APPENDIX T     Patent Cooperation Treaty
---SECTION---
Done at Washington on June 19, 1970, amended on October 2, 1979, and
modified on February 3, 1984 (as in force on January 1, 1998)
The Contracting States,
Desiring to make a contribution to the progress of science and
technology,
Desiring to perfect the legal protection of inventions,
Desiring to simplify and render more economical the obtaining of
protection for inventions where protection is sought in several
countries,
Desiring to facilitate and accelerate access by the public to the
technical information contained in documents describing new inventions,
Desiring to foster and accelerate the economic development of developing
countries through the adoption of measures designed to increase the
efficiency of their legal systems, whether national or regional,
instituted for the protection of inventions by providing easily
accessible information on the availability of technological solutions
applicable to their special needs and by facilitating access to the ever
expanding volume of modern technology,
Convinced that cooperation among nations will greatly facilitate the
attainment of these aims,
Have concluded the present Treaty.
Introductory Provisions
---SECTION---1 Establishment of a Union
The States party to this Treaty (hereinafter called "the Contracting
States") constitute a Union for cooperation in the filing, searching,
and examination, of applications for the protection of inventions, and
for rendering special technical services. The Union shall be known as
the International Patent Cooperation Union.
No provision of this Treaty shall be interpreted as diminishing the
rights under the Paris Convention for the Protection of Industrial
Property of any national or resident of any country party to that
Convention.
---SECTION---2 Definitions
For the purposes of this Treaty and the Regulations and unless expressly
stated otherwise:
"application" means an application for the protection of an invention;
references to an "application" shall be construed as references to
applications for patents for inventions, inventors' certificates,
utility certificates, utility models, patents or certificates of
addition, inventors' certificates of addition, and utility certificates
of addition;
references to a "patent" shall be construed as references to patents for
inventions, inventors' certificates, utility certificates, utility
models, patents or certificates of addition, inventors' certificates of
addition, and utility certificates of addition;
"national patent" means a patent granted by a national authority;
"regional patent" means a patent granted by a national or an
intergovernmental authority having the power to grant patents effective
in more than one State;
"regional application" means an application for a regional patent;
references to a "national application" shall be construed as references
to applications for national patents and regional patents, other than
applications filed under this Treaty;
"international application" means an application filed under this
Treaty;
references to an "application" shall be construed as references to
international applications and national applications;
references to a "patent" shall be construed as references to national
patents and regional patents;
references to "national law" shall be construed as references to the
national law of a Contracting State or, where a regional application or
a regional patent is involved, to the treaty providing for the filing of
regional applications or the granting of regional patents;
"priority date," for the purpose of computing time limits, means:
where the international application contains a priority claim under
Article 8, the filing date of the application whose priority is so
claimed;
where the international application contains several priority claims
under Article 8, the filing date of the earliest application whose
priority is so claimed;
where the international application does not contain any priority claim
under Article 8, the international filing date of such application;
"national Office" means the government authority of a Contracting State
entrusted with the granting of patents; references to a "national
Office" shall be construed as referring also to any intergovernmental
authority which several States have entrusted with the task of granting
regional patents, provided that at least one of those States is a
Contracting State, and provided that the said States have authorized
that authority to assume the obligations and exercise the powers which
this Treaty and the Regulations provide for in respect of national
Offices;
"designated Office" means the national Office of or acting for the State
designated by the applicant under Chapter I of this Treaty;
"elected Office" means the national Office of or acting for the State
elected by the applicant under Chapter II of this Treaty;
"receiving Office" means the national Office or the intergovernmental
organization with which the international application has been filed;
"Union" means the International Patent Cooperation Union;
"Assembly" means the Assembly of the Union;
"Organization" means the World Intellectual Property Organization;
"International Bureau" means the International Bureau of the
Organization and, as long as it subsists, the United International
Bureaux for the Protection of Intellectual Property (BIRPI);
"Director General" means the Director General of the Organization and,
as long as BIRPI subsists, the Director of BIRPI.
Chapter
International Application and International Search
---SECTION---3 The International Application
Applications for the protection of inventions in any of the Contracting
States may be filed as international applications under this Treaty.
An international application shall contain, as specified in this Treaty
and the Regulations, a request, a description, one or more claims, one
or more drawings (where required), and an abstract.
The abstract merely serves the purpose of technical information and
cannot be taken into account for any other purpose, particularly not for
the purpose of interpreting the scope of the protection sought.
The international application shall:
be in a prescribed language;
comply with the prescribed physical requirements;
comply with the prescribed requirement of unity of invention;
be subject to the payment of the prescribed fees.
---SECTION---4 The Request
The request shall contain:
a petition to the effect that the international application be processed
according to this Treaty;
the designation of the Contracting State or States in which protection
for the invention is desired on the basis of the international
application ("designated States"); if for any designated State a
regional patent is available and the applicant wishes to obtain a
regional patent rather than a national patent, the request shall so
indicate; if, under a treaty concerning a regional patent, the applicant
cannot limit his application to certain of the States party to that
treaty, designation of one of those States and the indication of the
wish to obtain the regional patent shall be treated as designation of
all the States party to that treaty; if, under the national law of the
designated State, the designation of that State has the effect of an
application for a regional patent, the designation of the said State
shall be treated as an indication of the wish to obtain the regional
patent;
the name of and other prescribed data concerning the applicant and the
agent (if any);
the title of the invention;
the name of and other prescribed data concerning the inventor where the
national law of at least one of the designated States requires that
these indications be furnished at the time of filing a national
application. Otherwise, the said indications may be furnished either in
the request or in separate notices addressed to each designated Office
whose national law requires the furnishing of the said indications but
allows that they be furnished at a time later than that of the filing of
a national application.
Every designation shall be subject to the payment of the prescribed fee
within the prescribed time limit.
Unless the applicant asks for any of the other kinds of protection
referred to in Article 43, designation shall mean that the desired
protection consists of the grant of a patent by or for the designated
State. For the purposes of this paragraph, Article 2(ii) shall not
apply.
Failure to indicate in the request the name and other prescribed data
concerning the inventor shall have no consequence in any designated
State whose national law requires the furnishing of the said indications
but allows that they be furnished at a time later than that of the
filing of a national application. Failure to furnish the said
indications in a separate notice shall have no consequence in any
designated State whose national law does not require the furnishing of
the said indications.
---SECTION---5 The Description
The description shall disclose the invention in a manner sufficiently
clear and complete for the invention to be carried out by a person
skilled in the art.
---SECTION---6 The Claims
The claim or claims shall define the matter for which protection is
sought. Claims shall be clear and concise. They shall be fully supported
by the description.
---SECTION---7 The Drawings
Subject to the provisions of paragraph (2)(ii), drawings shall be
required when they are necessary for the understanding of the invention.
Where, without being necessary for the understanding of the invention,
the nature of the invention admits of illustration by drawings:
the applicant may include such drawings in the international application
when filed,
any designated Office may require that the applicant file such drawings
with it within the prescribed time limit.
---SECTION---8 Claiming Priority
The international application may contain a declaration, as prescribed
in the Regulations, claiming the priority of one or more earlier
applications filed in or for any country party to the Paris Convention
for the Protection of Industrial Property.
Subject to the provisions of subparagraph (b), the conditions for, and
the effect of, any priority claim declared under paragraph (1) shall be
as provided in Article 4 of the Stockholm Act of the Paris Convention
for the Protection of Industrial Property.
The international application for which the priority of one or more
earlier applications filed in or for a Contracting State is claimed may
contain the designation of that State. Where, in the international
application, the priority of one or more national applications filed in
or for a designated State is claimed, or where the priority of an
international application having designated only one State is claimed,
the conditions for, and the effect of, the priority claim in that State
shall be governed by the national law of that State.
---SECTION---9 The Applicant
Any resident or national of a Contracting State may file an
international application.
The Assembly may decide to allow the residents and the nationals of any
country party to the Paris Convention for the Protection of Industrial
Property which is not party to this Treaty to file international
applications.
The concepts of residence and nationality, and the application of those
concepts in cases where there are several applicants or where the
applicants are not the same for all the designated States, are defined
in the Regulations.
[NOTE: The PCT Assembly has not as yet allowed residents or nationals of
non-PCT member countries to file PCT international applications.]
---SECTION---10 The Receiving Office
The international application shall be filed with the prescribed
receiving Office, which will check and process it as provided in this
Treaty and the Regulations.
---SECTION---11 Filing Date and Effects of the International Application
The receiving Office shall accord as the international filing date the
date of receipt of the international application, provided that that
Office has found that, at the time of receipt:
the applicant does not obviously lack, for reasons of residence or
nationality, the right to file an international application with the
receiving Office,
the international application is in the prescribed language,
the international application contains at least the following elements:
an indication that it is intended as an international application,
the designation of at least one Contracting State,
the name of the applicant, as prescribed,
a part which on the face of it appears to be a description,
a part which on the face of it appears to be a claim or claims.
If the receiving Office finds that the international application did
not, at the time of receipt, fulfill the requirements listed in
paragraph (1), it shall, as provided in the Regulations, invite the
applicant to file the required correction.
If the applicant complies with the invitation, as provided in the
Regulations, the receiving Office shall accord as the international
filing date the date of receipt of the required correction.
Subject to Article 64(4), any international application fulfilling the
requirement listed in items (i) to (iii) of paragraph (1) and accorded
an international filing date shall have the effect of a regular national
application in each designated State as of the international filing
date, which date shall be considered to be the actual filing date in
each designated State.
Any international application fulfilling the requirements listed in
items (i) to (iii) of paragraph (1) shall be equivalent to a regular
national filing within the meaning of the Paris Convention for the
Protection of Industrial Property.
---SECTION---12 Transmittal of the International Application to the
International Bureau and the International Searching Authority
One copy of the international application shall be kept by the receiving
Office ("home copy"), one copy ("record copy") shall be transmitted to
the International Bureau, and another copy ("search copy") shall be
transmitted to the competent International Searching Authority referred
to in Article 16, as provided in the Regulations.
The record copy shall be considered the true copy of the international
application.
The international application shall be considered withdrawn if the
record copy has not been received by the International Bureau within the
prescribed time limit.
---SECTION---13 Availability of Copy of the International Application to
the Designated Offices
Any designated Office may ask the International Bureau to transmit to it
a copy of the international application prior to the communication
provided for in Article 20, and the International Bureau shall transmit
such copy to the designated Office as soon as possible after the
expiration of one year from the priority date.
The applicant may, at any time, transmit a copy of his international
application to any designated Office.
The applicant may, at any time, ask the International Bureau to transmit
a copy of his international application to any designated Office, and
the International Bureau shall transmit such copy to the designated
Office as soon as possible.
Any national Office may notify the International Bureau that it does not
wish to receive copies as provided for in subparagraph (b), in which
case that subparagraph shall not be applicable in respect of that
Office.
---SECTION---14 Certain Defects in the International Application
The receiving Office shall check whether the international application
contains any of the following defects, that is to say:
it is not signed as provided in the Regulations;
it does not contain the prescribed indications concerning the applicant;
it does not contain a title;
it does not contain an abstract;
it does not comply to the extent provided in the Regulations with the
prescribed physical requirements.
If the receiving Office finds any of the said defects, it shall invite
the applicant to correct the international application within the
prescribed time limit, failing which that application shall be
considered withdrawn and the receiving Office shall so declare.
If the international application refers to drawings which, in fact, are
not included in that application, the receiving Office shall notify the
applicant accordingly and he may furnish them within the prescribed time
limit and, if he does, the international filing date shall be the date
on which the drawings are received by the receiving Office. Otherwise,
any reference to the said drawings shall be considered nonexistent
If the receiving Office finds that, within the prescribed time limits,
the fees prescribed under Article 3(4)(iv) have not been paid, or no fee
prescribed under Article 4(2) has been paid in respect of any of the
designated States, the international application shall be considered
withdrawn and the receiving Office shall so declare.
If the receiving Office finds that the fee prescribed under Article 4(2)
has been paid in respect of one or more (but less than all) designated
States within the prescribed time limit, the designation of those States
in respect of which it has not been paid within the prescribed time
limit shall be considered withdrawn and the receiving Office shall so
declare.
If, after having accorded an international filing date to the
international application, the receiving Office finds, within the
prescribed time limit, that any of the requirements listed in items (i)
to (iii) of Article 11(1) was not complied with at that date, the said
application shall be considered withdrawn and the receiving Office shall
so declare.
---SECTION---15 The International Search
Each international application shall be the subject of international
search.
The objective of the international search is to discover relevant prior
art.
International search shall be made on the basis of the claims, with due
regard to the description and the drawings (if any).
The International Searching Authority referred to in Article 16 shall
endeavor to discover as much of the relevant prior art as its facilities
permit, and shall, in any case, consult the documentation specified in
the Regulations.
If the national law of the Contracting State so permits, the applicant
who files a national application with the national Office of or acting
for such State may, subject to the conditions provided for in such law,
request that a search similar to an international search
(international-type search) be carried out on such application.
If the national law of the Contracting State so permits, the national
Office of or acting for such State may subject any national application
filed with it to an international-type search.
The international-type search shall be carried out by the International
Searching Authority referred to in Article 16 which would be competent
for an international search if the national application were an
international application and were filed with the Office referred to in
subparagraphs (a) and (b). If the national application is in a language
which the International Searching Authority considers it is not equipped
to handle, the international-type search shall be carried out on a
translation prepared by the applicant in a language prescribed for
international applications and which the International Searching
Authority has undertaken to accept for international applications. The
national application and the translation, when required, shall be
presented in the form prescribed for international applications.
---SECTION---16 The International Searching Authority
International search shall be carried out by an International Searching
Authority, which may be either a national Office or an intergovernmental
organization, such as the International Patent Institute, whose tasks
include the establishing of documentary search reports on prior art with
respect to inventions which are the subject of applications.
If, pending the establishment of a single International Searching
Authority, there are several International Searching Authorities, each
receiving Office shall, in accordance with the provisions of the
applicable agreement referred to in paragraph(3)(b), specify the
International Searching Authority or Authorities competent for the
searching of international applications filed with such Office.
International Searching Authorities shall be appointed by the Assembly.
Any national Office and any intergovernmental organization satisfying
the requirements referred to in subparagraph (c) may be appointed as
International Searching Authority.
Appointment shall be conditional on the consent of the national Office
or intergovernmental organization to be appointed and the conclusion of
an agreement, subject to approval by the Assembly, between such Office
or organization and the International Bureau. The agreement shall
specify the rights and obligations of the parties, in particular, the
formal undertaking by the said Office or organization to apply and
observe all the common rules of international search.
The Regulations prescribe the minimum requirements, particularly as to
manpower and documentation, which any Office or organization must
satisfy before it can be appointed and must continue to satisfy while it
remains appointed.
Appointment shall be for a fixed period of time and may be extended for
further periods.
Before the Assembly makes a decision on the appointment of any national
Office or intergovernmental organization, or on the extension of its
appointment, or before it allows any such appointment to lapse, the
Assembly shall hear the interested Office or organization and seek the
advice of the Committee for Technical Cooperation referred to in Article
56 once that Committee has been established.
---SECTION---17 Procedure Before the International Searching Authority
Procedure before the International Searching Authority shall be governed
by the provisions of this Treaty, the Regulations, and the agreement
which the International Bureau shall conclude, subject to this Treaty
and the Regulations, with the said Authority.
If the International Searching Authority considers:
that the international application relates to a subject matter which the
International Searching Authority is not required, under the
Regulations, to search, and in the particular case decides not to
search, or
that the description, the claims, or the drawings, fail to comply with
the prescribed requirements to such an extent that a meaningful search
could not be carried out, the said Authority shall so declare and shall
notify the applicant and the International Bureau that no international
search report will be established.
If any of the situations referred to in subparagraph (a) is found to
exist in connection with certain claims only, the international search
report shall so indicate in respect of such claims, whereas, for the
other claims, the said report shall be established as provided in
Article 18.
If the International Searching Authority considers that the
international application does not comply with the requirement of unity
of invention as set forth in the Regulations, it shall invite the
applicant to pay additional fees. The International Searching Authority
shall establish the international search report on those parts of the
international application which relate to the invention first mentioned
in the claims ("main invention") and, provided the required additional
fees have been paid within the prescribed time limit, on those parts of
the international application which relate to inventions in respect of
which the said fees were paid.
The national law of any designated State may provide that, where the
national Office of the State finds the invitation, referred to in
subparagraph (a), of the International Searching Authority justified and
where the applicant has not paid all additional fees, those parts of the
international application which consequently have not been searched
shall, as far as effects in the State are concerned, be considered
withdrawn unless a special fee is paid by the applicant to the national
Office of that State.
---SECTION---18 The International Search Report
The international search report shall be established within the
prescribed time limit and in the prescribed form.
The international search report shall, as soon as it has been
established, be transmitted by the International Searching Authority to
the applicant and the International Bureau.
The international search report or the declaration referred to in
Article 17(2)(a) shall be translated as provided in the Regulations. The
translations shall be prepared by or under the responsibility of the
International Bureau.
---SECTION---19 Amendment of the Claims Before the International Bureau
The applicant shall, after having received the international search
report, be entitled to one opportunity to amend the claims of the
international application by filing amendments with the International
Bureau within the prescribed time limit. He may, at the same time, file
a brief statement, as provided in the Regulations, explaining the
amendments and indicating any impact that such amendments might have on
the description and the drawings.
