E pct/ctc/28/3 original: English date: April 1, 2015 Patent Cooperation Treaty (pct) Committee for Technical Cooperation Twenty-Eighth Session Geneva, May 26 to 29, 2015

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DATE: April 1, 2015

Patent Cooperation Treaty (PCT)

Committee for Technical Cooperation

Twenty-Eighth Session

Geneva, May 26 to 29, 2015

Appointment of the visegrad patent institute as an International Searching and Preliminary Examining Authority under the PCT: additional information

Document prepared by the International Bureau

1.The Annex to the present document sets out further information on the existing quality management systems (QMS) covering the national patent granting processes of the four industrial property Offices participating in the Visegrad Patent Institute, presented in the form of individual QMS reports in accordance with Chapter 21 of the PCT International Search and Preliminary Examination Guidelines.

2.The Committee is invited to note the contents of the present document.

[Annexes follow]

Report on Quality Management Systems

prepared by the Industrial Property Office of the Czech Republic (IPO CZ)

as participating office of the Visegrad Patent Institute (VPI)

The Authority should provide general background information relevant to the quality management system (QMS) as set forth in this template.

The descriptions below each main heading of this template should be considered examples of the type and arrangement of information that should be included under each heading. Each Authority may provide additional information beyond that set forth in this template as desired. INTRODUCTION (PARAGRAPHS 21.01 - 21.03)
If applicable, the Authority may at this point indicate any recognized normative reference or basis for their quality management system besides Chapter 21, such as ISO 9001, under the heading “Normative Reference for QMS”

For example: “Normative reference for QMS: ISO 9001, EQS (European Quality System)”

Each Authority should then provide at least the information indicated in the descriptive boxes, under the following headings

The Industrial Property Office of the Czech Republic (IPO CZ) strives to maintain and further increase the efficiency, trustworthiness and quality of all administrative activities and services it provides. It places emphasis on the protection of information, takes care of workplace safety, and has a responsible approach to environmental protection. The integrated system of the Office management has been systematically improved along with this. At present, this includes the system for quality management according to the requirements of the ISO 90001:2008 standard, the information security management system according to the requirements of the ISO/IEC 27001:2005 standard, the occupational health and safety management system according to the BS OHSAS 18001:2007 standard and the system of environmental protection according to the ISO 14001:2004 standard. In cooperation with the European Patent Office, the European standard of quality management – EQMS – CA 57/07 has been implemented.

The IPO CZ Integrated management system is certified by independent international external auditors. Quality Austria Training, Certification and Evaluation GmbH. and CIS Certification and Information Security Services GmbH.

Figure 1: The IMS certification of the IPO


21.04 Confirm that the following are clearly documented, and that this documentation is available internally:

(a) The quality policy established by top management.

(b) The roles and names of those bodies and individuals responsible for the QMS, as delegated by top management.

(c) An organizational chart showing all those bodies and individuals responsible for the QMS.

(a) The quality policy established by the top management:

POLICY of the Integrated Management System

  1. Responsibility to the State

The IPO CZ (hereinafter referred to as Office) takes such actions that promote the rights and interests of the State and all its citizens. It lays great emphasis on information protection when dealing with information related to support of the public service industrial property protection. Information security is promoted at all levels of the Office and the managers of the individual Office departments are responsible for it at all levels. The Office management quality is continually evaluated and improved. The Office promotes systematic approach towards Environment, Health and Safety. The Integrated Management System serves as a foundation which is process-based and aims at improving work efficiency regarding all the responsibilities and powers.

  1. Openness towards the public

Open attitude towards the public is based on wide and free information exchange, extending the awareness of the need and function of the industrial property protection system, providing accurate picture of the industrial property status and recording legitimate needs and opinions of the citizens. The Office prides itself on improving cooperation with the general and expert public on all occasions, from forming legal regulations to the content of activities concerning education and public education.

  1. Citizens' satisfaction

Attention is paid to lawfulness, unity, security and objectivity of the administrative procedures and integrity, availability and confidentiality of the Office information. Equal approach to both individuals and legal entities is the basis. The Office strives for procedures that are thorough, clear, predictable. The notion of the Office activities is compared to the clients' responses. Their suggestions are sources of improvements.

