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1 Procedures to File a Request to the Korean Intellectual Property Office for Patent Prosecution Highway Pilot Program between the Korean Intellectual Property Office and the National Board of Patents and Registration of Finland I. Purpose of this document This document aims to publicize the requirements and necessary documents for requesting participation in the Patent Prosecution Highway (PPH) pilot program between the Korean Intellectual Property Office (KIPO) and the National Board of Patents and Registration of Finland (NBPR) at the KIPO in order that an applicant is able to easily file a request for preferential examination under the PPH pilot program. When an applicant files a request for preferential examination under the PPH pilot program to KIPO based on examination results by the NBPR, the PPH request should meet the requirements described in the below paragraph III. II. Trial Period for the PPH Pilot Program The PPH pilot program will commence on January 4, 2010, for a period of one years ending on January 3, The offices will evaluate the results of the pilot program to determine whether and how the program should be fully implemented after the trial period. III. Requirements of the PPH 1. Basic Requirements for Requesting Preferential Examination under the PPH Pilot Program at the KIPO There are five requirements for requesting preferential examination under the PPH pilot program at KIPO. An applicant must fulfill all five requirements listed below: 1/20

2 1.1 The KIPO (including a PCT national s) is either: (1) a national which validly claims priority under the Paris Convention from either a single national NBPR or multiple national NBPR s(examples are provided in Annex I, Figure A, B, C), or (2) a PCT national phase where the PCT international has validly claimed priority from either a single NBPR national or multiple national NBPR s(examples are provided in Annex I, Figure D, E), or (3) a PCT national phase where the PCT has no priority claim (example is provided in Annex I, Figure F), or (4) a national that validly claims priority under the Paris Convention from either a single PCT with no priority claim or multiple PCT s with no priority claims (example is provided in Annex I, Figure G), or (5) a PCT national phase where the PCT validly claims priority from a PCT which has no priority claims(examples are provided in Annex I, Figure H, I), or (6) a divisional of an as referred to in any of (1) to (5) (examples are provided in Annex I, Figure J). Refer to Annex I for illustrated examples of the above s. [Note] It is noted that the is NOT eligible for the PPH pilot program in case where the examination was conducted in the EPO (not in NBPR) and the patent right was validated in NBPR as a designated state. 1.2 The corresponding (s) in the NBPR has one or more claim(s) determined to be patentable/allowable by the NBPR The patentable/allowable claims of the NBPR are the claims which are explicitly identified as patentable/allowable in the granted patent publication, or in the NBPR examiner s notification specifying the NBPR s intention to grant. The headings for such 2/20

3 notifications will be Communication of Approval ( Hyväksyvä välipäätös ). Corresponding in the NBPR whose claims are determined to be patentable/allowable does not have to be the for which priority is claimed in the KIPO (the basic ). The NBPR can be an explicitly derived from the basic, e.g., a divisional of the basic, a converted of the basic or an which claims domestic priority to the basic (Refer to Example C and J in Annex I). [Note] Where the NBPR that contains the patentable/allowable claims is not the same for which priority is claimed in the KIPO, applicant must identify the relationship between the NBPR that contains the patentable/allowable claims and the NBPR priority claimed in the KIPO. 1.3 All claims in the KIPO must sufficiently correspond to one or more of those claims determined to be patentable/allowable in the NBPR. All the claims in the KIPO for which a request in the PPH program is made must sufficiently correspond or be amended to sufficiently correspond to one or more of patentable/allowable claims in the NBPR (s). Claims are considered to sufficiently correspond where the claims in the KIPO are the same or substantially same as the claims in the NBPR, or have additions or further limitations of specific features resulting that the claims in the KIPO fall within the scope of the claims in the NBPR. A claim in the KIPO which introduces a new/different category of claims to those claims indicated as allowable in the NBPR is NOT considered to sufficiently correspond. For example, the NBPR claims only contain claims to a process of manufacturing a product, then the claims in the KIPO are not considered to sufficiently correspond if the KIPO claims introduce product claims that are dependent on the corresponding process claims. It is not necessary to include all claims determined to be patentable/allowable in the 3/20

