Journal of Philippine Development _lJ S Number33, VolumeXVIII, No.

2, 1991 P S
GUIDELINES AND PROCEDURES FORPATENT APPLICATION*
Aster I. Mercado"
INTRODUCTION
The Bureauof Patentsacknowledgeswithappreciationthe efforts
exertedbythe Departmentof ScienceandTechnology(DOST) andthe
PhilippineInstitutefor DevelopmentStudies(PIDS) directedat maxi-
mizingthe possiblebenefitsto bederivedfromthe protectionof the In-
tellectual PropertyRights(IPR) of scientistsandresearchers. These ef-
fortsdeservecommendationandat thisjuncture,allowmetocongratu-
latethe organizersof thisseminar-discussion, particularlyDOST Secre-
taw CeferinoL. Folloscoand PIDSPresidentPoncianoS. Intal,Jr. for
makingthisactivitypossible.I supposethatall participantsalsodeserve
to be congratulatedforgettinginvolvedinthisworthyundertaking.
INTELLECTUAL PROPERTY RIGHTS AWARENESS
It isunfortunatethat in the Philippines,morethan 90 percentof the
populationvirtuallyknownothingor probablyhave not heardanything
aboutintellectualproperty(particularlypatent)rights.Our country,how-
ever, isnotan isolatedcase.Thislackof awarenessof intellectualprop-
erty rightsistrueworldwide,even inhighlyindustrializedcountriessuch
as Japan,the UnitedStatesandthosein Europe.
Becauseof thisreality,the promotionof awarenessof IPR on a na-
tionwidescale isindeeda gigantictask. Forthisreason,we inthe Bu-
reau of Patentsare gladwheneveroccasionslike thishappen, espe-
ciallythoseinitiatednot at ourend. Thisonlyprovesthat inthe Philip
pines,thereisgrowinginterestinIPR, andthattheinformationdissemi-
nationcampaignlaunchedbythe Bureauof Patentsmorethan a year
ago isslowlybutsurelygainingsubstantial ground.
MERITS OF THE PATENT SYSTEM
The meritsof the patentsystem,if properlyharnessed,may bevery
usefulin catalyzingnationaleconomicgrowth.However,it is apparent
,=.Paperpresentedduringthe DOST-PIDSSeminar-Discussionon"Intellectual PropertyRightsPolicyIssuesand
Perspectives** heldonDecember 13,1991 atthe ExecutiveLounge,DOST Compound,Bicutan,Taguig, MetroManila,
iSeniot Patent Examiner,Bureauof Patents,Trademarksand TechnologyTransfer,Departmentof Tradeand
Industry,
174 JOURNALOF PHILIPPINEDEVELOPMENT
thatthe majoritydonotknowor donotasyet appreciatetheimportance
of the patentsystemandthe meritoriouscontributionwhichthe system
offers, To benefitfromthissystem,it isessentialthatwe discussthor-
oughlyitsmerits.
Inthe patentingsystembeingimplementedinourcountry,inventive
conceptsaredisclosedtothepublicas soonastheyare patented.With-
outthissystemwhichweare fortunateto have, scientists,researchers
and inventorswouldnothavethe properinspirationandincentivetodi-
vulgeto the publictheir contributiontothe art inexchangefor a patent
grant.A timelydisclosuretothe publicwouldsave otherscientificwork-
ers' and researchers' time, efforts and logisticsdevotedto working on
concepts already coveredby, or whichrightfully belongto, earlier inven-
tors.
Another merit of the patent system is that earlier inventions serve as
a springboardtowardsgreater progressanddevelopment. Earlier inven-
tions apparently lead to more inventions. One specific example is the
case of the microscope. This invention openedthe gate to the micro-
scopic world of Anton Van Leeuwenhoek,who, aswe all know, was the
first personto make glass lensespowerful enoughto observe and de-
scribe bacteria. The work of Leeuwenhoek uncovered concepts which
later on paved the way for multiple inventions relating to biotechnology
ingeneral. Advances in this field of technology continue up to this time
and are likely to continue in the future. The impacts of these advances
and inventions extend to other concerns, notably health, nutrition, en-
ergy and the environment. Directly or indirectly, we, the human race,
benefit a lot from these technologicaladvances.