  1. Employees' qualification and motivation

Employees are encouraged to work in compliance with the laws and other legal regulations, the information security policies, the EEC policies and ethics norms of the State administration. High level of expertise and its continual improvement, highest level of politeness, sympathy and helpfulness are considered the basic characteristics of the Office's employees. Suitable working conditions are created for employees who are motivated to improve their work initiative and efficiency.


Figure 2:  the roles of ISO QMS, ISMS, OHSAS, EMS integrated management system in the Industrial Property Office of the Czech Republic

Figure 3: Organization structure of the IPO CZ

21.05 Indicate (e.g. by means of a table) the extent of compatibility between the Authority's QMS and the requirements of Chapter 21 of these International Search and Preliminary Examination Guidelines. Alternatively, indicate where the Authority is not yet compliant with these requirements.).

Chapter 21 requirement

Extent of compliance






Quality policy available


Identified roles and names for QMS responsibility


Organizational chart available


Established compatibility of QMS with Chapter 21



Mechanisms to ensure effectiveness of the QMS


Control of the continual improvement process



Communication of management about this standard to staff


The PCT Guidelines are in line with the Authority's QMS



Management reviews take place


Quality objectives are reviewed


Communication of quality objectives throughout the Authority



Performance of a yearly internal review of the QMS in/to


(i) determine the extent to which the QMS in based on Chapter 21

(ii) determine the extent to which S&E complies with PCT Guidelines


an objective and transparent way


using input incl. information according paragraph 21.17


recording the results


Assurance to monitor and adapt to actual workload



Infrastructure in place to ensure that a quantity of staff

(i) sufficient to deal with the inflow of work

(ii) which maintains tech. qualifications to S&E in all technical fields

(iii) which maintains the language facilities to understand languages according to Rule 34


Infrastructure to provide a quantity of skilled administrative staff

(i) at a level to support the technically qualified staff

(ii) for the documentation records



(i) Ensuring appropriate equipment to carry out S&E

(ii) Ensuring documentation accord. to Rule 34


(i) Instructions to help staff understand and act accord. the quality criteria and standards

(ii) Instructions to follow work procedures accurately and they are kept up-to-date.


(i) L&D program to ensure and maintain necessary skills in S&E

(ii) L&D program to ensure awareness of staff to comply with the quality criteria and standards.



System in place for monitoring resources required to deal with demand


System in place for monitoring resources required to comply with the quality standards in S&E



Control mechanisms to ensure timely issue of S&E reports


Control mech. regarding fluctuations in demand and backlog



Internal quality assurance system for self-assessment

(i) for compliance with S&E Guidelines

(ii) for channeling feedback to staff


A system for measurement of data and reporting for continuous improvement


System for verifying the effectiveness of actions taken to correct deficient S&E work



Contact person helping identify best practice between Authorities


Contact person fostering continual improvement


Contact person providing for effective comm. with other Authorities for feedback and evaluation



(i) Appropriate system for handling complaints

(ii) Appropriate system for taking preventive/corrective actions

(i) Appropriate system for offering feedback to users


(i) A procedure for monitoring user satisfaction & perception

(ii) A procedure for ensuring their legitimate needs and expectations are met


Clear and concise guidance on the S&E process for the user


Indication where and how the Authority makes its quality objectives publicly available


Established communication with WIPO and designated and elected Offices



QMS of Authority clearly described (e.g. Quality Manual)



Documents making up the Quality Manual have been prepared and distributed


Media available to support the Quality Manual


Document control measures are taken



Quality policy of the Authority and commitment to QMS


Scope of QMS


Organizational structure and responsibilities


the documented processes are carried out in the Authority


Resources available to carry out processes


a description of the interaction between the processes and the procedures of the QMS.



