E PCT/R/WG/4/3 ORIGINAL: English WIPO DATE: April3,2003 WORLDINTELLECTUALPROPERTYORGANIZATION GENEVA INTERNATIONALPATENTCOOPERATIONUNION (PCTUNION) WORKINGGROUPONREF ORMOFTHEPATENT COOPERATIONTREATY( PCT) FourthSession Geneva,May 19to23,2003 ASPECTSOFCOPYRIGHT ANDOTHERRIGHTSIN NON -PATENTLITERATURE MADEAVAILABLEBYIN TELLECTUALPROPERTY OFFICES DocumentpreparedbytheInternationalBureau BACKGROUND 1. TheSummarybytheChairofthethirdsessionoftheWo rkingGrouponReformofthe PatentCooperationTreatystates,inparagraph63(seedocument PCT/R/WG/3/5 ): “CopyrightIssuesRaisedbytheInternationalSearchandPreliminary ExaminationProcedure “63. Twodelegationsobservedthatthemakingandsending,bytheInternational SearchingAuthority,ofcopiesofdocumentscitedintheinternationalsearchreport,as providedbyArticle20(3)andRule44.3,couldinvolvecopyrightinfringement,in particularwhereitinvolvednon-patentliteratureandthefirstdigitizationofa document.TheInternationalBureauobservedthatthelibrarycommunitymayalso experiencesimilarproblems.ItwasagreedthattheInternationalBureau,incooperation withtheDelegationofCanadaandotherAuthorities,shouldstudythematterwitha viewtohavingthematterconsideredbytheappropriatebodyorbodieswithinWIPO.” 2. Thepresentdocumentcontainsapreliminaryoutlineanddiscussionofcertainlegal issuesarisingfromthemakingavailableofnon-patentliteraturebyindustrialpropertyoffices (“Offices”)andoutlinesthebroadercontextinwhichtheseissuesmightarise,takinginto PCT/R/WG/4/3 page 2 accountalsothelikelyevolutionofofficepracticesinthedigitalenvironment.Inlightofthis purpose,thedocumentfocusesnotonlyonquestionsresultingfromtheapplicationof Article 20(3)ofthePCTandRule44.3oftheRegulationsunderthePCT,asmentionedinthe summaryoftheChairofthethirdsessionoftheWorkingGroup,butalsoonthosethatmigh t arisefromother,moretechnologicallyadvanced,meansforOfficestomakenon-patent literatureavailable.ThedocumentwaspreparedbytheInternationalBureauaftermaking preliminarycontactswiththeDelegationsofAustraliaandCanada,butitdoes notrepresent anagreedposition. INTRODUCTION 3. Examinationastothenoveltyofaclaimedinventionrequiresareviewoftherelevant priorart.Traditionally,suchexaminationwasperformedprincipallybyreviewing paper -basedsources ofpriorart,namelycopiesofpublishedpatentdocumentsandof non-patentliterature(thelatterincluding,forinstance,technicalarticlesandtextbooks). 4. Duringthelastdecade,inparticular,themethodbywhichthepriorartreviewis performedhasbeenprofoundlyaffectedbyinformationtechnology,includingtheInternet. Sourcesofpriorartwhichpreviouslywereonlyavailableonpapernowalsoexistindigital form.Furthermore,inrecentyears,numerousdatabasesprovidingonlineaccesstoawealth ofpatentandnon-patentliteraturehavebecomeavailable,manyofwhichcanbeconsulted throughtheInternet.Itistobeexpectedthatthistrendwillintensifyinthefuture.Someof thesedatabasesaremadeavailableonacommerc ialbasisbyprivateentities,whileothers havebeendevelopedbypublicauthorities,mostnotablyOffices.Thevalueofthesepatent databasesisafunctionoftherichnessoftheircontent,aswellastheireaseofuse. Aggregatingalargeamountofeasilyretrievableandrelevantinformation,includingnon- patentliterature,insuchdatabasesisahighlyattractivepropositionfortheusersofthepatent system. 