The merits derived fromthe patent system are unquantifiable. Quite
a number of inventions turn out to be commercially viable, and once
market viability is established, employment isgenerated, andthereafter
increasedgainful productivity is realized. This is exactly what we hope
to achieve with our present state of economy. Indeed, everybody
clamors for economic progress, and inthe light of these considerations,
we welcome everybody in the earnest endeavor to achieve
unprecedented economic progress partly through the merits of the
patent system.
THE PHILIPPINE PATENT LAW (Republic Act No. 165)
What isa patent?It isa grantissuedbythegovernment,byvirtueof
RepublicAct No. 165, givinganinventor,adesignerora makertheright
to excludeothersfrom making,usingorsellinghisinvention,designor
utilitymodelinthePhilippines, Perthe provisionof R.A, 165, ourpatent
systemassuresproperremunerationin theformof a patent protection.
MERCADO: PATENTAPPLICATION 175
This protection, which is issued in the form of patent grant, gives the
inventor, designeror makerthesolerighttoexcludeothersfromengag-
ing inany activityrelatedto the use, manufactureandsaleof the pat-
entedinvention,designor utilitymodel.Thisparticularprovisionof the
patent lawprohibitsany personotherthanthe patentownerfromcom-
merciallyexploitingapatentedinvention, designor utilitymodel.Inview
ofthis, patentownersare assuredthattheywillenjoythefruitsandben-
efitsof their inventivelabordudngthe termof the patent.
PATENTABLE GRANTS
Sections7, 55(a) and55(b) of R.A. 165 providefor the issuanceof
patentgrantstothefollowing:
An Invention (Sec. 7of R.A. 165)
Aninventionrelatesto anynewandusefulmachineordevice, manu-
facturedproductorsubstance, processoranyimprovementthereofthat
involvesan inventiveact of a degreemorethanthat whichexpertarti-
sansor mechanicscouldmuster,Examples:
(a) A newmachinefor harvestingpalay
(b) A newmedicineusedas a hair grower
(c) Improvedirdgationpumps
(d) Paintcompositions
(e) A methodfor treatinginfections.
An Industrial Design (Sec. 55 [a] of R.A. 165)
An industrial designrelatesto any new,odginalandomamentalde-
signfor an articleof manufacture.Examples:
(a) A newdesignfor fumituro
(b) A newdesignfor shoes
(c) A newdesignfortoothbrush
(d) A newdesignfor containers
(e) A newdesignforshoesoles.
A Utility Model (Sec. 55 [b] of R.A. 165)
A utilitymodelrelatesto any newmodelof an implementortoolsor
of any industrialproductor part ofthesamewhichdoesnotpossessthe
qualityof inventionbutwhichisof practicalutilitybyreasonof itsform,
configuration, constructionor composition. Examples:
176 JOURNALOF PHILIPPINEDEVELOPMENT
(a) Multipurpose scissors
(b) An improved rice thresher
(c) A charcoal stove
(d) Shampoo compositions
(e) Waterproof panel boards.
REQUIREMENTS OF PATENTABILITY
For an Invention
There arethreestatutoryrequisitesof patentabilityfor inventionpat-
ents,namely:
(a) Novelty,
(b) Inventiveness, and
(c) Usefulness/industrial applicability.
For a Utility Model
To merit patentability, the subjectmattercoveredin a utilitymodel
applicationhastobeboth(a) noveland(b)usefulorindustriallyapplicable.
For a Design
A designapplicationshall be patentableif it satisfiesthe following
requirements:
(a) Novelty, and
(b) Ornamentality.
Inall cases,noveltyreferstothe newnessof the conceptinvolvedin
an application,while inventivenessmeansthatthe conceptcoveredin
an applicant'sclaimisnotwithinthereachof a personskilledinthe art.
To be useful or industriallyapplicable,the disclosureshouldwarrant
repeatabilityof the processinvolvedandreproducibilityonan industrial
scaleof the productclaimed.
Inthe caseof designs,ornamentalityimpliessatisfyingthe aesthetic
pointof viewor affordinga beautifulandpleasingappearance.
