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©2009 Foley & Lardner LLP • Attorney Advertising • Prior results do not guarantee a similar outcome • 321 N. Clark Street, Suite 2800, Chicago, IL 60654 • 312.832.4500

The Patent Prosecution Highway:A Key to Further Developing the

International Patent System专利申请“高速公路”

国际专利申请系统进一步发展的关键因素

Jon W. Dudas, Partner 杜达知合伙人FOLEY & LARDNER LLP 美国富理达律师事务所Washington, D.C. 华盛顿特区办公室

©2008 Foley & Lardner LLP©2009 Foley & Lardner LLP

The IP5The IP5The IP5 Countries receive the most number of invention patent filings.– United States 425,966– Japan 408,674– China 210,501 – Korea 166,189 – European Patent Office 135,231

That represents more than 75% of all patent filings in the world.2008 WIPO World Patent Report (2006 numbers)

知识产权5强受理绝大部分的发明专利申请– 美国 425,966– 日本 408,674– 中国 210,501 – 韩国 166,189 – 欧洲专利局 135,231

该5强占据了世界上75％的专利申请份额2008年世界知识产权组织世界专利报告（2006年的数据）

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The Largest Patent Nations Have Largest Economies in the World专利申请最多的国家也是世界上最大的经济体

The Five Largest Offices are in regions with largest Gross Domestic Product:

– European Union 18.39 trillion (1)– US 14.26 trillion (2)– Japan 4.92 trillion (3)– China 4.40 trillion (4)– Korea .95 trillion (15)

That is 70% of World GDPInternational Monetary Fund (2008 numbers)

5强在各自地区都是最大的经济体:

– 美国 14.26 万亿 (2)– 欧盟 18.39 万亿 (1)– 日本 4.92万亿 (3)– 中国 4.40万亿 (4)– 韩国 .95 万亿 (15)

5强的全部GDP占据世界GDP的70%国际货币基金组织 (2008 年数据)


The IP 5The IP 5 知识产权知识产权55强强

More than a quarter of a million patent applications are filed in one or more of the five largest offices in the world.– The United States Patent & Trademark Office– The Japan Patent Office– The State Intellectual Property Office of China– The Korean Intellectual Property Office– The European Patent Office

超过25万件专利申请在世界5大知识产权局中的一个或多个提出申请– 美国专利商标局– 日本专利局– 中国国家知识产权局– 韩国知识产权局– 欧洲专利局

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IP5IP5 知识产权知识产权55强强The IP5 regions have the greatest number of patents in force in the world.

– United States applicants 1.8 million– European Countries (app.) 1.6 million– Japanese applicant 1.2 million– Korea .46 million– China .18 million

That represents 86% of patents in force.

2008 WIPO World Patent Report (2006 numbers)

知识产权5强有效专利为世界之最.

– 美国申请人 180万– 欧洲各国申请人 160万– 日本申请人 120万– 韩国 46万– 中国 18万

知识产权5强的有效专利占据世界有效专利的 86%.2008 年世界知识产权组织专利报告 (2006年数据)


Growth of China and KoreaGrowth of China and Korea中国和韩国的快速增长中国和韩国的快速增长The two fastest growing large patent offices in the world are inChina (SIPO) and Korea (KIPO). Average annual growth in patent filings from 2000-2006:– China 26.3 %– Korea 8.5 %

2008 WIPO World Patent Report (2006 numbers)世界上两个增长最快的国家是：中国（SIPO）和和韩国(KIPO). 2000年至2006年专利申请的平均年增长率：

– 中国 26.3 %– 韩国 8.5 %

2008 年世界知识产权组织专利报告 (2006年数据)

[email protected]

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Goal: Patent Goal: Patent WorksharingWorksharing目标：专利工作的分享目标：专利工作的分享

By 2004, the USPTO Administration and other major offices saw the imperative long range goal of “patent worksharing”

在2004的时候，美国专利商标局和世界上其它主要专利局预见到“专利工作的分享”是未来世界专利工作的必然发展目标


Goal: Patent Goal: Patent WorksharingWorksharing目标：专利工作分享目标：专利工作分享

With the explosion of national filings in China, Korea and elsewhere, it is an imperative that each examiner have the opportunity to utilize the work of other examiners to the fullest extent possible in a family of parallel patent applications.