The amendments shall not go beyond the disclosure in the international
application as filed.
If the national law of any designated State permits amendments to go
beyond the said disclosure, failure to comply with paragraph (2) shall
have no consequence in that State.
---SECTION---20 Communication to Designated Offices
The international application, together with the international search
report (including any indication referred to in Article 17(2)(b)) or the
declaration referred to in Article 17(2)(a), shall be communicated to
each designated Office, as provided in the Regulations, unless the
designated Office waives such requirement in its entirety or in part.
The communication shall include the translation (as prescribed) of the
said report or declaration.
If the claims have been amended by virtue of Article 19(1), the
communication shall either contain the full text of the claims both as
filed and as amended or shall contain the full text of the claims as
filed and specify the amendments, and shall include the statement, if
any, referred to in Article 19(1).
At the request of the designated Office or the applicant, the
International Searching Authority shall send to the said Office or the
applicant, respectively, copies of the documents cited in the
international search report, as provided in the Regulations.
---SECTION---21 International Publication
The International Bureau shall publish international applications.
Subject to the exceptions provided for in subparagraph (b) and in
Article 64(3), the international publication of the international
application shall be effected promptly after the expiration of 18 months
from the priority date of that application.
The applicant may ask the International Bureau to publish his
international application any time before the expiration of the time
limit referred to in subparagraph (a). The International Bureau shall
proceed accordingly, as provided in the Regulations.
The international search report or the declaration referred to in
Article 17(2)(a) shall be published as prescribed in the Regulations.
The language and form of the international publication and other details
are governed by the Regulations.
There shall be no international publication if the international
application is withdrawn or is considered withdrawn before the technical
preparations for publication have been completed.
If the international application contains expressions or drawings which,
in the opinion of the International Bureau, are contrary to morality or
public order, or if, in its opinion, the international application
contains disparaging statements as defined in the Regulations, it may
omit such expressions drawings, and statements, from its publications,
indicating the place and number of words or drawings omitted, and
furnishing, upon request, individual copies of the passages omitted.
---SECTION---22 Copy, Translation, and Fee, to Designated Offices
The applicant shall furnish a copy of the international application
(unless the communication provided for in Article 20 has already taken
place) and a translation thereof (as prescribed), and pay the national
fee (if any), to each designated Office not later than at the expiration
of 20 months from the priority date. Where the national law of the
designated State requires the indication of the name of and other
prescribed data concerning the inventor but allows that these
indications be furnished at a time later than that of the filing of a
national application, the applicant shall, unless they were contained in
the request, furnish the said indications to the national Office of or
acting for that State not later than at the expiration of 20 months from
the priority date.
Where the International Searching Authority makes a declaration, under
Article 17(2)(a), that no international search report will be
established, the time limit for performing the acts referred to in
paragraph (1) of this Article shall be the same as that provided for in
paragraph (i).
Any national law may, for performing the acts referred to in paragraphs
(1) or (2), fix time limits which expire later than the time limit
provided for in those paragraphs.
---SECTION---23 Delaying of National Procedure
No designated Office shall process or examine the international
application prior to the expiration of the applicable time limit under
Article 22.
Notwithstanding the provisions of paragraph (1), any designated Office
may, on the express request of the applicant, process or examine the
international application at any time.
---SECTION---24 Possible Loss of Effect in Designated States
Subject, in case (ii) below, to the provisions of Article 25, the effect
of the international application provided for in Article 11(3) shall
cease in any designated State with the same consequences as the
withdrawal of any national application in that State:
if the applicant withdraws his international application or the
designation of that State;
if the international application is considered withdrawn by virtue of
Articles 12(3), 14(1)(b), 14(3)(a), or 14(4), or if the designation of
that State is considered withdrawn by virtue of Article 14(3)(b);
if the applicant fails to perform the acts referred to in Article 22
within the applicable time limit.
Notwithstanding the provisions of paragraph (1), any designated Office
may maintain the effect provided for in Article 11(3) even where such
effect is not required to be maintained by virtue of Article 25(2).
---SECTION---25 Review by Designated Offices
Where the receiving Office has refused to accord an international filing
date or has declared that the international application is considered
withdrawn, or where the International Bureau has made a finding under
Article 12(3), the International Bureau shall promptly send, at the
request of the applicant, copies of any document in the file to any of
the designated Offices named by the applicant.
Where the receiving Office has declared that the designation of any
given State is considered withdrawn, the International Bureau shall
promptly send, at the request of the applicant, copies of any document
in the file to the national Office of such State.
The request under subparagraphs (a) or (b) shall be presented within the
prescribed time limit.
Subject to the provisions of subparagraph (b), each designated Office
shall, provided that the national fee (if any) has been paid and the
appropriate translation (as prescribed) has been furnished within the
prescribed time limit, decide whether the refusal, declaration, or
finding, referred to in paragraph (1) was justified under the provisions
of this Treaty and the Regulations, and, if it finds that the refusal or
declaration was the result of an error or omission on the part of the
receiving Office or that the finding was the result of an error or
omission on the part of the International Bureau, it shall, as far as
effects in the State of the designated Office are concerned, treat the
international application as if such error or omission had not occurred.
Where the record copy has reached the International Bureau after the
expiration of the time limit prescribed under Article 12(3) on account
of any error or omission on the part of the applicant, the provisions of
subparagraph (a) shall apply only under the circumstances referred to in
Article 48(2).
---SECTION---26 Opportunity to Correct Before Designated Offices
No designated Office shall reject an international application on the
grounds of noncompliance with the requirements of this Treaty and the
Regulations without first giving the applicant the opportunity to
correct the said application to the extent and according to the
procedure provided by the national law for the same or comparable
situations in respect of national applications.
---SECTION---27 National Requirements
No national law shall require compliance with requirements relating to
the form or contents of the international application different from or
additional to those which are provided for in this Treaty and the
Regulations.
The provisions of paragraph (1) neither affect the application of the
provisions of Article 7(2) nor preclude any national law from requiring,
once the processing of the international application has started in the
designated Office, the furnishing:
when the applicant is a legal entity, of the name of an officer entitled
to represent such legal entity.
of documents not part of the international application but which
constitute proof of allegations or statements made in that application,
including the confirmation of the international application by the
signature of the applicant when that application, as filed, was signed
by his representative or agent.
Where the applicant, for the purposes of any designated State, is not
qualified according to the national law of that State to file a national
application because he is not the inventor, the international
application may be rejected by the designated Office.
Where the national law provides, in respect of the form or contents of
national applications, for requirements which, from the viewpoint of
applicants, are more favorable than the requirements provided for by
this Treaty and the Regulations in respect of international
applications, the national Office, the courts and any other competent
organs of or acting for the designated State may apply the former
requirements, instead of the latter requirements, to international
applications, except where the applicant insists that the requirements
provided for by this Treaty and the Regulations be applied to his
international application.
Nothing in this Treaty and the Regulations is intended to be construed
as prescribing anything that would limit the freedom of each Contracting
State to prescribe such substantive conditions of patentability as it
desires. In particular, any provision in this Treaty and the Regulations
concerning the definition of prior art is exclusively for the purposes
of the international procedure and, consequently, any Contracting State
is free to apply, when determining the patentability of an invention
claimed in an international application, the criteria of its national
law in respect of prior art and other conditions of patentability not
constituting requirements as to the form and contents of applications.
The national law may require that the applicant furnish evidence in
respect of any substantive condition of patentability prescribed by such
law.
Any receiving Office or, once the processing of the international
application has started in the designated Office, that Office may apply
the national law as far as it relates to any requirement that the
applicant be represented by an agent having the right to represent
applicants before the said Office and/or that the applicant have an
address in the designated State for the purpose of receiving
notifications.
Nothing in this Treaty and the Regulations is intended to be construed
as limiting the freedom of any Contracting State to apply measures
deemed necessary for the preservation of its national security or to
limit, for the protection of the general economic interests of that
State, the right of its own residents or nationals to file international
applications.
---SECTION---28 Amendment of the Claims, the Description, and the
Drawings, Before Designated Offices
The applicant shall be given the opportunity to amend the claims, the
description, and the drawings, before each designated Office within the
prescribed time limit. No designated Office shall grant a patent, or
refuse the grant of a patent, before such time limit has expired except
with the express consent of the applicant.
The amendments shall not go beyond the disclosure in the international
application as filed unless the national law of the designated State
permits them to go beyond the said disclosure.
The amendments shall be in accordance with the national law of the
designated State in all respects not provided for in this Treaty and the
Regulations.
Where the designated Office requires a translation of the international
application, the amendments shall be in the language of the translation.
---SECTION---29 Effects of the International Publication
As far as the protection of any rights of the applicant in a designated
State is concerned, the effects, in that State, of the international
publication of an international application shall, subject to the
provisions of paragraphs (2) to (4), be the same as those which the
national law of the designated State provides for the compulsory
national publication of unexamined national applications as such.
If the language in which the international publication has been effected
is different from the language in which publications under the national
law are effected in the designated State, the said national law may
provide that the effects provided for in paragraph (1) shall be
applicable only from such time as:
a translation into the latter language has been published as provided by
the national law, or
a translation into the latter language has been made available to the
public, by laying open for public inspection as provided by the national
law, or
a translation into the latter language has been transmitted by the
applicant to the actual or prospective unauthorized user of the
invention claimed in the international application, or
both the acts described in (i) and (iii), or both the acts described in
(ii) and (iii), have taken place.
The national law of any designated State may provide that, where the
international publication has been effected, on the request of the
applicant, before the expiration of 18 months from the priority date,
the effects provided for in paragraph (1) shall be applicable only from
the expiration of 18 months from the priority date.
The national law of any designated State may provide that the effects
provided for in paragraph (1) shall be applicable only from the date on
which a copy of the international application as published under Article
21 has been received in the national Office of or acting for such State.
The said Office shall publish the date of receipt in its gazette as soon
as possible.
---SECTION---30 Confidential Nature of the International Application
Subject to the provisions of subparagraph (b), the International Bureau
and the International Searching Authorities shall not allow access by
any person or authority to the international application before the
international publication of that application, unless requested or
authorized by the applicant.
The provisions of subparagraph (a) shall not apply to any transmittal to
the competent International Searching Authority, to transmittals
provided for under Article 13, and to communications provided for under
Article 20.
No national Office shall allow access to the international application
by third parties unless requested or authorized by the applicant, before
the earliest of the following dates:
date of the international publication of the international application,
date of receipt of the communication of the international application
under Article 20,
date of receipt of a copy of the international application under Article
22.
The provisions of subparagraph (a) shall not prevent any national Office
from informing third parties that it has been designated, or from
publishing that fact. Such information or publication may, however,
contain only the following data: identification of the receiving Office,
name of the applicant, international filing date, international
application number, and title of the invention.
The provisions of subparagraph (a) shall not prevent any designated
Office from allowing access to the international application for the
purposes of the judicial authorities.
The provisions of paragraph (2)(a) shall apply to any receiving Office
except as so far as transmittals provided for under Article 12(1) are
concerned.
For the purposes of this Article, the term "access" covers any means by
which third parties may acquire cognizance, including individual
communication and general publication, provided, however, that no
national Office shall generally publish an international application or
its translation before the international publication or, if
international publication has not taken place by the expiration of 20
months from the priority date, before the expiration of 20 months from
the said priority date.
---SECTION---International Preliminary Examination
---SECTION---31 Demand for International Preliminary Examination
On the demand of the applicant, his international application shall be
the subject of an international preliminary examination as provided in
the following provisions and the Regulations.
Any applicant who is a resident or national, as defined in the
Regulations, of a Contracting State bound by Chapter II, and whose
international application has been filed with the receiving Office of or
acting for such State, may make a demand for international preliminary
examination.
The Assembly may decide to allow persons entitled to file international
applications to make a demand for international preliminary examination
even if they are residents or nationals of a State not party to this
Treaty or not bound by Chapter II.
The demand for international preliminary examination shall be made
separately from the international application. The demand shall contain
the prescribed particulars and shall be in the prescribed language and
form.
The demand shall indicate the Contracting State or States in which the
applicant intends to use the results of the international preliminary
examination ("elected States"). Additional Contracting States may be
elected later. Election may relate only to Contracting States already
designated under Article 4.
Applicants referred to in paragraph (2)(a) may elect any Contracting
State bound by Chapter II. Applicants referred to in paragraph (2)(b)
may elect only such Contracting States bound by Chapter II as have
declared that they are prepared to be elected by such applicants.
The demand shall be subject to the payment of the prescribed fees within
the prescribed time limit.
The demand shall be submitted to the competent International Preliminary
Examining Authority referred to in Article 32.
Any later election shall be submitted to the International Bureau.
Each elected Office shall be notified of its election.
---SECTION---32 The International Preliminary Examining Authority
International preliminary examination shall be carried out by the
International Preliminary Examining Authority.
In the case of demands referred to in Article 31(2)(a), the receiving
Office, and, in the case of demands referred to in Article 31(2)(b), the
Assembly, shall, in accordance with the applicable agreement between the
interested International Preliminary Examining Authority or Authorities
and the International Bureau, specify the International Preliminary
Examining Authority or Authorities competent for the preliminary
examination.
The provisions of Article 16(3) shall apply, mutatis mutandis, in
respect of the International Preliminary Examining Authorities.
---SECTION---33 The International Preliminary Examination
The objective of the international preliminary examination is to
formulate a preliminary and non-binding opinion on the questions whether
the claimed inventions appears to be novel, to involve inventive step
(to be non-obvious), and to be industrially applicable.
For the purposes of the international preliminary examination, a claimed
invention shall be considered novel if it is not anticipated by the
prior art as defined in the Regulations.
For purposes of the international preliminary examination, a claimed
invention shall be considered to involve an inventive step if, having
regard to the prior art as defined in the Regulations, it is not, at the
prescribed relevant date, obvious to a person skilled in the art.
For the purposes of the international preliminary examination, a claimed
invention shall be considered industrially applicable if, according to
its nature, it can be made or used (in the technological sense) in any
kind of industry. "Industry" shall be understood in its broadest sense,
as in the Paris Convention for the Protection of Industrial Property.
The criteria described above merely serve the purposes of international
preliminary examination. Any Contracting State may apply additional or
different criteria for the purpose of deciding whether, in that State,
the claimed invention is patentable or not.
The international preliminary examination shall take into consideration
all the documents cited in the international search report. It may take
into consideration any additional documents considered to be relevant in
the particular case.
---SECTION---34 Procedure Before the International Preliminary Examining
Authority
Procedure before the International Preliminary Examining Authority shall
be governed by the provisions of this Treaty, the Regulations, and the
agreement which the International Bureau shall conclude, subject to this
Treaty and the Regulations, with the said Authority.
The applicant shall have a right to communicate orally and in writing
with the International Preliminary Examining Authority.
The applicant shall have a right to amend the claims, the description,
and the drawings, in the prescribed manner and within the prescribed
time limit, before the international preliminary examination report is
established. The amendment shall not go beyond the disclosure in the
international application as filed.
The applicant shall receive at least one written opinion from the
International Preliminary Examining Authority unless such Authority
considers that all of the following conditions are fulfilled:
the invention satisfies the criteria set forth in Article 33(1),
the international application complies with the requirements of this
Treaty and the Regulations in so far as checked by that Authority,
no observations are intended to be made under Article 35(2), last
sentence.
The applicant may respond to the written opinion.
If International Preliminary Examining Authority considers that the
international application does not comply with the requirement of unity
of invention as set forth in the Regulations, it may invite the
applicant, at his option, to restrict the claims so as to comply with
the requirement or to pay additional fees.
The national law of any elected State may provide that, where the
applicant chooses to restrict the claims under subparagraph (a), those
parts of the international application which, as a consequence of the
restriction, are not to be the subject of international preliminary
examination shall, as far as effects in that State are concerned, be
considered withdrawn unless a special fee is paid by the applicant to
the national Office of that State.
If the applicant does not comply with the invitation referred to in
subparagraph (a) within the prescribed time limit, the International
Preliminary Examining Authority shall establish an international
preliminary examination report on those parts of the international
application which relate to what appears to be the main invention and
shall indicate the relevant facts in the said report. The national law
of any elected State may provide that, where its national Office finds
the invitation of the International Preliminary Examining Authority
justified, those parts of the international application which do not
relate to the main invention shall, as far as effects in that State are
concerned, be considered withdrawn unless a special fee is paid by the
applicant to that Office.
If the International Preliminary Examining Authority considers
that the international application relates to a subject matter on which
the International Preliminary Examining Authority is not required, under
the Regulations, to carry out an international preliminary examination,
and an international preliminary examination, and in the particular case
decides not to carry out such examination, or
that the description, the claims, or the drawings, are so unclear, or
the claims are so inadequately supported by the description, that no
meaningful opinion can be formed on the novelty, inventive step
(non-obviousness), or industrial applicability, of the claimed
invention, the said authority shall not go into the questions referred
to in Article 33(1) and shall inform the applicant of this opinion and
the reasons therefor.
If any of the situations referred to in subparagraph (a) is found to
exist in, or in connection with, certain claims only, the provisions of
that subparagraph shall apply only to the said claims.