4 NBPR in an in the KIPO (the deletion of claims is allowable). For example, in the case where an in the NBPR contains 5 claims determined to be patentable/allowable, the corresponding in the KIPO may contain only 3 of these 5 claims. Refer to Annex II for the cases which are considered to sufficiently correspond and the cases which are not considered to sufficiently correspond. 1.4 Whether examination of the KIPO has begun or not, it is possible to participate in the PPH program It is possible to participate in the PPH not only when examination has not begun, but also when examination has already begun. 1.5 A Request for examination must have been filed by the applicant in order to request the preferential examination under the PPH. The request for preferential examination under the PPH must also be accompanied by, or preceded by a request for examination. 2. Document Necessary to File a Request for Preferential Examination under the PPH Pilot Program at the KIPO. Applicant must submit a Request Form for Preferential Examination and The Explanation of Circumstances Concerning Preferential Examination under the PPH. The documents 2.1 to 2.4 below must be submitted by attaching them to The Explanation of Circumstances Concerning Preferential Examination under the PPH. Please refer to the ANNEX III for The Explanation of Circumstances Concerning Preferential Examination under the PPH. 2.1 A Copy and translation of all claims determined to be patentable/allowable by the NBPR The copy of the claims determined to be patentable/allowable by the NBPR might be 4/20

5 either: - a copy of the document submitted at initial filing which includes claims determined to be patentable/allowable where no later amendments to the claims have been made, or - a copy of the amendments which includes claims determined to be patentable/allowable where later amendments to the claims have been made, or - a copy of the NBPR s publication of the granted patent. Korean or English is acceptable as a translation language. When an applicant submits the translation of the claims, the machine translations will be admissible. However, it is noted that the machine translation should be basically limited to officially recognized machine translation by NBPR. If it is impossible for the examiner to understand the translated claims due to insufficient translation, the examiner may request the applicant to submit (or resubmit) translations. It is noted that the request for PPH should not be rejected because the machine translation is not enough to understand the translation. It is not needed to submit the documents of the copy and translation of the claims when those documents are available via electronic dossier system 1. It is possible for the applicant not to submit the documents by explaining that the documents are available via electronic dossier system in the request form. The translation of the claims has to be submitted by the applicant in cases where the translation of the claims is not provided via electronic dossier system. An applicant may submit the professional translation of the claims in order to let examiner easily understand it according to applicant s discretion. 2.2 Copies and translation of all office actions in the NBPR Office action means documents, which relate to substantive examination and which were sent to an applicant from the NBPR examiner. The office actions include all issued Office Action, Search Report, Communication of Approval. Korean or English is acceptable as a translation language. The descriptions in the requirement 2.1 above regarding the occasions where the applicant will not have to 1 The electronic dossier system of the NBPR will be available on spring 2010, when the exact internet address will be delivered to KIPO. 5/20

6 submit copies and translations, and regarding machine translation are also applied to this requirement Documents cited by the NBPR examiner The documents to be submitted are those cited in the office action of reasons for refusal in the NBPR. Documents which are only referred to as references and consequently do not consist of the reasons for refusal do not have to be submitted. If the cited document is a patent document, applicant does not have to submit it because it is usually available to the KIPO. However, if the cited document is non-patent literature, applicants will have to submit it. [Note] In the case where the KIPO examiner has difficulty in obtaining the document, it will ask the applicant to submit it. In every case, translations of the cited documents are not required. 2.4 Claim correspondence table An applicant must submit a claim correspondence table to explain the correspondence of claims determined to be patentable/allowable in the NBPR and all claims in the KIPO. An applicant must explain how all claims in the KIPO sufficiently correspond to the patentable/allowable claims in the NBPR in the table for each KIPO claims based on the criteria in III.1.3 All claims in the KIPO must sufficiently correspond to one or more of those claims determined to be patentable/allowable in the NBPR (Also refer to Annex II for the examples of the claim correspondence). 3. Fee for Participation in the PPH An applicant must pay the fee for preferential examination under the PPH same as other request for preferential examination. 6/20

