내단계의 조기개시를 명시적으로 청구하는 경우가 이에

해당할 수 있다.

USPTO를 수리관청으로 하여 국제출원을 한 경우에는

사본을 제출할 필요가 없다. 위 단락에 기재된 조건에 따라,

PCT 제19조에 의해 국제사무국에 제출된 청구범위 보정서

사본은 제출되어야 한다.

[다음 페이지에 계속]

1 PCT 제22조나 제39조(1)에 규정된 기한 내에 제출되어야 한다. 출원인에게 송부된 통지서에 따라서 요건을 준수해야 한다. 단, 추후에

번역문을 제출하는 경우에는 진행료를 납부해야 한다.

2 보정서 번역문이 제출되지 않은 경우에는, 보정서는 취소된 것으로 간주한다(37 CFR 1.495(d) 및 (e)).

3 PCT 제22조나 제39조(1)에 규정된 기한 내에 제출되어야 한다.

- 5 -


(8 November 2007)


SUMMARY


[Continued]

US

National fee:4 Currency: US dollar (USD) Basic national fee:5 USD 310 (155)6 Search fee:7 – IPER prepared by the IPEA/US or the written opinion was prepared by the ISA/US, all claims presented satisfied provisions of PCT Article 33(1) to (4): USD 0 (0)6 – International search fee paid to the USPTO as ISA: USD 100 (50)6 – Search report has been prepared by an ISA other than the US and is provided or has been previously communicated by the IB to the USPTO: USD 410 (205)6 – All other situations: USD 510 (255)6 Examination fee:7 – IPER prepared by the IPEA/US or the written opinion was prepared by the ISA/US, all claims presented satisfied provisions of PCT Article 33(1) to (4): USD 0 (0)6 – All other situations: USD 210 (105)6

For every 50 sheets or fraction thereof of the specification and drawings that exceeds 100 sheets (excluding any sequence listing or computer program listing filed in an electronic medium): USD 260 (130)6 Additional fee for each claim in independent form in excess of three:7 USD 210 (105)6 Additional fee for each claim, independent or dependent, in excess of 20:7 USD 50 (25)6

In addition, if the application contains one or more multiple dependent claims, per application:7 USD 370 (185)6 Surcharge for paying any of the search fee, the examination fee, or filing the oath or declaration after the date of commencement of the national stage: USD 130 (65)6

Processing fee for filing English-language translation after the expiration of the time limit applicable under PCT Article 22 or 39(1): USD 1308


______________ 4 The amounts of these fees change periodically. The United States Patent and Trademark Office or the Official Gazette of the

United States Patent and Trademark Office—Patents available at: www.uspto.gov/web/offices/com/sol/og/index.html should be consulted for the applicable amounts.

5 Must be paid within the time limit applicable under PCT Article 22 or 39(1). 6 The amount in parentheses is applicable in case of filing by a “small entity.” “Small entity” status can be established by a simple

written assertion of entitlement to “small entity” status, or by payment of the exact amount of the “small entity” basic national fee as set forth in 37 CFR 1.492(a) (see 37 CFR 1.27, and Annex US.VI).

7 If not paid with the basic national fee, the USPTO will invite the applicant to pay the fee within a time limit fixed in the invitation. 8 This fee is unaffected by “small entity status”.

- 6 -




[계속]

국내수수료:4

통화: 미 달러화(USD)

기본 국내수수료: 5

조사료:7

-IPEA/US에 의해 작성된 IPER이나

ISA/US에 의해 작성된 견해서, 제출된

모든 청구항은 PCT 제33조(1)부터

(4)의 규정에 부합한다:

-ISA로서의 USPTO에 납부하는

국제조사료:

-조사보고서는 미국 이외의 ISA에 의해

작성되었으며, IB에 의하여 USPTO에

제공되거나 사전에 송달되었다:

-기타 상황:

심사료: 7

-IPEA/US에 의해 작성된 IPER이나

ISA/US에 의해 작성된 견해서, 제출된

모든 청구항은 PCT 제33조(1)부터

(4)의 규정에 부합한다:

- 기타 상황:

100장을 넘는 명세서 및 도면의 매

50장마다(전자적 매체로 제출되는

서열목록 또는 컴퓨터 프로그램

목록은 제외):

3항을 초과하여 독립적인 형태로 제출되는

각 청구항에 대한 추가 수수료:7

20항을 초과하여 제출되는 각

청구항(독립항 또는 종속항)에 대한

추가 수수료:7

출원이 1항 이상의 다중종속항을 포

함하는 경우, 출원 건당 가산액:7

국내단계 개시일 이후 조사료, 심사료

납부나 서약서 또는 선언서 제출에 대한

가산료:

PCT 제22조나 제39조(1)에 규정된

기한이 만료된 후 영어 번역문 제출에

대한 진행료:

USD 310 (155)6

USD 0 (0)6

USD 100 (50)6

USD 410 (205)6

USD 510 (255)6

USD 0 (0)6

USD 210 (105)6

USD 260 (130)6

USD 210 (105)6

USD 50 (25)6

USD 370 (185)6

USD 130 (65)6

USD 130 8


4 수수료 액수는 정기적으로 변경된다. 해당 금액은 미국 특허상표청이나 미국 특허상표청 공보-Patents

www.uspto.gov/web/offices/com/sol/og/index.html 에서 확인할 수 있다.

5 PCT 제22조나 제39조(1)에 규정된 기한 내에 납부해야 한다.

6 괄호 안의 금액은 “소규모 사업자”의 출원에 적용될 수 있다. “소규모 사업자” 지위는 “소규모 사업자” 지위에 관한 간단한 서면 확인서나 37 CFR 1.592(a)에

명시된 정확한 “소규모 사업자” 기본 국내수수료 납부로 확증될 수 있다(37 CFR 1.27과 부록 US.Ⅵ 참고).

7 기본 국내수수료를 납부하지 않는 경우, USPTO는 출원인에게 통지서에 정한 기한 내에 수수료를 납부할 것을 명한다.

8 본 수수료는 “소규모 사업자 지위”가 적용되지 않는다.

- 7 -


(8 November 2007)


SUMMARY


[Continued]

US

Exemptions, reductions or refunds of the national fee:

Reductions of the national fees are indicated under the national fees listed above.

Special requirements of the Office (PCT Rule 51bis):

Oath or declaration of the inventor9, 10

Declaration as to the applicant’s entitlement to claim priority of the earlier application10 Information disclosure statement is recommended.11 Furnishing, where applicable, of a nucleotide and/or amino acid sequence listing in electronic form

Who can act as agent? Patent attorneys and patent agents registered to practice before the Office. A list of registered patent attorneys and agents may be obtained on the Internet at http://des.uspto.gov/OEDCI/.

Does the Office accept requests for restoration of the right of priority (PCT Rule 49ter.2)? No

______________ 9 Must be furnished within the time limit applicable under PCT Article 22 or 39(1). The requirement may still be complied with in

response to a notice sent to the applicant, provided that a surcharge is paid for furnishing the oath or declaration later. 10 This requirement may be satisfied if the corresponding declaration has been made in accordance with PCT Rule 4.17. 11 Should be filed within three months from performing the acts for entering the national phase (see 37 CFR 1.491).

- 8 -




[계속]

국내수수료 면제, 감면, 반환:

국내수수료 감면은 위에 기재된 국내수수료에 기재되어

있다.

특허청 의 특별 요건들

(PCT 규칙 51bis):

발명자의 서약서 또는 선언서9, 10

선출원의 우선권을 주장할 수 있는 출원인의 자격에

대한 선언서10

정보공개서 권장.11

가능하면 핵산염기 및 아미노산 서열목록은 전자적 형태로

제출

대리인 자격이 있는 자는? 특허청에 개업 등록된 변리사와 특허대리인.

등록된 변리사와 대리인 명단은 인터넷상

http://des.uspto.gov/OEDCI/ 에서 구할 수 있다.

특허청은 우선권 회복 신청을

허용하는가(PCT 규칙 49ter.2)?

아니오

9 PCT 제22조나 제39조(1)에 규정된 기한 내에 제출되어야 한다. 출원인에게 송부된 통지서에 따라서 요건을 준수해야 한다. 단, 추후에

제출되는 서약서나 선언서에 대해서는 가산료를 납부해야 한다.

10 PCT 규칙 4.17에 따라 해당 선언서가 작성된 경우 본 요건은 충족될 수 있다.

11 국내단계 진입을 위한 행위를 이행한 날로부터 3개월 이내에 제출되어야 한다(37 CFR 1.491 참고).

- 9 -

PCT Applicant’s Guide - Volume II - National Chapter - US

fthe inventor is dead, insane or otherwise legally incapacitated, his legal representative may filethe application (see Volume I, paragraphs 432 to 435). Where the inventor is unavailable orunwilling to sign, see Volume I, paragraphs 436 to 442.

US.02 An international application designating the United States of America must, therefore,indicate the inventor as applicant. In case of failure to meet this requirement, the internationalapplication may not be accepted in the national phase by the USPTO.

37 CFR 1.76 US.03 FORM FOR ENTERING THE NATIONAL PHASE. The USPTO has available aspecial form for the transmittal of the fees and documents required for entering the nationalphase (see Annex US.III). This form should preferably (but need not) be used, however, seeparagraph US.05, below. Together with the special form indicated above, applicants may alsosubmit an “application data sheet” containing bibliographic data. The submission of anapplication data sheet is voluntary. The “application data sheet” facilitates electronic capture of

(23 November 2006)


35 USC 115to 118

37 CFR 1.421(b)35 USC 37337 CFR 1.421

to 1.423

US.01 APPLICANT MUST BE THE INVENTOR. As stated in Volume I, paragraphs 61,62, 73 and 77, in the United States of America a patent application can only be filed by theinventor (or, when an invention has been made by two or more persons jointly, the inventors). I

the bibliographic data by the USPTO, thus leading to more accurate data recording and quickerprocessing by eliminating the need to have this data manually extracted from the applicationpapers. A guide to preparing an application data sheet can be found at the USPTO’s websitewww.uspto.gov by clicking on “Patents” then “Forms” and then on “Application Data SheetGuidelines.”

37 CFR 1.1 1.5 1.6(d)

US.04 CORRESPONDENCE. All correspondence should be addressed to: Mail Stop PCT,Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450, USA. If the applicanthas received a “Notification of Acceptance of Application Under 35 USC 371 and37 CFR 1.495,” the reference to “Mail Stop PCT” should be deleted. If a US applicationnumber (e.g., 08/123,456) has been assigned, it should be indicated on the papers. If a USapplication number has not yet been assigned, the correspondence should state the name of theapplicant, the international filing date, the international application number and the title of theinvention. It is important to note that a copy of the international application used to enter thenational phase may NOT be submitted by facsimile.

35 USC 371 111

37 CFR 1.495(g)

US.05 The USPTO requires that documents submitted by the applicant be clearly identifiedas being for entry into the national phase under the PCT; otherwise, the documents will betreated as having been filed for a new US national patent application. The identificationrequirement is usually complied with if the transmittal letter referred to in paragraph US.03above and reproduced in Annex US.III is used. The identification of the internationalapplication, in the declaration or oath of the inventor (see paragraph US.16, below) or otherwise,as a prior filed application for priority purposes is not considered to be a sufficient indication ofan intention to enter the national phase under the PCT. In case of doubt because of insufficientor contradictory indication the USPTO will treat documents submitted as a new US nationalpatent application.

US.06 The electronic filing of US national application documents became possible as of17 March 2006 when EFS-Web went into full production. EFS-Web is a PDF-based applicationinformation system that provides USPTO customers the ability to electronically file a variety ofpatent application documents in portable document format (PDF) directly to the USPTO,including those associated with US national stage entry under 35 U.S.C. 371. It isrecommended that applicants continue to use the Transmittal Letter to the United StatesDesignated/Elected Office (DO/EO/US) Concerning a Submission Under 35 U.S.C. 371(Form PTO-1390) when electronically filing documents for entry into the US national stageunder 35 U.S.C. 371. ASCII text files (.TXT) may be used for submitting sequence listings,large tables, or computer program listing appendices. However, there is a file size limit of

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국내단계 절차

35 USC 115 to 118

37 CFR 1.421(b) 35 USC 373 37 CFR 1.421

to 1.423

US.01 출원인은 반드시 발명자여야 한다. 제I권, 제61, 62, 73, 77절에 상술한 바와

같이, 미국내 특허출원은 발명자(2인 이상의 발명자에 의해 공동으로 발명된 경우,

발명자들)에 한하여 제출할 수 있다. 발명자가 사망하거나, 정신이상이 되거나 그 밖의

형태로 법적 자격을 상실하는 경우에는 발명자의 법정대리인이 출원할 수 있다(제I권,

제432절부터 제435절 참고). 발명자가 없거나 서명을 원치 않을 경우에는 제I권,

제436절부터 제442절 참고.

US.02 이에 따라 미국을 지정하는 국제출원은 발명자를 출원인으로 표시해야 한다.

이러한 요건이 충족되지 않는 경우, USPTO는 국내단계에서 국제출원을 인정하지

않는다.

37 CFR 1.76 US.03 국내단계 진입을 위한 서식. USPTO에는 국내단계 진입에 필요한 수수료 및

서류 송달을 위해 특별한 서식을 구비하고 있다(부록 US.Ⅲ 참고). 본 서식을

우선적으로 사용하되(단, 의무 사항은 아니다), 아래 US.05절을 참고한다. 출원인은

위에서 언급한 특별한 서식과 함께 서지정보를 포함하는 “출원 데이터 시트”를 제출할

수도 있다. 출원 데이터 시트 제출은 임의사항이다. “출원 데이터 시트”는 USPTO가

서지정보를 전자화하기 쉽게 만들어 주어 (출원서류에서 수작업으로 정보를 추출할

필요를 없애므로), 보다 정확한 데이터의 기록과 보다 빠른 진행이 가능하게 한다.

출원 데이터 시트 작성 가이드는 USPTO의 웹사이트(www.uspto.gov )에서

“Patents”와 “Forms”, “Application Data Sheet Guidelines”을 차례로 클릭하여

확인할 수 있다.

37 CFR 1.1 1.5

1.6(d)

US.04 통신. 모든 통신문은 “Mail Stop PCT, Commissioner for Patents, P.O. Box

1450, Alexandria, VA 22313-1450, USA”로 발송해야 한다. 출원인이 “35 USC

371과 37 CFR 1.495에 따른 출원수리통지서”를 수령하였다면, “Mail Stop PCT ”를

삭제해야 한다. 미국 출원번호(예, 08/123,456)가 부여되었다면, 서류에 번호를

표시해야 한다. 미국 출원번호가 부여되지 않았다면, 통신문은 출원인의 성명과

국제출원일, 국제출원번호, 발명의 명칭을 명시해야 한다. 국내단계 진입을 위해

사용되는 국제출원 사본은 팩스로 제출할 수 없다는 점에 유의해야 한다.

35 USC 371 111

37 CFR 1.495(g)

US.05 USPTO는 출원인이 제출하는 서류가 PCT에 따라 국내단계 진입을 위한

것이라는 점을 명확히 표시하도록 요구한다. 그렇지 않는 경우, 서류는 미국 신규 국내

특허출원한 것으로 취급될 것이다. 위의 US.03절과 부록 US.Ⅲ의 송달장을 사용하는

경우 표시 조건을 따른 것이 된다. 발명자의 선언서나 서약서(아래 US.16절 참고)

또는 다른 방법으로, 우선권 목적을 위해 사전에 제출한 국제출원 표시를 하더라도

PCT에 따라 국내단계를 진입하겠다는 의사의 충분한 표시로 간주되지 않는다.

불충분하거나 모순되는 표시로 인해 의심스러운 경우에는 USPTO는 제출된 서류를

미국 신규 국내 특허출원으로 취급한다.

US.06 미국 국내출원 서류의 전자적 제출은 EFS-Web이 전부 제작된 2006년 3월

17일을 기준으로 가능해졌다. EFS-Web은 35 USC 371에 따른 미국 국내단계 진입과

관련된 서류를 비롯하여, 다양한 특허출원 서류를 PDF로 작성하여 USPTO에 직접,

전자적으로 제출할 수 있는 기능을 USPTO 고객에게 제공하는 PDF 기반

출원정보시스템이다. 출원인이 35 USC 371에 따라 미국 국내단계를 진입하기 위해

전자적으로 서류를 제출할 때, 35 USC 371에 따라 미국 지정/선택관청(DO/EO/US)에

제출하는 송달장(PTO-1390 서식)의 사용이 권장된다. 서열목록이나 대형 표, 컴퓨터

프로그램 목록을 제출할 때는 ASCII 텍스트 파일(.TXT)을 사용할 수 있다.

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(23 November 2006)

25 MB per file, but up to 60 documents of this size may be submitted in a single electronicpackage. Color drawings and photographs/drawings with varying degrees of black/white/greyscale may not be submitted via the EFS-Web. More information regarding the electronic filingof US patent applications may be obtained at www.uspto.gov/ebc/efs_help.html. The EFS-Webmay be accessed directly at the following web address:https://sportal.uspto.gov/secure/portal/efs. Full technical support is available through the PatentElectronic Business Center (EBC) at (1-866) 217 91 97 from 6 a.m. to 12 Midnight EasternTime, Monday – Friday and from 10 a.m. to 6 p.m. Saturday and Sunday. Limited assistance isavailable at all other times through USPTO’s Electronic Business Support (EBS) at (1-800) 78691 99 or (1-571) 272 10 00.

35 USC 371(d)37 CFR 1.492(i)

1.495(c)-(e)

US.07 TRANSLATION (LATE FURNISHING OF). If the applicant pays the basicnational fee and a copy of the international application is received within the applicable timelimit under PCT Article 22 or 39(l), but a translation of the international application has notbeen furnished by the applicant or is incomplete, a notice is sent to the applicant which sets atime period for furnishing the translation. The applicant can then furnish the translationprovided that a processing fee is paid. The amount of the processing fee is indicated inAnnex US.I. The time period set in the notice will be two months from the date of the notice or32 months from the priority date, whichever is later. The time period set in the notice may beextended as provided for in 37 CFR 1.136(a) (see paragraph US.28(i), below). Whereamendments to the claims have been filed with the International Bureau under Article 19 and theapplicant fails to furnish a translation or copy (see the Summary) of such amendments to theclaims within the time limit applicable under PCT Article 22 or 39(1), the amendments to theclaims are considered to have been cancelled. A translation of any annex to the InternationalPreliminary Examination Report must be furnished prior to the expiration of the applicable timelimit under PCT Article 39(1); however, a translation of the annex may be provided during anytime period set to furnish a translation of the international application or an oath or declarationof the inventor. If a translation of the annex is not timely filed, the amendments contained in theannex will be considered to be cancelled. However, such amendments may be reintroduced at alater stage, see paragraph US.19.

US.08 TRANSLATION (CORRECTION). Errors in the translation of the internationalapplication can be corrected with reference to the text of the international application as filed(see paragraphs 57 and 58 of the General Part of this Volume). If the translation furnished tothe USPTO was incomplete, see the preceding paragraph.

35 USC 371(d)37 CFR 1.495(b)

1.6(d)(3)1.8(a)(2)(i)(F)

US.09 PAYMENT OF NATIONAL FEE. The basic national fee must be paid within thetime limit applicable under PCT Article 22 or 39(l) which is 30 months after the priority date.The applicable time limit may not be extended. If the basic national fee is not paid within theapplicable time period, the application becomes abandoned as to the United States. Anauthorization to charge the basic national fee to a deposit account, credit card or any othermeans may NOT be submitted by facsimile.

37 CFR 1.492(b)(1)-(4) US.10 SEARCH FEE. If the applicant pays the basic national fee and a copy of theinternational application has been received within the applicable time limit under PCTArticle 22 or 39(1), but the search fee has not been paid, a notice is sent to applicant which setsa time period for furnishing the search fee. The applicant can then furnish the search feeprovided a surcharge fee is paid. The amounts of the search fee and the surcharge are providedin Annex US.I. The period set in the notice is extendable as provided in 37 CFR 1.136(a) (seeparagraph US.28(i)).

37 CFR 1.492(c)(1)-(2) US.11 EXAMINATION FEE. If the applicant pays the basic national fee and a copy of theinternational application has been received within the applicable time limit under PCTArticle 22 or 39(1), but the examination fee has not been paid, a notice is sent to applicant whichsets a time period for furnishing the examination fee. The applicant can then furnish theexamination fee provided a surcharge fee is paid. The amounts of the examination fee and thesurcharge are provided in Annex US.I. The period set in the notice is extendable as provided in37 CFR 1.136(a) (see paragraph US.28(i)).

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단, 파일당 25MB로 파일 크기가 제한되며, 이러한 크기의 파일 최대 60개를 단일

전자적 패키지로 제출할 수 있다. 컬러 도면과 흑백 등급이 다른 사진/도면은 EFS-

Web을 통해 제출할 수 없다. 미국 특허출원 전자적 제출에 관한 자세한 정보는

www.uspto.gov/ebc/efs_help.html 에서 확인할 수 있다. EFS-Web은 다음의 웹

주소에서 직접 접속할 수 있다: https://sportal.uspto.gov/secure/portal/efs.

특허전자사업센터(EBC)에서는 월-금요일은 오전 6시부터 자정까지, 토, 일요일은 오전

10시부터 오후 6시까지 (1-866) 217 91 97번으로 기술 지원을 제공한다. 기타

시간에는 USPTO 전자사업지원(EBS) (1-800) 786 91 99번 혹은 (1-571) 272 10

00번에서 (제한된) 지원을 받을 수 있다.

35 USC 371(d) 37 CFR 1.492(i)

1.495(c)-(e)

US.07 번역문 (제출 연체). 출원인이 기본 국내수수료를 납부하고 PCT 제22조나

제39조(1)에 규정된 기한 내에 국제출원 사본이 접수되었지만, 국제출원 번역문을

제출하지 않았거나 번역문이 미비하다면 번역문 제출 기간을 정한 통지서를

출원인에게 발송한다. 이 경우 출원인은 번역문을 제출할 수 있다. 단, 진행료를

납부해야 한다. 진행료의 액수는 부록 US.I에 기재되어 있다. 통지서에서 정하는

기간은 통지일로부터 2개월이나 우선일로부터 32개월 중 더 늦은 날로 한다.

통지서에서 정한 기간은 37 CFR 1.136(a)의 규정대로 연장할 수 있다(밑의 US.28(i)절

참고). 제19조에 따라 청구범위의 보정서를 국제사무국에 제출하였으나 출원인이 PCT

제22조나 제39조(1)에 규정된 기한 내에 해당 청구범위의 보정서 번역문이나

사본(요약 참고)을 제출하지 않은 경우, 청구범위의 보정서는 취소된 것으로 간주한다.

PCT 제39조(1)에 따른 기간이 만료하기 전에 국제예비심사보고서의 부속서류의

번역문을 제출해야 한다. 단, 부속서류 번역문은 국제출원 번역문이나 발명자 서약서

또는 선언서를 제출해야 하는 기간 이전 언제라도 제출할 수 있다. 부속서류 번역문을

적시에 제출하지 않으면, 부속서류에 포함되는 보정은 취소된 것으로 간주한다. 단,

해당 보정서는 차후 단계에서 재차 제출할 수 있다. US.19절 참고.

US.08 번역 (정정). 국제출원 번역문의 오류는 제출된 국제출원 원문을 참조하여

정정할 수 있다(본 권 총칙 제57절 및 제58절 참고). USPTO에 제출한 번역문이

미비한 경우에는 바로 전 절의 규정을 참고.

35 USC 371(d) 37 CFR 1.495(b)

1.6(d)(3) 1.8(a)(2)(i)(F)

US.09 국내수수료의 납부. 기본 국내수수료는 PCT 제22조나 제39조(1)에 규정된

기한 내에 납부해야 하며, 해당 기한은 우선일 이후 30개월로 한다. 해당 기한은

연장될 수 없다. 해당 기간까지 기본 국내수수료를 납부하지 않는 경우, 미국에 대한

출원을 포기하는 것으로 취급한다. 예금 계좌나 신용 카드, 기타 수단에 기본

국내수수료를 청구할 수 있는 허가는 팩스로 제출할 수 없다.

37 CFR 1.492(b)(1)-(4) US.10 조사료. 출원인이 기본 국내수수료를 납부하고 PCT 제22조나 제39조(1)에

규정된 기한 내에 국제출원 사본이 접수되었지만, 조사료를 납부하지 않았다면 조사료

제출 기간을 정한 통지서를 출원인에게 발송한다. 이 경우 출원인은 조사료를 납부할

수 있다. 단, 가산료를 납부해야 한다. 조사료와 가산료 액수는 부록 US.I에 규정하고

있다. 통지서에서 정한 기간은 37 CFR 1.136(a)의 규정대로 연장할 수 있다

(US.28(i)절 참고).

37 CFR 1.492(c)(1)-(2) US.11 심사료. 출원인이 기본 국내수수료를 납부하고 PCT 제22조나 제39조(1)에

규정된 기한 내에 국제출원 사본이 접수되었지만, 심사료를 납부하지 않았다면 심사료

제출 기간을 정한 통지서를 출원인에게 발송한다. 이 경우 출원인은 심사료를 납부할

수 있다. 단, 가산료를 납부해야 한다. 심사료와 가산료 액수는 부록 US.I에 규정하고

있다. 통지서에서 정한 기간은 37 CFR 1.136(a)의 규정대로 연장할 수 있다

(US.28(i)절 참고).

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(23 November 2006)

37 CFR 1.492(j) US.12 APPLICATION SIZE FEE. For any national stage application or nationalapplication, where the specification and drawings of which exceed 100 sheets of paper, for eachadditional 50 sheets or fraction thereof an application size fee will be assessed. The amount ofthe fee is provided in Annex US.I.

37 CFR 1.75(c)37 CFR 1.492(e),

(f) and (g)

US.13 ADDITIONAL CLAIMS FEE. The number of additional claims for fee purposesmust be computed on the basis of the claims valid at the beginning of the national phase (that is,where amendments have been filed, the claims as amended under PCT Article 19 or PCTRule 66.1, 66.3 and 66.4 or the claims as submitted in a preliminary amendment by the applicantupon entering the national phase under PCT Article 28 or 41). Where the applicant fails to paythe correct amount of the additional claims fee, the USPTO will invite him to pay the missingamount at the current fee amount.

37 CFR 1.27 1.28 1.492(a)-(h)

and (j)

US.14 FEE REDUCTION FOR “SMALL ENTITY”. Applicants having a “small entity”status are entitled to a reduction in certain fees. “Small entity” status can be established by asingle written assertion of entitlement to “small entity” status without use of a specialized form.However, “small entity” status may be established by checking the box provided on the form forentering the national phase (See Annex US.III) referred to in paragraph US.03. Parties who mayassert “small entity” status include a registered practitioner, one of the inventors, or a partialassignee (an assignee assertion of small entity status must be filed by a 37 CFR 1.33(b) party.)“Small entity” status may also be established by payment of the exact basic national fee(37 CFR 1.492(a)). Assertion of small entity status requires a determination of entitlement tothat status. See 37 CFR 1.27 and Annex US.VI.

37 CFR 1.23 US.15 FEES (MANNER OF PAYMENT). The manner of payment of the fees indicated inthe Summary and in this Chapter is outlined in Annex US.I.

35 USC 371(c)(4)and (d)

37 CFR 1.497 1.495(c)

US.16 OATH OR DECLARATION OF THE INVENTOR. For details, see the sample ofsuch declaration in Annex US.IV. Legalization of signatures under the declaration is notrequired. If the applicant pays the basic national fee and a copy of the international applicationhas been received within the applicable time limit under PCT Article 22 or 39(1), but an oath ordeclaration of the inventor has not been furnished, a notice is sent to the applicant which sets atime period for furnishing the oath or declaration. The applicant can then furnish the oath ordeclaration provided that a surcharge is paid. The amount of the surcharge is indicated inAnnex US.I. The time period set in the notice will be two months from the date of the notice or32 months from priority date, whichever is later. The period set in the notice is extendable asprovided for in 37 CFR 1.136 (a) (see paragraph US.28(i)).

37 CFR 1.31 1.32

US.17 POWER OF ATTORNEY. No representation of the applicant by an attorney oragent is required, but where an attorney or agent is to represent an applicant, a power of attorneysigned by the applicant/inventor to an attorney or agent registered to practice before the USPTOis required. A sample power of attorney form is included in Annex US.IV. It is highlyadvisable to be represented by an attorney or agent.

37 CFR 1.56 1.97

to 1.98

US.18 INFORMATION DISCLOSURE STATEMENT. The applicant must (to beprudent) file, not later than three months from performing the acts for entering the nationalphase, an information disclosure statement. Such statement to the USPTO must disclose allinformation of which the applicant, or any other person substantively involved with thepreparation of the application or its prosecution, is aware which is material to the patentability ofthe invention. Such information is material to patentability when it is not cumulative toinformation already of record in the application, and (1) it establishes, by itself or incombination with other information, a prima facie case of unpatentability of a claim; or (2) itrefutes, or is inconsistent with, a position the applicant takes in (i) opposing an argument ofunpatentability relied upon by the Office, or (ii) asserting an argument of patentability. A primafacie case of unpatentability is established when the information compels a conclusion that aclaim is unpatentable by the preponderance of evidence, burden of proof standard, giving eachterm in the claim its broadest reasonable construction consistent with the description, and beforeany consideration is given to evidence which may be submitted in an attempt to establish acontrary conclusion of patentability.

- 14 -


37 CFR 1.492(j) US.12 출원크기수수료. 국내단계출원이나 국내출원에서 명세서나 도면이 100장이

넘는 경우, 추가되는 50장마다 출원크기수수료가 부과된다. 수수료 액수는 부록

US.I에 규정하고 있다.

37 CFR 1.75(c) 37 CFR 1.492(e),

(f) and (g)

US.13 추가청구항수수료. 수수료 징수를 위한 추가 청구항 수는 국내단계 개시 당시

유효한 청구범위(즉, 보정서를 제출한 경우, PCT 제19조나 PCT 규칙 66.1, 66.3,

66.4에 따라 보정된 청구범위나, PCT 제28조나 제41조에 따라 국내단계를

진입하면서 출원인이 예비 보정서로 제출하는 청구범위)에 기초하여 정해진다.

출원인이 추가 청구항 수수료의 정확한 액수를 납부하지 않을 경우, USPTO는

출원인에게 현재 수수료 액수에 맞게 누락된 금액을 납부할 것을 명한다.

37 CFR 1.27

1.28 1.492(a)-(h)

and (j)

US.14 “소규모 사업자”에 대한 수수료 감면. “소규모 사업자” 지위의 출원인은 일부

수수료의 일정액을 감면 받을 수 있다. “소규모 사업자” 지위는 전용 서식을 사용하지

않고 “소규모 사업자” 지위에 관한 간단한 서면 확인서로 확증될 수 있다. 단, “소규모

사업자” 지위는 US.03절에 언급된 국내단계 진입을 위한 서식(부록 US.Ⅲ 참고)에

규정된 박스를 체크하여 설정할 수 있다. “소규모 사업자” 지위를 주장할 수 있는

당사자는 등록된 변호사, 발명자의 일인, 일부 양수인(37 CFR 1.33(b)의 당사자는

소규모 사업자 지위의 양수인 확인서를 제출해야 한다)을 포함한다. “소규모 사업자”

지위는 정확한 액수의 기본 국내수수료 납부로 확증될 수도 있다(37 CFR 1.492(a)).

소규모 사업자 지위 확인서로 해당 지위의 자격을 결정할 수 있어야 한다. 37 CFR

1.27과 부록 US.Ⅵ 참고.

37 CFR 1.23 US.15 수수료 (납부 방식). 요약 및 본 장에서 표시한 수수료 납부 방식은 부록

US.I에 설명되어 있다.

35 USC 371(c)(4) and (d) 37 CFR 1.497 1.495(c)

US.16 발명자 서약서 또는 선언서. 자세한 내용은 부록 US.Ⅳ의 선언서 샘플을

참고한다. 선언서의 서명에 대한 공증은 강제사항이 아니다. 출원인이 기본

국내수수료를 납부하고 PCT 제22조나 제39조(1)에 규정된 기한 내에 국제출원

사본이 접수되었지만, 발명자의 서약서나 선언서가 제출되지 않았다면 서약서나

선언서 제출 기간을 정한 통지서를 출원인에게 발송한다. 이 경우 출원인은 서약서나

선언서를 제출할 수 있다. 단, 가산료를 납부해야 한다. 가산료 액수는 부록 US.I에

기재되어 있다. 통지서에서 정하는 기간은 통지일로부터 2개월이나 우선일로부터

32개월 중에 더 늦은 날로 한다. 통지서에서 정한 기간은 37 CFR 1.136(a)의

규정대로 연장할 수 있다(US.28(i)절 참고).

37 CFR 1.31

1.32

US.17 위임장. 출원인은 변호사나 대리인에게 대리를 맡기지 않아도 되지만, 변호사나

대리인이 출원인을 대리하는 경우 USPTO에 개업 등록된 변호사나 대리인에게

출원인/발명자가 서명한 위임장이 필요하다. 위임장 샘플 서식은 부록 US.Ⅳ에

포함되었다. 변호사나 대리인에게 대리을 맡기는 것이 바람직하다.

37 CFR 1.56

1.97 to 1.98

US.18 정보공개서. 출원인은 국내단계 진입 조치를 취한 후 3개월 이내에

정보공개서를 (신중하게) 제출해야 한다. USPTO에 제출하는 이러한 공개서는 출원인

또는 출원 준비나 실시에 실질적으로 관여된 이들이 발명의 특허성에 중요하다고

인식하는 정보를 모두 공개해야 한다. 이러한 정보가 출원에 이미 기록된 정보와

겹치지 않고, (1) 단독으로나 기타 정보와 결합하여 청구항의 비특허성에 관하여

명백한 사례가 되거나; (2) 출원인이 (i) 특허청이 하는 비특허성 주장에 반대하거나

(ii) 특허성 주장을 옹호할 때 취하는 입장을 논박하거나 이러한 입장과 일치하지 않는

경우, 동 정보는 특허성에 있어서 중요하다. 특허를 받을 수 없는 명백한 경우는,

제출된 정보로 청구범위가 증거의 우월성, 입증표준의 부담, 각 청구범위에 있는

각각의 용어가 명세서에 부합하는 가장 넓고 합리적인 설명을 제공한다는 결론을

도출하는데 있어 충분한 근거가 될 때 확정된다.

- 15 -


(23 November 2006)

The information disclosure statement must include:(1) a listing (preferably on Form PTO/SB/08, see Annex US.VIII) of patents,

applications, publications or other information. US patents and US patent applications must belisted in a section separately from citation from other documents. Each page of the listing mustinclude:

(i) the application number of the application in which the information disclosurestatement is being submitted,

(ii) a column that provides a space, next to each document to be considered, for theexaminer’s initials,

(iii) a heading that clearly indicates that the list is an information disclosurestatement;

(2) a copy of each listed item except for US patents and US patent applicationpublications;

(3) for each item listed which is not in the English language, a concise explanation ofits relevance.Applicants may also file an information disclosure statement via the Office’s electronic filingsystem (EFS) by (1) entering the references’ citation information in a fillable electronic formequivalent to the revised Form PTO/SB/08/A by using EFS software; and (2) transmitting thefillable electronic form data to the Office via EFS. This electronic EFS form currently allowsonly citation for US patents and US patent application publications. If any reference to aninternational application, foreign patent documents, non-patent literature documents orunpublished US applications are to be cited, then applicants must continue to submit thosecitations on a separate conventional Form PTO/SB/08 (or equivalent form) with a printed copyof each cited international application, foreign patent document, non-patent literature documentand unpublished US application.Note, however, that the examiner will consider the documents cited in the international searchreport in a PCT national stage application when the Form PCT/DO/EO/903 (which is sent tonotify the applicant after he has entered the national phase of the acceptance of the internationalapplication under 35 USC 371) indicates that both the international search report and the copiesof the prior art documents are present in the national stage file. In such a case, the examiner willconsider the documents from the international search report and indicate by a statement in thefirst Office action that the information has been considered. There is no requirement that theexaminer list the documents on a Notice of References Cited (Form PTO-892). In order to havethese prior art documents printed on any resulting patent, the applicant must provide a separatelisting (preferably on Form PTO/SB/08). If Form PCT/DO/EO/903 does not indicate that boththe international search report and copies of the prior art documents are present in the nationalstage file, the applicant must follow the procedures set forth in 37 CFR 1.97 and 1.98(concerning the filing and content of information disclosure statements), as outlined above, inorder to ensure that the examiner considers the documents cited in the international searchreport.A translation into English of the pertinent portions in a non-English language document must betransmitted if an existing translation is readily available to the applicant. Any additionalinformation material to the claimed invention which becomes available after the transmittal ofthe statement should, within three months of its availability, be submitted by a supplementalinformation disclosure statement. Failure to disclose completely any pertinent information mayresult in any resulting US patent based on the application being unenforceable. A fee isgenerally required if an information disclosure statement is submitted more than three monthsafter entry to the national stage and after a first Office action is mailed, but before a final Officeaction or a notice of allowance is issued. After a final Office action or a notice of allowance hasbeen issued, a fee, as well as an appropriate statement under 37 CFR 1.97(e), will be required tohave an information disclosure statement considered.

PCT Art. 28 US.19 AMENDMENT OF THE APPLICATION; TIME LIMITS. The applicant maymake the following amendments (for manner of making amendments, see Annex US.V),provided no new matter is introduced in the disclosure of the invention:

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정보공개서는 아래의 내용을 포함해야 한다.

(1) 특허, 출원, 간행물 및 기타 정보에 관한 목록(가급적 PTO/SB/08 서식으로

작성. 부록 US.Ⅷ 참고). 미국 특허와 미국 특허출원은 다른 문헌의 인용과는

별도의 부분에 기재해야 한다. 목록의 각 페이지는 아래와 같은 내용을

포함해야 한다.

(i) 정보공개서에서 제공되는 출원의 출원번호,

(ii) 각 심의할 문헌 옆에 심사관 이니셜을 기재할 공란,

(iii) 정보공개서라는 것을 명백히 나타내는 제목;

(2) 미국 특허와 미국 특허출원 간행물을 제외한 기재된 각 항목의 사본;

(3) 영어로 기재되지 아니한 각 항목에 대한 그 관련성에 관한 간략한 설명.

출원인은 (1) EFS 소프트웨어를 통해 개정된 PTO/SB/08/A 서식에 해당하는 (작성가능한)

전자적 서식에 참조의 인용 정보를 입력하고, (2) EFS를 통해 (작성가능한) 전자적 서식

데이터를 특허청에 전송함으로써 특허청의 전자적출원시스템(EFS)을 통해 정보공개서를

제출할 수도 있다. 이러한 전자적 EFS 서식은 현재 미국 특허와 미국 특허출원

간행물의 인용에 대해서만 사용 가능하다. 국제출원이나 외국 특허문헌, 비특허문헌,

미공개된 미국 출원에 대해 인용하는 경우, 출원인은 각 인용된 국제출원과 외국

특허문헌, 비특허문헌, 미공개된 미국 출원의 인쇄 사본과 함께 별도의 재래식

PTO/SB/08 서식(혹은 이에 상당하는 서식)에 이러한 인용사항을 기재하여 제출해야

한다.

단, PCT/DO/EO/903 서식(출원인이 국내단계 진입 이후 35 USC 371에 따른

국제출원의 수리를 통보하기 위해 발송되는)에서 국제조사보고서와 선행기술 문헌이

국내단계에 존재한다고 표시하는 경우, 심사관은 PCT 국내단계출원에서 국제조사보고서에서

인용된 문헌을 심의해야 한다. 이 경우, 심사관은 국제조사보고서의 문헌을 심의하고 최초

특허청통지에서 해당 정보를 심의하였음을 표시해야 한다. 심사관이 인용참조통지서(PTO-

892 서식)에 문헌을 기재해야 할 의무는 없다. 심사가 끝난 특허에 대하여 관련

선행기술 문헌이 인쇄될 수 있도록 하기 위해서는 출원인이 별도 목록을 (가급적

PTO/SB/08 서식에 작성하여) 제출해야 한다. PCT/DO/EO/903 서식에서

국제조사보고서와 선행기술 문헌이 국내단계에 존재한다고 표시하지 않는 경우,

출원인은 국제조사보고서에 인용된 문헌이 심사관의 심의를 받도록 하기 위해 위에서

설명한 대로 37 CFR 1.97과 1.98(정보공개서 제출과 내용에 관한 규정)에 명시된

절차를 준수해야 한다.

출원인이 번역문을 구할 수 있다면 비영어 문헌의 관련 부분에 해당하는 영어

번역문을 송부해야 한다. 정보공개서 송부 이후 입수된 청구된 발명에 중요한 추가

정보는 정보 입수 이후 3개월 내에 보조 정보공개서로 제출해야 한다. 관련 정보를

전부 공개하지 않을 경우 출원에 기초하여 취득되는 미국 특허를 실시할 수 없는

결과를 초래할 수 있다. 국내단계 진입 3개월 이후와 최초 특허청통지서가 발송된

이후, 그러나 최종 특허청통지서나 등록결정통지서가 발행되기 전에 정보공개서를

제출하는 경우에는 일반적으로 수수료를 납부해야 한다. 최종 특허청통지서 또는

등록결정통지서를 발행한 후에 정보공개서의 심의를 받기 위해서는 수수료뿐만 아니라

37 CFR 1.97(e)에 따른 적절한 진술서가 필요하다.

PCT Art. 28 US.19 출원의 보정; 기한. 발명의 공개에 신규사항이 제출되지 않는 조건으로

출원인은 아래와 같이 출원을 보정할 수 있다(보정 방식에 대해서는 부록 US.V 참고):

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(23 November 2006)

35 USC 13337 CFR 1.111

to 1.127

(i) before the final decision of the USPTO to grant or to reject the patent, theapplicant may file amendments to the description, claims and drawing(s) of his own volition orwhen specifically required by the examiner;

37 CFR 1.116 (ii) after the final decision, amendments may be made only by cancelling claims orcomplying with any requirement of form which has been made by the examiner, or bypresenting rejected claims in better form for reconsideration on appeal.

37 CFR 1.18 US.20 FEE FOR GRANT. A patent issue fee and any required publication fee must be paidwithin a nonextendable period of three months after the mailing of a written notice of allowance.The amount of the said fee is indicated in Annex US.I.

37 CFR 1.20 US.21 MAINTENANCE FEES. After a patent has been issued, a fee must be paid formaintaining the patent in force beyond four years after grant. The first such fee is due by threeyears and six months after issue of the patent. Where the applicant failed to pay within that timelimit, he may receive an invitation to pay from the USPTO. Lack of receipt of such an invitationwill not be accepted as an excuse for non-payment of the maintenance fee. Payment can thenstill be made together with a surcharge within the six months following the due date. Theamount of the maintenance fees, of the surcharge, and their due dates are indicated inAnnex US.I. Payment of maintenance fees is only required for patents issuing on internationalapplications filed on or after December 12, 1980.

35 USC 363 102(e)

US.22 PRIOR ART EFFECT. Patents issued directly, or indirectly from internationalapplications filed before 29 November 2000 may only be used as prior art based on theprovision of 35 USC 102(e) in effect before 29 November 2000. Thus, the date of such prior artpatent is the earliest of the date the applicant submitted the requirements of35 USC 371(c)(1), (c)(2) and (c)(4) (i.e., basic national fee, copy of the internationalapplication, translation of the international application and the oath or declaration of theinventor) or the filing date of the later-filed US continuing application that claimed the benefitof the international application. Publications of international applications filed before29 November 2000 do not get a 35 USC 102(e) date at all.Patents and publications of international applications filed on or after 29 November 2000 whichdesignated the United States and published in English under PCT Article 21(2) will have a priorart date as of the international filing date of the international applications (or earlier relied uponUS filing date). If the international application did not designate the US, a patent may not claimbenefit to the international application under 35 USC 120. If the international applicationpublished in a language other than English, the patent or publication is not entitled to a35 USC 102(e) date. In the latter two situations, the publication of the international applicationunder the Treaty may be used as prior art as the international publication date under35 USC 102(a) or (b).

US.23 The prior art effect of a patent issued directly, or indirectly from an internationalapplication and/or published application is not to be confused with the effects of an internationalapplication or of a patent issued directly, or indirectly from an international application and/orpublished application for other purposes and the operative dates of those effects. For example,the international filing date or, where the priority of an earlier application was validly claimed,the filing date of the earlier application may be used in the following situations (by no meansexhaustive listing):

(i) in determining whether a patent will be granted for the subject matter claimed inthe international application,

35 USC 251 (ii) in determining, in respect of a reissue application, whether a reissue patent will begranted to the proprietor of a US/PCT patent for subject matter disclosed but not claimed in theUS/PCT patent,

(iii) in determining, in interference proceedings, the priority of a US/PCT patent.

PCT Art. 23(2)35 USC 371(f)

US.24 EARLY START OF NATIONAL PHASE BEFORE THE USPTO. If theapplicant desires the examination by the USPTO of his application to start earlier than theexpiration of the time limit applicable under PCT Article 22 or 39(l), he must file in writing anexpress request therefor and submit the basic national fee, a copy of the international

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35 USC 133 37 CFR 1.111

to 1.127

(i) USPTO의 특허부여 또는 거절의 최종 결정 이전에, 출원인은 자진하여

또는 심사관의 구체적인 요구에 의해 명세서와 청구범위, 도면의 보정서를

제출할 수 있다.

37 CFR 1.116 (ii) 최종 결정 이후에는 청구항을 취소하거나 심사관이 작성한 서식의 요건을

따르는 경우, 또는 재심을 위한 소송를 통해 거절된 청구항을 개선하여

제출하는 경우에만 출원을 보정할 수 있다.

37 CFR 1.18 US.20 설정료. 특허발행료와 이에 따른 공개료는 등록결정통지서의 발송일 이후

연장이 불가능한 3개월 내에 납부해야 한다. 전술한 수수료 액수는 부록 US.I에

기재되어 있다.

37 CFR 1.20 US.21 등록유지료. 특허를 발행한 후, 설정일로부터 4년간 특허의 효력을 유지하기

위해 수수료를 납부해야 한다. 일차 수수료의 납기는 특허발행 후 3년 6개월까지이다.

출원인이 해당 기한 내에 납부하지 않으면, USPTO의 납부 통지서를 받게 될 수도

있다. 통지서를 수령하지 않았다고 해서 등록유지료 미납의 변명 사유가 될 수 없다.

납기일 이후 6개월 이내에는 가산료와 함께 수수료를 납부할 수 있다. 등록유지료와

가산료, 납기일은 부록 US.I에 기재되어 있다. 등록유지료 납부는 1980년 12월 12일

이후 출원된 국제출원에 의한 특허발급에만 필요하다.

35 USC 363 102(e)

35 USC 251

US.22 선행기술 효과. 2000년 11월 29일 이전에 출원된 국제출원에서 직간접적으로

발급된 특허는 (2000년 11월 29일 이전에 유효한) 35 USC 102(e)의 규정에 의거한

선행기술로만 사용될 수 있다. 따라서 이러한 선행기술 특허의 일자는 출원인이 35

USC 371(c)(1), (c)(2) 및 (c)(4)의 요건(즉, 기본 국내수수료, 국제출원 사본, 국제출원

번역문, 발명자의 서약서나 선언서)을 제출한 날이나 국제출원의 이익을 주장하는

후출원된 미국 계속출원의 출원일 가운데 가장 이른 날로 한다. 2000년 11월 29일

이전에 출원된 국제출원 간행물은 35 USC 102(e)에 의한 일자를 얻지 못한다.

미국을 지정하고 PCT 제21조(2)에 따라 영어로 공개되었으며, 2000년 11월 29일

이후 출원된 특허와 국제출원 간행물은 국제출원의 국제출원일(또는 그 이전에

인정받는 미국 출원일)을 기준으로 선행기술일을 갖는다. 국제출원이 미국을 지정하지

않았을 경우, 특허는 35 USC 120에 따라 국제출원의 이익을 주장할 수 없다.

국제출원이 영어로 공개되지 않았을 경우, 특허나 간행물은 35 USC 102(e) 일자를

부여받지 못한다. 후자의 두 가지 상황에서는 35 USC 102(a) 또는 (b)에 따른

국제공개일로 조약에 따른 국제출원 공보를 선행기술로 사용할 수 있다.

US.23 국제출원이나 공개된 출원에서 직간접적으로 발행된 특허의 선행기술의 효과는

국제출원의 효과 또는 다른 목적을 위한 국제출원이나 공개된 출원에서 직간접적으로

발행되는 특허의 국제출원의 효과 그리고 해당 효력의 유효일과 혼동되어서는 안

된다. 선출원의 우선권이 타당하게 주장된 경우, 국제출원일이나 선출원의 출원일을

다음과 같은 상황에 사용할 수 있다(단, 이에 국한하지 않는다):

(i) 국제출원에서 주장하는 주제에 관해 특허여부를 결정할 때,

(ii) 재발행 출원과 관련하여 US/PCT 특허에서 공개되었으나 주장되지 않았던

주제에 대해 US/PCT 권리자에게 재발행특허를 부여할 것인지 결정할 때,

(iii) 특허저촉절차에서 US/PCT 특허의 우선권을 결정할 때.

PCT Art. 23(2) 35 USC 371(f)

US.24 USPTO에 대한 국내단계의 조기 개시. 출원인이 PCT 제22조나 제39조(1)에

규정된 기한이 만료되기 이전에 개시하기 위해 USPTO의 출원 심사를 원하는 경우,

출원인은 명시적인 청구를 서면으로 제출하고, 기본 국내수수료, 국제출원 사본,

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(23 November 2006)

application, a translation of the international application (if required) and an oath or declarationof the inventor. The express request may be accomplished, for example, by checking theappropriate box on the suggested transmittal letter referred to in paragraph US.03 andreproduced in Annex US.III.

35 USC 111 120 365(c) 371(c)

37 CFR 1.76 1.78(a) 1.495(h)

US.25 CONTINUATION OR CONTINUATION-IN-PART. The applicant may—insteadof performing the acts for entering the national phase—file a continuation or continuation-in-part application (hereinafter referred to as “the continuing application”), provided theinternational application designates the United States and is not (considered) withdrawn orabandoned at the time of filing the continuing application. An international application isconsidered abandoned after the expiration of the time limit applicable under PCT Article 22or 39(l), which is 30 months after the priority date, if a copy of the international application andthe basic national fee have not been received in the USPTO within the applicable time limit.When the basic national fee has been paid and a copy of the international application has beencommunicated by the International Bureau within the time limit applicable under PCTArticle 22 or 39(l), but no proper English translation, or oath or declaration has been received, anotice will be sent to the applicant to furnish a proper translation and/or an oath or declaration ofthe inventor which complies with 37 CFR 1.497(a) and (b). If the applicant does not properlyrespond to the notice within the period set by the USPTO, the international application willbecome abandoned. Basically, the normal procedure for filing continuing applications applies.The applicant must claim the benefit of the international filing date of the internationalapplication designating the United States of America. The first sentence of the descriptionfollowing the title must contain a reference to the international application, identifying it by theinternational application number and the international filing date, and indicate the relationship ofthe applications, unless such information has been included in an application data sheet (the useof an application data sheet is optional). This reference to the international application must besubmitted during the pendency of the continuing application, and within the later of four monthsfrom the actual filing date of the continuing application or sixteen months from the filing date ofthe international application. This time period is not extendable. The USPTO may require thefiling of a certified copy of the international application together with a translation thereof intoEnglish where it was filed in another language. The continuing application may be filed in alanguage other than English, provided a translation into English is furnished together with asurcharge (see Annex US.I) within the time limit fixed by the USPTO in an invitation. Where,at the time of filing the continuing application, the basic filing fee has not been paid or the oathor declaration of the inventor has not been furnished, the requirement may still be complied withagainst payment of a surcharge within the time limit fixed by the USPTO in an invitation. Useof the transmittal letter reproduced in Annex US.III is not appropriate for the filing of acontinuing application.

PCT Art. 25PCT Rule 5135 USC 36737 CFR 1.182

US.26 REVIEW UNDER ARTICLE 25 OF THE PCT. The applicable procedure isoutlined in paragraphs 63 to 66 of the General Part of this Volume. If, upon review under PCTArticle 25, the USPTO finds no error or omission on the part of the receiving Office or theInternational Bureau, a petition may be taken to the Commissioner of the USPTO, which mustcontain a statement of the facts involved and the point or points to be reviewed and the actionrequested. The fee for petition indicated in Annex US.I must be paid at the same time. Anysuch petition not filed within two months from the action complained of may be dismissed asuntimely.

PCT Art. 48(2)PCT Rule 82bis37 CFR 1.137

US.27 EXCUSE OF DELAYS IN MEETING TIME LIMITS. An application abandonedfor failure to comply with a time limit during the international phase or for failure to prosecutewithin a statutory time period before the USPTO, may be revived as a pending application if it isshown to the satisfaction of the USPTO that the delay was unavoidable or unintentional. Anypetition to revive an abandoned application must be filed in writing and accompanied by apetition fee, the amount of which is indicated in Annex US.I, by a proper response to the failedaction unless such response has been previously submitted and, where the delay wasunavoidable, by an explanation of the causes of the delay. An explanation must be in the formof a written and signed statement by the applicant and/or any other third person involved in thecauses of the delay.

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국제출원 번역문(필요한 경우에 한함), 발명자의 서약서나 선언서를 제출해야 한다.

예를 들면, 명시적인 청구는 US.03절에 언급되고 부록 US.Ⅲ에서 제공된 송달장의

해당 박스를 체크하여 달성할 수 있다.

35 USC 111

120 365(c) 371(c)

37 CFR 1.76 1.78(a)

1.495(h)

US.25 계속 또는 일부계속. 출원인은 국내단계진입을 위한 행위를 이행하는 대신

계속출원이나 일부계속출원(이하 “계속출원”)을 제출할 수 있다. 단, 국제출원은

미국을 지정해야 하며, 계속출원 시 취하되거나 포기(한 것으로 간주)되지 말아야

한다. 국제출원 사본이나 기본 국내수수료를 해당 기한 내에 USPTO에 제출하지 않을

경우, PCT 제22조나 제39조(1)에 규정된 기한(우선일 이후 30개월)이 만료된 이후

국제출원은 포기한 것으로 간주된다. 기본 국내수수료를 납부하였고 PCT 제22조나

제39조(1)에 규정된 기한 내에 국제사무국이 국제출원 사본을 송달하였으나, 적절한

영어 번역문이나 서약서 또는 선언서가 접수되지 않은 경우, 적절한 번역문과 37 CFR

1.497(a) 및 (b)에 부합하는 서약서 또는 선언서 제출을 명하는 통지서를 출원인에게

발송한다. 출원인이 USPTO가 정한 기한 내에 해당 통지서에 적절히 대응하지 않는

경우, 국제출원은 포기하는 것으로 취급된다. 기본적으로 계속출원에는 정규 절차를

적용한다. 출원인은 미국을 지정하는 국제출원의 국제출원일의 이익을 주장해야 한다.

발명의 명칭 뒤에 오는 명세서의 첫 번째 문장에는 국제출원번호와 국제출원일로

식별되는 국제출원에 대한 언급이 들어 있어야 하며 출원의 관계를 표시해야 한다. 단,

출원 데이터 시트에 해당 정보가 포함된 경우에는 예외로 한다(출원 데이터 시트의

사용은 선택 사항이다). 이러한 국제출원에 대한 언급은 계속출원 진행 중에, 실제

계속출원 출원일부터 4개월이나 국제출원 출원일부터 16개월 가운데 더 늦은 기한

이내에 제출해야 한다. 기간은 연장할 수 없다. USPTO는 국제출원 등본과 함께 다른

언어로 출원된 국제출원의 영어 번역문의 제출을 요구할 수 있다. 계속출원은 영어

이외의 언어로 출원할 수 있다. 단, USPTO가 통지서에서 정한 기한 내에 가산료(부록

US.I 참고)와 함께 영어 번역문을 제출해야 한다. 계속출원 시 기본 출원료를

납부하지 않았거나 발명자의 서약서나 선언서를 제출하지 않았을 경우, USPTO가

통지서에서 정한 기한 내에 가산료를 납부해야 하는 요건을 준수해야 한다. 부록

US.Ⅲ에 제공된 송달장의 사용은 계속출원에 적합하지 않다.

PCT Art. 25 PCT Rule 51 35 USC 367 37 CFR 1.182

US.26 PCT 제25조에 따른 검사. 해당 절차는 본 권 총칙 제63절부터 제66절에

설명되어 있다. PCT 제25조에 따른 검사 결과 USPTO가 수리관청이나 국제사무국

측의 착오나 누락을 찾지 못하는 경우, USPTO 청장에게 청원이 회부될 수 있으며,

여기에는 관련 사실의 설명서와 검사 대상이 될 요점(들), 요구 조치가 포함되어야

한다. 부록 US.I에 기재된 청원수수료는 동시에 납부되어야 한다. 고발 조치 이후

2개월 내에 청원을 제출하지 않으면 기한 초과로 기각된다.

PCT Art. 48(2) PCT Rule 82bis 37 CFR 1.137

US.27 준수되지 아니한 기한의 용인. 국제 단계에서 기한을 준수하지 않았거나 법정

기간 내에 USPTO에 절차를 진행하지 못하여 포기된 출원은 지체 사유가

불가피하거나 의도치 않은 것이라고 USPTO가 납득하는 경우 진행중인 출원으로

회복될 수 있다. 포기된 출원의 회복을 위한 청원은 서면으로 제출하고 (부록 US.I에

기재된 액수의) 청원수수료, 불이행 조치에 대한 적절한 답변서 (제출하지 않았거나

지체가 불가피 했을 경우를 제외하고는), 지체 사유의 설명서를 동봉하여 제출해야

한다. 설명서는 출원인 또는 지체 사유에 연루된 기타 제3자가 기록하고 서명한

진술서 형태로 작성해야 한다.

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(23 November 2006)

US.28 The United States rules provide for two distinct procedures to extend the period foraction or response in particular situations (the procedure which is available for use in aparticular situation will depend upon the circumstances):

37 CFR 1.136 (i) 37 CFR 1.136(a) permits an applicant, against payment of an extension fee (seeAnnex US.I), to file a petition for extension of time up to five months after the end of the timeperiod set to take action except (1) where excluded, (2) in interference proceedings, (3) wherethe applicant has been notified otherwise in an Office action or (4) where no further time isavailable under a set statutory period. The petition and fee can be filed prior to or with or afterthe response but the fee must be paid within the time extended. The filing of the petition and feewill extend the time period to take action up to five months dependent on the amount of the feepaid except in those circumstances noted above. The time limit to furnish the basic national feeand a copy of the international application under 37 CFR 1.495 may not be extended.

(ii) After entry into the national phase, 37 CFR 1.136(b) provides for petitions forextensions of time of shortened statutory or non-statutory time periods upon a showing ofsufficient cause when the procedure of 37 CFR 1.136(a) is not available and if additional time isstill available under a shortened statutory period or if no statutory period applies.Although the petition and fee procedure of 37 CFR 1.136(a) will normally be available withinfive months after a set period for response has expired, an extension request for cause under37 CFR 1.136(b) must be filed during the set period for response. The amount of the petitionfee is indicated in Annex US.I.

37 CFR 3.21 3.28 3.31

US.29 RECORDING OF ASSIGNMENT DOCUMENTS. The USPTO will recordassignments relating to international patent applications which designate the United States. Theassignment must identify the application by the international application number. Eachdocument submitted for recording must be accompanied by a cover sheet referring to theinternational application. A sample recordation form cover sheet is contained in Annex US.VII.Each cover sheet must contain:

1) the name of the party conveying the interest;2) the name and address of the party receiving the interest;3) a description of the interest conveyed or transaction to be recorded;4) the application number;5) the name and address of the party to whom correspondence concerning the request

to record the document should be mailed;6) the number of applications, patents or registrations identified in the cover sheet and

the total fee;7) the date the document was executed;8) a statement by the party submitting the document that to the best of the person’s

knowledge and belief, the information contained on the cover sheet is true and correct and anycopy submitted is a true copy of the original document; and

9) the signature of the party submitting the document.

37 CFR 1.211 1.213 1.221

US.30 PUBLICATION OF APPLICATIONS. Effective for applications filed on or after29 November 2000 or in applications for which applicants request voluntary publication. Eachinternational application in compliance with 35 USC 371 and continuing application (seeparagraph US.25) from an international application will be published promptly after theexpiration of eighteen months from the earliest filing date for which a benefit is sought, unlessthe application (1) is no longer pending; (2) subject to national security provisions; (3) hasissued as a patent; or (4) was filed with a nonpublication request in compliance with37 CFR 1.213(a). (A nonpublication request may not be filed if the international applicationdesignated any States in addition to or other than the United States of America.) Thepublication fee (see Annex US.I) must be paid before the patent will be granted. If theapplication is not published under this section, the publication fee (if paid) will be refunded.

35 USC 154(d)37 CFR 1.417

US.31 PROVISIONAL RIGHTS. Effective November 29, 2000, 35 USC 154(d) providesfor provisional rights based on international applications. A patent will include the right toobtain a reasonable royalty from any person who partakes of any of the actions listed in

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US.28 미국 규칙에서는 특정 상황에서의 조치나 답변을 위해 기한을 연장할 수 있는

별도의 두 절차들을 규정하고 있다(특정 상황에서 사용할 수 있는 절차는 상황별로

다르다): 37 CFR 1.136 (i) (1) 배제되거나, (2) 특허저촉절차 중, (3) 특허청통지서에서 출원인에게 별도로

통보하였거나, (4) 정해진 법정기한에 따라 추가 시간을 사용할 수 없는 경우를

제외하고, 37 CFR 1.136(a)는 출원인이 연장수수료(부록 US.I 참고)를

납부하며 (조치를 취하도록 정해진 기간이 종료된 후 최장 5개월까지 기한을

연장하기 위한) 청원서를 제출하는 것을 가능케 한다. 청원서와 수수료는 답변

전후로 제출할 수 있으나, 수수료는 연장된 기한 내에 납부해야 한다. 상기의

상황들을 제외하고 청원서 및 수수료 제출은 납부된 수수료의 액수에 따라

최장 5개월까지 기간을 연장한다. 37 CFR 1.495에 따른 기본 국내수수료와

국제출원 사본 제출 기한은 연장할 수 없다.

(ii) 국내단계 진입 이후, 37 CFR 1.136(a)의 절차를 적용할 수 없는 충분한 사유가

입증되거나 단축된 법정기한에 따른 추가 시간을 사용할 수 있거나 법정기한이

적용되지 않는 경우, 37 CFR 1.136(b)는 단축된 법정기간 또는 비법정기간의

연장을 위한 청원을 규정하고 있다.

37 CFR 1.136(a)의 청원 및 수수료 절차는 정해진 답변 기한이 만료된 후 5개월 내에

정상적으로 사용가능하지만, 37 CFR 1.136(b)에 의한 연장 신청은 정해진 답변 기간

동안에 제출해야 한다. 청원수수료 액수는 부록 US.I에 기재되어 있다.

37 CFR 3.21 3.28 3.31

US.29 양도서류의 기록. USPTO는 미국을 지정하는 국제특허출원에 관한 양도를

기록한다. 양도는 국제출원번호를 기재하여 출원을 확인해야 한다. 기록을 위해

제출되는 각 서류는 국제출원에 관해 언급한 커버시트를 동봉해야 한다. 등록서류

커버시크 샘플은 부록 US.Ⅶ에 포함되어 있다. 각 커버시트는 다음과 같은 내용을

담아야 한다.

1) 이익을 양도하는 당사자의 성명;

2) 이익을 양수하는 당사자의 성명과 주소;

3) 양도된 이익 또는 기록될 거래에 대한 설명;

4) 출원번호;

5) 서류 기록신청에 관한 통신문이 발송될 당사자의 성명과 주소;

6) 커버시트에 표시된 출원, 특허 또는 등록의 수 및 수수료 총액;

7) 서류가 작성된 날짜;

8) 제출 당사자가 알고 확신하는 커버시트에 포함된 정보는 사실이고 정확하며

제출한 사본은 원본과 동일한 사본임을 명시하는 설명서;

9) 서류를 제출하는 당사자의 서명.

37 CFR 1.211

1.213 1.221

US.30 출원 공개. 출원일이 2000년 11월 29일 이후인 출원 또는 출원인이 자발적인

공개를 신청하는 출원에 대해 유효하다. 35 USC 371에 따른 국제출원과 국제출원의

계속출원(US.25절 참고)은 이익을 구하는 최초 출원일로부터 18개월이 만료하는 즉시

공개한다. 단, 출원이 (1) 더 이상 진행 중이지 않거나; (2) 국가안보규정의 적용을

받거나; (3) 특허로 발행되었거나; (4) 37 CFR 1.213(a)에 따라 비공개 신청서와 함께

출원된 경우에는 예외로 한다. (국제출원이 미국이외의 지정국이 있는 경우 비공개

신청서를 제출할 수 없다.) 특허가 설정되기 전에 공개료(부록 US.I 참고)를 납부해야

한다. 본 조항에 따라 출원을 공개하지 않는다면, (기납부된) 공개료를 반환해야 한다.

35 USC 154(d) 37 CFR 1.417

US.31 잠정적 권리. 2000년 11월 29일부터 35 USC 154(d)는 국제출원에 기초한

잠정적 권리를 규정하고 있다. 영어로 국제공개되고 미국을 지정국으로 하는

국제출원의 경우 PCT 제21조(2)(a)에 의한 공개일부터 특허부여일까지, 영어 이외의

- 23 -


(23 November 2006)

35 USC 154(d)(1) during the period commencing on the date of the publication under PCTArticle 21(2)(a) of the international application designating the United States of America, if thepublication is in English, or if the publication is in a language other than English, on the date theUSPTO receives a translation of the publication in the English language, and ending on the datethe patent is issued. The submission of the international publication or an English languagetranslation of the international application pursuant to 35 USC 154(d)(4) must clearly identifythe international application to which it pertains (37 CFR 1.5(a)) and, unless it is beingsubmitted pursuant to 37 CFR 1.495, be clearly identified as a submission pursuant to35 USC 154(d)(4). Otherwise, the submission will be treated as a filing under 35 USC 111(a).Such submissions should be marked “Mail Stop PCT.”

- 24 -


언어로 국제공개되고 미국을 지정국으로 하는 국제출원의 경우 USPTO가 영어로 된

국제출원 번역문을 수령한 날로부터 특허부여일까지, 특허는 35 USC 154(d)(1)에

기재된 활동에 참가하는 자로부터 합리적 로열티를 받을 권리를 갖는다. 35 USC

154(d)(4)에 의거한 국제공보나 국제출원 영어 번역문 제출을 통해 (37 CFR 1.5(a))와

관계된 국제출원임을 명확히 밝혀야 하며, 37 CFR 1.495에 의거하여 제출하는 경우가

아니라면, 35 USC 154(d)(4)에 의거한 제출물로 명확히 표시되어야 한다. 그렇지 않을

경우, 제출물은 35 USC 111(a)에 따른 제출물로 취급된다. 이러한 제출물은 “Mail

Stop PCT ”로 표기되어야 한다.