随着中国，韩国以及其它国家专利申请的爆炸式增长，每个审查员有机会在审查同族专利申请的时候最大程度利用其它审查员的审查工作将是必然趋势。

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IP 5 Kahala SummitIP 5 Kahala Summit知识产权知识产权55强卡哈拉峰会强卡哈拉峰会

The world faced the challenge of opening the patent worksharing environment to include the largest Pacific Rim nations without disrupting the traditional “trilateral”leadership including Europe.How should China and Korea, the fastest growing offices be integrated into a new leadership structure?

世界面临这样的挑战，即将专利工作分享环境敞开以包括最大的亚太地区的国家而同时不破坏包括欧洲在内的传统的“三边”领导关系的挑战。

中国和韩国是专利申请增长最快的的国家，这两个国家的专利管理部门如何融入新的领导框架？



The initial goal was to create a parallel relationship that would focus upon the Pacific Rim leading countries without disrupting the traditional trilateral arrangement.An initial “pre-summit” was planned to run consecutively with a trilateral summit.

本次峰会的初步目标是建立起能聚焦亚太地区的领导国家但又不破坏传统的三边框架的平行关系。

计划是三边峰会后紧接着召开预备峰会。

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The Kahala Pre-Summit was held in May 2007 consecutively with a Trilateral Summit.For the first time ever, the largest Five Offices in the world met to discuss the administration of Patent Offices.– Initial goal was to meet and establish a framework of collaboration.– Agreement was reached to work together on administration and

technical issues.– “Political” IP issues were excluded from the IP5.

在2007年5月紧接着三边峰会之后举行了卡哈拉预备峰会。这是世界5大专利局领导首次聚首磋商专利局的管理。– 初步目标是达成并建立专利合作框架。– 达成了就管理和技术问题共同协作的共识。– 知识产权的政治议题被排除在知识产权5强峰会之外。



The Kahala Pre-Summit was recognized by the State of Hawaii as a critical diplomatic gathering.The United States provided no publicity about the Kahala Pre-Summit to ensure that it developed without the concern of broader intellectual property political issues.

夏威夷州政府认为卡哈拉峰会预备会议是一次重要的外交聚会

美国并没有公开报道卡哈拉峰会预备会议以确保本次峰会不受宽泛的知识产权政治议题的影响。

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IP5 The Jeju SummitIP5 The Jeju Summit知识产权知识产权55强济州岛峰会强济州岛峰会

Within seventeen months, agreement was reached among the five largest patent granting authorities of the world –the four largest on the Pacific Rim – to move forward with a formalized IP5.It is an essential feature of the IP5 that Europe through the European Patent Office is always to be considered a vital and integral member of the IP5.

在17个月内，世界上5个专利授权量最大的国家，其中有4个位于亚太地区，达成了推进知识产权5强合作的共识。

知识产权5强的一个重要特征是欧洲以欧洲专利局的形式将作为知识产权5强中关键和必不可少的成员。

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On October 27-28, 2008, the Jeju Summit was successfully concluded on Jeju Island in Korea.

2008年10月27日至28日，知识产权5强在韩国济州岛成功举行峰会。

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The IP5 Offices jointly adopted a Vision The IP5 Offices jointly adopted a Vision Statement for:Statement for:

““The elimination of unnecessary duplication of The elimination of unnecessary duplication of work among the offices, enhancement of patent work among the offices, enhancement of patent examination efficiency and quality, and examination efficiency and quality, and guarantee of the stability of patent right.guarantee of the stability of patent right.””

知识产权知识产权55强联合发布了济州岛峰会声明：强联合发布了济州岛峰会声明：

““在各个专利局之间消除不必要的重复审查工作，提高在各个专利局之间消除不必要的重复审查工作，提高专利审查效率和质量以及授予专利权的稳定性专利审查效率和质量以及授予专利权的稳定性””



The offices agreed to 10 Foundation Projects. – These projects were devised to harmonize the

search and examination and to standardize the information-sharing process.

Each office will oversee the implementation of two Foundation Projects.

各专利局达成10项基础合作项目– 这些项目的目的在于协调专利的检索和审查以及标准化信息共享程序.