7 4. Notes on Examination Procedures The KIPO decides whether the can undergo preferential examination under the PPH when it receives a request along with the documents stated above. When the KIPO decides that the request is acceptable, the is assigned a special status for a preferential examination under the PPH. The KIPO will not notify the applicant of the acceptance for assigning a special status for preferential examination under the PPH, but instead applicant may recognize it by the reception of an office action resulting from preferential examination. In those instances where the request does not meet all the requirements set forth above, applicant will be notified and the defects in the request will be identified. Applicant may be given opportunity to perfect the request or may be required to submit a new request. If the PPH request is rejected, the applicant will be notified and the will await examination in its regular turn. 7/20

8 ANNEX I Examples of KIPO eligible for the PPH 1.1.(1) The national which validly claims priority under the Paris Convention from either a single national NBPR or multiple national NBPR s A Paris Route (Single Priority) NBPR Indication of patentable claim(s) or Grant Priority claim KIPO Request for PPH B Paris Route (Multiple Priority) NBPR 1 Indication of patentable claim(s) or Grant NBPR 2 Priority claim Priority claim KIPO Request for PPH 8/20

9 1.1.(1) (continued) C Paris Route (Domestic Priority) NBPR 1 Domestic priority claim NBPR 2 Priority claim Indication of patentable claim(s) or Grant KIPO Request for PPH 9/20

10 1.1.(2) The PCT national phase where the PCT international has validly claimed priority from either a single NBPR national or multiple national NBPR s D PCT Route NBPR Priority claim Indication of patentable claim(s) or Grant PCT KIPO DO* Request for PPH *DO = Designated Office E PCT Route NBPR PCT Priority claim NBPR DO KIPO DO Indication of patentable claim(s) Grant or Request for PPH *DO = Designated Office 10/20

11 1.1.(3) The PCT national phase where the PCT has no priority claim F Direct PCT Route PCT Without Priority claim NBPR DO* KIPO DO* Indication of patentable claim(s) or Grant Request for PPH *DO = Designated Office 1.1.(4) The national that validly claims priority under the Paris Convention from either a single PCT with no priority claim or multiple PCT s with no priority claims G Direct PCT & Paris Route PCT Without Priority claim Priority claim KIPO *DO = Designated Office NBPR DO* Indication of patentable claim(s) or Grant Request for PPH 11/20

12 1.1.(5) The PCT national phase where the PCT validly claims priority from a PCT which has no priority claims H Direct PCT & PCT Route PCT NBPR DO* Indication of patentable claim(s) or Grant Without Priority claim Priority claim PCT KIPO DO* Request for PPH *DO = Designated Office I Direct PCT & PCT Route PCT Without priority claim PCT Priority claim NBPR DO* Indication of patentable claim(s) or Grant KIPO DO* Request for PPH *DO = Designated Office 12/20

13 1.1.(6) The divisional of an as referred to in any of (1) to (5) J Paris (PCT) Route (Divisional Application) NBPR Priority claim Indication of patentable claim(s) or Grant KIPO 1 Divisional KIPO 2 Request for PPH 13/20

14 ANNEX II Examples for the claim correspondence 1. The claims in the following cases (case 1 to case 4) are considered to sufficiently correspond to each other. NBPR claim(s) KIPO claim(s) Case Subject Subject Correspondence Claim Claim matter matter Case 1 1 A 1 A The same as NBPR claim 1. Case 2 1 A 1 2 Case A A+a A+b A A+a A A+b A+a The same as NBPR claim 1. Dependent claim 2 in the KIPO claim is created by adding an element to the NBPR claim. The same as NBPR claim 1. The same except for claim format. The same except for claim format. Case 4 1 A 1 A+a Claim 1 has an additional element a. * Where A is the subject matter, and a and b are the additional technical features which are supported in the description 2. The claims in the following cases (case 5 and case 6) are NOT considered to sufficiently correspond to each other. Case NBPR claim(s) Claim Subject matter Case 5 1 A system Claim KIPO claim(s) Subject matter 1 A method Explanation The claimed invention of the KIPO is a method, whereas the claimed invention of the NBPR is a system. (The technical features in the NBPR claim are the same as those in the KIPO claim, but categories of both inventions are different) Case 6 1 A+B 1 A+C The KIPO claim is different from the NBPR granted claim in a component of the claimed invention. (The KIPO claim is created by altering part of the technical features of the NBPR claim) 14/20