- 25 -

USPCT Applicant’s Guide – National Phase – National Chapter – US Annex US.I, page 1

(4 October 2007)

FEES1

(Currency: US dollar)

National fee2

Basic national fee (37 CFR 1.492(a)) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 310 (155)3

Search fee (37 CFR 1.492(b)):— IPER prepared by the IPEA/US or the written opinion was prepared by the ISA/US,

all claims presented satisfied provisions of PCT Article 33(1) to (4) . . . . . . . . . . . . . . . . 0 (0)3

— International search fee paid to the USPTO as ISA . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100 (50)3

— Search report has been prepared by an ISA other than the US and is provided or hasbeen previously communicated by the IB to the USPTO . . . . . . . . . . . . . . . . . . . . . . . . 410 (205)3

— All other situations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 510 (255)3

Examination fee (37 CFR 1.492(c)):— IPER prepared by the IPEA/US or the written opinion was prepared by the ISA/US,

all claims presented satisfied provisions of PCT Article 33(1) to (4) . . . . . . . . . . . . . . . . 0 (0)3

— All other situations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 210 (105)3

For every 50 sheets or fraction thereof of the specification and drawings that exceeds100 sheets (excluding any sequence listing or computer program listing filed in anelectronic medium) (37 CFR 1.492(j)). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 260 (130)3

Additional claims fee, where there are more than three claims in independent form, foreach independent claim in excess of 3 (37 CFR 1.492(d)) . . . . . . . . . . . . . . . . . . . . . . . . . . . . 210 (105)3

Additional claims fee, where there are more than 20 claims (whether in independentor dependent form), for each claim in excess of 20 (37 CFR 1.492(e)) . . . . . . . . . . . . . . . . . . . 50 (25)3

A multiple dependent claim fee, where the application contains one or more multipledependent claim(s), per application (37 CFR 1.492(f)) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 370 (185)3

In computing the claims fee, a multiple dependent claim is to be treated as if it were thesame number of separate claims as the number of claims on which it depends; the sameapplies to any claim depending from a multiple dependent claim (e.g., a claim dependingon three claims requires a fee of three dependent claims).Surcharge for filing any of the search fee, the examination fee, or the oath or declaration afterthe date of commencement of the national stage (37 CFR 1.492(h)) . . . . . . . . . . . . . . . . . . . . . 130 (65)3

Processing fee for filing English translation of an international application after the time limitapplicable under PCT Article 22 or 39(1) (37 CFR 1.492(i)) . . . . . . . . . . . . . . . . . . . . . . . . . . 130

Reductions of the national feeReductions of the national fee are indicated under the national fees listed above.

1 The amounts of these fees change periodically. The United States Patent and Trademark Office or the Official Gazette of the

United States Patent and Trademark Office—Patents available at: www.uspto.gov/web/offices/com/sol/og/index.html should beconsulted for the applicable amounts.

2 A national fee calculation sheet appears in Annex US.III.3 The amount in parentheses is applicable in case of filing by a “small entity.” “Small entity” status can be established by a simple

written assertion of entitlement to “small entity” status, or by payment of the exact amount of the “small entity” basic national feeas set forth in 37 CFR 1.492(a) (see 37 CFR 1.27, paragraph US.14 and Annex US.VI).

- 26 -


수수료1

(통화: 미 달러화)

국내수수료2

기본 국내수수료(37 CFR 1.492(a)) ············································································· 310 (155)3

조사료(37 CFR 1.492(b)):

- IPEA/US에 의해 작성된 IPER이나 ISA/US에 의해 작성된 견해서,

제출된 모든 청구항은 PCT 제33조(1)부터 (4)의 규정에 부합한다 ··························· 0 (0)3

- ISA로서의 USPTO에 납부하는 국제조사료 ···························································· 100 (50)3

- 조사보고서는 미국 이외의 ISA에서 작성하였으며, IB에 의하여 USPTO에

제공하거나 사전에 송달되었다 ············································································· 410 (205)3

- 기타 상황 ·········································································································· 510 (255)3

심사료(37 CFR 1.492(c)):

- IPEA/US에 의해 작성된 IPER이나 ISA/US에 의해 작성된 견해서,

제출된 모든 청구항은 PCT 제33조(1)부터 (4)의 규정에 부합한다 ···························· 0 (0)3

- 기타 상황 ·········································································································· 210 (105)3

100장을 넘는 명세서 및 도면의 매50장 마다(전자적 매체로

제출되는 서열목록이나 컴퓨터 프로그램 목록은 제외)(37 CFR 1.492(j))·························· 260 (130)3

추가청구항수수료. 독립적인 형태로 3항 이상의 청구항이 있는 경우,

3항을 초과하는 독립항마다(37 CFR 1.492(d)) ···························································· 210 (105)3

추가청구항수수료. (독립적인 또는 비독립적인 형태로) 20항 이상의 청구항이 있는 경우,

20항을 초과하는 청구항마다(37 CFR 1.492(e)) ··························································· 50 (25)3

다중종속항수수료. 출원이 1항 이상의 다중종속항을 포함하는 경우,

출원건당(37 CFR 1.492(f)) ······················································································· 370 (185)3

청구항수수료를 계산할 때, 다중 종속항은 종속하는 청구항 수와 동일한 별도

청구할 수인 것처럼 취급한다; 이는 다중 종속항에 종속하는 청구항에도

적용된다.(예, 청구항 3개항에 종속하는 청구항은 종속항 3개항의 수수료를 납부해야 한다).

국내단계 개시일 이후 조사료, 심사료 납부나 서약서 또는 선언서 제출에 대한

가산료(37 CFR 1.492(h)) ························································································· 130 (65)3

PCT 제22조나 제39조(1)에 규정된 기한이 만료된 후 영어 번역문 제출에

대한 진행료(37 CFR 1.492(i)) ·················································································· 130

국내수수료 감면

국내수수료 감면은 위에 기재된 국내수수료에 기재되어 있다.

1 수수료 액수는 정기적으로 변경된다. 해당 금액은 미국 특허상표청이나 미국 특허상표청 공보-Patents

www.uspto.gov/web/offices/com/sol/og/index.html 에서 확인할 수 있다.

2 국내수수료 계산 시트는 부록 US.Ⅲ에 표시된다.

3 괄호 안의 금액은 “소규모 사업자”의 출원에 적용될 수 있다. “소규모 사업자” 지위는 “소규모 사업자” 지위에 관한 간단한 서면

확인서나 37 CFR, 1.592(a)에 명시된 정확한 “소규모 사업자” 기본 국내수수료 납부로 확증될 수 있다(37 CFR 1.27과 부록 US.Ⅵ 참고).

- 27 -

USAnnex US.I, page 2 PCT Applicant’s Guide – National Phase – National Chapter – US

(4 October 2007)

Other feesPublication fee (37 CFR 1.18(d)) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 300

Patent issue fee (37 CFR 1.18(a)) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1,440 (720)4

Maintenance fees:5

— for maintaining patent in force beyond four years(due by three years and six months after grant) (37 CFR 1.20(e)) . . . . . . . . . . . . . . . . . . 930 (465)4

— for maintaining patent in force beyond eight years(due seven years and six months after grant) (37 CFR 1.20(f)) . . . . . . . . . . . . . . . . . . . . 2,360 (1,180)4

— for maintaining patent in force beyond 12 years(due by 11 years and six months after grant) (37 CFR 1.20(g)) . . . . . . . . . . . . . . . . . . . 3,910 (1,955)4

Patent application processing feesExtension fee for response pursuant to 37 CFR 1.136(a):— within first month (37 CFR 1.17(a)(1)) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 120 (60)4

— within second month (37 CFR 1.17(a)(2)) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 460 (230)4

— within third month (37 CFR 1.17(a)(3)) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1,050 (525)4

— within fourth month (37 CFR 1.17(a)(4)) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1,640 (820)4

–– within fifth month (37 CFR 1.17(a)(5)) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2,230 (1,115)4

Submission of information disclosure statement pursuant to 37 CFR 1.97(c) and (d) (1.17(p)) ... 180

For filing a petition to the CommissionerPetition fee:— for correction of inventorship (37 CFR 1.48) (37 CFR 1.17(i)) . . . . . . . . . . . . . . . . . . . 130— for filing an oath or declaration pursuant to 35 USC 371(c)(4) naming

an inventor different from the inventor set forth in the international stage(37 CFR 1.497(d)) (37 CFR 1.17(i)) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 130

— for filing by other than all inventors or a person who is not the inventor(37 CFR 1.47) (37 CFR 1.17(g)) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 200

— for decisions on questions not specifically provided for(37 CFR 1.182) (37 CFR 1.17(f)) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 400

— to suspend the rules (37 CFR 1.183) (37 CFR 1.17(f)) . . . . . . . . . . . . . . . . . . . . . . . . . . 400— for the revival of an unavoidably abandoned application under 37 CFR 1.137(a)

(37 CFR 1.17(l)) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 510 (255)4

— for revival of an unintentionally abandoned application under 37 CFR 1.137(b)(37 CFR 1.17(m)) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1,540 (770)4

— for entry of late priority documents (37 CFR 1.55) (37 CFR 1.17(i)) . . . . . . . . . . . . . . . 130— for unavoidably delayed payment of the issue fee under 35 USC 151

(37 CFR 1.17(l)) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 510 (255)4

— for unintentionally delayed payment of the issue fee under 35 USC 151(37 CFR 1.17(m)) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1,540 (770)4

How can payment of fees be effected?

All payments must be made in US dollars.

Any payment may be effected by:— cash payment (37 CFR 1.23)— United States Postal Service money order (37 CFR 1.23)— check (37 CFR 1.23)— USPTO deposit account (37 CFR 1.25)— credit card (37 CFR 1.23(b)).

4 See footnote 3.5 Maintenance fees are payable for international applications filed on or after 12 December 1980. Check the USPTO

Official Gazette of the United States Patent and Trademark Office—Patents available atwww.uspto.gov/web/offices/com/sol/og/index.html for current amounts of the maintenance fees at the time payment is due.

- 28 -


기타 수수료

공개료(37 CFR 1.18(d)) ···························································································· 300

특허발행료(37 CFR 1.18(a)) ······················································································ 1,440 (720)4

등록유지료:5

- 4년 이후 특허 유지를 위해

(설정 이후 3년 6개월까지 납부)(37 CFR 1.20(e)) ··················································· 930 (465)4


(설정 이후 7년 6개월까지 납부)(37 CFR 1.20(f))····················································· 2,360 (1,180)4


(설정 이후 11년 6개월까지 납부)(37 CFR 1.20(g)) ················································· 3,910 (1,955)4

특허출원 진행료

37 CFR 1.136(a)에 의거한 답변을 위한 연장수수료

- 첫번째 한달(37 CFR 1.17(a)(1)) ··········································································· 120 (60)4

- 두번째 한달(37 CFR 1.17(a)(2)) ··········································································· 460 (230)4

- 세번째 한달(37 CFR 1.17(a)(3)) ··········································································· 1,050 (525)4

- 네번째 한달(37 CFR 1.17(a)(4)) ··········································································· 1,640 (820)4

- 다섯번째 한달(37 CFR 1.17(a)(5)) ········································································ 2,230 (1,115)4

37 CFR 1.97(c) 및 (d) (1.17(p))에 의거한 정보공개서 제출 ········································· 180

청장에 대한 청원 제출

청원수수료:

- 발명자 지위의 정정(37 CFR 1.48)(37 CFR 1.17(i)) ················································· 130

- 국제 단계에서 명기한 발명자와 다른 발명자를 지명하는 35 USC 371(c)(4)에

의거한 서약서나 선언서 제출(37 CFR 1.497(d))(37 CFR 1.17(i)) ······························ 130

- 발명자 전원에 의한 제출이 아니거나 발명자가 아닌 자에 의한 제출인 경우

(37 CFR 1.47)(37 CFR 1.17(g)) ··········································································· 200

- 구체적인 규정이 없는 문제에 대한 결정(37 CFR 1.182)(37 CFR 1.17(f)) ·················· 400

- 규칙 중지(37 CFR 1.183)(37 CFR 1.17(f)) ···························································· 400

- 37 CFR 1.137(a)에 따라 불가피하게 포기된 출원의 회복

(37 CFR 1.17(l)) ································································································ 510 (255)4

- 37 CFR 1.137(b)에 따라 의도치 않게 포기된 출원의 회복

(37 CFR 1.17(m)) ······························································································· 1,540 (770)4

- 최신 우선권 서류 입력(37 CFR 1.55)(37 CFR 1.17(i)) ············································ 130

- 35 USC 151에 따라 불가피하게 연체된 발행료 납부(37 CFR 1.17(l)) ······················· 510 (255)4

- 35 USC 151에 따라 의도치 않게 연체된 발행료 납부(37 CFR 1.17(m)) ···················· 1,540 (770)4

수수료 납부 방법

수수료는 미 달러화로 납부해야 한다.

아래의 경우 수수료 납부를 인정받을 수 있다.

— 현금 납부(37 CFR 1.23)

— 미 우체국 우편환(37 CFR 1.23)

— 수표(37 CFR 1.23)

— USPTO 예금 계좌(37 CFR 1.25)

— 신용카드(37 CFR 1.23(b)).

4 각주 3 참고.

5 등록유지료는 1980년 12월 12일 이후 출원된 국제출원에 대해 납부한다. 납기 당시 적용되는 등록유지료 액수는 미국 특허상표청이나

미국 특허상표청 공보-Patents www.uspto.gov/web/offices/com/sol/og/index.html 에서 확인할 수 있다.

- 29 -

USPCT Applicant’s Guide – National Phase – National Chapter – US Annex US.I, page 3

(4 October 2007)

Money orders and checks must be payable in United States dollars to the “Director of Patents andTrademarks.” Remittance from foreign countries must be payable and immediately negotiable in the United Statesof America for the full amount of the fee required. Cash sent by mail will be at the risk of the sender; letterscontaining cash should be registered. All payments must indicate the complete application number, the name ofapplicant and the type of fee being paid.

Payment for all fees may be made using one of the following credit cards: MasterCard, VISA, AmericanExpress and Discover. Payment using a debit card or check card will not be accepted. Applicants making paymentsby credit card should use form PTO-2038 contained in this Annex. Blanket authorizations of payments to creditcards will not be accepted. The fee amount must be specified. Credit card authorization may be used only one time.Subsequent charges will require a new authorization. ADVISORY: If filing by EFS-Web, do NOT attach thePTO-2038 form as a PDF along with your EFS-Web submission. Please be advised that this is not recommendedand by doing so your credit card information may be displayed via PAIR. To protect your information, it isrecommended paying fees online by using the electronic payment method. The PTO-2038 should only be mailed orfaxed to the USPTO. The PTO-2038 may not be faxed to the USPTO when paying the basic national fee.

For information concerning electronic transfer of funds to the USPTO, please contact Jusu Jallah, Office ofFinance at (571) 272-7473 or (571) 272-6500; fax (571) 273-7473. Applicants choosing to pay by electronictransfer should insure that the full amount of the fee due is received by the USPTO. There is a danger of loss ofrights if bank charges are deducted.

- 30 -


우편환과 수표는 “Director of Patents and Trademark”에게 미 달러화로 지급가능해야 한다. 외국

송금액은 필요 수수료 전액에 대해 미국에서 지급가능하고 즉시 유통할 수 있어야 한다. 우편으로 송금하는

현금은 송금자에게 위험할 수 있다. 현금을 포함하는 서한을 등록해야 한다. 납부시 전체 출원번호, 출원인

성명(명칭), 납부 수수료 유형을 표시해야 한다.

수수료는 아래 신용카드를 사용하여 납부할 수 있다: 마스터카드, 비자, 아메리칸 익스프레스, 디스커버.

직불카드나 체크카드를 사용한 납부는 인정하지 않는다. 신용카드를 사용하여 납부하는 출원인은 본 부록에

포함된 PTO-2038 서식을 사용해야 한다. 신용카드에 대한 일괄 납부 허가는 인정하지 않는다. 수수료

액수는 반드시 특기되어야 한다. 신용카드 허가는 1회에 한하여 사용할 수 있다. 후속 요금 납부시

재허가를 받아야 한다. 권고: EFS-Web을 사용하여 제출하는 경우에는 EFS-Web 제출과 함께 PTO-2038

서식을 PDF로 첨부하지 않아야 한다. 이러한 첨부는 권장되지 않으며, 이 경우 신용카드 정보가 PAIR을

통해 노출될 수 있다. 정보 보호를 위해 전자적 지급 수단을 사용한 온라인 납부를 권장한다. PTO-2038을

USPTO에 제출할 때는 우편이나 팩스만 사용해야 한다. 기본 국내수수료를 납부할 때는 PTO-2038을

팩스로 송부하지 않아도 된다.

USPTO에 대한 전자적 이체에 관한 정보는 재무실 담당자 Jusu Jallah, (571) 272-7473이나 (571)

272-6500, 팩스 (571) 273-7473으로 문의한다. 전자적 이체 납부를 선택하는 출원인은 납기 수수료

전액을 USPTO에 납부해야 한다. 은행 수수료를 차감하는 경우 권리가 상실될 수 있다.

- 31 -

USPCT Applicant’s Guide – Volume II – National Chapter – US Annex US.II, page 1

(5 October 2006)

United States Patent and Trademark Office Instructions for Completing the Credit Card Payment Form

Credit Card Information

Á Enter all credit card information including the payment amount to be charged to your credit card and

remember to sign the form. The United States Patent and Trademark Office (USPTO) cannot process credit card payments without an authorized signature.

Á The USPTO does not accept a general authorization to charge any payment deficiency or any additional fees

to a credit card. Á The USPTO does not accept debit cards or check cards that require use of a personal identification number

as a method of payment.

Credit Card Billing Address Á Address information is required for credit card payment as a means of verification. Failure to complete

the address information, including zip/postal code, may result in the payment not being accepted by your credit card institution.

Request and Payment Information

(click on the “Site Index” link, “Mailing Addresses” link).

Protect Your Credit Card Information Á The USPTO strongly recommends using this form for credit card payments submitted by mail, facsimile, or

by hand-delivery. To protect your credit card information use only this form and do not include credit card information on any other form or document.

Á To protect your credit card information, do not submit this form electronically through “EFS-Web” or

any other USPTO Internet site. Credit card information for electronic credit card payments should be entered exclusively on the USPTO Internet site providing electronic payment capability.

(click on the “Site Index” link, “Fees, USPTO” link). To request a copy by mail, call the USPTO Contact Center at (800) 786-9199 or (571) 272-1000. Information on mailing addresses is also available at www.uspto.gov

Á Provide a description of your request based on the payment amount. For example, indicate the item as

“basic filing fee” (patent) or “first maintenance fee” (patent maintenance fee) or “application for registration” (trademark) or “certified copy of a patent” (other fee).

Á Indicate the nature of your request by the type of fee you wish to pay: Patent Fee, Patent Maintenance Fee,

Trademark Fee or Other Fee. Complete information for each type of fee as applicable to identify the nature of your request. Indicate only one type of fee per form.

Á If you are requesting and paying a fee based on a previously filed patent or trademark application, indicate

the application/serial number, patent number or registration number that is associated with your request. “Other Fee” is used to request copies of patent and trademark documents, certified copies, assignments, and other information products.

Á IDON numbers are assigned by the USPTO for customers ordering patent and trademark information and

products specified as “Other Fee” on the order form. If you have been assigned an IDON number from a previous customer order, include it with your request.

Á For more information on USPTO fees and amounts, refer to the current fee schedule at www.uspto.gov

- 32 -

USAnnex US.II, page 2 PCT Applicant’s Guide – Volume II – National Chapter – US

(5 October 2006)

United States Patent and Trademark Office Instructions for Completing the Credit Card Payment Form

Paperwork Reduction Act Statement

This Credit Card Payment Form (PTO-2038) is approved for use through 02/28/2009 under OMB Control Number 0651-0043. This collection of information is required by 15 U.S.C. § 1113 or 35 U.S.C. § 41 and 37 CFR 1.16-1.28, 1.492, or 2.6-2.7. The information must be provided by a member of the public if he or she chooses to pay a USPTO fee by credit card. This information is also used by the USPTO to charge the appropriate fee amount to the appropriate credit card account. This collection is estimated to take two minutes to complete, including gathering and preparing information and submitting the Credit Card Payment Form (PTO-2038) to the USPTO. Time will vary depending upon the individual case. Please send any comments on the amount of time required to complete this form and/or suggestions for reducing the time burden to the Chief Information Officer, USPTO, PO Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. PLEASE REFER TO THE USPTO WEB SITE, UNDER THE “SITE INDEX” LINK, “MAILING ADDRESSES” LINK FOR THE CORRECT MAILING ADDRESS.

Privacy Act Advisory Statement The Privacy Act of 1974 (P.L. 93-579) requires that you be given certain information in connection with the request for information solicited on the Credit Card Payment Form (PTO-2038). Accordingly, pursuant to the requirements of the Act, please be advised that: (1) the authority for the collection of this information is 15 U.S.C. § 1113 or 35 U.S.C. § 41 and 37 CFR 1.16-1.28, 1.492, or 2.6-2.7; (2) furnishing of the information solicited is voluntary; and (3) the principal purpose for which the information is used by the USPTO is to charge the appropriate fee amount to the appropriate credit card account. If you do not furnish the requested information, the USPTO may not be able to charge the fee to the credit card or the credit card institution may refuse to accept the charge, either of which will result in the fee being treated as not having been paid. The information provided by you in this form will be subject to the following routine uses:

(1) The information on this form will be treated confidentially to the extent allowed under the Freedom of Information Act (5 U.S.C. § 552) and the Privacy Act (5 U.S.C. § 552(a)). Records from this system of records may be disclosed to the Department of Justice to determine whether disclosure of these records is required by the Freedom of Information Act.

(2) A record from this system of records may be disclosed, as a routine use, in the course of presenting

evidence to a court, magistrate or administrative tribunal, including disclosures to opposing counsel in the course of settlement negotiations.

(3) A record in this system of records may be disclosed, as a routine use, to a Member of Congress

submitting a request involving an individual when the individual has requested assistance from the Member with respect to the subject matter of the record.

(4) A record in this system of records may be disclosed, as a routine use, to a contractor of the Agency

having need for the information in order to perform the contract. Recipients of information shall be required to comply with the requirements of the Privacy Act of 1974, as amended, pursuant to 5 U.S.C. §552a(m).

(5) A record from this system of records may be disclosed, as a routine use, to the Administrator, General

Services Administration (GSA), or his designee, during an inspection of records conducted by GSA as part of that agency’s responsibility to recommend improvements in records management practices and programs, under authority of 44 U.S.C. § 2904 and § 2906. Such disclosure shall be made in accordance with the GSA regulations governing inspection of records for this purpose, and any other relevant (i.e., GSA or Commerce) directive. Such disclosure shall not be used to make determinations about individuals.

- 33 -

USPCT Applicant’s Guide – Volume II – National Chapter – US Annex US.II, page 3

(5 October 2006)

PTO-2038 (09-2006) Approved for use through 02/28/2009. OMB 0651-0043

United States Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid OMB control number.

Credit Card Payment Form (Do not submit this form electronically via EFS-Web)

Please Read Instructions before Completing this Form Credit Card Information

Credit Card Type: � Visa � MasterCard � American Express � Discover

Credit Card Account #:

Credit Card Expiration Date:

Name as it Appears on Credit Card:

Payment Amount: $ (US Dollars):

Cardholder Signature: Date: Refund Policy: The USPTO may refund a fee paid by mistake or in excess of that required. A change of purpose after the payment of a fee will not entitle a party to a refund of such fee. The USPTO will not refund amounts of $25.00 or less unless a refund is specifically requested and will not notify the payor of such amounts (37 CFR 1.26). Refund of a fee paid by credit card will be issued as a credit to the credit card account to which the fee was charged. Service Charge: There is a $50.00 service charge for processing each payment refused (including a check returned "unpaid") or charged back by a financial institution (37 CFR 1.21 (m)) .

Credit Card Billing Address Street Address 1:

Street Address 2:

City:

State/Province: Zip/Postal Code:

Country:

Daytime Phone #: Fax #:

Request and Payment Information Description of Request and Payment Information:

� Patent Fee � Patent Maintenance Fee � Trademark Fee � Other Fee Application No.

Application No.

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IDON Customer No.

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Identify or Describe Mark

If the cardholder includes a credit card number on any form or document other than the Credit Card Payment Form or submits this form electronically via EFS-Web, the United States Patent and Trademark Office will not be liable in theevent that the credit card number becomes public knowledge.

- 34 -

PTO-1390 (Rev. 09-2007)Approved for use through 3/31/2007. OMB 0651-0021

U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCEUnder the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid OMB control number.

ATTORNEY’S DOCKET NUMBER TRANSMITTAL LETTER TO THE UNITED STATES DESIGNATED/ELECTED OFFICE (DO/EO/US)

CONCERNING A SUBMISSION UNDER 35 U.S.C. 371 U.S. APPLICATION NO. (If known, see 37 CFR 1.5)

INTERNATIONAL APPLICATION NO. INTERNATIONAL FILING DATE PRIORITY DATE CLAIMED

TITLE OF INVENTION

APPLICANT(S) FOR DO/EO/US

Applicant herewith submits to the United States Designated/Elected Office (DO/EO/US) the following items and other information: 1. This is a FIRST submission of items concerning a submission under 35 U.S.C. 371. 2. This is a SECOND or SUBSEQUENT submission of items concerning a submission under 35 U.S.C. 371. 3. This is an express request to begin national examination procedures (35 U.S.C. 371(f)). The submission must include items (5), (6), (9) and (21) indicated below. 4. The US has been elected (Article 31). 5. A copy of the International Application as filed (35 U.S.C. 371(c)(2))

a. is attached hereto (required only if not communicated by the International Bureau). b. has been communicated by the International Bureau.

c. is not required, as the application was filed in the United States Receiving Office (RO/US).

6. An English language translation of the International Application as filed (35 U.S.C. 371(c)(2)).

a. is attached hereto. b. has been previously submitted under 35 U.S.C. 154(d)(4). 7. Amendments to the claims of the International Application under PCT Article 19 (35 U.S.C. 371(c)(3))

a. are attached hereto (required only if not communicated by the International Bureau).

b. have been communicated by the International Bureau.

c. have not been made; however, the time limit for making such amendments has NOT expired.

d. have not been made and will not be made.

8. An English language translation of the amendments to the claims under PCT Article 19 (35 U.S.C. 371(c)(3)). 9. An oath or declaration of the inventor(s) (35 U.S.C. 371(c)(4)). 10. An English language translation of the annexes of the International Preliminary Examination Report under PCT Article 36 (35 U.S.C. 371(c)(5)). Items 11 to 20 below concern document(s) or information included: 11. An Information Disclosure Statement under 37 CFR 1.97 and 1.98. 12. An assignment document for recording. A separate cover sheet in compliance with 37 CFR 3.28 and 3.31 is included. 13. A preliminary amendment. 14. An Application Data Sheet under 37 CFR 1.76. 15. A substitute specification. 16. A power of attorney and/or change of address letter. 17. A computer-readable form of the sequence listing in accordance with PCT Rule 13ter.2 and 37 CFR 1.821- 1.825. 18. A second copy of the published International Application under 35 U.S.C. 154(d)(4). 19. A second copy of the English language translation of the international application under 35 U.S.C. 154(d)(4).

This collection of information is required by 37 CFR 1.414 and 1.491-1.492. The information is required to obtain or retain a benefit by the public, which is to file (and by theUSPTO to process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.11 and 1.14. This collection is estimated to take 15 minutes to complete,including gathering information, preparing, and submitting the completed form to the USPTO. Time will vary depending upon the individual case. Any comments on the amountof time you require to complete this form and/or suggestions for reducing this burden, should be sent to the Chief Information Officer, U.S. Patent and Trademark Office, U.S.Department of Commerce, P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Mail Stop PCT,Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450. Page 1 of 3

USPCT Applicant’s Guide – National Phase – National Chapter – US Annex US.III, page 1

(1 October 2007)- 35 -

U.S. APPLICATION NO. (if known, see 37 CFR 1.5)

INTERNATIONAL APPLICATION NO.

ATTORNEY’S DOCKET NUMBER

20. Other items or information:

CALCULATIONS PTO USE ONLY The following fees have been submitted

21. Basic national fee (37 CFR 1.492(a))……………………………………….….... $310 22. Examination fee (37 CFR 1.492(c)) If the written opinion prepared by ISA/US or the international preliminary examination report prepared

by IPEA/US indicates all claims satisfy provisions of PCT Article 33(1)-(4)……..….. $0 All other situations….………………………………………………………………………………..$210 23. Search fee (37 CFR 1.492(b)) If the written opinion of the ISA/US or the International preliminary examination report prepared by

IPEA/US indicates all claims satisfy provisions of PCT Article 33(1)-(4)…….…….... $0 Search fee (37 CFR 1.445(a)(2)) has been paid on the international application to the USPTO as an International Searching Authority…………………………………..……………...….….$100 International Search Report prepared by an ISA other than the US and provided to the Office or

previously communicated to the US by the IB………..……………..…..…………..….. $410 All other situations……………………………………………………………………………………$510 TOTAL OF 21, 22 and 23 = Additional fee for specification and drawings filed in paper over 100 sheets (excluding sequence

listing in compliance with 37 CFR 1.821(c) or (e) in an electronic medium or computer program listing in an electronic medium) (37 CFR 1.492(j)).

The fee is $260 for each additional 50 sheets of paper or fraction thereof. Total Sheets Extra Sheets Number of each additional 50 or fraction RATE thereof (round up to a whole number)



- 100 = /50 = x $260

$ $ $ $

Surcharge of $130.00 for furnishing any of the search fee, examination fee, or the oath or declaration after the date of commencement of the national stage (37 CFR 1.492(h)). $

CLAIMS NUMBER FILED NUMBER EXTRA RATE $

Total claims - 20 = x $ 50 $

Independent claims - 3 = x $210 $

MULTIPLE DEPENDENT CLAIM(S) (if applicable) $ + $370

$ TOTAL OF ABOVE CALCULATIONS =

Applicant claims small entity status. See 37 CFR 1.27. Fees above are reduced by ½.

SUBTOTAL = $

Processing fee of $130.00 for furnishing the English translation later than 30 months from the earliest claimed priority date (37 CFR 1.492(i)). +

$

TOTAL NATIONAL FEE = $

Fee for recording the enclosed assignment (37 CFR 1.21(h)). The assignment must be accompanied by an appropriate cover sheet (37 CFR 3.28, 3.31). $40.00 per property +

$

TOTAL FEES ENCLOSED = $

Amount to be refunded: $

Amount to be charged $

FORM PTO-1390 (REV. 09-2007) Page 2 of 3

USAnnex US.III, page 2 PCT Applicant’s Guide – National Phase – National Chapter – US

(1 October 2007)- 36 -



a. A check in the amount of $ ______________________ to cover the above fees is enclosed. b. Please charge my Deposit Account No. ___________ in the amount of $ ____________ to cover the above fees. A duplicate copy of this sheet is enclosed. c. The Commissioner is hereby authorized to charge any additional fees which may be required, or credit any overpayment to Deposit Account No. ___________. A duplicate copy of this sheet is enclosed. d. Fees are to be charged to a credit card. WARNING: Information on this form may become public. Credit card information should not be included on this form. Provide credit card information and authorization on PTO-2038. The PTO-2038 should only be mailed or faxed to the USPTO. However, when paying the basic national fee, the PTO-2038 may NOT be faxed to the USPTO.

ADVISORY: If filing by EFS-Web, do NOT attach the PTO-2038 form as a PDF along with your EFS-Web submission. Please be advised that this is not recommended and by doing so your credit card information may be displayed via PAIR. To protect your information, it is recommended paying fees online by using the electronic payment method.

NOTE: Where an appropriate time limit under 37 CFR 1.495 has not been met, a petition to revive (37 CFR 1.137(a) or (b)) must be filed and granted to restore the International Application to pending status. SEND ALL CORRESPONDENCE TO: _________________________________________________ SIGNATURE _________________________________________________ NAME _________________________________________________ REGISTRATION NUMBER

FORM PTO-1390 (REV. 09-2007) Page 3 of 3

USPCT Applicant’s Guide – National Phase – National Chapter – US Annex US.III, page 3

(1 October 2007)- 37 -

PTO/SB/01 (07-07) Approved for use through 06/30/2010. OMB 0651-0032

U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.

Attorney Docket Number

First Named Inventor

COMPLETE IF KNOWN

Application Number

Filing Date

Art Unit

DECLARATION FOR UTILITY OR

DESIGN PATENT APPLICATION

(37 CFR 1.63)

Declaration Declaration Submitted OR Submitted after Initial With Initial Filing (surcharge Filing (37 CFR 1.16 (e)) required) Examiner Name

I hereby declare that: Each inventor’s residence, mailing address, and citizenship are as stated below next to their name. I believe the inventor(s) named below to be the original and first inventor(s) of the subject matter which is claimed and for which a patent is sought on the invention entitled:

(Title of the Invention) the specification of which

is attached hereto OR

was filed on (MM/DD/YYYY)

as United States Application Number or PCT International

Application Number

and was amended on (MM/DD/YYYY)

(if applicable).

I hereby state that I have reviewed and understand the contents of the above identified specification, including the claims, as amended by any amendment specifically referred to above. I acknowledge the duty to disclose information which is material to patentability as defined in 37 CFR 1.56, including for continuation-in-part applications, material information which became available between the filing date of the prior application and the national or PCT international filing date of the continuation-in-part application. I hereby claim foreign priority benefits under 35 U.S.C. 119(a)-(d) or (f), or 365(b) of any foreign application(s) for patent, inventor’s or plant breeder’s rights certificate(s), or 365(a) of any PCT international application which designated at least one country other than the United States of America, listed below and have also identified below, by checking the box, any foreign application for patent, inventor’s or plant breeder’s rights certificate(s), or any PCT international application having a filing date before that of the application on which priority is claimed. Prior Foreign Application

Number(s)

Country Foreign Filing Date

(MM/DD/YYYY)Priority

Not ClaimedCertified Copy Attached?

YES NO

Additional foreign application numbers are listed on a supplemental priority data sheet PTO/SB/02B attached hereto. [Page 1 of 2]

This collection of information is required by 35 U.S.C. 115 and 37 CFR 1.63. The information is required to obtain or retain a benefit by the public which is to file (and by the USPTO to process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.11 and 1.14. This collection is estimated to take 21 minutes to complete, including gathering, preparing, and submitting the completed application form to the USPTO. Time will vary depending upon the individual case. Any comments on the amount of time you require to complete this form and/or suggestions for reducing this burden, should be sent to the Chief Information Officer, U.S. Patent and Trademark Office, U.S. Department of Commerce, P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.

If you need assistance completing the form, call 1-800-PTO-9199 and select option 2.

Doc Code:

USPCT Applicant’s Guide – National Phase – National Chapter – US Annex US.IV, page 1

(4 October 2007)- 38 -



DECLARATION — Utility or Design Patent Application

Direct all correspondence to:

The address associated with Customer Number:

OR

Correspondence address below

Name

Address

City State ZIP

Country Telephone Email

WARNING: Petitioner/applicant is cautioned to avoid submitting personal information in documents filed in a patent application that may contribute to identity theft. Personal information such as social security numbers, bank account numbers, or credit card numbers (other than a check or credit card authorization form PTO-2038 submitted for payment purposes) is never required by the USPTO to support a petition or an application. If this type of personal information is included in documents submitted to the USPTO, petitioners/applicants should consider redacting such personal information from the documents before submitting them to the USPTO. Petitioner/applicant is advised that the record of a patent application is available to the public after publication of the application (unless a non-publication request in compliance with 37 CFR 1.213(a) is made in the application) or issuance of a patent. Furthermore, the record from an abandoned application may also be available to the public if the application is referenced in a published application or an issued patent (see 37 CFR 1.14). Checks and credit card authorization forms PTO-2038 submitted for payment purposes are not retained in the application file and therefore are not publicly available. I hereby declare that all statements made herein of my own knowledge are true and that all statements made on information and belief are believed to be true; and further that these statements were made with the knowledge that willful false statements and the like so made are punishable by fine or imprisonment, or both, under 18 U.S.C. 1001 and that such willful false statements may jeopardize the validity of the application or any patent issued thereon. NAME OF SOLE OR FIRST INVENTOR:

A petition has been filed for this unsigned inventor

Given Name (first and middle [if any])

Family Name or Surname

Inventor's Signature

Date

Residence: City State Country Citizenship

Mailing Address

City State Zip Country

Additional inventors or a legal representative are being named on the ___________supplemental sheet(s) PTO/SB/02A or 02LR attached hereto.

[Page 2 of 2]

USAnnex US.IV, page 2 PCT Applicant’s Guide – National Phase – National Chapter – US

(4 October 2007)- 39 -

Privacy Act Statement

The Privacy Act of 1974 (P.L. 93-579) requires that you be given certain information in connection with your submission of the attached form related to a patent application or patent. Accordingly, pursuant to the requirements of the Act, please be advised that: (1) the general authority for the collection of this information is 35 U.S.C. 2(b)(2); (2) furnishing of the information solicited is voluntary; and (3) the principal purpose for which the information is used by the U.S. Patent and Trademark Office is to process and/or examine your submission related to a patent application or patent. If you do not furnish the requested information, the U.S. Patent and Trademark Office may not be able to process and/or examine your submission, which may result in termination of proceedings or abandonment of the application or expiration of the patent.

The information provided by you in this form will be subject to the following routine uses:

1. The information on this form will be treated confidentially to the extent allowed under the Freedom of Information Act (5 U.S.C. 552) and the Privacy Act (5 U.S.C 552a). Records from this system of records may be disclosed to the Department of Justice to determine whether disclosure of these records is required by the Freedom of Information Act.

2. A record from this system of records may be disclosed, as a routine use, in the course of presenting evidence to a court, magistrate, or administrative tribunal, including disclosures to opposing counsel in the course of settlement negotiations.

3. A record in this system of records may be disclosed, as a routine use, to a Member of Congress submitting a request involving an individual, to whom the record pertains, when the individual has requested assistance from the Member with respect to the subject matter of the record.

4. A record in this system of records may be disclosed, as a routine use, to a contractor of the Agency having need for the information in order to perform a contract. Recipients of information shall be required to comply with the requirements of the Privacy Act of 1974, as amended, pursuant to 5 U.S.C. 552a(m).

5. A record related to an International Application filed under the Patent Cooperation Treaty in this system of records may be disclosed, as a routine use, to the International Bureau of the World Intellectual Property Organization, pursuant to the Patent Cooperation Treaty.

6. A record in this system of records may be disclosed, as a routine use, to another federal agency for purposes of National Security review (35 U.S.C. 181) and for review pursuant to the Atomic Energy Act (42 U.S.C. 218(c)).

7. A record from this system of records may be disclosed, as a routine use, to the Administrator, General Services, or his/her designee, during an inspection of records conducted by GSA as part of that agency’s responsibility to recommend improvements in records management practices and programs, under authority of 44 U.S.C. 2904 and 2906. Such disclosure shall be made in accordance with the GSA regulations governing inspection of records for this purpose, and any other relevant (i.e., GSA or Commerce) directive. Such disclosure shall not be used to make determinations about individuals.

8. A record from this system of records may be disclosed, as a routine use, to the public after either publication of the application pursuant to 35 U.S.C. 122(b) or issuance of a patent pursuant to 35 U.S.C. 151. Further, a record may be disclosed, subject to the limitations of 37 CFR 1.14, as a routine use, to the public if the record was filed in an application which became abandoned or in which the proceedings were terminated and which application is referenced by either a published application, an application open to public inspection or an issued patent.

9. A record from this system of records may be disclosed, as a routine use, to a Federal, State, or local law enforcement agency, if the USPTO becomes aware of a violation or potential violation of law or regulation.


(4 October 2007)- 40 -

PTO/SB/02A (07-07) Approved for use through 06/30/2010. OMB 0651-0032


DECLARATION

ADDITIONAL INVENTOR(S) Supplemental Sheet Page _ of

Doc Code:

Name of Additional Joint Inventor, if any:


Given Name (first and middle (if any))


Inventor’s Signature

Date

Residence: City

State

Country

Citizenship

Mailing Address

City

State

Zip

Country Name of Additional Joint Inventor, if any:





Date

Residence: City

State

Country

Citizenship

Mailing Address

City

State

Zip

Country

Name of Additional Joint Inventor, if any:





Date

Residence: City

State

Country

Citizenship

Mailing Address

City

State

Zip

Country


If you need assistance in completing the form, call 1-800-PTO-9199 (1-800-786-9199) and select option 2.


(4 October 2007)- 41 -

PTO/SB/02B (07-07)Doc Cod Approved for use through 06/30/10. OMB 0651-0032


DECLARATION – Supplemental Priority Data Sheet

Foreign applications:

Prior Foreign Application Number(s)

Country

Foreign Filing Date

(MM/DD/YYYY)

Priority

Not Claimed

Certified Copy Attached?

YES NO


If you need assistance in completing the form, call 1-800-PTO-9199 (1-800-786-9199) and select option 2.


(4 October 2007)- 42 -


U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid OMB control number.

Application Number Filing Date First Named Inventor Title Art Unit Examiner Name

POWER OF ATTORNEY

and CORRESPONDENCE ADDRESS

INDICATION FORM Attorney Docket Number

This collection of information is required by 37 CFR 1.31, 1.32 and 1.33. The information is required to obtain or retain a benefit by the public which is to file (and by the USPTO to process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.11 and 1.14. This collection is estimated to take 3 minutes to complete, including gathering, preparing, and submitting the completed application form to the USPTO. Time will vary depending upon the individual case. Any comments on the amount of time you require to complete this form and/or suggestions for reducing this burden, should be sent to the Chief Information Officer, U.S. Patent and Trademark Office, U.S. Department of Commerce, P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.

If you need assistance in completing the form, call 1-800-PTO-9199 and select option 2.

I hereby revoke all previous powers of attorney given in the above-identified application. I hereby appoint:

Practitioners associated with the Customer Number:

OR

Practitioner(s) named below:

Name

Registration Number

as my/our attorney(s) or agent(s) to prosecute the application identified above, and to transact all business in the United States Patent and Trademark Office connected therewith. Please recognize or change the correspondence address for the above-identified application to: The address associated with the above-mentioned Customer Number: OR The address associated with Customer Number: OR

Firm or Individual Name

Address

City State Zip Country Telephone Email

I am the:

Applicant/Inventor.

Assignee of record of the entire interest. See 37 CFR 3.71. Statement under 37 CFR 3.73(b) is enclosed. (Form PTO/SB/96)

SIGNATURE of Applicant or Assignee of Record

Signature Date Name Telephone

Title and Company

NOTE: Signatures of all the inventors or assignees of record of the entire interest or their representative(s) are required. Submit multiple forms if more than one signature is required, see below*.

*Total of ____________ forms are submitted.

Doc Code:


(4 October 2007)- 43 -














(4 October 2007)- 44 -

USPCT Applicant’s Guide – Volume II – National Chapter – US Annex US.V, page 1

(4 May 2006)

MANNER OF MAKING AMENDMENTS IN APPLICATIONS(37 CFR 1.121)

(a) Amendments in applications, other than reissue applications. Amendments in applications, other thanreissue applications, are made by filing a paper, in compliance with Sec. 1.52, directing that specified amendmentsbe made.

(b) Specification. Amendments to the specification, other than the claims, computer listings (Sec. 1.96) andsequence listings (Sec. 1.825), must be made by adding, deleting or replacing a paragraph, by replacing a section, orby a substitute specification, in the manner specified in this section.

(1) Amendment to delete, replace, or add a paragraph.

Amendments to the specification, including amendment to a section heading or the title of the invention which areconsidered for amendment purposes to be an amendment of a paragraph, must be made by submitting:

(i) An instruction, which unambiguously identifies the location, to delete one or more paragraphs ofthe specification, replace a paragraph with one or more replacement paragraphs, or add one or more paragraphs;

(ii) The full text of any replacement paragraph with markings to show all the changes relative to theprevious version of the paragraph. The text of any added subject matter must be shown by underlining the addedtext. The text of any deleted matter must be shown by strike-through except that double brackets placed before andafter the deleted characters may be used to show deletion of five or fewer consecutive characters. The text of anydeleted subject matter must be shown by being placed within double brackets if strike-through cannot be easilyperceived;

(iii) The full text of any added paragraphs without any underlining; and

(iv) The text of a paragraph to be deleted must not be presented with strike-through or placed withindouble brackets. The instruction to delete may identify a paragraph by its paragraph number or include a few wordsfrom the beginning, and end, of the paragraph, if needed for paragraph identification purposes.

(2) Amendment by replacement section. If the sections of the specification contain section headingsas provided in Secs. 1.77(b), 1.154(b), or 1.163(c), amendments to the specification, other than the claims, may bemade by submitting:

(i) A reference to the section heading along with an instruction, which unambiguously identifies thelocation, to delete that section of the specification and to replace such deleted section with a replacement section;and

(ii) A replacement section with markings to show all changes relative to the previous version of thesection. The text of any added subject matter must be shown by underlining the added text. The text of any deletedmatter must be shown by strike-through except that double brackets placed before and after the deleted charactersmay be used to show deletion of five or fewer consecutive characters. The text of any deleted subject matter must beshown by being placed within double brackets if strike-through cannot be easily perceived.

(3) Amendment by substitute specification. The specification, other than the claims, may also beamended by submitting:

(i) An instruction to replace the specification; and

(ii) A substitute specification in compliance with Secs. 1.125(b) and (c).

(4) Reinstatement of previously deleted paragraph or section. A previously deleted paragraph orsection may be reinstated only by a subsequent amendment adding the previously deleted paragraph or section.

(5) Presentation in subsequent amendment document. Once a paragraph or section is amended in afirst amendment document, the paragraph or section shall not be re-presented in a subsequent amendment documentunless it is amended again or a substitute specification is provided.

- 45 -

USAnnex US.V, page 2 PCT Applicant’s Guide – Volume II – National Chapter – US

(4 May 2006)

(c) Claims. Amendments to a claim must be made by rewriting the entire claim with all changes (e.g.,additions and deletions) as indicated in this subsection, except when the claim is being canceled. Each amendmentdocument that includes a change to an existing claim, cancellation of an existing claim or addition of a new claim,must include a complete listing of all claims ever presented, including the text of all pending and withdrawn claims,in the application. The claim listing, including the text of the claims, in the amendment document will serve toreplace all prior versions of the claims, in the application. In the claim listing, the status of every claim must beindicated after its claim number by using one of the following identifiers in a parenthetical expression: (Original),(Currently amended), (Canceled), (Withdrawn), (Previously presented), (New), and (Not entered).1

(1) Claim listing. All of the claims presented in a claim listing shall be presented in ascendingnumerical order. Consecutive claims having the same status of “canceled” or “not entered” may be aggregated intoone statement (e.g., Claims 1 – 5 (canceled)). The claim listing shall commence on a separate sheet of theamendment document and the sheet(s) that contain the text of any part of the claims shall not contain any other partof the amendment.

(2) When claim text with markings is required. All claims being currently amended in an amendmentpaper shall be presented in the claim listing, indicate a status of “currently amended,” and be submitted withmarkings to indicate the changes that have been made relative to the immediate prior version of the claims. The textof any added subject matter must be shown by underlining the added text. The text of any deleted matter must beshown by strike-through except that double brackets placed before and after the deleted characters may be used toshow deletion of five or fewer consecutive characters. The text of any deleted subject matter must be shown bybeing placed within double brackets if strike-through cannot be easily perceived. Only claims having the status of“currently amended,” or “withdrawn” if also being amended, shall include markings. If a withdrawn claim iscurrently amended, its status in the claim listing may be identified as “withdrawn – currently amended.”

(3) When claim text in clean version is required. The text of all pending claims not being currentlyamended shall be presented in the claim listing in clean version, i.e., without any markings in the presentation of text.The presentation of a clean version of any claim having the status of “original,” “withdrawn” or “previouslypresented” will constitute an assertion that it has not been changed relative to the immediate prior version, except toomit markings that may have been present in the immediate prior version of the claims of the status of “withdrawn”or “previously presented.” Any claim added by amendment must be indicated with the status of “new” andpresented in clean version, i.e., without any underlining.

(4) When claim text shall not be presented; canceling a claim.

(i) No claim text shall be presented for any claim in the claim listing with the status of “canceled”or “not entered.”

(ii) Cancellation of a claim shall be effected by an instruction to cancel a particular claim number.Identifying the status of a claim in the claim listing as “canceled” will constitute an instruction to cancel the claim.

(5) Reinstatement of previously canceled claim. A claim which was previously canceled may bereinstated only by adding the claim as a “new” claim with a new claim number.

(d) Drawings. One or more application drawings shall be amended in the following manner: Any changesto an application drawing must be in compliance with Sec. 1.84 and must be submitted on a replacement sheet ofdrawings which shall be an attachment to the amendment document and, in the header, labeled “ReplacementSheet.” Any replacement sheet of drawings shall include all of the figures appearing on the immediate prior versionof the sheet, even if only one figure is amended. Any new sheet of drawings containing an additional figure must belabeled in the top margin as “New Sheet”. All changes to the drawing(s) shall be explained, in detail, in either thedrawing amendment or remarks section of the amendment paper.

(1) A marked-up copy of any amended drawing figure, including annotations indicating the changesmade, may be included. The marked-up copy must be clearly labeled as “Annotated Sheet” and must be presented inthe amendment or remarks section that explains the change to the drawings. 1 During the national stage (pursuant to 35 U.S.C. 371), amendments rules under section 1.121 apply to preliminary amendments and

subsequent amendments. In an amendment under section 1.121, the status identifier “original” must be used for claims that hadbeen presented on the international filing date and not modified or canceled. The status identifier “previously presented” must beused to in any amendment submitted during the national stage for any claims added or modified under PCT Articles 19 or 34 in theinternational stage that were subsequently entered in the national stage. The status identifier “canceled” must be used in anyamendment submitted during the national stage for any claims canceled under an Article 19 or 34 amendment in the internationalstage and subsequently entered in the national stage.

- 46 -

USPCT Applicant’s Guide – Volume II – National Chapter – US Annex US.V, page 3

(4 May 2006)

(2) A marked-up copy of any amended drawing figure, including annotations indicating the changesmade, must be provided when required by the examiner.

(e) Disclosure consistency. The disclosure must be amended, when required by the Office, to correctinaccuracies of description and definition, and to secure substantial correspondence between the claims, theremainder of the specification, and the drawings.

(f) No new matter. No amendment may introduce new matter into the disclosure of an application.

(g) Exception for examiner’s amendments. Changes to the specification, including the claims, of anapplication made by the Office in an examiner’s amendment may be made by specific instructions to insert or deletesubject matter set forth in the examiner’s amendment by identifying the precise point in the specification or theclaim(s) where the insertion or deletion is to be made. Compliance with paragraphs (b)(1), (b)(2), or (c) of thissection is not required.

(h) Amendment sections. Each section of an amendment document (e.g., amendment to the claims,amendment to the specification, replacement drawings, and remarks) must begin on a separate sheet.

(i) Amendments in reissue applications. Any amendment to the description and claims in reissueapplications must be made in accordance with Sec. 1.173.

(j) Amendments in reexamination proceedings. Any proposed amendment to the description and claims inpatents involved in reexamination proceedings must be made in accordance with Sec. 1.530.

(k) Amendments in provisional applications. Amendments in provisional applications are not usually made.If an amendment is made to a provisional application, however, it must comply with the provisions of this section.Any amendments to a provisional application shall be placed in the provisional application file but may not beentered.

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USAnnex US.V, page 4 PCT Applicant’s Guide – Volume II – National Chapter – US

(4 May 2006)

SUBSTITUTE SPECIFICATION(37 CFR 1.125)

(a) If the number or nature of the amendments of the legibility of the application papers renders it difficult toconsider the application, or to arrange the papers for printing or copying, the Office may require the entirespecification, including the claims, or any part of thereof be rewritten.

(b) Subject to Sec. 1.312, a substitute specification, excluding the claims, may be filed at any point up topayment of the issue fee if it is accompanied by a statement that the substitute specification includes no new matter.

(c) A substitute specification submitted under this section must be submitted with markings showing all thechanges relative to the immediate prior version of the specification of record. The text of any added subject mattermust be shown by underlining the added text. The text of any deleted matter must be shown by strike-throughexcept that double brackets placed before and after the deleted characters may be used to show deletion of five orfewer consecutive characters. The text of any deleted subject matter must be shown by being placed within doublebrackets if strike-through cannot be easily perceived. An accompanying clean version (without markings) must alsobe supplied. Numbering the paragraphs of the specification of record is not considered a change that must be shownpursuant to this paragraph.

- 48 -

USPCT Applicant’s Guide – Volume II – National Chapter – US Annex US.VI, page 1

(4 May 2006)

SMALL ENTITY1

Definition of small entities and establishing status as a small entity to permit payment of small entity fees;when a determination of entitlement to small entity status and notification of loss of entitlement to smallentity status are required; fraud on the Office (37 CFR 1.27)

(a) Definition of small entities. A small entity as used in this chapter means any party (person, small businessconcern, or nonprofit organization) under paragraphs (a)(1) through (a)(3) of this section.

(1) Person. A person, as used in paragraph (c) of this section, means any inventor or other individual(e.g., an individual to whom an inventor has transferred some rights in the invention) who has not assigned, granted,conveyed, or licensed, and is under no obligation under contract or law to assign, grant, convey, or license, anyrights in the invention. An inventor or other individual who has transferred some rights in the invention to one ormore parties, or is under an obligation to transfer some rights in the invention to one or more parties, can alsoqualify for small entity status if all the parties who have had rights in the invention transferred to them also qualifyfor small entity status either as a person, small business concern, or nonprofit organization under this section.

(2) Small business concern. A small business concern, as used in paragraph (c) of this section, meansany business concern that:

(i) Has not assigned, granted, conveyed, or licensed, and is under no obligation under contract or lawto assign, grant, convey, or license, any rights in the invention to any person, concern, or organization which wouldnot qualify for small entity status as a person, small business concern, or nonprofit organization; and

(ii) Meets the size standards set forth in 13 CFR 121.801 through 121.805 to be eligible for reducedpatent fees. Questions related to standards for a small business concern may be directed to: Small BusinessAdministration, Size Standards Staff, 409 Third Street, S.W., Washington, D.C. 20416.

(3) Nonprofit Organization. A nonprofit organization, as used in paragraph (c) of this section, means anynonprofit organization that:

(i) Has not assigned, granted, conveyed, or licensed, and is under no obligation under contract or lawto assign, grant, convey, or license, any rights in the invention to any person, concern, or organization which wouldnot qualify as a person, small business concern, or a nonprofit organization, and

(ii) Is either:(A) A university or other institution of higher education located in any country;(B) An organization of the type described in section 501(c)(3) of the Internal Revenue Code of

1986 (26 USC 501(c)(3)) and exempt from taxation under section 501(a) of the Internal Revenue Code(26 USC 501(a));

(C) Any nonprofit scientific or educational organization qualified under a nonprofit organizationstatute of a state of this country (35 USC 201(i)); or

(D) Any nonprofit organization located in a foreign country which would qualify as a nonprofitorganization under paragraphs (a)(3)(ii)(B) of this section or (a)(3)(ii)(C) of this section if it were located in thiscountry.

(4) License to a Federal agency.

(i) For persons under paragraph (a)(1) of this section, a license to the Government resulting from arights determination under Executive Order 10096 does not constitute a license so as to prohibit claiming smallentity status.

(ii) For small business concerns and nonprofit organizations under paragraphs (a)(2) and (a)(3) of thissection, a license to a Federal agency resulting from a funding agreement with that agency pursuant to35 USC 202(c)(4) does not constitute a license for the purposes of paragraphs (a)(2)(i) and (a)(3)(i) of this section.

1 The Small Business Administration can be reached at: www.sba.gov or by calling 1-800-8ASK-SBA (1-800-827-5722).

- 49 -

USAnnex US.VI, page 2 PCT Applicant’s Guide – Volume II – National Chapter – US

(4 May 2006)

(5) Security Interest. A security interest does not involve an obligation to transfer rights in the inventionfor the purposes of paragraphs (a)(1) through (a)(3) of this section unless the security interest is defaulted upon.

(b)(1) Establishment of small entity status permits payment of reduced fees. A small entity, as defined inparagraph (a) of this section, who has properly asserted entitlement to small entity status pursuant to paragraph (c) ofthis section will be accorded small entity status by the Office in the particular application or patent in whichentitlement to small entity status was asserted. Establishment of small entity status allows the payment of certainreduced patent fees pursuant to 35 USC 41(h)(1).

(b)(2) Submission of an original utility application in compliance with the Office electronic filing systemby an applicant who has properly asserted entitlement to small entity status pursuant to paragraph (c) of this sectionin that application allows the payment of a reduced filing fee pursuant to 35 USC 41(h)(3).

(c) Assertion of small entity status. Any party (person, small business concern or nonprofit organization)should make a determination, pursuant to paragraph (f) of this section, of entitlement to be accorded small entitystatus based on the definitions set forth in paragraph (a) of this section, and must, in order to establish small entitystatus for the purpose of paying small entity fees, actually make an assertion of entitlement to small entity status, inthe manner set forth in paragraphs (c)(1) or (c)(3) of this section, in the application or patent in which such smallentity fees are to be paid.

(1) Assertion by writing. Small entity status may be established by a written assertion of entitlement tosmall entity status. A written assertion must:

(i) Be clearly identifiable;(ii) Be signed (see paragraph (c)(2) of this section); and

(iii) Convey the concept of entitlement to small entity status, such as by stating that applicant is a smallentity, or that small entity status is entitled to be asserted for the application or patent. While no specific words orwording are required to assert small entity status, the intent to assert small entity status must be clearly indicated inorder to comply with the assertion requirement.

(2) Parties who can sign and file the written assertion. The written assertion can be signed by:(i) One of the parties identified in Sec. 1.33(b) (e.g., an attorney or agent registered with the Office),

Sec. 3.73(b) of this chapter notwithstanding, who can also file the written assertion;(ii) At least one of the individuals identified as an inventor (even though a Sec. 1.63 executed oath or

declaration has not been submitted), notwithstanding Sec. 1.33(b)(4), who can also file the written assertion pursuantto the exception under Sec. 1.33(b) of this part; or

(iii) An assignee of an undivided part interest, notwithstanding Secs. 1.33(b)(3) and 3.73(b) of thischapter, but the partial assignee cannot file the assertion without resort to a party identified under Sec. 1.33(b) of thispart.

(3) Assertion by payment of the small entity basic filing or basic national fee. The payment, by any party,of the exact amount of one of the small entity basic filing fees set forth in Secs. 1.16(a), (b), (c), (d), or (e), or thesmall entity basic national fee set forth in Sec. 1.492(a), will be treated as a written assertion of entitlement to smallentity status even if the type of basic filing or basic national fee is inadvertently selected in error.

(i) If the Office accords small entity status based on payment of a small entity basic filing or basicnational fee under paragraph (c)(3) of this section that is not applicable to that application, any balance of the smallentity fee that is applicable to that application will be due along with the appropriate surcharge set forth inSec. 1.16(f), or Sec. 1.16(g).

(ii) The payment of any small entity fee other than those set forth in paragraph (c)(3) of this section(whether in the exact fee amount or not) will not be treated as a written assertion of entitlement to small entity statusand will not be sufficient to establish small entity status in an application or a patent.

(4) Assertion required in related, continuing, and reissue applications. Status as a small entity must bespecifically established by an assertion in each related, continuing and reissue application in which status isappropriate and desired. Status as a small entity in one application or patent does not affect the status of any otherapplication or patent, regardless of the relationship of the applications or patents. The refiling of an applicationunder Sec. 1.53 as a continuation, divisional, or continuation-in-part application (including a continued prosecutionapplication under Sec. 1.53(d)), or the filing of a reissue application, requires a new assertion as to continuedentitlement to small entity status for the continuing or reissue application.

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USPCT Applicant’s Guide – Volume II – National Chapter – US Annex US.VI, page 3

(4 May 2006)

(d) When small entity fees can be paid. Any fee, other than the small entity basic filing fees and the smallentity national fees of paragraph (c)(3) of this section, can be paid in the small entity amount only if it is submittedwith, or subsequent to, the submission of a written assertion of entitlement to small entity status, except whenrefunds are permitted by Sec. 1.28(a).

(e) Only one assertion required. (1) An assertion of small entity status need only be filed once in anapplication or patent. Small entity status, once established, remains in effect until changed pursuant to paragraph(g)(1) of this section. Where an assignment of rights or an obligation to assign rights to other parties who are smallentities occurs subsequent to an assertion of small entity status, a second assertion is not required.

(2) Once small entity status is withdrawn pursuant to paragraph (g)(2) of this section, a new writtenassertion is required to again obtain small entity status.

(f) Assertion requires a determination of entitlement to pay small entity fees. Prior to submitting an assertionof entitlement to small entity status in an application, including a related, continuing, or reissue application, adetermination of such entitlement should be made pursuant to the requirements of paragraph (a) of this section. Itshould be determined that all parties holding rights in the invention qualify for small entity status. The Office willgenerally not question any assertion of small entity status that is made in accordance with the requirements of thissection, but note paragraph (h) of this section.

(g)(1) New determination of entitlement to small entity status is needed when issue and maintenance feesare due. Once status as a small entity has been established in an application or patent, fees as a small entity maythereafter be paid in that application or patent without regard to a change in status until the issue fee is due or anymaintenance fee is due.

(2) Notification of loss of entitlement to small entity status is required when issue and maintenance feesare due. Notification of a loss of entitlement to small entity status must be filed in the application or patent prior topaying, or at the time of paying, the earliest of the issue fee or any maintenance fee due after the date on which statusas a small entity as defined in paragraph (a) of this section is no longer appropriate. The notification that small entitystatus is no longer appropriate must be signed by a party identified in Sec. 1.33(b). Payment of a fee in other thanthe small entity amount is not sufficient notification that small entity status is no longer appropriate.

(h) Fraud attempted or practiced on the Office.

(1) Any attempt to fraudulently establish status as a small entity, or pay fees as a small entity, shall beconsidered as a fraud practiced or attempted on the Office.

(2) Improperly, and with intent to deceive, establishing status as a small entity, or paying fees as a smallentity, shall be considered as a fraud practiced or attempted on the Office.

Refunds when small entity status is later established; how errors in small entity status are excused(37 CFR 1.28)

(a) Refunds based on later establishment of small entity status. A refund pursuant to Sec. 1.26, based onestablishment of small entity status, of a portion of fees timely paid in full prior to establishing status as a smallentity may only be obtained if an assertion under Sec. 1.27(c) and a request for a refund of the excess amount arefiled within three months of the date of the timely payment of the full fee. The three-month time period is notextendable under Sec. 1.136. Status as a small entity is waived for any fee by the failure to establish the status priorto paying, at the time of paying, or within three months of the date of payment of, the full fee.

(b) Date of payment. (1) The three-month period for requesting a refund, pursuant to paragraph (a) of thissection, starts on the date that a full fee has been paid;

(2) The date when a deficiency payment is paid in full determines the amount of deficiency that is due,pursuant to paragraph (c) of this section.

(c) How errors in small entity status are excused. If status as a small entity is established in good faith, andfees as a small entity are paid in good faith, in any application or patent, and it is later discovered that such status as asmall entity was established in error, or that through error the Office was not notified of a loss of entitlement to smallentity status as required by Sec. 1.27(g)(2), the error will be excused upon: compliance with the separate submissionand itemization requirements of paragraphs (c)(1) and (c)(2) of this section, and the deficiency payment requirementof paragraph (c)(2) of this section:

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USAnnex US.VI, page 4 PCT Applicant’s Guide – Volume II – National Chapter – US

(4 May 2006)

(1) Separate submission required for each application or patent. Any paper submitted under thisparagraph must be limited to the deficiency payment (all fees paid in error), required by paragraph (c)(2) of thissection, for one application or one patent. Where more than one application or patent is involved, separatesubmissions of deficiency payments (e.g., checks) and itemizations are required for each application or patent. SeeSec. 1.4(b).

(2) Payment of deficiency owed. The deficiency owed, resulting from the previous erroneous payment ofsmall entity fees, must be paid.

(i) Calculation of the deficiency owed. The deficiency owed for each previous fee erroneously paid asa small entity is the difference between the current fee amount (for other than a small entity) on the date thedeficiency is paid in full and the amount of the previous erroneous (small entity) fee payment. The total deficiencypayment owed is the sum of the individual deficiency owed amounts for each fee amount previously erroneouslypaid as a small entity. Where a fee paid in error as a small entity was subject to a fee decrease between the time thefee was paid in error and the time the deficiency is paid in full, the deficiency owed is equal to the amount(previously) paid in error;

(ii) Itemization of the deficiency payment. An itemization of the total deficiency payment is required.The itemization must include the following information:

(A) Each particular type of fee that was erroneously paid as a small entity, (e.g., basic statutoryfiling fee, two-month extension of time fee) along with the current fee amount for a non-small entity;

(B) The small entity fee actually paid, and when. This will permit the Office to differentiate, forexample, between two one-month extension of time fees erroneously paid as a small entity but on different dates;

(C) The deficiency owed amount (for each fee erroneously paid); and(D) The total deficiency payment owed, which is the sum or total of the individual deficiency owed

amounts set forth in paragraph (c)(2)(ii)(C) of this section.

(3) Failure to comply with requirements. If the requirements of paragraphs (c)(1) and (c)(2) of thissection are not complied with, such failure will either: be treated as an authorization for the Office to process thedeficiency payment and charge the processing fee set forth in Sec. 1.17(i), or result in a requirement for compliancewithin a one-month non-extendable time period under Sec. 1.136(a) to avoid the return of the fee deficiency paper, atthe option of the Office.

(d) Payment of deficiency operates as notification of loss of status. Any deficiency payment (based on aprevious erroneous payment of a small entity fee) submitted under paragraph (c) of this section will be treated underSec. 1.27(g)(2) as a notification of a loss of entitlement to small entity status.

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RECORDATION FORM COVER SHEET

PATENTS ONLY

Form PTO-1595 (Rev. 08/05)OMB No. 0651-0027 (exp. 6/30/2008 )

U.S. DEPARTMENT OF COMMERCE United States Patent and Trademark Office

To the Director of the U.S. Patent and Trademark Office: Please record the attached documents or the new address(es) below.