---SECTION---35 The International Preliminary Examination Report
The international preliminary examination report shall be established
within the prescribed time limit and in the prescribed form.
The international preliminary examination report shall not contain any
statement on the question whether the claimed invention is or seems to
be patentable or unpatentable according to any national law. It shall
state, subject to the provisions of paragraph (3), in relation to each
claim, whether the claim appears to satisfy the criteria of novelty,
inventive step (non-obviousness), and industrial applicability, as
defined for the purposes of the international preliminary examination in
Article 33(1) to (4). The statement shall be accompanied by the citation
of the documents believed to support the stated conclusion with such
explanations as the circumstances of the case may require. The statement
shall also be accompanied by such other observation as the Regulations
provide for.
If, at the time of establishing the international preliminary
examination report, the International Preliminary Examining Authority
considers that any of the situations referred to in Article 34(4)(a)
exists, that report shall state this opinion and the reasons therefor.
It shall not contain any statement as provided in paragraph (2).
If a situation under Article 34(4)(b) is found to exist, the
international preliminary examination report shall, in relation to the
claims in question, contain the statement as provided in subparagraph
(a), whereas, in relation to the other claims, it shall contain the
statement as provided in paragraph (2).
---SECTION---36 Transmittal, Translation, and Communication of the
International Preliminary Examination Report
The international preliminary examination report, together with the
prescribed annexes, shall be transmitted to the applicant and to the
International Bureau.
The international preliminary examination report and its annexes shall
be translated into the prescribed languages.
Any translation of the said report shall be prepared by or under the
responsibility of the International Bureau, whereas any translation of
the said annexes shall be prepared by the applicant.
The international preliminary examination report, together with its
translation (as prescribed) and its annexes (in the original language),
shall be communicated by the International Bureau to each elected
Office.
The prescribed translation of the annexes shall be transmitted within
the prescribed time limit by the applicant to the elected Office.
The provisions of Article 20(3) shall apply, mutatis mutandis, to copies
of any document which is cited in the international preliminary
examination
report and which was not cited in the international search report.
---SECTION---37 Withdrawal of Demand or Election
The applicant may withdraw any or all elections.
If the election of all elected States is withdrawn, the demand shall be
considered withdrawn.
Any withdrawal shall be notified to the International Bureau.
The elected Office concerned and the International Preliminary Examining
Authority concerned shall be notified accordingly by the International
Bureau.
Subject to the provisions of subparagraph (b), withdrawal of the demand
or of the election of a Contracting State shall, unless the national law
of that State provides otherwise, be considered to be withdrawal of the
international application as far as that State is concerned.
Withdrawal of the demand or of the election shall not be considered to
be withdrawal of the international application if such withdrawal is
effected prior to the expiration of the applicable time limit under
Article 22; however, any Contracting State may provide in its national
law that the aforesaid shall apply only if its national Office has
received, within the said time limit, a copy of the international
application, together with a translation (as prescribed), and the
national fee.
---SECTION---38 Confidential Nature of the International Preliminary
Examination
Neither the International Bureau nor the International Preliminary
Examining Authority shall, unless requested or authorized by the
applicant, allow access within the meaning, and with the proviso, of
Article 30(4) to the file of the international preliminary examination
by any person or authority at any time, except by the elected Offices
once the international preliminary examination report has been
established.
Subject to the provisions of paragraph (1) and Articles 36(1) and (3)
and 37(3)(b), neither the International Bureau nor the International
Preliminary Examining Authority shall, unless requested or authorized by
the applicant, give information on the issuance or non-issuance of an
international preliminary examination report and on the withdrawal or
non-withdrawal of the demand or of any election.
---SECTION---39 Copy, Translation, and Fee, to Elected Offices
If the election of any Contracting State has been effected prior to the
expiration of the 19th month from the priority date, the provisions of
Article 22 shall not apply to such State and the applicant shall furnish
a copy of the international application (unless the communication under
Article 20 has already taken place) and a translation thereof (as
prescribed), and pay the national fee (if any), to each elected Office
not later than at the expiration of 30 months from the priority date.
Any national law may, for performing the acts referred to in
subparagraph (a), fix time limits which expire later than the time limit
provided for in that subparagraph.
The effect provided for in Article 11(3) shall cease in the elected
State with the same consequences as the withdrawal of any national
application in that State if the applicant fails to perform the acts
referred to in paragraph (1)(a) within the time limit applicable under
paragraph (1)(a) or (b).
Any elected Office may maintain the effect provided for in Article 11(3)
even where the applicant does not comply with the requirements provided
for in paragraph (1)(a) or (b).
---SECTION---40 Delaying of National Examination and Other Processing
If the election of any Contracting State has been effected prior to the
expiration of the 19th month from the priority date, the provisions of
Article 23 shall not apply to such State and the national Office of or
acting for that State shall not proceed, subject to the provisions of
paragraph (2), to the examination and other processing of the
international application prior to the expiration of the applicable time
limit under Article 39.
Notwithstanding the provisions of paragraph (1), any elected Office may,
on the express request of the
applicant, proceed to the examination and other processing of the
international application at any time.
---SECTION---41 Amendment of the Claims, the Description, and the
Drawings, before Elected Offices
The applicant shall be given the opportunity to amend the claims, the
description, and the drawings, before each elected Office within the
prescribed time limit. No elected Office shall grant a patent, or refuse
the grant of a patent, before such time limit has expired, except with
the express consent of the applicant.
The amendments shall not go beyond the disclosure in the international
application as filed, unless the national law of the elected State
permits them to go beyond the said disclosure.
The amendments shall be in accordance with the national law of the
elected State in all respects not provided for in this Treaty and the
Regulations.
Where an elected Office requires a translation of the international
application, the amendments shall be in the language of the translation.
---SECTION---42 Results of National Examination in Elected Offices
No elected Office receiving the international preliminary examination
report may require that the applicant furnish copies, or information on
the contents, of any papers connected with the examination relating to
the same international application in any other elected Office.
Chapter
Common Provisions
---SECTION---43 Seeking Certain Kinds of Protection
In respect of any designated or elected State whose law provides for the
grant of inventors' certificates, utility certificates, utility models,
patents or certificates of addition, inventors' certificates of
addition, or utility certificates of addition, the applicant may
indicate, as prescribed in the Regulations, that his international
application is for the grant, as far as that State is concerned, of an
inventor's certificate, a utility certificate, or a utility model,
rather than a patent, or that it is for the grant of a patent or
certificate of addition, an inventor's certificate of addition, or a
utility certificate of addition, and the ensuing effect shall be
governed by the applicant's choice. For the purposes of this Article and
any Rule thereunder, Article 2(ii) shall not apply.
---SECTION---44 Seeking Two Kinds of Protection
In respect of any designated or elected State whose law permits an
application, while being for the grant of a patent or one of the other
kinds of protection referred to in Article 43, to be also for the grant
of another of the said kinds of protection, the applicant may indicate,
as prescribed in the Regulations, the two kinds of protection he is
seeking, and the ensuing effect shall be governed by the applicant's
indications. For the purposes of this Article, Article 2(ii) shall not
apply.
---SECTION---45 Regional Patent Treaties
Any treaty providing for the grant of regional patents ("regional patent
treaty"), and giving to all persons who, according to Article 9, are
entitled to file international applications the right to file
applications for such patents, may provide that international
applications designating or electing a State party to both the regional
patent treaty and the present Treaty may be filed as applications for
such patents.
The national law of the said designated or elected State may provide
that any designation or election of such State in the international
application shall have the effect of an indication of the wish to obtain
a regional patent under the regional patent treaty.
---SECTION---46 Incorrect Translation of the International Application
If, because of an incorrect translation of the international
application, the scope of any patent granted on that application exceeds
the scope of the international application in its original language, the
competent authorities of the Contracting State concerned may accordingly
and retroactively limit the scope of the patent, and
declare it null and void to the extent that its scope has exceeded the
scope of the international application in its original language.
---SECTION---47 Time Limits
The details for computing time limits referred to in this Treaty are
governed by the Regulations.
All time limits fixed in Chapters I and II of this Treaty may, outside
any revision under Article 60, be modified by a decision of the
Contracting States.
Such decisions shall be made in the Assembly or through voting by
correspondence and must be unanimous.
The details of the procedure are governed by the Regulations.
---SECTION---48 Delay in Meeting Certain Time Limits
Where any time limit fixed in this Treaty or the Regulations is not met
because of interruption in the mail service or unavoidable loss or delay
in the mail, the time limit shall be deemed to be met in the cases and
subject to the proof and other conditions prescribed in the Regulations.
Any Contracting State shall, as far as that State is concerned, excuse,
for reasons admitted under its national law, any delay in meeting any
time limit.
Any Contracting State may, as far as that State is concerned, excuse,
for reasons other than those referred to in subparagraph (a), any delay
in meeting any time limit.
---SECTION---49 Right to Practice Before International Authorities
Any attorney, patent agent, or other person, having the right to
practice before the national Office with which the international
application was filed, shall be entitled to practice before the
International Bureau and the competent International Searching Authority
and competent International Preliminary Examining Authority in respect
of that application.
Chapter
Technical Services
---SECTION---50 Patent Information Service
The International Bureau may furnish services by providing technical and
any other pertinent information available to it on the basis of
published documents, primarily patents and published applications
(referred to in this Article as "the information services").
The International Bureau may provide these information services either
directly or through one or more International Searching Authorities or
other national or international specialized institutions, with which the
International Bureau may reach agreement.
The information services shall be operated in a way particularly
facilitating the acquisition by Contracting States which are developing
countries of technical knowledge and technology, including available
published know-how.
The information services shall be available to Governments of
Contracting States and their nationals and residents. The Assembly may
decide to make these services available also to others.
Any service to Governments of Contracting States shall be furnished at
cost, provided that, when the Government is that of a Contracting State
which is a developing country, the service shall be furnished below cost
if the difference can be covered from profit made on services furnished
to others than Governments of Contracting States or from the sources
referred to in Article 51(4).
The cost referred to in subparagraph (a) is to be understood as cost
over and above costs normally incident to the performance of the
services of a national Office or the obligations of an International
Searching Authority.
The details concerning the implementation of the provisions of this
Article shall be governed by decisions of the Assembly and, within the
limits to be fixed by the Assembly, such working groups as the Assembly
may set up for that purpose.
The Assembly shall, when it considers it necessary, recommend methods of
providing financing supplementary to those referred to in paragraph (5).
---SECTION---51 Technical Assistance
The Assembly shall establish a Committee for Technical Assistance
(referred to in this Article as "the Committee").
The members of the Committee shall be elected among the Contracting
States, with due regard to the representation of developing countries.
The Director General shall, on his own initiative or at the request of
the Committee, invite representatives of intergovernmental organizations
concerned with technical assistance to developing countries to
participate in the work of the Committee.
The task of the Committee shall be to organize and supervise technical
assistance for Contracting States which are developing countries in
developing their patent systems individually or on a regional basis.
The technical assistance shall comprise, among other things, the
training of specialists, the loaning of experts, and the supply of
equipment both for demonstration and for operational purposes.
The International Bureau shall seek to enter into agreements, on the one
hand, with international financing organizations and intergovernmental
organizations, particularly the United Nations, the agencies of the
United Nations, and the Specialized Agencies connected with the United
Nations concerned with technical assistance, and, on the other hand,
with the Governments of the States receiving the technical assistance,
for the financing of projects pursuant to this Article.
The details concerning the implementation of the provisions of this
Article shall be governed by decisions of the Assembly and, within the
limits to be fixed by the Assembly, such working groups as the Assembly
may set up for that purpose.
---SECTION---52 Relations with Other Provisions of the Treaty
Nothing in this Chapter shall affect the financial provisions contained
in any other Chapter of this Treaty. Such provisions are not applicable
to the present Chapter or to its implementation.
Chapter
Administrative Provisions
---SECTION---53 Assembly
The Assembly shall, subject to Article 57(8), consist of the Contracting
States.
The Government of each Contracting State shall be represented by one
delegate, who may be assisted by alternate delegates, advisors, and
experts.
The Assembly shall:
deal with matters concerning the maintenance and development of the
Union and the implementation of this Treaty;
perform such tasks as are specifically assigned to it under other
provisions of this Treaty;
give directions to the International Bureau concerning the preparation
for revision conferences;
review and approve the reports and activities of the Director General
concerning the Union, and give him all necessary instructions concerning
matters within the competence of the Union;
review and approve the reports and activities of the Executive Committee
established under paragraph (9), and give instructions to such
Committee;
determine the program and adopt the triennial budget of the Union, and
approve its final accounts;
adopt the financial regulations of the Union;
establish such committees and working groups as it deems appropriate to
achieve the objectives of the Union;
determine which States other than the Contracting States and, subject to
the provisions of paragraph (8), which intergovernmental and
international nongovernmental organizations shall be admitted to its
meetings as observers;
take any other appropriate action designed to further the objectives of
the Union and perform such other functions as are appropriate under the
Treaty.
With respect to matters which are of interest also to other Unions
administered by the Organization, the Assembly shall make its decisions
after having heard the advise of the Coordination Committee of the
Organization.
A delegate may represent, and vote in the name of, one State only.
Each Contracting State shall have one vote.
One-half of the Contracting States shall constitute a quorum.
In the absence of a quorum, the Assembly may make decisions but, with
the exception of decisions concerning its own procedure, all such
decisions shall take effect only if the quorum and the required majority
are attained through voting by correspondence as provided in the
Regulations.
Subject to the provisions of Articles 47(2)(b), 58(2)(b), 58(3) and
61(2)(b), the decisions of the Assembly shall require two-thirds of the
votes cast.
Abstentions shall not be considered as votes.
In connection with matters of exclusive interest to States bound by
Chapter II, any reference to Contracting States in paragraphs (4), (5),
and (6), shall be considered as applying only to States bound by Chapter
II.
Any intergovernmental organization appointed as International Searching
or Preliminary Examining Authority shall be admitted as observer to the
Assembly.
When the number of Contracting States exceeds forty, the Assembly shall
establish an Executive Committee. Any reference to the Executive
Committee in this Treaty and the Regulations shall be considered as
references to such Committee once it has been established,
Until the Executive Committee has been established, the Assembly shall
approve, within the limits of the program and triennial budget, the
annual programs and budgets prepared by the Director General.
The Assembly shall meet in every second calendar year in ordinary
session upon convocation by the Director General and, in the absence of
exceptional circumstances, during the same period and at the same place
as the General Assembly of the Organization.
The Assembly shall meet in extraordinary session upon convocation by the
Director General, at the request of the Executive Committee, or at the
request of one-fourth of the Contracting States.
The Assembly shall adopt its own rules of procedure.
---SECTION---54 Executive Committee
When the Assembly has established an Executive Committee, that Committee
shall be subject to the provisions set forth hereinafter.
The Executive Committee shall, subject to Article 57(8), consist of
States elected by the Assembly from among States members of the
Assembly.
The Government of each State member of the Executive Committee shall be
represented by one delegate, who may be assisted by alternate delegates,
advisors, and experts.
The number of States members of the Executive Committee shall correspond
to one-fourth of the number of States members of the Assembly. In
establishing the number of seats to be filled, remainders after division
by four shall be disregarded.
In electing the members of the Executive Committee, the Assembly shall
have due regard to an equitable geographical distribution.
Each member of the Executive Committee shall serve from the close of the
session of the Assembly which elected it to the close of the next
ordinary session of the Assembly.
Members of the Executive Committee may be re-elected but only up to a
maximum of two-thirds of such members.
The Assembly shall establish the details of the rules governing the
election and possible re-election of the members of the Executive
Committee.
The Executive Committee shall:
prepare the draft agenda of the Assembly:
submit proposals to the Assembly in respect of the draft program and
biennial budget of the Union prepared by the Director General:
[deleted]
submit, with appropriate comments, to the Assembly the periodical
reports of the Director General and the yearly audit reports on the
accounts:
take all necessary measures to ensure the execution of the program of
the Union by the Director General, in accordance with the decisions of
the Assembly and having regard to circumstances arising between two
ordinary sessions of the Assembly:
perform such other functions as are allocated to it under this Treaty.
With respect to matters which are of interest also to other Unions
administered by the Organization, the Executive Committee shall make its
decisions after having heard the advice of the Coordinating Committee of
the Organization.
The Executive Committee shall meet once a year in ordinary session upon
convocation by the Director General, preferably during the same period
and at the same place as the Coordination Committee of the Organization.
The Executive Committee shall meet in extraordinary session upon
convocation by the Director General, either on his own initiative or at
the request of its Chairman or one-fourth of its members.
Each State member of the Executive Committee shall have one vote.
One-half of the members of the Executive Committee shall constitute a
quorum.
Decisions shall be made by a simple majority of the votes cast.
Abstentions shall not be considered as votes.
A delegate may represent, and vote in the name of, one State only.
Contracting States not members of the Executive Committee shall be
admitted to its meetings as observers, as well as any intergovernmental
organization appointed as International Searching or Preliminary
Examining Authority.
The Executive Committee shall adopt its own rules of procedure.
---SECTION---55 International Bureau
Administrative tasks concerning the Union shall be performed by the
International Bureau.
The International Bureau shall provide the secretariat of the various
organs of the Union.