每个专利局将负责2项基础合作项目的实施。

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The offices agreed that by, at the latest, the end of April 2009, they would exchange detailed proposals on each Foundation Project.– Identify the areas of agreement– Identify specific details of implementation

各专利局同意最迟至2009年4月底，就每个合作项目交换具体合作方案。– 确定合作的范围– 确定具体的实施细节


IP5 Actual IP5 Actual WorksharingWorksharing知识产权知识产权55强实际的工作分享机制强实际的工作分享机制

The IP5 also agreed to support actual worksharing to build confidences and understanding of each patent office’s approach and methods.Actual worksharing will feed information into the Foundation Projects.Actual worksharing benefits innovators.

知识产权5强同意支持实际工作分享以就各专利局的专利审查步骤和方法建立互信和相互谅解。

实际工作分享将为基础合作项目提供信息。

实际工作分享有利于发明人

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Patent Prosecution Highway专利申请“高速公路”

A list of the 10 Foundation Projects is included at the end of this presentation. The IP5 are working diligently on these projects.A specific and existing program of successful work sharing is the Patent Prosecution Highway

10项共同合作项目清单已附在本课件的后面。知识产权5强正在加紧实施这些项目。

目前具体的成功的工作分享项目是“专利申请高速公路”


Patent Prosecution HighwayPatent Prosecution Highway专利申请专利申请““高速公路高速公路””

The Patent Prosecution Highway has been the integral step toward patent worksharing among the major patent offices of the world.But, concurrently, we must build bridges to include the other major Pacific Rim nations in multinational patent worksharing.

专利申请“高速公路”已成为世界主要专利局迈向专利工作分享机制的关键一步。

但是，我们同时必须建立起包括亚太主要国家在内的多国专利工作分享的桥梁。

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The Patent Prosecution Highway, has been an excellent example of successful worksharing.– Greater efficiency– Quicker examination– Enhanced quality

The Patent offices that participate gain more efficient and faster prosecution.

专利申请“高速公路”已成为专利工作分享的成功实施例。– 效率更高– 审查更快– 授权质量更高

参与专利申请“高速公路”的专利局提高了专利审查效率和缩短了专利审查周期。


Patent Prosecution HighwayPatent Prosecution Highway——The US and its PPH The US and its PPH PartnersPartners --专利申请专利申请““高速公路高速公路””－美国与其合作伙伴－美国与其合作伙伴

The PPH programs in the United States have grown to include:– Australia– Canada– Denmark– European Patent Office – Germany– Korea – Singapore– United Kingdom

美国专利申请“高速公路”项目的合作伙伴包括：– 澳大利亚– 加拿大– 丹麦– 欧洲专利局– 德国– 韩国– 新加坡– 英国

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IP Australia澳大利亚专利局

Japan日本

Canada加拿大

United States美国

Denmark丹麦

Singapore新加坡

UK IPO英国知识产权局

Korea韩国

Germany德国

Finland芬兰

EPO欧专局

PPH—Participating Countries

参与专利申请“高速公路”的国家


IP5 and the Patent Prosecution Highway知识产权5强与专利申请“高速公路”

Of the IP5, the European Patent Office (EPO), Korea, Japan and the United States are all participating.

– Korea, Japan and the US have each have mutual permanent programs.

– The EPO has a pilot with the United States

在知识产权5强中已有4强参与了该项目，分别是：欧洲专利局，韩国，日本，和美国。

– 韩国，日本和美国之间有相互长期合作项目。

– 欧专局和美国开展试点业务

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China and the Patent Prosecution Highway中国与专利申请“高速公路”

China has not yet entered a PPH. In May 2009, China participated as an observer in the PPH discussions.As one of the largest Patent Offices in the world, and the fastest growing, China would play an integral role in the success of PPH worksharing.