1. Name of conveying party(ies)

Additional name(s) of conveying party(ies) attached? Yes No

2. Name and address of receiving party(ies)Name: ____________________________________

Internal Address: ____________________________

___________________________________________________

Street Address: _____________________________

City: ______________________________________

Country:___________________Zip:______________

Additional name(s) & address(es) attached? Yes No

3. Nature of conveyance/Execution Date(s):

Assignment

Security Agreement

Other__________________________________

Merger

4. Application or patent number(s): This document is being filed together with a new application.A. Patent Application No.(s) B. Patent No.(s)

Additional numbers attached? Yes No

5. Name and address to whom correspondence concerning document should be mailed: Name:_____________________________________

Internal Address:________________________________________________________________________

Street Address:__________________________________________________________________________

9. Signature:

Change of Name

State:_____________________Zip:_______________

Documents to be recorded (including cover sheet) should be faxed to (571) 273-0140, or mailed to:Mail Stop Assignment Recordation Services, Director of the USPTO, P.O.Box 1450, Alexandria, V.A. 22313-1450

Name of Person Signing

Signature DateTotal number of pages including cover sheet, attachments, and documents:

6. Total number of applications and patents involved:____________________________

7. Total fee (37 CFR 1.21(h) & 3.41) $____________

EnclosedAuthorized to be charged to deposit account

8. Payment Information

Government Interest AssignmentExecutive Order 9424, Confirmatory License

Phone Number:_______________________________

Email Address:_______________________________

Authorized to be charged by credit card

None required (government interest not affecting title)

a. Credit Card Last 4 Numbers ______________Expiration Date _______________

b. Deposit Account Number __________________

___________________________________________________

Authorized User Name ____________________

City: _______________________________________

State: _____________________________________

Fax Number:_________________________________

Doc Code:

Execution Date(s)_____________________________

Joint Research Agreement

USPCT Applicant’s Guide – Volume II – National Chapter – US Annex US.VII, page 1

(4 May 2006)- 53 -

Guidelines for Completing Patents Cover Sheets (PTO-1595)

Cover Sheet information must be submitted with each document to be recorded. If the document to be recorded concerns both patents and trademarks separate patent and trademark cover sheets, including any attached pages for continuing information, must accompany the document. All pages of the cover sheet should be numbered consecutively, for example, if both a patent and trademark cover sheet is used, and information is continued on one additional page for both patents and trademarks, the pages of the cover sheet would be numbered from 1 to 4. Item 1. Name of Conveying Party(ies). Enter the full name of the party(ies) conveying the interest. If there is insufficient space, enter a check mark in the “Yes” box to indicate that additional information is attached. The name of the additional conveying party(ies) should be placed on an attached page clearly identified as a continuation of the information Item 1. Enter a check mark in the “No” box, if no information is contained on an attached page. If the document to be recorded is a joint research agreement, enter the name(s) of the party(ies) other than the owner of the patent or patent application as the conveying party(ies). Item 2. Name and Address of Receiving Party(ies). Enter the name and full address of the first party receiving the interest. If there is more than one party receiving the interest, enter a check mark in the “Yes” box to indicate that additional information is attached. Enter a check mark in the “No” box, if no information is contained on an attached page. If the document to be recorded is a joint research agreement, enter the name(s) of the patent or patent application owner(s) as the receiving party. Item 3. Nature of Conveyance/Execution Date(s). Enter the execution date(s) of the document. It is preferable to use the name of the month, or an abbreviation of that name, in order that confusion over dates is minimized. Place a check mark in the appropriate box describing the nature of the conveying document. If the “Other” box is checked, specify the nature of the conveyance. Item 4. Application Number(s) or Patent Number(s). Indicate the application number(s), and/or patent number(s) against which the document is to be recorded. National application numbers must include both the series code and a six-digit number (e.g., 07/123,456), and international application numbers must be complete (e.g., PCT/US91/12345). Enter a check mark in the appropriate box: “Yes” or “No ” if additional numbers appear on attached pages. Be sure to identify numbers included on attached pages as the continuation of Item 4. Also enter a check mark if this Assignment is being filed with a new application. Item 5. Name and Address of Party to whom correspondence concerning the document should be mailed. Enter the name and full address of the party to whom correspondence is to be mailed. Item 6. Total Applications and Patents involved. Enter the total number of applications and patents identified for recordation. Be sure to include all applications and patents identified on the cover sheet and on additional pages. Block 7. Total Fee Enclosed. Enter the total fee enclosed or authorized to be charged. A fee is required for each application and patent against which the document is recorded. Item 8. Payment Information. Enter either the last four digits of your credit card and expiration date or the deposit account number and authorized user name to authorize charges. Item 9. Signature. Enter the name of the person submitting the document. The submitter must sign and date the cover sheet. Enter the total number of pages including the cover sheet, attachments, and document. This collection of information is required by 35 USC 261 and 262 and 15 USC 1057 and 1060. The information is used by the public to submit (and by the USPTO to process) patent and trademark assignment requests. After the USPTO records the information, the records for patent and trademarks, assignments, and other associated documents can be inspected by the public. To view documents recorded under secrecy orders or documents recorded due to the interest of the federal government, a written authorization must be submitted. This collection is estimated to take 30 minutes to complete, including gathering, preparing, and submitting the form to the USPTO. Any comments on the amount of time you require to complete this form and/or suggestions for reducing this burden, should be sent to the Manager of the Assignment Division, USPTO, P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Mail Stop Assignment Recordation Services, Director of the USPTO, P.O. Box 1450, Alexandria, VA 22313-1450.

USAnnex US.VII, page 2 PCT Applicant’s Guide – Volume II – National Chapter – US

(4 May 2006)- 54 -

Privacy Act Statement for Patent Assignment Recordation Form Cover Sheet The Privacy Act of 1974 (P.L. 93-579) requires that you be given certain information in connection with the above request for information. This collection of information is authorized by 35 U.S.C. 1, 2, 261 and E.O. 9424. This information will primarily be used by the USPTO for the recordation of assignments related to patents and patent applications. Submission of this information is voluntary but is required in order for the USPTO to record the requested assignment. If you do not provide the information required on the cover sheet, the assignment will not be recorded, and all documents will be returned to you. After the information is recorded, the records and associated documents can be inspected by the public and are not confidential, except for documents that are sealed under secrecy orders or related to unpublished patent applications. Assignment records relating to unpublished patent applications are maintained in confidence in accordance with 35 U.S.C. 122. Records open to the public are searched by users for the purpose of determining ownership for other property rights with respect to patents and trademarks. Routine uses of the information you provide may also include disclosure to appropriate Federal, state, local, or foreign agencies in support of their enforcement duties and statutory or regulatory missions, including investigating potential violations of law or contract and awarding contracts or other benefits; to a court, magistrate, or administrative tribunal in the course of presenting evidence; to members of Congress responding to requests for assistance from their constituents; to the Office of Management and Budget in connection with the review of private relief legislation; to the Department of Justice in connection with a Freedom of Information Act request; to a contractor in the performance of their duties; to the Office of Personnel Management for personnel studies; and to the General Services Administration (GSA) as part of their records management responsibilities under the authority of 44 U.S.C. 2904 and 2906. Such disclosure to GSA shall not be used to make determinations about individuals.

USPCT Applicant’s Guide – Volume II – National Chapter – US Annex US.VII, page 3

(4 May 2006)- 55 -

PTO/SB/08a (10-07 ) Approved for use through 10/31/2007. OMB 0651-0031


Complete if Known Application Number

Filing Date


Art Unit

Substitute for form 1449A/PTO

INFORMATION DISCLOSURE STATEMENT BY APPLICANT

(Use as many sheets as necessary) Examiner Name

Sheet

of Attorney Docket Number

U. S. PATENT DOCUMENTSDocument Number Examiner

Initials* Cite No.1

Number-Kind Code2 (if known)

Publication Date MM-DD-YYYY

Name of Patentee or Applicant of Cited Document

Pages, Columns, Lines, Where Relevant Passages or Relevant

Figures Appear US-

US-

US-

US-

US-

US-

US-

US-

US-

US-

US-

US-

US-

US-

US-

US-

US-

US-

FOREIGN PATENT DOCUMENTS

Foreign Patent Document Examiner Initials*

Cite No.1

Country Code3 -Number 4 -Kind Code5 (if known)

Publication Date MM-DD-YYYY

Name of Patentee or

Applicant of Cited Document

Pages, Columns, Lines, Where Relevant Passages or Relevant Figures Appear

T6

Examiner Signature

Date Considered

*EXAMINER: Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through citation if not in conformance and not considered. Include copy of this form with next communication to applicant. 1 Applicant’s unique citation designation number (optional). 2 See Kinds Codes of USPTO Patent Documents at www.uspto.gov or MPEP 901.04. 3 Enter Office that issued the document, by the two-letter code (WIPO Standard ST.3). 4 For Japanese patent documents, the indication of the year of the reign of the Emperor must precede the serial number of the patent document. 5 Kind of document by the appropriate symbols as indicated on the document under WIPO Standard ST.16 if possible. 6 Applicant is to place a check mark here if English language Translation is attached. This collection of information is required by 37 CFR 1.97 and 1.98. The information is required to obtain or retain a benefit by the public which is to file (and by the USPTO to process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is estimated to take 2 hours to complete, including gathering, preparing, and submitting the completed application form to the USPTO. Time will vary depending upon the individual case. Any comments on the amount of time you require to complete this form and/or suggestions for reducing this burden, should be sent to the Chief Information Officer, U.S. Patent and Trademark Office, U.S. Department of Commerce, P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.


USPCT Applicant’s Guide – National Phase – National Chapter – US Annex US.VIII, page 1

(4 October 2007)- 56 -













USAnnex US.VIII, page 2 PCT Applicant’s Guide – National Phase – National Chapter – US

(4 October 2007)- 57 -

PTO/SB/08b (10-07) Approved for use through 10/31/2007. OMB 0651-0031


Complete if Known Application Number

Filing Date


Art Unit

Substitute for form 1449B/PTO

INFORMATION DISCLOSURE STATEMENT BY APPLICANT

(Use as many sheets as necessary)

Examiner Name

Sheet of Attorney Docket Number

NON PATENT LITERATURE DOCUMENTS

Examiner Initials*

Cite No.1

Include name of the author (in CAPITAL LETTERS), title of the article (when appropriate), title of the item (book,

magazine, journal, serial, symposium, catalog, etc.), date, page(s), volume-issue number(s), publisher, city and/or country where published.

T2

Examiner Signature

Date Considered

*EXAMINER: Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through citation if not in conformance and not considered. Include copy of this form with next communication to applicant. 1 Applicant’s unique citation designation number (optional). 2 Applicant is to place a check mark here if English language Translation is attached. This collection of information is required by 37 CFR 1.97 and 1.98. The information is required to obtain or retain a benefit by the public which is to file (and by the USPTO to process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is estimated to take 2 hours to complete, including gathering, preparing, and submitting the completed application form to the USPTO. Time will vary depending upon the individual case. Any comments on the amount of time you require to complete this form and/or suggestions for reducing this burden, should be sent to the Chief Information Officer, U.S. Patent and Trademark Office, U.S. Department of Commerce, P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.


USPCT Applicant’s Guide – National Phase – National Chapter – US Annex US.VIII, page 3

(4 October 2007)- 58 -













USAnnex US.VIII, page 4 PCT Applicant’s Guide – National Phase – National Chapter – US

(4 October 2007)- 59 -

2. 중 국

PCT Applicant’s Guide – National Phase – National Chapter – CN

(17 April 2008)

STATE INTELLECTUAL PROPERTY OFFICE OF THE PEOPLE’S REPUBLIC OF

CHINA AS

DESIGNATED (OR ELECTED) OFFICE

TABLE OF CONTENTS



ANNEXES

Fees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Annex CN.I Request for entry into the national phase . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Annex CN.II Request for examination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Annex CN.III Power of attorney . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Annex CN.IV Fees (applicable in the HKSAR only) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Annex CN(HK).I Request to record a designated patent application for a standard patent . . . . . . . . . . . . Annex CN(HK).II Request for registration of a designated patent and grant of a standard patent . . . . . . . . Annex CN(HK).III Request for grant of a short-term patent . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Annex CN(HK).IV


Office: State Intellectual Property Office of the People’s Republic of China

CPL: Patent Law of the People’s Republic of China

CPR: Implementing Regulations of the Patent Law of the People’s Republic of China

HKSAR: Hong Kong Special Administrative Region of the People’s Republic of China

IPD: Intellectual Property Department of the HKSAR

Ordinance: Patents Ordinance (Cap. 514)

- 62 -

중화인민공화국 특허청



목 차


국내단계 절차

부록

수수료 ······································································································ 부록 CN.Ⅰ

국내단계 진입신청서···················································································· 부록 CN.Ⅱ

심사청구서 ································································································ 부록 CN.Ⅲ

위임장 ··································································································· 부록 CN.Ⅳ

수수료(HKSAR 한정) ·················································································· 부록 CN(HK).Ⅰ

표준특허에 대한 지정특허출원 기록신청서······················································ 부록 CN(HK).Ⅱ

지정특허 등록과 표준특허 설정신청서 ·························································· 부록 CN(HK).Ⅲ

단기특허 설정신청서 ·················································································· 부록 CN(HK).Ⅳ

약어 목록:

특허청: 중화인민공화국 특허청

CPL: 중화인민공화국 특허법

CPR: 중화인민공화국 특허법 시행규칙

HKSAR: 중화인민공화국 홍콩특별행정구

IPD: HKSAR 특허국

법령: 특허법령(Cap. 514)

- 63 -


(17 April 2008)


SUMMARY

CN STATE INTELLECTUAL PROPERTY OFFICE OF THE PEOPLE’S REPUBLIC OF CHINA

CN


Time limits applicable for entry into the national phase:1

Under PCT Article 22(1): 30 months from the priority date Under PCT Article 39(1)(a): 30 months from the priority date

Translation of international application required into:1, 2 Chinese

Required contents of the translation for entry into the national phase:1, 2

Under PCT Article 22: Request, description, claims (if amended, both as originally filed and as amended, if the applicant wishes the amendments to form the basis for the proceedings, together with any statement under PCT Article 19), any text matter of drawings, abstract Under PCT Article 39(1): Description, claims, any text matter of drawings, abstract (if any of those parts has been amended, both as originally filed and as amended by the annexes to the international preliminary examination report, if the applicant wishes the amendments to form the basis for the proceedings)

Is a copy of the international application required?1, 2

The applicant should only send a copy of the international application if he has not received Form PCT/IB/308 and the State Intellectual Property Office of the People’s Republic of China has not received a copy of the international application from the International Bureau under PCT Article 20. This may be the case where the applicant expressly requests an earlier start of the national phase under PCT Article 23(2). In the HKSAR, the applicant should send a copy of the international application as published by the International Bureau and a copy of the international application as published by the State Intellectual Property Office of the People’s Republic of China if the international application was not published in Chinese in the international phase.


______________ 1 The People’s Republic of China established the Hong Kong Special Administrative Region of the People’s Republic of China

(HKSAR) on 1 July 1997. The HKSAR operates an independent Patent Registry and all matters relating to the grant, administration or litigation in relation to patents are decided in Hong Kong according to the HKSAR’s Patent Ordinance. Patents granted by the State Intellectual Property Office of the People’s Republic of China are not automatically protected in Hong Kong but the grant of a patent by the State Intellectual Property Office of the People’s Republic of China can form the basis for patents in the HKSAR. In order to obtain patents via the PCT, the applicant must designate China. See paragraphs CN.17 to CN.20 of the chapter concerning the State Intellectual Property Office of the People’s Republic of China, in National Phase of the PCT Applicant’s Guide, for details of the national phase before the Intellectual Property Department (IPD) of the HKSAR.

2 Must be furnished within the time limit applicable under PCT Article 22 or 39(1).

- 64 -



CN 중화인민공화국 특허청 CN


국내단계 진입에 적용되는 기한: 1 PCT 제22조(1): 우선일로부터 30개월


진입시 필요한 국제출원의 번역언어: 1,2 중국어

국내단계 진입에 필요한 번역문 내용: 1,2 PCT 제22조: 출원서, 명세서, 청구범위 (청구범위가

보정이 이루어진 경우, 원본 청구범위와 (출원인이

보정사항을 절차의 근거로 하고자 할 때 PCT

제19조에 의한 설명서를 첨부하여) 보정된 청구범위

제출), 도면 및 요약서

PCT 제39조(1): 명세서, 청구범위, 도면 및 요약서

(보정이 이루어진 경우, 원본 번역문과 (출원인이 보정사항을

절차의 근거로 하고자 할 때) 국제예비심사보고서의

부속서류에 따라 보정된 번역문을 제출)

국제출원 사본이 필요한가? 1,2

출원인이 PCT/IB/308 서식을 수령하지 않았고,

중화인민공화국 특허청이 PCT 제20조에 따라

국제사무국으로부터 국제출원 사본을 수령받지 않았을

경우에만 출원인은 국제출원 사본을 제출해야 한다.

출원인이 PCT 제23조(2)에 따라 국내단계의

조기개시를 명시적으로 청구하는 경우가 이에

해당할 수 있다.

국제단계에서 국제출원을 중국어로 공개하지 않은

경우, HKSAR의 출원인은 국제사무국이 공개한

국제출원 사본 한 부와 중화인민공화국 특허청이

공개한 국제출원 사본 한 부를 송부해야 한다.


1 중화인민공화국은 1997년 7월 1일 중화인민공화국 홍콩특별행정구(HKSAR)를 설립하였다. HKSAR은 독립적인 특허 등록기관을

운영하며, 특허에 대한 부여, 관리, 소송과 관련한 현안 일체는 HKSAR 특허법령(Patent Ordinance)에 따라 홍콩에서 판정된다.

중화인민공화국 특허청이 부여한 특허는 홍콩에서 자동적으로 보호되지 않으나, 중화인민공화국 특허청의 특허부여는

HKSAR내에서 특허의 기반을 형성할 수 있다. PCT 루트를 통해 특허를 취득하기 위해서는, 출원인은 중국을 지정관청으로

지정해야 한다. HKSAR 특허국(IPD)에서의 국내단계에 대한 자세한 내용은 PCT Applicant’s Guide, Ⅱ권, 중화인민공화국

특허청에 대한 장 CN.17절부터 CN.20절을 참고한다.

2 PCT 제22조나 제39조(1)에 규정된 기한 내에 제출되어야 한다.

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(17 April 2008)


SUMMARY


[Continued]

CN

National fee:3 Currency: Yuan renminbi (CNY) For a patent: Filing fee:4 CNY 900 Additional filing fee:4

— for each sheet of the description in excess of 30 sheets CNY 50


— for each claim in excess of 10 CNY 150 Application publication fee: CNY 50 Fee for priority claims, per priority:4 CNY 80 Maintenance fee, per year:5 CNY 300 Examination fee:6 CNY 2,500 For a utility model: Filing fee:4 CNY 500 Additional filing fee:4



— for each claim in excess of 10 CNY 150 Fee for priority claims, per priority:4 CNY 80

Exemptions, reductions or refunds of the national fee:3

No application fee is payable if the international application has been filed with the State Intellectual Property Office of the People’s Republic of China as receiving Office. The examination fee is reduced by 20% where an international search has been carried out by the Japan Patent Office, the Swedish Patent and Registration Office or the European Patent Office. The examination fee is reduced by 50% where an international search has been carried out by the State Intellectual Property Office of the People’s Republic of China. No examination fee is payable if the international preliminary examination has been carried out by the State Intellectual Property Office of the People’s Republic of China.


______________ 3 See footnote 1. 4 This fee is due within the time limit applicable under PCT Article 22 or 39(1). 5 This fee is due within 25 months from the international filing date; where PCT Article 39(1) applies, it is due within 30 months

from the priority date if that time limit expires later. 6 This fee is due within three years from the priority date.

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CN 중화인민공화국 특허청 CN

[계속]

국내수수료: 3

통화: 위안화(CNY)

특허:

출원료: 4 CNY 900

추가 출원료: 4

- 30장을 초과하는 명세서 각 장당 CNY 50


- 10항을 초과하는 각 청구항당 CNY 150

출원공개료: CNY 50

우선권주장료(우선권 당): 4 CNY 80

등록유지료(매년): 5 CNY 300

심사료: 6 CNY 2,500

실용신안:

출원료: 4 CNY 500

추가 출원료: 4



- 10항을 초과하는 각 청구항당 CNY 150

우선권주장료(우선권 당): 4 CNY 80

국내수수료 면제, 감면, 반환: 3 중화인민공화국 특허청을 수리관청으로 하여 국제출원을 한

경우 출원료를 납부하지 않는다.

일본 특허청과 스웨덴 특허등록청, 유럽 특허청이 국제조사를

수행한 경우 심사료의 20%를 감면한다.

중화인민공화국 특허청이 국제조사를 수행한 경우 심사료의

50%를 감면한다.

중화인민공화국 특허청이 국제예비심사를 수행한 경우

심사료를 납부하지 않는다.


3 각주 1 참고.

4 본 수수료는 PCT 제22조나 제39조(1)에 규정된 기한 내에 납부해야 한다.

5 본 수수료는 국제출원일로부터 25개월 이내에 납부해야 한다; PCT 제39조(1)이 적용되는 경우, 해당 기한이 추후 만료되는

경우에는 우선일로부터 30개월 이내에 납부해야 한다.

6 본 수수료는 우선일로부터 3년 이내에 납부해야 한다.

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(17 April 2008)


SUMMARY


[Continued]

CN

Special requirements of the Office (PCT Rule 51bis):7, 8

Name of the inventor if it has not been furnished in the “Request” part of the international application9 Instrument of assignment of the priority right where the applicants are not identical9 Instrument of assignment of the international application if the applicant has changed after the international filing date Appointment of an agent Translation to be furnished in two copies Evidence concerning exceptions to lack of novelty if the applicant claims such exceptions in respect of the international application Furnishing, where applicable, of a nucleotide and/or amino acid sequence listing in electronic form

Who can act as agent?7 Any of the patent agencies designated by the Office. A list of patent agencies may be obtained from the Office.


______________ 7 See footnote 1. 8 If not already complied with within the time limit applicable under PCT Article 22 or 39(1), the Office will invite the applicant to

comply with the requirement within a time limit fixed in the invitation. 9 This requirement may be satisfied if the corresponding declaration has been made in accordance with PCT Rule 4.17.

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CN 중화인민공화국 국가지식산권국 CN

[계속]

특허청의 특별 요건들

(PCT 규칙 51bis): 7,8

발명자의 성명이 국제출원 “출원서” 부분에 기재되지 않은

경우 발명자의 성명 9

출원인이 동일하지 않은 경우 우선권 양도서류 9

국제출원일 이후 출원인이 변경된 경우 국제출원 양도서류

대리인 지명

번역문 사본 2부 제출

출원인이 국제출원과 관련한 신규성 상실의 예외를 주장하는

경우 해당 예외에 관한 증거

가능하면 핵산염기 및 아미노산 서열목록을 전자적 형태로

제출

대리인 자격이 있는 자는? 7 특허청에 의해 지정된 특허대리인. 특허대리인 목록은

특허청에서 구할 수 있다.

특허청은 우선권의 회복 신청을

인정하는가(PCT 규칙 49ter.2)?

아니오

7 각주 1 참고.

8 PCT 제22조나 제39조(1)에 규정된 기한 내에 준수하지 않은 경우, 특허청은 출원인에게 통지서에서 정한 기한 내에 요건을

준수할 것을 명한다.

9 PCT 규칙 4.17에 따라 해당 선언서가 작성된 경우 본 요건은 충족될 수 있다.

- 69 -

PCT Applicant’s Guide – Volume II – National Chapter – CN

(22 December 2005)


CN.01 FORM FOR ENTERING THE NATIONAL PHASE. The Office has available aspecial form for entering the national phase (see Annex CN.II). This form should preferably(but need not) be used when effecting the payment of the national fee and for the furnishing ofthe translation of the international application into Chinese.

CN.02 TRANSLATION (CORRECTION). Errors in the translation of the internationalapplication can be corrected with reference to the text of the international application as filed(see paragraphs 57 and 58 of the General Part of this Volume).

CN.03 FEES (MANNER OF PAYMENT). The manner of payment of the fees indicated inthe Summary and in this Chapter is outlined in Annex CN.I.

CPL Art. 35-39 CN.04 REQUEST FOR EXAMINATION. The Office examines patent applications as tosubstance only upon a request for examination and the payment of an examination fee whichmust be effected within three years from the priority date. The amount of the examination fee isindicated in Annex CN.I. A copy of the form for requesting examination is contained inAnnex CN.III.

CPR Rule 16 CN.05 POWER OF ATTORNEY. An agent must be appointed by filing a power ofattorney. A model is given in Annex CN.IV.

PCT Art. 2841

CPR Rules 51109

CN.06 AMENDMENT OF THE APPLICATION; TIME LIMITS. With regard to aninternational application for a utility model, the applicant may file a request with the Office toamend the description, drawings and claims within one month from the date of entry into thenational phase. With regard to an international application for a patent of invention, theapplicant may amend the application on his own initiative at the time when a request forexamination is made, and within three months after the receipt of the notification of the Officethat the application has entered into examination as to substance.

CN.07 INSTRUMENT OF ASSIGNMENT. The applicant is presumed to have the right tofile the international application and therefore no instrument of assignment is required if theinternational application is filed by an entity for an employee invention made by an inventorwho is an employee of that entity. After the application is filed, an instrument of assignment isrequired for each change if there is any change in the person of the applicant.

PCT Art. 17(3)(b)34(3)(c)

CN.08 SPECIAL FEE IN CASE OF LACK OF UNITY OF INVENTION. Where a partof the international application was not subjected to international search or preliminaryexamination because the international application did not comply with the requirement of unityof invention and the applicant did not pay the additional search or preliminary examination feeto the International Searching or Preliminary Examination Authority, the Office will decidewhether the said finding as regards the application translated into the Chinese language wascorrect. If this is found to be the case, the Office will invite the applicant to pay a special feewithin the time limit fixed in the notification of this decision. The amount of the said fee isindicated in Annex CN.I. Where the applicant does not pay the special fee, that part of theinternational application which was not subjected to international search or preliminaryexamination will be considered withdrawn.

CPR Rules 94-95 CN.09 MAINTENANCE FEES. The maintenance fees shall be paid as from the beginningof the third year, unless a patent is granted before that date, in which case maintenance fees shallbe paid for all consecutive years following the international filing date at the time when theapplication goes through the formalities of registration of the grant of patent right. The amountof the maintenance fee is indicated in Annex CN.I.

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국내단계 절차

CN.01 국내단계 진입을 위한 서식. 특허청은 국내단계 진입을 위한 특별한 서식을

구비하고 있다(부록 CN.Ⅱ 참고). 국내수수료 납부와 국제출원의 중국어 번역문

제출을 위해 본 서식을 우선적으로 사용한다(단, 의무사항은 아니다).

CN.02 번역문 (정정). 국제출원 번역문의 오류는 제출된 국제출원 원문을 참조하여

정정할 수 있다(본 권 총칙 제57절 및 제58절 참고).

CN.03 수수료 (납부 방식). 요약과 본 장에 표시한 수수료 납부 방식은 부록 CN.Ⅰ에

설명되어 있다.

CPL Art. 35-39 CN.04 심사청구. 특허청은 심사청구가 있고, (우선일 이후 3년 이내에 납부해야 할)

심사료 납부가 있는 경우에만 특허출원의 내용을 심사한다. 심사료 액수는 부록

CN.Ⅰ에 기재되어 있다. 심사청구서 사본은 부록 CN.Ⅲ에 포함되어 있다.

CPR Rule 16

CN.05 위임장. 대리인을 임명할 때는 위임장을 제출해야 한다. 견본은 부록

CN.Ⅳ에서 제공한다.

PCT Art. 28 41 CPR Rules 51

109

CN.06 출원의 보정; 기한. 국제출원에 의한 실용신안의 경우, 출원인은 국내단계

진입일로부터 1개월 이내에 명세서와 도면, 청구범위를 보정하겠다는 신청서를

특허청에 제출할 수 있다. 국제출원에 의한 발명의 특허의 경우, 출원인은 심사청구를

한 때와 출원 내용에 대한 심사가 개시되었다는 특허청의 통지서를 수령한 이후

3개월 이내에 자발적으로 출원을 보정할 수 있다.

CN.07 양도문서. 법인이 법인의 직원이 발명자인 직무발명에 의한 국제출원을 한

경우, 출원인(법인)은 국제출원을 할 권리가 있다고 추정되므로 양도문서가 필요없다.

출원한 이후, 출원인의 신원에 변화가 생기는 경우 각 변화 별로 양도문서가

필요하다.

PCT Art. 17(3)(b)

34(3)(c)

CN.08 발명의 단일성이 결여된 경우의 특별 수수료. 국제출원이 발명의 단일성

요건에 부합하지 않기 때문에 국제출원의 일부가 국제조사나 예비심사 대상이 되지

않았거나 출원인이 국제조사 혹은 예비심사기관에 추가적인 조사료나 예비심사료를

납부하지 않은 경우, 특허청은 중국어로 번역된 출원에 관한 전술한 판정의

적합여부를 결정한다. 이러한 경우가 확인됐을 시, 특허청은 출원인에게 본 결정의

통지서에서 정한 기한 내에 특별 수수료를 납부할 것을 명한다. 전술한 수수료 액수는

부록 CN.I에 기재되어 있다. 출원인이 특별 수수료를 납부하지 않는 경우, 국제조사나

예비심사의 대상이 되지 않는 국제출원의 일부는 취하간주된다.

CPR Rules 94-95

CN.09 등록유지료. 등록유지료는 3년차 초부터 납부한다. 단, 특허가 설정되지 않은

경우에는 예외로 한다. 이 경우 등록유지료는 출원인이 특허권 설정등록 절차를 받을

때, 국제출원일 이후의 연속연도 일체에 대해 납부해야 한다. 등록유지료 액수는 부록

CN.I에 기재되어 있다.

- 71 -


(22 December 2005)

CPL Art. 43CPR Rules 54

55-96

CN.10 ANNUAL FEES. The first annual fee must be paid within two months from thereceipt of the notice from the Office of the grant of the patent. All subsequent annual fees mustbe paid in advance within the month before the anniversary of the international filing date. If theannual fee is not paid or not paid in full, the Office will invite the applicant to pay it within sixmonths from the expiration of the time limit due, with a surcharge. Where the annual fee is notpaid within the prescribed time limit, the patent shall be deemed lapsed from the expiration ofthe time limit within which the annual fee should have been paid. The amounts of the annualfees are indicated in Annex CN.I.

PCT Art. 25PCT Rule 51CPR Rule 115

CN.11 REVIEW UNDER ARTICLE 25 OF THE PCT. The applicable procedure isoutlined in paragraphs 63 to 66 of the General Part of this Volume. Where an internationalapplication is considered withdrawn, the applicant may request reconsideration by the Office.

PCT Art. 24(2)48(2)

PCT Rule 82bisCPR Rule 51

CN.12 EXCUSE OF DELAYS IN MEETING TIME LIMITS. Reference is made toparagraphs 67 to 71 of the General Part of this Volume. If the applicant fails to perform the actsnecessary for entry into the national phase within the prescribed time limit of 30 months, he mayperform the required acts before the expiration of a time limit of 32 months from the prioritydate, provided that he pays a surcharge for late entry into the national phase.

CPR Rule 7 CN.13 Where, because of force majeure, after having performed the acts necessary forentering the national phase, the time limit prescribed in the CPL or the CPR or specified by theOffice is not observed, resulting in the loss of any right, the applicant may request restoration ofthe application within two months from the date of the removal of the impediment, or, at thelatest, within two years from the expiration of the time limit. Such a request should beaccompanied by a statement of reasons for the failure to meet the time limit and any relevantsupporting documents. Where, because of any justified reason, the time limit prescribed in theCPL of the CPR or specified by the Office is not observed, resulting in the loss of any right, theapplicant may state the reasons and request the Office to restore his rights, within two monthsfrom the date of receipt of a notification from the Office.

CPR Rules 3940

PCT Rules 49bis.1(a) and (b)76.5

CN.14 UTILITY MODEL. If the applicant wishes to obtain a utility model instead of apatent in China, on the basis of an international application, for international applications filedbefore 1 January 2004, this must have been indicated in the international application (inBox No. V of the request) when filed; for international applications filed on or after1 January 2004, since the request form no longer provides for the furnishing of such anindication, the applicant, when performing the acts referred to in PCT Article 22 or 39, shall soindicate to the Office.

CN.15 The requirements for the national phase are basically the same as for patents, exceptthat for utility models a drawing must be furnished and no examination as to substance is carriedout. An international application for a patent may not be converted into a utility modelapplication, and vice versa.

CPL Art. 41CPR Rules 58-63

CN.16 APPEALS. Where an international application is rejected in the national phase, theapplicant may, within three months from the date of receipt of the notification, requestreexamination by the Patent Reexamination Board and pay a reexamination fee.

CN.17 HOW TO GET PROTECTION IN THE HKSAR. Patent protection for HKSARcan only be obtained on the basis of an international application in which China has beendesignated and which has validly entered the national phase before the State IntellectualProperty Office of the People’s Republic of China. The further procedure before the IPD of theHKSAR is laid down in the Patents Ordinance (Cap. 514).

Ordinance Sec. 16 CN.18.01 STANDARD PATENT. Section 16 of the Ordinance provides for a standardpatent based on an international application designating China.

CN.18.02 FORM FOR RECORDING AN APPLICATION FOR A STANDARDPATENT. For recording an application for a standard patent the use of the specified form isrequired. The form “Request to Record a Designated Patent Application for a Standard Patent”can be downloaded from the IPD website (www.info.gov.hk/ipd).

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CPL Art. 43 CPR Rules 54 55-96

CN.10 연차료. 1차 연차료는 특허청의 특허부여통지서를 수령한 날로부터 2개월 내에

납부해야 한다. 후속 연차료의 전액은 국제출원일 기념일 한 달 이내에 납부해야

한다. 연차료를 납부하지 않거나 전액 납부하지 않은 경우, 특허청은 출원인에게

정해진 기한의 만료일로부터 6개월 내에 해당 연차료와 가산료를 납부할 것을

명한다. 위의 기한 내에 연차료를 납부하지 않은 경우, 연차료를 납부했어야 할

기한의 만료일로부터 특허가 소멸된 것으로 간주한다. 연차료의 액수는 부록 CN.I에


PCT Art. 25 PCT Rule 51 CPR Rule 115

CN.11 PCT 제25조에 따른 검사. 해당 절차는 본 권 총칙 제63절부터 제66절에

설명되어 있다. 국제출원이 취하간주되는 경우, 출원인은 특허청의 재심을 신청할 수

있다.

PCT Art. 24(2) 48(2)

PCT Rule 82bis CPR Rule 51

CN.12 준수되지 아니한 기한의 용인. 본 권 총칙 제67절부터 제71절을 참고한다.

출원인이 30개월로 정해진 기한 내에 국내단계 진입에 필요한 조치를 이행하지 않은

경우, 출원인은 우선일로부터 32개월의 기한의 만료일까지 필요한 조치를 취할 수

있다. 단, 출원인은 국내단계 진입 지체에 대한 가산료를 납부해야 한다.

CPR Rule 7 CN.13 국내단계 진입에 필요한 조치를 취한 후 불가항력으로 인하여 CPL 또는

CPR에 규정되거나 특허청이 정한 기한을 준수하지 않음으로써 권리의 손실이 초래된

경우, 출원인은 원인이 제거된 날로부터 2개월 이내에, 혹은 적어도 기한의

만료일로부터 2년 이내에 출원의 회복을 신청할 수 있다. 이러한 신청에는 기한을

준수하지 못한 사유에 대한 진술서와 관련 입증 서류를 첨부해야 한다. 정당한 사유로

인하여 CPL 또는 CPR에 규정되거나 특허청이 정한 기한을 준수하지 못함으로써

권리의 손실이 초래된 경우, 출원인은 특허청의 통지서를 수령한 날로부터 2개월

내에 사유를 설명하고 본인의 권리 회복을 특허청에 신청할 수 있다.

CPR Rules 39 40 PCT Rules 49bis.1

(a) and (b) 76.5

CN.14 실용신안. 출원인이 2004년 1월 1일 이전에 출원한 국제출원을 토대로 중국

내에서 특허 대신 실용신안의 취득을 원하는 경우, 국제출원할 때 이를 표시했어야

한다(출원서 BOX No.V). 2004년 1월 1일 이후 출원한 국제출원에 대해서는 출원서

양식이 해당 표시 형태를 제공하지 않기 때문에, 출원인은 PCT 제22조나 제39조에

언급된 조치를 취할 때 특허청에 이를 알려야 한다.

CN.15 국내단계를 위한 제반 요건은 기본적으로 특허와 동일하다. 단, 실용신안의

경우 도면을 제출해야 하며 내용에 대한 심사는 실시하지 않는다. 국제출원에 의한

특허출원은 실용신안 출원으로 변경할 수 없으며, 그 역의 경우도 마찬가지이다.

CPL Art. 41 CPR Rules 58-63

CN.16 소송. 국내단계에서 국제출원이 거절되는 경우, 출원인은 통지서를 수령한

날로부터 3개월 이내에 특허재심위원회에 재심을 신청하고 재심수수료를 납부할 수

있다.

CN.17 HKSAR에서 보호를 받는 방법. HKSAR에서의 특허의 보호는 중국이 지정되고

중화인민공화국 특허청에서 국내단계를 유효하게 진입한 국제출원을 근거로 하는

경우에만 확보할 수 있다. HKSAR의 IPD에 대한 후속 절차는 특허법령(Patents

Ordinance(Cap.514))에 규정하였다.

Ordinance Sec. 16 CN.18.01 표준특허. 법령 제16조는 중국을 지정하는 국제출원을 토대로 한

표준특허를 규정하고 있다.

CN.18.02 표준특허를 위한 출원을 기록하는 서식. 표준특허의 출원을 기록하기

위해서는 지정된 서식의 사용이 필요하다. “표준특허에 대한 지정특허출원

기록신청서”는 IPD 웹사이트에서 다운로드 할 수 있다(www.info.gov.hk/ipd).

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(22 December 2005)

Ordinance Sec. 16 CN.18.03 DOCUMENTS FOR RECORDING AN APPLICATION FOR ASTANDARD PATENT. In addition to the form specified under paragraph CN.18.02, theapplicant has to file:

(i) a photocopy of the international application as published by the InternationalBureau;

(ii) a photocopy of the international application published by the State IntellectualProperty Office of the People’s Republic of China if the international application was notpublished in Chinese in the international phase;

(iii) a photocopy of any publication of information by the State Intellectual PropertyOffice of the People’s Republic of China concerning the international application.

CN.18.04 SPECIAL REQUIREMENTS OF THE STANDARD PATENT. Theapplicant has to file:

(i) in both Chinese and English: the title of the invention, the abstract and thebibliographic data;

(ii) the name of the inventor if it has not been furnished in the “Request” part of theinternational application;

(iii) a statement explaining the entitlement to apply for the grant of a standard patentand the prescribed documents supporting that statement.

CN.18.05 FEES (MANNER OF PAYMENT). The manner of payment of the feesindicated in this chapter is outlined in Annex CN(HK).I.

Ordinance Sec. 15 CN.18.06 TIME LIMITS FOR MEETING THE REQUIREMENTS. An application fora standard patent (“Request to Record”) and the documents specified under paragraph CN.18.03may be filed at any time within six months from the date of the Chinese national publication; orif the international application was published in Chinese in the international phase, theymay be filed at any time within six months from the date of the issuance of the NationalApplication Notification (PCT/CN 503) by the State Intellectual Property Office of the People’sRepublic of China. The filing and advertisement fees shall be payable within one month afterthe earliest filing of the “Request to Record.”

CN.18.07 ADDRESS FOR SERVICE. The applicant is not required to appoint an agentbut he is required to have an address for service in the HKSAR. The address so furnished shallbe treated for the purpose of the application as the address of the applicant. If the applicantappoints an agent, his agent is required to provide the address in the HKSAR where he residesor carries out his business activities.

Ordinance Sec. 23 CN.18.08 REQUEST FOR REGISTRATION AND GRANT. Where a “Request toRecord” has been recorded in the register and has been published and the “Request to Record”is not refused or deemed withdrawn or abandoned and a patent has been granted by the StateIntellectual Property Office of the People’s Republic of China, the applicant shall request theregistration and grant of a standard patent.

Ordinance Sec. 23 CN.18.09 REQUIREMENTS FOR THE REQUEST FOR REGISTRATION ANDGRANT. The applicant has to file within six months after the date of grant by the StateIntellectual Property Office of the People’s Republic of China or the publication of the “Requestto Record,” whichever is later:

(i) the form “Request for Registration of a Designated Patent and Grant of a StandardPatent”;

(ii) a verified copy of the specification of the granted patent published by the StateIntellectual Property Office of the People’s Republic of China;

(iii) a statement indicating the derivation of the applicant’s right to request registrationand the prescribed documents supporting that statement if the applicant is not the same as theone recorded on the register.The filing and advertisement fees shall be paid within one month after the earliest filing of the“Request for Registration and Grant.”

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Ordinance Sec. 16 CN.18.03 표준특허를 위한 출원을 기록하는데 필요한 서류. CN.18.02절에 명시된

서식에 덧붙여, 출원인은 아래의 서류를 제출해야 한다.

(i) 국제사무국이 공개한 국제출원 사본;

(ii) 국제출원이 국제단계에서 중국어로 공개되지 않은 경우, 중화인민공화국

특허청이 공개한 국제출원 사본;

(iii) 국제출원에 관한 중화인민공화국 특허청의 정보 공보의 사본.

CN.18.04 표준특허의 특별요건. 출원인은 아래 서류를 제출해야 한다.

(i) 중국어와 영어: 발명의 명칭, 요약서, 서지정보;

(ii) 발명자의 성명이 국제출원 “출원서” 부분에 기재되지 않은 경우 발명자의

성명;

(iii) 표준특허 설정을 신청하는 자격을 설명하는 진술서와 해당 진술을 입증하는

서류.

CN.18.05 수수료 (납부 방식). 본 장에 표시한 수수료 납부 방식은 부록 CN(HK).I에


Ordinance Sec. 15 CN.18.06 요건 준수를 위한 기한. 표준특허출원(“기록신청”)과 CN.18.03절에 명시된

서류는 중국 국내 공개일로부터 6개월 이내에 언제라도 제출할 수 있다; 또는

국제단계에서 국제출원을 중국어로 공개한 경우, 중화인민공화국 특허청의

국내출원통지서(PCT /CN 503) 발행일로부터 6개월 이내에 언제라도 제출할 수 있다.

출원 및 통보수수료는 “기록신청”이 최초 제출된 이후 1달 이내에 납부해야 한다.

CN.18.07 송달주소. 출원인은 대리인을 임명하지 않아도 되지만, HKSAR 내에

송달주소가 있어야 한다. 송달주소로 제출된 주소는 출원 목적을 위한 출원인의

주소로 취급되어야 한다. 출원인이 대리인을 임명하는 경우, 대리인은 본인이

거주하거나 사업 활동을 수행하는 HKSAR 내의 주소를 제공해야 한다.

Ordinance Sec. 23 CN.18.08 등록 및 설정 신청. “기록신청”이 등록부에 기록 및 공개되고,

“기록신청”이 거절되거나 취하 혹은 포기된 것으로 간주되지 않고, 중화인민공화국

특허청이 특허를 부여한 경우에 한해, 출원인은 표준특허의 등록 및 설정을 신청해야

한다.

Ordinance Sec. 23 CN.18.09 등록 및 설정 신청 요건. 출원인은 중화인민공화국 특허청의 부여일이나

“기록신청” 공개일 중 더 늦은 날 에서 6개월 내에 아래의 서류를 제출해야 한다.

(i) “지정특허 등록과 표준특허 설정신청서” 서식;

(ii) 중화인민공화국 특허청이 공개한 설정된 특허 명세서의 검증된 사본;

(iii) 등록을 신청할 수 있는 출원인의 권리 이유를 나타내는 진술서와 출원인이

등록부에 기록된 출원인과 동일하지 않은 경우 진술을 입증하는 서류.

제출 및 통보수수료는 “등록과 설정신청서” 최초 제출 이후 1달 이내에 납부해야

한다.

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(22 December 2005)

Ordinance Sec. 33 CN.18.10 MAINTAINING APPLICATION FOR A STANDARD PATENT. A fee ispayable for maintaining a standard patent application which has not matured to registration.This maintenance fee becomes payable on the expiration of the fifth year (and any succeedingyear thereafter) calculated from the date specified in the Ordinance. The specified date is theanniversary (i.e., one year after) of the international filing date first occurring after the date ofpublication of the “Request to Record” in the HKSAR. Failure to pay the maintenance fee leadsto the patent application being deemed withdrawn and abandoned. However, if the applicantpays the maintenance fee and the additional fee within six months after the specifiedmaintenance fee due date, the patent application shall be treated as if it had not been withdrawnor abandoned.

Ordinance Sec. 39 CN.18.11 RENEWAL FEES. A standard patent may be kept in force by payment of arenewal fee. The first renewal fee becomes payable on the expiration of the third year calculatedfrom the date specified in the Ordinance. Thereafter, the renewal fee must be paid before theexpiration of each succeeding year. The specified date is the anniversary (i.e., one year after) ofthe international filing date of the standard patent first occurring after the date of grant of thepatent in the HKSAR. Failure to pay the renewal fee leads to the patent ceasing to have effect.However, if the proprietor pays the renewal fee and the additional fee within six months afterthe specified renewal fee due date, the patent shall be treated as if it had never expired.

CN.19.01 SHORT-TERM PATENTS. Section 125 of the Patents Ordinance provides for ashort-term patent based on an international application designating China and seeking protectionfor a utility model.

(i) The level of inventiveness required for a short-term patent is the same as that for astandard patent.

(ii) The term of a short-term patent is shorter than for a standard patent. It shallremain in force for a period of eight years from the international filing date, subject to paymentof the renewal fee.

CN.19.02 FORM FOR FILING AN APPLICATION FOR A SHORT-TERMPATENT. For filing the application for a short-term patent the use of the specified form isrequired. The form “Request for Grant of a Short-Term Patent” can be downloaded from theIPD website (www.info.gov.hk/ipd).

Ordinance Sec. 113124

CN.19.03 REQUIREMENTS FOR FILING AN APPLICATION FOR A SHORT-TERM PATENT. In addition to the form specified under paragraph CN.19.02, the applicanthas to file:

(i) a photocopy of the international application as published by the InternationalBureau;

(ii) a photocopy of the international search report (whether contained in theinternational application as published or separately published);

(iii) a photocopy of any publication of information by the State Intellectual PropertyOffice of the People’s Republic of China concerning the international application;

(iv) the date of the issuance of the National Application Notification by the StateIntellectual Property Office of the People’s Republic of China.

CN.19.04 SPECIAL REQUIREMENTS FOR A SHORT-TERM PATENT. Theapplicant has to file:

(i) in both Chinese and English: the title of the invention, the abstract and thebibliographic data;

(ii) the name and address of the inventor if they have not been furnished in the“Request” part of the international application;

(iii) a statement indicating the derivation of the entitlement to exercise the right to theshort-term patent.

CN.19.05 FEES (MANNER OF PAYMENT). The manner of payment of the feesindicated in this chapter is outlined in Annex CN(HK).I.

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Ordinance Sec. 33

CN.18.10 표준특허를 위한 출원의 유지. 등록 만기가 되지 않은 표준특허 출원의

유지를 위해 수수료를 납부해야 한다. 이러한 등록유지료는 법령에 명시된 일자로부터

계산하여 5년(및 그 이후 후속 연도)이 만료되는 즉시 납부해야 한다. 지정일은

HKSAR에서 “기록신청” 공개일 이후 처음 돌아오는 국제출원일의 기념일(즉, 1년

후)이다. 등록유지료를 납부하지 않은 경우 특허출원은 취하 및 포기된 것으로

간주된다. 단, 출원인이 지정된 등록유지료 만기일 이후 6개월 이내에 등록유지료와

추가 수수료를 납부하는 경우, 특허출원은 취하 혹은 포기되지 않은 것으로 취급된다.

Ordinance Sec. 39 CN.18.11 갱신료. 표준특허는 갱신료 납부로 효력을 유지할 수 있다. 최초 갱신료는

법령에 명시된 일자로부터 계산하여 3년이 만료되는 즉시 납부해야 한다. 그 이후,

갱신료는 각 후속 연도의 만료 이전에 납부해야 한다. 지정일은 HKSAR에서

특허설정일 이후 처음 돌아오는 표준특허의 국제출원일의 기념일(즉, 1년 후)이다.

갱신료를 납부하지 않는 경우, 특허는 그 효력을 중지한다. 단, 권리자가 정해진

갱신료 납기일 이후 6개월 이내에 갱신료와 추가 수수료를 납부하는 경우, 특허는

만료된 적이 없는 것처럼 취급된다.

CN.19.01 단기특허. 특허법령 제125조는 중국을 지정하고 실용신안 보호를 원하는

국제출원을 토대로 하여 단기특허를 규정하고 있다.

(i) 단기특허에 필요한 창의성 수준은 표준특허와 동일하다.

(ii) 단기특허의 기한은 표준특허보다 짧다. 단기특허는 갱신료의 납부를

조건으로 국제출원일로부터 8년 동안 유효하다.

CN.19.02 단기특허출원 제출을 위한 서식. 단기 특허출원의 제출을 위해서는 규정된

서식의 사용이 필요하다. “단기특허 설정신청서” 서식은 IPD 웹사이트에서 다운로드

할 수 있다(www.info.gov.hk/ipd).

Ordinance Sec. 113

124 CN.19.03 단기 특허출원의 제출요건. CN.19.02절에 명시된 서식에 덧붙여, 출원인은

아래 서류를 제출해야 한다.

(i) 국제사무국이 공개한 국제출원 사본;

(ii) 국제조사 보고서 사본(국제출원 공보에 포함되거나 별도로 공개되거나

관계없이);

(iii) 국제출원에 관한 중화인민공화국 특허청의 정보 공보 사본;

(iv) 중화인민공화국 특허청의 국내출원통지서 발행일.

CN.19.04 단기특허를 위한 특별요건. 출원인은 아래의 서류를 제출해야 한다:

(i) 중국어와 영어: 발명의 명칭, 요약서, 서지정보;

(ii) 발명자의 성명이 국제출원 “출원서” 부분에 기재되지 않은 경우 발명자의

성명;

(iii) 단기특허에 대한 권리 행사의 자격의 이유를 나타내는 진술서.

CN.19.05 수수료 (납부 방식). 본 장에 표시한 수수료 납부 방식은 부록 CN(HK). I에


- 77 -


(22 December 2005)

Ordinance Sec. 113124

CN.19.06 TIME LIMITS FOR MEETING THE REQUIREMENTS. An application fora short-term patent and the documents specified under paragraph CN.19.03 may be filed at anytime within six months from entry into the national phase before the State Intellectual PropertyOffice of the People’s Republic of China. The filing and advertisement fees shall be payablewithin one month after the earliest filing of the application.

CN.19.07 ADDRESS FOR SERVICE. The applicant is not required to appoint an agentbut he is required to have an address for service in the HKSAR. The address so furnished shallbe treated for the purpose of the application as the address of the applicant. If the applicantappoints an agent, his agent is required to provide the address in the HKSAR where he residesor carries out his business activities.

Ordinance Sec. 125 CN.19.08 RENEWAL FEES. The term of a short-term patent is eight years from theinternational filing date, subject to payment of the renewal fee. A renewal fee is payable if theproprietor wants to have his short-term patent in force for a further period of four years after theexpiration of the fourth year from the international filing date. Failure to pay the renewal feeleads to the short-term patent ceasing to have effect. However, if the proprietor pays therenewal fee and the additional fee are paid within six months after the specified renewal fee duedate, the patent shall be treated as if it had never expired.

CN.20 RESTORATION. The Ordinance provides for the restoration of standard patentapplications and patents, and the restoration of short-term patents.

- 78 -


Ordinance Sec. 113 124

CN.19.06 요건 준수를 위한 기한. 단기특허출원과 CN.19.03절에 명시된 서류는

중화인민공화국 특허청에 국내단계를 진입한 날로부터 6개월 이내에 언제라도 제출할

수 있다. 제출 및 통보수수료는 출원이 최초 제출된 이후 1달 이내에 납부해야 한다.

CN.19.07 송달주소. 출원인은 대리인을 임명하지 않아도 되지만, HKSAR 내에

송달주소가 있어야 한다. 송달주소로 제출된 주소는 출원 목적을 위한 출원인의

주소로 취급되어야 한다. 출원인이 대리인을 임명하는 경우, 대리인은 본인이

거주하거나 사업 활동을 수행하는 HKSAR 내의 주소를 제공해야 한다.

Ordinance Sec. 125 CN.19.08 갱신료. 단기특허 기한은 갱신료가 납부되는 조건하에 국제출원일 이후

8년으로 한다. 권리자가 국제출원일로부터 4년차 만료 이후 추가 4년 동안

단기특허의 효력 연장을 원하는 경우 갱신료를 납부해야 한다. 갱신료를 납부하지

않는 경우, 단기특허는 그 효력을 중지한다. 단, 권리자가 정해진 갱신료 납기일 이후

6개월 이내에 갱신료와 추가 수수료를 납부하는 경우, 해당 특허는 만료된 적이 없는

것처럼 취급된다.

CN.20 회복. 법령은 표준특허출원과 특허의 회복, 단기특허의 회복을 규정하고 있다.

- 79 -

CNPCT Applicant’s Guide – Volume II – National Chapter – CN Annex CN.I, page 1

models

Filing fee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 900 500

Application publication fee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50 —

Additional filing fee:— for each sheet of the description in excess of 30 sheets . . . . . . . . . . . . . . . 50 50— for each sheet of the description in excess of 300 sheets . . . . . . . . . . . . . . . 100 100— for each claim in excess of 10 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 150 150

Fee for priority claims, per priority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80 80

Surcharge for late entry into the national phase . . . . . . . . . . . . . . . . . . . . . . . . . 1,000 1,000

Handling fee for rectifying errors in translation in the preliminary examination phase 300 300

Handling fee for rectifying errors in translation in the substantive examination phase . 1,200 1,200

Restoration fee for unity of invention . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 900 900

Fee for correcting priority claim . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 300 300

Handling fee for change of bibliographic data:— for change of applicant, inventor or patentee . . . . . . . . . . . . . . . . . . . . . . 200 200— for change of agency or agent . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50 50

Fee for requesting restoration of rights . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1,000 1,000

Fee for requesting extension of time limit:— first time, per month . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 300 300— second time, per month . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2,000 2,000

Maintenance fee, per year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 300 —

Fee for requesting invalidation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3,000 1,500

Re-examination fee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1,000 300

Fee for requesting compulsory license . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 300 200

Fee for requesting adjudication on exploitation fee of compulsory license . . . . . . . . 300 300

Registration fee, printing fee and stamp fee . . . . . . . . . . . . . . . . . . . . . . . . . . . 255 205

Annual fees:— for the 1st to the 3rd years, per year . . . . . . . . . . . . . . . . . . . . . . . . . . . . 900 600— for the 4th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1,200 900— for the 5th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1,200 900— for the 6th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1,200 1,200— for the 7th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2,000 1,200— for the 8th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2,000 1,200— for the 9th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2,000 2,000— for the 10th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4,000 2,000— for the 11th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4,000 —— for the 12th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4,000 —— for the 13th to the 15th years, per year . . . . . . . . . . . . . . . . . . . . . . . . . . . 6,000 —— for the 16th to the 20th years, per year . . . . . . . . . . . . . . . . . . . . . . . . . . . 8,000 —

(22 December 2005)

FEES(Currency: Yuan renminbi)

Patents Utility

Examination fee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2,500 —

- 80 -


수수료

(통화: 위안화)

특허 실용신안

출원료 ·········································································································· 900 500

출원공개료 ···································································································· 50 ___

추가 출원료:

- 30장을 초과하는 명세서 각 장당································································ 50 50

- 300장을 초과하는 명세서 각 장당 ······························································ 100 100

- 10항을 초과하는 각 청구항당····································································· 150 150

우선권주장료(우선권 당) ················································································ 80 80

국내단계 진입 지체 가산료·············································································· 1,000 1,000

예비심사단계 번역문 오류정정 취급수수료.························································ 300 300

실체심사단계 번역문 오류정정 취급수수료.························································ 1,200 1,200

발명의 단일성 회복수수료 ··············································································· 900 900

우선권주장 정정수수료···················································································· 300 300

서지정보 변경 취급수수료

- 출원인, 발명자, 특허권자의 변경································································ 200 200

- 대리인의 변경·························································································· 50 50

권리회복 신청수수료······················································································· 1,000 1,000

심사료 ·········································································································· 2,500 __

기한연장 신청수수료

- 1차(매월) ································································································ 300 300

- 2차(매월)································································································· 2,000 2,000

등록유지료(매년)···························································································· 300 ___

무효신청수수료 ······························································································ 3,000 1,500

재심수수료 ···································································································· 1,000 300

강제실시권 신청수수료 ·················································································· 300 200

강제실시권 사용수수료의 판결신청수수료 ·························································· 300 300

등록, 인쇄, 인지 수수료 ················································································ 255 205

연차료:

- 1년차부터 3년차까지(매년) ········································································ 900 600

- 4년차······································································································ 1,200 900

- 5년차······································································································ 1,200 900

- 6년차······································································································ 1,200 1,200

- 7년차······································································································ 2,000 1,200

- 8년차······································································································ 2,000 1,200

- 9년차······································································································ 2,000 2,000

- 10년차···································································································· 4,000 2,000

- 11년차···································································································· 4,000 ___

- 12년차···································································································· 4,000 ___

- 13년차부터 15년차까지(매년)····································································· 6,000 ___

- 16년차부터 20년차까지(매년)····································································· 8,000 ___

- 81 -

CNAnnex CN.I, page 2 PCT Applicant’s Guide – Volume II – National Chapter – CN

agency appointed by the applicant.

(22 December 2005)


All fees must be paid to the State Intellectual Property Office of the People’s Republic of China through the

- 82 -



수수료 전액은 출원인이 지명하는 대행기관을 통하여 중화인민공화국 국가지식산권국에

납부해야 한다.

- 83 -

CNPCT Applicant’s Guide – Volume II – National Chapter – CN Annex CN.II, page 1

(1 January 2002)- 84 -

CNAnnex CN.II, page 2 PCT Applicant’s Guide – Volume II – National Chapter – CN

(1 January 2002)- 85 -

CNPCT Applicant’s Guide – Volume II – National Chapter – CN Annex CN.II, page 3

(1 January 2002)- 86 - - 87 -

(January 1995)

- 88 -

CN(HK)PCT Applicant’s Guide – Volume II – National Chapter – CN(HK) Annex CN(HK).I, page 1

(28 February 2005)

FEES

(Currency: Hong Kong dollar)

Patents Description AmountForm No.

P1 On reference to the Registrar the question as to who may apply for grant of astandard patent or a licence or whether the period or terms of a licence are reasonable . . . . 190

P1A On application for authorization by the Registrar to carry out directionsunder Section 13(3)(c) or 13(4) of the Patents Ordinance on behalf of the personto whom the directions were given . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 190

P2 On filing of notice of opposition or counterstatement . . . . . . . . . . . . . . . . . . . . . . . . . 325

P4 On filing request to record a designated patent application . . . . . . . . . . . . . . . . . . . . . . 380Advertisement fee for request to record . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68Additional fee for late payment of filing fee or advertisement fee for request to record . . . . 95

P5 On filing request for registration of a designated patent and grant of a standard patent . . . . 380Advertisement fee for request for registration and grant . . . . . . . . . . . . . . . . . . . . . . . . 68Additional fee for late payment of filing fee or advertisement fee for requestfor registration and grant . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95

P6 On filing application for grant of a short-term patent . . . . . . . . . . . . . . . . . . . . . . . . . 755Advertisement fee for application for grant of a short-term patent . . . . . . . . . . . . . . . . . 68Additional fee for late payment of filing fee or advertisement fee for application for

of the Patents Ordinance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135Request for publication of a corrected translation . . . . . . . . . . . . . . . . . . . . . . . . . . . . 190

P9 Maintaining application for standard patent:— application for maintenance for a further year after the expiry of the 5th year . . . . . . . . 270— application for maintenance for any succeeding year thereafter . . . . . . . . . . . . . . . . . 270Additional fee for late payment of maintenance fee . . . . . . . . . . . . . . . . . . . . . . . . . . 95

P10 Renewal of a standard patent:— request for renewal for a further year after the expiry of the 3rd year . . . . . . . . . . . . . . 540— request for renewal for any succeeding year thereafter . . . . . . . . . . . . . . . . . . . . . . 540Additional fee for late payment of a renewal fee for a standard patent . . . . . . . . . . . . . . . 270Renewal of a short-term patent . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1,080Additional fee for late payment of a renewal fee for a short-term patent . . . . . . . . . . . . . . 270

P12 Restoring an application for a standard patent which was deemed withdrawndue to non-payment of maintenance fee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 405Restoring a lapsed standard patent . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 405Restoring a lapsed short-term patent . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 405

grant of a short-term patent . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95

P7 On request for correction of an error under Section 51(2)(b)(ii) or 146

- 90 -


수수료

(통화: 홍콩 달러화)

특허서식

번호

항목 금액

P1

등록과 관련하여 표준특허나 실시권 설정신청의 적격자 또는 실시권 기간의

적절성 여부에 관한 문의시……………………………………………………………… 190

91A

P2

P4

지시를 부여받은 자를 대신하여 특허법령 제13조(3)(c) 또는 제13조(4)에 의한

지시를 수행하기 위한 등록에 따른 허가 신청시 ……………………………………

이의 또는 반대진술의 제출시……………………………………………………………

지정특허출원 기록신청서 제출시………………………………………………………

기록신청에 대한 통보수수료 ……………………………………………………………

기록신청의 출원료 또는 통보수수료의 연체에 대한 추가수수료 …………………

190

325

380

68

95

P5

지정특허 등록과 표준특허 설정신청서 제출시………………………………………… 380

P6

P7

P9

P10

P12

등록 및 설정신청에 대한 통보수수료 …………………………………………………

등록 및 설정신청의 출원료 또는 통보수수료의

연체에 대한 추가수수료 …………………………………………………………………

단기특허 설정신청서 제출시……………………………………………………………

단기특허 설정신청에 대한 통보수수료 ………………………………………………

단기특허 설정신청의 출원료 또는 통보수수료의

연체에 대한 추가수수료 …………………………………………………………………

특허법령 제51조(2)(b)(Ⅱ) 또는 제146조에 따라

착오에 대한 정정 신청시…………………………………………………………………

정정된 번역문의 발표 신청시……………………………………………………………

표준특허 등록유지신청:

- 5년차 만기 이후 1년 등록유지신청 …………………………………………………

- 향후의 연속적인 등록유지신청 ………………………………………………………

등록유지료 연체에 대한 추가수수료 …………………………………………………

표준특허의 갱신:

- 3년차 만기 이후 1년 갱신신청 ………………………………………………………

- 향후의 연속적인 갱신신청 …………………………………………………………

표준특허의 갱신료 연체에 대한 추가수수료 …………………………………………

단기특허의 갱신 …………………………………………………………………………

단기특허의 갱신료 연체에 대한 추가수수료 …………………………………………

등록유지료 미납에 의해 취하간주된 표준특허에 대한 회복신청 …………………

실효된 표준특허의 회복 …………………………………………………………………

실효된 단기특허의 회복 …………………………………………………………………

68

95

755

68

95

135

190

270

270

95

540

540

270

1,080

270

405

405

405

- 91 -

CN(HK)Annex CN(HK).I, page 2 PCT Applicant’s Guide – Volume II – National Chapter – CN(HK)

(28 February 2005)

Patents Description AmountForm No.

P13 Additional fee for reinstatement of a deemed withdrawn patent application . . . . . . . . . . . . 405Additional fee for restoration of rights . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 405

P14 Mention of inventor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135

SP3 Extension fee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 215Penalty fee for late filing of translation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 190

- 92 -


특허서식

번호

P13

항목

취하간주된 특허출원의 회복에 대한 추가수수료 ……………………………………

권리의 회복에 대한 추가수수료…………………………………………………………

금액

405

405

P14

SP3

발명자의 기재………………………………………………………………………………

연장수수료 …………………………………………………………………………………

135

215

번역문의 제출 지연에 대한 과태료 …………………………………………………… 190

- 93 -

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(28 February 2005)- 95 -

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(28 February 2005)- 98 -

P4-1For Official Use

Patents Form P4

Request to record a designated patent application for a standard patent Patents Ordinance (Cap. 514)

Patents (General) Rules (Cap. 514C)

General notes a. Either Chinese or English can be used as the language of proceedings. Please complete this form in

English unless otherwise stated. b. This form must be signed and dated. c. If there is not enough space for any part on this form, please continue on an additional sheet. Number

each additional sheet and state the number of additional sheets in Part 11(a). d. Please enquire through the following means:

E-mail: [email protected] Internet homepage address: www.info.gov.hk/ipd

Submission of application/request In person or by mail with the appropriate fee to the Registrar of Patents, 24/F, Wu Chung House, No. 213 Queen’s Road East, Wanchai, Hong Kong, China. Use of personal data Personal data provided in this form will be used by the Intellectual Property Department and can be disclosed for purposes relating to the administration of the Patents Ordinance and its subsidiary legislation. Registration will protect your intellectual property rights and information in this form is used to process your application. You can obtain information regarding access to and alteration of your personal data in accordance with the Patents Ordinance and its subsidiary legislation by contacting the Registrar of Patents.

01 Your reference

02 Details of applicant (If the name of the applicant is not in Roman letters or in Chinese, please include a

transliteration in Roman letters.) Name Name in Chinese (if applicable) Address


(28 February 2005)- 99 -

P4-203 Is the applicant the person named as the

applicant in the designated patent application?

Please mark the appropriate box

Yes No

If you have marked "No", you need to submit a statement explaining the applicant’s entitlement to apply for the grant of a standard patent and the prescribed documents supporting the statement. (section 15(2)(d), Patents Ordinance and section 9, Patents (General) Rules, which can be viewed at www.info.gov.hk/ipd)

Statement

Note 1 You must state the title of the invention in both English and Chinese.

04 Title of invention (Note 1) English

Chinese

05 Details of designated patent application

(a) Application no.

(b) Filing date (DD-MM-YYYY)

(c) Publication no. (if any)

(d) Publication date (if any) (DD-MM-YYYY)


(28 February 2005)- 100 -

P4-3 06 Details of international application If the designated patent application is

based on

(a) International application no.

(b) International filing date (DD-MM-YYYY)

(c) International publication no.

(d) International publication date (DD-MM-YYYY)

(e) Date of publication in the designated patent office indicating that the international application has validly entered the national phase

(if different from the date of publication in Part 05(d) above)

or Date of issuance of the National

Application Notification by the State Intellectual Property Office, People’s Republic of China

(section 16, Patents Ordinance and

section 15, Patents (General) Rules, which can be viewed at www.info.gov.hk/ipd)

Please mark the appropriate box and enter the date in the space provided if applicable

(DD-MM-YYYY)

(DD-MM-YYYY)

Note 2 A claim of earlier application date may be made under:

(a) section 22, Patents Ordinance for divisional application; (b) section 55, Patents Ordinance for new application filed on court order upon determination of right to patent after grant.

The Patents Ordinance can be viewed at www.info.gov.hk/ipd.

07 Details of earlier application If the application is divided or derived

from an earlier Hong Kong SAR application (Note 2)


(a) Section under which an earlier application is claimed

Patents Ordinance Section 22 Section 55

(b) Earlier application no.

(c) Earlier application filing date (DD-MM-YYYY)

(d) Publication date of the request to record of the earlier application

(DD-MM-YYYY)


(28 February 2005)- 101 -

P4-4 08 Priority (please do not submit the priority document) Where a claim of priority under section 98, Patents Ordinance is made, please provide a statement

and details in accordance with section 15(2)(e), Patents Ordinance which can be viewed at www.info.gov.hk/ipd.

Statement Country/Territory/Area Priority application no. Priority application

filing date (DD-MM-YYYY)

09 Name of inventor (If the name of the inventor is not in Roman letters or in Chinese, please include a

transliteration in Roman letters.) If the designated patent application does not contain the inventor’s name, please provide a statement

identifying the person(s) the applicant believes to be the inventor(s). (section 15(2)(b), Patents Ordinance, which can be viewed at www.info.gov.hk/ipd) Statement Name Name in Chinese (if applicable)

Note 3 Please refer to section 95, Patents Ordinance for claim of non-prejudicial disclosure. The Patents Ordinance can be viewed at

www.info.gov.hk/ipd.

Statement Name and place of the exhibition or meeting

Opening date of the exhibition or meeting (DD-MM-YYYY)

Date of first disclosure (DD-MM-YYYY)

10 Non-prejudicial disclosure Where a claim of non-prejudicial

disclosure is made, please provide a statement and prescribed details in accordance with section 15(2)(f), Patents Ordinance and section 10, Patents (General) Rules respectively which can be viewed at www.info.gov.hk/ipd. (Note 3)


(28 February 2005)- 102 -

P4-5 11 Enter the no. of sheets for any of the

following documents you are filing with this form

No. of sheets

(a) Additional sheet(s) attached to this form

(b) Copy of the designated patent application as published

(c) In the case of an international application, copy of :

(i) the international application as

published by the International Bureau

(ii) translation of the international application published by the designated patent office

(iii) publication of information in the designated patent office concerning the international application

(d) Translation of abstract

(e) Statement explaining the applicant’s entitlement to apply and the prescribed documents supporting the statement

(f) Others (please specify)

Note 4 An address for service in Hong Kong, China must be supplied.