WHAT CANNOT BE PATENTED
Nonpatentableinventionswhichare set forth in Sec. 8 of R.A. 165
are as follows:
(a) A uselessdevice or article;
(b) A method of doing business;
(c) Those which are contrary to public order or morals, or public
health or welfare;
MERCADO: PATENT APPLICATION 177
(d) Ideas,a scientificprincipleoranabstracttheoremnotembod-
ied inan invention;and
(e) A processnotdirectedtothemakingorimprovementof a com-
mercialproduct.
WHO MAYAPPLY FOR A PATENT
The Philippinepatentsystemfollowsthe first-to-inventrule. In view
of this, onlyreal inventorsmay applyfor a patent.
WHEN TO APPLY FOR A PATENT
For an Invention Patent
If the inventordescribeshisinventionina printedpublicationor uses
the inventionpubliclyor placesitonsale, hemustfilea patentapplica-
tionbefore oneyearhas elapsed; otherwise, the righttoa patentislost.
Thisisembodiedin Sec. 9 of R.A. 165 concomitantwithRule 33 of the
RevisedRules of PracticeinPatent Cases.
For a Design Patent
Adesignpatentissubjecttothe sameconditionas for the invention
patentbutwitha shorterperiodof six months. ThisissetforthinSec. 56
of R.A. 165 and Rule 124 of the RevisedRules of.Practice in Patent
Cases.
For a Utility Mode/
In accordancewithSec. 55 of R.A. 165, the maker of a utilitymodel
must first file an applicationfor a patent before describinghis utility
modelin a printedpublicationcirculatedinthe Philippinesordisclosing
and/orusingthe utilitymodelpubliclyinthiscountry.
PARTS OF A COMPLETE APPLICATION
A completepatentapplicationconsistsof the following:
(a) A petitionor requestfor a patent;
(b) A filingfee;
(c) A combinedOath, Powerof AttomeyandPetitionfor invention
dulyaccomplishedand.notarized;
(d) Specificationandclaims;and
(e) Drawingswhennecessary.
178 JOURNALOF PHILIPPINEDEVELOPMENT
THE CONTENTS OF THE SPECIFICATION
The specificationof a patentapplicationmust includethe following:
(a) The title of the invention. Thisshouldappear as a headingon
the first pageof the specificationandshouldbe made very specificto
the inventionbeingsoughtfor patenting.
(b) Abstract. The abstractof the inventionis a brieftechnicalde-
scriptionof the essentialfeaturesof the inventiveconceptcoveredin
the claims.
(c) Fieldand backgroundof the invention.Applicantsare required
to provideinthe specificationa completebackgroundof the invention
includingthe conceptstaughtordescnbedinthe closestpdorart.
(d) Summary of the invention. Thispart of thespecificationshould
definetheobject,advantages,purposeandnatureandsubstanceof the
claimscoveredinthe invention.
(e) Brief description of the drawings of the invention.
(f) Detaileddescription ofthe invention. The disclosuremust spe-
cificallyincludethe mannerof making,compoundingandusingthe pre-
ciseinvention.Applicantsarerequiredtoprovideanenablingdisclosure
sothatany personskilledinthe art may be able tomakethe invention.
(g) Claimls. Aclaimisthedefinitionorthe measureof aninvention.
It definesthe scopeof patent protection.The claimshouldnot include
anythinginthe pdorart. It shouldalsonot be sobroadas to cover the
workof others.
(h) Signature of the inventor.
LIFE OR TERM OF THE PATENT
Invention:17 years
Designandutilitymodel:5yearswithextensionof twoadditionalfive-
yearterms.
FLOW CHART OF A PATENT APPLICATION (Figure t)
Anapplicationisfiledwiththe PatentOffice and receivedat the Ap-
plication,Issuanceand PublicationDivisioe(AIPD). A filingfee is re-
ceived by the cashierand a serial numbe, is assignedif the contents
thereofsatisfythe requirementsof a compiateapplication(Rule43, Sec.
_13).The filingdateof an applicationisthadate onwhichthe complete
applicationis filedwiththe PatentOffice or the date onwhichthe last
part of the applicationiscompleted.