The Director General shall be the chief executive of the Union and shall
represent the Union.
The International Bureau shall publish a Gazette and other publications
provided for by the Regulations or required by the Assembly.
The Regulations shall specify the various services that national Offices
shall perform in order to assist the International Bureau and the
International Searching and Preliminary Examining Authorities in
carrying out their tasks under the Treaty.
The Director General and any staff member designated by him shall
participate, without the right to vote, in all meetings of the Assembly,
the Executive Committee and any other committee or working group
established under this Treaty or the Regulations. The Director General,
or a staff member designated by him, shall be ex officio secretary of
these bodies.
The International Bureau shall, in accordance with the directions of the
Assembly and in cooperation with the Executive Committee, make the
preparations for the revision conferences.
The International Bureau may consult with intergovernmental and
international non-governmental organizations concerning preparations for
revision conferences.
The Director General and persons designated by him shall take part,
without the right to vote, in the discussions at revision conferences.
The International Bureau shall carry out any other tasks assigned to it.
---SECTION---56 Committee for Technical Cooperation
The Assembly shall establish a Committee for Technical Cooperation
(referred to in this Article as "the Committee").
The Assembly shall determine the composition of the Committee and
appoint its members, with due regard to an equitable representation of
developing countries.
The International Searching and Preliminary Examining Authorities shall
be ex officio members of the Committee. In the case where such an
Authority is the national Office of a Contracting State, that State
shall not be additionally represented on the Committee.
If the number of Contracting States so allows, the total number of
members of the Committee shall be more than double the number of ex
officio members.
The Director General shall, on his own initiative or at the request of
the Committee, invite representatives of interested organizations to
participate in discussions of interest to them.
The aim of the Committee shall be to contribute, by advice and
recommendations:
to the constant improvement of the services provided for under the
Treaty,
to the securing, so long as there are several International Searching
Authorities and several International Preliminary Examining Authorities,
of the maximum degree of uniformity in their documentation and working
methods and the maximum degree of uniformly high quality in their
reports, and
on the initiative of the Assembly or the Executive Committee, to the
solution of the technical problems specifically involved in the
establishment of a single International Searching Authority.
Any Contracting State and any interested international organization may
approach the Committee in writing on questions which fall within the
competence of the Committee.
The Committee may address its advice and recommendations to the Director
General or, through him, to the Assembly, the Executive Committee, all
or some of the International Searching and Preliminary Examining
Authorities, and all or some of the receiving Offices.
In any case, the Director General shall transmit to the Executive
Committee the texts of all the advice and recommendations of the
Committee. He may comment on such texts.
The Executive Committee may express its views on any advice,
recommendation, or other activity of the Committee, and may invite the
Committee to study and report on questions falling within its
competence. The Executive Committee may submit to the Assembly, with
appropriate comments, the advice, recommendations and report of the
Committee.
Until the Executive Committee has been established, references in
paragraph (6) to the Executive Committee shall be construed as
references to the Assembly.
The details of the procedure of the Committee shall be governed by the
decisions of the Assembly.
---SECTION---57 Finances
The Union shall have a budget.
The budget of the Union shall include the income and expenses proper to
the Union and its contribution to the budget of expenses common to the
Unions administered by the Organization.
Expenses not attributable exclusively to the Union but also to one or
more other Unions administered by the Organization shall be considered
as expenses common to the Unions. The share of the Union in such common
expenses shall be in proportion to the interest the Union has in them.
The budget of the Union shall be established with due regard to the
requirements of coordination with the budgets of the other Unions
administered by the Organization.
Subject to the provisions of paragraph (5), the budget of the Union
shall be financed from the following sources:
fees and charges due for services rendered by the International Bureau
in relation to the Union;
sale of, or royalties on, the publications of the International Bureau
concerning the Union;
gifts, bequests, and subventions;
rents, interests, and other miscellaneous income.
The amounts of fees and charges due to the International Bureau and the
prices of its publications shall be fixed that they should, under normal
circumstances, be sufficient to cover all the expenses of the
International Bureau connected with the administration of this Treaty.
Should any financial year close with a deficit, the Contracting States
shall, subject to the provisions of subparagraphs (b) and (c), pay
contributions to cover such deficit.
The amount of the contribution of each Contracting State shall be
decided by the Assembly with due regard to the number of international
applications which has emanated from each of them in the relevant year.
If other means of provisionally covering any deficit or any part thereof
are secured, the Assembly may decide that such deficit be carried
forward and that the Contracting States should not be asked to pay
contributions.
If the financial situation of the Union so permits, the Assembly may
decide that any contributions paid under subparagraph (a) be reimbursed
to the Contracting States which have paid them.
A Contracting State which has not paid, within two years of the due date
as established by the Assembly, its contribution under subparagraph (b)
may not exercise its right to vote in any of the organs of the Union.
However, any organ of the Union may allow such a State to continue to
exercise its right to vote in that organ as long as it is satisfied that
the delay in payment is due to exceptional and unavoidable
circumstances.
If the budget is not adopted before the beginning of a new financial
period, it shall be at the same level as the budget of the previous
year, as provided in the financial regulations.
The Union shall have a working capital fund which shall be constituted
by a single payment made by each Contracting State. If the fund becomes
insufficient, the Assembly shall arrange to increase it. If part of the
fund is no longer needed, it shall be reimbursed.
The amount of the initial payment of each Contracting State to said fund
or its participation in the increase thereof shall be decided by the
Assembly on the basis of principles similar to those provided for under
paragraph (5)(b).
The terms of payment shall be fixed by the Assembly on the proposal of
the Director General and after it has heard the advice of the
Coordinating Committee of the Organization.
Any reimbursement shall be proportionate to the amounts paid by each
Contracting State, taking into account the dates at which they were
paid.
In the headquarters agreement concluded with the State on the territory
of which the Organization has its headquarters, it shall be provided
that, whenever the working capital fund is insufficient, such State
shall grant advances. The amount of these advances and the conditions on
which they are granted shall be the subject of separate agreements, in
each case, between such State and the Organization. As long as it
remains under the obligation to grant advances, such State shall have an
ex officio seat in the Assembly and on the Executive Committee.
The State referred to in subparagraph (a) and the Organization shall
each have the right to denounce the obligation to grant advances, by
written notification. Denunciation shall take effect three years after
the end of the year in which it has been notified.
The auditing of the accounts shall be effected by one or more of the
Contracting States or by external auditors, as provided in the financial
regulations. They shall be designated, with their agreement, by the
Assembly.
---SECTION---58 Regulations
The Regulations annexed to this Treaty provide Rules:
concerning matters in respect of which this Treaty expressly refers to
the Regulations or expressly provides that they are or shall be
prescribed.
concerning any administrative requirements, matters, or procedures,
concerning any details useful in the implementation of the provisions of
this Treaty.
The Assembly may amend the Regulations.
Subject to the provisions of paragraph (3), amendments shall require
three-fourths of the votes cast.
The Regulations specify the Rules which may be amended
only by unanimous consent, or
only if none of the Contracting States whose national Office acts as an
International Searching or Preliminary Examining Authority dissents,
and, where such Authority is an intergovernmental organization, if the
Contracting State member of the organization authorized for that purpose
by the other member States within the competent body of such
organization does not dissent.
Exclusion, for the future, of any such Rules from the applicable
requirement shall require the fulfillment of the conditions referred to
in subparagraph (a)(i) or (a)(ii), respectively.
Inclusion, for the future, of any Rule in one or the other of the
requirements referred to in subparagraph (a) shall require unanimous
consent.
The Regulations provide for the establishment, under the control of the
Assembly, of Administrative Instructions by the Director General.
In the case of conflict between the provisions of the Treaty and those
of the Regulations, the provisions of the Treaty shall prevail.
Chapter
Disputes
---SECTION---59 Disputes
Subject to Article 64(5), any dispute between two or more Contracting
States concerning the interpretation or application of this Treaty or
the Regulations, not settled by negotiation, may, by any one of the
States concerned, be brought before the International Court of Justice
by application in conformity with the Statute of the Court, unless the
States concerned agree on some other method of settlement. The
Contracting State bringing the dispute before the Court shall inform the
International Bureau; the International Bureau shall bring the matter to
the attention of the other Contracting States.
Chapter
Revision and Amendments
---SECTION---60 Revision of the Treaty
This Treaty may be revised from time to time by a special conference of
the Contracting States.
The convocation of any revision conference shall be decided by the
Assembly.
Any intergovernmental organization appointed as International Searching
or Preliminary Examining Authority shall be admitted as observer to any
revision conference.
Article 53(5), (9) and (11), 54, 55(4) to (8), 56, and 57, may be
amended either by a revision conference or according to the provisions
of Article 61.
---SECTION---61 Amendment of Certain Provisions of the Treaty
Proposals for the amendment of Articles 53(5), (9) and (11), 54, 55(4)
to (8), 56, and 57, may be initiated by any State member of the
Assembly, by the Executive Committee, or by the Director General.
Such proposals shall be communicated by the Director General to the
Contracting States at least six months in advance of their consideration
by the Assembly.
Amendments to the Articles referred to in paragraph (1) shall be adopted
by the Assembly.
Adoption shall require three-fourths of the votes cast.
Any amendment to the Articles referred to in paragraph (1) shall enter
into force one month after written notifications of acceptance, effected
in accordance with their respective constitutional processes, have been
received by the Director General from three-fourths of the States of the
Assembly at the time it adopted the amendment.
Any amendment to the said Articles thus accepted shall bind all the
States which are members of the Assembly at the time the amendment
enters into force, provided that any amendment increasing the financial
obligations of the Contracting States shall bind only those States which
have notified their acceptance of such amendment.
Any amendment accepted in accordance with the provisions of subparagraph
(a) shall bind all States which become members of the Assembly after the
date on which the amendment entered into force in accordance with the
provisions of subparagraph (a).
Chapter
Final Provisions
---SECTION---62 Becoming Party to the Treaty
Any State member of the International Union for the Protection of
Industrial Property may become party to this Treaty by:
signature followed by the deposit of an instrument of ratification, or
deposit of an instrument of accession.
Instruments of ratification or accession shall be deposited with the
Director General.
The provisions of Article 24 of the Stockholm Act of the Paris
Convention for the Protection of Industrial Property shall apply to this
Treaty.
Paragraph (3) shall in no way be understood as implying the recognition
or tacit acceptance by a Contracting State of the factual situation
concerning a territory to which this Treaty is made applicable by
another Contracting State by virtue of the said paragraph.
---SECTION---63 Entry into Force of the Treaty
Subject to the provisions of paragraph (3), this Treaty shall enter into
force three months after eight States have deposited their instruments
of ratification or accession, provided that at least four of those
States each fulfill any of the following conditions:
the number of applications filed in the State has exceeded 40,000
according to the most recent annual statistics published by the
International Bureau.
the nationals or residents of the State have filed at least 1,000
applications in one foreign country according to the most recent annual
statistics published by the International Bureau.
the national Office of the State has received at least 10,000
applications from nationals or residents of foreign countries according
to the most recent annual statistics published by the International
Bureau.
For the purposes of this paragraph, the term "applications" does not
include applications for utility models.
Subject to the provisions of paragraph (3), any State which does not
become party to this Treaty upon entry into force under paragraph (1)
shall be bound by this Treaty three months after the date on which such
State has deposited its instrument of ratification or accession.
The provisions of Chapter II and the corresponding provisions of the
Regulations annexed to this Treaty shall become applicable, however,
only on the date on which three States each of which fulfill at least
one of the three requirements specified in paragraph (1) have become
party to this Treaty without declaring, as provided in Article 64(1),
that they do not intend to be bound by the provisions of Chapter II.
That date shall not, however, be prior to that of the initial entry into
force under paragraph (1).
---SECTION---64 Reservations
Any State may declare that it shall not be bound by the provisions of
Chapter II.
States making a declaration under subparagraph (a) shall not be bound by
the provisions of Chapter II and the corresponding provisions of the
Regulations.
Any State not having made a declaration under paragraph(1)(a) may
declare that:
it shall not be bound by the provisions of Article 39(1) with respect to
the furnishing of a copy of the international application and a
translation thereof (as prescribed),
the obligation to delay national processing, as provided for under
Article 40, shall not prevent publication, by or through its national
Office, of the international application or a translation thereof, it
being understood, however, that it is not exempted from the limitations
provided for in Articles 30 and 38.
States making such a declaration shall be bound accordingly.
Any State may declare that, as far as it is concerned, international
publication of international applications is not required.
Where, at the expiration of 18 months from the priority date, the
international application contains the designation only of such States
as have made declarations under subparagraph (a), the international
application shall not be published by virtue of Article 21(2).
Where the provisions of subparagraph (b) apply, the international
application shall nevertheless be published by the International Bureau:
at the request of the applicant, as provided in the Regulations,
when a national application or a patent based on the international
application is published by or on behalf of the national Office of any
designated State having made a declaration under subparagraph (a),
promptly after such publication but not before the expiration of 18
months from the priority date.
Any State whose national law provides for prior art effect of its
patents as from a date before publication, but does not equate for prior
art purposes the priority date claimed under the Paris Convention for
the Protection of Industrial Property to the actual filing date in that
State, may declare that the filing outside that State of an
international application designating that State is not equated to an
actual filing in that State for prior art purposes.
Any State making a declaration under subparagraph (a) shall to that
extent not be bound by the provisions of Article 11(3).
Any State making a declaration under subparagraph (a) shall, at the same
time, state in writing the date from which, and the conditions under
which, the prior art effect of any international application designating
that State becomes effective in that State. This statement may be
modified at any time by notification addressed to the Director General.
Each State may declare that it does not consider itself bound by Article
59. With regard to any dispute between any Contracting State having made
such a declaration and any other Contracting State, the provisions of
Article 59 shall not apply.
Any declaration made under this Article shall be made in writing. It may
be made at the time of signing this Treaty, at the time of depositing
the instrument of ratification or accession, or, except in the case
referred to in paragraph (5), at any later time by notification
addressed to the Director General. In the case of the said notification,
the declaration shall take effect six months after the day on which the
Director General has received the notification, and shall not affect
international applications filed prior to the expiration of the said
six-month period.
Any declaration made under this Article may be withdrawn at any time by
notification addressed to the Director General. Such withdrawal shall
take effect three months after the day on which the Director General has
received the notification and, in the case of the withdrawal of a
declaration made under paragraph (3), shall not affect international
applications filed prior to the expiration of the said three-month
period.
No reservations to this Treaty other than the reservations under
paragraphs (1) to (5) are permitted.
---SECTION---65 Gradual Application
If the agreement with any International Searching or Preliminary
Examining Authority provides, transitionally, for limits on the number
or kinds of international applications that such Authority undertakes to
process, the Assembly shall adopt the measures necessary for the gradual
application of this Treaty and the Regulations in respect of given
categories of international applications. This provision shall also
apply to requests for an international-type search under Article 15(5).
The Assembly shall fix the dates from which, subject to the provision of
paragraph (1), international applications may be filed and demands for
international preliminary examination may be submitted. Such dates shall
not be later than six months after this Treaty has entered into force
according to the provisions of Article 63(1), or after Chapter II has
become applicable under Article 63(3), respectively.
---SECTION---66 Denunciation
Any Contracting State may denounce this Treaty by notification addressed
to the Director General.
Denunciation shall take effect six months after receipt of said
notification by the Director General. It shall not affect the effects of
the international application in the denouncing State if the
international application was filed, and, where the denouncing State has
been elected, the election was made, prior to the expiration of the said
six-month period.
---SECTION---67 Signature and Languages
This Treaty shall be signed in a single original in the English and
French languages, both texts being equally authentic.
Official texts shall be established by the Director General after
consultation with the interested Governments, in the German, Japanese,
Portuguese, Russian and Spanish languages, and such other languages as
the Assembly may designate.
This Treaty shall remain open for signature at Washington until December
31, 1970.
---SECTION---68 Depositary Functions
The original of this Treaty, when no longer open for signature, shall be
deposited with the Director General.
The Director General shall transmit two copies, certified by him, of
this Treaty and the Regulations annexed hereto to the Government of all
States party to the Paris Convention for the Protection of Industrial
Property and, on request, to the Government of any other State.
The Director General shall register this Treaty with the Secretariat of
the United Nations.
The Director General shall transmit two copies, certified by him, of any
amendment to this Treaty and the Regulations to the Government of all
Contracting States and, on request, to the Government of any other
State.
---SECTION---69 Notifications
The Director General shall notify the government of all States party to
the Paris Convention for the Protection of Industrial Property of:
signatures under Article 62,
deposits of instruments of ratification or accession under Article 62,
the date of entry into force of this Treaty and the date from which
Chapter II is applicable in accordance with Article 63(3),
any declarations made under Article 64(1) to (5),
withdrawals of any declarations made under Article 64(6)(b),
denunciations received under Article 66, and
any declarations made under Article 31(4).
---SECTION---Regulations Under the Patent Cooperation Treaty
(as in force from July 1, 1998)
Adopted on June 19, 1970, and amended on April 14, 1978, October 3,
1978, May 1, 1979, June 16, 1980, September 26, 1980, July 3, 1981,
September 10, 1982, October 4, 1983, February 3, 1984, September 28,
1984, October 1, 1985, July 12, 1991, October 2, 1991, September 29,
1992, September 29, 1993, October 3, 1995, and October 1, 1997.