12 Address for service in Hong Kong,

China (Note 4)

Name

Address

Telephone no.

Facsimile no.

E-mail address


(28 February 2005)- 103 -

P4-6 Note 5 If you are an agent, an address in Hong Kong, China where you reside or carry on your business activities must be supplied.

13 Agent's address (Note 5)

14 Signature

Signature

Name and Official Capacity of Signatory

Date (DD-MM-YYYY)


(28 February 2005)- 104 -

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(28 February 2005)- 105 -

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(28 February 2005)- 106 -

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(28 February 2005)- 107 -

P5-1

Patents Form P5

Request for registration of a designated patent and grant of a standard patent

Patents Ordinance (Cap. 514)


Patents (Transitional Arrangements) Rules (Cap. 514B)

General notes a. Please complete this form in English unless otherwise stated. b. This form must be signed and dated. c. If there is not enough space for any part on this form, please continue on an additional sheet. Number



Submission of application/request In person or by mail with the appropriate fee to the Registrar of Patents, 24/F, Wu Chung House, No. 213 Queen’s Road East, Wanchai, Hong Kong, China. Use of personal data Personal data provided in this form will be used by the Intellectual Property Department and can be disclosed for purposes relating to the administration of the Patents Ordinance and its subsidiary legislation. Registration will protect your intellectual property rights and information in this form is used to process your application. You can obtain information regarding access to and alteration of your personal data in accordance with the Patents Ordinance and its subsidiary legislation by contacting the Registrar of Patents. 01 Your reference

02 Details of the corresponding request to record published

Application no.

Publication no.

Date of publication (DD-MM-YYYY)


(28 February 2005)- 108 -

P5-203 Details of applicant (If the name of the applicant is not in Roman letters or in Chinese, please include a


04 Is the applicant the person named as the

applicant for the Hong Kong SAR standard patent in the register?


Yes No

If you have marked "No", you need to submit a statement explaining the applicant’s entitlement to apply for the grant of a standard patent and the prescribed documents supporting the statement. (section 23(3)(b), Patents Ordinance and section 20, Patents (General) Rules, which can be viewed at www.info.gov.hk/ipd)

Statement

Note 1 You must state the title of the invention in both English and Chinese.


Chinese

06 Details of designated patent

(a) Publication no.

(b) Date of grant (DD-MM-YYYY)

(c) Date of publication (if different from the date of grant) (DD-MM-YYYY)


(28 February 2005)- 109 -

P5-307 Enter the no. of sheets for any of the

following documents you are filing with this form

No. of sheets


(b) Copy of the published specification of the corresponding designated patent

(c) Statement explaining the applicant's entitlement to apply and the prescribed documents supporting the statement

(d) Others (please specify)

08 If a copy of the published specification of the corresponding designated patent is filed with this form, please confirm by marking the box

Please mark if applicable

I/We confirm that the attached copy of the specification is a true copy of the document issued by or kept at the relevant designated patent office.

Note 2 An address for service in Hong Kong, China must be supplied.


China (Note 2)

Name

Address

Telephone no.

Facsimile no.

E-mail address

Note 3 If you are an agent, an address in Hong Kong, China where you reside or carry on your business activities must be supplied.


11 Signature

Signature


Date (DD-MM-YYYY)


(28 February 2005)- 110 -

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(28 February 2005)- 111 -

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(28 February 2005)- 115 -

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(28 February 2005)- 116 -

P6-1For Official Use

Patents Form P6

Request for grant of a short-term patent Patents Ordinance (Cap. 514)


General notes a. Either Chinese or English can be used as the language of proceedings. Please complete this form in

English unless otherwise stated. b. This form must be signed and dated. c. If there is not enough space for any part on this form, please continue on an additional sheet. Number



Submission of application/request In person or by mail with the appropriate fee to the Registrar of Patents, 24/F, Wu Chung House, No. 213 Queen’s Road East, Wanchai, Hong Kong, China. Use of personal data Personal data provided in this form will be used by the Intellectual Property Department and can be disclosed for purposes relating to the administration of the Patents Ordinance and its subsidiary legislation. Registration will protect your intellectual property rights and information in this form is used to process your application. You can obtain information regarding access to and alteration of your personal data in accordance with the Patents Ordinance and its subsidiary legislation by contacting the Registrar of Patents. 01 Your reference

02 Details of applicant (If the name of the applicant is not in Roman letters or in Chinese, please include a



(28 February 2005)- 117 -

P6-2 Note 1 You must state the title of the invention in both English and Chinese.


Chinese

04 Use of micro-organisms

(a) Does the invention require the use of a micro-organism for its performance?

Please mark the appropriate box Yes No

(b) If you have marked “Yes”, please indicate whether the micro-organism is available to the public at the date of filing of the application; and

Yes No

whether the micro-organism is described in the application or the specification of the patent in such a manner as to enable the invention to be performed by a person skilled in the art.

Yes No

(c) If you have marked “No” in bothboxes in (b), please give the following details:

Name and address of the

depositary institution where a culture of the micro-organism is deposited

Name Address

Date of deposit (DD-MM-YYYY)

Accession no. of the deposit

(section 73 and Schedule 1, Patents (General) Rules, which can be viewed at www.info.gov.hk/ipd)


(28 February 2005)- 118 -

P6-305 Details of international application

If the short-term patent application is based on

(a) International application no.

(b) International filing date (DD-MM-YYYY)

(c) International publication no.

(d) International publication date (DD-MM-YYYY)

(e) Date of entry into the national phase in the People's Republic of China

or

Please mark the appropriate box and enter the date in the space provided

(DD-MM-YYYY)

Date of issuance of the National Application Notification by the State Intellectual Property Office, People's Republic of China

(DD-MM-YYYY)

(f) Application no. of the Chinese patent application (if known)

(section 125, Patents Ordinance and section 78, Patents (General) Rules, which can be viewed at www.info.gov.hk/ipd)

Note 2 A claim of earlier application date may be made under:

(a) section 116, Patents Ordinance for divisional application; (b) section 55, Patents Ordinance for new application filed on court order upon determination of right to patent after grant. The Patents Ordinance can be viewed at www.info.gov.hk/ipd.

06 Details of earlier application

If the application is divided or derived from an earlier Hong Kong SAR application (Note 2)

Please mark the appropriate box Patents Ordinance

(a) Section under which an earlier application is claimed

Section 116 Section 55

(b) Earlier application no.

(c) Earlier application filing date (DD-MM-YYYY)


(28 February 2005)- 119 -

P6-407 Details of priority application If a statement of claim of priority under section 111, Patents Ordinance is made, please provide a

statement and details in the space below: (sections 58(5)(c), 69, Patents (General) Rules, which can be viewed at www.info.gov.hk/ipd)

Statement

Country/Territory/Area Priority application no. Priority application

filing date (DD-MM-YYYY)

Note 3 If the applicant is not the sole inventor or the applicants are not the joint inventors, a statement identifying the inventor(s) and

indicating the derivation of the applicant's entitlement to exercise his right to the short-term patent shall be made on Form P6A (section 113(2)(c), Patents Ordinance and section 65, Patents (General) Rules, which can be viewed at www.info.gov.hk/ipd).

08 Details of inventor (If the name of the inventor is not in Roman letters or in Chinese, please include a

transliteration in Roman letters.) (Note 3)

Name Name in Chinese (if applicable) Address

Note 4 Please refer to section 109, Patents Ordinance and sections 58(5)(e), 58(5)(f), 70, Patents (General) Rules for claim of

non-prejudicial disclosure. The Patents Ordinance and Patents (General) Rules can be viewed at www.info.gov.hk/ipd.

Statement

Name and place of the

exhibition or meeting

Opening date of the exhibition or

meeting (DD-MM-YYYY)

Date of first disclosure

(DD-MM-YYYY)

09 Non-prejudicial disclosure If the applicant is making a claim regarding non-prejudicial disclosure under section 109, Patents Ordinance, please provide a statement giving details relating to such disclosure.

(Note 4)


(28 February 2005)- 120 -

P6-510 If a request for deferral of grant under

section 119, Patents Ordinance is required, please mark the box and enter the period of such deferral. The Patents Ordinance can be viewed at www.info.gov.hk/ipd.

(The period of deferral should not exceed 12 months.)

(If the box is not marked, it will be taken that deferral of grant is not requested.)

Request for deferral of grant up to (DD-MM-YYYY)

11 Enter the no. of sheets for any of the following documents you are filing with this form

No. of sheets


(b) Description

(c) Claim(s)

(d) Drawing(s)

(e) Abstract (in both English and Chinese)

(f) Priority document(s)

(g) Translation of the priority document(s)

(h) Search report

(i) Translation of the search report

(j) In the case of an international application, copy of :

(i) the international application as published by the International Bureau

(ii) the international search report

(iii) translation as published by the State Intellectual Property Office, People's Republic of China

(iv) publication of information by the State Intellectual Property Office, People's Republic of China concerning the international application

(k) Statement of inventorship on Form P6A in accordance with section 113(2)(c), Patents Ordinance and section 65, Patents (General) Rules

(l) Others (please specify)


(28 February 2005)- 121 -

P6-6 Note 5 An address for service in Hong Kong, China must be supplied.


China (Note 5)

Name

Address

Telephone no.

Facsimile no.

E-mail address

Note 6 If you are an agent, an address in Hong Kong, China where you reside or carry on your business activities must be supplied.


14 Signature

Signature


Date (DD-MM-YYYY)


(28 February 2005)- 122 -

3. 일 본

PCT Applicant’s Guide – Volume II – National Chapter – JP

(31 May 2007)

JAPAN PATENT OFFICEAS


CONTENTS

THE ENTRY INTO THE NATIONAL PHASE — SUMMARY


ANNEXES

Fees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Annex JP.IForm No. 53: Transmittal form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Annex JP.IIForm No. 52: Form under the Provisions of Section 184-4(4) of the Patent Law . . . . . . . . . . . Annex JP.IIIForm No. 54: Submission of a translation (copy) of an amendment . . . . . . . . . . . . . . . . . . . . Annex JP.IVForm No. 44: Request for examination of application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Annex JP.VForm No. 55: Request for review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Annex JP.VIPower of attorney . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Annex JP.VII


Office: Japan Patent Office

PL: Patent Law of Japan

PR: Patent Regulations under the Patent Law of Japan

UML: Utility Model Law of Japan

Sec.: Section

- 124 -

일본 특허청

일본 특허청


목 차


국내단계 절차

부록

수수료 ··············································································································· 부록 JP.Ⅰ

서식 No.53:송달서식 ··························································································· 부록 JP.Ⅱ

서식 No.52: 특허법 제184-4(4)조 규정에 따른 서식 ············································· 부록 JP.Ⅲ

서식 No.54: 보정서 번역문(사본) 제출서 ···························································· 부록 JP.Ⅳ

서식 No.44: 출원심사 청구서 ·············································································· 부록 JP.Ⅴ

서식 No.55: 검사 신청서 ····················································································· 부록 JP.Ⅵ

위임장 ·············································································································· 부록 JP.Ⅶ

약어 목록:

특허청: 일본 특허청

PL: 일본 특허법

PR: 일본 특허법에 따른 특허규정

UML: 일본 실용신안법

Sec.: 조항

- 125 -


(31 May 2007)

SUMMARY Designated(or elected) Office

SUMMARY

JP JAPAN PATENT OFFICE JPSummary of requirements for entry into the national phase

Time limits applicable for entry into thenational phase:

Under PCT Article 22(1): 30 months from the priority dateUnder PCT Article 39(1)(a): 30 months from the priority date

Translation of international applicationrequired into:1 Japanese

Required contents of the translation forentry into the national phase:

Under PCT Article 22: Description, claims (if amended, asoriginally filed or as amended, or both as originally filed and asamended, at applicant’s option2), any text matter of drawings,abstractUnder PCT Article 39(1): Description, claims, any text matter ofdrawings, abstract (if any of those parts has been amended, both asoriginally filed and as amended by the annexes to the internationalpreliminary examination report2)

Is a copy of the international applicationrequired? No3

National fee:4 Currency: Japanese yen (JPY)For patent:

Filing fee:—for international applications filed

on or after 1 April 2004: JPY 16,000—for international applications filed

on or before 31 March 2004: JPY 21,000For utility model:

Filing fee: JPY 14,000

Exemptions, reductions or refunds of thenational fee:

None, but the fee for request for examination is reduced where aninternational search report has been established


_____________1 The time limit for submission of the Japanese translation of the international application is two months from the date of submission

of Form 53 (see PCT Applicant’s Guide, Volume II, Annex JP.II) or 30 months from the priority date (under PCT Article 22(1)or 39(1)(a)), whichever expires later.

2 Where no translation of amendments is filed, the amendments are considered not to have been made. However, amendments maybe made as specified in paragraph JP.10 of the JP national chapter.

3 Where the international application was filed in Japanese, a copy of any amendments under PCT Articles 19 and 34 may berequired, if the communication under Article 20 has not taken place within the time limit applicable under Article 22 or 39(1) or ifan express request for early processing was filed under Article 23(2).

4 If not already paid within the applicable time limit under PCT Article 22 or 39(1), the Office will invite the applicant to pay thenational fee within a time limit fixed in the invitation. Where the translation of the international application is submitted in paperform, a special fee for conversion into electronic format is required.

- 126 -

일본 특허청


JP 일본 특허청 JP




진입시 필요한 국제출원의 번역언어: 1 일본어

국내단계 진입에 필요한 번역문 내용: PCT 제22조: 명세서, 청구범위 (청구범위가 보정이 이루어진

경우, 출원인의 선택에 따라 원본 청구범위나 보정된 청구범위,

또는 둘 다 제출2), 도면 및 요약서

PCT 제39조(1): 명세서, 청구범위, 도면 및 요약서 (보정이

이루어진 경우, 원본 번역문과 국제예비심사보고서의 부속서류에

따라 보정된 번역문을 모두 제출2)

국제출원 사본이 필요한가? 아니오3

국내수수료; 4 통화: 일본 엔화(JPY)

특허:

출원료:

- 2004년 4월 1일 이후 출원한 국제출원: JPY 16,000

- 2004년 3월 31일 이전에 출원한 국제출원: JPY 21,000

실용신안:

출원료: JPY 14,000

국내수수료 면제, 감면, 반환: 없음. 단, 국제조사보고서가 작성된 경우 심사청구료를

감면한다.


1 국제출원의 일본어 번역문 제출 기한은 서식 No.53(PCT Application’s Guide, Ⅱ권, 부록 JP.Ⅱ참고)의 제출일로부터 2개월

또는 우선일로부터 30개월(PCT 제22조(1)이나 제39조(1)(a)에 따라) 중 늦게 만료되는 날로 한다.

2 보정서의 번역문을 제출하지 않는 경우, 보정은 실시하지 않은 것으로 간주된다. 단, JP 국내단계 절차 JP.10절에 명시된 대로

보정서를 작성할 수 있다.

3 일본어로 출원된 국제출원의 경우, 조약 제22조나 제39조(1)에 규정된 기한 내에 제20조에 따라 송달이 발생하지 않았거나

제23조(2)에 따라 조기진입을 위한 명시적 청구를 한 경우, PCT 제19조나 제34조에 의거한 보정서 사본이 필요할 수 있다.

4 PCT 제22조나 제39조(1)에 규정된 기한 내에 납부되지 않은 경우, 특허청은 출원인에게 통지서에 정한 기한 내에 국내수수료를

납부하도록 명한다. 국제출원 번역문을 서면으로 제출한 경우, 전자화를 위한 특별 수수료를 납부해야 한다.

- 127 -


(31 May 2007)


SUMMARY

JP JAPAN PATENT OFFICE[Continued]

JP

Special requirements of the Office(PCT Rule 51bis):

When the applicant is a legal entity, indication of the name of anofficer representing that entity5 (the indication of such a name is notrequired where the legal entity is represented by a patent attorney)Appointment of an agent if the applicant is not resident in Japan6

Where the person, the name or the residence of the applicant ischanged during the international phase and the change has not beenreflected in the PCT pamphlet or in a Notification of the Recordingof a Change (Form PCT/IB/306), a statement indicating the change(preferably on a special request form) and, in case of a change in theperson of the applicant, a document evidencing the change7

Where a change (addition and/or deletion) in the person of theinventor during the international phase has not been reflected in thePCT pamphlet or in a Notification of the Recording of a Change(Form PCT/IB/306), the correct indications relating to the inventor(preferably on a special transmittal form (Form 53)), a statementexplaining the reasons for the change and a written oath of allinventors7

Furnishing, where applicable, of a nucleotide and/or amino acidsequence listing in electronic form

Who can act as agent? Any patent attorney, attorney-at-law or other person resident inJapan, or firm registered to practice before the Office

Does the Office accept requests forrestoration of the right of priority(PCT Rule 49ter.2)? No

______________5 If not already complied with within the time limit applicable under PCT Article 22 or 39(1), the Office will invite the applicant to

comply with the requirement within a time limit fixed in the invitation.6 Must be appointed within three months after the expiration of the time limit applicable under PCT Article 22 or 39(1); there will be

no invitation.7 Must be furnished within the time limit applicable under PCT Article 22 or 39(1); if not furnished, the Office will invite the

applicant to comply with the requirement within a time limit fixed in the invitation.

- 128 -

일본 특허청


JP 일본특허청 JP

[계속]


(PCT 규칙 51bis):

출원인이 법인인 경우, 해당 법인을 대표하는 임원의 성명

표시5 (변리사가 법인을 대리하는 경우에는 해당 성명을

표시할 필요가 없다).

출원인이 일본에 거주하지 않는 경우, 대리인의 임명6

국제단계 동안 출원인의 신원이나 성명, 주소가 변경되었지만

그 같은 변화가 PCT 팸플릿 또는 변경기록통지서(PCT/IB/306

서식)에 반영되지 않은 경우, 그 같은 변화를 표시하는

진술서(가급적 특별신청서에 기재)와, 출원인의 신원이

변경된 경우 이를 입증하는 서류7

국제단계 동안 발명자의 신원 변경(추가 그리고/또는 삭제)이

PCT 팸플릿이나 변경기록통지서(PCT/IB/306 서식)에

반영되지 않은 경우, 발명자에 관한 정확한 표시(가급적

특별송달서식에 기재(서식 No.53))와 변경 사유를 설명하는

진술서, 발명자 전원의 서면 서약서7

가능하면 핵산염기 및 아미노산 서열목록을 전자적 형태로

제출

대리인 자격이 있는 자는? 변리사나 변호사, 일본에 거주하는 기타 개인, 혹은 특허청에

개업 등록된 회사



아니오.

5 PCT 제22조나 제39조(1)에 규정된 기한 내에 준수하지 않은 경우, 특허청은 출원인에게 통지서에서 정한 기한 내에 요건을 준

수할 것을 명한다.

6 PCT 제22조나 제39조(1)에 규정된 기한이 만료된 이후 3개월 이내에 임명해야 한다. 통지서는 발부되지 않는다.

7 PCT 제22조나 제39조(1)에 규정된 기한 내에 제출해야 한다. 제출하지 않은 경우, 특허청은 출원인에게 통지서에서 정한 기한

내에 요건을 준수하도록 명한다.

- 129 -


(30 November 2006)


PL Sec. 184-5 JP.01 FORMS AND PROCEDURES FOR ENTERING THE NATIONAL PHASE.The Office has available a special transmittal form (Form No. 53) for entering the national phase(see Annex JP.II). This form should preferably be used when effecting the payment of thenational fee (see paragraph JP.04) and for the furnishing of the translation of the internationalapplication into Japanese. The time limit for submission of the Japanese translation of theinternational application is two months from the date of submission of Form No. 53 (seeAnnex JP.II) or 30 months from the priority date (under PCT Article 22(1) or 39(1)(a)),whichever expires later. If amendments have been filed with the International Bureau underPCT Article 19, Form No. 52 (see Annex JP.III) should preferably be used for the furnishing ofa translation of such amendments into Japanese, or where the international application has beenfiled in Japanese, Form No. 54 (see annex JP.IV) should preferably be used for the furnishing ofa copy of such amendments (see paragraph JP.03). Any document required for entry into thenational phase may be submitted in paper form or online, in electronic format. However, anydocument submitted in paper form will be converted by the Office into electronic format andsubjected to the payment of a special fee.

PL Sec. 184-4PL Sec. 184-12(2)

JP.02 TRANSLATION (AMENDMENT). The translation into Japanese of the internationalapplication can be amended within the scope of the matter disclosed in the translation (seeparagraph JP.10). However, for international applications filed on or after 1 July 1995, anamendment to the matter disclosed in the international application but not contained in thetranslation may be effected by submitting a written correction of the incorrect translation.

PL Sec. 184-7(1) JP.03 COPY OF AMENDMENTS UNDER PCT ARTICLE 19 FILED INJAPANESE. Where the international application was filed in Japanese and where amendmentshave been filed under PCT Article 19 with the International Bureau, a copy of such amendmentsmust be furnished to the Office within the time limit applicable under PCT Article 22 or 39(1) ifexceptionally the applicant has not received Form PCT/IB/308 and the Office has not received acopy of the amendments from the International Bureau under PCT Article 20.

JP.04 FEES (MANNER OF PAYMENT). The manner of payment of the fees indicated inthe Summary and in this Chapter is outlined in Annex JP.I.

PCT Rule 90PL Sec. 8PR Sec. 2(2)

JP.05 POWER OF ATTORNEY. An agent must be appointed by filing a power ofattorney. Where the power of attorney is in a language other than Japanese, a Japanesetranslation is required. A model is given in Annex JP.VII (page 1 in English translation, page 2in Japanese).

PL Sec. 48-248-4

JP.06 REQUEST FOR EXAMINATION. A patent will be granted only after examinationas to patentability which may be requested by the applicant or by a third party. The request forexamination must be made in Japanese on Form No. 44 which is given in Annex JP.V. Therequest may be submitted in paper form; in addition, where an international application enteredthe national phase on or after 1 January 2000, the request may also be submitted in electroniconline format. However, the one submitted in paper form will be converted by the Office intoelectronic format and subjected to the payment of a special fee.

PL Sec. 48-3184-17

JP.07 TIME LIMIT FOR REQUESTING EXAMINATION. Examination must berequested within three years from the international filing date. Such request can only be madeonce all requirements for entry into the national phase have been complied with. The request forexamination is considered by the Office as a request for early start of the national phase if it ismade before the expiration of the time limit applicable under PCT Article 22 or 39(1) (seeVolume II, General Part, Chapters II and III).

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일본 특허청

국내단계 절차

PL Sec. 184-5

JP.01 국내단계 진입을 위한 서식 및 절차. 특허청은 국내단계 진입을 위한

특별송달서식(서식 No.53)을 제공한다(부록 JP.Ⅱ 참고). 국내수수료

납부(JP.04절 참고)와 국제출원의 일본어 번역문 제출을 위해 본 서식을

우선적으로 사용한다. 국제출원의 일본어 번역문 제출기한은 서식 No.53의

제출일로부터 2개월(부록 JP.Ⅱ 참고) 또는 우선일로부터 30개월(PCT

제22조(1)이나 제39조(1)(a)에 따라) 중 늦게 만료되는 날로 한다. PCT

제19조에 따라 국제사무국에 보정서를 제출한 경우 해당 보정서의 일본어

번역문 제출을 위해 서식 No.52(부록 JP.Ⅲ 참고)를 우선적으로 사용하거나,

국제출원을 일본어로 출원한 경우 해당 보정서의 사본(JP.03절 참고) 제출을

위해 서식 No.54(부록 JP.Ⅳ 참고)를 우선적으로 사용한다. 국내단계 진입에

필요한 서류는 종이나 온라인, 전자적 형태로 제출할 수 있다. 단, 종이로

제출하는 문서는 특허청이 전자적 형태로 변환시키며, 이에 대해서는 특별

수수료를 납부해야 한다.

PL Sec. 184-4 PL Sec. 184-12(2)

JP.02 번역문 (보정). 국제출원의 일본어 번역문은 번역문에 공개된 범위

내에서 보정할 수 있다(JP.10절 참고). 단, 1995년 7월 1일 이후 출원된

국제출원의 경우, 국제출원에 공개되었으나 번역문에 포함되지 않은 보정은

부정확한 번역문의 서면정정서를 제출하여 달성할 수 있다.

PL Sec. 184-7(1)

JP.03 일본어로 제출된 PCT 제19조 보정서 사본. 국제출원을 일본어로

출원하고 PCT 제19조에 따라 국제사무국에 보정서를 제출한 경우, 출원인이

예외적으로 PCT/IB/308 서식을 수령하지 않았고, 특허청이 PCT 제20조에

따라 국제사무국으로부터 보정서 사본을 수령받지 않았다면, 해당 보정서

사본은 PCT 제22조나 제39조(1)에 규정된 기한 내에 특허청에 제출해야

한다.

JP.04 수수료 (납부 방식). 요약과 본 장에 표시한 수수료 납부 방식은 부록

JP.I에 설명되어 있다.

PCT Rule 90 PL Sec. 8 PR Sec. 2(2)

JP.05 위임장. 대리인을 임명할 때는 위임장을 제출해야 한다. 위임장이

일본어 외의 언어로 작성된 경우, 일본어의 번역문을 제출해야 한다. 견본은

부록 JP.Ⅶ에 제공하였다(1페이지는 영어 번역문, 2페이지는 일본어 번역문).

PL Sec. 48-2

48-4

JP.06 심사청구. 출원인이나 제3자가 청구하는 특허성에 대한 심사를 거친

후에 특허를 부여한다. 심사청구는 부록 JP.V에 제공된 서식 No.44를

사용하여 일본어로 작성해야 한다. 청구는 종이로 제출할 수 있다. 뿐만

아니라 2000년 1월 1일 이후 국내단계를 진입하는 국제출원의 경우, 청구는

전자적 온라인 형태로도 제출할 수 있다. 단, 종이로 제출한 청구서는

특허청이 전자적 형태로 변환하며, 이에 대해서는 특별 수수료를 납부해야

한다.

PL Sec. 48-3 184-17

JP.07 심사청구 기한. 심사는 국제출원일로부터 3년 이내에 청구해야 한다.

청구는 국내단계 진입 요건을 모두 만족하는 경우에만 가능하다. PCT

제22조나 제39조(1)에 규정된 기한이 만료되기 이전에 청구되는 경우,

특허청은 심사청구를 국내단계 조기진입에 대한 신청으로 간주한다(Ⅱ권, 총칙,

Ⅱ 및 Ⅲ장 참고).

- 131 -


(30 November 2006)

PL Sec. 195(2) JP.08 FEE FOR REQUESTING EXAMINATION. The request for examination is onlyeffective if the fee for requesting examination has been paid. The amount of the fee is indicatedin Annex JP.I.

PL Sec. 107108112

JP.09 ANNUAL FEES. Annual fees for the first to the third year must all be paid at oneand the same time within 30 days after receipt of the decision to grant a patent. The annual feesfor the fourth and subsequent years must be paid before the expiration of the year preceding theanniversary of the day of publication of the examined patent application. Payment can still bemade, together with a 100% surcharge for late payment, before the expiration of six monthsfrom the anniversary of the publication date. The amounts of the annual fees are indicated inAnnex JP.I. Payment must be effected by filing Form No. 69 (for annual fees for the first to thethird year) or Form No. 70 (for subsequent years). These forms can be obtained from the Office.

PCT Art. 28PL Sec. 184-12(1)

17(2)17-2

JP.10 AMENDMENT OF THE APPLICATION; TIME LIMITS. After furnishing thespecial transmittal form (Form No. 53) for entering the national phase, effecting payment of thenational fee and furnishing the translation of the international application into Japanese, andafter expiration of the time limit (if the applicant makes a request for examination earlier thanthe time limit, at the time of filing the request) applicable under PCT Article 22 or 39(1), priorto the transmittal of the grant of a patent, amendments may be made to the description, claims ordrawings within the scope of the matter disclosed in the international application (description,claims or drawings) as originally filed (or as translated into Japanese, see paragraph JP.02).However, in response to the final notification of reasons for refusal, claims may be amendedonly to the extent that reexamination is not necessary. The amendments may be made:

(i) within a time limit fixed in the first notification of reasons for refusal;

(ii) within a time limit fixed in the final notification of reasons for refusal;

(iii) where the applicant has filed an appeal against the decision that the application isto be refused by an examiner, within 30 days from the filing date of the appeal.

PCT Art. 25PCT Rule 51PL Sec. 184-20PR Sec. 38-7

to 38-9

JP.11 REVIEW UNDER ARTICLE 25 OF THE PCT. The applicable procedure isoutlined in paragraphs 63 to 66 of the General Part of this Volume. The request to the Officeshould be filed with Form No. 55, given in Annex JP.VI. If, upon review under PCT Article 25,the Office denies an error or omission on the part of the receiving Office or the InternationalBureau, an administrative appeal against this denial may be lodged within 60 days from thereceipt of the denial. The Commissioner of the Office will then decide on the appeal.

PCT Art. 24(2)48(2)

JP.12 EXCUSE OF DELAYS IN MEETING TIME LIMITS. The Office does notexcuse the failure to comply with a time limit, either during the international phase or during thenational phase. Non-observance of the time limit for the entry into the national phase will onlybe excused in the cases expressly indicated in the Summary.

PCT Art. 4(3)43

PCT Rules 49bis.1(a)76.5

UML Sec. 48-5(1)

JP.13 UTILITY MODEL. Subject to what is said in paragraph JP.15, if the applicantwishes to obtain a utility model instead of a patent in Japan, on the basis of an internationalapplication, for international applications filed before 1 January 2004, this must have beenindicated in the international application (in Box No. V of the request) when filed; forinternational applications filed on or after 1 January 2004, since the request form no longerprovides for the furnishing of such an indication, the applicant, when performing the actsreferred to in PCT Article 22 or 39, shall so indicate to the Office.

PCT Art. 7(2)(ii)PCT Rule 7.2UML Sec. 48-7

JP.14 Where, in the case referred to in paragraph JP.13, the international application doesnot contain drawings, the applicant must furnish the drawing(s) within the time limit applicableunder PCT Article 22 or 39(1) (if the applicant makes a request for national processing earlierthan the time limit, at the time of filing the request). Where the applicant does not furnish thedrawing(s) within that time limit, the Office will invite him to furnish the drawing(s) within atime limit fixed in the invitation. Where an international application for a patent is convertedinto a utility model application (see paragraph JP.17), the drawing(s) must be submitted with therequest for conversion.

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일본 특허청

PL Sec. 195(2) JP.08 심사청구료. 심사청구료를 납부하는 경우에만 심사청구의 효력이

인정된다. 수수료 액수는 부록 JP.I에 기재되어 있다.

PL Sec. 107

108 112

JP.09 연차료. 1년차부터 3년차 연차료는 특허부여결정서를 수령한 이후 30일

이내에 일괄 납부해야 한다. 4년차 그리고 그 이후에 대한 연차료는 심사된

특허출원의 공개 기념일의 이전 연도가 만료되기 전에 납부해야 한다. 공개

기념일로부터 6개월이 만료되기 전까지 연차료와 연체가산료의 100%가

납부되어야 한다. 연차료 액수는 부록 JP.I에 기재하였다. 연차료 납부는 서식

No.69(1년차부터 3년차에 대한 연차료) 또는 서식 No.70(후속 연도의 경우)을

제출해야 효력을 갖는다. 서식은 특허청에서 구할 수 있다.

PCT Art. 28 PL Sec. 184-12(1)

17(2) 17-2

JP.10 출원의 보정; 기한. 국내단계 진입, 국내수수료 납부 및 국제출원의

일본어 번역문 제출을 위한 특별송달서식(서식 No.53)을 제출한 후, 그리고

PCT 제22조나 제39조(1)에 규정된 기한이 만료된 이후(출원인이 기한 이전에

심사청구 하는 경우에는 청구시), 또한 특허부여의 송달 이전에는

출원시의(또는 일본어로 번역된, JP.02절 참고) 국제출원(명세서, 청구범위,

도면)의 공개 범위 내에서 명세서나 청구범위, 도면을 보정할 수 있다.

단, 최종 거절이유통지서에 답변 시, 청구범위는 재심사가 필요 없는 한도

내에서만 보정할 수 있다. 보정서는 아래와 같이 작성할 수 있다.

(i) 최초의 거절이유통지서가 정하는 기한 내에;

(ii) 최종 거절이유통지서가 정하는 기한 내에;

(iii) 출원인이 심사관에 의해 각하될 결정에 반하는 소송을 제출하는

경우, 소송일로부터 30일 이내.

PCT Art. 25 PCT Rule 51 PL Sec. 184-20 PR Sec. 38-7

to 38-9

JP.11 PCT 제25조에 따른 검사. 해당 절차는 본 권 총칙 제63절부터

제66절에 설명되어 있다. 특허청에 대한 신청은 부록 JP.Ⅵ에서 제공하는 서식

No.55를 사용하여 제출해야 한다. PCT 제25조에 따른 검사에서 특허청이

수리관청이나 국제사무국 측의 착오나 누락을 부인하는 경우, 부인사실을

접수한 날로부터 60일 이내에 이러한 부인에 반하는 행정심판을 제기할 수

있다. 이때 특허청장은 행정심판을 판정해야 한다.

PCT Art. 24(2) 48(2)

JP.12 준수되지 아니한 기한의 용인. 특허청은 국제 또는 국내단계 동안 기한

준수 불이행을 면책하지 않는다. 국내단계 진입에 대한 기한 준수 불이행은

요약서에서 명시적으로 표시한 경우에 한하여만 면책된다.

PCT Art. 4(3) 43

PCT Rules 49bis.1(a) 76.5

UML Sec. 48-5(1)

JP.13 실용신안. JP.15절에 규정된 내용에 준하여, 출원인이 2004년 1월 1월

이전에 출원된 국제출원을 토대로 일본 내에서 특허 대신 실용 신안의 취득을

원하는 경우, 국제출원할 때 이를 표시헀어야 한다(출원서 BOX No.V). 2004년

1월 1일 이후 출원한 국제출원에 대해서는 출원서 양식이 해당 표시 형태를

제공하지 않기 때문에, 출원인은 PCT 제22조나 제39조에 언급된 조치를 취할

때 특허청에 이를 알려야 한다.

PCT Art. 7(2)(Ⅱ) PCT Rule 7.2 UML Sec. 48-7

JP.14 JP.13절에 언급하는 대로 국제출원이 도면을 포함하지 않으면, 출원인은

PCT 제22조나 제39조(1)에 규정된 기한 내에 도면을 제출해야 한다(출원인이

기한 이전에 국내절차를 신청하는 경우에는 신청시). 출원인이 해당 기한 내에

도면을 제출하지 않으면, 특허청은 출원인에게 통지서에서 정한 기한 내에

도면을 제출할 것을 명한다. 국제출원에 의한 특허출원을 실용신안 출원으로

변경하는 경우(JP.17절 참고), 변경신청서와 함께 도면을 제출해야 한다.

- 133 -


(30 November 2006)

UML Sec. 14(2)32

JP.15 Utility models are registered without any substantive examination thereof in thenational phase.

The other requirements for the national phase and the procedures thereafter are basically thesame as for patents except that the fees for utility models and registration fees from the first tothe third year must be paid instead of the fees for patents. If the applicant desires his utilitymodel to be registered earlier than the expiration of the time limit for entry into the nationalphase, he may file an express request for an early commencement of the national proceduresunder PCT Articles 23(2) and 40(2).

UML Sec. 48-8 JP.16 In addition to amendments under PCT Articles 19 and 34, amendments underPCT Article 28 or 41 are allowed to an international application for a utility model. Theamendment in this case shall be made within the scope of the matter disclosed in theinternational application (description, claims and drawings) as originally filed (or translated intoJapanese, see paragraph JP.02).

UML Sec. 1048-11

JP.17 CONVERSION. An international application for a patent may be converted into autility model or a design application after the applicant has complied with the requirements forentry into the national phase for a patent application as indicated in the Summary. Theconversion is subject to the payment of a fee for conversion indicated in Annex JP.I and may berequested up to the occurrence of the first of the following events:

(i) the expiration of 30 days from the transmittal of the first decision of the Office thatthe patent application is to be refused;

(ii) for international applications for a patent filed from 1 January 1994 to31 March 2005, the expiration of five years and six months from the international filing date;

(iii) for international applications for a patent filed on or after 1 April 2005, theexpiration of nine years and six months from the international filing date.

PL Sec. 46184-16

JP.18 An international application for a utility model may be converted into a patent or adesign application after the applicant has complied with the requirements for entry into thenational phase for a utility model application as indicated in the Summary. The conversion issubject to the payment of a fee for conversion indicated in Annex JP.I and may be requested atany time prior to the registration.

PR Sec. 38-13-2(2)27-5

JP.19 NUCLEOTIDE AND/OR AMINO ACID SEQUENCES. Where the internationalapplication contains the disclosure of a nucleotide and/or amino acid sequence, a diskettecontaining coded data of the sequence listing must be furnished together with:

i) a document which identifies the international application concerned and thediskette furnished;

ii) a statement that the sequences recorded on the diskette are identical to thosedisclosed in the specification of the application as originally filed; and

iii) a document which describes the recording format of the diskette.

However, where the diskette recording the coded data has already been furnished to the Office,the applicant is not required to submit it again.

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일본 특허청

UML Sec. 14(2) 32

JP.15 실용신안은 국내단계의 실체심사 없이 등록된다.

국내단계에 대한 기타 요건과 그 이후의 절차는 본질적으로 특허와 동일하다.

단, 특허수수료를 대신하여 실용신안수수료와 1년차부터 3년차까지의 등록료를

납부해야 한다. 출원인이 국내단계 진입에 대한 기한 이전에 실용신안의

등록을 원한다면, 출원인은 PCT 제23조(2) 및 제40조(2)에 따라 국내절차

조기개시를 위한 명시적인 청구를 할 수 있다.

UML Sec. 48-8 JP.16 PCT 제19조 및 제34조에 따른 보정에 덧붙여, PCT 제28조나 제41조에

따르는 보정도 실용신안을 위한 국제출원에 허용된다. 이 경우 출원시의(또는

일본어 번역문, JP.02절 참고) 국제출원(명세서, 청구범위, 도면)의 공개 범위

내에서 보정을 하여야 한다.

UML Sec. 10

48-11 JP.17 변경. 국제출원에 의한 특허출원은 해당 출원이 요약에 설명된

특허출원을 위한 국내단계 진입 요건에 따른 후 실용신안이나 의장출원으로

변경될 수 있다. 변경을 위해서는 부록 JP.I에 기재된 변경수수료를 납부해야

하며, 아래와 같은 경우가 처음 발생하는 경우까지 변경을 신청할 수 있다:

(i) 특허출원을 거절한다는 특허청의 최초결정 송달로부터 30일의

기한만료;

(ii) 1994년 1월 1일에서 2005년 3월 31일까지 출원된 국제출원에 의한

특허출원의 경우, 국제출원일로부터 5년 6개월의 기한만료;

(iii) 2005년 4월 1일 이후 출원된 국제출원에 의한 특허출원의 경우,

국제출원일로부터 9년 6개월의 기한만료.

PL Sec. 46 184-16

JP.18 국제출원에 의한 실용신안 출원은 요약에 설명된 실용신안 출원을 위한

국내단계 진입 요건을 따른 후 특허나 의장출원으로 변경될 수 있다. 변경을

위해서는 부록 JP.I에 기재된 변경수수료를 납부해야 하며, 등록 이전에

언제라도 변경을 신청할 수 있다.

PR Sec. 38-13-2(2) 27-5

JP.19 핵산염기 및 아미노산 서열. 국제출원이 핵산염기 및 아미노산 서열의

공개를 포함하는 경우, 서열목록을 부호화한 데이터를 담은 디스켓을 아래

서류와 함께 제출해야 한다.

i) 관련 국제출원과 제출되는 디스켓을 식별하는 서류

ii) 디스켓에 기록된 서열이 출원시 출원 명세서에 공개된 서열과

동일하다는 진술서

iii) 디스켓의 기록 형태를 묘사하는 서류.

단, 부호화 데이터를 기록한 디스켓을 이미 특허청에 제출했다면, 다시

제출하지 않아도 된다.

- 135 -

JPPCT Applicant’s Guide – Volume II – National Chapter – JP Annex JP.I, page 1

(30 November 2006)

FEES

(Currency: Japanese yen)

Patents

National fee: for international applications filed on or after 1 April 2004. . . . . . 16,000 for international applications filed on or before 31 March 2004 . . . 21,000

National fee for request for review . . . . . . . . . . . . . . . . . . . . . . . . . 16,000

Fee for request for examination:

(a) where no international search report has been established: for international applications filed on or

after 1 April 2004. . . . . . . . . . . . . . . 168,600 plus 4,000 for each claim (hereinafter referred to as“per claim”)

for international applications filed on orbefore 31 March 2004 . . . . . . . . . . . . 84,300 plus 2,000 per claim

(b) where the international search report has been established by the Japan Patent Office: for international applications filed on or

after 1 April 2004. . . . . . . . . . . . . . . 101,200 plus 2,400 per claim for international applications filed on or

before 31 March 2004 . . . . . . . . . . . . 16,900 plus 400 per claim

(c) where the international search report has been established by an International Searching Authority other than theJapan Patent Office: for international applications filed on or


before 31 March 2004 . . . . . . . . . . . . 67,400 plus 1,600 per claim

(d) where the search report has been established by a searching organization which is designated under Japaneselaw: for international applications filed on or


before 31 March 2004 . . . . . . . . . . . . 50,600 plus 1,200 per claim

Fee for conversion of documents into electronic format . . . . . . . . . . . . 1,200 plus 700 per sheet

Annual fees: For internationalapplications requestedfor examination on or

after 1 April 2004

For internationalapplications filed on orafter 1 January 1988,

and requested forexamination on or

before 31 March 2004

For internationalapplications filed on or

before 31 December 1987,and requested for

examination on or after1 April 2004

— for the 1st to the 3rd years(must all be paid at one andthe same time) . . . . . . . . . . . .

per year 2,600 plus200 per claim

per year 13,000 plus1,100 per claim

per year 1,700 plus1,100 per invention

— for the 4th to the 6th years1 . . . . . per year 8,100 plus600 per claim



— for the 7th to the 9th years1 . . . . . per year 24,300 plus1,900 per claim



— for the 10th to the 25th years1 . . . per year 81,200 plus6,400 per claim



1 May all be paid at one and the same time or in installments.

- 136 -

일본 특허청

수수료

(통화: 일본 엔화)

특허

국내수수료:

- 2004년 4월 1일 이후 출원된 국제출원 ······················· 16,000

- 2004년 3월 31일 이전에 출원된 국제출원 ····················· 21,000

검사신청 국내수수료 ····························································· 16,000

심사청구료:

(a) 국제조사보고서가 작성되지 않은 경우:

- 2004년 4월 1일 이후 출원된 국제출원····························· 168,600 + 각 청구항별 4,000

(이하 “청구항당”)

- 2004년 3월 31일 이전에 출원된 국제출원 ······················ 84,300 + 청구항당 2,000

(b) 일본 특허청이 국제조사보고서를 작성한 경우:

- 2004년 4월 1일 이후 출원된 국제출원····························· 101,200 + 청구항당 2,400

- 2004년 3월 31일 이전에 출원된 국제출원 ······················ 16,900 + 청구항당 400

(c) 일본 특허청을 제외한 국제조사기관이 국제조사보고서를 작성한 경우:

- 2004년 4월 1일 이후 출원된 국제출원 ··························· 151,700 + 청구항당 3,600

- 2004년 3월 31일 이전에 출원된 국제출원 ······················ 67,400 + 청구항당 1,600

(d) 일본법에 따라 지정된 조사기관이 조사보고서를 작성한 경우:

- 2004년 4월 1일 이후 출원된 국제출원 ··························· 134,900 + 청구항당 3,200

- 2004년 3월 31일 이전에 출원된 국제출원 ······················· 50,600 + 청구항당 1,200

서류를 전자적 형태로 변환하기 위한 수수료 ································· 1,200 + 장당 700

연차료:

2004년 4월 1일

이후 심사를 청구한

국제출원

1988년 1월 1일 이후

출원되고 2004년 3월

31일 이전에 심사를

청구한 국제출원

1987년 12월 31일

이전에 출원되고

2004년 1월 이후

심사를 청구한

국제출원

-1년차부터 3년차까지

(전액 일괄 ……

납부해야 한다)

매년 2,600

+ 청구항당 200

매년 13,000

+ 청구항당 1,100

매년 1,700

+ 발명당 1,100

-4년차부터 6년차 1 …… 매년 8,100

+ 청구항당 600

매년 20,300

+ 청구항당 1,600

매년 5,400

+ 발명당 3,300

-7년차부터 9년차 1 …… 매년 24,300

+ 청구항당 1,900

매년 40,600

+ 청구항당 3,200

매년 16,200

+ 발명당 10,000

-10년차부터 25년차 1…… 매년 81,200

+ 청구항당 6,400

매년 81,200

+ 청구항당 6,400

매년 54,000

+ 발명당 33,600

1 전액 일괄 납부하거나 분납할 수 있다.

- 137 -

JPAnnex JP.I, page 2 PCT Applicant’s Guide – Volume II – National Chapter – JP

(30 November 2006)

Fee for application for registration of extension of patent right2 . . . . . . . 74,000

Fee for conversion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14,000 (of a utility model application)16,000 (of a design application)

Utility models

National fee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14,000

National fee for request for review . . . . . . . . . . . . . . . . . . . . . . . . . 14,000

Fee for conversion of documents into electronic format . . . . . . . . . . . . 1,200 plus 700 per sheet

Fee for conversion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16,000 (of a patent application)16,000 (of a design application)

Fee for technical opinion(a) where no international search report

has been established . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42,000 plus 1,000 per claim(b) where the international search report

has been established by theJapan Patent Office . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8,400 plus 200 per claim

(c) where the international search reporthas been established by an InternationalSearching Authority other than theJapan Patent Office . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33,600 plus 800 per claim

Annual fees (for international applications filed on or before 31 December 1993):— for the 1st to the 3rd years (must all be

paid at one and the same time) . . . . . . . . . . . . . . . . . . . . . . . per year 8,500 plus 800 per claim— for the 4th to the 6th years3 . . . . . . . . . . . . . . . . . . . . . . . . . . per year 16,900 plus 1,600 per claim— for the 7th to the 10th years3. . . . . . . . . . . . . . . . . . . . . . . . . . per year 33,800 plus 3,200 per claim

Annual fees (international applications filed from 1 January 1994 to 31 March 2005):— for the 1st to the 3rd years (must all be paid at

time of filing) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . per year 7,600 plus 700 per claim— for the 4th to the 6th years . . . . . . . . . . . . . . . . . . . . . . . . . . per year 15,100 plus 1,400 per claim

Annual fees (international applications filed on or after 1 April 2005):— for the 1st to the 3rd years (must all be paid at

time of filing) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . per year 2,100 plus 100 per claim— for the 4th to the 6th years . . . . . . . . . . . . . . . . . . . . . . . . . . per year 6,100 plus 300 per claim— for the 7th to the 10th years . . . . . . . . . . . . . . . . . . . . . . . . . . per year 18,100 plus 900 per claim


Payment of fees to the Office has to be effected in Japanese yen, by means of patent revenue stamps only. Thepatent revenue stamps may be obtained from any Japanese Post Office. They must be affixed to the related form. Forthe payment of fees in electronic procedures the advance payment system must be used, which is based onpreliminary deposits of certain amounts of money with patent revenue stamps at the deposit account of the Officefollowed by subsequent advance payment notifications from the applicant. The advance payment system may also beused for paper procedures.

2 The patent term, which is 20 years from the filing date, may be extended by up to five years where patent owners have been

unable to work their inventions for not less than two years due to the regulations under the laws (where the subject matter of theinventions relates to human or animal drugs or to agricultural chemicals), provided that the application for registration ofextension of the term of the patent right is filed.

3 May all be paid at one and the same time or in installments.

- 138 -

일본 특허청

특허권 연장등록 출원수수료 2 ···················································· 74,000

변경수수료 ············································································· 14,000(실용신안출원)

16,000(의장출원)

실용신안

국내수수료 ················································································ 14,000

검사 신청 국내수수료 ································································· 14,000

서류를 전자적 형태로 변환하기 위한 수수료 ································ 1,200 + 장당 700

변경수수료 ··············································································· 16,000(특허출원)

16,000(의장출원)

기술평가서에 대한 수수료

(a) 국제조사보고서가 작성되지 않은 경우 ·································· 42,000 + 청구항당 1,000

(b) 일본 특허청이 국제조사보고서를 작성한 경우························ 8,400 + 청구항당 200

(c) 일본 특허청을 제외한 국제조사기관이

국제조사보고서를 작성한 경우 ··········································· 33,600 + 청구항당800

연차료(1993년 12월31일 이전에 출원된 국제출원):

- 1년차부터 3년차(전액 일괄 납부해야 한다) ···························· 매년 8,500 + 청구항당 800

- 4년차부터 6년차 3 ······························································ 매년 16,900 + 청구항당 1,600

- 7년차부터 10년차 3 ····························································· 매년 33,800 + 청구항당 3,200

연차료(1994년 1월 1일부터 2005년 3월 31일까지 출원된 국제출원):

- 1년차부터 3년차(전액 일괄 납부해야 한다) ···························· 매년 7,600 + 청구항당 700

- 4년차부터 6년차 ································································· 매년 15,100 + 청구항당 1,400

연차료(2005년 4월 1일 이후 출원된 국제출원) :

- 1년차부터 3년차(전액 일괄 납부해야 한다) ··························· 매년 2,100 + 청구항당 100

- 4년차부터 6년차 ································································· 매년 6,100 + 청구항당 300

- 7년차부터 10년차 ······························································· 매년 18,100 + 청구항당 900


특허청에 대한 수수료는 특허수입인지만을 사용하여 일본 엔화로 납부해야 한다.

특허수입인지는 일본 우체국에서 구입할 수 있다. 특허수입인지는 관련 서식에 부착되어야 한다.

전자적 납부절차를 이용한 수수료 납부는 선납 시스템을 사용해야 하며, 이는 특허청 예금 계좌에

일정 금액을 특허수입인지로 예비 기탁한 후 출원인의 선납 통보로 이어지는 절차를 기초로 한다.

선납 시스템 서류절차에도 이용될 수 있다.

2 특허 소유권자가 법률에 따른 규정 때문에 2년 이상 발명을 연구할 수 없는 경우(발명의 주제가 인체나 동물용 의약품이나

농약과 관계된 경우), 출원일로부터 20년인 특허기간은 최장 5년까지 연장할 수 있다. 단, 특허권 기간연장등록을 위한 신청을

제출해야 한다.

3 전액 일괄 납부하거나 분납할 수 있다.

- 139 -

JPPCT Applicant’s Guide – Volume II – National Chapter – JP Annex JP.II

(3 February 2005)

FORM No. 53 (Related to Rule 38-4 of PR)

【書類名】　　国内書面

（【提出日】　　平成　　年　　月　　日）

【あて先】　　特許庁長官　　　　　　　　殿

【出願の表示】

【国際出願番号】

【出願の区分】

【発明者】

【住所又は居所】

【氏名】

【特許出願人】

【識別番号】


【氏名又は名称】

（【国籍】）

【代理人】

【識別番号】



（【手数料の表示】）

（【予納台帳番号】）

（【納付金額】）

【提出物件の目録】

【物件名】　（請求の範囲の翻訳文　　１）

【物件名】　（明細書の翻訳文　　　　１）

【物件名】　（図面の翻訳文　　　　　１）

【物件名】　（要約書の翻訳文　　　　１）

- 140 -

JPAnnex JP.III PCT Applicant’s Guide – Volume II – National Chapter – JP

(3 February 2005)


【書類名】　　特許協力条約第１９条補正の翻訳文提出書







【識別番号】



【代理人】

【識別番号】



【補正書の提出年月日】

【手続補正１】

【補正対象書類名】　　特許請求の範囲

【補正対象項目名】　　全文

【補正の方法】　　　　変更

【補正の内容】


- 141 -

JPPCT Applicant’s Guide – Volume II – National Chapter – JP Annex JP.IV

(3 February 2005)


【書類名】　　特許協力条約第３４条補正の翻訳文提出書







【識別番号】



【代理人】

【識別番号】



【補正書の提出年月日】

【手続補正１】

【補正対象書類名】

【補正対象項目名】

【補正方法】

【補正の内容】

【その他】

- 142 -

JPAnnex JP.V PCT Applicant’s Guide – Volume II – National Chapter – JP

(3 February 2005)


【書類名】　　出願審査請求書




【出願番号】

【請求項の数】

【請求人】

【識別番号】



（【国籍】）

【代理人】

【識別番号】



（【手数料の表示】）

（【予納台帳番号】）

（【納付金額】）


- 143 -

JPPCT Applicant’s Guide – Volume II – National Chapter – JP Annex JP.VI

(3 February 2005)

FORM NO. 55 (Related to Rule 38-8 of PR)

【書類名】　　特許協力条約第２５条の規定による検査の申出書




【発明者】


【氏名】

【申出人】

（【識別番号】）



（【国籍】）

【代理人】

（【識別番号】）



【拒否（宣言、認定）の通知を受けた日】

【国際事務局へ国際出願の写しの送付を請求した日】

【申出の趣旨】

【申出の理由】


【物件名】　　国際出願の翻訳文　　　１

【物件名】　（　　　　　　　　　　　　）

- 144 -

JPPCT Applicant’s Guide – Volume II – National Chapter – JP Annex JP.VII, page 1

(3 February 2005)

POWER OF ATTORNEY

I/We(i)

of

do hereby appoint(ii)

my/our lawful representative(s) pursuant to the provisions of Art. 8 of the Patent Law, Art. 2-5of the Utility Model Law and Art. 68 of the Design Law of Japan (“patent administrator”), tomake on my/our behalf proceedings for making

a(iii) application based on PCT applicationNo. PCT(iv)

to the Japan Patent Office, and to perform all other formalities and acts under the provisionsconcerned of the Patent, Utility Model and Design Laws of Japan or any orders issued on thebasis thereof.

Dated this day of

.....................................................................

By ................................................................

(i) Insert the name and address of the applicant(s) (individual or legal entity) appointing therepresentative(s).

(ii) Insert the name of the representative(s).(iii) State the particular kind of protection (patent or utility model) pursuant to the provisions of

Art. 43 of the PCT.(iv) State the international application number for which the representative(s) are appointed.

- 145 -

JPAnnex JP.VII, page 2 PCT Applicant’s Guide – Volume II – National Chapter – JP

(3 February 2005)

委　　任　　状　　（訳　　文）

私（等）　　　　　　　（氏名又は名称）

所在　　　　　　　　（住所又は居所）

は、ここに　　　　　　（委任された者の氏名）

を特許法第８条、実用新案法２条の５及び意匠法第６８条の規定による代理人

（特許管理人）に選任し、私（等）の為に、

国際出願番号ＰＣＴ／××○○○○／○○○○○○に基づく（特許）出願の

手続を日本国特許庁に対してなし、また日本国特許法、実用新案法若しくは

意匠法又はこれらの法律に基づく命令に規定する一切の手続及び行為をなす

権限を与えます。

年　　月　　日

署　　　　名　　　　　　　　　　　　

- 146 -

4. EPO

PCT Applicant’s Guide – National Phase – National Chapter – EP

(1 April 2008)

EUROPEAN PATENT OFFICE (EPO) AS


CONTENTS

THE ENTRY INTO THE NATIONAL PHASE — SUMMARY


ANNEXES

Fees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Annex EP.I Payment of fees and expenses (EPO Form 1010) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Annex EP.II Entry into the European phase (EPO as designated or elected Office)

(EPO Form 1200) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Annex EP.III Designation of inventor (EPO Form 1002) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Annex EP.IV Authorisation (EPO Form 1003) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Annex EP.V General Authorisation (EPO Form 1004) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Annex EP.VI


EPC: Convention on the Grant of European Patents (European Patent Convention)

RRF: Rules relating to Fees (of the European Patent Office)

- 148 -

유럽특허청 (EPO)



목 차

국내단계의 진입 – 요약

국내단계 절차

부록

수수료··········································································································· 부록 EP.Ⅰ

수수료 및 경비의 납부서(EPO 서식 1010) ······················································· 부록 EP.Ⅱ

유럽단계 진입서식(지정/선택관청으로서의 EPO) (EPO 서식 1200) ····················· 부록 EP.Ⅲ

발명자 지정서(EPO 서식 1002)········································································ 부록 EP.Ⅳ

위임장(EPO 서식 1003) ·················································································· 부록 EP.Ⅴ

포괄위임장(EPO 서식 1004) ············································································ 부록 EP.Ⅵ

약어 목록:

EPC: 유럽특허 부여협약(유럽특허협약)

RRF: 수수료 관련 규칙(유럽특허청)

- 149 -


(1 April 2008)


SUMMARY

EP EUROPEAN PATENT OFFICE (EPO) EPSummary of requirements for entry into the national phase


Under PCT Article 22(3): 31 months from the priority date Under PCT Article 39(1)(b): 31 months from the priority date

Translation of international application required into: English, French or German

Required contents of the translation for entry into the national phase:

Under PCT Article 22: Description, claims (if amended, both as originally filed and as amended, if the applicant wishes the amendments to form the basis for the proceedings, together with any statement under PCT Article 191), any text matter of drawings, abstract Under PCT Article 39(1): Description, claims, any text matter of drawings (if any of those parts has been amended, both as originally filed and as amended by the annexes to the international preliminary examination report and claims amended under PCT Article 19, if the applicant wishes these amendments to form the basis for the proceedings, together with any statement under PCT Article 191), abstract

Is a copy of the international application required? No

National fee: Currency: Euro (EUR) Filing fee:2 – where the form for entry into the European phase (EPO Form 1200) is filed online: EUR 100– where the form for entry into the European phase (EPO Form 1200) is not filed online: EUR 180Designation fee for each EPO Contracting State designated and for the joint designation of Switzerland and Liechtenstein; paying seven times the amount of this fee is deemed payment for all EPC Contracting States:2, 3 EUR 85Extension fee for each extension State (extension of the European patent to Albania, Bosnia and Herzegovina, Serbia or the former Yugoslav Republic of Macedonia):2, 3 EUR 102Claims fee for the 16th and each subsequent claim:2 EUR 200


______________ 1 Where the applicant furnishes only one translation of the international application, or any part of it, either as originally filed or as

amended, the Office will invite the applicant to furnish the missing translation within a reasonable time limit. If the translation of the amended part is missing and is not furnished, the amendments will be disregarded. If the translation of the international application as initially filed is missing and is not furnished, the international application will be considered withdrawn.

2 Must be paid within 31 months from the priority date. For claims fees see also paragraph EP.09 of National Chapter EP. 3 The designation and extension fees are payable within 31 months from the priority date. Extension fees are also to be paid if the

European patent is to be extended to Latvia and the international filing date is prior to 1 July 2005 or to Croatia and the international filing date is prior to 1 January 2008.

- 150 -



EP 유럽특허청(EPO) EP



PCT 제39조(1)(b): 우선일로부터 31개월

진입시 필요한 국제출원의 번역언어: 영어, 불어, 독어

국내단계 진입에 필요한 번역문 내용: PCT 제22조: 명세서, 청구범위 (청구범위가 보정이 이루어진 경우,

원본 청구범위와 (출원인이 보정사항을 절차의 근거로 하고자 할 때,

PCT 제19조에 의한 설명서를 첨부하여) 보정된 청구범위 제출1),

도면 및 요약서

PCT 제39조(1): 명세서, 청구범위, 도면 (보정이 이루어진 경우, 원본

번역문과 국제예비심사보고서의 부속서류에 따라 보정된 번역문을

제출하며, (출원인이 보정사항을 절차의 근거로 하고자 할 때, PCT

제19조에 의한 설명서를 첨부하여) 보정된 청구범위 제출1) 및 요약서

국제출원 사본이 필요한가? 아니오

국내수수료: 통화: 유로화(EUR)

출원료: 2

- 유럽단계 진입을 위한 서식(EPO 서식 1200)을

온라인으로 제출하는 경우: EUR 100

- 유럽단계 진입을 위한 서식(EPO 서식 1200)을

온라인으로 제출하지 않는 경우: EUR 180

지정된 각 EPO 체약국과 스위스 및 리히텐슈타인의

공동지정에 대한 지정수수료; 본 수수료 액수의

7배의 납부는 전체 EPC 체약국들에 대한 납부로

간주된다: 2,3 EUR 85

각 확장국에 대한 확장수수료(알바니아, 보스니아,

헤르체고비나, 세르비아, 전 유고슬라브 마케도니아

공화국에 대한 유럽특허의 확장): 2,3 EUR 102

16차 및 각 후속 청구항에 대한 청구항수수료: 2 EUR 200


1 출원인이 국제출원시의 번역문 또는 보정된 번역문 중 한가지 번역문 또는 그 일부만 제출하는 경우, 특허청은 출원인에게

합당한 기한 내에 누락된 번역문을 제출하도록 명한다. 번역문의 보정된 부분이 누락되거나 제출되지 않은 경우, 보정서는

무시된다. 최초에 제출된 국제출원의 번역문이 누락되거나 제출되지 않는 경우, 국제출원은 취하간주된다.

2 우선일로부터 31개월 이내에 납부해야 한다. 청구항수수료에 대해서는 National Chapter EP의 EP.09절도 참고한다.

3 지정 및 확장수수료는 우선일로부터 31개월 내에 납부해야 한다. 유럽특허를 라트비아로 확장하고 국제출원일이 2005년 7월

1일 이전이거나, 크로아티아로 확장하고 국제출원일이 2008년 1월 1일 이전인 경우에도 확장수수료를 납부해야 한다.

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(1 April 2008)


SUMMARY

EP EUROPEAN PATENT OFFICE (EPO) [Continued]

EPNational fee (cont’d): Search fee:4

— for (international) applications filed before 1 July 2005: EUR 760

— for (international) applications filed on or after 1 July 2005: EUR 1,050

Fee for further processing: — in the event of late payment

of a fee: 50% of the relevant fee — other cases: EUR 210 Fee for late furnishing of a sequence listing: EUR 200 Examination fee:5 — for (international) applications filed

before 1 July 2005: EUR 1,565 — for (international) applications filed

on or after 1 July 2005 for which no supplementary European search report is drawn up: EUR 1,565

— for all other (international) applications filed on or after 1 July 2005: EUR 1,405

Renewal fee for the third year:6 EUR 400

Exemptions, reductions or refunds of fees:7

No search fee is payable — where the international search report has been established by the

EPO; — where the international application has been filed before

1 July 2005 and the international search report has been established by the Austrian Patent Office, the Spanish Patent and Trademark Office or the Swedish Patent and Registration Office;

— where the international application has been filed between 1 April 2005 and 30 June 2005 and the international search report has been established by the National Board of Patents and Registration of Finland.

The search fee is reduced — by 20% (international applications filed before 1 July 2005) or — by EUR 190 (international applications filed on or after

1 July 2005) where the international search report has been established by the Australian Patent Office, the Federal Service for Intellectual Property, Patents and Trademarks (Russian Federation), the Japan Patent Office, the Korean Intellectual Property Office, the State Intellectual Property Office of the People’s Republic of China or the United States Patent and Trademark Office. The search fee is reduced — by EUR 890 for international applications filed on or after

1 July 2005 for which the international search report has been established by the Austrian Patent Office, or in accordance with the Protocol on centralization by the National Board of Patents and Registration of Finland, the Nordic Patent Institute, the Spanish Patent and Trademark Office or the Swedish Patent and Registration Office.


______________ 4 See footnote 2. 5 A request for examination must be made and the examination fee must be paid within the time limit applicable under PCT

Article 22 or 39(1) and EPC Rule 159(1). 6 This fee is due before the expiration of the month containing the second anniversary (24 months) of the international filing date; it

is due within 31 months from the priority date if that 31-month time limit expires later. 7 See OJ EPO 3/2006, pages 189 and 192, 12/2007, page 692 and 1/2008, page 12.

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EP 유럽특허청 (EPO) EP

[계속]

국내수수료 (계속): 조사료:4

- 2005년 7월 1일 이전에

출원한 (국제)출원: EUR 760

- 2005년 7월 1일 이후에

출원한 (국제)출원: EUR 1,050

후속 진행료:

- 수수료 납부연체의 경우: 관련 수수료의 50%

- 기타 경우: EUR 210

서열목록 제출의 연체수수료: EUR 200

심사료:5

- 2005년 7월 1일 이전에

출원한 (국제)출원: EUR 1,565

- 보충적 유럽조사보고서를 작성하지 않고

2005년 7월 1일 이후에 출원한 (국제)출원: EUR 1,565

- 2005년 7월 1일 이후에 출원한

기타 (국제)출원 EUR 1,405

3년차 갱신료:6 EUR 400

국내수수료 면제, 감면, 반환: 7 조사료 면제의 경우

- EPO에서 국제조사보고서를 작성한 경우

- 2005년 7월 1일 이전에 국제출원을 하였고, 오스트리아

특허청이나 스페인 특허상표청, 스웨덴 특허등록청에서

국제조사보고서를 작성한 경우

- 2005년 4월 1일부터 2005년 6월 30일 사이에 국제출원을

하였고, 핀란드 국가특허등록위원회에서 국제조사보고서를

작성한 경우.

조사료 감면의 경우

- 20%(2005년 7월 1일 이전에 출원한 국제출원)

- EUR 190(2005년 7월 1일 이후 출원한 국제출원)

호주 특허청이나 연방지적재산특허상표국(러시아 연방), 일본 특허청,

한국 특허청, 중화인민공화국 특허청, 미국 특허상표청에서

국제조사보고서를 작성한 경우.

조사료 감면의 경우

- 2005년 7월 1일 이후에 국제출원을 하였고, 오스트리아

특허청이나 (통합의정서에 따라) 핀란드 국가특허등록위원회,

북유럽특허협회, 스페인 특허등록청, 스웨덴 특허등록청에서

국제조사보고서를 작성한 경우, EUR 890 감면


4 각주 2 참고.

5 PCT 제22조나 제39조(1), EPC 규칙 159(1)에 규정된 기한 내에 심사청구서를 제출하고 심사료를 납부해야 한다.

6 본 수수료는 국제출원일 2주년 기념일(24개월)이 포함되는 달이 만료되기 전에 납부해야 한다. 이후 31개월의 기한이 만료되는

경우, 우선일로부터 31개월 이내에 납부해야 한다.

7 OJ EPO 3/2006, 189페이지 및 192페이지, 12/207, 692페이지, 1/2008, 12페이지 참고.

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(1 April 2008)


SUMMARY

EP EUROPEAN PATENT OFFICE (EPO) [Continued]

EPExemptions, reductions or refunds of fees:8

The examination fee is reduced by 50% where the international preliminary examination report has been established by the EPO.9 Furthermore, in certain cases the examination fee is reduced by 20% for language reasons.9


Name and address of the inventor if they have not been furnished in the “Request” part of the international application or in a declaration in accordance with PCT Rule 4.17(i)10

Appointment of an agent if the applicant has neither a residence nor his principal place of business within the territory of one of the Contracting States of the European Patent Convention10

Furnishing, where applicable, of a nucleotide and/or amino acid sequence listing in electronic form10

Who can act as agent? Any professional representative entered on the relevant list maintained by the EPO (the directory of professional representatives can be ordered at the EPO, Vienna, or consulted on the EPO web site) Any legal practitioner qualified to practice in patent matters in one of the States party to the European Patent Convention and who has his place of business in that State

Does the Office accept requests for restoration of the right of priority (PCT Rule 49ter.2)? Yes, the Office applies the “due care” criterion to such requests

______________ 8 See footnote 7. 9 See also paragraph EP.16 of National Chapter EP. 10 If not already complied with within the time limit applicable under PCT Article 22 or 39(1) (31 months from the priority date), the

Office will invite the applicant to comply with the requirement within two months. In respect of nucleotide and/or amino acid sequence listings, see also OJ EPO 2007, Special Edition No. 3, page 26 et seq.

