07.11 Patent Filing Execution Calendar: From ID Freeze to PCT
Governance metadata | Owner: Head of Finance/Legal | Last reviewed: 2026-10-22 | Next review: 2027-01-31
Strategy and Section 337 are in 07.03; this document provides a 12-month executable timeline (default, adjustable). Deadlines are governed by the patent agency calendar.
1. Default Calendar (Relative to the ID Freeze D0)
| Time | Action | Owner | Output |
|---|---|---|---|
| D0 | Freeze the structure / appearance / core-algorithm inventory | Structure + software | Feature list v1 |
| D0+2 weeks | Search report (FTO first version) | IP + architecture | Risk grading table |
| D0+4 weeks | File the invention + utility model on the same day (domestic priority) | Agency | Application receipt number |
| D0+3 months | Design around if the FTO shows red | Architecture + IP | Design-around diff |
| D0+6 months | Priority period past the halfway point: PCT or national-phase filing in the target countries | IP + target sales countries | Decision memo |
| D0+10 months | IP review of trade-show / crowdfunding public materials | Legal + brand | Pre-publication checklist |
| D0+12 months | Launch the PCT national phase (US / EU / Japan, etc.) | Foreign filing agency | National-phase list |
| Before mass production | Archive the FTO clearance memo into GR2 | Legal | Archival path |
Hard deadline: the Paris Convention 12-month priority; miss it and it is lost.
2. Default Budget Share
Allocate 2–5% of the R&D budget to IP; national-phase filing / maintenance fees go into the non-recurring items or the R&D amortization policy of 07.06. Raise the share before going overseas.
3. Hooks to the Gates
| Gate | IP inputs |
|---|---|
| GR1 | Preliminary search, obvious wall patents |
| GR2 | FTO first version + filing receipt |
| GR3 | Mass-production units match the application drawings |
| GR4 | Overseas infringement monitoring starts |
| GR5 | The patent asset inventory enters the post-mortem review |
4. Common Failures
- Publish before filing (crowdfunding / trade show) → destroys novelty
- File only on appearance and skip the invention patent
- Nobody owns the PCT national phase
- Mixing open source with patents → see the GPL isolation in 07.03
6. Related
8. Pre-Publication Checklist (Crowdfunding / Trade Show / Media)
[ ] Do the appearance drawings cover the appearance patents under application?
[ ] Do the exploded structural views expose points that can be designed around?
[ ] Do forum posts / developer documentation leak algorithm interfaces?
[ ] Legal has issued a written "cleared for publication"
9. Budget Allocation Example (Annual)
| Item | Recommended share |
|---|---|
| Domestic filing official + agency fees | 40% |
| PCT / national phase | 40% |
| Monitoring and enforcement reserve | 15% |
| Contingency | 5% |
10. National-Phase Budget Illustration (US / EU / Japan)
| Country | Official fee magnitude (conceptual) | Attorney fees | Decision point |
|---|---|---|---|
| United States | Medium-high | High | Priority if it is a main sales market |
| European Union | Medium | High | Multi-country designation requires the numbers to work |
| Japan | Medium | Medium | If entering the Japanese market |
Default: enter the main sales countries first; for non-main sales countries, hold with a PCT first and watch.
11. Closing the Loop with FTO
- Search shows red → design around, or evaluate a license (07.03)
- Design-around complete → update the application drawings
- Design-around impossible → adjust the ID or the market, go back to GR1/GR2
12. Put the Calendar into the Collaboration Tool
It is recommended to enter the three entries D0 / D0+4 weeks / D0+12 months into the calendar and set a two-person reminder (IP + project).
13. Application-Type Selection Decision Table
| Innovation point | File first | Reason | Risk |
|---|---|---|---|
| Appearance design | Design patent | Fast grant, low cost | Weak protection |
| Structural mechanism | Invention + utility model on the same day | The utility model is fast, the invention is solid | Cost ×2 |
| Control algorithm | Invention | Hard to design around | High drafting requirements |
| UI / interaction | Combination of design patent + copyright | Usable in the store and on packaging | Weak on its own |
| Supply-chain process know-how | Trade secret + non-compete | Not disclosed | Leakage is hard to prove |
Default strategy: when there is innovation in both structure and algorithm, file both; for pure appearance iterations, appearance only is enough.