---SECTION---Introductory Rules
---SECTION---1. Abbreviated Expressions
---SECTION---1.1 Meaning of Abbreviated Expressions
In these Regulations, the word "Treaty" means the Patent Cooperation
Treaty.
In these Regulations, the words "Chapter" and "Article" refer to the
specified Chapter or Article of the Treaty.
---SECTION---2. Interpretation of Certain Words
---SECTION---2.1
"Applicant"
Whenever the word "applicant" is used, it shall be construed as meaning
also the agent or other representative of the applicant, except where
the contrary clearly follows from the wording or the nature of the
provision, or the context in which the word is used, such as, in
particular, where the provision refers to the residence or nationality
of the applicant.
---SECTION---2.2 "Agent"
Whenever the word "agent" is used, it shall be construed as meaning an
agent appointed under Rule 90.1, unless the contrary clearly follows
from the wording or the nature of the provision, or the context in which
the word is used.
---SECTION---2.2 "Common Representative"
Whenever the expression "common representative" is used, it shall be
construed as meaning an applicant appointed as, or considered to be, the
common representative under Rule 90.2.
---SECTION---2.3 "Signature"
Whenever the word "signature" is used, it shall be understood that, if
the national law applied by the receiving Office or the competent
International Searching or Preliminary Examining Authority requires the
use of a seal instead of a signature, the word, for the purposes of that
Office or Authority, shall mean seal.
---SECTION---Rules Concerning Chapter I of the Treaty
---SECTION---3. The Request (Form)
---SECTION---3.1 Form of Request
The request shall be made on a printed form or be presented as a
computer print-out.
---SECTION---3.2 Availability of Forms
Copies of the printed form shall be furnished free of charge to the
applicants by the receiving Office, or, if the receiving Office so
desires, by the International Bureau.
---SECTION---3.3 Check List
The request shall contain a list indicating:
the total number of sheets constituting the international application
and the number of the sheets of each element of the international
application: request, description (separately indicating the number of
sheets of any sequence listing part of the description), claims,
drawings, abstract;
where applicable, that the international application as filed is
accompanied by a power of attorney (i.e., a document appointing an agent
or a common representative), a copy of a general power of attorney, a
priority document, a sequence listing in computer readable form, a
document relating to the payment of fees, or any other document (to be
specified in the check list);
the number of that figure of the drawings which the applicant suggests
should accompany the abstract when the abstract is published; in
exceptional cases, the applicant may suggest more than one figure.
The list shall be completed by the applicant, failing which the
receiving Office shall make the necessary indications, except that the
number referred to in paragraph (a)(iii) shall not be indicated by the
receiving Office.
---SECTION---3.4 Particulars
Subject to Rule 3.3, particulars of the printed request form and of a
request presented as a computer printout shall be prescribed by the
Administrative Instructions.
---SECTION---4. The Request (Contents)
---SECTION---4.1 Mandatory and Optional Contents; Signature
The request shall contain:
a petition,
the title of the invention,
indications concerning the applicant and the agent, if there is an
agent,
the designation of States,
indications concerning the inventor where the national law of at least
one of the designated States requires that the name of the inventor be
furnished at the time of filing a national application.
The request shall, where applicable, contain:
a priority claim,
a reference to any earlier international, international-type or other
search,
choices of certain kinds of protection,
an indication that the applicant wishes to obtain a regional patent,
a reference to a parent application or parent patent.
an indication of the applicant's choice of competent International
Searching Authority.
The request may contain:
indications concerning the inventor where the national law of none of
the designated States requires that the name of the inventor be
furnished at the time of filing a national application,
a request to the receiving Office to transmit the priority document to
the International Bureau where the application whose priority is claimed
was filed with the national Office or intergovernmental authority which
is the receiving Office.
The request shall be signed.
---SECTION---4.2 The Petition
The petition shall be to the following effect and shall preferably be
worded as follows: "The undersigned requests that the present
international application be processed according to the Patent
Cooperation Treaty."
---SECTION---4.3 Title of the Invention
The title of the invention shall be short (preferably from two to seven
words when in English or translated into English) and precise.
---SECTION---4.4 Names and Addresses
Names of natural persons shall be indicated by the person's family name
and given name(s), the family name being indicated before the given
name(s).
Names of legal entities shall be indicated by their full, official
designations.
Addresses shall be indicated in such a way as to satisfy the customary
requirements for prompt postal delivery at the indicated address and, in
any case, shall consist of all the relevant administrative units up to,
and including, the house number, if any. Where the national law of the
designated State does not require the indication of the house number,
failure to indicate such number shall have no effect in that State. In
order to allow rapid communication with the applicant, it is recommended
to indicate any teleprinter address, telephone and facsimile machine
numbers, or corresponding data for other like means of communication, of
the applicant or, where applicable, the agent or the common
representative.
For each applicant, inventor, or agent, only one address may be
indicated, except that, if no agent has been appointed to represent the
applicant, or all of them if more than one, the applicant or, if there
is more than one applicant, the common representative, may indicate, in
addition to any other address given in the request, an address to which
notifications shall be sent.
---SECTION---4.5 The Applicant
The request shall indicate the name, address, nationality and residence
of the applicant or, if there are several applicants, of each of them.
The applicant's nationality shall be indicated by the name of the State
of which he is a national.
The applicant's residence shall be indicated by the name of the State of
which he is a resident.
The request may, for different designated States, indicate different
applicants. In such a case, the request shall indicate the applicant or
applicants for each designated State or group of designated States.
---SECTION---4.6 The Inventor
Where Rule 4.1(a)(v) applies, the request shall indicate the name and
address of the inventor or, if there are several inventors, of each of
them.
If the applicant is the inventor, the request, in lieu of the indication
under paragraph (a), shall contain a statement to that effect.
The request may, for different designated States, indicate different
persons as inventors where, in this respect, the requirements of the
national laws of the designated States are not the same. In such a case,
the request shall contain a separate statement for each designated State
or group of States in which a particular person, or the same person, is
to be considered the inventor, or in which particular persons, or the
same persons, are to be considered the inventors.
---SECTION---4.7 The Agent
If agents are designated, the request shall so indicate, and shall state
their names and addresses.
---SECTION---4.8 Common Representative
If a common representative is designated, the request shall so indicate.
---SECTION---4.9 Designation of States
Contracting States shall be designated in the request:
in the case of designations for the purpose of obtaining national
patents, by an indication of each State concerned;
in the case of designations for the purpose of obtaining a regional
patent, by an indication that a regional patent is desired either for
all Contracting States which are party to the regional patent treaty
concerned or only for such Contracting States as are specified.
The request may contain an indication that all designations which would
be permitted under the Treaty, other than those made under paragraph
(a), are also made, provided that:
at least one Contracting State is designated under paragraph (a), and
the request also contains a statement that any designation made under
this paragraph is subject to confirmation as provided in paragraph (c)
and that any designation which is not so confirmed before the expiration
of 15 months from the priority date is to be regarded as withdrawn by
the applicant at the expiration of that time limit.
The confirmation of any designation made under paragraph (b) shall be
effected by
filing with the receiving Office a written notice containing an
indication as referred to in paragraph (a)(i) or (ii), and
paying to the receiving Office the designation fee and the confirmation
fee referred to in Rule 15.5 within the time limit under paragraph
(b)(ii).
---SECTION---4.10 Priority Claim
Any declaration referred to in Article 8(1) ("priority claim") shall,
subject to Rule 26bis.1, be made in the request; it shall consist of a
statement to the effect that the priority of an earlier application is
claimed and shall indicate:
the date on which the earlier application was filed, being a date
falling within the period of 12 months preceding the international
filing date;
the number of the earlier application;
where the earlier application is a national application, the country
party to the Paris Convention for the Protection of Industrial Property
in which it was filed;
where the earlier application is a regional application, the authority
entrusted with the granting of regional patents under the applicable
regional patent treaty;
where the earlier application is an international application, the
receiving Office with which it was filed.
In addition to any indication required under paragraph (a)(iv) or (v):
where the earlier application is a regional application or an
international application, the priority claim may indicate one or more
countries party to the Paris Convention for the Protection of Industrial
Property for which that earlier application was filed;
where the earlier application is a regional application and the
countries party to the regional patent treaty are not all party to the
Paris Convention for the Protection of Industrial Property, the priority
claim shall indicate at least one country party to that Convention for
which that earlier application was filed.
For the purposes of paragraphs (a) and (b), Article 2(vi) shall not
apply.
[Deleted]
[Deleted]
---SECTION---4.11 Reference to Earlier Search
If an international or international-type search has been requested on
an application under Article 15(5) or if the applicant wishes the
International Searching Authority to base the international search
report wholly or in part on the results of a search, other than an
international or international-type search, made by the national Office
or intergovernmental organization which is the International Searching
Authority competent for the international application, the request shall
contain a reference to that fact. Such reference shall either identify
the application (or its translation, as the case may be) in respect of
which the earlier search was made by indicating country, date and
number, or the said search by indicating, where applicable, date and
number of the request for such search.
---SECTION---4.12 Choice of Certain Kinds of Protection
If the applicant wishes his international application to be treated, in
any designated State, as an application not for a patent but for the
grant of any of the other kinds of protection specified in Article 43,
he shall so indicate in the request. For the purposes of this paragraph,
Article 2(ii) shall not apply.
In the case provided for in Article 44, the applicant shall indicate the
two kinds of protection sought, or, if one of two kinds of protection is
primarily sought, he shall indicate which kind is sought primarily and
which kind is sought subsidiarily.
---SECTION---4.13 Identification of Parent Application or Parent Grant
If the applicant wishes his international application to be treated, in
any designated State, as an application for a patent or certificate of
addition, inventor's certificate of addition, or utility certificate of
addition, he shall identify the parent application or the parent patent,
parent inventor's certificate, or parent utility certificate to which
the patent or certificate of addition, inventor's certificate of
addition, or utility certificate of addition, if granted, relates. For
the purposes of this paragraph Article 2(ii) shall not apply.
---SECTION---4.14 Continuation or Continuation-in-Part
If the applicant wishes his international application to be treated, in
any designated State, as an application for a continuation or a
continuation-in-part of an earlier application, he shall so indicate in
the request and shall identify the parent application involved.
---SECTION---4.14 Choice of International Searching Authority
If two or more International Searching Authorities are competent for the
searching of the international application, the applicant shall indicate
his choice of International Searching Authority in the request.
---SECTION---4.15 Signature
Subject to paragraph (b), the request shall be signed by the applicant
or, if there is more than one applicant, by all of them.
Where two or more applicants file an international application which
designates a State whose national law requires that national
applications be filed by the inventor and where an applicant for that
designated State who is an inventor refused to sign the request or could
not be found or reached after diligent effort, the request need not be
signed by that applicant if it is signed by at least one applicant and a
statement is furnished explaining, to the satisfaction of the receiving
Office, the lack of the signature concerned.
---SECTION---4.16 Transliteration or Translation of Certain Words
Where any name or address is written in characters other than those of
the Latin alphabet, the same shall also be indicated in characters of
the Latin alphabet either as a mere transliteration or through
translation into English. The applicant shall decide which words will be
merely transliterated and which words will be so translated.
The name of any country written in characters other than those of the
Latin alphabet shall also be indicated in English.
---SECTION---4.17 Additional Matter
The request shall contain no matter other than that specified in Rules
4.1 to 4.16, provided that the Administrative Instructions may permit,
but cannot make mandatory, the inclusion in the request of any
additional matter specified in the Administrative Instructions.
If the request contains matter other than that specified in Rules 4.1 to
4.16 or permitted under paragraph (a) by the Administrative
Instructions, the receiving Office shall ex officio delete the
additional matter.
---SECTION---5. The Description
---SECTION---5.1 Manner of the Description
The description shall first state the title of the invention as
appearing in the request and shall:
specify the technical field to which the invention relates;
indicate the background art which, as far as known to the applicant, can
be regarded as useful for the understanding, searching and examination
of the invention, and, preferably, cite the documents reflecting such
art;
disclose the invention, as claimed, in such terms that the technical
problem (even if not expressly stated as such) and its solution can be
understood, and state the advantageous effects, if any, of the invention
with reference to the background art;
briefly describe the figures in the drawings, if any;
set forth at least the best mode contemplated by the applicant for
carrying out the invention claimed; this shall be done in terms of
examples, where appropriate, and with reference to the drawings, if any;
where the national law of the designated State does not require the
description of the best mode but is satisfied with the description of
any mode (whether it is the best contemplated or not), failure to
describe the best mode contemplated shall have no effect in that State;
indicate explicitly, when it is not obvious from the description or
nature of the invention, the way in which the invention is capable of
exploitation in industry and the way in which it can be made and used,
or, if it can only be used, the way in which it can be used; the term
"industry" is to be understood in its broadest sense as in the Paris
Convention for the Protection of Industrial Property.
The manner and order specified in paragraph (a) shall be followed except
when, because of the nature of the invention, a different manner or a
different order would result in a better understanding and a more
economic presentation.
Subject to the provisions of paragraph (b), each of the parts referred
to in paragraph (a) shall preferably be preceded by an appropriate
heading as suggested in the Administrative Instructions.
---SECTION---5.2 Nucleotide and/or Amino Acid Sequence Disclosure
Where the international application contains disclosure of one or more
nucleotide and/or amino acid sequences, the description shall contain a
sequence listing complying with the standard provided for in the
Administrative Instructions and presented as a separate part of the
description in accordance with that standard.
Where the sequence listing part of the description contains any free
text as defined in the standard provided for in the Administrative
Instructions, that free text shall also appear in the main part of the
description in the language thereof.
---SECTION---6. The Claims
---SECTION---6.1 Number and Numbering of Claims
The number of the claims shall be reasonable in consideration of the
nature of the invention claimed.
If there are several claims, they shall be numbered consecutively in
Arabic numerals.
The method of numbering in the case of the amendment of claims shall be
governed by the Administrative Instructions.
---SECTION---6.2 References to Other Parts of the International
Application
Claims shall not, except where absolutely necessary, rely, in respect of
the technical features of the invention, on references to the
description or drawings. In particular, they shall not rely on such
references as: "as described in part ... of the description," or "as
illustrated in figure ... of the drawings."
Where the international application contains drawings, the technical
features mentioned in the claims shall preferably be followed by the
reference signs relating to such features. When used, the reference
signs shall preferably be placed between parentheses. If inclusion of
reference signs does not particularly facilitate quicker understanding
of a claim, it should not be made. Reference signs may be removed by a
designated Office for the purposes of publication by such Office.
---SECTION---6.3 Manner of Claiming
The definition of the matter for which protection is sought shall be in
terms of the technical features of the invention.
Whenever appropriate, claims shall contain:
a statement indicating those technical features of the invention which
are necessary for the definition of the claimed subject matter but
which, in combination, are part of the prior art,
a characterizing portion - preceded by the words "characterized in
that," "characterized by," "wherein the improvement comprises," or any
other words to the same effect - stating concisely the technical
features which, in combination with the features stated under (i), it is
desired to protect.
Where the national law of the designated State does not require the
manner of claiming provided for in paragraph (b), failure to use that
manner of claiming shall have no effect in that State provided the
manner of claiming actually used satisfies the national law of that
State.
---SECTION---6.4 Dependent Claims
Any claim which includes all the features of one or more other claims
(claim in dependent form, hereinafter referred to as "dependent claim")
shall do so by a reference, if possible at the beginning, to the other
claim or claims and shall then state the additional features claimed.
Any dependent claim which refers to more than one other claim ("multiple
dependent claim") shall refer to such claims in the alternative only.
Multiple dependent claims shall not serve as a basis for any other
multiple dependent claim. Where the national law of the national Office
acting as International Searching Authority does not allow multiple
dependent claims to be drafted in a manner different from that provided
for in the preceding two sentences, failure to use that manner of
claiming may result in an indication under Article 17(2)(b) in the
international search report. Failure to use the said manner of claiming
shall have no effect in a designated State if the manner of claiming
actually used satisfies the national law of that State.
Any dependent claim shall be construed as including all the limitations
contained in the claim to which it refers or, if the dependent claim is
a multiple dependent claim, all the limitations contained in the
particular claim in relation to which it is considered.
All dependent claims referring back to a single previous claim, and all
dependent claims referring back to several previous claims, shall be
grouped together to the extent and in the most practical way possible.
---SECTION---6.5 Utility Models
Any designated State in which the grant of a utility model is sought on
the basis of an international application may, instead of Rules 6.1 to
6.4, apply in respect of the matters regulated in those Rules the
provisions of its national law concerning utility models once the
processing of the international application has started in that State,
provided that the applicant shall be allowed at least two months from
the expiration of the time limit applicable under Article 22 to adapt
his application to the requirements of the said provisions of the
national law.
---SECTION---7. The Drawings
---SECTION---7.1 Flow Sheets and Diagrams
Flowsheets and diagrams are considered drawings.
---SECTION---7.2 Time Limit
The time limit referred to in Article 7(2)(ii) shall be reasonable under
the circumstances of the case and shall, in no case, be shorter than two
months from the date of the written invitation requiring the filing of
drawings or additional drawings under the said provision.