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EP 유럽특허청 (EPO) EP

[계속]

국내수수료 면제, 감면, 반환: 8 EPO에서 국제예비심사보고서를 작성한 경우 심사료의

50%를 감면한다. 9

아울러 언어와 관련된 이유에 의해 심사료의 20%를

감면한다. 9


(PCT 규칙 51bis):

PCT 규칙 4.17(i)에 따른 선언서나 국제출원의 “출원서”에

의해 제공되지 않은 발명자의 성명과 주소10

출원인이 유럽특허협약 체약국 영토 내의 거주자가

아니거나 주 사업장이 없는 경우, 대리인의 임명10

가능하면 핵산염기 및 아미노산 서열목록을 전자적

형태로 제출10

대리인 자격이 있는 자는? EPO가 관리하는 관련 목록에 기재된 전문 대리인 (전문

대리인의 명부는 비엔나 소재 EPO에 주문하거나 EPO

웹사이트에서 확인할 수 있다)

유럽특허협약 가입국의 특허 현안에 대한 업무를 취급할

수 있고, 해당 국가에 사업장이 있는 등록 개업자.



특허청은 해당 신청에 대해 “정당한 주의” 기준을

적용한다.

8 각주 7 참고

9 National Chapter EP의 EP.16절 참고.

10 PCT 제22조나 제39조(1)에 규정된 기한 내에 준수하지 않은 경우(우선일로부터 31개월), 특허청은 출원인에게 2개월 이내에

요건을 준수할 것을 명한다. 핵산염기 및 아미노산 서열목록에 대해서는 OJ EPO 2007, 특별판 No.3, 26페이지 이하 참고.

- 155 -


(1 April 2008)


Detailed information on the procedure before the EPO as designated Office and as elected Office can also be found in the EPO Guide for applicants—Part 2 (“PCT procedure before the

EPO - ‘Euro-PCT’”), to be ordered from the EPO Information Office and available on the EPO website.

EP.01 FORM FOR ENTERING THE NATIONAL PHASE. The EPO has available a special form for entering the national phase (EPO Form 1200—see Annex EP.III). This form should preferably be used; it contains detailed explanatory notes. The form is also available on the EPO’s website: www.epo.org. The form may be filed electronically (see OJ EPO 2007, Special Edition No. 3, page 12 et seq.).

EPC Art. 14 EP.02 LANGUAGE OF PROCEEDINGS. The language of proceedings is one of the official languages (English, French or German). If the international application has been published in one of those languages, this language is the language of proceedings; if not, the language of the translation which was transmitted to the EPO is the language of proceedings.

PCT Art. 19(1) PCT Rules 49.3 70.16

EP.03 TRANSLATION OF THE APPLICATION. In addition to those elements of the translation which must be furnished within the time limit of 31 months from the priority date (see the Summary), the following elements should also be included: — any indication under PCT Rule 13bis.3 and 13bis.4, i.e., separately furnished reference to deposited biological material; — any nucleotide and amino acid sequence listing furnished subsequently to the filing of the international application; — any request for rectification referred to in PCT Rule 91.3(d) as published in accordance with PCT Rule 48.2(a)(vii).

EPC Rule 3(1), 3(2) EP.04 In written proceedings, the applicant may use any official language of the EPO. However, amendments (see paragraph EP.19) to the application itself must be filed in the language of proceedings.

EP.05 TRANSLATION (CORRECTION). Errors in the translation of the international application can be corrected with reference to the text of the international application as filed (see National Phase paragraphs 57 and 58).

RRF Art. 5 EP.06 FEES (MANNER OF PAYMENT). The manner of payment of the fees indicated in the Summary and in this Chapter is outlined in Annex EP.I.

EPC Art. 79(2) EPC Rules 39(1) 159(1)(d) 160 RRF Art. 2 No. 3

EP.07 EUROPEAN DESIGNATION FEES. Designation fees must be paid within six months from the publication by the International Bureau of the international search report or before the expiration of the time limit applicable under PCT Articles 22(3) and 39(1)(b) and EPC Rule 159 (31 months), whichever time limit expires later. The applicant must pay one European designation fee (indicated in the Summary) for each of the States designated in the international application for a European patent for which he, at the time payment is made, continues to seek European patent protection; however, where Switzerland and Liechtenstein are designated, only one joint European designation fee is due for those two States. However, the designation fees are deemed paid for all EPC Contracting States upon payment of seven times the amount of the designation fee. Where the European designation fees are not paid for all the States designated for a European patent, the applicant must indicate the States for which he pays the European designation fees. This may be done by an appropriate indication in box 10.1 of the form referred to in paragraph EP.01 (see Annex EP.III). If no designation fee is paid in due time, the international application will be deemed withdrawn.

EP.08 LATE PAYMENT OF FEES. See paragraphs EP.12 and 15 below.

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국내단계 절차

지정/선택관청으로서의 EPO에 대한 절차의 상세한 정보는 EPO 출원인 지침 – Part 2 (“EPO에 대한

PCT 절차 – ‘Euro-PCT’”)에서 확인할 수 있으며, EPO 정보사무처에 주문하거나 EPO 웹사이트에서

구할 수 있다.

EP.01 국내단계 진입을 위한 서식. EPO는 국내단계 진입을 위한 특별한 서식을

구비하고 있다(EPO 서식 1200 – 부록 EP.Ⅲ 참고). 본 서식을 우선적으로 사용해야 한다;

본 서식은 상세한 주석을 포함한다. 서식은 EPO 웹사이트(www.epo.org)에서도 이용할

수 있다. 서식은 전자적 제출이 가능하다(OJ EPO 2007, 특별판 No.3, 12페이지

이하 참고).

EPC Art. 14 EP.02 절차언어. 절차언어는 공식언어(영어나 불어, 독어)중 하나로 한다.

공식언어로 국제공개되었다면, 해당 언어가 절차언어가 된다. 그렇지 않을 경우,

EPO에 송달하는 번역문 언어를 절차언어로 한다.

PCT Art. 19(1)

PCT Rules 49.3

70.16

EP.03 출원의 번역문. 우선일로부터 31개월 기한 내에 제출해야 하는 번역문

요소(요약 참고)에 덧붙여, 아래의 요소도 포함해야 한다.

- PCT 규칙 13bis.3 및 13bis.4에 따른 표시. 즉, 별도로 제출하는 기탁된

생물학적 물질에 대한 언급;

- 국제출원 이후 제출된 핵산염기 및 아미노산 서열목록;

- PCT 규칙 48.2(a)(vii)에 따라 공개하는 경우, PCT 규칙 91.3(d)에

언급되는 정정신청.

EPC Rule 3(1), 3(2) EP.04 서면 절차에서, 출원인은 EPO의 공식언어(영어나 불어, 독어)를 이용할

수 있다. 단, 출원 자체의 보정서(EP.19절 참고)는 반드시 절차언어로 제출해야

한다.

EP.05 번역문 (정정). 국제출원 번역문의 오류는 제출된 국제출원 원문을

참조하여 정정할 수 있다(국내단계 제57절 및 제58절 참고).

RRF Art. 5 EP.06 수수료 (납부방식). 요약과 본 장에 표시한 수수료 납부방식은 부록

EP.I에 설명되어 있다.

EPC Art. 79(2)

EPC Rules 39(1)

159(1)(d)

160

RRF Art. 2 No. 3

EP.07 유럽지정수수료. 지정수수료는 국제사무국의 국제조사보고서 공개일로부터

6개월 이내에, 또는 PCT 제22조(3) 및 제39조(1)(b)와 EPC 규칙

159(31개월)에 규정된 기한이 만료되기 전 중 늦게 만료되는 기한 내에

납부해야 한다. 출원인은 수수료 납부 당시 유럽특허보호를 추구하는 유럽특허를

위해 국제출원에서 지정된 각국에 대해 1회의 유럽지정수수료(요약에 설명된)를

납부해야 한다. 단, 스위스와 리히텐슈타인을 지정하는 경우에는 양국에 대해

공동 유럽지정수수료를 1회만 납부한다. 지정수수료 액수의 7배를 납부하는 즉시

EPC 체약국 전체에 대해 지정수수료를 납부한 것으로 간주된다. 유럽특허를

위해 지정된 회원국 전체에 대해 유럽지정수수료를 납부하지 않는 경우,

출원인은 유럽지정수수료를 납부하는 국가를 표시해야 한다. 이는 EP.01절에

언급된 서식 box 10.1에 적절히 표시하여 할 수 있다(부록 EP.Ⅲ 참고).

지정수수료를 납기 내에 납부하지 않는 경우, 국제출원은 취하간주된다.

EP.08 수수료 납부연체. 아래의 EP.12절 및 15절 참고.

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(1 April 2008)

EPC Rules 45(1), (2) 161 162

EP.09 CLAIMS FEES. The claims fees must be calculated on the basis of the number of claims existing on entry into the national phase (that is, where amendments have been filed, the claims as amended under PCT Article 19 or 34(2) or the claims as submitted by the applicant under PCT Article 28 or 41 upon entering the national phase), unless the applicant uses the opportunity to amend the claims in response to the communication referred to in paragraph EP.19, item (i), the claims thus amended being then used as the basis for calculation of the claims fee and for further proceedings. Where the applicant fails to pay the correct amount of the claims fees within the 31-month time limit, the EPO will invite him to pay the missing amount within a period of grace of one month of notification. If claims are amended in response to the communication referred to in paragraph EP.19, item (i), the applicant has to calculate any additional claims fees himself and pay them within the time limit mentioned in the communication. Where a claims fee is not paid in due time, the claim concerned shall be deemed to be abandoned.

EPC Rule 163(1), (6) EP.10 DESIGNATION OF THE INVENTOR. For details, see the form for such designation in Annex EP.IV. Legalization is not required. For time limits, see the Summary.

EPC Art. 133 134 EPC Rule 152 163(5), (6) OJ EPO 2007, Special Edition No.3, page 128 et seq.

EP.11 APPOINTMENT OF AN AGENT AND POWER OF ATTORNEY. Natural and legal persons having either their residence or their principal place of business within the territory of one of the EPC Contracting States may act on their own behalf in proceedings before the EPO (EPC Article 133(1)). Natural and legal persons not having either a residence or their principal place of business within the territory of one of the EPC Contracting States must be represented by an agent who is entitled to practice before the EPO (see the Summary, “Who can act as agent?”). In case of failure to appoint the required agent, the applicant will be invited by the EPO to do so within two months. If the deficiency is not corrected in due time, the application is refused. Nevertheless, the applicant may act on his own behalf within the 31-month time limit applicable under PCT Articles 22(3) and 39(1)(b) and EPC Rule 159(1). Under no circumstances, however, may the applicant act through his representative appointed during the international phase if the latter is not an agent entitled to practice before the EPO. Payments can be made by anybody. A power of attorney (“Authorisation” or “General Authorisation”, see samples given in Annexes EP.V and EP.VI, respectively), generally, need not be filed by an agent who is a professional representative entered on the list maintained by the EPO who identifies himself as such. It is, however, necessary that he informs the EPO of his appointment. This applies even if the professional representative was appointed for the international phase, unless he was at the same time also explicitly appointed for the European phase before the EPO acting as Receiving Office. Legal practitioners entitled to practice before the EPO and employees representing a party under EPC Article 133(3) who are not professional representatives must always file a signed authorization or a reference to a general authorization already on file (for details, see the Decision of the President of the EPO dated 12 July 2007 on the filing of authorizations, OJ EPO 2007, Special Edition No.3, page 128 et seq.). Only where the EPO acted as receiving Office and the authorization expressly empowered the legal practitioner or employee to act before the EPO in the national phase, is a new authorization not required. In the cases where a power of attorney is required, the EPO will invite the applicant or agent to file it within a period to be specified. If the authorization is not filed in due time, any procedural steps taken by the agent will be deemed not to have been taken.

EPC Art. 86(1) and (2) EPC Rules 51 159(1)(g) RRF Art. 2 No. 4, 5

EP.12 RENEWAL FEES. They are payable for the third and each subsequent year following the international filing date. Payment must be made before the expiration of the month containing the anniversary of the international filing date. Payment can then still be made, together with a 50% surcharge for late payment, before the expiration of the sixth month after the month containing the anniversary of the international filing date. It is to be noted that a renewal fee which is due within the 31-month time limit applicable under PCT Articles 22(3) and 39(1)(b) can be paid without surcharge up to the expiration of the 31-month time limit. The renewal fee can still validly be paid within six months after the expiration of the 31-month time limit, subject to the payment of the 50% surcharge. The amounts of the renewal fees are indicated in Annex EP.I. For the calculation of aggregate time limits, see OJ EPO 1993, 229, point II-3.

EPC Art. 94 EP.13 REQUEST FOR EXAMINATION. A European patent will be granted only after examination as to patentability, the procedure for which is started only upon request. The request may be made by using the form referred to in paragraph EP.01 (see pre-crossed box 4.1

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EPC Rules 45(1), (2) 161 162

EP.09 청구항수수료. 청구항수수료는 국내단계 진입시 존재하는 청구항 수를

근거로 계산해야 한다(즉, 보정서가 제출된 경우 국내단계를 진입할 때 출원인이

PCT 제19조나 제34조(2)에 따라 보정한 청구범위나 PCT 제28조나 제41조에

따라 제출한 청구범위). 단, 출원인이 EP.19절 (i)항에 언급된 통신문에 답변하여

청구범위를 보정하고, 이에 따라 보정한 청구범위를 청구항수수료 계산과 후속

절차의 토대로 이용하는 경우에는 예외로 한다. 출원인이 31개월 기한 이내에

청구항수수료의 정확한 액수를 납부하지 않는 경우, EPO는 출원인에게 통지서일

이후 1개월의 유예기한 이내에 누락된 액수를 납부하도록 명한다. EP.19절

(i)항에 언급된 통신문에 답변하여 청구범위를 보정하는 경우, 출원인은 직접

가산 청구항수수료를 계산하고 통신문에 언급된 기한 내에 이를 납부해야 한다.

청구항수수료를 납기 내에 납부하지 않는 경우, 관련 청구범위는 포기한 것으로

간주한다.

EPC Rule 163(1), (6) EP.10 발명자 지정. 자세한 내용은 부록 EP.Ⅳ의 지정을 위한 서식을 참고한다.

공증은 강제사항이 아니다. 기한에 대해서는 요약을 참고한다.

EPC Art. 133

134 EPC Rule 152

163(5), (6) OJ EPO 2007, Special Edition No.3, page 128 et seq.

EP.11 대리인 임명과 위임장. EPC 체약국 영토 내에 거주하거나 주 사업장이

있는 자연인이나 법인은 EPO에 대한 절차를 직접 수행할 수 있다(EPC

133조(1)). EPC 체약국 영토 내에 거주하지 않거나 주 사업장이 없는

자연인이나 법인은 EPO에 개업 자격이 있는 대리인이 대리해야 한다(요약,

“대리인 자격이 있는 자는?” 참고). 대리인을 임명하지 않은 경우, EPO는

출원인에게 2개월 이내에 대리인을 임명할 것을 명한다. 기한 내에 결함을

시정하지 않을 경우, 출원은 거절된다. 단, 출원인은 PCT 제22조(3) 및

제39조(1)(b)와 EPC 규칙 159(1)에 규정된 31개월의 기한 내에는 본인을 직접

대리할 수 있다. 국제단계에서 임명한 대리인이 EPO에서 활동할 자격이 없을

때는 출원인은 어떤 경우에도 해당 대리인에게 대행을 맡길 수 없다.

위임장(이하 “위임”이나 “포괄위임”, 각각 부록 EP.V 및 EP.Ⅵ에 제시된 샘플

참고)은 일반적으로 EPO가 관리하는 명단에 기재된 전문 대리인이 제출하지

않아도 된다. 하지만, 대리인은 자신의 임명사실을 EPO에 신고해야 한다. 이는

국제단계를 위해 전문 대리인을 임명한 경우에도 적용된다. 단, 수리관청인

EPO에 유럽단계를 위한 대리인을 명시적으로 임명하는 경우에는 예외로 한다.

EPO에서 활동할 자격이 있는 등록 개업자와 EPC 133조(3)에 따라 당사자를

대행하되 전문 대리인이 아닌 종업원은 서명된 위임장이나 이미 제출된

포괄위임장의 참조문헌을 제출해야 한다(자세한 내용은 위임장 제출에 대한

2007년 7월 12일자 EPO 청장 결정, OJ EPO 2007, 특별판 No.3, 128페이지

이하 참고). EPO가 수리관청이고 위임장이 EPO에서 본인을 대행할 권한을 등록

개업자나 종업원에게 명시적으로 위임하는 경우에 한하여 신규 위임장을

제출하지 않아도 된다. 위임장이 필요한 경우, EPO는 출원인이나 대리인에게

정해진 기한 내에 이를 제출할 것을 명한다. 위임장을 납기 내에 제출하지 않은

경우, 대리인이 취한 절차상의 단계는 없었던 것으로 간주된다.

EPC Art. 86(1)

and (2) EPC Rules 51

159(1)(g) RRF Art. 2 No. 4, 5

EP.12 갱신료. 갱신료는 국제출원일 이후 3년차부터 납부한다. 국제출원일

기념일이 있는 달이 만료되기 전에 납부해야 한다. 국제출원일 기념일이

포함되는 달이 종료된 이후 6개월이 만료되기 전에 50%의 연체료와 함께

수수료를 납부할 수 있다. PCT 제22조(3) 및 제39조(1)(b)에 규정된 31개월

기한 내에 납부해야 하는 갱신료는 31개월 기한이 만료할 때까지 가산료 없이

납부할 수 있다. 갱신료는 31개월 기한이 만료된 이후 6개월 내에 납부해도

유효하되, 50%의 가산료를 납부해야 한다. 갱신료 액수는 부록 EP.I에 기재되어

있다. 기간 합산에 대해서는 OJ EPO 1993, 229, Ⅱ-3항 참고.

EPC Art. 94 EP.13 심사청구. 유럽특허는 특허성에 대한 심사를 거친 후에 부여하며, 이에

대한 절차는 청구가 있어야 개시된다. 청구는 EP.01절에 언급된 서식을

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(1 April 2008)

of EPO Form 1200, Annex EP.III). The request for examination is not deemed to be filed until after the examination fee has been paid.

EPC Art. 94(2) EPC Rule 159(1)(f)

EP.14 TIME LIMIT FOR REQUESTING EXAMINATION. Examination must be requested within six months from the publication by the International Bureau of the international search report or before the expiration of the time limit applicable under PCT Articles 22(3) and 39(1)(b) and EPC Rule 159(1) (31 months), whichever time limit expires later.

EPC Art. 121 EPC Rule 135 160

EP.15 CONSEQUENCES OF NON-FULFILMENT OF CERTAIN REQUIREMENTS. EPC Rule 160 provides that if either the translation of the international application or the request for examination are not filed in due time or if the filing fee or the search fee is not paid in due time or if no designation fee at all is paid in due time, the European patent application is deemed withdrawn. The designation of any EPC Contracting State in respect of which the designation fee has not been paid in due time is deemed withdrawn. In these circumstances, the applicant will be informed of the deemed withdrawal and EPC Rule 112(2) shall apply. However, the loss of rights shall be deemed not to have occurred if, within two months of the EPO notification, further processing is requested by payment of the fee for further processing and the omitted act is completed. The applicant who has dispensed with this notification in respect of the withdrawal of designations in Section 10.2 of EPO Form 1200 thereby agrees to the exclusion of further processing in this case.

EPC Art. 94(1) RRF Art. 14(2)

EP.16 FEE FOR EXAMINATION. The request for examination is only effective if the examination fee has been paid. That fee must therefore be paid within the time limits set out in paragraph EP.14. The amount of the said fee is indicated in Annex EP.I.

(i) It is reduced by 50% where an international preliminary examination report has been established by the EPO. If the report was established on certain parts of the international application, the reduction is allowed only if examination is to be performed on subject matter covered by the report.

EPC Art. 14(2) EPC Rule 6(3) RRF Art. 14(1)

(ii) Furthermore, a 20% reduction in the examination fee is allowed to persons having their residence or principal place of business within the territory of an EPC Contracting State with a language other than English, French or German as an official language and to nationals of such State residing abroad who file the written request for examination in an official language of that State other than English, French or German. Since the request for examination is only effective if the examination fee has been paid, the request for examination in the admissible non-EPO language may still be filed up until the examination fee is paid. Within one month of such filing (i.e., at the earliest simultaneously with the request for examination), a translation of the request in the language of proceedings must be filed. See also Annex EP.III, page 2, box 4.

(iii) If both reductions are allowed, the examination fee is reduced first by 50%. The 20% reduction is applied to the resulting total and not to the full fee.

For refund of the examination fee in the case where the supplementary search report is established by the EPO, see the following paragraph.

EPC Art. 153(7) EPC Rule 70 161

EP.17a SUPPLEMENTARY EUROPEAN SEARCH REPORT. No supplementary European search report will be established in the following cases: — the international search report was established by the EPO. — the international search report was established by the Austrian Patent Office, the Spanish Patent and Trademark Office or the Swedish Patent and Registration Office and the international application was filed before 1 July 2005. A supplementary European search report is to be established in all other cases, including cases where the international search report was established by the National Board of Patents and Registration of Finland which acts as an International Searching Authority since 1 April 2005. If the international application was filed on or after 1 July 2005, the supplementary European search report will be accompanied by an opinion on whether the application and the invention to which it relates seem to meet the requirements of the EPC (EPC Rule 62). The supplementary search will be based on those claims which are valid on the date the search is started, which will, in any case, not be before expiry of the time limit under EPC Rule 161. Thus, any amendment to the claims which has been filed up to that date will be taken into account (see

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이용하여 제출할 수 있다(부록 EP.Ⅲ, EPO 서식 1200의 체크된 box 4.1 참고).

심사료를 납부할 때까지 심사청구는 제출되지 않은 것으로 간주된다.

EPC Art. 94(2) EPC Rule 159(1)(f)

EP.14 심사청구 기한. 심사는 국제사무국의 국제조사보고서의 공개일로부터

6개월 이내에 또는 PCT 제22조(3) 및 제39조(1)(b)와 EPC 규칙

159(1)(31개월)에 규정된 기한이 만료되기 전 중 늦게 만료되는 기한 내에

청구되어야 한다.

EPC Art. 121 EPC Rule 135

160

EP.15 특정요건 불이행의 결과. EPC 규칙 160은 국제출원의 번역문이나

심사청구서를 납기 내에 제출하지 않거나 출원료나 조사료를 납기 내에 납부하지

않거나 지정수수료를 납기 내에 전액 납부하지 않은 경우, 유럽특허출원을

취하간주한다고 규정하고 있다. 지정수수료를 납기 내에 납부하지 않은 EPC

체약국의 지정은 취하간주된다. 이 경우, 취하간주 사실을 출원인에게 통보하고

EPC 규칙 112(2)를 적용한다. 단, EPO 통지 이후 2개월 내에 후속 진행료를

납부하며 후속 진행을 신청하고 누락된 행위를 완료하는 경우에는 권리의 상실이

발생하지 않은 것으로 간주한다. EPO 서식 1200, 10.2절에 기재하는 지정의

취하에 관한 통지를 무시한 출원인은 후속 진행을 하지 않음에 동의한 것이다.

EPC Art. 94(1) RRF Art. 14(2)

EP.16 심사료. 심사료를 납부하는 경우에만 심사청구의 효력이 인정된다. 이에

따라 해당 수수료를 EP.14절에서 정한 기한 내에 납부해야 한다. 전술한 수수료

액수는 부록 EP.I에 기재되어 있다.

(i) EPO에서 국제예비심사보고서를 작성한 경우 심사료의 50%를 감면한다.

국제출원의 특정 부분에 대해 보고서를 작성한 경우, 보고서가 적용되는

주제에 대해 심사를 실시하는 경우에만 감면이 허용된다. EPC Art. 14(2) EPC Rule 6(3) RRF Art. 14(1)

(ii) 아울러, 영어나 불어, 독일어 이외의 언어를 공식언어로 사용하는 EPC

체약국의 영토 내에 거주하거나 주 사업장이 있는 자와 영어나 불어,

독어 이외에 해당 국가의 공식언어로 서면 심사청구서를 제출하는 해당

국가의 해외 거주 국민에 대해서는 심사료의 20%를 감면한다. 심사료를

납부한 경우에만 심사청구가 유효하므로 심사료를 납부할 때까지 용인

가능한 비EPO언어로 작성된 심사청구서를 제출할 수 있다. 이러한 제출

이후 1개월 이내에 (즉, 가급적 심사청구와 동시에), 절차언어로 작성한

청구서 번역문을 제출해야 한다. 또한 부록 EP.Ⅲ, 2페이지, box 4 참고.

(iii) 위의 감면이 모두 허용되는 경우, 심사료의 50%를 먼저 감면한다. 전체

총액이 아니라 남은 총액에 대해 20% 감면 혜택을 적용한다.

EPO에서 보충적 조사보고서를 작성한 경우 심사료 반환에 대해서는 아래 절을

참고한다.

EPC Art. 153(7) EPC Rule 70

161

EP.17a 보충적 유럽조사보고서. 아래의 경우 보충적 유럽조사보고서는 작성되지

않는다.

- EPO에서 국제조사보고서를 작성한 경우

- 오스트리아 특허청이나 스페인 특허상표청, 스웨덴 특허등록청에서

국제조사보고서를 작성하고 2005년 7월 1일 이전에 국제출원한 경우.

2005년 4월 1일 이후 국제조사기관의 역할을 수행하고 있는 핀란드

국가특허등록위원회에서 국제조사보고서를 작성하는 경우를 비롯하여 다른

경우에는 보충적 유럽조사보고서를 작성해야 한다.

2005년 7월 1일 이후 국제출원한 경우, 보충적 유럽조사보고서에 동 보고서와

관계되는 출원 및 발명이 EPC의 요건(EPC 규칙 62)을 준수하는지에 대한

의견서를 동봉해야 한다. 보충적 조사는 조사가 시작되는 당일 유효한

청구범위를 기초로 하며, 이러한 조사는 어떤 경우에도 EPC 규칙 161에 따른

기한이 만료되기 전에 실시되어서는 안 된다. 따라서 해당 일자까지 제출된

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(1 April 2008)

paragraph EP.19, item (i)). Where the request for examination has been filed before the transmittal of the supplementary search report (which is usually the case), the EPO invites the applicant, after transmittal of the supplementary search report, to indicate whether he desires to proceed further with the application before the EPO. The applicant may dispense with this communication by informing the EPO thereof in due time.

If he does not wish to proceed further, the applicant may withdraw the application or he may simply refrain from answering the invitation within the time limit fixed in it and the application is deemed to be withdrawn; where the application is withdrawn or deemed to be withdrawn, the examination fee is refunded in full. Where the applicant wishes to proceed further, he must notify the EPO accordingly and may, at the same time, comment on the supplementary search report by filing amendments (see paragraph EP.19, item (ii)) to his application.

RRF Art. 11(b) Seventy-five per cent of the examination fee is refunded if the application is withdrawn or deemed to be withdrawn after the Examining Division has assumed responsibility but before substantive examination has begun.

EP.17b SEARCH FEE. If a supplementary search report is to be established, the search fee is reduced as follows: (i) by EUR 190 where the international search report was drawn up by the United States Patent and Trademark Office, the Japan Patent Office, the Korean Intellectual Property Office, the State Intellectual Property Office of the People’s Republic of China, the Federal Service for Intellectual Property, Patents and Trademarks (Russian Federation) or the Australian Patent Office; (ii) by EUR 890 where the international search report was drawn up by the Austrian Patent Office, or, in accordance with the Protocol on Centralisation, by the National Board of Patents and Registration of Finland, the Nordic Patent Institute, the Spanish Patent and Trademark Office or the Swedish Patent and Registration Office.

EPC Rules 30(2), (3) 163(3)

EP.18 NUCLEOTIDE AND AMINO ACID SEQUENCES. If, at the expiry of the 31-month time limit applicable under PCT Articles 22(3) and 39(1)(b), a sequence listing as prescribed in PCT Rule 5.2 is not available to the EPO, or does not comply with the Standard contained in Annex C of the Administrative Instructions Under the PCT, or has not been filed on the prescribed electronic data carrier, the applicant will be invited to file a sequence listing complying with the prescribed standard or on the prescribed data carrier and to pay the required late furnishing fee within two months (see also OJ EPO 2007, Special Edition No.3, page 26 et seq. and page 84 et seq.).

Furthermore, the applicant must enclose, together with the sequence listing and the data carrier, a declaration to the effect that the sequence listing filed does not extend beyond the content of the application as originally filed and that the information stored on the data carrier is the same as the written sequence listing (see EPO Form 1200, Section 9).

PCT Art. 28 41

EP.19 AMENDMENT OF THE APPLICATION; TIME LIMITS. In addition to any amendments made during the international phase and mentioned in the Summary, the applicant may make the following amendments to his international application before the EPO:

EPC Rule 161 (i) within a non-extendable period of one month from notification of a communication issued by the EPO promptly on the expiration of the time limit for entry into the national phase (see Summary) which will so inform the applicant: amendments, only once, to the description, claims and drawings;

EPC Rule 137(2) (ii) if a supplementary search report has been established, after receipt of that report and before receipt of the first communication from the Examining Division: amendments to the description, claims and drawings;

EPC Rule 137(3) (iii) after receipt of the first communication from the Examining Division: amendments, only once, to the description, claims and drawings, provided that the amendment is filed at the same time as the reply to the communication; no further amendment may be made without the consent of the Examining Division.

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청구범위에 대한 보정서를 참작해야 한다(EP.19절 (i)항 참고). 보충적

조사보고서를 송부하기 전에 심사청구서를 제출하는 경우(통상적으로 이에

해당한다), EPO는 보충적 조사보고서를 송달한 이후 출원인에게 EPO에 제출한

출원의 후속 진행 의사를 묻는다. 출원인이 납기 내에 EPO에 이를 통보하면 본

통신문을 생략할 수 있다.

출원인이 더 이상 진행을 원치 않는 경우, 출원을 취하하거나 통지서에 정해진

기한 내에 답변을 하지 않을 수 있으며, 이 경우 출원은 취하간주된다; 출원이

취하되거나 취하간주되는 경우, 심사료는 전액 반환된다. 출원인이 후속 진행을

원하는 경우에는 EPO에 이를 통보해야 하며, 이와 동시에 출원에 대한

보정서(EP.19절 (ii)항 참고)를 제출하여 보충적 조사보고서에 견해를 달 수

있다.

RRF Art. 11(b) 심사부가 (심사) 책임을 맡았으나 실체심사를 개시하기 전에 출원이 취하되거나

취하간주되는 경우에는 심사료의 75%를 반환한다.

EP.17b 조사료. 보충적 조사보고서를 작성할 때, 아래와 같은 경우 조사료를

감면한다:

(i) 미국 특허상표청이나 일본 특허청, 한국 특허청, 중화인민공화국 특허청,

연방지적재산특허상표국(러시아 연방), 호주 특허청이 국제조사보고서를

작성한 경우, EUR 190 감면.

(ii) 오스트리아 특허청이나, (통합 의정서에 따라) 핀란드 국가특허등록위원회,

북유럽특허협회, 스페인 특허상표청, 스웨덴 특허등록청에서 국제조사보고서를

작성한 경우, EUR 890 감면.

EPC Rules 30(2), (3)

163(3)

EP.18 핵산염기 및 아미노산 서열목록. PCT 제22조(3) 및 제39조(1)(b)에

규정된 31개월 기한이 만료할 때 PCT 규칙 5.2에 따른 서열목록을 EPO에

제공하지 않거나, PCT 행정지침 부록 C의 기준을 준수하지 않거나, 정해진

전자적 데이터 기억매체로 제출하지 않을 경우, 출원인에게 2개월 내에 정해진

기준에 맞춘 서열목록을 제출 또는 정해진 데이터 기억매체로 서열목록을

제출하며 그에 필요한 연체료를 납부할 것을 명한다(또한 OJ EPO 2007, 특별판

No.3, 26페이지 이하, 84페이지 이하 참고).

아울러 출원인은 서열목록 및 데이터 기억매체와 함께, 제출된 서열목록이

처음에 제출된 출원의 내용을 벗어나지 않으며 데이터 기억매체에 저장된 정보는

서면 서열목록과 동일하다는 선언서를 동봉해야 한다(EPO 서식 1200, 9항

참고).

PCT Art. 28

41

EP.19 출원의 보정; 기한. 국제단계에서 실시한 (요약에 언급된) 보정서에

덧붙여, 출원인은 EPO에 제출한 국제출원에 대해 아래의 보정을 실시할 수

있다:

EPC Rule 161 (i) 국내단계 진입에 대한 기한 만료(요약 참고) 즉시 EPO가 발행하는

통신문의 통지일로부터 연장이 불가능한 1달 이내: 명세서나 청구범위,

도면에 대한 보정. 단, 1회에 한함;

EPC Rule 137(2) (ii) 보충적 조사보고서가 작성된 경우, 보고서를 수령한 후와 심사부의 최초

통신문을 수령하기 전: 명세서나 청구범위, 도면에 대한 보정;

EPC Rule 137(3) (iii) 심사부의 최초 통신문을 접수한 이후: 1회에 한하여 명세서나 청구범위,

도면에 대한 보정. 단, 보정서는 통신문에 대한 답변서와 함께 제출해야

한다; 심사부의 동의 없이 추가 보정을 실시할 수 없다.

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(1 April 2008)

EPC Art. 97(1) EPC Rules 71(3)-(6)

EP.20 GRANTING OF THE EUROPEAN PATENT. Prior to the decision to grant the European patent, the applicant will receive a communication containing both the text in which the Examining Division intends to grant the European patent and an invitation to pay the grant and printing fees and supply a translation of the claims. Performance of these acts implies approval of the text. If applicable, the communication will also include an invitation to pay additional claims fees.

EPC Rule 71(3), (6) EP.21 FEE FOR GRANT, INCLUDING FEE FOR PRINTING AND CLAIMS FEE.The amounts of the fees are indicated in Annex EP.I. They must be paid within two months from the invitation to pay referred to in paragraph EP.20.

EPC Rule 71(3) EP.22 TRANSLATION OF CLAIMS. The claims must be translated into the two official languages of the EPO which are not the language of proceedings (see paragraphs EP.02 and EP.20).

PCT Art. 25 PCT Rule 51 EPC Art. 106(1) 108 EPC Rule 159(2)

EP.23 REVIEW UNDER ARTICLE 25 OF THE PCT. The applicable procedure is outlined in National Phase paragraphs 63 to 66. If, upon review under PCT Article 25, the Examining Division denies an error or omission on the part of the receiving Office or the International Bureau, an appeal against this decision may be lodged within two months from the date of receipt of the decision. Within the same two-month time limit, a fee for appeal must be paid (for the amount, see Annex EP.I). The Board of Appeal will then decide on the appeal.

PCT Art. 24(2) 48(2)

EP.24 EXCUSE OF DELAYS IN MEETING TIME LIMITS. Reference is made to National Phase paragraphs 67 to 71 and to paragraph EP.15.


EP.25 Further processing of the application may be requested where the applicant has missed a time limit during the international or the national phase in respect of which further processing is not ruled out under EPC Article 121(4) and Rule 135(2). Such request has the effect that the legal consequence of the failure to observe the time limit is deemed not to have ensued. It must be made by payment of the fee for further processing, the amount of which is indicated in Annex EP.I, within two months of the communication concerning either the failure to observe a time limit or a loss of rights.

PCT Rule 82bis EPC Art. 122 EPC Rule 136

EP.26 Reestablishment of rights may be requested where the applicant lost his rights because, in spite of all due care required by the circumstances having been taken, he was unable to observe a time limit during the international or the national phase, causing a loss of rights. An application for reestablishment must be filed in writing within two months from the removal of the cause of non-compliance with the time limit but not later than one year from the expiration of the time limit which has not been observed. Within the said two months, the omitted act must be completed, the fee for reestablishment of rights (see Annex EP.I) must be paid and the application must state the grounds on which it is based and must set out the facts on which it relies. However, reestablishment of rights is ruled out in respect of any period for which further processing under EPC Article 121 is available.

EP.27 EXTENSION. International applications entering the national phase at the EPO can be extended to certain States which have concluded an Extension Agreement to that effect with the European Patent Organisation (they are indicated in the Summary), provided the State concerned has been designated for a national patent in the international application and the respective extension fees have been paid, the amount of which is indicated in Annex EP.I. For payment of the extension fee, the provisions for payment of the European designation fees apply mutatis mutandis. The request for extension for a state is deemed withdrawn if the extension fee is not paid to the EPO within the time limit laid down in the EPC for the payment of designation fees (EPC Rule 159(1)(d)). No separate loss of rights communication is issued. As a rule, further processing is excluded for requests for extension which are deemed withdrawn (for exceptions and detailed information see Guidelines for Examination in the EPO, A-III, 12.2). When an extension State accedes to the EPC, the Extension Agreement remains applicable to international applications filed prior to the date of accession.

EPC Rule 53 EP.28 PRIORITY DOCUMENTS. Where the priority of an earlier application is claimed, the priority documents are usually sent by the International Bureau to the EPO, since they are filed with the receiving Office or the International Bureau during the international phase. Where for any reason priority documents have not been submitted by the time of entry into the

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EPC Art. 97(1) EPC Rules 71(3)-(6)

EP.20 유럽특허의 부여. 유럽특허의 부여 결정을 내리기 전에, 출원인은

심사부가 유럽특허를 부여할 예정이라는 원문뿐만 아니라 설정료 및

인쇄수수료를 납부하고 청구범위 번역문을 제출하라는 통지서가 포함된 통신문을

수령하게 된다. 이러한 행위의 이행은 원문의 승인을 의미한다. 통신문에는 가산

청구항수수료 납부 안내문도 포함될 수 있다.

EPC Rule 71(3), (6)

EP.21 인쇄수수료 및 청구항수수료를 포함한 설정료. 수수료 액수는 부록 EP.I에

기재되어 있다. 수수료는 EP.20절에 언급된 납부 통지일로부터 2개월 이내에


EPC Rule 71(3) EP.22 청구범위 번역문. 청구범위는 절차언어가 아닌 EPO의 2개 공식언어로

번역해야 한다(EP.02절 및 EP.20절 참고).

PCT Art. 25 PCT Rule 51 EPC Art. 106(1)

108 EPC Rule 159(2)

EP.23 PCT 제25조에 따른 검사. 해당 절차는 국내단계 제63절부터 제66절에

설명되어 있다. PCT 제25조에 따른 검사 결과 심사부가 수리관청이나

국제사무국 측의 착오나 누락을 부인하는 경우, 결정 수령일로부터 2개월 이내에

본 결정에 대한 재심을 제기할 수 있다. 동일한 2개월 기한 내에 재심수수료를

납부해야 한다(액수에 대해서는 부록 EP.I 참고). 재심에 대한 판정은

재심위원회가 한다.

PCT Art. 24(2)

48(2) EP.24 준수되지 아니한 기한의 용인. 국내단계 제67절부터 제71절과 EP.15절을

참고한다.


EP.25 출원인이 EPC 121조(4)와 규칙 135(2)에 따라 후속 진행이 허용되는

국제단계나 국내단계의 기한을 놓친 경우, 출원의 후속 진행 신청이 가능하다.

이런 신청은 기한 준수 불이행의 법적 결과가 수반되지 않은 것으로 간주되는

효력을 갖는다. 기한 준수 불이행 또는 권리의 상실에 관한 통신문 통보 이후

2개월 이내에 추가 진행료를 납부하며 신청해야 한다. 액수는 부록 EP.I에


PCT Rule 82bis EPC Art. 122 EPC Rule 136

EP.26 정황상 필요한 일체의 정당한 주의를 기울였음에도 불구하고 출원인이

국제단계나 국내단계의 기한을 준수할 수 없어서 본인의 권리를 상실하는 경우,

권리의 재설정을 신청할 수 있다. 재설정 신청은 기한 미준수 원인을 제거한

이후 2개월 이내에 또는 준수하지 못한 기한 만료일로부터 1년 이내에 서면으로

제출해야 한다. 전술한 2개월 이내에 누락된 행위를 완료하고 권리 재설정

수수료(부록 EP.I 참고)를 납부해야 하며, 신청의 근거가 되는 사유를 명시하고

신청이 기초하는 제반 사실을 명시해야 한다. 단, EPC 121조에 따른 후속

진행이 적용가능한 기한에 대해서는 권리 재설정이 허용되지 않는다.

EP.27 확장. EPO에서 국내단계를 진입하는 국제출원은 유럽특허기구와 확장

협정을 체결한 특정 국가(요약에 설명된)로 확장될 수 있다. 단, 국제출원에서

국내특허를 위해 관련 국가는 지정되었어야 하고, 각각의 확장수수료를

납부해야 한다. 수수료 액수는 부록 EP.I에 기재되어 있다. 확장수수료 납부에

대해서는 유럽지정수수료 납부규정을 준용한다. 지정수수료 납부를 위해

EPC에서 규정한 기한 내에 EPO에 확장수수료를 납부하지 않는 경우에는

확장신청은 취하간주된다(EPC 규칙 159(1)(d)). 별도의 권리상실 통신문은

발행되지 않는다. 일반적으로 취하간주되는 확장신청에 대해서는 후속 진행이

배제된다(예외 사항이나 상세한 정보는 EPO 심사 지침, A-Ⅲ, 12.2 참고).

확장국이 EPC에 가입하는 경우에도, 가입일 이전에 출원한 국제출원에 대해서는

확장협정을 계속 적용한다.

EPC Rule 53 EP.28 우선권서류. 선출원의 우선권을 주장하는 경우, 국제사무국은

국제단계에서 수리관청이나 국제사무국에 제출된 우선권서류를 EPO에 송부한다.

어떤 이유에서든지 국내단계를 개시할 때까지 우선권서류가 제출되지 않았을

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(1 April 2008)

national phase, the applicant will be invited to furnish the missing documents within two months. However, this does not apply to priority documents of the Japan Patent Office, the Korean Intellectual Property Office and the United States Patent and Trademark Office (see the notice dated 27 June 2007 concerning practical aspects of the electronic exchange of priority documents between the EPO and the USPTO in OJ EPO 8-9/2007, page 473 et seq.) which are supplied electronically and of the EPO (see OJ EPO 2007, Special Edition No. 3, page 22 et seq.). Translation requirements remain applicable to Japanese and Korean documents. Where the language of priority documents is not one of the official languages of the EPO (English, French or German) and the validity of the priority claim is relevant to the determination of the patentability of the invention concerned, the applicant is invited to file a translation in one of these three languages or a declaration that the international application is a complete translation of the priority application. The translation must then be filed within the time limit set by the EPO. For further information see Guidelines for Examination in the EPO, A-III, 6.8.

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경우, 출원인에게 2개월 이내에 누락된 서류를 제출할 것을 명한다. 단, 이는

전자적으로 제공되는 일본 특허청과 한국 특허청, 미국 특허상표청(EPO와

USPTO 간 우선권서류 전자적 교환의 실무적 측면에 관한 2007년 6월 27일자

고시, OJ EPO 8-9/2007, 473 페이지 이하), EPO(OJ EPO 2007, 특별판 No.3

22페이지 이하 참고)의 우선권서류에는 적용하지 않는다. 일본과 한국 서류에는

번역문 요건이 적용된다. 우선권서류의 언어가 EPO의 공식언어(영어나 불어,

독어)가 아니고 우선권 주장의 효력이 해당 발명의 특허성 판단과 관련이 있는

경우, 출원인에게 이들 3개 언어 가운데 한 개 언어의 번역문이나 국제출원이

우선권 신청의 완전한 번역문이라는 선언서를 제출할 것을 명한다. 이 경우

번역문은 EPO가 정한 기한 내에 제출되어야 한다. 추가 정보는 EPO 심사 지침,

A-Ⅲ, 6.8 참고.

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EP PCT Applicant’s Guide – National Phase – National Chapter – EP Annex EP.I, page 1

(1 April 2008)

FEES

(Currency: Euro)1

Filing fee: — where the form for entry into the European phase (EPO Form 1200) is filed online . . . . . . 100 — where the form for entry into the European phase (EPO Form 1200) is not filed online . . . 180

Designation fee for each EPO Contracting State designated and for the joint designation of Switzerland and Liechtenstein (the designation fees are deemed paid for all EPO Contracting States upon payment of seven times the amount of the designation fee) . . . . . . . . . . . 85

Extension fee for each extension State (extension of the European patent to certain States which are not EPO Contracting States—see Summary) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102

Claims fee for the 16th and each subsequent claim . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 200

Search fee in respect of a European or supplementary European search: — for international applications filed before 1 July 2005 . . . . . . . . . . . . . . . . . . . . . . . . . . . . 760 — for international applications filed on or after 1 July 2005 . . . . . . . . . . . . . . . . . . . . . . . . . 1,050

Fee for further processing: — in the event of late payment of a fee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50% of the relevant fee — other cases. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 210

Fee for late furnishing of a sequence listing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 200

Examination fee: — for international applications filed before 1 July 2005 . . . . . . . . . . . . . . . . . . . . . . . . 1,565 — for international applications filed on or after 1 July 2005 for which no supplementary

European search report is drawn up . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1,565

— for all other international applications filed on or after 1 July 2005. . . . . . . . . . . . . . . . 1,405

Renewal fees for European patent applications:2 — for the 3rd year counted from the international filing date . . . . . . . . . . . . . . . . . . . . . . . . . 400 — for the 4th year counted from the international filing date . . . . . . . . . . . . . . . . . . . . . . . . . 500 — for the 5th year counted from the international filing date . . . . . . . . . . . . . . . . . . . . . . . . . 700 — for the 6th year counted from the international filing date . . . . . . . . . . . . . . . . . . . . . . . . . 900 — for the 7th year counted from the international filing date . . . . . . . . . . . . . . . . . . . . . . . . . 1,000 — for the 8th year counted from the international filing date . . . . . . . . . . . . . . . . . . . . . . . . . 1,100 — for the 9th year counted from the international filing date . . . . . . . . . . . . . . . . . . . . . . . . . 1,200 — for the 10th and each subsequent year counted from the international filing date . . . . . . . . . 1,350

Fee for grant, including fee for printing the European patent specification: — where the application documents to be printed comprise not more than 35 pages . . . . . . . . 790 — where the application documents to be printed comprise more than 35 pages . . . . . . . . . . . 790 plus for the 36th and each subsequent page . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

Fee for reestablishment of rights/fee for requesting restoration/fee for reinstatement of rights . . . . 550

Fee for appeal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1,120

1 This list is based on the Schedule of fees and expenses of the European Patent Office. For the currently valid version of this

Schedule reference is made to the Guidance for the payment of fees and expenses, in the latest issue of the OJ EPO (see Supplement to OJ EPO 3/2008), or to the EPO’s website.

2 The obligation to pay renewal fees to the EPO ceases with the payment of the renewal fee due in respect of the year during which the grant of the European patent has been published in the European Patent Bulletin.

- 168 -


수수료

(통화: 유로화) 1

출원료:

- 유럽단계 진입을 위한 서식(EPO 서식 1200)을 온라인으로 제출하는 경우 ······················· 100

- 유럽단계 진입을 위한 서식(EPO 서식 1200)을 온라인으로 제출하지 않는 경우················ 180

지정된 각 EPO 체약국과 스위스 및 리히텐슈타인 공동지정에 대한

지정수수료(지정수수료 액수의 7배를 납부하는 경우 전체 EPO 체약국에

지정수수료를 납부한 것으로 간주한다) ·········································································· 85

각 확장국에 대한 확장수수료(EPO 체약국이 아닌 특정 국가에 대한

유럽특허의 확장 – 요약 참고) ····················································································· 102

16차 및 각 후속 청구항에 대한 청구항수수료 ································································ 200

유럽조사 또는 보충적 유럽조사에 관한 조사료:

- 2005년 7월 1일 이전에 출원한 국제출원 ································································· 760

- 2005년 7월 1일 이후에 출원한 국제출원 ·································································· 1,050

후속 진행료:

- 수수료 납부 연체의 경우······································································· 관련 수수료의 50%

- 기타 경우 ············································································································ 210

서열목록 제출 연체수수료 ···························································································· 200

심사료:

- 2005년 7월 1일 이전에 출원한 국제출원 ································································· 1,565

- 보충적 유럽조사보고서를 작성하지 않고

2005년 7월 1일 이후 출원한 국제출원 ···································································· 1,565

- 2005년 7월 이후 출원한 기타 국제출원 ··································································· 1,405

유럽특허출원 갱신료: 2

- 국제출원일 이후 만 3년째······················································································· 400

- 국제출원일 이후 만 4년째······················································································· 500

- 국제출원일 이후 만 5년째······················································································· 700

- 국제출원일 이후 만 6년째······················································································· 900

- 국제출원일 이후 만 7년째······················································································· 1,000

- 국제출원일 이후 만 8년째······················································································· 1,100

- 국제출원일 이후 만 9년째 ···················································································· 1,200

- 국제출원일 이후 만 10년째 및 그 후속 년도 ································································· 1,350

유럽특허 명세서 인쇄수수료를 포함한 설정료:

- 인쇄 출원 서류가 35페이지를 넘지 않는 경우 ························································· 790

- 인쇄 출원 서류가 35페이지를 넘는 경우 ·································································· 790

36페이지 이후 페이지당 가산금 ············································································· 12

권리 재설정/회복 신청/권리 회복수수료 ········································································· 550

재심수수료 ·················································································································· 1,120

1 본 목록은 유럽특허청 수수료 및 경비 별표를 기초로 한다. 현재 유효한 별표에 대해서는 최근 공고된 OJ EPO (OJ EPO 3/2008

부록 참고)의 수수료 및 경비 납부지침이나 EPO 웹사이트를 참고한다.

2 EPO에 갱신료를 납부해야 할 의무는 유럽특허의 설정이 유럽특허고시에 공고된 연도에 관한 갱신료를 납부함에 따라 중지된다.

- 169 -

EP Annex EP.I, page 2 PCT Applicant’s Guide – National Phase – National Chapter – EP

(1 April 2008)

Extract from the Rules Relating to Fees

Article 5 Payment of fees

(1) The fees due to the Office shall be paid in euro by payment or transfer to a bank account held by the Office.

(2) The President of the Office may allow other methods of paying fees than those set out in paragraph 1.

Article 6 Particulars concerning payments

(1) Every payment must indicate the name of the person making the payment and must contain the necessary particulars to enable the Office to establish immediately the purpose of the payment.

(2) If the purpose of the payment cannot immediately be established, the Office shall require the person making the payment to notify it in writing of this purpose within such period as it may specify. If he does not comply with this request in due time the payment shall be considered not to have been made.

Article 7 Date to be considered as the date on which payment is made

(1) The date on which any payment shall be considered to have been made to the Office shall be the date on which the amount of the payment or of the transfer is actually entered in a bank account held by the Office.

(2) Where the President of the Office allows, in accordance with the provisions of Article 5, paragraph 2, other methods of paying fees than those set out in Article 5, paragraph 1, he shall also lay down the date on which such payments shall be considered to have been made.

(3) Where, under the provisions of paragraphs 1 and 2, payment of a fee is not considered to have been made until after the expiry of the period in which it should have been made, it shall be considered that this period has been observed if evidence is provided to the Office that the person who made the payment

(a) fulfilled one of the following conditions in a Contracting State within the period within which the payment should have been made:

(i) he effected the payment through a banking establishment; (ii) he duly gave an order to a banking establishment to transfer the amount of the payment; and (b) paid a surcharge of 10% on the relevant fee or fees, but not exceeding EUR 150; no surcharge is payable if a

condition according to sub-paragraph (a) has been fulfilled not later than ten days before the expiry of the period for payment.

(4) The Office may request the person who made the payment to produce evidence as to the date on which a condition according to paragraph 3(a) was fulfilled and, where required, pay the surcharge referred to in paragraph 3(b), within a period to be specified by it. If he fails to comply with this request or if the evidence is insufficient, or if the required surcharge is not paid in due time, the period for payment shall be considered not to have been observed.

Article 8 Insufficiency of the amount paid

(1) A time limit for payment shall in principle be deemed to have been observed only if the full amount of the fee has been paid in due time. If the fee is not paid in full, the amount which has been paid shall be refunded after the period for payment has expired. The Office may, however, in so far as this is possible within the time remaining before the end of the period, give the person making the payment the opportunity to pay the amount lacking. It may also, where this is considered justified, overlook any small amounts lacking without prejudice to the rights of the person making the payment.

(2) Where the amount paid in designation fees is insufficient to cover the designation fees payable for all the Contracting States, the amount paid shall be applied according to the specifications to be made by the applicant by the time of payment at the latest. If the applicant makes no such specifications, the fees shall be deemed to be paid only for as many designations as are covered by the amount paid and in the order in which the Contracting States are listed in the request for grant.

- 170 -


수수료에 관한 규칙 발췌

제5조

수수료의 납부

(1) 특허청에 납부해야 할 수수료는 특허청이 보유한 은행계좌에 대한 납부나 이체를 통해 유로화로

납부한다.

(2) 특허청장은 제1절에 명시된 방법을 제외한 기타 수수료 납부방식을 허가할 수 있다.

제6조

납부에 관한 세부사항

(1) 모든 수수료 납부에는 납부자 성명을 명시해야 하며, 특허청이 납부의 목적을 즉시 확인하는데

필요한 세부사항을 포함해야 한다.

(2) 납부 목적을 즉시 확인할 수 없는 경우, 특허청은 납부자에게 특허청이 정하는 기한 내에 이러한

목적을 서면으로 통보하도록 요구해야 한다. 납부자가 정해진 기한 내에 이러한 요청을 준수하지

않을 경우, 수수료를 납부하지 않은 것으로 간주된다.

제7조

납부 간주일

(1) 특허청에 수수료를 납부한 것으로 간주되는 날은 특허청이 보유한 은행 계좌에 납부액이나

이체액이 실제로 입력되는 날로 한다.

(2) 제5조, 2절의 규정에 따라 특허청장이 제5조, 1절에 명시한 방법 이외의 수수료 납부방법을

허용하는 경우, 특허청장은 해당 납부가 이행된 것으로 간주하는 날짜도 규정해야 한다.

(3) 제1절 및 제2절의 규정에 따라 납부기한이 만료될 때까지 수수료가 납부되지 않은 것으로

간주되는 경우, 납부자가 수수료를 납부했다는 증거를 특허청에 제출하는 경우에는 이러한

기한을 준수한 것으로 간주한다.

(a) 수수료를 납부했어야 하는 기한 내에 체약국 내에서 아래의 조건 가운데 하나를 이행한 경우:

(i) 납부자가 은행 기관을 통해 납부를 이행하였다;

(ii) 납부자가 납부액을 이체하기 위해 은행 기관에 정식으로 주문장을 제출했다;

(b) 관련 수수료에 대해 EUR 150을 초과하지 않는 가산료 10%를 납부했다. 납부기한이 만료되기

10일 이전에 (a)항에 따른 조건을 이행한 경우에는 가산료를 납부하지 않는다.

(4) 특허청은 수수료 납부자에게 3(a)항에 따른 조건을 이행한 날짜에 관한 증거를 제출하고, 필요할 경우

특허청이 지정하는 기한 내에 3(b)절에 언급된 가산료를 납부하도록 요구할 수 있다. 납부자가 이러한

요구를 준수하지 않거나 증거가 불충분하거나, 필요한 가산료를 납기 내에 납부하지 않는 경우,

납부기한을 준수하지 않은 것으로 간주한다.

제8조

납부액의 부족

(1) 원칙적으로 수수료 전액을 납기 내에 납부한 경우에만 납부기한을 준수한 것으로 간주한다. 수수료를 전액

납부하지 않은 경우, 납부기한이 만료된 후 기납액을 반환해야 한다. 단, 가능한 경우 기한이 종료되기 전 잔여

기한 내에 특허청은 납부자에게 부족액을 납부할 기회를 제공할 수 있다. 또한 특허청은 정당하다고 간주되는

경우 납부자의 권리를 훼손하지 않고 소정의 부족액은 무시할 수 있다.

(2) 지정수수료 납부액이 모든 체약국에 대해 납부해야 할 지정수수료에 미치지 못하는 경우, 출원인이

납부시점까지 작성한 진행한 명세서에 따라 기납액을 적용해야 한다. 출원인이 해당 명세서를 이행하지

않았다면, 수수료는 기납액이 적용되는 최대의 지정국에 한하여 설정신청서에 기재된 순서대로 체약국에 대한

수수료를 납부한 것으로 간주한다.

- 171 -

EP PCT Applicant’s Guide – National Phase – National Chapter – EP Annex EP.I, page 3

(1 April 2008)

Article 9 Refund of search fees

(1) The search fee paid for a European or supplementary European search shall be fully refunded if the European patent application is withdrawn or refused or deemed to be withdrawn at a time when the Office has not yet begun to draw up the search report.

(2) Where the European search report is based on an earlier search report prepared by the Office on an application whose priority is claimed or an earlier application within the meaning of Article 76 of the Convention or of Rule 17 of the Convention, the Office shall refund to the applicant, in accordance with a decision of its President, an amount which shall depend on the type of earlier search and the extent to which the Office benefits from the earlier search report when carrying out the subsequent search.

Article 14 Reduction of fees

(1) The reduction laid down in Rule 6, paragraph 3, of the Convention shall be 20% of the filing fee, examination fee, opposition fee, appeal fee, fee for the petition for review or the limitation or revocation fee.

(2) Where the European Patent Office has drawn up an international preliminary examination report, the examination fee shall be reduced by 50%. If the report was established on certain parts of the international application in accordance with Article 34, paragraph 3(c), PCT, the fee shall not be reduced if subject-matter not covered by the report is to be examined.

Extract from the Arrangements for deposit accounts which may be used for the settlement of fees or the cost of publications and other services payable to the EPO3

1. General provisions

Under Articles 5(2) and 7(2) of its Rules relating to Fees (RFees), the EPO makes available, for any interested natural or legal person (or bodies equivalent to a legal person under the law applicable to them), deposit accounts for paying fees, expenses and prices to be levied by the Office.

2. Formalities for opening an account

A deposit account may be opened upon request and provision of all the necessary particulars about the person, occupation and address of the prospective account holder. This is done by: (a) completing and submitting the online request form on the EPO website under

https://secure.epo.org/products/deposit/ or (b) sending a signed request, on paper, by fax or by email, containing the abovementioned particulars, to the EPO

as follows:

European Patent Office Vienna sub-office Dir. 4.5.4 PO Box 90 1031 Vienna Austria Fax: (+43-1) 521 262 495 E-mail: [email protected]

3. Administration of the accounts

Deposit accounts are kept in euro only, at the EPO headquarters in Munich.

4. Inpayments

Inpayments to replenish deposit accounts must be made into an EPO bank account, giving the number of the EPO deposit account concerned. They are credited to the deposit account with the value date of the inpayment into the EPO bank account. They may be made only in the currency in which the EPO bank account concerned is held. If

3 Arrangements for deposit accounts (ADA): See Supplement to OJ EPO 10/2007.

- 172 -


제9조

조사료의 반환

(1) 특허청이 조사보고서 작성을 시작하지 않았을 때 유럽특허출원이 취하되거나 거절되거나

취하간주되는 경우, 유럽조사 또는 보충적 유럽조사를 위해 납부한 조사료를 전액 반환한다.

(2) 유럽조사보고서가 우선권이 주장되는 출원 또는 협약 제76조나 협약 규칙 17의 의미에 포함되는

선출원에 대해 특허청이 작성하는 선행 조사보고서를 기초로 하는 경우, 특허청은 특허청장의

결정에 따라 선행 조사의 유형이나 특허청이 후속 조사를 수행할 때 선행 조사보고서에서 얻을

혜택의 정도에 따라 정한 금액을 출원인에게 반환한다.

제14조

수수료의 감면

(1) 협약 규칙 6, 제3절에 규정된 감면은 출원료, 심사료, 이의신청수수료, 재심수수료,

검사청원수수료, 한정 혹은 취소수수료의 20%로 한다.

(2) 유럽특허청에서 국제예비심사보고서를 작성한 경우, 심사료의 50%를 감면한다. PCT

제34조3(c)에 따라 국제출원의 특정 부분에 대해 보고서가 작성된 경우, 해당 보고서가 적용되지

않는 주제를 심사할 때는 수수료를 감면하지 않는다.

수수료나 공개 비용, EPO에 납부해야 할 기타 서비스 비용 정산을 위해 사용되는 예금

계좌에 대한 협정 발췌3

1. 총칙

수수료에 관한 규칙(RFees) 5(2) 및 7(2)에 따라, EPO는 이해관계가 있는 자연인이나 법인(혹은

준거법에 따라 법인에 해당하는 단체)에게 특허청이 부과하는 수수료와 경비, 대금 납부를 위한 예금

계좌를 제공한다.

2. 계좌개설절차

예금 계좌는 계좌 보유 예정자의 신원, 직업, 주소에 관하여 필요한 내용 일체를 요청하여 이를

제공받을 경우 개설할 수 있다. 이는 아래의 방법으로 이행한다:

(a) EPO 웹사이트 https://secure.epo.org/products/deposit/에 있는 온라인 신청서 작성 및 제출

(b) 전술한 세부사항을 포함하고 서명을 거친 신청서를 아래와 같이 서류나 팩스, 이메일로

EPO에 발송:

European Patent Office

Vienna sub-office

Dir. 4.5.4

PO Box 90

1031 Vienna

Austria

팩스: (+43-1) 521 262 495

이메일: [email protected]

3. 계좌관리

예금 계좌는 뮌헨에 있는 EPO본부에서 유로화로 유지된다.

4. 일반이체

예금 계좌를 위한 일반이체는 EPO 은행 계좌에 대해 행하며, 관련 EPO 예금 계좌 번호를 제공해야

한다. 일반이체는 EPO 은행 계좌에 대한 이체 결제일에 예금 계좌에 입금된다.

3 예금 계좌에 대한 협정 (ADA): OJ EPO 10/2007 부록 참고

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EP Annex EP.I, page 4 PCT Applicant’s Guide – National Phase – National Chapter – EP

(1 April 2008)

made into an EPO account held in a currency other than euro, they are converted into euro at the exchange rate pertaining on the inpayment date and the resulting euro amount is credited to the deposit account.

6. Debiting the account

6.1 Subject to point 12, deposit accounts may be debited only in respect of fees, expenses and prices to be levied by the EPO.

6.2 Debiting occurs in principle on the basis of a debit order signed by the account holder.

This may be – a debit order for individual fees, or – an automatic debit order filed under the automatic debiting procedure for a specific European patent application

and authorising the debiting of fees automatically as the proceedings progress,

and may be filed – by means of EPO Online Filing, on EPO Forms 1001E (Request for grant) and 1200E (Form for entry into the

European phase), – by means of EPO Online Filing or PCT-SAFE, on the PCT Fee Calculation Sheet annexed to Form

PCT/RO/101 (PCT Request), in which case the signature requirement for the debit order is considered met if the Request is duly signed,

– by means of Online Fee Payment via My.epoline®, in which case authorisation by smart card takes the place of a signature,

– by means of EPO Online Filing using EPO Form 1038E (Letter accompanying subsequently filed items), – on paper, in the case of an individual debit order preferably on EPO Form 1010, – by fax, in the case of an individual debit order preferably on EPO Form 1010, which should be sent to the

EPO’s central fax number in Munich, – by diskette.

Paper confirmation of a debit order is not required.

8. Automatic debiting procedure

Account holders may have their accounts debited automatically on the basis of an automatic debit order. The conditions applicable, and in particular the types of proceedings and fees covered, are laid down in the Arrangements for the automatic debiting procedure (AAD).

9. Online Fee Payment via My.epoline®

Debit orders may also be filed online by means of Online Fee Payment via My.epoline®, under conditions laid down in the Arrangements for Online Fee Payment via My.epoline®.

- 174 -


일반이체는 관련 EPO 은행 계좌에 보유된 통화로만 할 수 있다. 유로화 이외의 통화를 보유한 EPO

계좌에 이체하는 경우, 이체액은 일반이체일 당시 관련 환율에 따라 유로화로 환산하며, 유로화

환산액을 예금 계좌에 입금한다.

6. 계좌인출

6.1 12항에 따라, 예금 계좌는 EPO가 부과하는 수수료와 경비, 대금에 관해서만 인출할 수 있다.

6.2 인출은 원칙적으로 예금주가 서명하는 인출주문서를 토대로 한다.

이러한 주문서는 아래의 형태를 띨 수 있다.

- 개별 수수료에 대한 인출 주문서

- 특정 유럽특허출원의 절차 경과에 따라 자동으로 수수료 인출을 허가하는 자동인출절차에 따라

제출되는 자동인출주문서

또한 인출주문서는 아래와 같이 제출할 수 있다.

- EPO 온라인 제출을 통해 EPO 서식 1001E(설정신청서), 1200E(유럽단계 진입을 위한 서식)

제출.

- EPO 온라인 제출이나 PCT-SAFE를 통해 PCT/RO/101(PCT 출원서) 서식에 첨부된 PCT

수수료 계산 시트 제출. 이 경우 출원서에 정식 서명이 있으면 인출주문서 서명 요건을 충족한

것으로 간주한다.

- My.epoline®을 통한 온라인 수수료 납부. 이 경우 스마트카드에 의한 허가로 서명을 대신한다.

- EPO 서식 1038E(추후 제출되는 항목을 동봉하는 서한)를 이용한 EPO 온라인 제출

- 서류. 개별 인출 주문서를 제출하는 경우 가급적 EPO 서식 1010으로 제출.

- 팩스. 개별 인출 주문서를 제출하는 경우 가급적 EPO 서식 1010으로 제출. 팩스는 뮌헨에 있는

EPO 대표 팩스 번호로 전송해야 한다.

- 디스켓.

인출주문서의 서류확인은 필요 없다.

8. 자동인출절차

예금주는 자동 인출주문서를 토대로 자동으로 인출되는 계좌를 둘 수 있다. 적용되는 조건, 특히

적용되는 절차 및 수수료 유형은 자동인출절차에 대한 협정(AAD)에 규정되어 있다.

9. My.epoline®을 통한 온라인 수수료 납부

인출 주문서는 My.epoline®을 통한 온라인 수수료 납부협정에 규정된 조건에 따라 My.epoline®을

통한 온라인 수수료 납부를 이용하여 제출할 수도 있다.

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EP PCT Applicant’s Guide – National Phase – National Chapter – EP Annex EP.II, page 1

(1 April 2008)

EP

001 Filing fee – EP direct

Search fee

Designation fee(s) 3

Claims fee(s) (Rules 45(1), 162(1) EPC)

Additional copy

Examination fee

AmountCurrency

Total

Renewal fee for the 3rd year

Renewal fee for the 4th year

Renewal fee for the 5th year

Code

Fee for grant includingfee for printing (up to 35 pages)

Extension fee(s)for 4 : _______________________________

Additional fee for printing (more than 35 pages)

European Patent OfficeTreasury and Accounts80298 MünchenGermanyFax +49(0)89 2399-4465

Please complete in typescript only

Signature

Bank payment /transfer to 1

Name of bank where EPO account held

Deposit account No.

