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ANAQUA Quarterly Law Update Service

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Contents

Glossary_____________________________________________________________________________________ 3

Record Types_________________________________________________________________________________4

Countries and Jurisdictions_____________________________________________________________________4

Country Rules________________________________________________________________________________ 5

Resources____________________________________________________________________________________5

Audit________________________________________________________________________________________ 5

Bulletins______________________________________________________________________________________6

Business Rules________________________________________________________________________________ 6

Custom Rules_________________________________________________________________________________6

Quarterly Law Update Process__________________________________________________________________6

Client Law Update Process_____________________________________________________________________ 7

Frequently Asked Questions____________________________________________________________________7

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SUMMARY Anaqua provides quarterly law updates for ANAQUA software subscribers. This document outlines the scope of law updates, special considerations in the use of ANAQUA laws, frequency of update, update mechanism and the process used by Anaqua to ensure quality control.

GLOSSARY

PHRASE / TERM DESCRIPTIONANAQUA The software productAnaqua The company, Anaqua, Inc.Business Rules Non-legal rulesClient The entity using ANAQUACountry Rules Legal rulesCustom Rules Non-legal, client-specific rulesGlobal Laws Set of rules which may be optionally applied across various countries and/or Application TypesLaw Engine Functionality within ANAQUA which drives automation of Due Date calculation, Docketing

Tasks, automated emails, etc.Law File Set of country, business and custom rules

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RECORD TYPES ANAQUA contains modules for all standard IP Types, as well as additional optional modules designed to support various IP practices. ANAQUA includes Law Files to support all available record types. The following list represents a subset of the most commonly used modules:

MODULE MATTER TYPES, where applicableInventionPatent All known patent types including provisional, non-provisional, utility model, plant and

pharmaceutical.All known application types including first filing, divisional, continuation, EPO, PCT, etc.

Industrial Design Direct national applications and applications via the HagueTrademark Direct national applications and applications via WIPO, Divisional, Cautionary Notice, and

applications based on parent territory applications.Copyrights, Customs and Domain Registration management are included within the Trademark module.

Conflict / Disputes Matter-type workflow is provided within Prosecution Templates.General Matters

COUNTRIES AND JURISDICTIONSLaw Files are provided for all IP record types for every known country, law treaty, administrative territory and jurisdiction where IP protection is possible. We also provide all 50 US States in our territory list for management of state trademark registrations.

Countries which are no longer ‘active’ (e.g., Yugoslavia) are also maintained for the purposes of supporting historical records which may be present in Client data.

MODULE RULES

Patent and Design

• Acceptance/Allowance• Divisional workflow, if special handling needed• Examination Request Due Date• Expiry Date • First Annuity Due Date• Grant/Issue Fees Due Date• Opposition Expiry Date• Pharmaceutical / SPC workflow• Plant Patents - special expiry date• Search Request Due Date (rare)

Trademark

• Cancellation for Non-Use• Class System including single/multi class requirements• Declaration, Statement or Proof of Use Due Date• Effective Date• First and Subsequent Renewal Due Dates• Opposition Expiry Date• Registration Fees Due Date• Renewal Grace Period

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Treaties, Protocols, etc.

• ARIPO• Eurasian Patent Convention• European IPO• European Patent• Gulf Cooperation Counsel• Hague Convention• International (Madrid)• OAPI• Patent Cooperation Treaty

Prosecution Templates • Country-specific and generic templates for docketing Office Actions and other workflow• Clients may add, modify or deactivate to suit internal preferences

Countries which may be newly formed in the future are added to our database, along with supporting laws, as soon as reasonably possible and are distributed with the next scheduled quarterly law update.

COUNTRY RULESANAQUA’s Country Law Files contain legal due date calculations where a deadline can be calculated based on data input, such as a Filed Date. Examples of the types of legal rules the Law Engine calculates are provided below. Most calculations are contained within each specific Country Law File, however, certain calculations (Cancellation for Non-Use, for example) are supplied using Global Laws, which allows Clients to activate or deactivate to suit their internal practices.

Country rules are differentiated from standard business rules with an ‘Is Legal’ flag for the Action within the Law File. Clients should not update any rules where the Is Legal box is checked.

Many Law Files contain historical calculations where rule changes have occurred. For example, an Expiration Date calculation may differ where an application was filed before or after a specific date. Wherever possible, we retain historical calculations within the Law Files to support historical records.