15 ANNEX III The Explanation of Circumstances Concerning Preferential Examination under the PPH Pilot Program 서류명 특허심사하이웨이(PPH) 에의한우선심사신청설명서 대상국가 본원출원번호 대응출원번호 본원출원과대응출원의관계 제출서류 특허가능하다고판단된특허청구범위 서류명및제출 ( 발행 ) 일 서류제출여부 ( 제출생략이유 ) 번역문제출여부 ( 제출생략이유 ) 심사관련통지서 서류명및통지일 서류제출여부 ( 제출생략이유 ) 번역문제출여부 ( 제출생략이유 ) 심사단계에서인용된선행기술문헌 명칭 15/20

16 제출여부 ( 제출생략이유 ) 청구항간대응관계설명표 본원출원의청구항번호 대응출원에서특허가능하다고판단한청구항 번호 대응관계설명 16/20

17 기재요령 1. 대상국가 란에는한국특허청이특허심사하이웨이를시행하고있는대상국가 ( 일본, 미국, 덴마크, 영국, 캐나다, 러시아 ) 중어느한국가의명칭기재합니다. 2. 대응출원번호 란에는위대상국가에서특허가능하다고판단한특허청구범위를 포함하고있는특허출원의출원번호및출원일을적습니다. 예 ) 대응출원 JP 평 호, 본원출원과대응출원의관계 란에는위대응출원과본원출원간의대응관계를 명확하게 설명합니다. 대응출원에는 조약우선권 주장의 기초가 된 상대국의 특허출원뿐만아니라조약우선권주장의기초가된상대국의특허출원과연계되어 있음이명확한상대국의다른특허출원 ( 예. 분할출원, PCT 국제출원의조기국내단계 진입출원 ) 도포함됩니다. 예 ) 본원출원과대응출원의관계 대응출원 JP 은본원출원 ( 분할출원 ) 의 원출원 (KR ) 이조약우선권주장하고있는상대국특허출원 JP 의분할출원으로서본원출원의대응 ( 패밀리 ) 특허에해당합니다. 4. 특허가능하다고판단된특허청구범위 란에는대상국가에서특허가능하다고판단한 특허청구범위가기재된서류명및제출여부를다음과같이기재합니다. 가. 서류명및제출 ( 발행 ) 일 란에는해당특허청구범위가기재된서류의종류와 제출일, 공보발간된경우공보번호와공개일등을함께기재합니다. 나. 서류제출여부 란에는 제출 로 기재하고 해당 특허청구범위를 첨부하여 제출합니다. 다만, 심사관이정보통신망 [ 예. AIPN( 일본 ), public PAIR( 미국 ), PVS online( 덴마크 ) 등 ) 을 통해 해당 특허청구범위를 용이하게 입수할 수 있는 경우에는 제출생략이 가능하므로 서류제출여부 란에 제출생략 으로 기재하고 제출생략이유 란에생략가능한이유를기재합니다. 다. 해당 특허청구범위가 국어 또는 영어가 아닌 언어로 작성된 경우에는 번역문제출여부 란을만들어 제출 로기재하고국어또는영어로번역된 번역문을첨부하여제출합니다. 다만, 심사관이정보통신망에서국어또는영어로 된 번역문을 확인할 수 있는 경우에는 제출생략이 가능하므로 번역문제출여부 란에 제출생략 으로기재하고 제출생략이유 란에생략 가능한이유를기재합니다. 17/20