Records which documents are kept and where they are kept


Records of results of management review


Records about training, skills and experience of staff


Evidence of conformity of processes


Results of reviews of requirements relating to products


Records of the S&E process carried out on each application


Record of data allowing individual work to be tracked


Record of QMS audits


Records on actions taken re. non-conforming products


Records on actions taken re. corrective actions


Records on actions taken re. preventive actions


Records referring to search process documentation



(i) Recording of the databases consulted during search

(ii) Recording of keywords, combination of words and truncations during search

(iii) Recording of the languages used during search

(iv) Recording of classes and combinations thereof consulted during search


Records about other information relevant to the search


(i) Records about limitation of search and its justification

(ii) Records about lack of clarity of the claims

(iii) Records about lack of unity


Report on its own internal review processes


Additional information on further inputs to its internal reviews


Initial report called for by paragraph 21.19


21.06 Indicate with reference to the organizational chart those bodies and mechanisms management uses to ensure:

(a) the effectiveness of the QMS; and

(b) that the process of continual improvement progresses.


The Improvement of the established processes is at the Office in the phase of the current process model optimization, improvement also comes from recommendations provided by surveillance audits, internal audits, corrective actions, preventive actions etc.

The next phase of improvement of the processes is setting appropriate key performance indicator (KPI) enabling detailed monitoring of the process model functioning. Improvement proposals are part of the management review.

The Office process model comprises a defined process improvement program enabling the way of communicating improvement proposal from all employees to the management.

The quality management unit is responsible for the system of improvement.


Besides performing audits by internal auditors, the integrated management system is inspected by independent certification bodies (CIS and Quality Austria) through the surveillance audits performed on yearly basis and the recertification audit performed every three years ensuring full conformity.

After a successful recertification audit, new certificate is issued with prolonged Validity.

21.07 Indicate how management of the Authority communicates to its staff the importance of meeting treaty and regulatory requirements including:

(a) those of this standard; and

(b) complying with the Authority's QMS

The management of the IPO CZ communicates to the personnel the importance of fulfillment of the QMS requirements.

The communication is conducted via the regularly held meetings. On these meetings the compliance with the QMS of the IPO is also discussed.

21.08 Indicate how and when top management of the Authority or delegated officers:

(a) conducts management reviews and ensures the availability of appropriate resources;

(b) reviews quality objectives; and

(c) ensures that the quality objectives are communicated and understood throughout the respective Authority.


The IPO CZ management develops and forms quality goals, directed toward continuous improvement, based on the strategy. Quality objectives are defined during the management review; the process of quality objectives is described and documented in the Office process model.

Objectives are communicated to all employees during periodical trainings and are available on the intranet. Objectives are available to the public/customers on the IPO website.


The quality management unit prepares an integrated management review report, which includes all inputs and outputs defined by ISO 9001:2008, EQMS – CA 57/07, ISO/IEC 27001:2005, OHSAS 18001:2007 and ISO 14001:2004. The management review report is communicated at the management meeting where the report is evaluated by directors of all departments and by the President of the Office. If the report is found complete and correct, the President of the Office approves the report and after the approval, the report is considered as a top management review.

Quality objectives revision and evaluation is a part of the report.


The quality objectives are available for the personnel via intranet and are discussed on staff meetings.

21.09 Indicate whether top management or delegated officers of the Authority perform an internal review of the QMS in accordance with paragraphs 21.25-21.28:

(a) at least once per year (cf. paragraph 21.25);

(b) in accordance with the minimum scope of such reviews as set out in Section 8, namely:

(i) to determine the extent to which the QMS is based on Chapter 21 (cf. paragraphs 21.25, 21.27(a));

(ii) to determine the extent to which Search and Examination work complies with PCT Guidelines (cf. paragraphs 21.25, 21.27(a));

(c) in an objective and transparent way (cf. paragraph 21.25);

(d) using input including information according to paragraphs 21.27 (b)-(f);

(e) recording the results (cf. paragraph 21.28).

The management of the IPO CZ carries out the internal review of the QMS once a year.

The objective and transparent review is using the input information according to paragraphs 21.27 (b)-(f).

The results are recorded and reported on the intranet of the IPO CZ.

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