The righttoa patentapplicationmaybeassigned,orlettersof patent
may be issued,to anotherin placeof the applicant(s);however, any
actionofan assigneeshallberecognizedonlywhenthe assignmenthas
MERCADO: PATENT APPLICATION 179
Fig. 1
FLOWCHART OF A PATENT APPLICATION
-_ PATENT APPLICATION
Petition for a patent 0 Oath 0 Filing fee
Specification and claims 0 Drawing
I
APPLICATION, ISSUANCE & PUBLICATION DIVISION (AIPD)
Receiving/ Application section Issuance section Publication section
Collection section r7 Reflects in the 0 Collects D Prepares job
0 Receives docket applications issuance fee orders for publica
applications 0 Does formality 0 Prepares letters, tion of issued
{3 Collects fee examination patent certificate patents
0 Assigns applica-
tion no. & serial no.
0 Sends out
acknowledgement
wnrH ASS,QNMENT r "_
ABANDONED _L
PATE-NT, TRADEMARK, APPLICATIONS / GOVERNMENT .
REGISTRY & EDP DIVISION PRINTING OFFICE
0 Records ass gnment I RECEIVED E] Publishes an
IVy, I RE_L,CATIONS abstract of the issued
"fHOUTASSIGNMENT patent in the official
gazette
INFORMATION, [ DOCUMENTATION &
RESEARCH DIVISION RECORDS I REGISTRY & EDP
Classifies application STORAGE I DIVISION
according to FOR - I 0 Records issued
[3 local classification PH ABANDONED patent
[3 international patent APPL CAT ONS 0 Keeps letters, pat.
classification IPC _ cert., and filewrapper
Does research in 0 Monitors payment
0 prior art novelty search, of annual fees
0 interference
_L ---ABAN. l
DONED
APPLICA-
EXAMINING DIVISION lIONS DIRECTOR OF PATENTS
Q Undertakes substantive/ rl Signs certificate if
examination to determine i_ application is allowable
patentability of app IcationJ_P_pVlVcE7 TORS L-IOffice stamps patent no.
on cert f cate
ALLOWEDAPPLICATIONS _!f
LETTERSPATENTCERTIFICATE
180 JOURNAL OFPHILIPPINE DEVELOPMENT
beenrecorded.FromtheAIPD, a completeapplicationwithanassignee
isforwardedto the PatentTrademarksRegistryand EDP Divisionfor
recordingof the Assignment(Secs. 50, 51 and Rules41, 179) (Rules
53,179), beforeitisassignedforsearchat the Information, Documenta-
tionandResearchDivision(IDRD). An applicationwhichis unassigned
goesdirectlytothe IDRD.
At the IDRD, a thoroughandrigidsearchonthe pertinentart iscon-
ductedusingthe facilitiesandreferencesintheofficewhichinclude:
(a) Local and foreignpatents;
(b) Chemicalabstracts;
(c) Printedpublications whichincludescientificandtechnicalperi-
odicalsdealingwith lawand science, law booksrelatingto
patent practice, encyclopediaon specializedtechnologies,
textbookswhichcoveremergingnewtechnologiessuchas, for
example,biotechnologyandgeneticengineering.
To date, there are about 25,000 PhilippinePatents, 7,200 Utility
Model Patents, 4,900 DesignPatents, and copyrightsto more than
5,000 textbooksand lessthan3,000 periodicals.There are alsoabout
2,000,000US Patentsavailableeitherasprintedcopiesordocumented
in micro-fichein thescience-lawlibraryof the office.
In viewof the numerousreferenceswhichsteadilyincreasethrough
the years,an applicationtakenupfor a searchisclassifiedaccordingto
subjectmatter usingeither:
(a) Localclassification, or
(b) International patentclassification.
Obviously,classificationnarrowsdownthe scopeof coverageof the
references pertinentto a particularcase. This systemsaves the re-
searcherthe uselessandfutileeffort of goingthroughendlessfilescov-
ering nonrelatedart.
An interference searchis alsoconductedusing bothpending and pat-
ented local cases.
PROCEDURE ONSUBSTANTIVE EXAMINATION
After the researchphase, an applicationbecomesready for merit
examinationat the differentPatentExaminingDivisions,namely:
(a) ChemicalExaminingDivision;
(b) Mechanical,Electrical,Designand UtilityModel Examining
Division.