Patent application / patent No. (please use a separate form for each application)

Mode of payment

Debit from deposit account with the EPO is requested 2

Address

Name of payer Payer's reference

EP

O 1

010

04.0

8

Explanations 1 - 4 see overleaf.

EUR

PCT

Place, date

EUR

EUR

EUR

EUR

EUR

EUR

EUR

EUR

EUR

EUR

EUR

EUR

EUR

EUR

EUR

EUR

EUR

EUR

002

005

015

055

006

007

008

033

034

035

___________________________________

___________________________________

___________________________________

___________________________________

___________________________________

Filing fee – entry EP phase020

Payment offees and expenses

01

02

03

04

05

06

07

08

03

09

10

11

12

13

14

15

16

17

18

19

20

21

22

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EP Annex EP.II, page 2 PCT Applicant’s Guide – National Phase – National Chapter – EP

(1 April 2008)

Fee codes

001 = Filing fee – European patent application002 = Search fee in respect of a European or supplementary European search003 = Search fee in respect of an international search005 = Designation fee for each Contracting State designated006 = Examination fee007 = Fee for grant including fee for printing the European patent specification (not more than 35 pages)008 = Additional fee for printing the European patent specification

(more than 35 pages)009 = Fee for printing a new specification of the European patent (Rule 82(2), Rule 95(3) EPC)010 = Opposition fee011 = Fee for appeal013 = Fee for re-establishment, reinstatement, restoration (EPC, PCT)015 = Claims fee for the sixteenth and each subsequent claim (Rule 45(1), Rule 162(1) EPC)016 = Claims fee according to Rule 71(6) EPC017 = Fee for the awarding of costs018 = Fee for the conservation of evidence019 = Transmittal fee for an international application020 = Filing fee – entry EP phase (Rule 159(1)(c) EPC)021 = Fee for the preliminary examination of an international ap-

plication022 = Registering of transfer023 = Registering of licences and other rights024 = Cancellation of entry in respect of licences and other rights025 = Duplicate copy of the European patent certificate026 = Extract from the European Patent Register027 = Inspection of the files of a European patent application028 = Administrative fee for deposit account029 = Issue of a certified copy of a European patent application or

an international application; priority documents030 = Communication of information contained in the files of a European patent application031 = Issue of receipts by fax

033 = Renewal fee for the 3rd year034 = Renewal fee for the 4th year035 = Renewal fee for the 5th year036 = Renewal fee for the 6th year037 = Renewal fee for the 7th year038 = Renewal fee for the 8th year039 = Renewal fee for the 9th year040 = Renewal fee for the 10th year041 = Renewal fee for the 11th year042 = Renewal fee for the 12th year043 = Renewal fee for the 13th year044 = Renewal fee for the 14th year045 = Renewal fee for the 15th year046 = Renewal fee for the 16th year047 = Renewal fee for the 17th year048 = Renewal fee for the 18th year049 = Renewal fee for the 19th year050 = Renewal fee for the 20th year

055 = Additional copy of the documents cited in the European search report

056 = Surcharge payable under Rule 82(3), Rule 95(3) EPC059 = Postage and sundry communication expenses060 = Fee for a technical opinion061 = Surcharge under Article 7(3)(b) RFees062 = Protest fee063 = Late payment fee (Rule 16bis.2 PCT)064 = Late payment fee (Rule 58bis.2 PCT)066 = Fee for late furnishing of sequence listings (Rule 13ter.1, 13ter.2 PCT)

080 = Certification of other documents093 = Additional fee for the renewal fee / 3rd year094 = Additional fee for the renewal fee / 4th year095 = Additional fee for the renewal fee / 5th year096 = Additional fee for the renewal fee / 6th year097 = Additional fee for the renewal fee / 7th year098 = Additional fee for the renewal fee / 8th year099 = Additional fee for the renewal fee / 9th year100 = Additional fee for the renewal fee / 10th year101 = Additional fee for the renewal fee / 11th year102 = Additional fee for the renewal fee / 12th year103 = Additional fee for the renewal fee / 13th year104 = Additional fee for the renewal fee / 14th year105 = Additional fee for the renewal fee / 15th year106 = Additional fee for the renewal fee / 16th year107 = Additional fee for the renewal fee / 17th year108 = Additional fee for the renewal fee / 18th year109 = Additional fee for the renewal fee / 19th year110 = Additional fee for the renewal fee / 20th year

EPC 2000 – New fees/fee codes as from 13.12.2007:067 = Fee for late furnishing of a sequence listing (Rule 30(3) EPC)111 = Fee for petition for review121 = Fee for further processing (late performance of acts under Rule 71(3) EPC)122 = Fee for further processing (non-fee-related cases)123 = Fee for further processing (late payment of a fee)131 = Limitation fee141 = Revocation fee

Extension fees for:402 = Lithuania (LT)403 = Latvia (LV)404 = Albania (AL)406 = Former Yugoslav Republic of Macedonia (MK)407 = Croatia (HR)408 = Bosnia and Herzegovina (BA)409 = Serbia (RS)

PCT fees in EUR fixed by WIPO:222 = Charge per sheet in excess of 30 (part of international filing fee)224 = Handling fee225 = International filing fee318 = PCT-PDF reduction319 = PCT-XML reduction

Explanations1 Payment must be made without charge to the payee. 2 Debits from deposit accounts held with the EPO may only be made in EUR.3 Contracting States should only be specified if they differ from any

indicated in box 31.1 of EPO Form 1001 (Request for Grant) or in box 10.1 of EPO Form 1200 (Entry EP phase).4 When extension fees are paid, the states for which they are intended must be specified.

The list of European Patent Organisation bank accounts for payment is published in every edition of the Official Journal of the EPO. It can also be found, with further fees information, including the complete list of fee codes, on the EPO website at http://www.epo.org (under Patents, Grant procedure).

EP

O 1

010

04.0

8

Online Fee Payment Pay fees and view your deposit account online? See www.epoline.org for more information.

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EP PCT Applicant’s Guide – National Phase – National Chapter – EP Annex EP.III, page 1

(1 April 2008)

EP

A/E

PO

/OE

B 1

200.

1 0

1.08

1Zeichen des Anmelders / Applicant’s reference / Référence du demandeur

Eintritt in die euro-päische Phase (EPA als Bestimmungsamt oder ausgewähltes Amt)

Europäische Anmeldenummer oder, falls nicht bekannt, PCT-Aktenzeichen oder PCT-Veröffentlichungsnummer

Zeichen des Anmelders oder Vertreters (max. 15 Positionen)

Anmelder

Die Angaben über den (die) Anmelder sind in der internationalen Veröffentli chung enthalten oder vom Inter natio nalen Büro nach der internationalen Veröffentlichung vermerkt worden.

Änderungen, die das Internationale Büro noch nicht vermerkt hat, sind auf einem Zusatzblatt angegeben.

Fehlende Angaben über den oder die Anmelder sind auf einem Zusatzblatt angegeben.

Zustellanschrift (siehe Merkblatt II, 1)

Entry into the European phase (EPO as designated or elected Of� ce)

European application number or, if not known, PCT application or PCT publication number

Applicant’s or representative’s reference (max. 15 keystrokes)

Applicant

Indications concerning the applicant(s) are contained in the international publication or recorded by the International Bureau after the international publication.

Changes which have not yet been recorded by the International Bureau are set out on an additional sheet.

Indications missing for the applicant(s) are given on an additional sheet.

Address for correspondence (see Notes II, 1)

Entrée dans la phase européenne (l’OEB agissant en qualité d’of� ce désigné ou élu)

Numéro de la demande de brevet européen ou, à défaut, numéro de dépôt PCT ou de publication PCT

Référence du demandeur ou du mandataire (15 caractères ou espaces au maximum)

Demandeur

Les indications concernant le(s) deman -deur(s) � gurent dans la publication internationale ou ont été enregistrées par le Bureau international après la publication internationale.

Les changements qui n’ont pas encore été enregistrés par le Bureau international sont indiqués sur une feuille additionnelle.

Les indications manquantes concernant un ou plusieurs demandeurs sont men-tionnées sur une feuille additionnelle.

Adresse pour la correspondance(voir notice II, 1)

An das Europäische PatentamtTo the European Patent Of� ceA l’Of� ce européen des brevets

Tag des Eingangs / Date of receipt / Date de réception

Nur für amtlichen Gebrauch / For of� cial use only / Cadre réservé à l‘administration

1.

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EP Annex EP.III, page 2 PCT Applicant’s Guide – National Phase – National Chapter – EP

(1 April 2008)

2EP

A/E

PO

/OE

B 1

200.

2 0

1.08

Zeichen des Anmelders / Applicant’s reference / Référence du demandeur

Representative Name and address of place of business (Name only one representative or association of representatives, to be listed in the Register of European Patents and to whom communications are to be noti� ed)

Additional representative(s) on additional sheet

Authorisation

Authorisation is attached.

General authorisation is registered under No.:

A general authorisation has been � led, but not yet registered.

The authorisation � led with the EPO as PCT receiving Of� ce expressly includes the European phase.

Request for examination

Examination of the application under Article 94 EPC is hereby requested. The examination fee is being (has been, will be) paid.

Request for examination in an admissible non-EPO language (see Notes III, 19.2):

The applicant waives his right to be asked under Rule 70(2) EPC whether he wishes to proceed further with the application.

Copies

Additional copies of the documents cited in the supplementary European search report are requested.

Number of additional sets of copies

Mandataire Nom et adresse professionnelle(N’indiquer qu’un seul mandataire ou le nom du groupement de mandataires qui sera inscrit au Registre européen des bre-vets et auquel les signi� cations seront faites)

Fax / Téléfax

Autre(s) mandataire(s) sur feuille supplémentaire

Pouvoir

Un pouvoir est joint.

Un pouvoir général est enregistré sous le n° :

Un pouvoir général a été déposé, mais n’est pas encore enregistré.

Le pouvoir déposé à l’OEB agissant en qualité d’of� ce récepteur au titre du PCT inclut expressé ment la phase européenne.

Requête en examen

Il est demandé par la présente que soit examinée la demande de brevet conformé-ment à l’article 94 CBE. Il est (a été, sera) procédé au paiement de la taxe d’examen. Requête en examen dans une langue non of� cielle autorisée (voir notice III, 19.2) :

Le demandeur renonce à être invité, confor-mément à la règle 70(2) CBE, à déclarer s’il souhaite maintenir sa demande.

Copies

Prière de fournir des copies supplémentaires des documents cités dans le rapport complémentaire de recherche européenne.

Nombre de jeux supplémentaires de copies

Vertreter Name und Geschäftsanschrift(Nur einen Vertreter oder den Namen des Zusammenschlusses angeben, der in das Euro päische Patentregister einzutragen ist und an den zugestellt wird)

Telefon / Telephone / Téléphone

Weitere(r) Vertreter auf Zusatzblatt

Vollmacht

Vollmacht ist beigefügt.

Allgemeine Vollmacht ist registriert unter Nr:

Allgemeine Vollmacht ist eingereicht, aber noch nicht registriert.

Die beim EPA als PCT-Anmeldeamt eingereichte Vollmacht schließt aus-drücklich die europäische Phase ein.

Prüfungsantrag

Hiermit wird die Prüfung der Anmel dung gemäß Artikel 94 EPÜ beantragt. Die Prüfungsgebühr wird (wurde) entrich tet.

Prüfungsantrag in einer zugelassenen Nichtamtssprache (siehe Merkblatt III, 19.2):

Der Anmelder verzichtet auf die Auf forderung nach Regel 70 (2) EPÜ,zu erklären, ob die Anmeldung aufrecht -er halten wird.

Abschriften

Zusätzliche Abschriften der im ergänzenden europäischen Recherchen-bericht angeführten Schriftstücke werden beantragt.

Anzahl der zusätzlichen Sätze von Abschriften

2.

3.

4.

4.1

4.2

5.

- 179 -


(1 April 2008)

3EP

A/E

PO

/OE

B 1

200.

3 0

1.08


Documents intended for pro ceedings before the EPO

Proceedings before the EPO as designated Of� ce (PCT I) are to be based on the following documents:

the application documents pub lished by the International Bureau (with all claims, description and drawings), where applicable with amended claims under Article 19 PCT

unless replaced by the amend ments enclosed.

For further details see additional sheet.

Proceedings before the EPO as elected Of� ce (PCT II) are to be based on the following documents:

the documents on which the inter-national preliminary examination report is based, including any annexes

unless replaced by the amend ments enclosed.

For further details see additional sheet.

If the EPO as International Prelimi nary Examining Author ity has received test reports, these may be used as the basis of pro ceedings before the EPO.

Translations

Translations in one of the of� ciallangua ges of the EPO (English, French, German) are enclosed as crossed below:

(a) In proceedings before the EPO as designated or elected Of� ce (PCT I + II):

Translation of the inter natio nal ap plication (des cription, claims, any text in the dra wings) as originally � led, of the ab stract as publis hed and of any indica tion under Rule 13bis.3 and 13bis.4 PCT regarding biological material

Translation of the priority appli cation(s) (to be � led only at the EPO’s request, Rule 53(3) EPC)

It is hereby declared that the international application as originally � led is a complete translation of the previous application (Rule 53(3) EPC).

Pièces destinées à la procédure devant l’OEB

La procédure devant l’OEB agissant en qualité d’of� ce désigné (PCT I) doit se fonder sur les pièces suivantes :

les pièces de la demande publiées par le Bureau international (avec toutes les revendications, la description et les dessins), éventuelle ment avec les revendications modi-� ées conformé ment à l’article 19 PCT

dans la mesure où elles ne sont pas rem-placées par les modi� cations join tes.

Le cas échéant, des explications doivent être jointes sur une feuille supplémentaire.

La procédure devant l’OEB agissant en qualité d’of� ce élu (PCT II) doit se fonder sur les pièces suivantes :

les pièces sur lesquelles se fonde le rapport d’examen préliminaire inter-national, y compris ses annexes éven-tuelles

dans la mesure où elles ne sont pas rem-placées par les modi� cations jointes.

Le cas échéant, des explications doivent être jointes sur une feuille supplémentaire.

Si l’OEB, agissant en qualité d’administra -tion chargée de l’examen prélimi naire inter-national, a reçu des rapports d’essais, ceux-ci peuvent être utilisés comme base dans la procédure devant l’OEB.

Traductions

Vous trouverez, ci-joint, les traductions cochées ci-après dans l’une des langues of� cielles de l’OEB (allemand, an glais, français) :

a) Dans la procé dure devant l’OEB agissant en qualité d’of� ce dési gné ou élu (PCT I + II) :

Traduction de la demande inter na -tionale telle que déposée initiale ment (description, revendi ca tions, textes � gurant éventuelle ment dans les des sins), de l’abrégé publié et de toutes indications visées aux règles 13bis.3 et 13bis.4 PCT concernant le matériel biologique

Traduction de la (des) demande(s) dont la priorité est revendiquée (à produire seulement sur invitation de l’OEB, règle 53(3) CBE)

Il est déclaré par la présente que la de-mande internationale telle que déposée initialement est une traduction intégrale de la demande antérieure (règle 53(3) CBE).

Für das Verfahren vor dem EPA bestimmte Unter lagen

Dem Verfahren vor dem EPA als Bestimmungs amt (PCT I) sind fol gende Unterlage n zugrunde zu legen:

die vom Internationalen Büro ver öffent-lichten Anmeldungsunter lagen (mit allen Ansprüchen, Beschreibung und Zeichnun-gen), gegebenenfalls mit den geänderten An sprüchen nach Artikel 19 PCT

soweit sie nicht ersetzt werden durch die beigefügten Änderungen.

Falls nötig, sind Klarstellungen auf einem Zusatzblatt einzurei chen.

Dem Verfahren vor dem EPA als ausge-wähltem Amt (PCT II) sind fol gende Unter-lagen zugrunde zu legen:

die dem internationalen vorläu� gen Prüfungsbericht zugrunde gelegten Unterlagen, ein schließlich etwaiger An lagen

soweit sie nicht ersetzt werden durch die beige fügten Än de rungen.

Falls nötig, sind Klarstellungen auf einem Zusatzblatt ein zurei chen.

Sind dem EPA als mit der internatio nalen vorläu� gen Prüfung beauf tragter Behörde Ver suchsberichte zugegan gen, dürfen diese dem Ver fahren vor dem EPA zugrunde ge legt wer den.

Übersetzungen

Beigefügt sind die nachfolgend ange-kreuzten Übersetzungen in einer der Amtssprachen des EPA (Deutsch, Englisch, Franzö sisch):

a) Im Verfahren vor dem EPA als Bestim mungsamt oder ausgewähltem Amt (PCT I + II):

Übersetzung der internationalen Anmeldung in der ursprünglich einge reichten Fassung (Beschreibung, An sprüche, etwai ge Text bestand teile in den Zeichnungen), der veröffent lichten Zusammenfas sung und etwai ger Angaben über bio lo gisches Material nach Re ge l 13bis.3 und 13bis.4 PCT

Übersetzung der prioritäts begrün denden Anmeldung(en) (nur nach Aufforderung durch das EPA, Regel 53 (3) EPÜ)

Es wird hiermit erklärt, dass die interna-tionale Anmeldung in ihrer ursprünglich eingereichten Fassung eine vollständige Übersetzung der früheren An meldung ist (Regel 53 (3) EPÜ).

6.

6.1

6.2

7.

7.1

7.2

7.3

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b) Zusätzlich im Verfahren vor dem EPA als Bestimmungsamt (PCT I):

Übersetzung der nach Artikel 19 PCT geänderten Ansprüche nebst Erklärung, falls diese dem Verfahren vor dem EPA zugrunde gelegt werden sollen (siehe Feld 6).

c) Zusätzlich im Verfahren vor dem EPA als ausgewähltem Amt (PCT II):

Übersetzung der Anlagen zum internatio-nalen vorläu� gen Prüfungs bericht

Biologisches Material

Die Er� ndung verwendet und/oder bezieht sich auf biologisches Material, das nach Regel 31 EPÜ hinterlegt worden ist.

Die Angaben nach Regel 31 (1) c) EPÜ(falls noch nicht bekannt, die Hinterlegungs-stelle und das (die) vom Hinterleger zugeteilte(n) Bezugszeichen [Nummer, Symbole usw.]) sind in der internationalen Veröffentli chung oder in der gemäß Feld 7 einge reichten Über setzung enthalten auf Seite(n) / Zeile(n):

Die Empfangsbescheinigung(en) der Hinterlegungsstelle

ist (sind) beigefügt.

wird (werden) nachgereicht.

Verzicht auf die Verp� ichtung des Antrag-stellers nach Regel 33 (2) EPÜ auf gesondertem Schriftstück

Nucleotid- und Aminosäure -sequenzen

Die nach den Regeln 5.2 und 13ter PCT sowie den Regeln 30 und 163 (3) EPÜ erforderli chen Unterlagen liegen dem EPA bereits vor.

Das Sequenzprotokoll wird anliegend auf Papier nachgereicht.

Der vorgeschriebene elektronische Datenträger ist beigefügt.

Die auf dem elektronischen Daten-träger gespei cherte Information stimmt mit dem auf Papier einge-reichten Sequenzprotokoll überein.

Das Se quenzprotokoll geht nicht über den Inhalt der Anmeldung in der ursprünglich eingereichten Fassung hinaus.

(b) In addition, in proceedings before the EPO as designated Of� ce (PCT I):

Translation of amended claims and any state ment un der Article 19 PCT, if the claims as amended are to form the basis for the procee dings before the EPO (see Section 6).

(c) In addition, in proceedings before the EPO as elected Of� ce (PCT II):

Translation of any annexes to the internatio nal preliminary exami nation report

Biological material

The invention uses and/or relates to biological material deposited under Rule 31 EPC.

The particulars referred to in Rule 31(1)(c) EPC (if not yet known, the depository institution and the identi� cation reference(s) [number, symbols, etc.] of the depositor) are given in the international publication or in the trans lation submitted under Section 7 on page(s) / line(s):

The receipt(s) of deposit issued by the depositary institution

is (are) enclosed.

will be � led later.

Waiver of the right to an undertaking from the requester pursuant to Rule 33(2) EPC attached

Nucleotide and amino acid sequences

The items pursuant to Rules 5.2 and 13ter PCT, Rules 30 and 163(3) EPC are already with the EPO.

The sequence listing is furnished herewith on paper.

The prescribed electronic data carrier is enclosed.

The information recorded on the electronic data carrier is identical to the sequence listing � led on paper.

The sequence listing does not include matter which goes beyond the content of the application as � led.

b) De plus, dans la procédure devant l’OEB agissant en qualité d’of� ce désigné (PCT I) :

Traduction des revendications modi � ées et de la déclaration faite confor mément à l’article 19 PCT, si la pro cé dure devant l’OEB doit être fondée sur les reven dications modi� ées (voir la rubrique 6).

c) De plus, dans la procédure devant l’OEB agissant en qualité d’of� ce élu (PCT II) : Traduction des annexes du rapport d’examen préliminaire inter national

Matière biologique

L’invention utilise et /ou concerne de la ma-tière biologique déposée conformé ment à la règle 31 CBE.

Les indications visées à la règle 31(1)c) CBE (si elles ne sont pas encore connues, l’autorité de dépôt et la (les) référence(s) d’identi� ca tion [numéro ou symboles etc.] du déposant) � gurent dans la publication internationale ou dans la traduction pro-du ite con formé ment à la rubrique 7 à la /auxpage(s) / ligne(s) :

Le(s) récépissé(s) de dépôt délivré(s) par l’autorité de dépôt

est (sont) joint(s).

sera (seront) produit(s) ultérieurement.

Renonciation, sur document distinct, à l’engagement du requérant au titre de la règle 33(2) CBE

Séquences de nucléotides et d’acides aminés

Les pièces requises conformément aux règles 5.2 et 13ter PCT et aux règles 30 et 163(3) CBE ont déjà été déposées auprès de l’OEB.

Le listage de séquences sur papier est produit ci-joint.

Le support électronique de données prescrit est joint.

L’information � gurant sur le support électronique de données est identique à celle que contient le listage de séquences déposé sur papier.

Le listage de séquences ne contient pas d’éléments s’étendant au-delà du contenu de la demande telle qu’elle a été déposée.

7.4

7.5

8.

9.

9.1

9.2

9.3

9.4

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Taxes de désignation

Tous les Etats contractants1 qui sont parties à la CBE lors du dépôt de la demande de brevet internationale et sont désignés dans la demande inter-nationale sont réputés désignés2 (voir article 79(1) CBE).

Il est actuellement envisagé de payer moins de sept taxes de désignation pour les Etats contractants suivants (prière d’indiquer les codes de pays et les Etats contractants1) :

Si des Etats contractants sont mentionnés à la rubrique 10.1, il est convenu que pour les Etats contractants non mentionnés à cette rubrique, aucune noti� cation n’est établie au titre de la règle 112(1) CBE et que la poursuite de la procédure est exclue.

Extension des effets du brevet européen

La présente demande est réputée consti-tuer une requête en extension des effets de la demande de brevet européen et du brevet européen délivré sur la base de cette demande à tous les Etats non parties à la CBE qui sont désignés dans la demande internationale et avec lesquels des accords d’extension sont en vigueur à la date du dépôt de la demande internationale3. Cette requête est toutefois réputée retirée si la taxe d’extension n’est pas acquittée en temps utile.

Il est envisagé de payer la(les) taxe(s) d’extension pour les Etats suivants :

Veuillez noter que dans le cadre de la procédure de prélèvement automatique des taxes d’extension, le compte est débité du montant dû seulement pour les Etats cochés ici, sauf instruction contraire reçue avant l’expiration du délai de paiement.

Albanie

Bosnie-Herzégovine

Croatie

Ancienne République yougoslave de MacédoineSerbie

Designation fees

All the contracting states1 party to the EPC at the time of � ling of the international patent application and designated in the international application are deemed to be designated 2 (see Article 79(1) EPC).

It is currently intended to pay fewer than seven designation fees, for the following contracting states (please indicate country codes and contracting states1):

If contracting states are indicated in Section 10.1, it is agreed that for the contracting states not thus indicatedno communica tion under Rule 112(1)EPC be issued and further processingbe excluded.

Extension of the European patent

This application is deemed to be a request to extend the European patent application and the European patent granted in respect of it to all non-contracting states to the EPC designated in the international application and with which extension agreements are in force on the date on which the international application is � led 3. However, the request is deemed withdrawn if the extension fee is not paid within the prescribed time limit.

It is intended to pay the fee(s) for the following state(s):

Note: Under the automatic debiting procedure, extension fees will only be debited for states indicated here, unless the EPO is instructed otherwise before expiry of the period for payment.

Albania

Bosnia and Herzegovina

Croatia

Former Yugoslav Republic of Macedonia

Serbia

Benennungsgebühren

Alle Vertragsstaaten1, die dem EPÜ bei Einreichung der internationalen Patent-anmeldung angehören, gelten als benannt (siehe Artikel 79 (1) EPÜ), soweit sie in der internationalen Anmeldung bestimmt sind 2.

Es ist derzeit beabsichtigt, weniger als sieben Benennungsgebühren für folgende Vertragsstaaten zu entrichten (bitte Ländercodes und Vertragsstaaten1 angeben):

Soweit in Feld 10.1 Vertragsstaaten aufgeführt sind, wird zugestimmt, dass für dort nicht aufgeführte Vertragsstaaten keine Mitteilung nach Regel 112 (1) EPÜ ergeht und dass eine Weiterbehandlung ausgeschlossen ist.

Erstreckung des europäischen Patents

Diese Anmeldung gilt als Antrag, die europäische Patentanmeldung und das darauf erteilte europäische Patent auf alle in der internationalen Anmeldung bestimmten Nichtvertragsstaaten des EPÜ zu erstrecken, mit denen am Tag der Einreichung der internationalen AnmeldungErstreckungsabkommen in Kraft sind 3. Der Antrag gilt jedoch als zurückge-nommen, wenn die Erstreck ungsgebühr nicht frist gerecht entrichtet wird.

Es ist beabsichtigt, diese Gebühr(en) für folgende Staaten zu entrichten:

Hinweis: Im automatischen Abbuchungs-verfahren werden nur für die hier ange-kreuzten Staaten Erstreckungsgebühren abgebucht, sofern dem EPA nicht vor Ablauf der Zahlungsfrist ein anderslauten-der Auftrag zugeht.

AL Albanien

BA Bosnien und Herzegowina

HR Kroatien

MK Ehemalige jugoslawische Republik MazedonienRS Serbien

(6)

(5)

(4)

(3)

(2)

(1)

10.

10.1

10.2

11.

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Ordre de prélèvement automatique(possibilité offerte uniquement aux titulaires de comptes courants ouverts auprès de l’OEB)

Par la présente, il est demandé à l’OEB de prélever du compte courant ci-dessous les taxes et frais venant à échéance, conformément à la réglementation relative à la procédure de prélèvement automatique.

Numéro et titulaire du compte

Les remboursements éventuels doivent être effectués sur le compte courant ci-dessous ouvert auprès de l’OEB

Numéro et titulaire du compte

Lieu / Date

Signature(s) du (des) demandeur(s) ou du mandataire

Prière d’indiquer en caractères d’imprime-rie le ou les noms des signataires ainsi que, s’il s’agit d’une personne morale, la position occupée au sein de celle-ci par le ou les signataires.

Pour les employés (art. 133(3) CBE) disposant d’un pouvoir général n° :

Automatic debit order (for EPO deposit account holders only)

The EPO is hereby authorised, under the Arrangements for the automatic debiting procedure, to debit from the deposit account below any fees and costs falling due.

Number and account holder

Any refunds should be made to the EPO deposit account below

Number and account holder

Place / Date

Signature(s) of applicant(s) or representative

Under signature please print name and, in the case of legal persons, position within the company.

For employees (Art. 133(3) EPC) with general authorisation No.:

Automatischer Abbuchungsauftrag(Nur möglich für Inhaber von beim EPA geführten laufenden Konten)

Das EPA wird hiermit ermächtigt, fällige Gebühren und Auslagen nach Maßgabe der Vorschriften über das automatische Abbuchungsverfahren vom unten stehenden laufenden Konto abzubuchen.

Nummer und Kontoinhaber

Etwaige Rückzahlungen sollen auf das unten stehende beim EPA geführte laufende Konto erfolgen

Nummer und Kontoinhaber

Ort / Datum

Unterschrift(en) des (der) Anmelder(s) oder Vertreter

Name(n) des (der) Unterzeichneten bitte in Druck schrift wiederholen und bei juristischen Personen auch die Stellung des (der) Unter zeichneten innerhalb der Gesellschaft angeben.

Für Angestellte (Art. 133 (3) EPÜ) mit allgemeiner Vollmacht Nr.:

12.

13.

14.

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Fußnoten

Stand bei Drucklegung: 34 Vertragsstaaten, und zwar:AT Österreich, BE Belgien, BG Bulgarien, CH / LI Schweiz und Liechtenstein, CY Zypern, CZ Tschechische Republik, DE Deutschland, DK Dänemark, EE Estland, ES Spanien, FI Finnland, FR Frankreich, GB Vereinigtes Königreich, GR Griechenland, HR Kroatien, HU Ungarn, IE Irland, IS Island, IT Italien, LT Litauen, LU Luxemburg, LV Lettland, MC Monaco, MT Malta, NL Niederlande, NO Norwegen, PL Polen, PT Portugal, RO Rumänien, SE Schweden, SI Slowenien, SK Slowakische Republik, TR Türkei

Für folgende Staaten nur möglich, falls in der internationalen Anmeldung am oder nach dem folgenden Tag bestimmt: Polen 1. März 2004, Island 1. November 2004, Litauen 1. Dezem-ber 2004, Lettland 1. Juli 2005, Malta 1. März 2007, Norwegen 1. Januar 2008, Kroatien 1. Januar 2008.

Nur möglich, falls der Staat in der internationalen Anmeldung bestimmt und die internationale Anmeldung eingereicht wurde, während das Erstreckungsabkommen mit dem betreffenden Staat in Kraft war, d. h. für Albanien ab 1. Februar 1996, für die ehemalige jugoslawische Republik Mazedonien ab 1. November 1997, für Bosnien und Herzegowina ab 1. Dezember 2004, für Litauen vom 5. Juli 1994 bis 30. November 2004, für Lettland vom 1. Mai 1995 bis 30. Juni 2005, für Kroatien vom 1. April 2004 bis 31. Dezember 2007.

Die vom 1. November 2004 bis 3. Juni 2006 ein-gereichten internationalen Anmeldungen, mit denen bei ihrer Einreichung Schutz in YU – Staatenunion Serbien und Montenegro – begehrt wurde, können auf das Territorium der heutigen Republik Serbien (RS) erstreckt werden. Dies gilt auch für die ab dem 4. Juni 2006 eingereichten internationalen Anmeldungen, in denen RS bestimmt ist.

Zur Erstreckungswirkung solcher Anmeldungen in der heutigen Republik Montenegro (ME) siehe die montenegrinische „Regulation on Providing the Application of Intellectual Property Rights“ vom 20. September 2007, veröffentlicht in der Gesetzessammlung der Republik Montenegro Nr. 61/07 am 12. Oktober 2007 und in Kraft seit 20. Oktober 2007.

Platz für Staaten, mit denen Erstreckungsabkom-men nach Drucklegung dieses Formblatts in Kraft treten und die in der internationalen Anmeldung bestimmt waren.

Footnotes

When this form was printed, there were 34 contracting states, namely:AT Austria, BE Belgium, BG Bulgaria, CH / LI Switzerland and Liechtenstein, CY Cyprus, CZ Czech Republic, 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, LT Lithuania, LU Luxembourg, LV Latvia, MC Monaco, MT Malta, NL Netherlands, NO Norway, PL Poland, PT Portugal, RO Romania, SE Sweden, SI Slovenia, SK Slovak Republic, TR Turkey

Possible for the following states only if they are designated in the international application on or after the date specified: Poland 1 March 2004, Iceland 1 November 2004, Lithuania 1 Decem-ber 2004, Latvia 1 July 2005, Malta 1 March 2007, Norway 1 January 2008, Croatia 1 January 2008.

Possible only if the state was designated in an international application filed while the extension agreement with the state concerned was in force: Albania from 1 February 1996, the former Yugoslav Republic of Macedonia from 1 November 1997, Bosnia and Herzegovina from 1 December 2004, Lithuania from 5 July 1994 to 30 November 2004, Latvia from 1 May 1995 to 30 June 2005, Croatia from 1 April 2004 to 31 December 2007.

International applications filed from 1 November 2004 to 3 June 2006 with a view to obtaining protection in YU – the State Union of Serbia and Montenegro – can be extended to the territory of what is now the Republic of Serbia (RS). The same applies to international applications filed as from 4 June 2006 and designating RS.

As regards the extension effect of such applications in what is now the Republic of Montenegro (ME), see the Regulation of 20 September 2007 on Providing the Application of Intellectual Property Rights, published in the Republic of Montenegro’s Official Gazette No. 61/07 on 12 October 2007 and in force since 20 October 2007.

Space for states with which extension agreements enter into force after this form has been printed and which were designated in the international application.

Notes de bas de page

Situation à la date d’impression : 34 Etats contractants, à savoir :AT Autriche, BE Belgique, BG Bulgarie, CH / LI Suisse et Liechtenstein, CY Chypre, CZ République tchèque, DE Allemagne, DK Danemark, EE Estonie, ES Espagne, FI Finlande, FR France, GB Royaume-Uni, GR Grèce, HR Croatie, HU Hongrie, IE Irlande, IS Islande, IT Italie, LT Lituanie, LU Luxembourg, LV Lettonie, MC Monaco, MT Malte, NL Pays-Bas,NO Norvège, PL Pologne, PT Portugal, RO Roumanie, SE Suède, SI Slovénie, SK République slovaque, TR Turquie

Possible pour les Etats suivants uniquement s’ils ont été désignés dans la demande internationale à partir des dates suivantes : 1er mars 2004 pour la Pologne, 1er novembre 2004 pour l’Islande, 1er décembre 2004 pour la Lituanie, 1er juillet 2005 pour la Lettonie, 1er mars 2007 pour Malte, 1er janvier 2008 pour la Norvège et 1er janvier 2008 pour la Croatie.

Possible uniquement si l’Etat a été désigné dans la demande internationale et que la demande internationale ait été déposée pendant la période où l’accord d’extension était en vigueur avec l’Etat concerné, c’est-à-dire à partir du 1er février 1996 pour l’Albanie, à partir du 1er novembre 1997 pour l’ancienne République yougoslave de Macédoine, à partir du 1er décembre 2004 pour la Bosnie-Herzégovine, du 5 juillet 1994 au 30 novembre 2004 pour la Lituanie, du 1er mai 1995 au 30 juin 2005 pour la Lettonie, du 1er avril 2004 au 31 décembre 2007 pour la Croatie.

Il est possible d’étendre au territoire de l’actuelle République de Serbie (RS) les effets produits par les demandes internationales qui ont été déposées entre le 1er novembre 2004 et le 3 juin 2006 et dans lesquelles il était demandé d’obtenir une protection dans la Communauté d’Etats Serbie-et-Monténégro (YU). Il en va de même pour les demandes inter-nationales déposées à compter du 4 juin 2006 et qui désignent RS.

Concernant l’extension des effets produits par ces demandes à l’actuelle République du Monténégro (ME), cf. le « Regulation on Providing the Application of Intellectual Property Rights » monténégrin en datedu 20 septembre 2007, publié le 12 octobre 2007dans le recueil de lois n° 61/07 de la République duMonténégro et en vigueur depuis le 20 octobre 2007.

Prévu pour des Etats à l’égard desquels des accords d’extension entreront en vigueur après l’impression du présent formulaire et qui ont été désignés dans la demande internationale.

1

2

3

4

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Notes on EPA/EPO/OEB Form 1200, for entry into the European phase (EPO as designated or elected Office) I. General instructions

These Notes explain how to complete EPA/EPO/OEB Form 1200. To file international applications under the Patent Cooperation Treaty (PCT) you should use Form PCT/RO/101. To request the grant of a European patent you should use EPA/EPO/OEB Form 1001.

The requirements for entry into the European phase are laid down in the European Patent Convention (EPC), in the text adopted by the decision of the European Patent Organisation's Administrative Council dated 28 June 2001, and in the Implementing Regulations thereto, in the text adopted by the Administrative Council's decision dated 7 December 2006.

Obtaining forms and brochures

Forms for applicants (e.g. authorisation, payment of fees) and brochures are available free of charge from the EPO – preferably from Vienna but also from Munich, The Hague and Berlin – and from the national authorities for industrial property protection in the contracting states.

Forms, brochures, schedules of fees and legal texts can be downloaded from the EPO's website at http://www.epo.org.

Accelerated prosecution

For those seeking faster search or examination for their applications, the "PACE" programme for accelerated prosecution of European patent applications (Special edition No. 3, OJ EPO 2007, F.1.) offers effective options for shortening the processing time. See also EPA/EPO/OEB Form 1005.

Entry into the European phase – Form 1200

Under Rule 159(1) EPC, on entry into the European phase before the EPO – as designated or elected Office – the applicant must perform the acts specified in Rules 159(1)(a) to (h) and 162(1) EPC within 31 months of the filing date or, if priority has been claimed, the (earliest) priority date.

Use of Form 1200 is recommended. The form should be typed or printed (Rule 50(2) EPC) to ensure that it is machine-readable.

If there is not enough space for the required information, you should file an additional sheet indicating the number and heading (e.g. "2 - Additional representative(s)"; "6 - Documents intended for proceedings before the EPO") of each section continued in this way.

Filing the documents

Form 1200 and attachments must be filed direct with the EPO.

(a) Paper filing

Form 1200 need only be filed in one copy. The same applies to attached translations and amendments to the application documents. Special rules apply to sequence listings (see II.9).

(b) Fax filing

Form 1200, attached translations and amendments to the application documents may also be filed by fax. Simultaneous confirmation on paper is required only at the specific invitation of the EPO (see Special edition No. 3, OJ EPO 2007, A.3.).

(c) Electronic filing

The above documents may also be filed online or on electronic data carriers (Special edition No. 3, OJ EPO 2007, A.4.). For more details go to http://www.epo.org or direct to http://www.epoline.org. The online filing fee is less than the paper and fax filing fee

II. Filling in the form

The numbering below corresponds to the sections of the form.

1. Applicant

If on entry into the European phase the address, nationality or country of residence or of place of business is missing for any applicant (as may occur under Rule 26.2bis(b) PCT), this information must be filed on a separate sheet.

An address for correspondence may be given only by applicants with no representative and having several different business addresses. The address must be the applicant's own and will not appear in either the Register of European Patents or EPO publications (see OJ EPO 1980, 397).

2. Appointment of representative (Articles 133 and 134 EPC)

Applicants not having their residence or principal place of business in an EPC contracting state must be represented by a professional representative and act through him in all proceedings established by the EPC (Article 133(2) EPC).

3. Authorisation (Rule 152 EPC)

Under Rule 152(1)-(3) EPC in conjunction with the decision of the President of the EPO dated 12 July 2007, professional representatives who

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identify themselves as such are required to file a signed authorisation only in particular circumstances (see Special edition No. 3, OJ EPO 2007, L.1.). However, a legal practitioner entitled to act as professional representative under Article 134(8) EPC or an employee acting for an applicant under Article 133(3), first sentence, EPC who is not a professional representative must file a signed authorisation unless an authorisation which expressly empowers him to act in proceedings established by the EPC has previously been filed with the EPO as receiving Office.

If an authorisation is required, the use of EPA/EPO/OEB Form 1003 is recommended for individual authorisations and EPO Form 1004 for general authorisations.

4. Request for examination (Article 150(2), Article 94 and Rule 70 EPC)

4.1 The request for examination is not deemed to be filed until the examination fee has been paid (Article 94(1) and Rule 70(1) EPC). The box for the request is pre-crossed in Section 4.1 of Form 1200. If the request is filed in an admissible non-EPO language (Article 14(4) and Rule 6(3) EPC), the examination fee is reduced by 20% (see III.19.2).

The request for examination must be filed either up to six months from the date on which the international search report (or the declaration under Article 17(2)(a) PCT) was published (Article 153(6) EPC) or within 31 months from the filing date or the (earliest) priority date, whichever period ends later. In practice this means that as a rule it must be submitted by payment of the examination fee within the 31-month period (Rule 159(1)(f) EPC) unless the international search report was published late.

4.2 Applicants who file the request for examination before receiving the supplementary European search report are asked by the EPO, after the search report has been sent, to confirm within a set period that they wish to proceed further with the application (Rule 70(2) EPC). To accelerate the procedure, in Section 4.2 the right to be asked for such confirmation can be waived, in which case confirmation is deemed to be given on receipt of the supplementary European search report. With regard to the legal consequences, see the Guidelines for Examination in the EPO, C-VI, 1.1.2.

5. Additional copy(ies) of the documents cited in the supplementary European search report

One or more additional sets of copies of the documents cited in the supplementary European search report can be ordered (see Rule 65 EPC) against payment of the flat-rate fee (see III.20).

6. Documents intended for proceedings before the EPO

When an application enters the European phase the applicant must specify the application documents, as

originally filed or as amended, on which the European grant procedure is to be based (Rule 159(1)(b) EPC). Section 6 covers normal cases, and makes clear that the applicant intends to proceed with either

• the published documents (including any amended claims filed with the International Bureau under Article 19 PCT), in proceedings before the EPO as designated Office without PCT Chapter II (Section 6.1), or

• the documents on which the international preliminary examination report is based, in proceedings before the EPO as elected Office under PCT Chapter II (Section 6.2).

The applicant may however indicate that amended documents are to form the basis for the grant procedure. He can also amend the application once more, within a non-extendable period of one month from a communication (Form 1226) informing him accordingly (Rule 161 EPC). If this reduces the number of claims, any claims fees paid in excess of those due are refunded (Rule 162(3) EPC).

If, exceptionally, the applicant does not wish to proceed with the amendments submitted during the international preliminary examination procedure, but would rather revert to the published documents (including any amendments made before the International Bureau under Article 19 PCT), he must request this on an additional sheet.

In any case, Section 6 cannot cover all exceptional circumstances which may arise; these must be clarified as necessary on an additional sheet.

If the applicant has supplied test reports in proceedings before the EPO as International Preliminary Examining Authority, the EPO assumes that it may also use them in the European grant proceedings.

7. Translations

7.1 Translation of the application

If the international application was not published in an EPO official language, the applicant must furnish the EPO with a translation of that application in such a language within 31 months of the filing date or, where applicable, the (earliest) priority date.

The EPO proceedings will then be conducted in the language of the translation. The translation must include the description, the claims as originally filed, any text in the drawings, and the abstract. It must also include the claims as amended under Article 19 PCT if the applicant wishes subsequent proceedings to be based on them (Rule 49.5(c) and (c-bis) PCT), together with any explanatory statement, as well as all indications under Rule 13bis.3 and 13bis.4 PCT and all published requests for rectification (Rule 91.3(d) PCT).

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If the translation of the international application is not filed in due time, the international application is deemed to be withdrawn (Rule 160(1) EPC). If the EPO notes that the application is for that reason deemed to be withdrawn, it communicates this to the applicant. In response to this noting of loss of rights, the applicant may submit a request for further processing (Article 121, Rule 135 EPC). With Rule 112(2) EPC applying mutatis mutandis, the applicant may, within two months of notification of this communication, apply for a decision on the matter by the EPO.

7.2 Translation of the priority application

Under Rule 53(3) EPC, a translation of the previous (priority) application (or a declaration that the European application is a complete translation of the previous application) need only be filed at the request of the EPO.

The Rule 53(3) declaration can be made by crossing the relevant box in Section 7.3, in which case no invitation to file a translation of the priority application will be issued later (see Legal Advice No. 19/99, OJ EPO 1999, 296).

7.5 Translation of annexes

Where PCT Chapter II applies, the applicant must prepare and file translations of all annexes to the international preliminary examination report (Article 36(2)(b) and (3)(b), Rule 74.1 PCT), regardless of whether he is seeking patent protection for the same version of the application documents as was the subject of that report.

8. Biological material

To enable the EPO to check compliance with Rule 31 EPC, the receipt issued by the depositary institution is to be submitted to the EPO. Applicants are strongly advised to submit the receipt when filing this form or at the latest within 31 months of the filing date or, where applicable, the (earliest) priority date.

Waiver under Rule 33(1) and (2) EPC

The applicant may waive his right under Rule 33(1) and (2) EPC to an undertaking from the requester to issue a sample of the biological material, provided that he is the depositor of the biological material concerned. This waiver must be expressly declared to the EPO in the form of a separate, signed statement. It must specify the biological material concerned (depositary institution and accession number or depositor's reference number as shown in the application documents). It may be submitted at any time.

9. Nucleotide and amino acid sequences

9.1 If nucleotide or amino acid sequences are disclosed in the international application, the description must under Rule 5.2 PCT contain a sequence listing complying with WIPO Standard ST.25 and presented

as a separate part of the description in accordance with that standard. The EPO as International Searching Authority requires the sequence listing to be filed on paper and also on an electronic data carrier and accompanied by a statement that the information recorded on the electronic data carrier is identical to the sequence listing filed on paper (Rule 13ter.1 PCT and Rule 30 EPC together with Article 4 of the decision dated 12 July 2007, Special edition No. 3, OJ EPO 2007, C.1.).

If the EPO was the International Searching Authority, it will generally already have received all the necessary items.

9.2 Where a sequence listing complying with the standard provided for in the Administrative Instructions under the PCT is not available to the EPO, the missing item(s) must be filed subsequently on entry into the European phase (see also Rules 163(3) and 30 EPC and Article 5 of the decision dated 12 July 2007, Special edition No. 3, OJ EPO 2007, C.1.).

9.3 Under Section 9.3, the applicant declares that the information recorded on the electronic data carrier is identical to the sequence listing filed on paper.

9.4 Under Section 9.4, the applicant declares that the subsequently filed sequence listing does not include matter which goes beyond the content of the application as filed.

With regard to the late furnishing fee, see Rules 163(3) and 30(3) EPC, Article 5 of the decision dated 12 July 2007 (Special edition No. 3, OJ EPO 2007, C.1.) and the notice dated 12 July 2007 (Special edition No. 3, OJ EPO 2007, C.2., III).

10. Designation fees

Period for payment

The designation fees must be paid either within six months as from the date on which the international search report (or the declaration under Article 17(2)(a) PCT) was published (Article 153(6) EPC) or within 31 months as from the filing date or (earliest) priority date, whichever period ends later. In practice this means that as a rule the designation fees must be paid within the 31-month period (Rule 159(1)(d) EPC) unless the international search report was published late.

Designation of all contracting states

All the contracting states designated in the international patent application which are party to the EPC at the time of its filing are deemed to be designated (see Article 79(1) EPC). Thus the EPC contracting states that can be validly designated on entry into the European phase are already specified in the international phase (Rule 4.9(a) PCT). If payment of seven times the amount of the designation fee is to constitute payment of the designation fees for all EPC contracting states designated (see III.16), the

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EPO does not need any further information about contracting states.

10.1 Selection of states

Applicants intending to pay fewer than seven designation fees should list the relevant contracting states in Section 10.1. Within the time limit under Rule 159(1)(d) EPC, they can still pay designation fees for states not listed here but designated in the international application, indicating the contracting states concerned.

If there is an automatic debit order for the application (Section 12), the EPO will debit seven times the amount of the designation fee, or the designation fees for only the states listed in Section 10.1, on expiry of the period for payment unless instructed beforehand to do otherwise.

10.2 Waiver

If, by crossing the box in Section 10.2, the applicant has waived the right to receive a communication under Rule 160(3) EPC in respect of the designations not specifically indicated in Section 10.1, a communication under Rule 160(3) EPC will be issued only where, contrary to the intention originally stated in Section 10.1, he has failed to pay designation fees for states for which he had indicated an intention to pay. The communication under Rule 160(3) EPC and the communication under Rule 112(1) EPC are sent together in one and the same communication. In response to this notification of a loss of rights, the applicant may request further processing.

11. Extension of the European patent

The application and the European patent granted in respect of it are extended, in accordance with Section 11 of Form 1200, to those non-EPC contracting states designated for a national patent in the international application with which "extension agreements" existed at the time of filing of the international application (as at January 2008: Albania, Bosnia and Herzegovina, the former Yugoslav Republic of Macedonia and Serbia). Extension to such states is possible even if they have since become EPC contracting states. Thus extension to Latvia and Croatia is possible if they were designated in an international application filed up to 30 June 2005 (Latvia) or 31 December 2007 (Croatia).

Subject to this condition, extension is deemed requested for any application entering the European phase. The request for extension for a state is deemed withdrawn if the extension fee is not paid to the EPO within the time limit laid down in the EPC for the payment of designation fees (Rule 159(1)(d) EPC). If no designations of EPC contracting states are deemed withdrawn under Rule 160(2) EPC and the extension fee has not been paid within the applicable basic time limit, no communication under Rule 112(1) EPC will be issued, and no further processing in

respect of the extensions deemed to be withdrawn is possible (for exceptions see Guidelines for Examination in the EPO, A.III, 12.2).

Detailed information about the extension system was published in OJ EPO 1994, 75, and 1997, 538.

12. Automatic debit order

See Arrangements for the automatic debiting procedure and Information from the EPO concerning the automatic debiting procedure (Supplement to OJ EPO No. 10/2007).

13. Refunds

Any refunds due to an applicant who has a deposit account with the EPO (Supplement to OJ EPO No. 10/2007) may be credited to that account. An applicant who wishes this to be done must indicate the account number and the account holder’s name in this section. Where a representative's deposit account is to be indicated, refer to point 5 of Legal Advice No. 6/91 rev., OJ EPO 1991, 573.

III. Notes on fees

For fee payments it is advisable to use EPO Form 1010. Online fee payment under My.epoline® (Supplement to OJ EPO 10/2007 and http://www.epoline.org) is also possible.

14. Chapter I PCT (Article 22 PCT) and Chapter II PCT (Article 39(1) PCT)

Fees payable within 31 months of the filing date or, where applicable, the (earliest) priority date (Rules 159 and 162 EPC):

(a) filing fee under Article 78(2) (see Rule 159(1)(c) EPC)

(b) designation fees if the period under Rule 39(1) EPC has expired earlier (see III.16 and II.10)

(c) supplementary European search fee, if any (see III.15)

(d) claims fees, if any (see III.18)

(e) examination fee (see III.19 and II.4.1)

(f) renewal fee for the third year if it has fallen due earlier under Rule 51(1) EPC (see Rule 159(1)(g) EPC).

15. Search fee

See OJ EPO 3/2006.

15.1 No search fee payable

No supplementary European search report is drawn up and no search fee is payable if

- the international search report was drawn up by the EPO or

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- the international application was filed before 1 July 2005 and the international search report was drawn up by the patent office of Austria, Spain or Sweden.

Also, no search fee is payable (but a supplementary European search report is drawn up) if

- the international application was filed between 1 April and 30 June 2005 and the international search report was drawn up by the patent office of Finland.

15.2 Reduction of search fee

A supplementary European search report is drawn up but the search fee is reduced by

- 20% (international applications filed up to 30 June 2005) or

- EUR 190 (international applications filed as from 1 July 2005)

if the international search report was drawn up by the patent office of Australia, China, Japan, Russia, South Korea or the USA.

A supplementary European search report is drawn up but the search fee is reduced by

- EUR 845 (international applications filed as from 1 July 2005 up to 30 June 2008)

if the international search report was drawn up by the patent office of Austria, Finland, Spain or Sweden.

16. Designation fees

A designation fee is payable for each designated state. A single designation fee is charged for the joint designation of Switzerland and Liechtenstein. Payment of seven times the amount of the designation fee is deemed to constitute payment of the fees for all EPC contracting states designated in the international application.

17. Extension fees

An extension fee is payable for each state requested.

When extension fees are paid, the states for which they are intended must be specified. Under the automatic debit procedure, extension fees are debited only for the states crossed in Section 11 unless other instructions are received before the period for payment expires.

18. Claims fees

On entry into the European phase, applicants are entitled to file amended claims with the EPO (Rules 137(3) and 159(1)(b) EPC). Thereafter, they may amend the application once more, within a non-extendable period of one month initiated by an EPO communication (Rule 161 EPC). This is without

prejudice to possible later amendments under Rule 137(2)-(4) EPC.

If the application documents on which the European grant procedure is to be based comprise more than fifteen claims, a claims fee is payable for the sixteenth and each subsequent claim. If amended claims are filed during the one-month period under Rule 161 EPC, the claims fees due are computed on the basis of such amended claims (Rule 162(2) EPC). See also III.22.2. The time limit for paying the claims fees is determined by Rule 159(1) or 162(2) EPC, with amended claims subject to the same time limits as those originally filed. Any claims fees paid in excess are refunded under Rule 162(3) EPC.

19. Reduction of examination fee

19.1 International preliminary examination by the EPO

The examination fee is reduced by 50% if the EPO, acting as International Preliminary Examining Authority, has already drawn up the international preliminary examination report in respect of the application in question (Article 14(2) RFees). If the report was established on certain parts of the international application under Article 34.3(c) PCT, the examination fee will not be reduced if subject-matter not covered by the report is to be examined.

19.2 Languages

Natural or legal persons having their residence or principal place of business within an EPC contracting state with an official language other than English, French or German, and nationals of that state who are resident abroad, may file the request for examination in an official language of that state (admissible non-EPO language; Article 14(4) EPC).

The examination fee is reduced by 20% if the request for examination is filed in an admissible non-EPO language and, within one month of its filing (i.e. at the earliest simultaneously with the request for examination), a translation in the language of the proceedings is also filed (Rule 6 EPC, Article 14(1) RFees).

It is advisable to use Form 1200, as its Section 4 contains a pre-printed request for examination in the EPO's official languages. There is also space for the request for examination in the admissible non-EPO language, which however may also be filed later until the examination fee is paid.

The request for examination may be worded as follows:

Bulgarian: "�� p� ��c��p �� .94."

Croatian: "Zahtjeva se ispitivanje prijave prema clanku 94. EPC-a".

Czech: "Žádá se o pr�zkum p�ihlášky podle �lánku 94."

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Danish: "Hermed begæres prøvning af ansøgningen i henhold til Art. 94."

Dutch: "Verzocht wordt om onderzoek van de aanvrage als bedoeld in Art. 94."

Estonian: "Taotlusele palutakse teha artikli 94 kohane ekspertiis."

Finnish: "Täten pyydetään hakemuksen tutkimista artiklan 94 mukaisesti."

Greek: "Simfona me tis diataxis tou arthrou 94 zitite i exetasis tis etiseos."

Hungarian: "Kérem az európai szabadalom megadását és a bejelentés 94. cikk szerinti vizsgálatát."

Icelandic: "Hér með er farið fram á veitingu evrópsks einkaleyfis og rannsókn á einkaleyfishæfi umsóknarinnar skv. 94. grein."

Irish: "Iarrtar leis seo scrúdú an iarratais de bhun Airteagal 94."

Italian: "Si richiede di esaminare la domanda ai sensi dell’art. 94."

Latvian: "Ar šo tiek l�gts veikt ekspert�zi saska�� ar EPK 94.pantu."

Lithuanian: "Prašoma atlikti paraiškos ekspertiz� pagal 94 straipsn�."

Luxemburgish: "Et gët heimat Préifung vun der Umeldung nom Art. 94 ugefrot."

Maltese: "Qed jigi mitlub l-ezaminazzjoni ta’ l-applikazzjoni skond Artiklu 94."

Norwegian: ”Med dette begjæres prøving av patentsøknaden i henhold til Art. 94”.

Polish: "Niniejszym wnosi si� o badanie zg�oszenia na podstawie art. 94."

Portuguese: "Solicita-se o examen do pedido segundo o artigo 94º."

Romanian: "Se solicitã examinarea cererii în sensul art. 94."

Slovak: "Podl'a �lánku 94 sa žiada o prieskum prihlášky."

Slovenian: "Zahteva se preizkus prijave po 94. �lenu EPC."

Spanish: "Se solicita el examen de la solicitud según el artículo 94."

Swedish: "Härmed begärs prövning av patentansökan enligt art. 94."

Turkish: "Ba�vurunun 94. Madde´ye göre incelenmesi istenmektedir."

19.3 If the requirements for both reductions are satisfied, the examination fee is reduced first by 50%. The 20% reduction is applied to the resultant amount, not to the full fee.

20. Amounts of fees

For these, see the applicable legal provisions, as cited in the "Guidance for the payment of fees, costs and prices" which is published regularly in the EPO's Official Journal.

Fee information is also published on the EPO website at http://www.epo.org.

21. 10-day safety rule

In EPC contracting states it is advisable to make fee payments no later than ten days before the period referred to in Article 7(3) and (4) RFees. Then, if they are considered to have arrived late under Article 7(1) and (2) RFees, the EPO will nonetheless – on production of evidence of payment – treat them as having been made in time, whereas if they were paid fewer than ten days before the time limit (but still within it), a surcharge is payable in addition to the production of evidence (see Article 7(3) RFees).

22. Legal consequences of failure to pay fees

22.1 Filing fee, search fee, designation fees, examination fee, extension fees

If the filing fee, the search fee or the examination fee is not paid in due time, or if no designation fee is paid in due time, the European application is deemed to be withdrawn (Rule 160(1) EPC). The designation of any contracting state in respect of which the designation fee has not been paid in due time is deemed to be withdrawn (Rule 160(2) EPC). If the EPO notes that the application or the designation of a contracting state is deemed to be withdrawn, it communicates this to the applicant. In response to this noting of loss of rights, the applicant may submit a request for further processing (Article 121, Rule 135 EPC). With Rule 112(2) applying mutatis mutandis, the applicant may, within two months of notification of this communication, apply for a decision on the matter by the EPO.

By crossing the declaration in Section 10.2 the applicant waives the communication noting loss of rights under Rule 112(1) EPC for the contracting states not listed in Section 10.1 (Rule 160(3) EPC) and agrees to the exclusion of further processing (Article 121, Rule 135) in such cases.

If an extension fee is not paid in due time, the request for extension is deemed to be withdrawn.

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22.2 Claims fees

If a claims fee is not paid within the time limit under Rule 159(1) EPC, it may still be validly paid within a non-extendable grace period of one month as from a communication (Form 1226) concerning the failure to observe the time limit (Rule 162(2) EPC).

Form 1226 also constitutes the communication under Rule 161 EPC (see II.6).

If amended claims are filed under Rule 161 EPC after receipt of the communication, that communication then constitutes the only request to pay any additional claims fees within the time limit under Rule 162(2) EPC.

If a claims fee is not paid in due time, the claim concerned is deemed to be abandoned (Rule 162(4) EPC).

22.3 Renewal fees

If a renewal fee has not been paid on or before the due date, it may still be validly paid within six months of that date, provided that the additional fee is paid at the same time (Rule 51(2) EPC). If the renewal fee and any additional fee are not paid in due time, the European patent application is deemed to be withdrawn (Article 86(1) EPC).

_________________________

The list of the European Patent Organisation's euro accounts is published in every issue of the Official Journal. It can also be consulted on the EPO website at http://www.epo.org.

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In Sachen der oben bezeichneten europäischen Patentanmeldung nennt (nennen) der (die) Unterzeichnete(n)1 / In respect of the above European patent application I (we), the undersigned 1 / En ce qui concerne la demande de brevet européen susmentionnée, le(s) soussigné(s) 1

als Er� nder 2 : / do hereby designate as inventor(s) 2: / désigne(nt) en tant qu’inventeur(s) 2 :

Weitere Er� nder sind auf einem gesonderten Blatt angegeben. / Additional inventors are indicated on a supplementary sheet. / D'autres inventeurs sont mentionnés sur une feuille supplémentaire.

Der (Die) Anmelder hat (haben) das Recht auf das europäische Patent erlangt 3 / The applicant(s) has (have) acquired the right to the European patent 3 /Le(s) demandeur(s) a (ont) acquis le droit au brevet européen 3

gemäß Vertrag vom / als Arbeitgeber / durch Erbfolge / by an agreement dated / as employer(s) / as successor(s) in title / en vertu du contrat passé le en qualité d’employeur(s) par succession

bitte wenden / P.T.O. / T.S.V.P.

Zeichen des Anmelders / Applicant’s reference / Référence du demandeur (max. 15 Positionen / max. 15 spaces / 15 caractères au maximum)

Name des (der) Unterzeichneten bitte in Druckschrift wiederholen. Bei juristischen Personen bitte die Stellung des (der) Unterzeichneten innerhalb der Gesellschaft in Druckschrift angeben. / Please print name(s) under signature(s). In the case of legal persons, the position of the signatory within the company should also be printed. / Le ou les noms des signataires doivent être indiqués en caractères d‘imprimerie. S’il s’agit d’une personne morale, la position occupée au sein de celle-ci par le ou les signataires doit également être indiquée en caractères d‘imprimerie.

Ort / Place / Lieu

(falls Anmelder nicht oder nicht allein der Er� nder ist) / (where the applicant is not the inventor or is not the sole inventor) / (si le demandeur n’est pas l’inventeur ou l’unique inventeur)

Unterschrift(en) des (der) Anmelder(s) oder Vertreter(s): /Signature(s) of applicant(s) or representative(s): /Signature(s) du (des) demandeur(s) ou du (des) mandataire(s) :

Datum / Date

1

EP

A/E

PO

/OE

B 1

002

12.

07

Anmeldenummer oder, falls noch nicht bekannt, Bezeichnung der Er� ndung: /Application No. or, if not yet known, title of the invention: /No de la demande ou, s‘il n’est pas encore connu, titre de l’invention :

Er� ndernennungDesignation of inventorDésignation de l’inventeur

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Fußnoten zur Vorderseite

1 Name(n) des (der) Unterzeichneten nach Maßgabe der Regel 41 (2) c) und d) EPÜ:

Bei natürlichen Personen ist der Familienname vor den Vornamen anzugeben.

Bei juristischen Personen und Gesellschaften, die juristischen Personen gemäß dem für sie maß gebenden Recht gleich ge stellt sind, ist die amtliche Bezeichnung anzugeben.

2 Name(n), Vorname(n) und vollständige Anschrift(en) des Er� nders (der Er� nder)

gemäß Regel 19 (1) EPÜ.

3 Ist der Anmelder nicht oder nicht allein der Er� nder, so hat die Er� ndernennung eine Erklärung darüber zu enthalten, wie der An-melder das Recht auf das euro päische Patent erlangt hat (Artikel 81, Regel 19 (1) EPÜ).

Bei rechtsge schäft licher Übertragung genügt die Angabe „gemäß Vertrag vom ...“.

Bei Arbeit nehmerer� ndungen genügt der Hinweis, dass der oder die Er� nder Arbeit-nehmer des Anmelders/der An melder ist bzw. sind.

Bei Erbfolge genügt die Angabe, dass der oder die Anmelder Erbe(n) des Er� nders/der Er� nder ist bzw. sind.

Renvois concernant le texte � gurant au recto

1 Nom(s) du (des) soussigné(s), conformément à la règle 41(2)c) et d) CBE :

Les personnnes physiques doivent être désig-nées par leurs noms suivis de leurs prénoms.

Les personnes morales et les sociétés assimi-lées aux personnes morales en vertu du droit dont elles relèvent doivent � gurer sous leur désignation of� cielle.

2 Nom(s), prénom(s) et adresse(s) complète(s) de l’(des) inventeur(s), conformément à la

règle 19(1) CBE.

3 Si le demandeur n’est pas l’inventeur, ou l’unique inventeur, la désignation de l’inventeur doit comporter une déclara tion indiquant l’origine de l’acquisition du droit au brevet européen (article 81 et règle 19(1) CBE).

En cas de transfert contractuel, il suf� t de mentionner « en vertu du contrat

passé le ... ».

Pour les inventions de salariés, il suf� t d‘indiquer que le ou les inventeurs sont des employés du ou des demandeurs.

En cas de transfert successoral, il suf� t

d’indiquer que le ou les demandeurs sont les héritiers du ou des inventeurs.

Footnotes to text overleaf

1 Name(s) of the undersigned in accordance with Rule 41(2)(c) and (d) EPC:

Names of natural persons shall be indicated by the person’s family name, followed by his given names.

Names of legal persons, and of bodies equi-valent to legal persons under the relevant law, shall be indicated by their of� cial designations.

2 Family name(s), given name(s) and full address(es) of the inventor(s) in accordance with Rule 19(1) EPC.

3 If the applicant is not the inventor or is not the sole inventor, the designation shall contain a statement indicating the origin of the right to the European patent (Article 81, Rule 19(1) EPC).

In the case of assignment the words ”by agreement dated ...” suf� ce.

In the case of inventions by employees a mention that the inventor(s) is/are employee(s)

of the applicant(s) is suf� cient.

In the case of succession a mention that the applicant(s) is/are heir(s) of the inventor(s) is suf� cient.

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Ich (Wir) 2 / I (We) 2 / Je (Nous)2

bevollmächtige(n) hiermit 3 / do hereby authorise 3 / autorise (autorisons) par la présente 3

sowie weitere auf einem gesonderten Blatt angegebene Vertreter / and additional representatives indicated on a separate sheet / ainsi que d’autres mandataires mentionnés sur une feuille supplémentaire

mich (uns) zu vertreten als / to represent me (us) as / à me (nous) représenter en tant que

Anmelder oder Patentinhaber, / applicant(s) or patent proprietor(s), / Einsprechenden (Einsprechende), / opponent(s), / demandeur(s) ou titulaire(s) du brevet, opposant(s),

und in den durch das Europäische Patentübereinkommen geschaffenen Verfahren betreffend die folgende(n) europäische(n) Patentanmeldung(en) oder das (die) folgende(n) europäische(n) Patent(e) 4 für mich (uns) zu handeln und Zahlungenfür mich (uns) in Empfang zu nehmen: / to act for me (us) in all proceedings established by the European Patent Convention concerning the following European patent application(s) or patent(s) 4 and to receive payments on my (our) behalf: / à agir en mon (notre) nom dans toute procédure instituée par la Convention sur le brevet européen et concernant la (les) demande(s) de brevet ou le (les) brevet(s) européen(s) 4 suivant(s) et à recevoir des paiements en mon (notre) nom :

Diese Vollmacht gilt auch für Verfahren nach dem Vertrag über die internationale Zusammenarbeit auf dem Gebiet des Patentwesens. / This authorisation also applies to any proceedings established by the Patent Cooperation Treaty. / Ce pouvoir s’applique également à toute procédure instituée par le Traité de coopération en matière de brevets.

Diese Vollmacht gilt auch für etwaige europäische Teilanmeldungen. / This authorisation also covers any European divisional applications. / Ce pouvoir vaut également pour toute demande divisionnaire européenne.

Es kann eine Untervollmacht erteilt werden. / A sub-authorisation may be given. / Ce pouvoir peut être délégué.

Ich (Wir) widerrufe(n) hiermit frühere Vollmachten in Bezug auf die oben genannte(n) Anmeldung(en) oder das (die) oben genannte(n) Patent(e)5. / I (We) hereby revoke all previous authorisations in respect of the above application(s) or patent(s) 5. / Je révoque (Nous révoquons) par la présente tout pouvoir antérieur, donné pour la (les) demande(s) ou le (les) brevet(s) mentionné(e)(s) ci-dessus 5.

bitte wenden / P.T.O. / T.S.V.P.