---SECTION---8. The Abstract
---SECTION---8.1 Contents and Form of the Abstract
The abstract shall consist of the following:
a summary of the disclosure as contained in the description, the claims,
and any drawings; the summary shall indicate the technical field to
which the invention pertains and shall be drafted in a way which allows
the clear understanding of the technical problem, the gist of the
solution of that problem through the invention, and the principal use or
uses of the invention;
where applicable, the chemical formula which, among all the formulae
contained in the international application, best characterizes the
invention.
The abstract shall be as concise as the disclosure permits (preferably
50 to 150 words if it is in English or when translated into English).
The abstract shall not contain statements on the alleged merits or value
of the claimed invention or on its speculative application.
Each main technical feature mentioned in the abstract and illustrated by
a drawing in the international application shall be followed by a
reference sign, placed between parentheses.
---SECTION---8.2 Figure
If the applicant fails to make the indication referred to in Rule
3.3(a)(iii), or if the International Searching Authority finds that a
figure or figures other than that figure or those figures suggested by
the applicant would, among all the figures of all the drawings, better
characterize the invention, it shall, subject to paragraph (b), indicate
the figure or figures which should accompany the abstract when the
latter is published by the International Bureau. In such case, the
abstract shall be accompanied by the figure or figures so indicated by
the International Searching Authority. Otherwise, the abstract shall,
subject to paragraph (b), be accompanied by the figure or figures
suggested by the applicant.
If the International Searching Authority finds that none of the figures
of the drawings is useful for the understanding of the abstract, it
shall notify the International Bureau accordingly. In such case, the
abstract, when published by the International Bureau, shall not be
accompanied by any figure of the drawings even where the applicant has
made a suggestion under Rule 3.3(a)(iii).
---SECTION---8.3 Guiding Principles in Drafting
The abstract shall be so drafted that it can efficiently serve as a
scanning tool for purposes of searching in the particular art,
especially by assisting the scientist, engineer or researcher in
formulating an opinion on whether there is a need for consulting the
international application itself.
---SECTION---9. Expressions, Etc., Not To Be Used
---SECTION---9.1 Definition
The international application shall not contain:
expressions or drawings contrary to morality;
expressions or drawings contrary to public order;
statements disparaging the products or processes of any particular
person other than the applicant, or the merits or validity of
applications or patents of any such person (mere comparisons with the
prior art shall not be considered disparaging, per se);
any statement or other matter obviously irrelevant or unnecessary under
the circumstances.
---SECTION---9.2 Noting of Lack of Compliance
The receiving Office and the International Searching Authority may note
lack of compliance with the prescriptions of Rule 9.1 and may suggest to
the applicant that he voluntarily correct his international application
accordingly. If the lack of compliance was noted by the receiving
Office, that Office shall inform the competent International Searching
Authority and the International Bureau; if the lack of compliance was
noted by the International Searching Authority, that Authority shall
inform the receiving Office and the International Bureau.
---SECTION---9.3 Reference to Article 21(6)
"Disparaging statements," referred to in Article 21(6), shall have the
meaning as defined in Rule 9.1(iii).
---SECTION---10. Terminology and Signs
---SECTION---10.1 Terminology and Signs
Units of weights and measures shall be expressed in terms of the metric
system, or also expressed in such terms if first expressed in terms of a
different system.
Temperatures shall be expressed in degrees Celsius, or also expressed in
degrees Celsius, if first expressed in a different manner.
[Deleted]
For indications of heat, energy, light, sound, and magnetism, as well as
for mathematical formulae and electrical units, the rules of
international practice shall be observed; for chemical formulae, the
symbols, atomic weights, and molecular formulae, in general use, shall
be employed.
In general, only such technical terms, signs, and symbols should be used
as are generally accepted in the art.
When the international application or its translation is in Chinese,
English, or Japanese, the beginning of any decimal shall be marked by a
period, whereas, when the international application or its translation
is in a language other than Chinese, English, or Japanese, it shall be
marked by a comma.
---SECTION---10.2 Consistency
The terminology and the signs shall be consistent throughout the
international application.
---SECTION---11. Physical Requirements of the International Application
---SECTION---11.1 Number of Copies
Subject to the provisions of paragraph (b), the international
application and each of the documents referred to in the check list
(Rule 3.3(a)(ii)) shall be filed in one copy.
Any receiving Office may require that the international application and
any of the documents referred to in the check list (Rule 3.3(a)(ii)),
except the receipt for the fees paid or the check for the payment of the
fees, be filed in two or three copies. In that case, the receiving
Office shall be responsible for verifying the identity of the second and
the third copies with the record copy.
---SECTION---11.2 Fitness for Reproduction
All elements of the international application (i.e., the request, the
description, the claims, the drawings, and the abstract) shall be so
presented as to admit of direct reproduction by photography,
electrostatic processes, photo offset, and microfilming, in any number
of copies.
All sheets shall be free from creases and cracks; they shall not be
folded.
Only one side of each sheet shall be used.
Subject to Rule 11.10(d) and Rule 11.13(j), each sheet shall be used in
an upright position (i.e., the short sides at the top and bottom).
---SECTION---11.3 Material to Be Used
All elements of the international application shall be on paper which
shall be flexible, strong, white, smooth, non-shiny, and durable.
---SECTION---11.4 Separate Sheets, Etc.
Each element (request, description, claims, drawings, abstract) of the
international application shall commence on a new sheet.
All sheets of the international application shall be so connected that
they can be easily turned when consulted, and easily separated and
joined again if they have been separated for reproduction purposes.
---SECTION---11.5 Size of Sheets
The size of the sheets shall be A4 (29.7 cm x 21 cm). However, any
receiving Office may accept international applications on sheets of
other sizes provided that the record copy, as transmitted to the
International Bureau, and, if the competent International Searching
Authority so desires, the search copy, shall be of A4 size.
---SECTION---11.6 Margins
The minimum margins of the sheets containing the description, the
claims, and the abstract, shall be as follows:
- top: 2 cm
- left side: 2.5 cm
- right side: 2 cm
- bottom: 2 cm
The recommended maximum, for the margins provided for in paragraph (a),
is as follows:
- top: 4 cm
- left side: 4 cm
- right side: 3 cm
- bottom: 3 cm
On sheets containing drawings, the surface usable shall not exceed 26.2
cm x 17.0 cm. The sheets shall not contain frames around the usable or
used surface. The minimum margins shall be as follows:
- top: 2.5 cm
- left side: 2.5 cm
- right side: 1.5 cm
- bottom: 1.0 cm
The margins referred to in paragraphs (a) to (c) apply to A4-size
sheets, so that, even if the receiving Office accepts other sizes, the
A4-size record copy and, when so required, the A4-size search copy shall
leave the aforesaid margins.
Subject to paragraph (f) and to Rule 11.8(b), the margins of the
international application, when submitted, must be completely blank.
The top margin may contain in the left-hand corner an indication of the
applicant's file reference, provided that the reference appears within
1.5 cm from the top of the sheet.
The number of characters in the applicant's file reference shall not
exceed the maximum fixed by the Administrative Instructions.
---SECTION---11.7 Numbering of Sheets
All the sheets contained in the international application shall be
numbered in consecutive Arabic numerals.
The numbers shall be centered at the top or bottom of the sheet, but
shall not be placed in the margin.
---SECTION---11.8 Numbering of Lines
It is strongly recommended to number every fifth line of each sheet of
the description, and of each sheet of claims.
The numbers should appear in the right half of the left margin.
---SECTION---11.9 Writing of Text Matter
The request, the description, the claims and the abstract shall be typed
or printed.
Only graphic symbols and characters, chemical or mathematical formulae,
and certain characters in the Chinese or Japanese languages may, when
necessary, be written by hand or drawn.
The typing shall be 1 1/2-spaced.
All text matter shall be in characters the capital letters of which are
not less than 0.21 cm high, and shall be in a dark, indelible color,
satisfying the requirements specified in Rule 11.2.
As far as the spacing of the typing and the size of the characters are
concerned, paragraphs (c) and (d) shall not apply to texts in the
Chinese or Japanese languages.
---SECTION---11.10 Drawings, Formulae, and Tables, in Text Matter
The request, the description, the claims and the abstract shall not
contain drawings.
The description and the abstract may contain tables; any claim may
contain tables only if the subject matter of the claim makes the use of
tables desirable.
Tables and chemical or mathematical formulae may be placed sideways on
the sheet if they cannot be presented satisfactorily in an upright
position thereon; sheets on which tables or chemical or mathematical
formulae are presented sideways shall be so presented that the tops of
the tables or formulae are at the left side of the sheet.
---SECTION---11.11 Words in Drawings
The drawings shall not contain text matter, except a single word or
words, when absolutely indispensable, such as "water," "steam," "open,"
"closed," "section on AB," and, in the case of electric circuits and
block schematic or flow sheet diagrams, a few short catchwords
indispensable for understanding.
Any words used shall be so placed that, if translated, they may be
pasted over without interfering with any lines of the drawings.
---SECTION---11.12 Alterations, Etc.
Each sheet shall be reasonably free from erasures and shall be free from
alterations, overwritings, and interlineations. Non-compliance with this
Rule may be authorized if the authenticity of the content is not in
question and the requirements for good reproduction are not in jeopardy.
---SECTION---11.13 Special Requirements for Drawings
Drawings shall be executed in durable, black, sufficiently dense and
dark, uniformly thick and well-defined, lines and strokes without
colorings.
Cross-sections shall be indicated by oblique hatching which should not
impede the clear reading of the reference signs and leading lines.
The scale of the drawings and the distinctness of their graphical
execution shall be such that a photographic reproduction with a linear
reduction in size to two-thirds would enable all details to be
distinguished without difficulty.
When, in exceptional cases, the scale is given on a drawing, it shall be
represented graphically.
All numbers, letters and reference lines, appearing on the drawings,
shall be simple and clear. Brackets, circles or inverted commas shall
not be used in association with numbers and letters.
All lines in the drawings shall, ordinarily, be drawn with the aid of
drafting instruments.
Each element of each figure shall be in proper proportion to each of the
other elements in the figure, except where the use of a different
proportion is indispensable for the clarity of the figure.
The height of the numbers and letters shall not be less than 0.32 cm.
For the lettering of drawings, the Latin and, where customary, the Greek
alphabets shall be used.
The same sheet of drawings may contain several figures. Where figures on
two or more sheets form in effect a single complete figure, the figures
on the several sheets shall be so arranged that the complete figure can
be assembled without concealing any part of any of the figures appearing
on the various sheets.
The different figures shall be arranged on a sheet or sheets without
wasting space, preferably in an upright position, clearly separated from
one another. Where the figures are not arranged in an upright position,
they shall be presented sideways with the top of the figures at the left
side of the sheet.
The different figures shall be numbered in Arabic numerals consecutively
and independently of the numbering of the sheets.
Reference signs not mentioned in the description shall not appear in the
drawings, and vice versa.
The same features, when denoted by reference signs, shall, throughout
the international application, be denoted by the same signs.
If the drawings contain a large number of reference signs, it is
strongly recommended to attach a separate sheet listing all reference
signs and the features denoted by them.
---SECTION---11.14 Later Documents
Rules 10, and 11.1 to 11.13, also apply to any document - for example,
corrected pages, amended claims, translations - submitted after the
filing of the international application.
---SECTION---12. Language of the International Application and
Translation for the Purpose of International Search
---SECTION---12.1 Languages Accepted for the Filing of International
Applications
An international application shall be filed in any language which the
receiving Office accepts for that purpose.
Each receiving Office shall, for the filing of international
applications, accept at least one language which is both:
a language accepted by the International Searching Authority, or, if
applicable, by at least one of the International Searching Authorities,
competent for the international searching of international applications
filed with that receiving Office, and
a language of publication.
[Deleted]
Notwithstanding paragraph (a), the request shall be filed in a language
which is both a language accepted by the receiving Office under that
paragraph and a language of publication.
Notwithstanding paragraph (a), any text matter contained in the sequence
listing part of the description referred to in Rule 5.2(a) shall be
presented in accordance with the standard provided for in the
Administrative Instructions.
---SECTION---12.2 Language of Changes in the International Application
Any amendment of the international application shall, subject to Rules
46.3, 55.3 and 66.9, be in the language in which the application is
filed.
Any rectification under Rule 91.1 of an obvious error in the
international application shall be in the language in which the
application is filed, provided that:
where a translation of the international application is required under
Rule 12.3(a), 48.3(b) or 55.2(a), rectifications referred to in Rule
91.1(e)(ii) and (iii) shall be filed in both the language of the
application and the language of that translation;
where a translation of the request is required under Rule 26.3ter(c),
rectifications referred to in Rule 91.1(e)(i) need only be filed in the
language of that translation.
Any correction under Rule 26 of a defect in the international
application shall be in the language in which the international
application is filed. Any correction under Rule 26 of a defect in a
translation of the international application furnished under Rule 12.3
or 55.2(a), or in a translation of the request furnished under Rule
26.3ter(c), shall be in the language of the translation.
---SECTION---12.3 Translation for the Purposes of International Search
Where the language in which the international application is filed is
not accepted by the International Searching Authority that is to carry
out the international search, the applicant shall, within one month from
the date of receipt of the international application by the receiving
Office, furnish to that Office a translation of the international
application into a language which is all of the following:
a language accepted by that Authority, and
a language of publication, and
a language accepted by the receiving Office under Rule 12.1(a), unless
the international application is filed in a language of publication.
Paragraph (a) shall not apply to the request nor to any sequence listing
part of the description.
Where, by the time the receiving Office sends to the applicant the
notification under Rule 20.5(c), the applicant has not furnished a
translation required under paragraph (a), the receiving Office shall,
preferably together with that notification, invite the applicant:
o furnish the required translation within the time limit under paragraph
(a);
in the event that the required translation is not furnished within the
time limit under paragraph (a), to furnish it and to pay, where
applicable, the late furnishing fee referred to in paragraph (e), within
one month from the date of the invitation or two months from the date of
receipt of the international application by the receiving Office,
whichever expires later.
Where the receiving Office has sent to the applicant an invitation under
paragraph (c) and the applicant has not, within the applicable time
limit under paragraph (c)(ii), furnished the required translation and
paid any required late furnishing fee, the international application
shall be considered withdrawn and the receiving Office shall so declare.
Any translation and any payment received by the receiving Office before
that Office makes the declaration under the previous sentence and before
the expiration of 15 months from the priority date shall be considered
to have been received before the expiration of that time limit.
The furnishing of a translation after the expiration of the time limit
under paragraph (a) may be subjected by the receiving Office to the
payment to it, for its own benefit, of a late furnishing fee equal to
50% of the basic fee.
---SECTION---13. Unity of Invention
---SECTION---13.1 Requirement
The international application shall relate to one invention only or to a
group of inventions so linked as to form a single general inventive
concept ("requirement of unity of invention").
---SECTION---13.2 Circumstances in Which the Requirement of Unity of
Invention Is to Be Considered Fulfilled
Where a group of inventions is claimed in one and the same international
application, the requirement of unity of invention referred to in Rule
13.1 shall be fulfilled only when there is a technical relationship
among those inventions involving one or more of the same or
corresponding special technical features. The expression "special
technical features" shall mean those technical features that define a
contribution which each of the claimed inventions, considered as a
whole, makes over the prior art.
---SECTION---13.3 Determination of Unity of Invention Not Affected
Manner of Claiming
The determination whether a group of inventions is so linked as to form
a single general inventive concept shall be made without regard to
whether the inventions are claimed in separate claims or as alternatives
within a single claim.
---SECTION---13.4 Dependent Claims
Subject to Rule 13.1, it shall be permitted to include in the same
international application a reasonable number of dependent claims,
claiming specific forms of the invention claimed in an independent
claim, even where the features of any dependent claim could be
considered as constituting in themselves an invention.
---SECTION---13.5 Utility Models
Any designated State in which the grant of a utility model is sought on
the basis of an international application may, instead of Rules 13.1 to
13.4, apply in respect of the matters regulated in those Rules the
provisions of its national law concerning utility models once the
processing of the international application has started in that State,
provided that the applicant shall be allowed at least two months from
the expiration of the time limit applicable under Article 22 to adapt
his application to the requirements of the said provisions of the
national law.
---SECTION---13. Inventions Relating to Biological Material
---SECTION---13.1 Definition
For the purposes of this Rule, "reference to a deposited biological
material" means particulars given in an international application with
respect to the deposit of biological material with a depositary
institution or to the biological material so deposited.
---SECTION---13.2 References (General)
Any reference to deposited biological material shall be made in
accordance with this Rule and, if so made, shall be considered as
satisfying the requirements of the national law of each designated
State.
---SECTION---13.3 References: Contents; Failure to Include Reference or
Indication
A reference to deposited biological material shall indicate:
the name and address of the depositary institution with which the
deposit was made;
the date of deposit of the biological material with that institution;
the accession number given to the deposit by that institution; and
any additional matter of which the International Bureau has been
notified pursuant to Rule 13bis.7(a)(i), provided that the requirement
to indicate that matter was published in the Gazette in accordance with
Rule 13bis.7(c) at least two months before the filing of the
international application.
Failure to include a reference to deposited biological material or
failure to include, in a reference to deposited biological material, an
indication in accordance with paragraph (a), shall have no consequence
in any designated State whose national law does not require such
reference or such indication in a national application.
