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1.05

An application for grant of a patent may be made under one of the following sections of the Patents Act 1977:Section 14 - The most common form of application (Chapter 2)Section 15(9) - A Divisional application (see Chapter 14)Section 81 - Conversion from a European Patent application (Chapter 12)Section 89 - National Phase processing of a PCT application (Chapter 13)

1.06

Most applications are submitted by professional agents who act on behalf of the applicant. Patent Attorneys are qualified specialists who although dealing primarily with patent work, often deal with other aspects of Intellectual Property (For example Trademarks, Designs and Copyright) in a similar manner to law firms. They have to undergo a series of post graduate training and examinations which allow them to identify themselves as Chartered Patent Attorneys. The Register of Patent Attorneys is maintained by the Chartered Institute of Patent Attorneys (CIPA).

1.07

There are two types of agents, those who are members of firms specialising in patents and other intellectual property and those who are employed exclusively by one company. The latter are known in the patent profession as tame agents. Solicitors may also act in the same capacity as a patent agent.

1.08

Some applications are submitted directly by the applicant without the professional assistance of a Chartered Patent Attorney. These applications are designated as Private Applicant (PA) cases and are processed in a slightly different manner. Further information on dealing with PA cases can be found in Chapter 15.

1.09

The Formalities Section forms part of the Pre-Grant Administration Structure. Formalities groups are linked to a number of Examining groups.

1.10

Each Formalities group comprises a Formalities Manager and a number of Formalities Examiners and Examination Support Officers who work together as a team to carry out the three main Formalities functions -

Formalities examinationProduction and issue of Certified Office Copies (COC)Administrative support to the linked Examining Groups

1.11

Each Formalities group is responsible for the administration of all Pre-Grant patent applications that are the technical subject matter of their linked Examining Group. [For further information on Case Management see Chapter 11.

1.12

The Casework Lead acts as the senior officer in the group responsible for procedural decisions and quality assurance. At least one Casework Lead within the division will hold the position of Casework Advisor and have a number of additional responsibilities.

1.13

The Formalities Examiner is responsible for the majority of Formalities actions as listed in 1.15. The Examination Support Officer is responsible for the provision of administrative support to the examining group.

1.14

The Formalities Examiner uses many different sources of information in carrying out the job, namely:-

• The Patents Act 1977 (as amended by the Patents Act 2004) - The Parliamentary Act which governs United Kingdom patent law for both new applications and existing patents. It is the main piece of legislation under which we operate
• The Patents Rules 2007 - The Rules provide the legislative framework under which the Patents Act is administered
• Manual of Patent Practice (MoPP) - This is the manual of current practice and procedure in the Office for administering the Patents Act 1977. It is not legally binding but provides a guide for action. MoPP is available in electronic format only
• Patent Legal Decisions - These record decisions made on behalf of the Comptroller or by the Patents Court in disputes regarding patents. Decisions are published on the Office or Court website. A table of cases relating to Formalities matters is at Annex 1A - Table of Cases
• Patents Formalities Manual (PFM) - This volume contains the current practice and procedure for Formalities Examination of patent applications. It is available electronically on the IPO website and a paper copy is held in each Formalities unit
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