中国目前还没有参加专利申请“高速公路”项目。2009年5月，中国以观察员的身份参加了专利申请“高速公路”的讨论。

作为世界上专利受理最多的专利局之一以及专利申请增长最快的国家，中国对于专利申请“高速公路”的工作分享的成败起到关键的作用。



The most statistics come from the PPH initiated by the Japan Patent Office as a pilot with the USPTO. By 2009, nearly 800 applications came from Japan to the US.– July 2006-January 2008 pilot—274 cases– Calendar year 2008 full program--580 cases

大部分的统计数据来源于日本专利局和美国专利商标局开展的试点专利申请“高速公路”项目。截至2009年，将近有800件专利申请从日本进入美国。– 2006年7月至2008年1月－274件专利申请– 2008年全年，580件专利申请

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JapanJapan--US PPH ResultsUS PPH Results日本－美国专利申请日本－美国专利申请““高速公路高速公路””合作结果合作结果

PPH between Japan and the US has made patent decisions much quicker. The time to first action decreases dramatically:

Regular cases PPH casesJapan 26 months 2-3 months

US 26.2 months 3 months

美国和日本之间的专利申请“高速公路”合作使得做出有关专利授权决定更加快捷。发出第一审查意见通知书的时间显著降低：

通常申请通过专利申请“高速公路”的申请

日本 26个月 2-3个月

美国 26.2个月 3个月



PPH between Japan and the US has led to much higher allowance rates:

Regular cases PPH cases

US 44.2 % 94 %

Japan 49 % 65 %

日本与美国专利申请日本与美国专利申请““高速公路高速公路””合作使的专利授权率更高合作使的专利授权率更高:

通常申请通过专利申请高速公路的申请

美国 44.2 % 94 %

日本 49 % 65 %

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PPH from Japan to the US has led to a quicker, more compact prosecution. The average number of actions per disposal is reduced by 40%:– 2.9 average actions in a regular case– 1.7 average actions in the PPH

从日本到美国的专利申请高速公路使得专利申请更加便捷和紧凑。每个申请所发的审查意见通知书降低40％:– 在普通的专利申请中，每个申请平均会发2.9次审查通知书

– 通过专利申请“高速公路”每个申请平均会发1.7次审查通知书


What the PPH is Not专利申请“高速公路”并不是下列项目或系统

It is not a system of mutual recognition. A full search and examination is required.It is not related to the USPTO Accelerated Examination Program—e.g. there is not a requirement to submit additional materials like a pre-examination search and examination support document.– The same requirements regarding duty of candor and good faith that

apply in regular applications also apply in cases filed under the PPH programs.

专利申请“高速公路”并不是相互承认审查的系统。各自独立的检索和审查仍是必要的。

这也不类似于在美国专利商标局的加速审查项目－例如并不要求提交额外的材料如审查前的检索报告和审查支持文件.– 在普通申请中的坦白以及善良注意义务的要求同样适用于通过专利申请“高

速公路”提出的专利申请.

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IP5 Foundation ProjectsIP5 Foundation Projects知识产权知识产权55强合作项目强合作项目

Common documentation database (EPO): Assemble a common set of relevant patent and nonAssemble a common set of relevant patent and non--patent literature from around the world to assist patent literature from around the world to assist patent examiners in their prior art searches patent examiners in their prior art searches

文件数据库的共享 (欧专局):收集世界范围内一系列有关专利和非专利文献以帮助审查收集世界范围内一系列有关专利和非专利文献以帮助审查员对于现有技术的检索。员对于现有技术的检索。



Common approach for a hybrid classification (EPO):Enable joint and efficient updating of Enable joint and efficient updating of patent classification and facilitate patent classification and facilitate reuse of work among the patent reuse of work among the patent officesoffices共同采用混合分类的方法 (欧专局):共同及有效更新专利分类号并且促进重复共同及有效更新专利分类号并且促进重复使用各专利局的审查工作使用各专利局的审查工作

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Common application format (JPO):

Facilitate the filing procedure of each office by Facilitate the filing procedure of each office by using a common application format and an using a common application format and an electronic or digitized patent application filing electronic or digitized patent application filing (in XML) and subsequent processing and (in XML) and subsequent processing and publication in XML publication in XML

共同的专利申请格式（日本专利局）:

采用共同的申请格式和电子或数字专利申请（以电子采用共同的申请格式和电子或数字专利申请（以电子

表格形式）和采用电子表格形式进行随后的专利审查表格形式）和采用电子表格形式进行随后的专利审查和专利文献的公开，方便各个专利局的专利申请程序。和专利文献的公开，方便各个专利局的专利申请程序。



Common access to search & examination results (JPO):Enable examiners to find oneEnable examiners to find one--stop references in the dossier stop references in the dossier information of other offices, such as search and examination information of other offices, such as search and examination results, and conduct priority document exchange (PDX) to results, and conduct priority document exchange (PDX) to reduce costs of ordering copies of priority documents for reduce costs of ordering copies of priority documents for applicants and administrative costs of electronic processing applicants and administrative costs of electronic processing for officesfor offices..