MERCADO: PATENT APPLICATION 181
The ExaminingDivisionisgenerallyregardedasthe core,nucleusor
nervecenterinthe processingof a patentapplication. A lottakesplace
duringthisphasebecauseit isduringthistimethatthe examiner,onthe
onehandtriesto limitthe scopeofa claimscoveragecommensurateto
the technologydisclosedwhiletheapplicant,ontheotherhand,bargains
and arguesforthe broadestpossiblecoverage.
A. Cursory Check of the Documentsand Parts of the Application
In accordancewithRule47 of the Rulesof Practice, onlycomplete
applicationswill beacceptedandplacedonfilefor examination.Gener-
ally,applicationsforwardedtotheexaminingdivisionarereadyformerit
examination. Nevertheless, the examiner always makes a cursory
checkof the componentpartsof the application(i.e., the Petitionof
Requestfor a Patent,the specificationsandthe claimsincludingan ab-
stract,an oath,drawingswhennecessary,andthe prescribedfilingfee).
Anyformal objectionstheretoare carefullynotedand raisedinthe ex-
aminer'saction.
B. Checking of Effective Filing Date
ApplicationsFiledUnderSec. 9 Effective FilingDate
Original Application Actualfilingdate
Firstof aseriesofapplicationsof an
inventiondisclosinga giveninvention
Divisional Application Filingdate of parent
case
Derivedfrom a pendingparentap-
plication,disclosingand not claiming
anythingnot disclosedin the parent
case.
Shouldbe filed withinfour months
after the requirement to divide be-
comesfinal.
Should be filed not later than the
date of patentingor abandonmentof
the parentcase (MemorandumCircu-
larTSE/65-8).
182 JOURNAL OFPHILIPPINE DEVELOPMENT
ContinuationApplication Filingdate of parent
case
Secondapplicationforthesamein-
ventionclaimedin a prior application
andfiled beforethe originalis consid-
ered abandoned. No new matter in-
cluded,
Usuallyresortedto after a final re-
jectioninorderto be entitledto
furtherexamination.
Continuation-in-partApplication (C/P) Getsthe benefitof the
odginalfiling date'as
to matters disclosed
inthe originalapplica-
tion
File during the pendency of the
originalapplication.
Containsnewmatter.
Substitute (Re-file) Actual filingdate
A duplicateapplicationshouldbe
filed after the abandonmentof the
originalapplication.
Re-issue Effectivefilingdateof
the original applica-
tion
A re-issuepatent is one issuedfor
the unexpired term in lieu of a defec-
tive original patent.
An application filed in lieu of an
original patent to correct an error inthe
latter that was committed without de-
ceptive intent.
Application Files Under Sec. 15 The filing date of
(Rule 56, Article IV, Conventionof Paris) an earlier application
filed in a foreign
country
MERCADO: PATENT APPLICATION 183
Applicationpreviouslyfiled regu-
larlyina foreigncountrywhichaffords
similar privilegesto Filipinocitizens,
providedthat local applicationisfiled
within 12 monthsafter any suchfor-
eignapplicationisfiled.
The effectivefilingdateof anapplicationisvery importantinconsid-
eringwhetheran applicationmedtodouslysatisfiesthe statutoryrequi-
sitesof relativenoveltyandinventivenessassetforthinSec. 7andSec.
9 concomitant to Rules33 and34 of the Rulesof Practice.
C. Examination Proper
C1.Nature of Proceedingsin the Examinationof a Patent Application
Applicationsare prosecutedex parte bythe applicant(Rules78 and
79). An ex parte proceedingin the PatentOfficemay be like_nedto a
lawsuitinwhichthereisa plaintiff(whichinthiscase isrepresentedby
the inventor)but nodefendant,withthe court itself (representedbythe
office) actingas the adverseparty.Inthislawsuit,the examinerrepre-
sentsthe interestof the public.He triesto givethe inventorthe least
possiblemonopolyinexchangefor thetechnologydisclosed, whilethe
inventoror hisdulyassignedrepresentativeseeksas muchmonopoly
as possible.