---SECTION---13.4 References: Time Limit for Furnishing Indications
Subject to paragraphs (b) and (c), if any of the indications referred to
in Rule 13bis.3(a) is not included in a reference to deposited
biological material in the international application as filed but is
furnished to the International Bureau:
within 16 months from the priority date, the indication shall be
considered by any designated Office to have been furnished in time;
after the expiration of 16 months from the priority date, the indication
shall be considered by any designated Office to have been furnished on
the last day of that time limit if it reaches the International Bureau
before the technical preparations for international publication have
been completed.
If the national law applicable by a designated Office so requires in
respect of national applications, that Office may require that any of
the indications referred to in Rule 13bis.3(a) be furnished earlier than
16 months from the priority date, provided that the International Bureau
has been notified of such requirement pursuant to Rule 13bis.7(a)(ii)
and has published such requirement in the Gazette in accordance with
Rule 13bis.7(c) at least two months before the filing of the
international application.
Where the applicant makes a request for early publication under Article
21(2)(b), any designated Office may consider any indication not
furnished before the technical preparations for international
publication have been completed as not having been furnished in time.
The International Bureau shall notify the applicant of the date on which
it received any indication furnished under paragraph (a), and
if the indication was received before the technical preparations for
international publication have been completed, indicate that date, and
include the relevant data from the indication, in the pamphlet published
under Rule 48;
if the indication was received after the technical preparations for
international publication have been completed, notify that date and the
relevant data from the indication to the designated Offices.
---SECTION---13.5 References and Indications for the Purposes of One or
More Designated States; Different Deposits for Different Designated
States; Deposits with Depositary Institutions Other Than Those Notified
A reference to deposited biological material shall be considered to be
made for the purposes of all designated States, unless it is expressly
made for the purposes of certain of the designated States only; the same
applies to the indications included in the reference.
References to different deposits of the biological material may be made
for different designated States.
Any designated Office may disregard a deposit made with a depositary
institution other than one notified by it under Rule 13bis.7(b).
---SECTION---13.6 Furnishing of Samples
Pursuant to Articles 23 and 40, no furnishing of samples of the
deposited biological material to which a reference is made in an
international application shall, except with the authorization of the
applicant, take place before the expiration of the applicable time
limits after which national processing may start under the said
Articles. However, where the applicant performs the acts referred to in
Articles 22 or 39 after international publication but before the
expiration of the said time limits, the furnishing of samples of the
deposited biological material may take place, once the said acts have
been performed. Notwithstanding the previous provision, the furnishing
of samples of the deposited biological material may take place under the
national law applicable by any designated Office as soon as, under that
law, the international publication has the effects of the compulsory
national publication of an unexamined national application.
---SECTION---13.7 National Requirements: Notification and Publication
Any national Office may notify the International Bureau of any
requirement of the national law:
that any matter specified in the notification, in addition to those
referred to in Rule 13bis.3(a)(i), (ii) and (iii), is required to be
included in a reference to deposited biological material in a national
application;
that one or more of the indications referred to in Rule 13bis.3(a) are
required to be included in a national application as filed or are
required to be furnished at a time specified in the notification which
is earlier than 16 months after the priority date.
Each national Office shall notify the International Bureau of the
depositary institutions with which the national law permits deposits of
biological materials to be made for the purposes of patent procedure
before that Office or, if the national law does not provide for or
permit such deposits, of that fact.
The International Bureau shall promptly publish in the Gazette
requirements notified to it under paragraph (a) and information notified
to it under paragraph (b).
---SECTION---13. Nucleotide and/or Amino Acid Sequence Listings
---SECTION---13.1 Sequence Listing for International Authorities
Where the International Searching Authority finds that the international
application contains disclosure of one or more nucleotide and/or amino
acid sequences but:
the international application does not contain a sequence listing
complying with the standard provided for in the Administrative
Instructions, that Authority may invite the applicant to furnish to it,
within a time limit fixed in the invitation, a sequence listing
complying with that standard;
the applicant has not already furnished a sequence listing in computer
readable form complying with the standard provided for in the
Administrative Instructions, that Authority may invite the applicant to
furnish to it, within a time limit fixed in the invitation, a sequence
listing in such a form complying with that standard.
[Deleted]
If the applicant does not comply with an invitation under paragraph (a)
within the time limit fixed in the invitation, the International
Searching Authority shall not be required to search the international
application to the extent that such noncompliance has the result that a
meaningful search cannot be carried out.
Where the International Searching Authority finds that the description
does not comply with Rule 5.2(b), it shall invite the applicant to file
the required correction. Rule 26.4 shall apply mutatis mutandis to any
correction offered by the applicant. The International Searching
Authority shall transmit the correction to the receiving Office and to
the International Bureau.
Paragraphs (a) and (c) shall apply mutatis mutandis to the procedure
before the International Preliminary Examining Authority.
Any sequence listing not contained in the international application as
filed shall not, subject to Article 34, form part of the international
application.
---SECTION---13.2 Sequence Listing for Designated Office
Once the processing of the international application has started before
a designated Office, Rule 13ter .1(a) shall apply mutatis mutandis to
the procedure before that Office. No designated Office shall require the
applicant to furnish to it a sequence listing other than a sequence
listing complying with the standard provided for in the Administrative
Instructions.
---SECTION---14. The Transmittal Fee
---SECTION---14.1 The Transmittal Fee
Any receiving Office may require that the applicant pay a fee to it, for
its own benefit, for receiving the international application,
transmitting copies to the International Bureau and the competent
International Searching Authority, and performing all the other tasks
which it must perform in connection with the international application
in its capacity of receiving Office ("transmittal fee").
The amount of the transmittal fee, if any, shall be fixed by the
receiving Office.
The transmittal fee shall be paid within one month from the date of
receipt of the international application. The amount payable shall be
the amount applicable on that date of receipt.
---SECTION---15. The International Fee
---SECTION---15.1 Basic Fee and Designation Fee
Each international application shall be subject to the payment of a fee
for the benefit of the International Bureau ("international fee") to be
collected by the receiving Office and consisting of,
a "basic fee," and
as many "designation fees" as there are national patents and regional
patents sought under Rule 4.9(a), except that, where Article 44 applies
in respect of a designation, only one designation fee shall be due for
that designation, and that the Schedule of Fees may indicate a maximum
number of designation fees payable.
---SECTION---15.2 Amounts
The amounts of the basic fee and of the designation fee are as set out
in the Schedule of Fees.
The basic fee and the designation fee shall be payable in the currency
or one of the currencies prescribed by the receiving Office ("prescribed
currency"), it being understood that, when transferred by the receiving
Office to the International Bureau, they shall be freely convertible
into Swiss currency. The amounts of the basic fee and of the designation
fee shall be established, for each receiving Office which prescribes the
payment of those fees in any currency other than Swiss currency, by the
Director General after consultation with the receiving Office of, or
acting under Rule 19.1(b) for, the State whose official currency is the
same as the prescribed currency. The amounts so established shall be the
equivalents, in round figures, of the amounts in Swiss currency set out
in the Schedule of Fees. They shall be notified by the International
Bureau to each receiving Office prescribing payment in that prescribed
currency and shall be published in the Gazette.
Where the amounts of the fees set out in the Schedule of Fees are
changed, the corresponding amounts in the prescribed currencies shall be
applied from the same date as the amounts set out in the amended
Schedule of Fees.
Where the exchange rate between Swiss currency and any prescribed
currency becomes different from the exchange rate last applied, the
Director General shall establish new amounts in the prescribed currency
according to directives given by the Assembly. The newly established
amounts shall become applicable two months after the date of their
publication in the Gazette, provided that the receiving Office referred
to in the second sentence of paragraph (b) and the Director General may
agree on a date falling during the said two-month period, in which case
the said amounts shall become applicable from that date.
---SECTION---15.3 [Deleted]
---SECTION---15.4 Time Limit for Payment; Amount Payable
The basic fee shall be paid within one month from the date of receipt of
the international application. The amount payable shall be the amount
applicable on that date of receipt.
The designation fee shall be paid within a time limit of:
one year from the priority date, or
one month from the date of receipt of the international application if
that one-month period expires later than one year from the priority
date.
Where the designation fee is paid before the expiration of one month
from the date of receipt of the international application, the amount
payable shall be the amount applicable on that date of receipt. Where
the time limit under paragraph (b)(i) applies and the designation fee is
paid before the expiration of that time limit but later than one month
from the date of receipt of the international application, the amount
payable shall be the amount applicable on the date of payment.
---SECTION---15.5 Fees Under Rule 4.9(c)
Notwithstanding Rule 15.4(b), the confirmation under Rule 4.9(c) of any
designations made under Rule 4.9(b) shall be subject to the payment to
the receiving Office of as many designation fees (for the benefit of the
International Bureau) as there are national patents and regional patents
sought by the applicant by virtue of the confirmation, together with a
confirmation fee (for the benefit of the receiving Office) equal to 50%
of the sum of the designation fees payable under this paragraph. Such
fees shall be payable in respect of each designation so confirmed, even
if the maximum number of designation fees referred to in item 2(a) of
the Schedule of Fees is already payable or if a designation fee is
already payable in respect of the designation under Rule 4.9(a) of the
same State for a different purpose.
Where moneys paid by the applicant within the time limit under Rule
4.9(b)(ii) are not sufficient to cover the fees due under paragraph (a),
the receiving Office shall allocate any moneys paid as specified by the
applicant or, in the absence of such specification, as prescribed by the
Administrative Instructions.
---SECTION---15.6 Refund
The receiving Office shall refund the international fee to the
applicant:
if the determination under Article 11(1) is negative,
if, before the transmittal of the record copy to the International
Bureau, the international application is withdrawn or considered
withdrawn, or
if, due to prescriptions concerning national security, the international
application is not treated as such.
---SECTION---16. The Search Fee
---SECTION---16.1 Right to Ask for a Fee
Each International Searching Authority may require that the applicant
pay a fee ("search fee") for its own benefit for carrying out the
international search and for performing all other tasks entrusted to
International Searching Authorities by the Treaty and these Regulations.
The search fee shall be collected by the receiving Office. The said fee
shall be payable in the currency or one of the currencies prescribed by
that Office ("receiving Office currency"), it being understood that, if
any receiving Office currency is not that, or one of those, in which the
International Searching Authority has fixed the said fee ("fixed
currency"), it shall, when transferred by the receiving Office to the
International Searching Authority, be freely convertible into the
currency of the State in which the International Searching Authority has
its headquarters ("headquarters currency"). The amount of the search fee
in any receiving Office currency, other than the fixed currency, shall
be established by the Director General after consultation with the
receiving Office of, or acting under Rule 19.1(b) for, the State whose
official currency is the same as the receiving Office currency. The
amounts so established shall be the equivalents, in round figures, of
the amount established by the International Searching Authority in the
headquarters currency. They shall be notified by the International
Bureau to each receiving Office prescribing payment in that receiving
Office currency and shall be published in the Gazette.
Where the amount of the search fee in the headquarters currency is
changed, the corresponding amounts in the receiving Office currencies,
other than the fixed currency or currencies, shall be applied from the
same date as the changed amount in the headquarters currency.
Where the exchange rate between the headquarters currency and any
receiving Office currency, other than the fixed currency or currencies,
becomes different from the exchange rate last applied, the Director
General shall establish the new amount in the said receiving Office
currency according to directives given by the Assembly. The newly
established amount shall become applicable two months after its
publication in the Gazette, provided that any receiving Office referred
to in the third sentence of paragraph (b) and the Director General may
agree on a date falling during the said two-month period, in which case
the said amount shall become applicable for that Office from that date.
Where, in respect of the payment of the search fee in a receiving Office
currency, other than the fixed currency or currencies, the amount
actually received by the International Searching Authority in the
headquarters currency is less than that fixed by it, the difference will
be paid to the International Searching Authority by the International
Bureau, whereas, if the amount actually received is more, the difference
will belong to the International Bureau.
As to the time limit for payment of the search fee and the amount
payable, the provisions of Rule 15.4(a) relating to the basic fee shall
apply mutatis mutandis.
---SECTION---16.2 Refund
The receiving Office shall refund the search fee to the applicant:
if the determination under Article 11(1) is negative,
if, before the transmittal of the search copy to the International
Searching Authority, the international application is withdrawn or
considered withdrawn, or
if, due to prescriptions concerning national security, the international
application is not treated as such.
---SECTION---16.3 Partial Refund
Where the international application claims the priority of an earlier
international application which has been the subject of an international
search by the same International Searching Authority, that Authority
shall refund the search fee paid in connection with the later
international application to the extent and under the conditions
provided for in the agreement under Article 16(3)(b), if the
international search report on the later international application could
wholly or partly be based on the results of the international search
effected on the earlier international application.
---SECTION---16. Extension of Time Limits for Payment of Fees
---SECTION---16.1 Invitation by the Receiving Office
Where, by the time they are due under Rules 14.1(c), 15.4(a) and
16.1(f), the receiving Office finds that no fees were paid to it, or
that the amount paid to it is insufficient to cover the transmittal fee,
the basic fee and the search fee, the receiving Office shall invite the
applicant to pay to it the amount required to cover those fees, together
with, where applicable, the late payment fee under Rule 16bis.2, within
a time limit of one month from the date of the invitation.
Where, by the time they are due under Rule 15.4(b), the receiving Office
finds that no fees were paid to it, or that the amount paid to it is
insufficient to cover the designation fees necessary to cover all the
designations under Rule 4.9(a), the receiving Office shall invite the
applicant to pay to it the amount required to cover those fees, together
with, where applicable, the late payment fee under Rule 16bis.2, within
a time limit of one month from the date of the invitation. The amount
payable in respect of any designation fee shall be the amount applicable
on the last day of the one-year period from the priority date if the
time limit under Rule 15.4(b)(i) applies or the amount applicable on the
date of receipt of the international application if the time limit under
Rule 15.4(b)(ii) applies.
Where the receiving Office has sent to the applicant an invitation under
paragraph (a) or (b) and the applicant has not, within the time limit
referred to in that paragraph, paid in full the amount due, including,
where applicable, the late payment fee under Rule 16bis.2, the receiving
Office shall, subject to paragraph (d):
allocate any moneys paid as specified by the applicant or, in the
absence of such specification, as prescribed by the Administrative
Instructions,
make the applicable declaration under Article 14(3), and
proceed as provided in Rule 29.
Any payment received by the receiving Office before that Office sends
the invitation under paragraph (a) or (b) shall be considered to have
been received before the expiration of the time limit under Rule
14.1(c), 15.4(a) or (b) or 16.1(f), as the case may be.
Any payment received by the receiving Office before that Office makes
the applicable declaration under Article 14(3) shall be considered to
have been received before the expiration of the time limit referred to
in paragraph (a) or (b).
---SECTION---16.2 Late Payment Fee
The payment of fees in response to an invitation under Rule 16bis.1(a)
or (b) may be subjected by the receiving Office to the payment to it,
for its own benefit, of a late payment fee. The amount of that fee shall
be:
50% of the amount of unpaid fees which is specified in the invitation,
or,
if the amount calculated under item (i) is less than the transmittal
fee, an amount equal to the transmittal fee.
The amount of the late payment fee shall not, however, exceed the amount
of the basic fee referred to in item 1 (a) of the Schedule of Fees.
---SECTION---17. The Priority Document
---SECTION---17.1
Obligation to Submit Copy of Earlier National or International
Application
Where the priority of an earlier national or international application
is claimed under Article 8, a copy of that earlier application,
certified by the authority with which it was filed ("the priority
document"), shall, unless already filed with the receiving Office
together with the international application in which the priority claim
is made, and subject to paragraph (b), be submitted by the applicant to
the International Bureau or to the receiving Office not later than 16
months after the priority date, provided that any copy of the said
earlier application which is received by the International Bureau after
the expiration of that time limit shall be considered to have been
received by that Bureau on the last day of that time limit if it reaches
it before the date of international publication of the international
application.
Where the priority document is issued by the receiving Office, the
applicant may, instead of submitting the priority document, request the
receiving Office to prepare and transmit the priority document to the
International Bureau. Such request shall be made not later than 16
months after the priority date and may be subjected by the receiving
Office to the payment of a fee.
If the requirements of neither of the two preceding paragraphs are
complied with, any designated State may disregard the priority claim,
provided that no designated Office shall disregard the priority claim
before giving the applicant an opportunity to furnish the priority
document within a time limit which shall be reasonable under the
circumstances.
---SECTION---17.2 Availability of Copies
Where the applicant has complied with Rule 17.1(a) or (b), the
International Bureau shall, at the specific request of the designated
Office, promptly but not prior to the international publication of the
international application, furnish a copy of the priority document to
that Office. No such Office shall ask the applicant himself to furnish
it with a copy. The applicant shall not be required to furnish a
translation to the designated Office before the expiration of the
applicable time limit under Article 22. Where the applicant makes an
express request to the designated Office under Article 23(2) prior to
the international publication of the international application, the
International Bureau shall, at the specific request of the designated
Office, furnish a copy of the priority document to that Office promptly
after receiving it.
The International Bureau shall not make copies of the priority document
available to the public prior to the international publication of the
international application.
