1. Niclas Morey23 October 2015Director, International Organisations, Trilateral and IP5 Technical Harmonization in the IP5 EPO’s Global Dossier, CCD and CPC AIPLA Annual Conference

2. European Patent Office Evolution of filings at the IP5 (2004-2014) 2

3. European Patent Office The IP5 cooperation is a response to the challenges A cooperation programme between the world’s 5 biggest patent offices − EPO, JPO, KIPO, SIPO, USPTO The IP5 cooperation was initiated in 2007 to address the issue of growing backlogs and rapidly increasing filings. − Work-sharing considered to be main tool for addressing this issue − Timeliness and Quality key drivers Page 3

4. European Patent Office Cooperative Patent Classification (CPC)  EPO – USPTO bilateral initiative started on 25 October 2010 − renewed commitment with the signature of an MoU (6 October 2015)  CPC is the most refined IPC based classification scheme (about 260,000 symbols vs. about 70,000)  CPC entered into force on 1 January 2013  Since, 17 other patent offices have decided to join this endeavour: − SIPO, KIPO, Rospatent, INPI Brazil, IMPI Mexico (new) − AT, CH (new), CZ, DK, ES, FI, GB, GR, HU, NO, PT, SE  EPO and IPAU are engaging a CPC pilot programme (agreement signed on 7 October 2015) 4

5. European Patent Office Common Citation Document - Background Launched in 2011 by Trilateral Offices (EPO,JPO,USPTO) Full IP5 participation Available to the Public (http://ccd.fiveipoffices.org)http://ccd.fiveipoffices.org Access to the consolidated view of citations from ca. 30 patent authorities currently over 23 million publications with over170 million patent citations and over28 million non-patent citations 5

6. European Patent Office Common Citation Document - Benefits Benefits: Provides access to citation results from multiple offices All results in common format in a single location Cited Documents available directly for consultation Next Steps: Maintain focus on gathering citations USPTO “A” publications 2001-2011 being loaded 20 million citations; 1.3 publications “Enriched” citations All IP5 offices committed (SIPO now delivering) 6

7. European Patent Office Global Dossier - Timeline 2003Trilateral Offices invite respective industry associations for first time 20071 st IP5 Heads meeting to address ever increasing workloads 20125 th IP5 Heads meeting. Industry invited for the first time. Agreement to establish the Global Dossier Task Force (GDTF) with IP5 offices, IP5 Industry and WIPO as members. 20131 st IP5 GDTF meeting held in January in The Hague where industry defines its vision of Global Dossier with active and passive components. 2014In June the EPO delivers first Global Dossier service with SIPO data in European Patent Register. In October the EPO extends this service to Espacenet. 20152 nd IP5 GDTF meeting held in January in Suzhou; delegations propose five priorities which could form the next phase of Global Dossier. At the 8 th IP5 Heads meeting held in May in Suzhou an IP5 vision statement for the GDTF 5 priorities is endorsed. Annual GDTF meetings agreed 7

8. European Patent Office GDTF Vision (Jan 2013) “[The Global Dossier] will allow users to efficiently access all available information about all applications and patents in the participating offices, and to utilize the electronic services of the offices.” - Global Dossier Taskforce industry delegation statement 1 March 2013 Global Dossier envisages applicants and public being able to access patent information and prosecute patents in a federated manner for all applications pertaining to an invention. 8

9. European Patent Office Global Dossier EPO implementation Global Dossier Aggregated patent information and prosecution Timeline of EPO GD service June 2014Launch with CN and EP file wrappers April 2015Extension to KR and JP file wrappers. June 2015Completion with the addition of the US file wrappers 9

10. European Patent Office SIPO file wrappers since 06/14 KIPO and JPO file wrappers since 03/15 USPTO file wrappers since 06/15 10

11. Click on GD icon – The Dossier of family member from participating office is displayed. Global Dossier EPO Global Dossier contents for family member CN102130128 Data provided on line courtesy of the SIPO register

14. European Patent Office 14 EPO Global Dossier – Translation at source

15. European Patent Office Global Dossier Vision 15 Alerting Provide timely updates to users on status or file wrapper changes to all IP5 family members of an application being watched Text Based Documents Maintain focus on the increasing provision by IP5 offices of all file wrapper documents in XML Applicant name standardisation Harmonise and normalise applicant names across all IP5 patent document collections Legal status standardisation Agree on approach for legal status reporting of patents and applications across the IP5 and its real time electronic provision Cross filing proof of concept Demonstrate the feasibility of cross filing documents or changes across the IP5 using an example submission achievable in today’s IP5 legal framework

16. European Patent Office Next Steps Q2-4 2015 IP5 to further develop 5 priorities at a working level leading to consensus proposal for concrete initiatives. Ongoing consultation with industry Jan/Feb 20163 rd GDTF meeting to be hosted by USPTO May/Jun 2016Proposals from working level with input from GDTF submitted to IP5 Heads for endorsement. 16

17. European Patent Office Conclusion The EPO Global Dossier hugely simplifies access to work products of the IP5 Users can more easily see the status of applications at the IP5 Patent examiners can re-use the work done by IP5 examiners The future focus of the Global Dossier will be: 1.Improving the availability of data 2.Looking for ways to streamline global patent prosecution 17

18. European Patent Office 18 Thank you for your attention! nmorey@epo.org www.epo.org www.cpcinfo.org cpc@epo.org http://ccd.fiveipoffices.org/ https://register.epo.org http://worldwide.espacenet.com/