All businessrelatingtosuchproceedingsand any otherpatentcon-
cernsfor that matterare transactedinwriting.Verbal or oralallegations
shallnot be entertained(Rule 1).
C2. The Principal Examiner'sAction
C2-1. Evaluation of the disclosure
The examinerevaluatesthe meritsof anapplicationtakingintocon-
siderationthe specificationandthe claims.Theexaminerseesto itthat
an applicationobservesstrictcompliancenotonlywithmattersrelating
tothe statutesand the rulesbutalsowiththoserelatingto form. If the
applicationandclaimsare preparedin a mannerwhichissufficientfor
thepurposeof evaluatingthe inventiveconceptsembodiedtherein,then
theexaminerproceedswiththedeterminationof whetherthereisa need
to raisean issueonthe unityof invention.
Anapplicationwhichhasmultipleinventionsissubjectedtoa restric-
tionrequirement.The restrictionrequirementisraisedto limitthe appli-
cationto a singleinventiononly.If there isnoquestiononthe unityof
inventionor after the issueonthe unityof inventionhas beensettled,
evaluationof thedisclosurecomesnext.
184 JOURNAL OF PHILIPPINEDEVELOPMENT
The disclosure is evaluated taking into considerationthe following:
(a) Objects of the invention;
(b) Detailed descriptionof the invention; and
(c) Drawingsand brief descriptionthereof when necessary.
In accordance with Rule 14d of the Rules of Practice, the technical
description provided inthe disclosureshouldbe expressedin full, clear,
concise and exact terms and addressedto a personskilled in the art.
If the disclosure is not complete and the examiner deems it impossi-
bleto carry out a completeexamination dueto the paucityof the disclo-
sure, then merit examination is withheldpendingthe applicant's submis-
sion of a disclosure preparedin accordancewith the rules (Rules 62 and
63).
C2-2. Claim(Rule 63);rejection thereof
A claim is the definition or the measureof an invention. It defines the
scope of patent protection. To be allowable, a claim must not include
anything in the prior art and shouldnot be so broadas to cover the work
of others.
REJECTIONS BASEDONSTATUTORY GROUNDS
Inthe examinationprocess,the allegedinventiveconceptembodied
inaclaimiscomparedvis-a-visthestateof the art.Arejectioninviewof
the priorart isdeclaredas either:
(a) Unpatentabilityfor want of novelty,or
(b) Unpatentabilityfor want of inventiveness.
The otherstatutoryrequisiteof patentabilityisindustrialapplicability.
Tobe industriallyapplicable,thedisclosureshouldwarrantrepeatability
of the processinvolvedandreproducibilityof the productclaimedonan
industrialscale.Shouldtheclaimfail tosatisfyanyof thethreestatutory
requisitesof patentability,i.e., novelty,inventivenessandindustrial ap-
plicability, thenitshallbeheldunpatentable. Thestatutorybasesfor this
are Secs.7 and 9 of R.A. 165concomitantlywithRules31, 33 and34 of
the Rulesof Practice.Rejectionsof thistypearewhat wecall rejections
based on statutory grounds.
MERCADO: PATENTAPPLICATION 185
REJECTION ON FORMAL MATTERS
Any of the followingconstitutea rejectiononformal matters:
(a) Aggregation and old combination. A combinationof old ele-
mentseachof whichfunctionsseparatelyandsubstantiallyas
it did before, completelyuninfluencedby the actionof the
otherparts.
(b) Indefiniteness.The exactlimitationsof the inventionshouldbe
specifiedinthe claim.Aclaimisthereforedeemedindefiniteif
the specifiedboundarybetweenwhat iscoveredandwhat is
not coveredbythe claimisnotdear.
(c) Inadequate and insufficient disclosure. A claimwhichisbased
on an insufficientdisclosureisobjectedto for want of exam-
plesor illustrationssupportiveof the claimedinventivecon-
cept.The statutorybasisfor thisisSec. 14dof R.A. 165which
requiresthatthe bestmode contemplatedbythe inventorin
carrying out the inventionshouldbe describedusingclear,
conciseandexacttermstoenablesomeonewithordinaryskill
inthe art to practiceand usethe inventionwithoutundueex-
perimentationonhispart.