5. Inthecourseoftheperformanceoftheirfunctions,Officesmakeavailable sourcesof priorart,includingnon-patentliterature,toavarietyofpersonsandentities,includingstaff memberswithintheOffice,otherOfficesandapplicants,andalsothirdparties.Thereare variousmeansbywhichthesesourcesmaybemadeavaila blebytheOfficesconcerned, includingthemailingordistributionofpapercopiesofthematerialsatissue,thetransmission ofthesamematerialsinelectronicformthroughnetworksincludingtheInternet(e -mail)and themakingavailableofdatabases permittingonlineaccesstothematerialsinquestion.To theextentthatthosepriorartsourcesincludenon-patentliterature,theirbeingmadeavailable inthismannerbyOfficesmayaffectthirdparties’rightsintheworksconcerned.Offices shouldthereforebeawareofthelegalimplicationswhichtheirpracticesmayhaveinrespect ofthosethirdpartyrights. THEMAKINGAVAILABLEBYOFFICESOFNON -PATENTLITERATURE: SCENARIOS 6. Asexplainedabove,Officesmaymakenon-patentliter atureavailabletodifferent personsorentitiesbyvariousmeans.Whileitisrecognizedthatthelistbelowisnot exhaustive,itwouldappearthatcurrentandfutureOfficepracticestypicallywouldfallunder oneormoreofthefollowingcategories: (i) themakingbyOfficesofphysicalordigitalcopiesofnon-patentliteraturefor consultationonlybystaffmembersoftheOfficesconcerned(“ScenarioA”); PCT/R/WG/4/3 page 3 (ii) thecreationbyOfficesofsearchabledatabasescontainingnon-patentliterature, forco nsultationonlybystaffmembersoftheOfficesconcerned,throughthescanning,using OpticalCharacterRecognition,anduploadingofnon-patentliterature(“ScenarioB”); 1 (iii) thetransmissionbyOfficesofphysicalordigitalcopiesofnon-patentliteratureto designatedOfficesorapplicantsunderArticle20(3)ofthePCT(“ScenarioC”); (iv) thetransmissionbyrelevantAuthoritiesofInternationalSearchReportsand InternationalPreliminaryExaminationReportscontaininghyperlinkstonon -paten tliterature hostedonthirdpartyInternetresources(forinstance,ahyperlinktoanarticleinatechnical magazinepostedonthewebsiteofanInternetpublisher)(“ScenarioD”); (v) thecreationandmakingavailablebyOfficesofdatabases,forconsultationbythe publicthroughtheInternet,containinghyperlinkstonon-patentliteraturehostedonthird partyInternetresources(“ScenarioE”); (vi) themakingavailablebyOfficesofdatabasesdescribedin(ii)tothepublicfor consultationthroughtheInternet(“ScenarioF”). 7. Afterageneralreviewoftherelevantlegalprinciples,theremainderofthisdocument willoutlinethelegalissueswhichmayarisefromeachoftheabovescenarios. RELEVANTLEGALPRINCIPLES 8. Asubstantialportionofthenon-patentliterature,typicallytechnicaltextbooksor articlesintechnicalpublications,aresubjecttoexclusiverightsgrantedtotheirauthorsbythe copyrightsystemandmayalsobenefitfromotherformsofprotectio nofferedbysimilar rights.Theseexclusiverightsorotherformsofprotectionplaceimportantrestrictionsonthe usewhichotherpartiesmaymakeoftheworksinquestion,absentauthorizations(licenses) fromtherightsholders.Theinternationalleg albasisoftheserestrictionsisdiscussedinthe subsequentparagraphsofthispaper. ProtectionUnderCopyright 9. Article2oftheBerneConventionfortheProtectionofLiteraryandArtisticWorks(the BerneConvention)statesthat“[t] heexpression‘literaryandartisticworks’shallinclude