18 라. 우선심사신청후심사관이해당특허청구범위를입수할수없거나국문또는영문번역이불충분하여보완지시를하는경우에는해당서류를보완하여제출하여야합니다. 예 1) 서류명및발행일 JP ( ) 서류제출여부 제출생략 제출생략이유 OOOO 을통해심사관이입수가능하므로제출생략 번역문제출여부 제출생략 제출생략이유 OOOO 에서영어번역문이제공되므로제출생략예 2) 서류명및제출일 보정서, 자로일본특허청에제출 서류제출여부 제출 번역문제출여부 제출 5. 심사관련통지서 란에는대응출원에대한대상국가의심사관이통지한실체심사관련서류명 ( 거절결정서, 등록결정서, 의견제출통지서등 ) 및제출여부를다음과같이기재합니다. 가. 서류명및통지일 란에는실체심사와관련하여통지된서류의명칭, 통지일등을기재합니다. 나. 서류제출여부 란에는 제출 로기재하고해당심사관련통지서를첨부하여제출합니다. 다만, 심사관이정보통신망 [ 예. AIPN( 일본 ), public PAIR( 미국 ), PVS online( 덴마크 ) 등 ) 을통해해당심사관련통지서를용이하게입수할수있는경우에는제출생략이가능하므로 서류제출여부 란에 제출생략 으로기재하고 제출생략이유 란에생략가능한이유를기재합니다. 다. 해당통지서가국어또는영어가아닌언어로작성된경우에는 번역문제출여부 란을만들어 제출 로기재하고국어또는영어로번역된번역문을첨부하여제출합니다. 다만, 심사관이정보통신망에서국어또는영어로된번역문을확인할수있는경우에는제출생략이가능하므로 번역문제출여부 란에 제출생략 으로기재하고 제출생략이유 란에생략가능한이유를기재합니다. 라. 우선심사신청후심사관이해당통지서를입수할수없거나국문또는영문번역이 18/20

19 불충분하여보완지시를하는경우에는해당서류를보완하여제출하여야합니다. 예 1) 서류명및통지일 특허사정서, 서류제출여부 제출생략 제출생략이유 정보통신망을통해심사관이입수가능하므로제출생략 번역문제출여부 제출 6. 심사단계에서인용된선행기술문헌 란에는심사관련통지서에서기재한선행기술문헌의명칭및제출여부를다음과같이기재합니다. 가. 명칭 란에는인용된선행기술문헌의종류, 공개일 ( 공보일 ) 을기재합니다. 나. 서류제출여부 란에는 제출 로기재하고해당선행기술문헌을첨부하여제출합니다. 다만, 심사관이해당선행기술문헌을용이하게입수할수있는특허문헌 ( 비특허문헌은제출 ) 은제출생략이가능하므로 제출여부 란에 제출생략 으로기재하고 제출생략이유 란에생략이유를기재합니다. 예 ) 명칭 JP ( ), US2004/348454( ) 제출여부 제출생략 제출생략이유 특허문헌으로용이하게입수가능하므로제출생략 명칭 3GPP TR v7.0.0 'Technical Specification Group Core Network and Terminals; (G)MSC-S-(G)MSC-S Nc Interface based on the SIP-I protocol, JUNE 2007(sections 5.7 and 5.8) 제출여부 제출 7. 청구항간대응관계설명표 란에는본원출원의모든청구항에대하여대응되는 대응출원의특허가능하다고판단한청구항번호 를기재하여야하며, 대응관계설명부분에는양청구항의동일여부또는차이점을구체적으로기재하여야합니다. 예 ) 본원출원의 청구항번호 대응출원에서특허가능하다고 판단한청구항번호 대응관계설명 1 1 양청구항은동일 19/20

20 양청구항은기재형식의차이일뿐실질적으로동일 청구항 7 은대응출원의청구항 1 에 A 라는구성이부가됨 20/20

<4D F736F F D20A2BAC7D1B1B BDC5C3BBBEC8B3BBB9AE5FC7D1B5A75F5F456E676C F2DB0E8BCD3BDC7BDC32E646F63>

<4D F736F F D20A2BAC7D1B1B BDC5C3BBBEC8B3BBB9AE5FC7D1B5A75F5F456E676C F2DB0E8BCD3BDC7BDC32E646F63> Procedures to File a to the Korean Intellectual Property Office for Participation in the Patent Prosecution Highway Pilot Program between the Korean Intellectual Property Office and the Danish Patent and