(d) Broadness. A claimisobjectedto basedonunduebreadthor
broadnessinviewof theuseof expansivedefinitionsor limita-
tionswhichcouldnotbeprovedoperablegiventheapplicant's
invention.Example:
C 5"C32alkyl
If the illustrationand examplesgivensupportonlythe lower
limitof thealkylgroupthena claimtotheupperlimitcouldbe
deemed undulybroadif an applicantfailsto provethe oper-
abilityof the definedinventiveschemeusingan alkylwith 32
carbonatoms.
(e) Functional expressions. Processstepswhich describe the
mere effect ratherthanme meansemployedtoarrive at the
desiredeffect.
(f) Incompleteness. An objectiononthe groundof incomplete-
nessisraisedif the claimfailstoincludeessentialelements,
processstepsandcriticalpartsof theinventionsuchas for ex-
ample, theweightcontributionof essential elementsof a com-
position,criticaltemperatureandothercriticaloperatingcon-
ditions.
186 JOURNALOF PHILIPPINEDEVELOPMENT
C3. Responseby the applicant
The examiner'sevaluationof a patentapplicationisforwardedtothe
applicantina formal correspondencetermedas an examiner'saction.
In orderto beentitledto a re-examination,an applicanthasto filea
completeresponsetoanexaminer'saction.A completeresponseisone
whichtouchesonall groundsof rejectionraised inthe examiner'sac-
tion. This is in accordancewithRule92 of the Rulesof Practicewhich
specifiesthat an applicant'sresponsemustappear throughoutto be a
bonafide attemptto advancethecaseto final action.
A responseshortof satisfying.Rule92 maybeconsideredincomplete
or nonresponsiveas the case may be. An incompleteresponseisone
whichfailsto includea traversal or amendmentsto certainrejections
raisedinthe outstandingexaminer'sactionwhereasonewhichvirtually
ignoresall rejectionsand objectionsraised in suchaction isdeemed
nonresponsive.
Statutory Period Set for Filing Applicants' Response
A responseto the examiner'sactionisdue withintwomonthsfrom
the mailingdateof thelattersubjecttotwoextensionsequivalenttotwo
monthseach. Therefore,the allowabletime limitset to respondto the
examiner'sactionisa maximumof sixmonths.
C4.Applications abandoned for failure to prosecute and revival
thereof
An applicationshall bedeclaredabandonedinthe eventof the appli-
cant'sfailuretoprosecutewithinthestatutoryperiodsetfor thispurpose
(Rule 112),
Abandonedcasesmaybe revivedaspendingapplicationswithinfour
monthsfromthe dateof abandonmentupon
(a) goodcauseshown,
(b) submissionof anactionresponsiveto the outstandingofficial
action,and
(c) paymentof the requiredfee.
C5.Subsequent actions by examiner and responses of the applicant
Insubsequentactions, the examineracknowledgesthe responsesub-
mitted by the applicant and notestherein the entry of additional claims
and of allowable amendments requestedfor boththe specification and
the claims including a request for cancellation of any claim. In view of
requested amendments, the claims under consideration are indicated
MERCADO: PATENT APPLICATION 187
and the statusthereofis carefullynoted.Iftheclaimsare allowable,the
examinerstatesso; if not,the reasonsthereforeare cleadyandexplic-
itlystated, andwherepossible,suggestedamendmentsare includedto
acceleratethe eadyallowanceofthe patentablesubjectmattercovered
in theclaims.
Just likethe responsetothefirst officialaction, all responsesto any
other examiner'sactionbecomecluewithinthe periodset forthunder
Rule 112. All suchresponsesshouldbe filledin completelysothat re-
buttalsor amendmentswhichcouldobviateorovercomeall rejections
couldbe included.
C6.Final Action
An applicant may persist in his claim for a patent with or without
amendment after receivingthe first examiner's action. Under Sec. 16of
R.A. 165, a re-examination of the application is in order. On re-exami-
nation (i.e., on the second or any subsequentexamination) the rejection
or other action may be made final. A final rejection includesa reiteration
of all grounds for rejection applicable to the claims in the case, clearly
specifying therein the rationalefor the said rejection.