14. Order of FTO and Filing
D0 feature list
→ Rapid search (1 week)
├─ No high risk → file directly
└─ High risk → design around first (1–4 weeks), then fileProhibited: "launch publicly first and sort out the patents later".
15. Article-Level Division of Labor with 07.03
| 07.03 | This document 07.11 |
|---|---|
| 337 / APEP strategy | The 12-month calendar and budget |
| FTO principles | D0 actions and gate hooks |
| GPL isolation | Not repeated |
16. Failure Post-Mortem Template
| Item | Fill in |
|---|---|
| Which step was delayed | □Search □Filing □PCT □National phase |
| Root cause | No owner / no budget / disclosed too early |
| Remediation | Filed / changed / abandoned |
| Impact on the GR | □GR2 □GR3 |
18. Real-World Conflicts Between Priority and Disclosure
| Scenario | Risk | Default handling |
|---|---|---|
| Showing a prototype at CES | Novelty | File before the show, or sign a confidentiality agreement for the exhibition |
| Crowdfunding video | Structure exposure | Reveal only the appearance, and file first |
| Media exclusive | Detail leakage | Legal reviews the outline |
| Hiring JD | Algorithm description | Redact / desensitize |
19. Reuse of 07.02 Certification Materials
Cross-check the wireless module BOM against the patent inventory: certification changes are usually accompanied by structural changes → triggers a patent drawing update check.
20. Monthly IP Meeting Agenda
- Filing progress dashboard
- New FTO risks
- Review of public materials
- Budget consumption
- Blockers against the GR gates
21. National-Phase Decision Tree
PCT runs to the 18-month priority
├─ Main sales countries clear → enter the US / EU / Japan
├─ Markets undecided → protect only 1–2 countries
└─ Budget tight → abandon maintenance of weak cases, protect the core cases23. GR2 Patent Input Acceptance Checklist (for the Gate)
| Input | Present? | Pass criteria | If missing |
|---|---|---|---|
| Feature list v1 | □ | Consistent with the ID and carries a version number | No-Go |
| FTO first version | □ | No "high risk that cannot be designed around", or a design-around plan is attached | Conditional |
| Filing receipt / application number | □ | At least one of the invention or utility model has been filed | Conditional → time-boxed |
| Publication review record | □ | Trade-show / crowdfunding materials have been checked by legal | Conditional go + details may not be disclosed |
| Budget consumption | □ | ≤ 5% of the R&D IP budget, or an overrun has been approved | Finance signs as C |
Default ruling: if the feature list is missing or the FTO has not been done → No-Go; if only the receipt is missing but the search is clean → Conditional (submit by D0+4 weeks).
24. Dual-Filing Cost Structure (Illustrative; Replace with the Agency's Quote)
| Item | Relative cost | When |
|---|---|---|
| Utility model official + agency fees | 1× | Same day as the invention |
| Invention official + agency fees | 1.5–2× | Same day |
| PCT international phase | 1–1.5× | Before D0+12 months |
| US / EU national phase | 3–6× each | On entry |
Default: budget domestic dual filing at 3× a single-country utility model; raise it to 8–12× the annual budget before going overseas.
25. Design-Around Worksheet (When the FTO Shows Red)
| Essential technical feature | Can it be broken apart? | Alternative | Still falls within the claim? | Owner |
|---|---|---|---|---|
| Example: snap-fit angle | Yes | Magnetic | No | Structure |
| Example: algorithm step A→B | Partly | A→C→B | Pending search | Software |
Design-around complete → update the application drawings → re-run the search → file again.
26. With 07.06 Amortization
| Spend | Default |
|---|---|
| Domestic filings | Expensed to R&D or capitalized per policy |
| National phase | The expense/capitalization treatment in the year of entry is set by finance |
| Maintenance fees | Enter OPEX after mass production starts |
Prohibited: hiding large national-phase costs inside marketing expense.
27. Monthly Dashboard (IP Meeting)
| Field | Redline |
|---|---|
| Overdue filings | >0 → escalate |
| Days of priority remaining | <30 → yellow; <14 → red |
| Unclosed FTO red items | Block tooling for the affected SKU |
| Budget consumption % | >80% → freeze non-core cases |
28. Checklist (Gate Joint-Signature Version)
[ ] All five GR2 inputs are green or already Conditional with a deadline
[ ] The dual filing has been submitted or waived in writing
[ ] The publication review has a record number
[ ] Finance has confirmed the amortization basis
[ ] Two-person reminders are set on the priority calendar