RESOURCESAnaqua takes every commercially reasonable precaution to ensure that only reliable, verifiable resources are used when adding or updating country laws. Multiple resources are consulted in order to validate law information including, but not limited to:

• The country Patent and Trademark Office (PTO), when available

• Kluwer IP Law (“brown books”)

• Katzarov Manual of Intellectual Property

• Local agents

Within the quarterly law update, a link to the resource used to verify the rule addition or modification is included.

AUDITAnaqua conducts a biennial audit of all Law Files to ensure that laws are as current and accurate as reasonably possible. In addition, whenever law changes occur between biennial audits, the entirety of the Law File is reviewed in addition to whatever specific addition or modification has occurred.

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BULLETINSShould Anaqua becoming aware of any law change which will take effect before the next Quarterly Law Update is released, an email is sent to Clients which sets forth the details and timing of the change. This is a very rare occurrence.

BUSINESS RULESAnaqua provides standard business rules in each Law File in order to support generally recognized best practices. Reminders to track a filing receipt or status checks, are examples of standard business rules. These rules may be modified to accommodate internal processes and desired workflow.

CUSTOM RULESANAQUA permits and encourages Clients to create custom business rules. For example, a Client may wish to configure a law to send an automated email when a new application is filed or granted. Custom rules may be applied to any country-specific law or implemented across many laws using the Global Law feature.

QUARTERLY LAW UPDATE PROCESSEvery mid-quarter, Country Rule Updates are packaged and released to subscribers to the ANAQUA software. The release includes a consolidated list of the updates, including resources from where the update information was validated. The general procedure we follow is outlined below.

The creation, testing and distribution of each Quarterly Law Update is a rigorous process to ensure the highest quality and accuracy of our Laws to the extent reasonably possible. However, due to the nature of Country Rules, Anaqua does not warrant or guarantee their accuracy or completeness. It is the client’s responsibility to deploy internal quality control processes to validate that Tasks and Due Dates derived from Anaqua Country Rules for each transaction are accurate; as well as independently validating the law files and law update release notes.

STEP DESCRIPTION

On-going

• Monitor country rule changes via:• Subscriptions, IP Newsletters, RSS feeds, etc.• Agent notifications• Client notifications

Validation• Research and validation of rule changes, including:• Effective date• How the change may affect existing records

Analysis • Identify dependencies such as ANAQUA Version• Impact of change to existing Laws and Workflow

Bulletin • Notify Clients of Rule Changes which may take affect prior to next quarterly law update (rare)

Testing• Internal test of all rule changes, including:• ANAQUA Version specific dependencies• Conditional rule changes such as ‘filed on/after’

Packaging • Package Law Update for distribution• May include version-specific installation files

Law Update Release

• Email announcement of availability of Law Update• Release Notes• Post to Zen Desk for client retrieval

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Law Update Call

• Review Quarterly Law Updates with Client Law Teams• Voice of Customer regarding proposed future workflow or software modifications specific to Law

Engine• Question and Answers• Law Update Call Minutes are distributed

CLIENT LAW UPDATE PROCESSClients which are self-hosted must apply the updates to their systems, using a simple update process through the software interface, eliminating the need for assistance from their IT departments.

Clients which are hosted through Anaqua request updates through the Anaqua Support Team, who then schedules and applies the law updates on their behalf.

FREQUENTLY ASKED QUESTIONS1. Can Clients modify or add workflow to ANAQUA laws?

a. Yes, however, we strongly advise against modifying any Action marked ‘Is Legal’.

b. We also advise you request assistance before making any changes to the Law Files.

2. Can Clients add or remove law files?

a. No, and this should rarely, if ever, be necessary.

b. Please contact us before attempting any changes to our baseline laws.

3. If Clients create custom Actions or Workflow, will the quarterly law update overwrite these rules?

a. No, unless you have modified an ‘Is Legal’ Action.

b. If an ‘Is Legal’ Action is updated in a law update, the law update will reset that Action to match our baseline laws.

4. If a rule change is retroactive to existing matters, will the Law Update recalculate any existing Actions accordingly?

a. No, and this is a very rare occasion.

b. If an update requires extensive legal retroactive changes, clients will be provided scripts.

5. How do you manage reports where Law Engine calculations differ from what is provided by outside counsel?

a. Clients are instructed to immediately contact us, and provide a copy of the document from their outside counsel.

b. We also ask they provide us with the country, application type, vital data and steps followed so we can attempt to reproduce the error.

c. If the issue is identified to be a data or training issue, we provide the correct steps to ensure the dates can accurately calculate.

d. If the issue is identified to require correction to the Law File, we will provide steps to immediately correct in the client database and, depending on the issue, send a Bulletin to all other clients

i. The update will then be distributed in the next quarterly law update

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