C6-1. Appealable to the Director (Rule 256)
Applicants may appeal to the Director for a final action within four
months from the mailing date of the notice.
C6-2. Requirement for appeal (Rule 258)
An applicant's appeal must indicatethe rejected claims for which the
appeal is beingfiled. The appeal must alsobe accompaniedbya request
for reconsiderationof the final rejection bypresenting an argument/re-
buttal which may be substantiated bythe submissionof affidavits or by
entering amendments to the rejectedclaims, or both. Affidavits submit-
ted after an appeal may be consideredonly upon proofs of good cause
and sufficient reasonsfor admittance.
Within 60 days from the date of appeal, the appellant should file a
brief of the arguments relied upon as a basis for the appeal; otherwise,
the appeal shall be dismissed.
C6-3. Examiner's brief (Rule 259)
The appellant shall be served a written statement of the examiner's
answer to his brief. If the examiner's brief in turn includes new points, a
reply thereto may be filed within thirty days from the date of receipt
thereof.
188 JOURNALOF PHILIPPINEDEVELOPMENT
C6-4. Hearing
Anoral hearingmaybe undertakenuponthe appellant'srequest;oth-
erwise,the appealshallbe assignedfor considerationanddecision.
C6-5. Director'sdecision(Rule 262); appeal tointermediate appellate
court
Afterdueconsiderationoftheappealedcase,the Directormay either
affirmor reversethedecisionof the examiner.
As perR.A. 5434, anyrequestfor re-hearingor reconsiderationof the
case must be filedwiththe IntermediateAppellateCourtwithinfifteen
daysfromthe dateof notice.
C7. Interference Proceedings(Rules 190-194)
The question of priorityof invention betweentwo or more parties
claimingsubstantiallythe same inventionisdeterminedby instituting
interferenceproceedings.
C7-1. Preparation
Inte#erence proceedingsare institutedif there exists a plurality of
applicationor if anapplicationanda patenthavea commonpatentable
subjectmatter.
It is required that the claims coveringthe common inventionbe
draftedinthesame languageinorderthat aninterferencecouldbede-
clared.
An applicationwhichisupfor interferenceshall be forwardedtothe
Director'sofficetogetherwiththe noticeof interference.The interfering
subjectmattersandtheclaimscorrespondingtheretoshallbedefinedin
the notice.
C7-2. Declaration
The Directorassignsnumberstothenoticesof interferencewhichare
then forwarded to all the parties involved. The Director assumes juris-
diction over the cases upon the institution and declaration of the inter-
ference.
C8. Recommendationfor Allowance
The claims of an application shall be recommendedfor allowance ifi
(a) The examination report showsthat the claim of an application
is entitled to a patent under the law. A claim is deemed allow-
ableif it satisfies all statutory requisitesof patentability and if it
MERCADO: PATENT APPLICATION 189
meets all requirements based on nonstatutorygrounds; and
(b) No interference has been declared, or, if one has been de-
clared, the case has been decided in favor of the applicant.
PATENT GRANT
A. Issuance of Letters Patent (Rule 144)
An allowed application is forwarded to the Director's office for final
approval. Uponpayment of the issuancefee, a letterspatent is prepared
at the AIPD. The letters patent certificate becomesa patent on the date
the Director affixes his signature thereon.
B. Payment of Annual Fees (Rule 152)
The first annual fee on a patent for invention is due and payable on
the expiration of the four years from the date of grant, while that for a
utility model and a designpatent is dueon or beforethe start of the sixth
year.
C. Effect of Nonpayment on Time (Rule 153)
A notice of nonpayment shall bepublished bythe Patent Office inthe
Official Gazette. The patent lapses if the patentee fails to settle the an-
nual fee and with the surcharge accruingthereto within a period of six
monthsfrom the actual publicationdate inthe Official Gazette. A notice
relating to lapsed patentsis also publishedin the Official Gazette.
D. Reinstatement of Lapsed Patent
A lapsed patent may be reinstatedupon payment of the following:
(a) annual fee;
(b) surcharge for delayed payments;
(c) surcharge for reinstatement; and
(d) expensesfor publicationinthe Official Gazette incurredfor this
purposeand uponshowingsatisfactoryproof that nonpayment
was not deliberately committed.