Anmelde-/Patentnummer / Application/Patent No. /No de la demande (du brevet)

Zeichen des Anmelders / Applicant’s reference / Référence du demandeur (max. 15 Positionen / max. 15 spaces / 15 caractères au maximum)

Das Formblatt muss vom (von den) Vollmachtgeber(n) eigenhändig unterzeichnet sein (bei juristischen Personen vom Unterschriftsberechtigten). Nach der Unterschrift bitte den (die) Namen des (der) Unterzeichneten in Druckschrift wiederholen und bei juristischen Personen die Stellung des Unterschriftsberechtigten innerhalb der Gesellschaft angeben. /The form must bear the personal signature(s) of the authoriser(s) (in the case of legal persons, that of the of� cer empowered to sign). After the signature, please print the name(s) of the signatory(ies) adding, in the case of legal persons, his (their) position within the company. / Le formulaire doit être signé de la propre main du (des) mandant(s) (dans le cas de personnes morales, de la personne ayant qualité pour signer). Veuillez ajouter en caractères d'imprimerie, après la signature, le (les) nom(s) du (des) signataire(s) en mentionnant, dans le cas de personnes morales, ses (leurs) fonctions au sein de la société.

Vollmacht1

Authorisation1

Pouvoir1

Bitte vor dem Ausfüllen des Formblatts Rückseite beachten./Please read the notes overleaf before completing the form./Veuillez lire les remarques au verso avant de remplir le formulaire.

1

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Fortsetzung auf einem gesonderten Blatt. / Additional applications or patents are indicated on a supplementary sheet. / Suite sur une feuille supplémentaire.

Ort / Place / Lieu

Unterschrift(en) 6 / Signature(s) 6

Datum / Date

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I. Fußnoten zur Vorderseite

1 a) Die Verwendung dieses Formblatts wird empfohlen für die Bevollmächtigung von Vertretern vor dem Europäischen Patent-amt – zugelassene Vertreter, Rechtsan-wälte im Sinne des Artikels 134 (8) und Zusammenschlüsse von Vertretern nach Regel 152 (11) – sowie für die Bevollmäch-tigung von Angestellten im Sinne des

Artikels 133 (3) Satz 1; zu Satz 2 sind bisher keine Ausführungsbestimmungen ergangen.

Zugelassene Vertreter, die sich als solche zu erkennen geben, müssen nach Regel 152 (1) in Verbindung mit dem Beschluss der Präsidentin des EPA vom 12. Juli 2007 nur in bestimmten Fällen eine unterzeich-nete Vollmacht einreichen (Sonderausgabe Nr. 3, ABl. EPA 2007, L.1.). Hingegen

müssen nach Artikel 134 (8) vertretungs-berechtigte Rechtsanwälte sowie Ange-stellte, die für einen Anmelder gemäß Artikel 133 (3) Satz 1 handeln und keine zugelassenen Vertreter sind, eine unter-zeichnete Vollmacht einreichen.

b) Zutreffendes ist anzukreuzen.

2 Name(n) und Anschrift(en) sowie Staat des Sitzes oder Wohnsitzes des Vollmachtgebers (der Vollmachtgeber) nach Maßgabe der nachstehenden Regel 41 (2) c): „Bei natür-lichen Personen ist der Familienname vor den Vornamen anzugeben. Bei juristischen Personen und Gesellschaften, die juristischen Personen gemäß dem für sie maßgebenden Recht gleichgestellt sind, ist die amtliche Be-zeichnung anzugeben. Anschriften sind gemäß den üblichen Anforderungen für eine schnelle Postzustellung an die angegebene Anschrift anzugeben und müssen in jedem Fall alle maßgeblichen Verwaltungseinheiten, gegebe-nenfalls bis zur Hausnummer einschließlich, enthalten.“

3 Name(n) und Geschäftsanschrift des Vertre-ters (der Vertreter) nach Maßgabe der in Ziff. 2 wiedergegebenen Regel 41 (2) c).

4 Nummer der Anmeldung(en) (falls bekannt) oder des Patents (der Patente) und Bezeich-

nung(en) der Er� ndung(en).

5 Der Widerruf erfasst nicht eine gegebenenfalls erteilte allgemeine Vollmacht.

6 Übliche Unterschrift des (der) Vollmachtgeber(s). Wird die Vollmacht für eine juristische Person

unterzeichnet, so dürfen nur solche Personen unterzeichnen, die nach Gesetz und/oder Satzung der juristischen Person dazu berech-tigt sind (Artikel 58, Regel 152 (1)). Es ist ein Hinweis auf die Unterschriftsberechtigung des Unterzeichneten zu geben (z. B. Geschäfts-führer, Prokurist, Handlungsbevollmächtig-ter; president, director, company secretary; président, directeur, fondé de pouvoir).

Unterzeichnet ein sonstiger Angestellter einer juristischen Person aufgrund einer speziellen Vollmacht der juristischen Person, so ist dies anzugeben; von der speziellen Vollmacht ist eine Kopie, die nicht beglaubigt zu sein braucht, beizufügen. Eine Vollmacht mit der Unterschrift einer nicht zeichnungsberech-tigten Person wird als nicht unterzeichnete Vollmacht behandelt.

II. Hinweise

a) Erstreckt sich die Vollmacht auf mehrere Anmeldungen oder Patente, so ist sie in der entsprechenden Stückzahl einzurei-chen (vgl. Regel 152 (2)).

b) Alle Entscheidungen, Ladungen, Be-scheide und Mitteilungen werden an den Vertreter übersandt (vgl. Regel 130). Im Fall der Bevollmächtigung von Angestellten im Sinne des Artikels 133 (3) werden die genannten Schriftstücke dem Anmelder übersandt.

c) Regel 152 (9) bestimmt: „Sofern die Voll-macht nichts anderes bestimmt, erlischt sie gegenüber dem Europäischen Patentamt nicht mit dem Tod des Vollmachtgebers.“

d) Im Übrigen vgl. die Mitteilung zu Fragen der Vertretung vor dem EPA im Amtsblatt EPA 4/1978, 281 ff.

I. Renvois concernant le texte � gurant au recto

1 a) Il est recommandé d’utiliser ce formulaire pour mandater des représentants devant l’Of� ce européen des brevets – manda-taires agréés, avocats au sens de l’article 134(8) et groupements de mandataires conformément à la règle 152(11) – ainsi que pour mandater des employés au sens de l’article 133(3), première phrase; il n’a pas encore été arrêté de dispositions d’application relatives à la deuxième phra-se. En vertu de la règle 152(1) en liaison avec la décision de la Présidente de l’OEB en date du 12 juillet 2007, les mandataires agréés qui se font connaître comme tels ne sont tenus de déposer un pouvoir signé que dans certains cas (Edition spéciale n° 3, JO OEB 2007, L.1.). En revanche, les avocats habilités à agir en qualité de mandataires en vertu de l’article 134(8), ainsi que les employés qui agissent pour le compte d’un demandeur conformément à l’article 133(3), 1ère phrase, et qui ne sont pas des mandataires agréés, doivent dépo-ser un pouvoir signé.

b) Faire une croix dans la case si nécessaire.

2 Nom(s) et adresse(s), Etat du siège ou du domicile du (des) mandant(s), dans les condi-tions prévues à la règle 41(2) c) et reproduites ci-après : «Les personnes physiques doivent être désignées par leur nom suivi de leurs pré-noms. Les personnes morales et les sociétés assimilées aux personnes morales en vertu du droit dont elles relèvent doivent � gurer

sous leur désignation of� cielle. Les adresses doivent être indiquées selon les exigences usuelles en vue d’une distribution postale ra-pide à l’adresse indiquée et comporter en tout état de cause toutes les indications adminis-tratives pertinentes, y compris, le cas échéant, le numéro de la maison.»

3 Nom(s) et adresse professionelle du (des) mandataire(s), dans les conditions prévues à la règle 41(2) c) et mentionnées au point 2.

4 Numéro de la (des) demande(s) (s’il est connu) ou du (des) brevet(s) et titre(s) de l’invention (des inventions).

5 La révocation ne s’étend pas à un pouvoir gé-néral éventuellement donné.

6 Signature(s) habituelle(s) du (des) mandant(s). Lorsque le pouvoir est signé au nom d’une personne morale, seules sont habilitées à signer les personnes auxquelles cette qualité est reconnue en vertu de la loi et/ou du statut de la personne morale concernée (article 58, règle 152(1)). Il convient d’indiquer la qualité du signataire (par exemple: président, directeur, fondé de pouvoir; Geschäftsführer, Prokurist, Handlungsbevollmächtigter; president, direc-tor, company secretary).

Il y a lieu de signaler les cas où un autre em-ployé d’une personne morale signe en vertu d’un pouvoir spécial conféré par la personne morale et de fournir alors une copie, qui peut ne pas être certi� ée conforme, de ce pouvoir spécial. Un pouvoir portant la signature d’une personne non habilitée à signer sera considéré comme non signé.

II. Notes

a) Si le pouvoir est donné pour plusieurs demandes ou plusieurs brevets, il doit être fourni un nombre correspondant d’exemplaires (cf. règle 152(2)).

b) Toutes les décisions, citations, noti� cations seront adressées au mandataire (voir règle 130). Dans le cas où des employés au sens de l’article 133(3) sont mandatés, les pièces mentionnées sont envoyées au demandeur.

c) La règle 152(9) stipule: «Sauf s’il en dis-pose autrement, le pouvoir ne prend pas � n, à l’égard de l’Of� ce européen des brevets, au décès du mandant.»

d) Pour le reste, se reporter à la Communi-cation concernant les questions relatives à la représentation près l’OEB, parue au Journal of� ciel de l’OEB, 4/1978, 281 s.

I. Footnotes to text overleaf

1 (a) The use of this form is recommended for authorising representatives before the

European Patent Of� ce – professional representatives, legal practitioners under Article 134(8) and associations of represen-tatives pursuant to Rule 152(11) – and for

authorising employees under Article 133(3), � rst sentence; as regards the second sentence, no implementing regulation has

yet been issued. Professional representatives who identify

themselves as such are required under Rule 152(1), in conjunction with the

decision of the President of the EPO dated 12 July 2007, to � le a signed authorisation only in particular cases (Special edition No. 3, OJ EPO 2007, L.1.). However, a legal practitioner entitled to act as a professional representative in accordance with Article 134(8), or an employee acting for an appli-cant in accordance with Article 133(3),

� rst sentence, but who is not a professional representative, must � le a signed authorisation. (b) Where applicable place a cross in the box.

2 Name(s) and address(es) of the party (par-ties) giving the authorisation and the State in which his (their) residence or principal place of business is located, in accordance with Rule 41(2)(c): „Names of natural persons shall be indicated by the person’s family name, followed by his given names. Names of legal persons, as well as of bodies equivalent to legal persons under the law governing them, shall be indica-ted by their of� cial designations. Addresses shall be indicated in accordance with applica-ble customary requirements for prompt postal delivery and shall comprise all the relevant

administrative units, including the house number, if any.“

3 Name(s) and address of place of business of the representative(s) in accordance with Rule 41(2)(c) (cf. note 2 above).

4 Application No(s). or patent No(s). (if known) and title(s) of the invention(s).

5 The revocation does not extend to any general authorisation which may have been given.

6 Usual signature(s) of person(s) giving the authorisation. Where the authorisation is signed on behalf of a legal person, only such persons as are entitled to sign by law and/or in accordance with the articles of association or equivalent of the legal person may do so (Article 58, Rule 152(1)). An indication is to be given of the signatory’s entitlement to sign (e.g. president, director, company secretary; Geschäftsführer, Prokurist, Handlungsbe-vollmächtigter; président, directeur, fondé de pouvoir). If any other employee of a legal per-son signs by virtue of a special authorisation conferred by the legal person, this is to be indi-cated and a copy of the special authorisation, which need not be certi� ed, is to be supplied. An authorisation bearing the signature of a person not entitled so to sign will be treated as an unsigned authorisation.

II. Notices

(a) Authorisations covering more than one application or patent are to be � led in the corresponding number of copies

(cf. Rule 152(2)). (b) All decisions, summonses and communi-

cations will be sent to the representative (cf. Rule 130). In cases where employees are authorised under Article 133(3), these documents will be sent to the applicant.

(c) Rule 152(9) states: ”Unless it expressly provides otherwise, an authorisation shall not terminate vis-à-vis the European Patent Of� ce upon the death of the person who gave it.“

(d) See also Communication on matters con-cerning representation before the EPO in the Of� cial Journal EPO 4/1978, 281 ff.

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(1 April 2008)

General authorisation

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Place

Date

1

2

3

4

5

6

7

1

I (We)

Full name

and address

of authorisor(s)

Please forward the original direct to the EPO, Legal Division (Dir. 5.2.4) in Munich.

Please read the attached notes before completing the form.

do hereby

authorise

Full name and address

of authorisee:

professional representative,

legal practitioner,

employee, association of

representatives.

Please specify

to represent me (us) in all proceedings established by the European Patent Convention and to act for me (us) in all patent

transactions.

This authorisation includes the power to receive payments on my (our) behalf.

This authorisation shall also apply to the same extent to any proceedings established by the Patent Cooperation Treaty.

Sub-authorisation may be given.

Additional representatives indicated on supplementary sheet.

Please return a copy, supplemented by the general authorisation number, to the authorisor.

Name (printed)

Position within

the company

(where relevant)

* The form must bear the personal signature(s) of the authorisor(s). In the case of legal persons, the signature

must be that of the person empowered to sign on behalf of the company. If possible, please sign in blue.

Signature*

General

authorisation No.

(for of� cial use only)

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EP Annex EP.VI, page 2 PCT Applicant’s Guide – National Phase – National Chapter – EP

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Notesto the General authorisation Form (EPO 1004)

The use of this form is recommended when authorising repre sen-

tatives before the European Patent Of� ce (EPO): professional

representatives and legal practitioners under Article 134(8)

EPC; employees under Article 133(3), � rst sentence, EPC and

associations of representatives under Rule 152(11) EPC. As to

Article 133(3), second sentence, EPC no implementing regulation

has been issued up to the present time. If the authorisee is an

em ployee who is not a professional representative or a legal

practitioner, the authorisor must make a declaration in the general

authorisation or in a covering letter that the authorisee is his

employee.

The name and address of the party giving the authorisation

(hereafter “authorisor”) and the state in which their residence or

principal place of business is located must be given, in accordance

with Rule 41(2)(c) below, in the address box:

“Names of natural persons shall be indicated by the person’s

family name, followed by his given names. Names of legal persons,

as well as of bodies equivalent to legal persons under the law

governing them, shall be indicated by their of� cial designations.

Addresses shall be indicated in accordance with applicable

customary requirements for prompt postal delivery and shall

comprise all the relevant administrative units, including the house

number, if any.”

Where the authorisation is being given by more than one party, the

relevant information regarding the additional authorisors must be

indicated to the right of the address box.

Where there are several authorisors, a general authorisation can

also be used when only one or more of them are to be represented.

If one of several authorisors cancels a general authorisation,

it remains valid for the other authorisors under the old registration

number. This applies equally to general authorisations already

registered.

The name(s) and address of the place of business of the

authorisee(s) must be given in accordance with Rule 41(2)(c)

(see note 2 above). Please specify whether it is a professional

representative, a legal practitioner, an employee or an association

of representatives. As regards the authorisation of an association

of representatives, within the meaning of Rule 152(11) EPC,

the name and the number of the association must be given.

If there is more than one authorisee, please insert in the

address box the name and address of the place of business of

the authorisee to whom the EPO is to send a copy of the form

bearing the general authorisation number.

A communication regarding the registration of the general

authorisation is not inserted in the � les relating to the application

for which the authorisee is or is to be appointed as representative.

Therefore, it is not permissible to revoke earlier speci� c

authorisations in a general authorisation. When a general

authorisation is intended to supersede an earlier one, the earlier

authorisation’s number must be stated.

The general authorisation of one or more authorisees terminates

as soon as the authorisor or the authorisee concerned –

not another authorisee – has communicated the termination to

the EPO in Munich (Directorate 5.2.4). The communication

must be clear and unambiguous. It is not suf� cient to � le a

new general authorisation omitting the name of the authorisee

concerned (Rule 152(7) and (8) EPC).

The powers mentioned separately in the form (to receive

payments, to act in PCT proceedings and to give sub-authorisation)

must be expressly granted (eg by placing a cross in the appropriate

box on the form). Powers other than those three mentioned above

may not be excluded in a general authorisation.

The EPC provisions regarding authorisations are to be applied to

sub-authorisations (Article 133(3), � rst sentence, Rule 152 EPC),

be it

(a) a speci� c sub-authorisation (Rule 152(2), second sentence,

EPC), or

(b) a general sub-authorisation (Rule 152(4) EPC).

When issuing a general sub-authorisation, Form EPO 1004 can for

example be used and the sub-authorisor must indicate the general

authorisation number from which he derives his power. When it is

registered, the general sub-authorisation keeps the same number

as the general authorisation by virtue of which it has been granted.

Subject to any provisions to the contrary contained therein, a

general sub-authorisation does not terminate vis-à-vis the EPO

upon the death of the person who gave it (Rule 152(9) EPC), nor

upon the termination of the authorisation given to the sub-authorisor

for any other reason.

The EPO returns a copy, supplemented by the general authorisation

number, to the authorisor if the appropriate box is crossed (see 4).

In any case the EPO will transmit a copy to the authorisee

(see 3 above).

Where the authorisation is signed on behalf of a legal person,

only such persons as are entitled to sign by law and/or in

accordance with the articles of association or equivalent of

the legal person may do so (Article 58 EPC).

An indication is to be given of the signatory’s entitlement to sign,

eg president, director, company secretary; Geschäftsführer,

Prokurist, Handlungs-bevollmächtigter; président, directeur, fondé

de pouvoir. If any other employee of a legal person signs by virtue

of a special authorisation conferred by the legal person, this is to

be indicated and a copy of the special authorisation, which need

not be certi� ed, is to be supplied. An authorisation bearing the

signature of a person not entitled to sign will be treated as an

unsigned authorisation.

1

2

3

4

5

6

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5. 독 일

PCT Applicant’s Guide – Volume II – National Chapter – DE

(31 May 2007)

GERMAN PATENT ANDTRADE MARK OFFICE

(DEUTSCHES PATENT- UND MARKENAMT)AS


CONTENTS



ANNEXES

Fees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Annex DE.IDeclaration concerning the inventor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Annex DE.IIPower of attorney . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Annex DE.III


Office: German Patent and Trade Mark Office

PatG: Patent Law 1981 [Patentgesetz 1981]

GebrMG: Utility Model Law [Gebrauchsmustergesetz]

IntPatÜG: Law on International Patent Treaties[Gesetz über Internationale Patentübereinkommen]

PatKostG: Law on Patent Charges [Patentkostengesetz]


(31 May 2007)


SUMMARY

DE GERMAN PATENT ANDTRADE MARK OFFICE

DE




Translation of international applicationrequired into:1 German

Required contents of the translation forentry into the national phase:1

Under PCT Article 22: Description, claims (if amended, both asoriginally filed and as amended, together with any statement underPCT Article 19), any text matter of drawings, abstractUnder PCT Article 39(1): Description, claims, any text matter ofdrawings, abstract (if any of those parts has been amended, both asoriginally filed and as amended by the annexes to the internationalpreliminary examination report)

Is a copy of the international applicationrequired? No

National fee: Currency: Euro (EUR)For patent:

Filing fee:2 EUR 60Annual fee for the third year:3 EUR 70

For utility model:Filing fee:2 EUR 40


No filing fee is payable if the international application was filedwith the German Patent and Trade Mark Office as receiving Office.The fee for requesting examination is reduced where aninternational search report has been established.


_____________1 Must be furnished within the time limit applicable under PCT Article 22 or 39(1). A translation of the abstract is not required in

case of a utility model application.2 Must be paid within the time limit applicable under PCT Article 22 or 39(1).3 It is due on the last day of the month containing the second anniversary (24 months) of the international filing date. If the

applicant does not initiate early entry into the national phase, he does not have to pay the third annual fee before the expiration ofthe 30-month time limit under PCT Article 22(1) or 39(1)(a). In that case, the third annual fee may be paid without surchargebefore the expiration of the second month after the expiration of the 30-month time limit. If the third annual fee is not paid withinthis two-month time limit, the fee may still be paid with a surcharge before the expiration of the sixth month after the expiration ofthe 30-month time limit.


(31 May 2007)


SUMMARY

DE GERMAN PATENT ANDTRADE MARK OFFICE

[Continued]

DE

Special requirements of the Office(PCT Rule 51bis):4

Where the applicant is a legal entity, indication of the name of anofficer representing that entityDeclaration concerning the inventor and the right of the applicant toapply for a patent5

Appointment of an agent if the applicant is not resident in GermanyIf the international application is for a patent and a utility model, thetranslation and the power of attorney must be furnished in duplicateFurnishing, where applicable, of a nucleotide and/or amino acidsequence listing in electronic formFurnishing of any missing indication of the address and residence ofeach of the applicants

Who can act as agent? In case an agent is required (because the applicant is a non-resident):Any patent attorney or attorney-at-law6 resident in Germany or anational of a member State of the European Union or of a Stateparty to the Agreement on the European Economic Area authorizedto pursue certain professional activities (see Law on the QualifyingExamination for Gaining Admission to the Profession of PatentAttorney and Law on the Professional Activities of EuropeanLawyers in Germany), provided that a patent attorney or attorney-at-law,6 resident in Germany, has been authorized to receive service ofofficial communicationsOtherwise: Any natural person resident in Germany



comply with the requirement within a time limit fixed in the invitation.5 This requirement may be satisfied if the corresponding declaration has been made in accordance with PCT Rule 4.17.6 The list of patent attorneys may be obtained from the Patentanwaltskammer (Chamber of Patent Attorneys), Postfach 260108,

80058 Munich, Germany, and the list of attorneys-at-law from the Bundesrechtsanwaltskammer (Chamber of Attorneys-at-Law),Littenstrasse 9, 10179 Berlin, Germany.


(9 February 2005)


DE.01 TRANSLATION (CORRECTION). Errors in the translation of the internationalapplication can be corrected with reference to the text of the international application as filed(see paragraphs 57 and 58 of the General Part of this Volume). If the translation furnished tothe Office contains only the description, the Office will invite the applicant to furnish themissing part and will excuse the late furnishing provided that the scope of the disclosurecontained in the translation furnished to the Office is not broadened thereby.

IntPatÜG Art. IIISec. 4(2)

DE.02 FEES (MANNER OF PAYMENT). The manner of payment of the fees indicated inthe Summary and in this Chapter is outlined in Annex DE.I.

PatG Sec. 37 DE.03 DECLARATION CONCERNING THE INVENTOR AND THE RIGHT OFTHE APPLICANT TO APPLY FOR A PATENT. For details, see the model of suchdeclaration (not an official form) in Annex DE.II. Legalization is not required. For time limits,see the Summary.

PatG Sec. 25 DE.04 POWER OF ATTORNEY. An agent must be appointed by filing a power ofattorney. A model is given in Annex DE.III.

PatG Sec. 17PatKostG Sec. 3(2)

7(1)

DE.05 ANNUAL FEES. They are payable for the third and each subsequent year followingthe international filing date before the expiration of the last day of the month in which theanniversary of the international filing date occurs. The fees may be paid before the expiration ofthe second month after the due date. Where the fee is not paid within the two-month time limit,payment can still be made with a surcharge before the expiration of the sixth month after the duedate. If the applicant does not initiate early entry into the national phase, he does not have topay the third annual fee before the expiration of the 30-month time limit under PCTArticle 22(1) or Article 39(1)(a). In that case, the third annual fee may be paid withoutsurcharge before the expiration of the second month after the expiration of the 30-month timelimit. If the third annual fee is not paid within this two-month time limit, the fee may still bepaid with a surcharge before the expiration of the sixth month after the expiration of the30-month time limit. The amounts of the annual fees and of the surcharge are indicated inAnnex DE.I.

PatG Sec. 44 DE.06 REQUEST FOR EXAMINATION. A patent will be granted only after examinationas to patentability which may be requested by the applicant or by a third party. There is nospecial form for the request.

PatG Sec. 44(2) DE.07 TIME LIMIT FOR REQUESTING EXAMINATION. Examination must berequested within seven years from the international filing date.

PatKostG Sec. 3(1)5(1)

IntPatÜG Art. IIISec. 7

DE.08 FEE FOR REQUESTING EXAMINATION. Within the time limit for requestingexamination a fee for requesting examination must be paid. Processing of the request forexamination will only start after the fee for requesting examination has been paid. The amountof the said fee is indicated in Annex DE.I. It is reduced where an international search report hasbeen established.

PCT Art. 2841

PatG Sec. 38

DE.09 AMENDMENT OF THE APPLICATION; TIME LIMITS. The followingamendments may be made in the national phase provided that the scope of the subject matter ofthe application is not broadened:

(i) until a request for examination is filed: correction of obvious mistakes, remedyingof any defect pointed out by the Examining Section, amendments to the claims;

(ii) up to the decision to grant a patent: amendments to any part of the application.


(9 February 2005)

It is to be noted that, during opposition procedure following the grant of the patent, amendmentsto the description, claims or drawings may still be made, but only within the scope of the patentas granted.

PCT Art. 25PCT Rule 51IntPatÜG Art. III

Sec. 5PatG Sec. 65(1)

73

DE.10 REVIEW UNDER ARTICLE 25 OF THE PCT. The applicable procedure isoutlined in paragraphs 63 to 66 of the General Part of this Volume. If, upon review under PCTArticle 25, the Office denies an error or omission on the part of the receiving Office or theInternational Bureau, an appeal against this decision may be lodged within one month from thedate of receipt of the decision. Within the same one-month time limit, a fee for appeal must bepaid. The Federal Patent Court will then decide on the appeal.

PCT Art. 24(2)48(2)

PatG Sec. 123123a

GebrMG Sec. 21

fsuch an indication, the applicant, when performing the acts referred to in PCTArticle 22 or 39(1), shall so indicate to the designated Office. Where no special acts arerequired for entry into the national phase, because the Office is both the receiving Office anddesignated Office, and the application was filed in the German language, the applicant shallnonetheless be responsible for the timely execution of his right of choice under PCTRule 49bis.1.

DE.13 If the international application is for a utility model instead of a patent (see the casereferred to in paragraph DE.12(i)), the requirements are basically the same as for patents exceptthat the applicant is not required:

(i) to furnish a translation of the abstract,

(ii) to furnish a declaration concerning the inventor,

(iii) to make a request for examination,

(iv) to pay a fee for grant, and

(v) to pay annual fees.

fthe cause of the failure to perform the action but not later than one year from the expiration ofthe time limit which has not been observed. Within these two months, the omitted act must becompleted and the request must state the facts which justify the reinstatement; these facts mustbe substantiated [glaubhaft machen]. Since 1 January 2005, it is possible to request furtherprocessing of the application if the application has been rejected following a failure to observe atime lime fixed by the Office. The request for further processing shall be filed within one monthafter notification of the decision to reject the application. The omitted act must be completedwithin this time limit and a fee must be paid. The amounts of fees for further processing areindicated in Annex DE.I. Reinstatement of rights in respect of the time limit to request furtherprocessing is not possible.

PCT Art. 4(3)4344

PCT Rules 49bis.1(a) and (b)76.5

GebrMG Sec. 4

DE.12 UTILITY MODEL. If the applicant wishes to obtain utility model registration inGermany on the basis of an international application

(i) instead of a patent or

(ii) in addition to a patent,

for international applications filed before 1 January 2004, this must have been indicated in theinternational application (in Box No. V of the request) when filed; for international applicationsfiled on or after 1 January 2004, since the request form no longer provides for the furnishing o

DE.11 EXCUSE OF DELAYS IN MEETING TIME LIMITS. Reference is made toparagraphs 67 to 71 of the General Part of this Volume. Reinstatement may be requested wherethe applicant, through no fault of his own, has failed to comply with a time limit during theinternational phase or before the Office and non-observance of the time limit is detrimental tohis rights. Reinstatement is excluded, however, where the missed time limit is the time withinwhich the application is to be filed if priority of an earlier German application is claimed,whereas reinstatement may be requested if priority of an earlier foreign application is claimed.A request for reinstatement must be presented in writing within two months after the removal o


(9 February 2005)

Instead of annual fees, maintenance fees become due for utility models. The due date, amountsand terms of protection are indicated in Annex DE.I. The maximum term of protection is10 years.

IntPatÜG Art. III Sec. 4(2)

GebrMG Sec. 4

DE.14 If the international application is for both a utility model and a patent (see the casereferred to in paragraph DE.12(ii)), the applicant must, within the time limit applicable for entryinto the national phase, comply with the following requirements:

(i) pay two filing fees for both the patent and the utility model,

(ii) where the international application was not filed in German, furnish a translationinto German,

(iii) furnish the translation of the international application in duplicate,

(iv) file the power of attorney (if any) in duplicate.

The requirements (i), (iii) and (iv) may still be complied with within a time limit fixed in aninvitation by the Office, if not already complied with within the time limit applicable for entryinto the national phase.

GebrMG Sec. 5 DE.15 A utility model application concerning the subject matter of an earlier national,international or European patent application for a national or European patent for Germany mayclaim the filing date of that earlier patent application provided the utility model application isfiled before the expiration of two months from the end of the month in which the patentapplication is disposed of or in which the opposition procedure, if any, is terminated, at thelatest, however, up to the end of the tenth year from the date of filing of the patent application.Any priority which is claimed in the earlier patent application under the Paris Convention for theProtection of Industrial Property will also apply to the subsequent utility model application.

DE

PCT Applicant’s Guide – Volume II – National Chapter – DE Annex DE.I, page 1

(9 February 2005)

FEES

(Currency: Euro)

Patents

Filing fee1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60

Fee for requesting examination:(i) where an international search report has been established . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 150

(ii) where no international search report has been established . . . . . . . . . . . . . . . . . . . . . . . . . . . . 350

Annual fees:— for the 3rd year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70— for the 4th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70— for the 5th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90— for the 6th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 130— for the 7th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 180— for the 8th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 240— for the 9th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 290— for the 10th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 350— for the 11th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 470— for the 12th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 620— for the 13th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 760— for the 14th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 910— for the 15th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1,060— for the 16th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1,230— for the 17th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1,410— for the 18th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1,590— for the 19th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1,760— for the 20th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1,940

Surcharge for late payment of the annual fee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50

Fee for further processing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100

Utility models

Filing fee1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40

Maintenance fees:— for the 4th to the 6th year of protection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 210— for the 7th and the 8th years of protection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 350— for the 9th and the 10th years of protection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 530

Surcharge for late payment of the maintenance fee. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50

Fee for further processing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100

1 Where the international application has been filed with the German Patent and Trade Mark Office as receiving Office, the filing feeis considered to have been paid with the payment of the transmittal fee (IntPatÜG Art. III, Sec. 4(2)).

DE

Annex DE.I, page 2 PCT Applicant’s Guide – Volume II – National Chapter – DE

(9 February 2005)


The payment of the fees has to be effected in euro. All payments must indicate the application number(national, if already known; international, if the national application number is not yet known), the name of theapplicant and the category of fee being paid.

In addition to payment by cash, fees may be paid by:

(a) bank transfer;(b) payment into the account of the Bundeskasse Weiden (No. 700 010 54 at the Deutsche Bundesbank

(BBk) Munich, bank code 700 000 00; BIC/SWIFT code: MARKDEF1700, IBAN: DE84 7000 00000070 001054). Customers should declare that any handling charges are borne by the payer;

(c) authorisation to directly debit an account in Germany; the official form of the Office should be used forthe direct debiting authorisation.

Applicants must choose a mode of payment guaranteeing that the full amount of the fees due is received by theOffice. There is a danger of loss of rights if bank charges are deducted.

DE

PCT Applicant’s Guide – Volume II – National Chapter – DE Annex DE.II

(January 2000)

DE

Annex DE.III PCT Applicant’s Guide – Volume II – National Chapter – DE

(9 February 2005)

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Vollmacht – Power of Attorney Dem Patentanwalt – Den Patentanwälten The Patent Attorney(s)

wird hiermit in Sachen is (are) hereby appointed in the matter of

Vertretervollmacht erteilt für das Anmelde- und Schutzbewilli-gungsverfahren, für das erteilte bzw. eingetragene Schutzrecht sowie für das Einspruchs-, Nichtigkeits-, Zwanglizenz- oder Lö-schungsverfahren vor dem Deutschen Patent- und Markenamt,dem Bundespatentgericht und dem Bundesgerichtshof. Die Voll-macht schließt auch das Verfahren nach dem Vertrag über die internationale Zusammenarbeit auf dem Gebiet des Patentwesens(PCT) ein. Der (Die) Bevollmächtigte(n) ist (sind) berechtigt, Unter-vollmachten zu erteilen.

to act for me/us in proceedings concerning applications, registra-tions, granted or registered industrial or intellectual property rights, and in proceedings concerning opposition, nullity, compulsory license, rectification, revocation or cancellation in the German Patent and Trade Mark Office, before the Federal Patent Court and before the Federal Court of Justice. This authorization includes also the procedure under the Patent Cooperation Treaty (PCT). The authorized agent(s) is (are) authorized to grant powers of substitu-tion.

Auf Grund dieser Vollmacht ist er (sind sie) insbesondere zu folgenden Rechtsgeschäften und Verfügungen ermächtigt: AlleMitteilungen, Bescheide und Beschlüsse des Patent- und Markenamtes und der Gerichte in Empfang zu nehmen, Rechts-mittel oder Rechtsbehelfe einzulegen und zurückzunehmen, Ver-gleiche abzuschließen, auf die Anmeldung oder das Schutzrechtganz oder teilweise zu verzichten, die Beschränkung des Paten-tes zu beantragen, eine Lizenzbereitschaftserklärung abzugeben oder einen von einem Gegner erhobenen Anspruch anzuerken-nen, in Markensachen Widerspruch gegen die Löschung der Markeoder Aberkennung des Schutzes der Marke und gegen die Ein-tragung sowie gegen die Schutzbewilligung anderer Marken zuerheben und die Löschung bzw. Schutzentziehung anderer Mar-ken zu beantragen, gestellte Anträge zurückzunehmen, Zahlungenfür den Auftraggeber in Empfang zu nehmen, Strafanträge zustellen.

By virtue of this authorization he is (they are) especially empow-ered to carry out the following legal transactions and disposals: to receive all communications, official actions and decisions of the Patent and Trade Mark Office and the Courts; to lodge or withdraw legal measures or legal remedies; to conclude agreements; to fully or partially disclaim the application or the property right; to applyfor the restriction of a patent; to deliver a declaration of “readiness to license” or to acknowledge a claim raised by an opposing party; in matters of trade marks to contest an application for the cancel-lation or revocation of an entry in the Register in respect of a trade mark, to enter opposition against the registration of other trade marks including internationally registered marks, and to apply for the cancellation or revocation of an entry in the Register in respect of other trade marks including internationally registered marks; to withdraw applications; to receive payments on behalf of the cli-ent(s); and to demand penalties.

(Nur bei ausländischen Vollmachtgebern:) Durch diese Vollmacht ist (sind) der Patentanwalt (die Patentanwälte) zum Vertreter gemäß§ 25 des Patentgesetzes, § 28 des Gebrauchsmustergesetzes, § 11 Halbleiterschutzgesetz, § 96 des Markengesetzes und § 58des Geschmacksmustergesetzes bestellt.

(For foreign clients only:) By this Authorization, the Patent Attor-ney(s) is (are) appointed as representative(s) in accordance with § 25 of the Patent Act, § 28 of the Utility Model Act, § 11 Semicon-ductor Protection Act, § 96 of the Trade Mark Act and § 58 of the Design Act.

Erfüllungsort für alle Ansprüche aus dem der Vollmacht zugrundeliegenden Rechtsverhältnis und Gerichtsstand ist der Ort der Kanz-lei des Patentanwaltes (der Patentanwälte).

The place of settlement and the court for all claims arising out of the legal relationship existing by virtue of the Power of Attorney are at the location where the office of the Patent Attorney(s) is situated.

Die Vollmacht gilt auch für eine Praxisverweser (Treuhänder, Ab-wickler), solange sie diesem gegenüber nicht widerrufen wird.

The power is also extended to an administrator (trustee, liquidator) of the office of the Patent Attorney(s) unless revoked.

.........................................................................................................Ort/Place; Datum/Date

.........................................................................................................(Bei Personen : Namen und Vornamen voll ausschreiben, bei Firmen genaue, eingetragene Firmenbezeichnung angeben. Keine Beglaubigung erforderlich.)

(First names and surnames of individual persons are to be written in full; corporate bodies are to sign in the form in which they are registered. No legalization.)

6 러시아

PCT Applicant’s Guide - Volume II - National Chapter - RU

1 The text may be obtained on the Internet at www.rupto.ru.

(24 May 2007)

FEDERAL SERVICE FOR INTELLECTUALPROPERTY, PATENTS AND TRADEMARKS

(RUSSIAN FEDERATION)AS


CONTENTS

THE ENTRY INTO THE NATIONAL PHASE – SUMMARY


ANNEXES

Fees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Annex RU.INational processing request form for patents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Annex RU.IINational processing request form for utility models . . . . . . . . . . . . . . . . . . . . . . . . . . . . Annex RU.III


Office: Federal Service for Intellectual Property, Patents and Trademarks (Russian Federation)

RPL: Patent Law1

RPR: Regulations on Drafting, Filing and Processing of an Application for an Invention Patent1

SF: Statute on Fees for Patents, Utility Models, Industrial Designs, Trademarks, Service Marks, Appellations ofOrigin, as amended1

PCT Applicant’s Guide – Volume II – National Chapter – RU

(24 May 2007)


SUMMARY

RU FEDERAL SERVICE FOR INTELLECTUALPROPERTY, PATENTS AND TRADEMARKS

(RUSSIAN FEDERATION)

RU



Under PCT Article 22(3): 31 months from the priority dateUnder PCT Article 39(1)(b): 31 months from the priority date

Translation of international applicationrequired into:1 Russian


Under PCT Article 22: Description, claims (if amended, asoriginally filed or as amended, if the applicant wishes theamendments to form the basis for the proceedings, together with anystatement under PCT Article 192), any text matter of drawings,abstractUnder PCT Article 39(1): Description, claims, any text matter ofdrawings, abstract (if any of those parts has been amended, asoriginally filed or as amended by the annexes to the internationalpreliminary examination report, if the applicant wishes theamendments to form the basis for the proceedings2)


National fee: Currency: US dollar (USD)For patent:

Filing fee:3 USD 200Examination fee:— for one invention: USD 300— for each invention in excess of one: USD 240Annual fee for the third year: USD 100

For utility model:Filing fee:3 USD 100Annual fee for the first andthe second year, per year: USD 50


_____________1 Must be furnished within the time limit applicable under PCT Article 22 or 39(1). If not already complied with within this time

limit, the Office will invite the applicant to comply with the requirement within a time limit fixed in the invitation.2 In certains circumstances, the Office is entitled to require both the translation of the international application as originally filed and

as amended; in such a case, the Office will invite the applicant to supply the missing translation.3 If not already complied with within the time limit applicable under PCT Article 22 or 39(1), the Office will invite the applicant to

comply with the requirement within a time limit fixed in the invitation.

PCT Applicant’s Guide – Volume II – National Chapter – RU


comply with the requirement within a time limit of two months from the date of receipt of the invitation.

(24 May 2007)


SUMMARY

RU FEDERAL SERVICE FOR INTELLECTUALPROPERTY, PATENTS AND TRADEMARKS

(RUSSIAN FEDERATION)[Continued]

RU


The examination fee shall be reduced by 50% where theinternational search report has been established by the FederalService for Intellectual Property, Patents and Trademarks (RussianFederation), or by 20% where the international search report hasbeen established by any of the other International SearchingAuthorities.The annual fees shall be reduced by 50% where a notice about anopen license is filed with the Office. The reduction shall apply asfrom the year following the year of publication of information on thenotice

Special requirements of the Office(PCT Rule 51bis):

Appointment of an agent if the applicant is not resident in theRussian Federation4

Who can act as agent? Any patent attorney registered to practice before the Office

Does the Office accept requests forrestoration of the right of priority(PCT Rule 49ter.2)? Yes, the Office applies the “due care” criterion to such requests

his international application on his own initiative, without paying any fee for that purpose,provided that the amendments or corrections do not modify the subject matter of the claimedinvention or utility model beyond the original disclosure. After the expiration of the said timelimit such amendments or corrections may be made to patent applications only on payment ofthe prescribed fees for amendment and only until the final decision on the results of thesubstantive examination has been taken.

SF 1(L), 1(3) RU.08 ANNUAL FEES. After a patent has been granted, annual fees must be paid formaintaining the application/patent in force. They are payable for the third and each subsequentyear following the international filing date for patents and for the first and each subsequent yearfor utility models. For the due date of the payment of the first annual fees, see the Summary.After that, annual fees become due every year on the anniversary of the international filing date.Payment can still be made, upon request for extension of time together with a 50% surchargefor late payment, within six months from the due date. If the patent is lapsed following failureto pay the annual fee within the prescribed time limit, the reinstatement of rights is permittedwithin three years from the date of the expiry of this time limit if the applicant makes a writtenrequest for the reinstatement of rights and pays the reinstatement fee in addition to all necessaryannual fees. The amount of the reinstatement fee is 2,5 times greater than the amount of theannual fee for the year of the submission of the request. The amounts of annual fees are


(1 February 2007)


RU.01 FORMS FOR ENTERING THE NATIONAL PHASE. The Office has availabletwo special forms for entering the national phase (see Annexes RU.II and RU.III). These formsshould preferably (but need not) be used. If they are used, the translation of the PCT request isnot required.

RU.02 TRANSLATION (CORRECTION). Errors in the translation of the internationalapplication can be corrected with reference to the text of the international application as filed(see paragraphs 57 and 58 of the General Part of this Volume).

RPL Art. 15.2RPR Rule 7

RU.03 REPRESENTATION. Applicants having their residence outside the territory of theRussian Federation must appoint patent agents registered to practice with the Office. A list ofregistered patent agents is available upon request from the Office.

RPL Art. 33SF 1

RU.04 FEES (MANNER OF PAYMENT). The manner of payment of the fees indicatedin the Summary and in this Chapter is outlined in Annex RU.I.

RPL Art. 21.7, 21.12RPR Rule 19.2SF 1(g)

RU.05 REQUEST FOR EXAMINATION. A patent is granted only after examination asto patentability which may be requested by the applicant or by a third party. There is no specialform for the request. Examination must be requested within three years from the internationalfiling date. The time limit may be extended for not more than two months on filing a requestwithin three years from the international filing date. The request for examination is onlyeffective if a fee for requesting examination has been paid. The expired time limit for therequest for examination may be reinstated within 12 months on payment of the reinstatementfee accompanied by a statement on the valid excuse for expiration. The amount of the said feeis indicated in Annex RU.I. It is reduced where an international search report has beenestablished.

RPL Art. 26.1SF 1(i)

RU.06 FEE FOR GRANT. A fee for grant must be paid within two months after receipt bythe applicant of the decision to grant the patent. Where the applicant fails to pay the fee withinthat time limit, he can make this payment, together with a 50% surcharge for late payment,within six months from the date of expiration of the above-mentioned time limit.

PCT Art. 2841

RPL Art. 20

RU.07 AMENDMENT OF THE APPLICATION; TIME LIMITS. Within two monthsafter entry into the national phase the applicant has the right to amend or correct any element of


(1 February 2007)

indicated in Annex RU.I.

PCT Art. 25PCT Rule 51

RU.09 REVIEW UNDER ARTICLE 25 OF THE PCT. The applicable procedure isoutlined in paragraphs 63 to 66 of the General Part of this Volume. If, upon review under PCTArticle 25, the Office denies an error or omission on the part of the receiving Office or theInternational Bureau, an appeal against this decision may be lodged with the Office.

PCT Art. 24(2)48(2)

PCT Rule 82bis

RU.10 EXCUSE OF DELAYS IN MEETING TIME LIMITS. Reference is made toparagraphs 67 to 71 of the General Part of this Volume. Where, during the international phaseor before the Office, the applicant has missed a time limit for performing any act in relation tothe international application, such time limit may be extended by the Office upon request by theapplicant and subject to payment of the reinstatement fee (see Annex RU.I).

PCT Rule 49bis.1(a), (b)76.5

RPL Art. 23

RU.11 UTILITY MODEL. If the applicant wishes to obtain a utility model registrationinstead of a patent on the basis of an international application, subject to what is said inparagraph 13, for international applications filed before 1 January 2004, this must have beenindicated in the international application (in Box No. V of the request) when filed; forinternational applications filed on or after 1 January 2004, since the request form no longerprovides for the furnishing of such an indication, the applicant, when performing the actsreferred to in Article 22 or 39, shall so indicate to the Office. If the international application isfor a utility model instead of a patent, the requirements are basically the same as for a patentexcept that the applicant is not required to make a request for substantive examination.

SF 1(L), 1(r) RU.12 The first annual fee must be paid jointly with the grant fee (see Annex RU.I). Afterthe expiration of five years from the international filing date, the term of a utility model may beextended by the Office for no more than three years at the request of the owner of the utilitymodel and this request must be accompanied by the payment of the renewal fee and annual feesfor each complete or incomplete additional year.

RPL Art. 28RPR Rule 21

RU.13 CONVERSION. The applicant may, prior to publication of a patent application,convert the said application into a utility model application by filing a request to that effect.The utility model application may be converted into a patent application at any time before thedecision to grant is taken. The converted application shall have the priority date of the initialapplication.

RPR Rule 2.5(4) RU.14 NUCLEOTIDE AND AMINO ACID SEQUENCES. Where the internationalapplication contains disclosure of one or more nucleotide and/or amino acid sequences, theapplicant must furnish a sequence listing presented as a separate part of the description and asequence listing in electronic form.

RU

PCT Applicant’s Guide - Volume II - National Chapter - RU Annex RU.I, page 1

(24 May 2007)

FEES

(Currency: US dollar)

Patents

Filing fee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 200— claims fee for each claim in excess of 25 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30

Examination fee:— for one invention . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 300— for each invention in excess of one . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 240

Reinstatement fee:— within six months from the expiration of the missed time limit . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80— more than six months, but not more than one year, from the expiration of the missed time limit . . . . 320

Grant fee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 400

Annual fees:1

— for the 3rd year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100— for the 4th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100— for the 5th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 150— for the 6th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 150— for the 7th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 200— for the 8th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 200— for the 9th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 300— for the 10th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 300— for the 11th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 450— for the 12th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 450— for the 13th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 600— for the 14th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 600— for the 15th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 750— for the 16th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 750— for the 17th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 750— for the 18th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 750— for the 19th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1,000— for the 20th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1,000

Fee for restoration of the right of priority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . None

Utility models

Filing fee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100— claim fee for each independent claim in excess of one . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

Grant fee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 400

Annual fees:1

— for the 1st year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50— for the 2nd year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50— for the 3rd year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100— for the 4th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 150— for the 5th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 150— for the 6th and each subsequent year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 200

1 The annual fees shall be reduced by 50% where a notice about an open license is filed with the Office. The reduction shall applyas from the year following the year of publication of information on the notice.

RU

Annex RU.I, page 2 PCT Applicant’s Guide - Volume II - National Chapter - RU

(24 May 2007)


The payment of fees must be effected in US dollars. All payments must indicate the application number(national, if already known; international, if the national application number is not yet known), the name of theapplicant and the category of fee being paid. Fees may be paid to the following bank:

Federal Treasury, 7730176088, 773001001Account No. 40105840100000012900Central Bank of Russian Federation Moscow RUCBRF RU MMCorr/acc 0011907227 in JPMORGAN CHASEBANK of NEW YORKCHASUS33

Remittance information – 16811301210010000130

RU

PCT Applicant’s Guide - Volume II - National Chapter - RU Annex RU.II, page 1

(1 January 2004)

RU

Annex RU.II, page 2 PCT Applicant’s Guide - Volume II - National Chapter - RU

(1 January 2004)

RU

PCT Applicant’s Guide - Volume II - National Chapter - RU Annex RU.II, page 3

(1 January 2004)

RU

PCT Applicant’s Guide - Volume II - National Chapter - RU Annex RU.III, page 1

(1 January 2004)

RU

Annex RU.III, page 2 PCT Applicant’s Guide - Volume II - National Chapter - RU

(1 January 2004)

RU

PCT Applicant’s Guide - Volume II - National Chapter - RU Annex RU.III, page 3

(1 January 2004)

7. 호 주

PCT Applicant’s Guide – Volume II – National Chapter – AU

(12 July 2007)

AUSTRALIAN PATENT OFFICEAS


CONTENTS



ANNEXES

Fees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Annex AU.IRequest for Examination of Patent Request and Complete Specification . . . . . . . . . . . . . Annex AU.IINotice of Entitlement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Annex AU.IIIRequest for Exercise of Commissioner’s Discretionary Powers . . . . . . . . . . . . . . . . . . . Annex AU.IVApplication for an Extension of Time . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Annex AU.VRequest for Commissioner’s Certification Authorising Release of a Sample

of a Micro-Organism . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Annex AU.VI


Office: Australian Patent Office

APA: Australian Patents Act

APR: Australian Patents Regulations

Sec.: Section of the Patents Act

Reg.: Regulation of the Patents Regulations

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호주 특허청

호주 특허청


목 차


국내단계 절차

부록

수수료 ··············································································································· 부록 AU.Ⅰ

특허출원 및 전체 명세서 심사청구서 ····································································· 부록 AU.Ⅱ

자격 통지서········································································································ 부록 AU.Ⅲ

청장재량권 행사 신청서 ······················································································· 부록 AU.Ⅳ

기한연장 신청서·································································································· 부록 AU.Ⅴ

특허청장 미생물 표본 공개 허가 인증 신청서 ························································· 부록 AU.Ⅵ

약어 목록:

특허청: 호주 특허청

APA: 호주 특허법

APR: 호주 특허규정

Sec: 특허법 조항

Reg: 특허규정의 제반 규정

- 243 -


(21 May 2007)


SUMMARY

AU AUSTRALIAN PATENT OFFICE AUSummary of requirements for entry into the national phase


Under PCT Article 22(3): 31 months from the priority dateUnder PCT Article 39(1)(b): 31 months from the priority date

Translation of international applicationrequired into:1 English


Under PCT Article 22: Description, claims (if amended, asamended only), any text matter of drawings, abstractUnder PCT Article 39(1): Description, claims, any text matter ofdrawings, abstract (if any of those parts has been amended, only asamended by the annexes to the international preliminary exam-ination report)

Is a copy of the international applicationrequired?

A copy is required only if the applicant expressly requests an earlierstart of the national phase under PCT Article 23(2) at a time whenthe applicant has not received Form PCT/IB/308 and the Office hasnot received a copy of the international application from theInternational Bureau under PCT Article 20

National fee: Currency: Australian dollar (AUD)Filing fee:1 AUD 320

Exemptions, reductions or refunds of thenational fee: None


Notice of entitlement concerning the inventor and the right of thenominated person to an Australian patent3

Address for service in Australia (but no representation by an agent isrequired)Verification of translation

Who can act as agent? Any person registered to practice as a patent attorney before theOffice

Does the Office accept requests forrestoration of the right of priority(PCT Rule 49ter.2)? Yes, the Office applies national requirements to such requests

_____________1 Must be furnished or paid within the time limit applicable under PCT Article 22 or 39(1).2 If not already complied with within the time limit applicable under PCT Article 22 or 39(1), the Office will invite the applicant to

comply with the requirement within a time limit fixed in the invitation.3 This requirement may be satisfied if the corresponding declaration has been made in accordance with Rule 4.17.

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호주 특허청


AU 호주 특허청 AU



PCT 제39조(1)(b): 우선일로부터 31개월

진입시 필요한 국제출원의 번역언어: 1 영어

국내단계 진입에 필요한 번역문 내용: 1 PCT 제22조: 명세서, 청구범위 (청구범위가 보정이

이루어진 경우, 보정된 청구범위만 제출), 도면 및 요약서

PCT 제39조(1): 명세서, 청구범위, 도면 및 요약서 (보정이

이루어진 경우, 국제예비심사보고서의 부속서류에 따라

보정된 번역문만 제출)

국제출원 사본이 필요한가? 출원인은 PCT /IB/308 서식을 수령하지 않았고

특허청은 PCT 제20조에 따라 국제사무국으로부터

국제출원 사본을 수령받지 않았을 경우, 출원인이

PCT 제23조(2)에 따라 국내단계의 조기개시를

명시적으로 청구하는 경우에만 사본을 필요로 한다.

국내수수료: 통화: 호주 달러화(AUD)

출원료: 1 AUD 320

국내수수료 면제, 감면, 반환: 없음


(PCT 규칙 51bis): 2

발명자에 관한 권한과 호주 특허에 지명된 개인의

권리 통지3

호주 내 송달주소 (단, 대리인의 대리행위는 강제사항이

아니다)

번역문의 검증

대리인 자격이 있는 자는? 특허청에 변리사로 개업 등록한 자



특허청은 해당 신청에 대해 국내 요건을 적용한다.

1 PCT 제22조나 제39조(1)에 규정된 기한 내에 제출하거나 납부해야 한다.

2 PCT 제22조나 제39조(1)에 규정된 기한 내에 준수하지 않은 경우, 특허청은 출원인에게 통지서에서 정한 기한 내에 요건을 준

수할 것을 명한다.

3 PCT 규칙 4.17에 따라 해당 선언서가 제출된 경우 본 요건은 충족될 수 있다.

- 245 -


(10 May 2007)


APA Sec. 89(3)APR Reg. 8.2(3)(c)

AU.01 TRANSLATION (VERIFICATION). The required verification of the translationof the international application consists of a simple statement by the person who made thetranslation.

AU.02 TRANSLATION (CORRECTION). Errors in the translation of the internationalapplication can be corrected with reference to the text of the international application as filed(see paragraphs 57 and 58 of the General Part of this Volume).

AU.03 FEES (MANNER OF PAYMENT). The manner of payment of the fees indicated inthe Summary and in this Chapter is outlined in Annex AU.I.

APR Reg. 8.2(3)(a)22.10

AU.04 ADDRESS FOR SERVICE. An applicant, irrespective of whether or not he is anational of or a resident in Australia, is not required to be represented by an agent, but he isrequired to have an address for service (of notices and other communications) in Australia. Theapplicant must supply such an address in order to continue proceedings before the Office. Anyapplicant may be represented by a patent attorney authorized to practice before the Office andthe address for service should normally be that of a registered patent attorney. A list ofregistered patent attorneys is available upon request from the Office.

APA Sec. 142(2)(d)143(a)

APR Reg. 13.313.622.2

AU.05 RENEWAL FEE. A continuation (renewal) fee must be paid to maintain theapplication. The first continuation fee falls due five years from the international filing date (fifthanniversary fee); thereafter a continuation fee becomes due on each anniversary of theinternational filing date. Payment can be made at any time up to the due date or uponapplication for extension of time together with the payment of a fee for extension of time, withinsix months from the final date. The amounts of the continuation fees and of the fees forextension of time are indicated in Annex AU.I.

APA Sec. 47APR Reg. 3.15

3.20(5)

AU.06 REQUEST FOR EXAMINATION. The Office will grant a standard patent onlyafter examination as to patentability, the procedure for which is started only upon request. Therequest may be for full (ordinary) examination or for modified examination. Such request mustbe presented on Form P/00/005 (see Annex AU.II).

APR Reg. 3.153.16

AU.07 TIME LIMIT FOR REQUESTING EXAMINATION. Examination must berequested within five years from the international filing date or, where the Office directs theapplicant to request examination, within six months of the date of the notice of the Office to thateffect.

APR Reg. 22.2 AU.08 FEE FOR REQUESTING EXAMINATION. The request for examination is onlyeffective if a fee for requesting examination has been paid. The amount of this fee is indicatedin Annex AU.I.

APA Sec. 45(3)142(2)(e)

APR Reg. 13.4

AU.09 TIME LIMIT TO HAVE AN APPLICATION ACCEPTED. An application hasto have been accepted within 21 months from the date of the first examination report, unless anew objection based on information in search results filed in accordance with Section 45(3) istaken in an examination report issued more than 18 months from the date of the firstexamination report, in which case the application has to have been accepted within three monthsfrom the date of the report in which the new objection was taken.

- 246 -

호주 특허청

국내단계 절차

APA Sec. 89(3) APR Reg. 8.2(3)(c)

AU.01 번역문 (검증). 국제출원 번역문에 필요한 검증은 번역자의 간단한

진술서로 구성된다.

AU.02 번역문 (정정). 국제출원 번역문의 오류는 제출된 국제출원 원문을

참조하여 정정할 수 있다(본 권 총칙 제57절 및 제58절 참고).

AU.03 수수료 (납부방식). 요약과 본 장에 표시한 수수료 납부 방식은 부록

AU.I에 설명되어 있다.

APR Reg. 8.2(3)(a)

22.10 AU.04 송달주소. 출원인이 호주 국민이나 거주자 여부에 관계 없이 대리인에

의한 대행이 강제사항은 아니지만, 호주 내에 송달주소(통지서 및 기타 통신문을

위한) 가 있어야 한다. 출원인은 절차를 진행하기 위해 특허청에 해당 주소를

제출해야 한다. 출원인은 특허청에 개업허가를 받은 변리사에게 대리를 맡길 수

있으며 송달주소는 주로 등록 변리사의 주소로 한다. 등록 변리사 명단은

특허청에 신청하여 확인할 수 있다.

APA Sec. 142(2)(d) 143(a)

APR Reg. 13.3 13.6 22.2

AU.05 갱신료. 출원 유지를 위해서는 계속(갱신)수수료를 납부해야 한다. 최초

계속수수료는 국제출원일로부터 5년 이내에 납부해야 한다(5년차 연차료). 그

이후 계속수수료는 매년 국제출원일 기념일까지 납부한다. 수수료는 납기일까지

납부하거나 최종일로부터 6개월 내에 기한연장 수수료 납부와 함께 기한연장을

신청하여 납부할 수 있다. 계속수수료와 기한연장수수료 액수는 부록 AU.I에


APA Sec. 47 APR Reg. 3.15

3.20(5)

AU.06 심사청구. 특허청은 특허성에 대한 심사를 마친 후에만 표준특허를

부여하며, 심사절차는 청구가 있는 경우에만 개시한다. 청구는 전체(통상)심사나

변경심사를 대상으로 할 수 있다. 청구는 P/00/005 서식으로 제출한다(부록

AU.Ⅱ 참고).

APR Reg. 3.15 3.16

AU.07 심사청구 기한. 국제출원일로부터 5년 이내, 또는 특허청이 출원인에게

심사청구를 지시하는 경우 해당 효력에 대한 특허청의 통지일 이후 6개월

이내에 심사를 청구해야 한다.

APR Reg. 22.2 AU.08 심사청구료. 심사청구료를 납부하는 경우에만 심사청구의 효력이

인정된다. 수수료 액수는 부록 AU.I에 기재되어 있다.

APA Sec. 45(3) 142(2)(e)

APR Reg. 13.4

AU.09 출원수리 기한. 출원은 최초 심사보고일로부터 21개월 이내에 수리되어야

한다. 단, 최초 심사보고일부터 18개월 이상 지나 발행되는 심사보고서에서

제45조(3)에 따라 제출된 조사결과에 포함된 정보를 근거로 이의를 제기하는

경우에는 예외로 한다. 이 경우에는 이의를 제기한 보고일로부터 3개월 내에

출원을 수리해야 한다.

- 247 -


(10 May 2007)

APR Reg. 22.2 AU.10 FEE FOR RESPONDING TO AN EXAMINATION REPORT. Where aresponse to an examination report is filed more than 12 months after the first examination report,a response fee must be paid for each or part of each month past the twelfth up to the twenty-first,less any response fees already paid. The amount of the fee is indicated in Annex AU.1.

APR Reg. 22.2(7)(d) AU.11 ACCEPTANCE FEE. A fee is required to be paid upon acceptance of anyapplication which enters the national phase from 1 September 2002. The amount of this fee isindicated in Annex AU.I.

APA Sec. 29(1)APR Reg. 3.1(2)

AU.12 NOTICE OF ENTITLEMENT. For details, see Form P/00/008 given inAnnex AU.III. The form must be signed by the applicant or his agent. Legalization is notrequired. It must be filed prior to the acceptance of the application after examination. It doesnot have to be filed if an appropriate declaration in accordance with PCT Rule 4.17 has beenmade.

APA Sec. 8APR Reg. 3.1(3)

AU.13 PRIORITY DOCUMENT (TRANSLATION). A verified translation into English(see paragraph AU.01) of any priority document need only be furnished to the Office if theCommissioner specifically requests the applicant to do so. This will only occur when thetranslation is necessary to determine the validity of the application.

APA Sec. 45(3)APR Reg. 3.17A

AU.14 DISCLOSURE OF DOCUMENTARY SEARCH RESULTS. The applicant mustinform the Commissioner of the results of certain prescribed documentary searches which havebeen conducted for the purposes of assessing the patentability of an invention disclosed in theapplication or a corresponding application filed outside Australia. The searches comprise anysuch searches that are carried out by or on behalf of the applicant, or the applicant’s predecessorin title, prior to the grant of the patent.

PCT Art. 2841

APA Sec. 102104

APR Reg. 10.1to 10.6

AU.15 AMENDMENT OF THE APPLICATION; TIME LIMITS. The applicant maymake the following modifications to his application before the Office (subject, in the case ofvoluntary amendment, to the payment of the fee for voluntary amendments indicated inAnnex AU.I):

(i) prior to acceptance:— correction of clerical errors and obvious mistakes;— such modifications as do not result in the claiming of new matter (beyond the

disclosure of the international application as filed);

(ii) after acceptance:— correction of clerical errors and obvious mistakes;— such modifications as do not result in the claiming of new matter (beyond the

disclosure of the international application as filed) and do not broaden thescope of the claims existing before the modifications.

PCT Art. 25PCT Rule 51APA Sec. 10

216APR Reg. 1.7

8.1(2)

AU.16 REVIEW UNDER ARTICLE 25 OF THE PCT. The applicable procedure isoutlined in paragraphs 63 to 66 of the General Part of this Volume. Before any adverse decisionis made, the applicant is always afforded the opportunity of being heard (in oral proceedings).Where the applicant does not wish to be heard in oral proceedings, he may request (onForm P/00/015, see Annex AU.IV) the Commissioner of the Office to exercise his discretionarypowers (and in such a case must present arguments in writing). If, upon review under PCTArticle 25, the Office denies an error or omission on the part of the receiving Office or theInternational Bureau, an action against this decision may be made by requesting a review by theFederal Court of Australia or by seeking a prerogative writ from the Federal Court or the HighCourt of Australia. Such action should normally be taken within 28 days from the date ofreceipt of the decision.

PCT Art. 24(2)48(2)

AU.17 EXCUSE OF DELAYS IN MEETING TIME LIMITS. Reference is made toparagraphs 67 to 71 of the General Part of this Volume.

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호주 특허청

APR Reg. 22.2 AU.10 심사보고서에 대한 답변수수료. 최초 심사보고 이후 12개월이 지나

심사보고서에 대한 답변서를 제출하는 경우, 12개월 이후부터 21개월이 될

때까지 매월에 대해 기납한 답변수수료를 제한 답변수수료를 납부해야 한다.

수수료 액수는 부록 AU.I에 기재되어 있다.

APR Reg. 22.2(7)(d) AU.11 수리수수료. 2002년 9월 1일부터 국내단계를 개시하는 출원의 수리에

대해서는 수수료를 납부해야 한다. 수수료 액수는 부록 AU.I에 기재되어 있다.

APA Sec. 29(1) APR Reg. 3.1(2)

AU.12 자격 통지. 자세한 내용은 부록 AU.Ⅲ에 제공되는 P/00/008 서식을

참고한다. 해당 서식은 출원인이나 대리인의 서명이 있어야 한다. 공증은

강제사항이 아니다. 서식은 심사 후 출원을 수리하기 전에 제출해야 한다. PCT

규칙 4.17에 따라 적절한 선언서가 작성된 경우에는 서식을 제출하지 않아도

된다.

APA Sec. 8 APR Reg. 3.1(3)

AU.13 우선권서류 (번역문). 특허청장이 출원인에게 구체적으로 요구하는 경우

검증을 거친 우선권서류 영어 번역문(AU.01절 참고)을 특허청에 제출해야 한다.

이것은 출원의 타당성을 판단하는데 번역문이 필요한 경우에만 해당한다.

APA Sec. 45(3) APR Reg. 3.17A

AU.14 서류조사 결과의 공개. 출원인은 출원이나 호주 이외 지역에 제출한 해당

출원에 공개된 발명의 특허성을 평가하기 위해 실시한 특정 서류조사 결과를

특허청장에게 통보해야 한다. 조사는 특허부여 이전에 출원인이나 출원인의

전임자가 수행하거나 이들을 대신하여 실시하는 조사로 구성된다.

PCT Art. 28 41

APA Sec. 102 104

APR Reg. 10.1 to 10.6

AU.15 출원의 보정; 기한 출원인은 특허청에 제출하는 출원에 대해 아래의

변경을 가할 수 있다(자발적 보정의 경우 부록 AU.I에 기재된 자발적 보정료를

납부해야 한다) :

(i) 수리 이전:

- 사무상의 착오 및 명백한 잘못의 정정

- (제출한 국제출원의 공개 범위를 넘어) 신규 사항의 주장을 초래하지

않는 변경

(ii) 수리 이후:

- 사무상의 착오 및 명백한 잘못의 정정

- (제출한 국제출원의 공개 범위를 넘어) 신규 사항의 주장을 초래하지

않고 변경 이전에 존재하는 청구범위를 확대하지 않는 변경

PCT Art. 25 PCT Rule 51 APA Sec. 10

216 APR Reg. 1.7

8.1(2)

AU.16 PCT 제25조에 따른 검사. 해당 절차는 본 권 총칙 제63절부터 제66절에

설명되어 있다. 불리한 결정을 내리기 전에는 언제나 출원인이 의견을 제시할

기회를 제공한다(구두 절차). 출원인이 구두절차 심리를 원하지 않는 경우,

특허청장에게 재량권의 행사를 신청(P/00/015 서식. 부록 AU.Ⅳ 참고) 할 수

있다(이 경우 의견서를 제출해야 한다). PCT 제25조에 따른 검사 결과 특허청이

수리관청이나 국제사무국 측의 착오나 누락을 부인하는 경우, 호주 연방법원에

재심을 신청하거나 호주 연방법원이나 고등법원의 대권영장을 청구함으로써 본

결정에 반하는 조치를 취할 수 있다. 이러한 조치는 주로 결정의 수령일로부터

28일 이내에 취해야 한다.

PCT Art. 24(2)

48(2) AU.17 준수되지 아니한 기한의 용인. 본 권 총칙 제67절부터 제71절을

참고한다.

- 249 -


(10 May 2007)

APA Sec. 223APR Reg. 8.3(4)

22.11

AU.18 If, due to an error or omission on the part of the applicant, his agent or attorney, or dueto circumstances beyond the control of the person concerned, the applicant has failed to observea time limit which is prejudicial to his rights, or the Commissioner is satisfied that the persontook due care as required by the circumstances, to ensure the doing of the act within that time,he may request the Office to extend the time limit even though that time has already expired.The request must be presented in writing, with Form P/00/013, and establish the facts on whichthe request is based in a declaration (see Annex AU.V), and also must be accompanied by a fee(for the amount of the fee, see Annex AU.I).

PCT Rule 49ter(f)APA Sec. 2(a)

223

AU.19 RESTORATION OF THE RIGHT OF PRIORITY. A request for restoration ofthe right of priority will be treated under national law requirements, at the option of theapplicant, as an application for an extension of time on the basis of the relevant act not beingdone despite due care, not being done due to circumstances beyond the control of the personconcerned or because of an error or omission on the part of the person concerned or by his orher agent or attorney. Fees and other requirements associated with the request vary according tothe criterion against which it is made. A request for restoration should be presentedin writing, should indicate the criterion against which the request is madeand be accompanied by the relevant fee (see “Fee for extension of time limit”in Annex AU.I). Preferably it should also be accompanied by a declaration setting out thecircumstances and facts on which the request is based. Further information is available atwww.ipaustralia.gov.au/pdfs/patents/specific/ext_time.pdf.