everyproductionintheliterary,scientificandartisticdomain,whatevermaybethemodeor formofitsexpression,suchasbooks,pamphletsandotherwritings….”Manyformsof non-patentliter ature,andcertainlytechnicaltextbooksandarticlesintechnicalpublications, qualifyas“literaryandartisticworks”undertheBerneConvention.Theessentialelementsof theBerneConventionhavebeenincorporatedintotheTRIPSAgreementthroughit s Article 9(1)statingthat“[m]embersshallcomplywithArticles1through21oftheBerne Convention.”2 1 SeepaperbyShigeoTakakura(JapanPatentOffice),Non-PatentDocumentDatabasefor ExaminationofSoftware -RelatedInventions(November21,2002). 2 Exceptinrespectoftherightsconfe rredunderArticle6 bis oftheBerneConvention. PCT/R/WG/4/3 page 4 10. Thecopyrightsystemconfersupontheauthorsofliteraryandartisticworksabundleof differentrights.Amongthevariousrights granted,thosethatconcernmostdirectlythetopic atissuearetherightofreproduction,therightofdistributionandtherightofmakingavailable tothepublic. 11. TherightofreproductionisenshrinedinArticle9oftheBerneConvention,which providesthat“[a]uthorsofliteraryandartisticworksprotectedbythisConventionshallhave theexclusiverightofauthorizingthereproductionoftheseworks,inanymannerorform.” Withrespecttotheapplicationofthisrightinthed igitalenvironment,theagreedstatement concerningArticle1(4)oftheWIPOCopyrightTreaty(WCT) 3readsasfollows: “Thereproductionright,assetoutinArticle9oftheBerneConvention,andthe exceptionspermittedthereunder,fullyapplyinthedigitalenvironment,inparticularto theuseofworksindigitalform.Itisunderstoodthatthestorageofaprotectedworkin digitalforminanelectronicmediumconstitutesareproductionwithinthemeaningof Article9oftheBerneConvention.” 12. TherightofdistributionislaiddowninArticle6(1)oftheWCTwhichstipulatesas follows: “Authorsofliteraryandartisticworksshallenjoytheexclusiverightofauthorizingthe makingavailabletothepublicoftheoriginalandcopiesoftheirworksthroughsaleor othertransferofownership.” 13. Withrespecttotherightofmakingavailabletothepublic,Article8oftheWCTstates asfollows: “Withoutprejudiceto[certainprovisionsoftheBerneConvention],authorsof literary andartisticworksshallenjoytheexclusiverightofauthorizinganycommunicationto thepublicoftheirworks,bywireorwirelessmeans,includingthemakingavailableto thepublicoftheirworksinsuchawaythatmembersofthepublicmaya ccessthese worksfromaplaceandatatimeindividuallychosenbythem.” Thepassage“makingavailabletothepublicof…worksinsuchawaythatmembersofthe publicmayaccesstheseworksfromaplaceandatatimeindividuallychosenbythem” cover sthepostingofworksontheInternetinordertoallowthepublictoaccessordownload them. 4 3 TheWCTisoneoftwotreatieswhichwereadoptedin1996bytheWIPOMemberStates(both commonlyreferredtoasthe“WIPOInternetTreaties”),theotherbeingtheWIPOPerformances andPhonogramsTreaty (WPPT).Thetreaties,eachhavingreachedtheir30 th ratificationor accession,havebothenteredintoforce:theWCTonMarch6,2002,andtheWPPTonMay20, 2002.TheWIPOInternetTreatiesaredesignedtoupdateandsupplementtheexisting internat ionaltreatiesoncopyrightandrelatedrights,namely,theBerneConventionandthe RomeConvention. 4 Foranextensiveanalysisofthebackgroundtothisprovisionanditsrelationshipwiththe interactive,on-demandtransmissionsofworksindigitalnetworks,seeMihályFicsor,TheLaw