共享检索和审查结论（日本专利局）:使审查员能在其它专利局一站式的找到文件夹信息中的参考文件，例使审查员能在其它专利局一站式的找到文件夹信息中的参考文件，例如检索和审查结论，并且进行优先权文件的交换为申请人节省提供优如检索和审查结论，并且进行优先权文件的交换为申请人节省提供优先权文件副本的成本并且降低各专利局电子申请程序中的管理成本。先权文件副本的成本并且降低各专利局电子申请程序中的管理成本。

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Common training policy (KIPO):Standardize the training of patent Standardize the training of patent examiners at each office, helping examiners examiners at each office, helping examiners to produce equivalent results of search and to produce equivalent results of search and examination at the five offices examination at the five offices

共同培训政策 (韩国知识产权局):对于各个局的审查员培训标准化，帮助对于各个局的审查员培训标准化，帮助55大局的大局的审查员能产生相同的检索和审查结果审查员能产生相同的检索和审查结果



Mutual machine translation (KIPO):

Help offices overcome the language barrier of Help offices overcome the language barrier of patent information and allow greater access to each patent information and allow greater access to each other's patent informationother's patent information

建立共同的自动翻译系统 (韩国知识产权局):

帮助各个专利局克服对于专利信息语言上的障碍使得各个帮助各个专利局克服对于专利信息语言上的障碍使得各个专利局的审查员能更好地接触到其它局的相关专利信息专利局的审查员能更好地接触到其它局的相关专利信息

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Common rules for examination practice & quality control (SIPO):Execute patent examinations at a similar standard Execute patent examinations at a similar standard and quality through common rules of examination and quality through common rules of examination practice and quality controlpractice and quality control

对于审查实践和审查质量控制建立起共同的规则 (中国国家知识产权局):通过建立关于审查实践和审查质量控制共同的规则，以相通过建立关于审查实践和审查质量控制共同的规则，以相似的标准和质量实施专利审查似的标准和质量实施专利审查



Common statistical parameter system for examination (SIPO):Establish a system of common statistical parameters Establish a system of common statistical parameters for all examinations at the five offices; and conduct for all examinations at the five offices; and conduct statistical tasks and exchange information on statistical tasks and exchange information on examination practices under common rules and examination practices under common rules and parameters, building on work of the Trilateral parameters, building on work of the Trilateral statistical working groupstatistical working group对于审查建立起共同的统计参数系统 (中国国家知识产权局):对于对于55大局的所有专利审查建立共同统计参数系统；根据共同大局的所有专利审查建立共同统计参数系统；根据共同的规则和参数，基于三方统计工作组的工作，执行统计任务的规则和参数，基于三方统计工作组的工作，执行统计任务和交换统计信息和交换统计信息

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Common approach to sharing & documenting search strategies (USPTO):Promote rePromote re--utilization by enabling patent utilization by enabling patent examiners of each office to understand each other's examiners of each office to understand each other's search strategysearch strategy

采用相同的方法分享检索战略和检索战略归档 (美国专利商标局):通过使每个专利局的审查员彼此理解不同专利局的检索策通过使每个专利局的审查员彼此理解不同专利局的检索策略促进重复使用略促进重复使用



Common search & examination support tools (USPTO):

Establish system of common search and Establish system of common search and examination tools to facilitate workexamination tools to facilitate work--sharingsharing

共同的审查和检索工具（美国专利商标局）:

建立共同的检索和审查工具系统促进专利工作分建立共同的检索和审查工具系统促进专利工作分享享

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Thank YouJon Dudas, PartnerFormer Under Secretaryof Intellectual Propertyand Director of USPTOFoley & Lardner LLPWashington Harbour3000 K Street NWSuite 600Washington, DC Phone: (202) 945-6107 Email: [email protected]

杜达知合伙人前美国专利商标局局长美国富理达律师事务所华盛顿特区办公室电话： (202) 945-6107 电邮：[email protected]

the patent prosecution highway: a key to further ... · pdf file©2009 foley & lardner...

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