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호주 특허청

APA Sec. 223 APR Reg. 8.3(4)

22.11

AU.18 출원인이나 출원인의 대리인, 변호사 측의 착오나 누락 또는 관련자의

통제할 수 없는 상황으로 인해, 출원인이 본인의 권리에 불리한 기한을 준수하지

못하였거나 관련자가 그 기한 내에 행위 수행을 보장하기 위해 정황상 필요한

정당한 주의를 기울였다고 특허청장이 납득하는 경우, 출원인은 이미 만료된

뒤에도 기한의 연장을 특허청에 신청할 수 있다. 신청서는 P/00/013 서식으로

제출하고, 선언서를 첨부하며(부록 AU.V 참고), 수수료를 납부해야 한다(수수료

액수는 부록 AU.I 참고).

PCT Rule 49ter(f) APA Sec. 2(a)

223

AU.19 우선권 회복. 우선권 회복 신청은 정당한 주의에도 불구하고 실행되지 않거나,

관련자의 통제할 수 없는 상황으로 인해 실행되지 않거나, 관련자나 출원인의 대리인,

변호사 측의 착오나 누락으로 인해 실행되지 않은 관련 행위를 근거로 하는 기한연장의

신청으로 출원인의 선택에 의해 국내법의 요건에 따라 적용을 받는다. 신청에 관한

수수료와 기타 요건은 신청 기준에 따라 다르다. 회복 신청은 서면으로 제출하고, 신청

기준을 표시하며, 관련 수수료를 납부해야 한다(부록 AU.I “기한연장수수료” 참고). 또한

신청의 근거가 되는 정황과 사실을 명시하는 선언서를 가급적 동봉해야 한다. 추가 정보는

www.ipaustralia.gov.au/pdfs/patents/specific/ext_time.pdf에서 확인할 수 있다.

- 251 -

AUPCT Applicant’s Guide – Volume II – National Chapter – AU Annex AU.I, page 1

(1 March 2007)

FEES

(Currency: Australian dollar)

Standard patent applications

Filing fee:(a) where filing is by electronic means approved by the Commissioner . . . . . . . . . . . . . . . . . . . . . . . . . . 290(b) where filing is by means other than (a) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 320

Request for examination fee:(a) for examination under section 45 of the Act (normal examination):

(i) if the application is a PCT application for which the Australian Patent Officehas issued an international preliminary examination report under PCT Article 35 . . . . . . . . . . . . 300

(ii) all other applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 420(b) for examination under section 48 of the Act (modified examination) . . . . . . . . . . . . . . . . . . . . . . . . . 300

Fee for filing a response to an examination report more than 12 months but within 21 monthsfrom the date of the first examination report, for each or part of a month. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100

Fee for acceptance of a patent request and complete specification:(a) for acceptance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 140(b) if more than 20 claims are contained in the specification at acceptance, for each claim

in excess of 20 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100

Continuation/renewal fees(becoming payable on each anniversary of the international filing date from the 5th onwards):

— on the 5th anniversary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 250— on the 6th anniversary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 250— on the 7th anniversary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 250— on the 8th anniversary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 250— on the 9th anniversary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 250— on the 10th anniversary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 400— on the 11th anniversary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 400— on the 12th anniversary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 400— on the 13th anniversary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 400— on the 14th anniversary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 400— on the 15th anniversary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 900— on the 16th anniversary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 900— on the 17th anniversary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 900— on the 18th anniversary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 900— on the 19th anniversary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 900

Fee for extension of time limit:(a) where there is an error or omission on the part of the person concerned or his agent or attorney—

for each or part of a month . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100(b) for circumstances beyond the control of the person concerned—application for extension

of time . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100(c) where the Commissioner is satisfied that the person concerned took due care, as required by the

circumstances, to ensure the doing of the act within that time—for each or part of a month . . . . . . . . 100(d) to pay continuation fee if the fee is not paid on or before the anniversary but is paid within

6 months of the anniversary—for each or part of a month for which the time is extended . . . . . . . . . . 100

Fee for voluntary amendments before request for examination is filed or after acceptance . . . . . . . . . . . . . . . 250

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호주 특허청

수수료

(통화: 호주 달러화)

표준특허출원

출원료:

(a) 특허청장이 승인하는 전자적 매체를 이용한 출원················································ 290

(b) (a)를 제외한 매체를 이용한 출원······································································ 320

심사청구료:

(a) 특허법 제45조에 따른 심사(정상적인 심사):

(i) 호주 특허청이 PCT 제35조에 따라 국제예비심사보고서를 발행하는

PCT 출원인 경우 ······················································································ 300

(ii) 기타 출원 ································································································· 420

(b) 특허법 제48조에 따른 심사(변경된 심사)····························································· 300

최초 심사보고일부터 12개월 이후, 21개월 이내의 월별 (심사보고서에 대한)

답변수수료 ··············································································································· 100

특허출원 및 전체 명세서 수리수수료:

(a) 수리 ············································································································· 140

(b) 수리 당시 명세서에 청구항이 20항 이상 포함되는 경우, 20항을 초과하는

청구항별 수수료······························································································ 100

계속/갱신료

(5년차 이후 국제출원일 기념일에 납부)

- 5년차 ········································································································· 250

- 6년차 ·········································································································· 250

- 7년차 ········································································································· 250

- 8년차 ········································································································· 250

- 9년차 ········································································································· 250

- 10년차 ······································································································· 400

- 11년차 ······································································································· 400

- 12년차 ······································································································· 400

- 13년차 ······································································································· 400

- 14년차 ······································································································· 400

- 15년차 ······································································································· 900

- 16년차 ······································································································· 900

- 17년차 ······································································································· 900

- 18년차 ······································································································· 900

- 19년차 ······································································································· 900

기한연장수수료:

(a) 관련자나 대리인, 변호사 측의 착오나

누락이 있는 경우, 월별 수수료 ······································································· 100

(b) 관련자의 통제할 수 없는 상황 – 기한연장신청 ················································· 100

(c) 관련자가 해당 시한 내에 이행을 보장하기 위해 정황상 필요한 정당한 주의를

기울였다고 특허청장이 납득하는 경우, 월별 수수료 ·········································· 100

(d) 기념일 이전에 수수료를 납부하지 않았으나 기념일 이후 6개월 이내에 납부하는

경우 계속수수료 납부 – 기한이 연장되는 월별 수수료 ······································ 100

심사청구서 제출 이전, 또는 수리 이후의 자발적 보정료 ··············································· 250

- 253 -

AUAnnex AU.I, page 2 PCT Applicant’s Guide – Volume II – National Chapter – AU

(1 March 2007)

The complete list of national fees for the Office is in Part 2 in Schedule 7 to the Australian PatentsRegulations.


(i) All fees must be paid to the Australian Patent Office.(ii) National fees must be paid by check, money order, bank draft, credit card, debit card or cash in Australian

dollars.

- 254 -

호주 특허청

특허청에 대한 국내수수료 전체 목록은 호주특허규정 별첨 7, 파트 2에 규정하였다.

수수료 납부방법

(i) 수수료 전액은 호주 특허청에 납부해야 한다.

(ii) 국내수수료는 수표나 우편환, 은행 어음, 신용카드, 직불 카드, 호주 달러화 현금으로


- 255 -

AUPCT Applicant’s Guide – Volume II – National Chapter – AU Annex AU.II

(12 July 2007)

Request for Examination of Patent Requestand Complete Specification

Australia Patents Act 1990 — Section 44 & 47 Regulation 3.15(2) & 3.20(5)

( ) ( )

ABN 38 113 072 755P/00/005 (05/05) – Page 1 of 1

[Subject to the provisions of the Patents Act, information provided on this form may be made publicly available, including on the Internet.]

Phone No Fax No

I

of

YourReference

Email Address

State Postcode

DateSignature

a modified examination

an examination

request the making of

an examination where an IPER has been issued by Australia

of Application No: and of the complete specification lodged in respect of that application.

(The following paragraphs are to be completed only if a MODIFIED EXAMINATION is requested)

is attached will be forwarded before acceptance

A certified copy of the specification of Patent No.1.

granted in on

(Prescribed Convention Country) (dated)

2. I request that the complete specification be amended as proposed in the attached statement.

YesNo

State Postcode

Address for correspondence

- 256 -

AUPCT Applicant’s Guide – Volume II – National Chapter – AU Annex AU.III, page 1

(12 July 2007)

Notice of Entitlement

Australia Patents Act 1990 — Section 29(1) Regulation 3.1(2)

(to be filed before acceptance)

being the applicant(s) in respect of Application No:

state the following:-

Part 1 - Must be completed for all Applicants

*is / *are the actual inventor(s)

or

*has entitlement from the actual inventor(s) (Please insert name(s))

*Part 2 - Must be completed if the Application is Associated with one or moreProvisional Applications

or

or

ABN 38 113 072 755P/00/008b (05/05) – Page 1 of 3


*I / *We

of

State Postcode

* Delete if not applicable

ACN/ARBN

*is/*are the applicant(s) of the provisional application(s) listed on the patent request form

The person(s) nominated for the grant of the patent:

*has entitlement to make a request under Section 113 in relation to the provisional application(s)listed on the patent request form (eg by assignment, by agreement, etc)


*Part 3 - Must be completed for all Convention Applications

*is/*are the applicant(s) of the basic application(s) listed on the patent request form


*has entitlement from the applicant(s) of the basic application(s) listed on the patent request form(eg by assignment, by mesne assignment, by consent, etc)

(continued over)

- 257 -

AUAnnex AU.III, page 2 PCT Applicant’s Guide – Volume II – National Chapter – AU

(12 July 2007)

or

or

or

or

P/00/008b (05/05) – Page 2 of 3

*Part 5 - Must be completed if the application is a Divisional Application

*is/*are the first application(s) made in a Convention country in respect of the invention

*The basic application(s) listed on this request form:

*was/*were not the first application(s) made in a Convention country in respect of theinvention, and a request has been made under Section 96 of the Patents Act 1990 (orSection 142AA of the Patents Act 1952) to disregard the following application(s)

*Part 4 - Must be completed for PCT Applications

*is/*are the applicant(s) of the application(s) listed in the declaration under Article 8 of the PCT


*has entitlement from the applicant(s) of the application(s) listed in the declaration under Article 8 of the PCT

*is/*are the first application(s) made in a Convention country in respect of the invention

The basic application(s) listed in the declaration made under Article 8 of the PCT

*was/*were not the first application(s) made in a Convention country in respect of theinvention, and a request has been made under Section 96 of the Patents Act 1990 (orSection 142AA of the Patents Act 1952) to disregard the following application(s)

* The Provisional application(s) listed in the declaration made under Article 8 of the PCT

*was / *were filed in Australia not more than 12 months before the filing date of this application


*is/*are the applicant(s) / patentee(s) of the original application(s) / patent(s)

*has entitlement to make a request under Section 113 of the Act in relation to the originalapplication patent (eg by assignment, by agreement, etc)

ABN 38 113 072 755

- 258 -

AUPCT Applicant’s Guide – Volume II – National Chapter – AU Annex AU.III, page 3

(12 July 2007)

( )

or

( )

DateSignature

P/00/008b (05/05) – Page 3 of 3

Part 7 - Must be completed if the applicant for a Patent of Addition is not the applicant orpatentee of the main invention.

*Part 6 - Must be completed if the application relates to a Micro-Organism and relies onSection 6 of the Act


ABN 38 113 072 755

*is/*are the depositor(s) of the deposit(s) as listed hereafter

*has entitlement from the depositor(s) of the Deposit(s) as listed hereafter

Number Deposit Institution Date

Deposit List

I

the *applicant / *patentee for *application /*patent No

authorise

to apply for a further patent for an improvement in, or modification of, the main invention.

Note: This part must be signed by the applicant/patentee of the main invention.

Date

Signature(s)

Date

(if the applicant is a Company or other legal entity, also indicate the name and standing of the authorised signatory)

Contact Phone No Fax No

(Note: This MUST be signed FOR ALL APPLICATIONS)

Your Reference

Email

For statistical purposes only. If you employ less than 20 people, pleaseprovide an estimate of the time taken to complete this form. (Optional) Hrs Mins

- 259 -

AUPCT Applicant’s Guide – Volume II – National Chapter – AU Annex AU.IV

(12 July 2007)

Request for Exercise of Commissioner'sDiscretionary Powers

Australia Patents Act 1990 — Section 216 Regulation 22.22(3)

( ) ( )

ABN 38 113 072 755P/00/015 (05/05) – Page 1 of 1


I

of

State Postcode

DateSignature

My address for service in Australia is

Email Address

State Postcode

Phone Fax No

Reference

(here state matter in respect of which powers are to be exercised)

request that the Commissioner's discretionary powers be exercised

in relation to *Application / *Patent No.

*Delete as applicable

in respect of

- 260 -

AUPCT Applicant’s Guide – Volume II – National Chapter – AU Annex AU.V, page 1

(12 July 2007)

��

��

� � � �

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�� !"�#��$�� %��$�"&��!"�#�'�'�� $�"&�&�(��&�'��!��(��#��%��'�� )��"��*

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- 261 -

AUAnnex AU.V, page 2 PCT Applicant’s Guide – Volume II – National Chapter – AU

(12 July 2007)

��

��+��#3�"��#��+�"�#��"(�.��"��"�"��3�)��"��)��#�/

��#$��%��&�� #��#��# 0�� ?��#��# (�"��#��#�+#�� #�� @��#��#3�$+#��

��'#(��+��#�� #��#��2��#��+��3��#*��+)��+��#�� +��#�A��#,��#��+��#��0��A��#,��2��/��"�0��1��=��#�2�� #��#��3��#��+�+��#*��+��"��3��#�2�� #��#��3��#��+�+��#*�� '��+��*��#�� 2�� +#� �*��##��)#�� #=��+#� ��#��#��"�*�� #��#�0��#�� #�"��6��#�2�� #��#��3��#��+�+��#*��B��"�#��+��#3��"��#��#�C+"��+#�C+��(��#��(��#��+#�(��)�#��+��#��0��&�#��2��/

�� #>��#�)� ��D��"��#�2��.�$��0�"��.��!��1��2�� #��#��3��#�

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(��)�#��4��+�� #��#�"��+��+��#��,��+��#��$��3�� #��"��#��+��#��4��+��+��(��)�#��4��+�� #��#��(��#�,�$��#��#��"��"��#��#�(��)�#��4��+��.��#�,��+��#��,��#��#�"��+"��(��)�#��/

�� #�� 2��>��#�)� ��#��$��>��#�� 1�##��#3�?��+#�/��#�"� ��*�#��+��#��3��$��#�1�##��#3

(��#��#��#��#�"�+�"�#�0�*��#��4@��2�""��3��#3��+)��#��3��/

�� 2��#�� 2��+��#��3>��#�)� ��$��#�1�##��#3��#��$��#�1�##��#3��+��#��3>��#�� *�#��+��#��3>2�� #��#��3��#��+�+��#*��2��"��#��#�

��#��3��+��#�� #��#��2�� #��#��3��#��+�+��#*��2��3�"��+��3��#*��+)��#��)��#��2��+��#3�"��#��3�)��"��+�"�#��2��$��#�1�##��#3��2��"��#��"��A��#!��#�#,��#�0��+�3�!��#�#,��+#�$��#��'��+��*��#*��#�� 2��,��#��$��#�1�##��#3,��#�� 2��,�$��#��##��#3�+��#��3$��#��$��#��E��#1��#��3�"��+��D��)��#��#��#3��"+��+��

- 262 -

AUPCT Applicant’s Guide – Volume II – National Chapter – AU Annex AU.V, page 3

(12 July 2007)

��!!��$�"��4,��$�5�&��'�"��$�� '

"��$��

��

$�� "�

0��

)*

��

��"��&��$�!�"��&�+��'��"��

��"�� ''"��$�!�"��&�+��'��"��

�� +#

)$�(��"��&�+�� '��"��$�"�� !�"!��$��!��&!�� $��-��6

�, )��

��(��"�!��"��$$�� '��'��''"��$�� !��$��

��-��.�/�0��#�2��'��+��

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)$�(��"�7��"��&�"��!��!��"��#�"�!��

4��=��"��#��+��3�)��*��"��"��#��)��#+��*�#3��#��+��#%

��"��$�!�"��&�+��'��"��

��#��,

��"��$�!�"��$�"��- �&�'��"��&�'�� 5��$�!�"��$�"��- �&�'��"��&�'��

��.��/��"��#��+��)��"��)��#��#��)��#��2��+��#3�"��#��3�)��"��+�"�#��"(�.��"��#��,��#��2��$��,�1�##��#3��#��#��+��#3�2��#��"��#��"�%

��

- 263 -

AUAnnex AU.V, page 4 PCT Applicant’s Guide – Volume II – National Chapter – AU

(12 July 2007)

��#3��/��0,,,,,

)$�(��"�7��"��&�"��!��!�� &��(��8�� $�!�!�"��"�7��"�'��'�'�� '��'�-"�� &��$�� !�"��

��

- 264 -

AUPCT Applicant’s Guide – Volume II – National Chapter – AU Annex AU.VI, page 1

(12 July 2007)

Request for Commisioner's Certification AuthorisingRelease of a Sample of a Micro-Organism

Australia Patents Act 1990 — Regulations 1.5(2) & 3.25

( ) ( )

ABN 38 113 072 755P/00/031 (05/05) – Page 1 of 2

Subject to the provisions of the Patents Act, information provided on this form may be made publicly available, including on the Internet.

I

of

State Postcode

DateSignature ofrequestee

My address for service in Australia is

Email

State Postcode

Phone Fax No

YourReference No

on

ACN / ARBN

the certification referred to in paragraph (a) of rule 11.3 of the Budapest Treaty Regulations in relation to themicro-organism referred to in the complete specification filed in respect of *patent / *application

No.

or (If the provisions of Regulation 3.25(3) apply, insert name and address of skilled addressee)

to

The micro-organism referred to was deposited with

and samples are obtainable from that authority.(Insert name of the International Depositary Authority and the identification number of the deposit given by that authority)

request the Commissioner to grant me *to me

of

State Postcode

under file, accession or registration No.

Section 133 is applicable

My reasons for making this offer are as follows:-

Indicate if the request is in respect of a granted patent and the person making the request has been granted a licenceunder section 133 or is entitled to exploit the invention under section 163. Attach a copy of the relevant agreement.

Section 163 is applicable

* Delete as appropriate

(The undertaking required by Regulation 3.25(4)(c) is on the back of this form and must be completed)

- 265 -

AUAnnex AU.VI, page 2 PCT Applicant’s Guide – Volume II – National Chapter – AU

(12 July 2007)

I

Undertaking by Requestee

only for experimental purposes or in relation to:

opposition proceedings under Chapter 5 of the Patents Act 1990, or Part V of the

Patents Act 1952, in relation to the grant of a standard patent on application No.

a notice under section 28 of the Patents Act 1990 in relation to petty patent No.

relevant proceedings in relation to patent No

I further undertake not to make the micro-organism, or culture derived from the micro-organism,available to another person.

(Only to be completed if a skilled addressee has not been nominated)

undertake to use the micro-organism referred to in Patent/Application No.

and deposited with

under file, accession or registration No. on

as defined in the Act.

DateSignature ofrequestee

I

Undertaking by Skilled Addressee

only for experimental purposes or in relation to:

opposition proceedings under Chapter 5 of the Patents Act 1990, or Part V of the

Patents Act 1952, in relation to the grant of a standard patent on application No.

a notice under section 28 of the Patents Act 1990 in relation to petty patent No.

I further undertake not to make the micro-organism, or culture derived from the micro-organism, available toanother person.

I am a person skilled in the field to which this micro-organism belongs and I do not have an interest in the invention.

Signature of skilledaddressee

undertake to use the micro-organism referred to in Patent/Application No.

and deposited with

under file, accession or registration No.

relevant proceedings in relation to patent No as defined in the Act.

Date

on

P/00/031 (05/05) – Page 2 of 2

- 266 -

8. 영 국

PCT Applicant’s Guide – National Phase – National Chapter – GB

(8 November 2007)

UNITED KINGDOM INTELLECTUAL PROPERTY OFFICE

(an operating name of the Patent Office)AS


CONTENTS



ANNEXES

Fees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Annex GB.I National processing of an international application for a patent (UK)

(Patents Form N.P.1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Annex GB.II Request for search (Patents Form 9A/77) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Annex GB.IIIRequest for a substantive examination (Patents Form 10/77) . . . . . . . . . . . . . . . . . . . . . Annex GB.IV Payment of renewal fee (and additional fee for late payment) (Patents Form 12/77) . . . . Annex GB.V Appointment or change of agent (Patents Form 51/77) . . . . . . . . . . . . . . . . . . . . . . . . . Annex GB.VI Request to make an amendment or correction (Patents Form 11/77) . . . . . . . . . . . . . . . . Annex GB.VII Request to extend a prescribed time limit (Patents Form 52/77) . . . . . . . . . . . . . . . . . . . Annex GB.VIIIPayment of an additional fee for the restoration of a patent or for a discretionary extension

of time or period (Patents Form 53/77) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Annex GB.IX Statement of inventorship and of right to grant of a patent (Patents Form 7/77) . . . . . . . . Annex GB.X


Office: United Kingdom Intellectual Property Office (an operating name of the Patent Office)

PA: Patents Act 1977 (as amended)

PR: Patents Rules 1995 (as amended)

- 268 - - 269 -


(8 November 2007)


SUMMARY

GB UNITED KINGDOM INTELLECTUAL PROPERTY OFFICE

(an operating name of the Patent Office)

GB






Under PCT Article 22: Description, claims (if amended, both as originally filed and as amended2), any text matter of drawings3

Under PCT Article 39(1): Description, claims, any text matter ofdrawings3 (if any of those parts has been amended, both as originally filed and as amended, including any amendment under PCT Article 19 and also any amendment annexed to the inter-national preliminary examination report2)

Is a copy of the international application required?

A copy is required only if the applicant expressly requests early commencement of the national phase at a time when the United Kingdom Intellectual Property Office has not been sent a copy ofthe international application from the International Bureau under PCT Article 20. The copy must then be furnished when making the request for early commencement of the national phase and may be a copy of the international application as published in accordance with the Treaty in a language other than that in which it was originally filed.

National fee: Currency: Pound sterling (GBP) National fee:1 GBP 30Search fee:4

— where a search has already been made by an International Searching Authority in accordance with the PCT: GBP 80

— in other cases: GBP 100 Substantive examination fee:5 GBP 70


______________ 1 Must be furnished or paid within the time limit applicable under PCT Article 22 or 39(1), or at the time of any earlier express

request by the applicant to proceed earlier with the national phase. 2 Where the translation of an amendment has not been furnished within the applicable time limit (see footnote 1), the amendment

will be disregarded. However, where the applicant has furnished a translation either of the amendment or of the international application as originally filed, but not both, the Office will, at the expiry of the applicable time limit, invite the applicant to supply the missing translation.

3 Where the applicant expressly requests entry into the national phase earlier than the time limit applicable under PCT Article 22or 39(1) and the international application has not been communicated to the Office by the International Bureau, the translationmust also contain the request part of the international application and the abstract.

4 Due within 33 months from the priority date. Where the applicant expressly requests early entry into the national phase, the fee is due within 12 months from the priority date, or two months from the date on which the conditions for early entry are satisfied,whichever is the later.

5 Due within 33 months from the priority date.

- 270 - - 271 -


(8 November 2007)


SUMMARY

GB UNITED KINGDOM INTELLECTUAL PROPERTY OFFICE

(an operating name of the Patent Office)[Continued]

GB

Exemptions, reductions or refunds of the national fee:

Search fee: reduced fee payable where an international search report has been established (see above). Refund of whole fee where the application does not proceed to substantive examination and no search has been made in the United Kingdom Intellectual Property Office.


Name and address of the inventor if they have not been furnished in the “Request” part of the international application6, 7

Translation of priority document into English, or declaration that the international application is a complete translation of the priority document into English8

No representation by an agent is required but an address for service in the European Economic Area or the Channel islands is necessary (see further, Address for Service, paragraph GB.04)9

Who can act as agent? Any individual, partnership or body corporate who resides in or has a place of business in the United Kingdom, the Isle of Man or an-other Member State of the European Union (EU). A list of registered patent agents may be obtained from the following address: The Registrar, c/o The Chartered Institute of Patent Agents, 95 Chancery Lane, London WC2A 1DT10.

Does the Office accept requests for restoration of the right of priority (PCT Rule 49ter.2)? Yes, the Office applies the “unintentional” criterion to such requests

______________ 6 Must be furnished within 33 months from the priority date. Where the applicant expressly requests early entry into the national

phase, the name and address of the inventor must be furnished within 16 months from the priority date, or two months from the date on which the conditions for early entry are satisfied, whichever is the later (unless already furnished in the “Request”).

7 This requirement may be satisfied if the corresponding declaration has been made in accordance with PCT Rule 4.17. 8 A translation or declaration will only be required where the validity of the priority claim is relevant to the determination of

whether the invention concerned is patentable. A period within which a translation or declaration must be filed will be specifiedby the Office.

9 If not already complied with within the time limit applicable under PCT Article 22 or 39(1), the Office will invite the applicant to comply with the requirement within a time limit fixed in the invitation.

10 E-mail: [email protected]; Internet: www.cipa.org.uk; telephone: (44-20) 74 05 94 50; facsimile: (44-20) 74 30 04 71.

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PCT Applicant’s Guide – Volume II – National Chapter – GB

(5 April 2007)


GB.01 FORM FOR ENTERING THE NATIONAL PHASE. The Office has availablea special form, Form N.P.1 (see Annex GB.II), for payment of the national fee and for providingdetails of an international application entering the national phase. Applicants are stronglyrecommended to use this form.

PR Rule 91 GB.02 TRANSLATION (CORRECTION). Errors in the translation of the internationalapplication can be corrected with reference to the text of the international application as filed(see paragraphs 57 and 58 of the General Part of this Volume). A request for correction must bemade on Patents Form 11/77 (see Annex GB.VII) together with the payment of a correction fee(see Annex GB.I).

GB.03 FEES (MANNER OF PAYMENT). The manner of payment of the fees indicated inthe Summary and in this Chapter is outlined in Annex GB.I.

PR Rules 3090

GB.04 ADDRESS FOR SERVICE. An applicant, whether or not he is a national of or aresident in the United Kingdom, is not required to be represented by an agent, but he is requiredto have an address for service (of notices and other communications) in the European EconomicArea (the European Union, Norway, Iceland and Liechtenstein) or in the Channel islands for thepurpose of his application. Every person (including the applicant for, or proprietor of, a patent),concerned in any contested proceedings to which the Patents Rules 1995 relate, must furnish theOffice with an address for service in the United Kingdom. If an agent is appointed to representthe applicant for the entry into the national phase, a written authorization is not required, thoughthe agent must be prepared to prove his authority to act if called upon to do so by the Office. Ifan agent is appointed after the national phase has begun or one agent is substituted for another,written authorization should be filed (in duplicate) on Patents Form 51/77 (see Annex GB.VI).

PA Sec. 13(2)PR Rule 85(7)(a)

85(7A)(a)

GB.05 DESIGNATION OF THE INVENTOR. Any statement of the name of the inventorunder the Treaty is treated as a statement filed under the national law. Otherwise details shouldbe given on Patents Form 7/77 (see Annex GB.X). Legalization is not required. For time limits,see the Summary.

PA Sec. 15A17(1)

PR Rules 85(7)(a)85(7A)(b)102

GB.06 PRELIMINARY EXAMINATION AND REQUEST FOR SEARCH.Preliminary examination (as to formal requirements) will be performed shortly after payment ofthe national fee upon entry into the national phase. Search must be requested on PatentsForm 9A/77 (see Annex GB.III) together with the payment of the fee for search indicated inAnnex GB.I within the time limits stated in the Summary. Where an international search reporthas been established, a reduced search fee is payable (see the Summary). For the request forsubstantive examination, see paragraph GB.08.

PA Sec. 6989A(6)89B(3)

PR Rule 85(6)

GB.07 REQUEST FOR PUBLICATION OF TRANSLATION. If the internationalapplication has not been published by the International Bureau in English, the Englishtranslation furnished by the applicant will be published by the Office ex officio. However, if theapplicant wants to secure the rights conferred by that publication (see Volume I/A,Annex B1(GB), “Provisional protection after international publication”), he must file a requestin writing for publication of the translation or complete Part 6 of Form N.P.1. and pay thepublication fee (see Annex GB.I). That request can be filed at any time after the start of thenational phase. However, it is advisable to request publication when entering the nationalphase.

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(5 April 2007)

PA Sec. 18(1)PR Rule 85(7)(b),

85(7A)(c)

GB.08 REQUEST FOR SUBSTANTIVE EXAMINATION. A patent will be grantedonly after examination as to patentability, which must be requested by the applicant. Therequest for substantive examination must be made on Patents Form 10/77 (see Annex GB.IV).The Office’s combined search and examination procedure for applications on which PatentsForms 9A/77 and 10/77 are filed together does not apply to applications entering the nationalphase where an international search report has been established. The time limits for requestingsubstantive examination and the required fee are as stated in the Summary.

PR Rules 110(1)113(3)

GB.09 TRANSLATION OF REFERENCES CITED IN THE INTERNATIONALSEARCH REPORT OR INTERNATIONAL PRELIMINARY EXAMINATIONREPORT. Upon the express demand of the Office, addressed to the applicant, the latter has tofurnish to the extent specified in the demand and within two months of the demand a translationinto English of any document or part thereof referred to in the international search report orcited in the statement contained in the international preliminary examination report. There is noform for the furnishing of the translation. This time limit of two months may be extended by theOffice if it thinks fit; a request for an extension should be made in writing (there is no form forthis purpose) and may be made even where the two-month time limit has already expired.

PCT Art. 2841

GB.10 AMENDMENT OF THE APPLICATION; TIME LIMITS. The applicant maymake of his own volition the following amendments, provided that no new matter is introducedin the disclosure of the invention:

PR Rule 36(2)36(3)

(i) before the dispatch of the first report of the examiner during substantiveexamination: amendments to the description, claims and drawings (the consent of the Officewill be necessary if no search report has been sent to the applicant);

PR Rule 36(4)

(ii) after the dispatch of the first report referred to in (i), above:(a) amendments to the description, the claims and the drawings only once; such

amendments must be made either at the same time as any amendments made so as to complywith the examiner’s report or within two months of the dispatch of the said report when it doesnot require any amendment;

PR Rule 36(6) (b) any further amendment to the description, the claims and the drawings may bemade only with the consent of the Office; in this case, a request must be made on PatentsForm 11/77 (see Annex GB.VII) and an amendment fee (see Annex GB.I) must be paid at thesame time.Amendments should be effected by filing replacement pages in duplicate.

PA Sec. 14(10)117117(A)

PR Rule 9

GB.11 CORRECTION OF ERRORS. The applicant may request the correction of an errorof translation or transcription or a clerical error or mistake in the application or any documentfiled in connection therewith at any time. The request must be made on Patents Form 11/77 (seeAnnex GB.VII) together with the payment of a correction fee (see Annex GB.I). Erroneouswithdrawals may be corrected in this way but the reinstated application will be subject to thirdparty terms for any period between the withdrawal being advertised and the notice of request forcorrection being published.

PA Sec. 2021

PR Rules 34110

GB.12 PERIOD FOR PUTTING THE APPLICATION IN ORDER. An application willbe treated as having been refused unless it complies with all requirements of the Patents Actsand Rules within four years and six months from the priority date or one year from the date ofthe first substantive examination report (whichever is later), with the possibility of two months’extension as of right or a longer extension at the discretion of the Office (see paragraph GB.16).If a third party files observations relevant to patentability near to the end of that period, it is, ifnecessary, extended so as to expire three months from the date of dispatch of the firstsubstantive examination report based on those observations.

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(5 April 2007)

PA Sec. 25(3)25(4)

PR Rule 39, 39A,39B, 39C

GB.13 RENEWAL FEES. After a patent has been granted, a fee must be paid formaintaining the patent in force, starting with the fifth year counted from the international filingdate. Payment must be made each year during the period of three full calendar months whichends on the last day of the month in which the filing date falls. Payment can still be made,together with a surcharge, during a further period of six full months. Where a patent is grantedin the last three months of the fourth year, or later, the renewal fee may be paid withoutsurcharge by the end of the third calendar month after the date of grant or, with a surcharge,within six months from the end of these three months. The amounts of the renewal fees and ofthe surcharge are indicated in Annex GB.I. Form 12/77 must be filed (see Annex GB.V) (seealso paragraph GB.20.)

PCT Art. 25PCT Rule 51PA Sec. 89(3)

89(5)97(1)

PR Rule 85(8)85(12)

GB.14 REVIEW UNDER ARTICLE 25 OF THE PCT. The applicable procedure isoutlined in paragraphs 63 to 66 of the General Part of this Volume. (The Patents Act alsoincludes a similar procedure for which application may be made at any time by writing to theOffice with a statement of the facts relied on and paying any fee indicated in Annex GB.I.)If, upon review under PCT Article 25, the Office denied an error or omission on the part of thereceiving Office or the International Bureau, the applicant may ask for a hearing, if he wishes tocontest the Office’s view; if the hearing (which the applicant is not obliged to attend in person)maintains the Office’s view, a reasoned written decision will be issued. An appeal may belodged against such a decision in the Patents Court within 28 days from the decision; it must beaccompanied by the related fee indicated in Annex GB.I. An application to extend the 28 daytime limit must be made direct to the Court.

PCT Art. 24(2)48(2)

GB.15 EXCUSE OF DELAYS IN MEETING TIME LIMITS. Reference is made toparagraphs 67 to 71 of the General Part of this Volume.

PR Rule 110(3)110(4)110(6)

GB.16 EXTENSION OF TIME LIMITS. As from 1 January 2005 the time limits for filingForms N.P.1 (entry into the national phase and payment of the national fee), 9A/77 (request forsearch), 10/77 (request for substantive examination) and, where necessary, Form 7/77 (statementof inventorship) may be extended as of right by two months on request and subject to thepayment of a fee (see Annex GB.I). The request for such an extension may be filed even whenthe time limit has expired but must be filed before the end of the extension sought and must bepresented on Patents Form 52/77 (see Annex GB.VIII). Further extensions of two months arepossible but only at the discretion of the Office and on filing of Patents Form 52/77 and feebefore the end of the extension sought and, if the request is allowed, Patents Form 53/77 (seeAnnex GB.IX) and fee (see Annex GB.I) and any evidence required. If an application isterminated owing to a time period not being met then reinstatement may be available (seeparagraph GB.19 below).

PR Rule 110(1) GB.17 The other time limits specifically referred to in the Summary may be extended onrequest if the Office thinks fit and upon such terms as it may direct. There is no special form forsuch a request.

PA Sec. 117BPR Rule 110A

GB.18 Time limits set by the Office (rather than by the Act or Rules) during the nationalphase may be extended as of right by two months. A request for extension must be made inwriting and within two months of the expiry of the relevant period. There is no special form forthe request.

PA Sec. 20A20B

PR Rule 30A

GB.19 REINSTATEMENT OF AN APPLICATION. An application that has beenterminated because a requirement was not met within a prescribed period may be reinstated ifthe comptroller is satisfied that there was always a continuing intention to meet the requirementwithin the period. Reinstatement only applies when no extension of the period is available andmay only be requested up to the earlier of two months after the cause of non-compliance isremoved or 12 months after the relevant period expired. Third party terms will apply if notice ofthe termination is published before reinstatement is requested.

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(5 April 2007)

PA Sec. 2828A

PR Rule 41

GB.20 RESTORATION OF A LAPSED PATENT. If a patent ceases through non-payment of renewal fees, then restoration may be requested. For patents ceasing on or after1 January 2005 the proprietor must show that there was always a continuing intention to pay therenewal fee. For patents ceasing before that date the proprietor must show that he tookreasonable care to ensure that the fee was paid. Third party terms will apply to the periodbetween expiry of the patent and the publication of the request for restoration.

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GB

PCT Applicant’s Guide – Volume II – National Chapter – GB Annex GB.I, page 1

(21 May 2007)

FEES

(Currency: Pound sterling)

Patents Form No. Item Amount

N.P.1 National fee for processing of an international application for a patent (UK) . . . . . . 30

9A/77 On request for search (PA Section 17(1))— for an international application which has been searched in the international

phase . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80— for any other application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100

On request for a further search (PA Section 17(6)) or payment for a supplementarysearch (PA Section 17(8)) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100

10/77 On request for substantive examination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70

12/77 On payment of renewal fee:1

— for the 5th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50— for the 6th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70— for the 7th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90— for the 8th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110— for the 9th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 130— for the 10th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 150— for the 11th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 170— for the 12th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 190— for the 13th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 210— for the 14th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 230— for the 15th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 250— for the 16th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 270— for the 17th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 300— for the 18th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 330— for the 19th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 360— for the 20th year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 400

On extension of the period for payment of a renewal fee:— not exceeding one month . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . —— for each succeeding month (but not exceeding six months) . . . . . . . . . . . . . . 24

11/77 On request to amend application before grant . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40On request for the correction of an error or mistake . . . . . . . . . . . . . . . . . . . . . . . . 40

— On request for publication of translation under PR Rule 85(b) . . . . . . . . . . . . . . . . 12

— On application to the Comptroller for an international application to be treatedas an application under the Act (PCT Article 25; PA Section 89(3) and 89(5)) . . . . —

52/77 On request for extension of time or period under PR Rule 110(3) . . . . . . . . . . . . . . 135On request for extension of time or period under PR Rule 110(4) . . . . . . . . . . . . . . 135

53/77 Additional fee for extension of time or period under PR Rule 110(6) . . . . . . . . . . . 135

— On appeal (see paragraph GB.14) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100

— Fee for restoration of the right of priority . . . . . . . . . . . . . . . . . . . . . . . . . . . 150

1 Only half of the renewal fee is payable if an entry is made in the register to the effect that licences under the patent are to beavailable as of right.

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GB

Annex GB.I, page 2 PCT Applicant’s Guide – Volume II – National Chapter – GB

(21 May 2007)


The payment of fees must be effected in pounds sterling. All payments must be made together with the filingof the form related to the fee to be paid, and indicate the application number (national, if already known;international, if the national application number is not yet known), the name of the applicant and the type of the feebeing paid.

Fees may be paid by any of the following means: by certain types of credit/debit card; by cheque drawn on aUK clearing bank; by debit to a client deposit account held by the Office; by direct bank-to-bank transfer toBarclays Bank Plc., 121 Queen Street, Cardiff, CF10 2XU (Sort Code 20-18-15; SWIFT Code BARCGB22;IBAN GB31 BARC 2018 1580 5317 66, for the credit of the United Kingdom Intellectual Property Officeaccount 80531766; in cash at the Office. Fees paid by a cheque expressed in pounds sterling are regarded as beingpaid on the day of receipt of the cheque in the Office. Where cheques expressed in other currencies are received,there will be a delay while realisation into pounds sterling takes place (also, owing to currency fluctuations, anunderpayment could result); it is therefore recommended that pound sterling cheques only should be paid. Chequesshould be made payable to “UK Intellectual Property Office.” Fees paid by bank-to-bank transfer are regarded asbeing received at the date on which the bank credits the money to the United Kingdom Intellectual Property Officeaccount 80531766; however, bank-to-bank transfers are likely to incur bank charges which may result inunderpayment of fees. These must be met by the applicant and therefore should be covered in the applicant’sinstruction to the bank. The application/renewal documents relating to the payment of fees should be supported by aFee Sheet or equivalent form listing individual fees. A reference (e.g., patent or deposit account number) should bequoted to link payment with any forms sent separately; this is essential when a bank-to-bank transfer is made.

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GB

PCT Applicant’s Guide – Volume II – National Chapter – GB Annex GB.II, page 1

(5 April 2007)

Patents Form NP1

Patents Act 1977(Rule 85)

Patents Form NP1

NP1

(REV FEB 07) UK Intellectual Property Offi ce is an operating name of the Patent Offi ce

1. Your reference

2. International phase details

3. UK Patent application number (The offi ce will fi ll in this part)

4. Full name, address and postcode of the or of each applicant (underline all surnames)

Patents ADP number (if you know it)

If the applicant is a corporate body, give the country/state of its incorporation

5. Name of your agent (if you have one) “Address for service” in the European Economic Area to which all correspondence should be sent (including the postcode)

Patents ADP number (if you know it) 6. Are you requesting publication of translation under rule 85(6)? (Answer “Yes” if this applies, and see note g) 7. a) Do you wish to enter the national phase early (ie. before 31 months from the priority date)? (Answer “Yes” if this applies) b) If so, has the demand been fi led and on what date?

National processing of an international application for a patent (UK)(See the notes on the back of this form)

International International Earliest priorityapplication number filing date date (day/month/year) (day/month/year)

Concept House

Cardiff Road

Newport

South Wales

NP10 8QQ

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GB

Annex GB.II, page 2 PCT Applicant’s Guide – Volume II – National Chapter – GB

(5 April 2007)

8. State which of the following documents you are fi ling with this (Answer by writing (a) – (j) as appropriate)

(a) Request for search(Patents Form 9A/77; Rules 28A(1), 85(7) and 85(7A(b))

(b) Request for substantive examination (Patents Form 10/77; Rules 33(1), 33(2),

85(7) and 85 (7A)(c))

(c) Statement of inventorship (Patents Form 7/77); Rules 15, 85(7) and 85(7A)(a))

(d) Request for late declaration of priority (Patents Form 3/77; Rules 6, 6A and 85(3A))

(e) Translation of international application (Section 89A(3); Rules 85(5) and 85 (5A))

(f) Translation of information relating to deposit of a micro-organism (Rule 85(2)) (g) Copy of application under the Patent Cooperation Treaty (Section 89A(3)(b)(i)) (h) Copy of amendment under the Patent Cooperation Treaty(Section 89A(5)(b)(i)) (i) Translation of amendment under the Patent Cooperation Treaty (Section 89A(5); Rules 85(5) and 85(5A)) (j) Any other documents (please specify) 9. Signature Date

10. Name, email address, telephone, fax and / or mobile number, if any, of a contact point for the applicant

Notes

a) If you need help to fi ll in this form or you have any questions, please contact the offi ce on 08459 500505.

b) You may use this form if you want the offi ce to begin the national phase of an international application. The national phase cannot begin until you have paid the fee for national processing (see note (g) below) and fi led any necessary documents mentioned at (d), (e) and (f), at part 8 above.

c) Do not use this form if you want the international application to be treated as an application under the Act, in accordance with section 89(3) or (5), when it, or the designation of the United Kingdom in it, has been deemed withdrawn, or when it has been refused a fi ling date under the Treaty. In these circumstances you should apply in writing to the offi ce within 2 months of the notifi cation mentioned in PCT Rule 51. You should include a statement of the facts on which you rely (rules 85(8) and 85(12)) together with the fee which is payable. Within the same period of 2 months you should ask the International Bureau to send copies of the documents on fi le to the offi ce (PCT Article 25.1).

d) Write your answers in capital letters using black ink or you may type them.

e) If there is not enough space for all the relevant details on any part of this form, please continue on a separate sheet of paper and write “see continuation sheet” in the relevant part(s) of the form. Any continuation sheet should be attached to this form and have “NP1 continuation sheet” and the international fi ling number as a heading.

f) Once you have fi lled in the form remember to sign and date it.

g) A fee is payable upon entering the national phase. For details of that fee, and fees due in respect of requests made under part 6 and parts 8(a) and (b) above, and ways to pay, please contact the offi ce.

Patents Form NP1(REV FEB 07)

Patents Form NP1

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GB

PCT Applicant’s Guide – Volume II – National Chapter – GB Annex GB.III, page 1

(5 April 2007)

1. Your reference:

2. Patent application number: (If you know it)

3. Full name of the applicant or of each applicant:

4. Is this request for:

a) A search under Section 17(1) for an international application which has

been searched in the international phase? (See note f)

b) A search under Section 17(1) for any other application?

c) A supplementary search under Section 17(8)?

d) A search of a further invention

under Section 17(6)? (Answer this question by writing (a), (b), (c) or (d)) If your answer is (d), identify the invention to be searched by referring to the claims (See note (c)).

5. Do you want extra copies of any documents cited in the search report? YES NO (see note (d))

If YES state how many and remember to pay the extra fee.

6. Are you paying the application fee with this form? (See note (e)) YES NO

7. Signature Date

8. Name, e-mail address, telephone, fax and / or mobile number, if any, of a contact point for the applicant

Patents Form 9A/77

Patents Act 1977

(Rule 28A, 32)

Patents Form 9A/77

Request for search(See the notes on the back of this form)

9A/77

(REV APR06)

Concept House

Cardiff Road

Newport

South Wales

NP10 8QQ

UK Intellectual Property Offi ce is an operating name of the Patent Offi ce

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GB

Annex GB.III, page 2 PCT Applicant’s Guide – Volume II – National Chapter – GB

(5 April 2007)

Notes

a) If you need help to fill in this form or you have any questions, please contact the office on 08459 500505.

b) Write your answers in capital letters using black ink or you may type them.

c) If you do not identify an invention, the second invention specified in the search report previously made under Section 17(5) will be searched.

d) The Public administration section of UK Copyright legislation allows the office to send you one copy of any documents cited in the search report or during the substantive examination process. You may order extra sets of documents by paying an additional administrative fee for each extra set, this fee will not be refunded if no documents are cited. All copies of citations supplied by the office must be used for the sole purpose of processing the patent application.

e) Before your application is searched you must pay an application fee. If you have not already paid this fee you can do so when filing this form. The application fee is in addition to the fee required with this form. For details of the fees and ways to pay them, please contact the office.

f) For details of the fee payable with this form when requesting a search for an application that has already been searched in the international phase please contact the office.

g) Once you have filled in this form remember to sign and date it.

Patents Form 9A/77

Patents Form 9A/77(REV APR06)

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GB

PCT Applicant’s Guide – Volume II – National Chapter – GB Annex GB.IV, page 1

(5 April 2007)

1. Your reference

2. Patent application number (if you know it)

3. Full name of the or of each applicant

4. (see note (c)) I/We request substantive examination of this application.

Signature Date


Patents Form 10/77

Patents Act 1977

(Rule 33)

Patents Form 10/77

Request for a substantive examination(See the notes on the back of this form)

10/77

(REV APR06)

Concept House

Cardiff Road

Newport

South Wales

NP10 8QQ


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GB

Annex GB.IV, page 2 PCT Applicant’s Guide – Volume II – National Chapter – GB

(5 April 2007)

Notes



c) If you are filing this form with a Patents Form 9A/77 for the same application and you do not want the search and substantive examination to be done at the same time, you should indicate this by writing “Not combined search and examination” on the front of this form in the space below part 5.

d) Once you have filled in the form remember to sign and date it

e) For details of the fee and ways to pay, please contact the office.

Patents Form 10/77

Patents Form 10/77(REV APR06

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GB

PCT Applicant’s Guide – Volume II – National Chapter – GB Annex GB.V, page 1

(5 April 2007)

1. Your reference

2. Patent number

3. Which year are you paying for? (In terms of the life of the patent e.g. 6th)

4. Amount of renewal fee Amount of late payment fee Total amount paid 5. Name, address and postcode of the person paying the fee


6. If next year you want the reminder that renewal is

overdue sent to an address other than the address

for service registered with the office, you should

enter details of this other address here and sign and

date it. Otherwise you should leave this space blank. (Permanent changes of the address for service should be

notified by a separate letter.)

Signature Date


Patents Form 12/77

Patents Act 1977(Rules 39 and 41)

Patents Form 12/77

Payment of renewal fee(and additional fee for late payment)(See the notes on the back of this form)

12/77

(REV APR06)

Concept House

Cardiff Road

Newport

South Wales

NP10 8QQ


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GB

Annex GB.V, page 2 PCT Applicant’s Guide – Volume II – National Chapter – GB

(5 April 2007)

Notes



c) If you have filled in part 6 of the form remember to sign and date it.

d) For details of fees and ways to pay, please contact the office on 08459 500505.

Patents Form 12/77

Patents Form 12/77(REV APR06)

- 293 -

GB

PCT Applicant’s Guide – Volume II – National Chapter – GB Annex GB.VI, page 1

(5 April 2007)

1. Your reference

2. Patent application or patent number(s) (see note (d))

3. Full name, address and postcode of the or of each person who you are authorised to act for


4. “Address for service” in the European Economic Area to which all correspondence should be sent


5. Have you been authorised to act in all matters relating to the above application(s) or patent(s)?

If ‘no’ please give details of the extent of your appointment

6. I/We declare that I/we have been appointed by the person(s) named in part 3 above to act as agent as stated in part 5 above

Signature Date


Patents Form 51/77

Patents Act 1977

(Rule 90)

Patents Form 51/77

Appointment or change of agent(See the notes on the back of this form)

51/77

(REV APR06)

Concept House

Cardiff Road

Newport

South Wales

NP10 8QQ


- 294 -

GB

Annex GB.VI, page 2 PCT Applicant’s Guide – Volume II – National Chapter – GB

(5 April 2007)

Notes



c) This form is for use only where, a person who is already involved in proceedings before the Comptroller, appoints an agent for the first time or appoints a new agent in place of another.

d) The form may be used for more than one application or patent if the same authorisation has been given. In this situation, if there is not enough room for all the details at part 2 write “see attached list” and give the details on a separate sheet of paper.

e) This form must be completed by the newly appointed agent. Where the agent replaces another, two copies of the form should be filed. The office will send one copy to the original agent.

f) Once you have filled in the form remember to sign and date it.

Patents Form 51/77


- 295 -

GB

PCT Applicant’s Guide – Volume II – National Chapter – GB Annex GB.VII, page 1

(5 April 2007)

1. Your reference

2. Patent application or patent number

3. Full name of the or of each patent applicant or proprietor

4. What kind of amendment or correction listed at note (d) do you want to make? (Answer by writing (i), (ii), (iii) or (iv))

5. What is the amendment or correction you want to make? (continue on a separate

sheet of paper if necessary)

(see notes (e) & (f))

6. If you have requested an amendment by answering (i) or (ii) in part 4 above, what is the reason for the request? (continue on a separate sheet of paper if necessary)

(see note (f))

7. Name of your agent (if you have one)

“Address for service” in the European Economic Area to which all correspondence should be sent (including the postcode)


8. Signature Date


Patents Form 11/77

Patents Act 1977

(Rules 35, 36, 40, 47 & 91)

Patents Form 11/77

Request to make an amendment or correction(See the notes on the back of this form)

11/77

(REV APR06)

Concept House

Cardiff Road

Newport

South Wales

NP10 8QQ


- 296 -

GB

Annex GB.VII, page 2 PCT Applicant’s Guide – Volume II – National Chapter – GB

(5 April 2007)

Notes

a) If you need help to fill in this form or you have any questions, please contact the office on 08459 500505


c) If only the name or address of an applicant or proprietor has changed use Patents Form 20/77 instead.

d) You can use this form to ask for: i) Amendment of an application before a patent is granted (rules 35 & 36 apply); ii) Amendment of a specification after a patent is granted (rule 40 applies); iii) Correction of an error in the Register or any connected document (rule 47 applies); or iv) Correction of any other error or mistake (rule 91 applies). If you are asking for amendment or correction under more than one of the different categories (i) to (iv), you should

use a separate form for each category.

e) If any applicant or proprietor that is added or changed by the amendment or correction is a corporate body, give the country and, if appropriate, the state of incorporation of that body.

f) If there is not enough space for all the relevant details on any part of this form, please use a separate sheet of paper and write “see continuation sheet” in the relevant part(s). Any continuation sheet should be attached to this form.

g) Once you have filled in the form remember to sign and date it.

h) For details of fees and ways to pay, please contact the office.

i) If you are requesting an amendment after a patent is granted, you should (if reasonably possible) also deliver the proposed amendment and the reasons for it to the Comptroller electronically. For details, please see the office’s website at www.ipo.gov.uk or contact the office, Litigation Section on 01633 814376.

Patents Form 11/77


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GB

PCT Applicant’s Guide – Volume II – National Chapter – GB Annex GB.VIII, page 1

(5 April 2007)

Patents Form 52/77

Patents Act 1977

(Rules 110(3) and 110(4))

Patents Form 52/77

Request to extend aprescribed time limit(See the notes on the back of this form)

52/77

1. Your reference:

2. Patent application or patent number:

3. Full name of the applicant or of each patent applicant or proprietor:

Patents ADP number: (if you know it)

4. Is the request being made under:

(i) rule 110(3) (for an extension of two months) or

(ii) rule 110(4) (for further extension or an

extension of more than two months)?

5. Which form, fee, document or information are you filing late?

6. Signature Date


(REV APR06)

Concept House

Cardiff Road

Newport

South Wales

NP10 8QQ


- 298 -

GB

Annex GB.VIII, page 2 PCT Applicant’s Guide – Volume II – National Chapter – GB

(5 April 2007)

Notes

a) This Form is used either:

(i) to request a two month extension (where no such request has been made previously) to a time period prescribed by the rules listed in part 3 of Schedule 4A of the Patents Rules, or; (ii) to request the comptroller to otherwise extend (or further extend) a time period prescribed by the rules listed in part 3 of Schedule 4A of the Patents Rules.

Where the request is made under (ii) above you must send a witness statement, a statutory declaration or an affidavit verifying the grounds for the request either with this form or as soon as possible afterwards (unless the Patent Office otherwise directs).

b) If the time period you wish to extend appears in part 4 of Schedule 4A of the Patents Rules you may request an extension of two months to these periods under the provisions of (i) above (rule 110(3)). Further extensions for these time periods are available under rule 110(4) however you should contact the office for advice on when these extensions are available.

c) Information on the rules listed in Schedule 4A of the Patents Rules and copies of the schedule itself can be obtained from the office.

d) If you need help to fill in this form or you have any questions, please contact the office on 08459 500505.

e) Write your answers in capital letters using black ink or you may type them.

f) Once you have filled in this form remember to sign and date it.

g) For details of the fee and ways to pay, please contact the office.

Patents Form 52/77


- 299 -

GB

PCT Applicant’s Guide – Volume II – National Chapter – GB Annex GB.IX, page 1

(5 April 2007)

1. Your reference

2. Patent application or patent number

3. Full name of the or of each patent applicant or proprietor

4. Does the fee relate to:

a) a restoration under section 28; or

b) an extension of time under Rule 110(6)?

(Write (a) or (b))

5. Signature Date


Patents Form 53/77

Patents Act 1977

(Rules 41 and 110 (6))

Patents Form 53/77

Payment of an additional fee for the restoration of a patent or for a discretionary extension of time or period(See the notes on the back of this form)

53/77

(REV APR06)

Concept House

Cardiff Road

Newport

South Wales

NP10 8QQ


- 300 -

GB

Annex GB.IX, page 2 PCT Applicant’s Guide – Volume II – National Chapter – GB

(5 April 2007)

Notes



c) If your answer in part 4 is “(a)”, you must also complete and attach the required Patents Form(s) 12/77 and pay the outstanding renewal fee(s).

d) Once you have filled in the form remember to sign and date it.

e) For details of the fee and ways to pay, please contact the office.

Patents Form 53/77


- 301 -

GB

PCT Applicant’s Guide – Volume II – National Chapter – GB Annex GB.X, page 1

(5 April 2007)

1. Your reference

2. Patent application number (if you know it)

3. Full name of the or of each applicant

4. Title of the invention

5. State how the applicant(s) derived the right from the inventor(s) to be granted a patent

6. How many, if any, additional Patents Forms 7/77 are attached to this form? (see note (c))

7. I/We believe that the person(s) named over the page (and on

any extra copies of this form) is/are the inventor(s) of the invention which the above patent application relates to.

Signature Date


Notes



c) If there are more than three inventors, please write the names and addresses of the other inventors on the back of another Patents Form 7/77 and attach it to this form.

d) When an application does not declare any priority, or declares priority from an earlier UK application, you must provide enough copies of this form so that the office can send one to each inventor who is not an applicant.

e) Once you have filled in the form remember to sign and date it.

Patents Form 7/77

Patents Act 1977

(Rule 15)

Patents Form 7/77

Statement of inventorship and ofright to grant of a patent

7/77

(REV APR06)

Concept House

Cardiff Road

Newport

South Wales

NP10 8QQ


- 302 -

GB

Annex GB.X, page 2 PCT Applicant’s Guide – Volume II – National Chapter – GB

(5 April 2007)

Enter the full names, addresses and postcodes of the inventors in the boxes and underline the surnames

Reminder

Have you signed the form?

Patents Form 7/77

Patents Form 7/77

Patents ADP number (if you know it):



(REV APR06)

- 303 -

9. 인 도

PCT Applicant’s Guide – Volume II – National Chapter – IN

(31 May 2007)

PATENT OFFICE (INDIA)AS


CONTENTS

THE ENTRY INTO THE NATIONAL PHASE—SUMMARY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Included

THE PROCEDURE IN THE NATIONAL PHASE . . . . . . . . . . . . . . . . . . . . . . . . . Information not yet available

PCT Applicant’s Guide – National Phase – National Chapter – IN

(31 May 2007)


SUMMARY

IN PATENT OFFICE (INDIA) INSummary of requirements for entry into the national phase





Under PCT Article 22: Description, claims (if amended, both as originally filed and as amended, together with any statement under PCT Article 19), any text matter of drawings, abstract Under PCT Article 39(1): Description, claims, any text matter ofdrawings, abstract (if any of those parts has been amended, both as originally filed and as amended by the annexes to the international preliminary examination report)

Is a copy of the international application required?

A copy is required only if the applicant has not received Form PCT/IB/308 and the Patent Office has not received a copy of the international application from the International Bureau under PCT Article 20.

National fee: Currency: Indian rupee (INR) Filing fee:1

— Up to 30 sheets and 10 claims: INR 4,000 (1,000)2

— For each additional priority: Multiple of INR 4,000 (1,000)2

— For each additional sheet: INR 400 (100)2

— For each additional claim: INR 800 (200)2

Exemptions, reductions or refunds of the national fee: None


______________ 1 Must be furnished or paid within the time limit applicable under PCT Article 22 or 39(1), or at the time of any earlier express

request by the applicant to proceed earlier with the national phase. 2 The amount in parentheses is applicable in case of filing by an individual.

PCT Applicant’s Guide – National Phase – National Chapter – IN

(31 May 2007)


SUMMARY

IN PATENT OFFICE (INDIA) [Continued]

IN

Special requirements of the Office (PCT Rule 51bis):3

Name and address of the inventor if they have not been furnished in the “Request” part of the international application4

Instrument of assignment or transfer where the applicant is not the inventor4

Document evidencing a change of name of the applicant if the change occurred after the international filing date and has not been reflected in a notification from the International Bureau (Form PCT/IB/306)Declaration of inventorship by the applicant4

Statement regarding corresponding applications in other countries Power of attorney if an agent is appointed Address for service in India (but no representation by an agent is required)Verification of translation International application or translation to be furnished in three copies

Who can act as agent? Any patent agent registered to practice before the Office


______________ 3 If not already complied with within the time limit applicable under PCT Article 22 or 39(1), the Office will invite the applicant to

comply with the requirement within a time limit fixed in the invitation. 4 This requirement may be satisfied if the corresponding declaration has been made in accordance with PCT Rule 4.17.

10. 멕시코

PCT Applicant’s Guide – Volume II – National Chapter – MX

(31 May 2007)

MEXICAN INSTITUTE OF INDUSTRIALPROPERTY

(INSTITUTO MEXICANO DE LA PROPIEDAD INDUSTRIAL)AS


TABLE OF CONTENTS



ANNEXES

Fees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Annex MX.IPower of attorney . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Annex MX.II


Office: Mexican Institute of Industrial Property

MPL: Mexican Patent Provisions under the Industrial Property Law

MPR: Mexican Patent Rules under the Industrial Property Regulations


(31 May 2007)


SUMMARY

MX MEXICAN INSTITUTE OF INDUSTRIALPROPERTY

MX




Translation of international applicationrequired into:1 Spanish


Under PCT Article 22: Description, claims (if amended, asamended only, together with any statement under Article 19), anytext matter of drawings, abstractUnder PCT Article 39(1): Description, claims, any text matter ofdrawings, abstract (if any of those parts has been amended, only asamended by the annexes to the international preliminary exam-ination report)


National fee:2 Currency: Mexican peso (MXP)For patent:

Filing fee: MXP 6,4993

MXP 4,3364

For utility model:Filing fee: MXP 1,8853

MXP 1,2574


Applicants which are inventors, small- or medium-sized enterprises,public or private institutions of higher education or public sectorscientific or technological institutions may pay 50% of theapplicable fees in accordance with Title II of the Industrial PropertyLaw as well as 50% of those related to technical information.


_____________1 Where the filing fee has been paid and a copy of the international application has been provided to the Office within the time limit

applicable under PCT Article 22 or 39(1), the translation may be filed within two months from the expiration of that time limit.2 Must be paid within the time limit applicable under PCT Article 22 or 39(1). The national fees include the applicable taxes

prescribed in the national law.3 Payable where the national phase is entered under PCT Article 22. This fee includes a 25% reduction based on the establishment

of an international search report.4 Payable where the national phase is entered under PCT Article 39(1). This fee includes a 50% reduction based on the

establishment of an international preliminary examination report.


(31 May 2007)


SUMMARY

MX MEXICAN INSTITUTE OF INDUSTRIALPROPERTY

[Continued]

MX


Document evidencing the entitlement to apply for a patent6

Instrument of assignment where the applicants in the national phaseand international phase are not identicalAppointment of an agent if the applicant is not resident in Mexico

Who can act as agent? Any resident or national of Mexico



comply with the requirement within a time limit fixed in the invitation.6 This requirement may be satisfied if the corresponding declaration has been made in accordance with PCT Rule 4.17.


f

(a), (b)76.5

Office.

(1 January 2004)


MX.01 TRANSLATION (CORRECTION). Errors in the translation of the internationalapplication can be corrected with reference to the text of the international application as filed(see paragraphs 57 and 58 of the General Part of this Volume).

MPL Art. 179MPR Art. 5(VII)¶3

MX.02 TRANSLATION (LATE FURNISHING OF). If the translation of the internationalapplication has not been furnished by the applicant within the time limit applicable under PCTArticle 22 or 39(1) but the national fee indicated in the Summary has been paid and a copy othe international application has been furnished within that time limit, the translation can still befurnished within a further period of two months, although the Office will not issue an invitation.

MX.03 FEES (MANNER OF PAYMENT). The manner of payment of the fees indicated inthe Summary and in this Chapter is outlined in Annex MX.I.

MPL Art. 181 (I or II) MX.04 POWER OF ATTORNEY. If the applicant is not resident in Mexico, an agent mustbe appointed by filing a simple power of attorney signed in the presence of two witnesses, eachof whom must sign that power and indicate his address. In addition, but only in the case of anapplicant which is a legal entity, the power must state that the person signing on behalf of thatlegal entity has authority to do so and must cite the relevant document supporting suchstatement. A model power of attorney is given in Annex MX.II.

MPL Art. 62MPR Art. 9(II)

MX.05 INSTRUMENT OF ASSIGNMENT. Where the applicant in the national phase isnot identical to the applicant in the international phase, he will be invited to furnish a certifiedcopy or an originally signed version of the document(s) containing the assignment of the rightsto the application.

MPL Art. 5053-55bis

MPR Art 42-45

MX.06 EXAMINATION. The Office examines patent applications as to substance. Norequest is necessary and no special fee is required.

PCT Art. 2841

MPL Art. 55bis

MX.07 AMENDMENT OF THE APPLICATION; TIME LIMITS. The applicant mayamend or correct the description, claims or drawings at any time during the patent procedurebefore the notice of allowance, provided that the scope of the subject matter of the application isnot broadened thereby.

MPL Art. 58 MX.08 EXCUSE OF DELAYS IN MEETING TIME LIMITS. The Office does notexcuse the failure to comply with a time limit, either during the international phase or during thenational phase, unless otherwise specified in this Chapter.

PCT Art. 25PCT Rule 51

MX.09 REVIEW UNDER ARTICLE 25 OF THE PCT. The applicable procedure isoutlined in paragraphs 63 to 66 of the General Part of this Volume. If, upon review under PCTArticle 25, the Office denies an error or omission on the part of the receiving Office or theInternational Bureau, an appeal against this decision may be lodged with the Office.

PCT Art. 4(3)43

PCT Rule 49bis.1

MPL Art. 27-30

MX.10 UTILITY MODELS. If the applicant wishes to obtain a utility model instead of apatent in Mexico on the basis of an international application, for international applications filedbefore 1 January 2004, this must have been indicated in the international application (inBox No. V of the request) when filed; for international applications filed on or after 1 January2004, since the request form no longer provides for the furnishing of such an indication, theapplicant, when performing the acts referred to in Article 22 or 39, shall so indicate to the


(1 January 2004)

MPL Art. 49MPR Art. 41

MX.11 CONVERSION. An international application for a patent may be converted into autility model application, and vice versa, within three months after the applicant has performedthe acts for entering the national phase indicated in the Summary, or within three months fromthe date on which the Office has required him to make the conversion, as long as the applicationhas not become abandoned. The applicant should submit proof of payment of the applicable feetogether with the request for conversion or upon compliance with the requirements forconversion.

MPL Art. 200-202 MX.12 APPEALS. The applicant may request reconsideration of a decision to refuse togrant a patent or utility model by submitting to the Office, in writing, within 30 days from thedate of the notification of refusal, a request for reconsideration accompanied by any relevantdocumentation. A decision by the Office denying reconsideration will be communicated to theapplicant in writing and published in the Gazette of the Office.

MX

PCT Applicant’s Guide – Volume II – National Chapter – MX Annex MX.I

(15 June 2006)

FEES1

(Currency: Mexican peso)

Patents

Filing fee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6,499.002

4,336.003

Priority claim fee, per priority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 948.00

Utility models

Filing fee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1,885.002

1,257.003

Priority claim fee, per priority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 948.00


The payment of fees must be effected in Mexican pesos. All payments must indicate the application number(national, if already known; international, if the national application number is not yet known), the name of theapplicant and the category of fee being paid. All fees must be paid to the Office through a person who has anaddress in the national territory. The applicant must attach the payment receipt to his application.

1 The Office or the agent should be consulted for the applicable schedule of fees.2 Payable where the national phase is entered under PCT Article 22.3 Payable where the national phase is entered under PCT Article 39(1).

MX

PCT Applicant’s Guide – Volume II – National Chapter – MX Annex MX.II

(July 1997)

PODER

Por medio de la presente se confiere al (los) Sr. (Sres.)1

poder cumplido y bastante para que en mi (el) nombre y representación realice el trámite de presentación de unasolicitud internacional relativa a la invención denominada2

ante el Instituto Mexicano de la Propiedad Industrial, de conformidad con la Ley de la Propiedad Industrial.

(En el caso de personas morales) El poderdante que suscribe la presente cuenta con las facultades legales paraotorgar dicho poder, de acuerdo con (instrumento en el conste dichas facultades)

Lugar Fecha

Poderdante3 Apoderado(firma) (firma)

Testigo Testigo

Nombre y firma Nombre y firma

Domicilio Domicilio

1 Nombre del mandatario o apoderado.2 Título de la invención.3 Nombre y dirección completo de la persona que ha nombrado al mandatario. En el caso de poderdante, en nombre de persona moral

deberá indicar la denominación de la empresa y la dirección de la misma.

2008. 7 - 특허청

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