Where the international application has been published under Article 21,
the International Bureau shall furnish a copy of the priority document
to any person upon request and subject to reimbursement of the cost
unless, prior to that publication:
the international application was withdrawn,
the relevant priority claim was withdrawn or considered, under Rule
26bis.2(b), not to have been made.
[Deleted]
[Deleted]
---SECTION---18. The Applicant
---SECTION---18.1 Residence and Nationality
Subject to the provisions of paragraphs (b) and (c), the question
whether an applicant is a resident or national of the Contracting State
of which he claims to be a resident or national shall depend on the
national law of that State and shall be decided by the receiving Office.
In any case,
possession of a real and effective industrial or commercial
establishment in a Contracting State shall be considered residence in
that State, and
a legal entity constituted according to the national law of a
Contracting State shall be considered a national of that State.
Where the international application is filed with the International
Bureau as receiving Office, the International Bureau shall, in the
circumstances specified in the Administrative Instructions, request the
national Office of, or acting for, the Contracting State concerned to
decide the question referred to in paragraph (a). The International
Bureau shall inform the applicant of any such request. The applicant
shall have an opportunity to submit arguments directly to the national
Office. The national Office shall decide the said question promptly.
---SECTION---18.2 [Deleted]
---SECTION---18.3 Two or More Applicants
If there are two or more applicants, the right to file an international
application shall exist if at least one of them is entitled to file an
international application according to Article 9.
---SECTION---18.4 Information on Requirements Under National Law as to
Applicants
and (b) [Deleted]
The International Bureau shall, from time to time, publish information
on the various national laws in respect of the question who is qualified
(inventor, successor in title of the inventor, owner of the invention,
or other) to file a national application and shall accompany such
information by a warning that the effect of the international
application in any designated State may depend on whether the person
designated in the international application as applicant for the
purposes of that State is a person who, under the national law of that
State, is qualified to file a national application.
---SECTION---19. The Competent Receiving Office
---SECTION---19.1 Where to File
Subject to the provisions of paragraph (b), the international
application shall be filed, at the option of the applicant,
with the national Office of or acting for the Contracting State of which
the applicant is a resident,
or with the national Office of or acting for the Contracting State of
which the applicant is a national, or
irrespective of the Contracting State of which the applicant is a
resident or national, with the International Bureau.
Any Contracting State may agree with another Contracting State or any
intergovernmental organization that the national Office of the latter
State or the intergovernmental organization shall, for all or some
purposes, act instead of the national Office of the former State as
receiving Office for applicants who are residents or nationals of that
former State. Notwithstanding such agreement, the national Office of the
former State shall be considered the competent receiving Office for the
purposes of Article 15(5).
In connection with any decision made under Article 9(2), the Assembly
shall appoint the national Office or the intergovernmental organization
which will act as receiving Office for applications of residents or
nationals of States specified by the Assembly. Such appointment shall
require the previous consent of the said national Office or
intergovernmental organization.
---SECTION---19.2 Two or More Applicants
If there are two or more applicants,
the requirements of Rule 19.1 shall be considered to be met if the
national Office with which the international application is filed is the
national Office of or acting for a Contracting State of which at least
one of the applicants is a resident or national;
the international application may be filed with the International Bureau
under Rule 19.1(a)(iii) if at least one of the applicants is a resident
or national of a Contracting State.
---SECTION---19.3 Publication of Fact of Delegation of Duties of
Receiving Office
Any agreement referred to in Rule 19.1(b) shall be promptly notified to
the International Bureau by the Contracting State which delegates the
duties of the receiving Office to the national Office of or acting for
another Contracting State or an intergovernmental organization.
The International Bureau shall, promptly upon receipt, publish the
notification in the Gazette.
---SECTION---19.4 Transmittal to the International Bureau as Receiving
Office
Where an international application is filed with a national Office which
acts as a receiving Office under the Treaty but
that national Office is not competent under Rule 19.1 or 19.2 to receive
that international application, or
that international application is not in a language accepted under Rule
12.1(a) by that national Office but is in a language accepted under that
Rule by the International Bureau as receiving Office, or
that national Office and the International Bureau agree, for any reason
other than those specified under items (i) and (ii), and with the
authorization of the applicant, that the procedure under this Rule
should apply, that international application shall, subject to paragraph
(b), be considered to have been received by that Office on behalf of the
International Bureau as receiving Office under Rule 19.1(a)(iii).
Where, pursuant to paragraph (a), an international application is
received by a national Office on behalf of the International Bureau as
receiving Office under Rule 19.1(a)(iii), that national Office shall,
unless prescriptions concerning national security prevent the
international application from being so transmitted, promptly transmit
it to the International Bureau. Such transmittal may be subjected by the
national Office to the payment of a fee, for its own benefit, equal to
the transmittal fee charged by that Office under Rule 14. The
international application so transmitted shall be considered to have
been received by the International Bureau as receiving Office under Rule
19.1(a)(iii) on the date of receipt of the international application by
that national Office.
For the purposes of Rules 14.1(c), 15.4(a) to (c) and 16.1(f), where the
international application was transmitted to the International Bureau
under paragraph (b), the date of receipt of the international
application shall be considered to be the date on which the
international application was actually received by the International
Bureau. For the purposes of this paragraph, the last sentence of
paragraph (b) shall not apply.
---SECTION---20. Receipt of the International Application
---SECTION---20.1 Date and Number
Upon receipt of papers purporting to be an international application,
the receiving Office shall indelibly mark mark the date of actual
receipt on the request of each copy received and the international
application number on each sheet of each copy received.
The place on each sheet where the date or number shall be marked, and
other details, shall be specified in the Administrative Instructions.
---SECTION---20.2 Receipt on Different Days
In cases where all the sheets pertaining to the same purported
international application are not received on the same day by the
receiving Office, that Office shall correct the date marked on the
request (still leaving legible, however, the earlier date or dates
already marked) so that it indicates the day on which the papers
completing the international application were received, provided that
where no invitation under Article 11(2)(a) to correct was sent to the
applicant, the said papers are received within 30 days from the date on
which sheets were first received;
where an invitation under Article 11(2)(a) to correct was sent to the
applicant, the said papers are received within the applicable time limit
under Rule 20.6;
in the case of Article 14(2), the missing drawings are received within
30 days from the date on which the incomplete papers were filed;
the absence or later receipt of any sheet containing the abstract or
part thereof shall not, in itself, require any correction of the date
marked on the request.
Any sheet received on a date later than the date on which sheets were
first received shall be marked by the receiving Office with the date on
which it was received.
---SECTION---20.3 Corrected International Application
In the case referred to in Article 11(2)(b), the receiving Office shall
correct the date marked on the request (still leaving legible, however,
the earlier date or dates already marked) so that it indicates the day
on which the last required correction was received.
---SECTION---20.3 [Deleted]
---SECTION---20.4 Determination under Article 11(1)
Promptly after receipt of the papers purporting to be an international
application, the receiving Office shall determine whether the papers
comply with the requirements of Article 11(1).
For the purposes of Article 11(1)(iii)(c), it shall be sufficient to
indicate the name of the applicant in a way which allows his identity to
be established even if the name is misspelled, the given names are not
fully indicated, or, in the case of legal entities, the indication of
the name is abbreviated or incomplete.
For the purposes of Article 11(1)(ii), it shall be sufficient that the
part which appears to be a description (other than any sequence listing
part thereof) and the part which appears to be a claim or claims be in a
language accepted by the receiving Office under Rule 12.1(a).
If, on October 1, 1997, paragraph (c) is not compatible with the
national law applied by the receiving Office, paragraph (c) shall not
apply to that receiving Office for as long as it continues not to be
compatible with that law, provided that the said Office informs the
International Bureau accordingly by December 31, 1997. The information
received shall be promptly published by the International Bureau in the
Gazette.
---SECTION---20.5 Positive Determination
If the determination under Article 11(1) is positive, the receiving
Office shall stamp on the request the name of the receiving Office and
the words "PCT International Application," or "Demande internationale
PCT." If the official language of the receiving Office is neither
English nor French, the words "International Application" or "Demande
internationale" may be accompanied by a translation of these words in
the official language of the receiving Office.
The copy whose request has been so stamped shall be the record copy of
the international application.
The receiving Office shall promptly notify the applicant of the
international application number and the international filing date. At
the same time, it shall send to the International Bureau a copy of the
notification sent to the applicant, except where it has already sent, or
is sending at the same time, the record copy to the International Bureau
under Rule 22.1(a).
---SECTION---20.6 Invitation to Correct
The invitation to correct under Article 11(2) shall specify the
requirement provided for under Article 11(1) which, in the opinion of
the receiving Office, has not been fulfilled.
The receiving Office shall promptly mail the invitation to the applicant
and shall fix a time limit, reasonable under the circumstances of the
case, for filing the correction. The time limit shall not be less than
10 days, and shall not exceed one month, from the date of the
invitation. If such time limit expires after the expiration of one year
from the filing date of any application whose priority is claimed, the
receiving Office may call this circumstance to the attention of the
applicant.
---SECTION---20.7 Negative Determination
If the receiving Office does not, within the prescribed time limit,
receive a reply to its invitation to correct, or if the correction
offered by the applicant still does not fulfill the requirements
provided for under Article 11(1), it shall:
promptly notify the applicant that his application is not and will not
be treated as an international application and shall indicate the
reasons therefor,
notify the International Bureau that the number it has marked on the
papers will not be used as an international application number,
keep the papers constituting the purported international application and
any correspondence relating thereto as provided in Rule 93.1, and
send a copy of the said papers to the International Bureau where,
pursuant to a request by the applicant under Article 25(1), the
International Bureau needs such a copy and specially asks for it.
---SECTION---20.8 Error by the Receiving Office
If the receiving Office later discovers, or on the basis of the
applicant's reply realizes, that it has erred in issuing an invitation
to correct since the requirements provided for under Article 11(1) were
fulfilled when the papers were received, it shall proceed as provided in
Rule 20.5.
---SECTION---20.9 Certified Copy for the Applicant
Against payment of a fee, the receiving Office shall furnish to the
applicant, on request, certified copies of the international application
as filed and of any corrections thereto.
---SECTION---21. Preparation of Copies
---SECTION---21.1 Responsibility of the Receiving Office
Where the international application is required to be filed in one copy,
the receiving Office shall be responsible for preparing the home copy
and the search copy required under Article 12(1).
Where the international application is required to be filed in two
copies, the receiving Office shall be responsible for preparing the home
copy.
If the international application is filed in less than the number of
copies required under Rule 11.1(b), the receiving Office shall be
responsible for the prompt preparation of the number of copies required,
and shall have the right to fix a fee for performing that task and to
collect such fee from the applicant.
---SECTION---22. Transmittal of the Record Copy
---SECTION---22.1 Procedure
If the determination under Article 11(1) is positive, and unless
prescriptions concerning national security prevent the international
application from being treated as such, the receiving Office shall
transmit the record copy to the International Bureau. Such transmittal
shall be effected promptly after receipt of the international
application or, if a check to preserve national security must be
performed, as soon as the necessary clearance has been obtained. In any
case, the receiving Office shall transmit the record copy in time for it
to reach the International Bureau by the expiration of the 13th month
from the priority date. If the transmittal is effected by mail, the
receiving Office shall mail the record copy not later than five days
prior to the expiration of the 13th month from the priority date.
If the International Bureau has received a copy of the notification
under Rule 20.5(c) but is not, by the expiration of 13 months from the
priority date, in possession of the record copy, it shall remind the
receiving Office that it should transmit the record copy to the
International Bureau promptly.
If the International Bureau has received a copy of the notification
under Rule 20.5(c) but is not, by the expiration of 14 months from the
priority date, in possession of the record copy, it shall notify the
applicant and the receiving Office accordingly.
After the expiration of 14 months from the priority date, the applicant
may request the receiving Office to certify a copy of his international
application as being identical with the international application as
filed and may transmit such certified copy to the International Bureau.
Any certification under paragraph (d) shall be free of charge and may be
refused only on any of the following grounds:
the copy which the receiving Office has been requested to certify is not
identical with the international application as filed;
prescriptions concerning national security prevent the international
application from being treated as such;
the receiving Office has already transmitted the record copy to the
International Bureau and that Bureau has informed the receiving Office
that it has received the record copy.
Unless the International Bureau has received the record copy, or until
it receives the record copy, the copy certified under paragraph (e) and
received by the International Bureau shall be considered to be the
record copy.
If, by the expiration of the time limit applicable under Article 22, the
applicant has performed the acts referred to in that Article but the
designated Office has not been informed by the International Bureau of
the receipt of the record copy, the designated Office shall inform the
International Bureau. If the International Bureau is not in possession
of the record copy, it shall promptly notify the applicant and the
receiving Office unless it has already notified them under paragraph
(c).
Where the international application is to be published in the language
of a translation furnished under Rule 12.3, that translation shall be
transmitted by the receiving Office to the International Bureau together
with the record copy under paragraph (a) or, if the receiving Office has
already transmitted the record copy to the International Bureau under
that paragraph, promptly after receipt of the translation.
---SECTION---22.2 [Deleted]
---SECTION---22.3 Time Limit under Article 12(3)
The time limit referred to in Article 12(3) shall be three months from
the date of the notification sent by the International Bureau to the
applicant under Rule 22.1(c) or (g).
---SECTION---23. Transmittal of the Search Copy, Translation and
Sequence Listing
---SECTION---23.1 Procedure
Where no translation of the international application is required under
Rule 12.3(a), the search copy shall be transmitted by the receiving
Office to the International Searching Authority at the latest on the
same day as the record copy is transmitted to the International Bureau
unless no search fee has been paid. In the latter case, it shall be
transmitted promptly after payment of the search fee.
Where a translation of the international application is furnished under
Rule 12.3, a copy of that translation and of the request, which together
shall be considered to be the search copy under Article 12(1), shall be
transmitted by the receiving Office to the International Searching
Authority, unless no search fee has been paid. In the latter case, a
copy of the said translation and of the request shall be transmitted
promptly after payment of the search fee.
Any sequence listing in computer readable form which is furnished to the
receiving Office shall be transmitted by that Office to the
International Searching Authority.
---SECTION---24. Receipt of the Record Copy by the International Bureau
---SECTION---24.1 [Deleted]
---SECTION---24.2 Notification of Receipt of the Record Copy
The International Bureau shall promptly notify:
the applicant,
the receiving Office, and
the International Searching Authority (unless it has informed the
International Bureau that it wishes not to be so notified), of the fact
and the date of receipt of the record copy. The notification shall
identify the international application by its number, the international
filing date and the name of the applicant, and shall indicate the filing
date of any earlier application whose priority is claimed. The
notification sent to the applicant shall also contain a list of the
States designated under Rule 4.9(a) and, where applicable, of those
States whose designations have been confirmed under Rule 4.9(c).
Each designated Office which has informed the International Bureau that
it wishes to receive the notification under paragraph (a) prior to the
communication under Rule 47.1 shall be so notified by the International
Bureau:
if the designation concerned was made under Rule 4.9(a), promptly after
the receipt of the record copy;
if the designation concerned was made under Rule 4.9(b), promptly after
the International Bureau has been informed by the receiving Office of
the confirmation of that designation.
If the record copy is received after the expiration of the time limit
fixed in Rule 22.3, the International Bureau shall promptly notify the
applicant, the receiving Office, and the International Searching
Authority, accordingly.
---SECTION---25. Receipt of the Search Copy by the International
Searching Authority
---SECTION---25.1 Notification of Receipt of the Search Copy
The International Searching Authority shall promptly notify the
International Bureau, the applicant, and - unless the International
Searching Authority is the same as the receiving Office - the receiving
Office, of the fact and the date of receipt of the search copy.
---SECTION---26. Checking by, and Correcting Before, the Receiving
Office of Certain Elements of the International Application
---SECTION---26.1
Time Limit for Check
The receiving Office shall issue the invitation to correct provided for
in Article 14(1)(b) as soon as possible, preferably within one month
from the receipt of the international application.
If the receiving Office issues an invitation to correct the defect
referred to in Article 14(1)(a)(iii) or (iv) (missing title or missing
abstract), it shall notify the International Searching Authority
accordingly.
---SECTION---26.2 Time Limit for Correction
The time limit referred to in Article 14(1)(b) shall be reasonable under
the circumstances and shall be fixed in each case by the receiving
Office. It shall not be less than one month from the date of the
invitation to correct. It may be extended by the receiving Office at any
time before a decision is taken.
---SECTION---26.3 Checking of Physical Requirements under Article
14(1)(a)(v)
Where the international application is filed in a language of
publication, the receiving Office shall check:
the international application for compliance with the physical
requirements referred to in Rule 11 only to the extent that compliance
therewith is necessary for the purpose of reasonably uniform
international publication;
any translation furnished under Rule 12.3 for compliance with the
physical requirements referred to in Rule 11 to the extent that
compliance therewith is necessary for the purpose of satisfactory
reproduction.
Where the international application is filed in a language which is not
a language of publication, the receiving Office shall check:
the international application for compliance with the physical
requirements referred to in Rule 11 only to the extent that compliance
therewith is necessary for the purpose of satisfactory reproduction;
any translation furnished under Rule 12.3 and the drawings for
compliance with the physical requirements referred to in Rule 11 to the
extent that compliance therewith is necessary for the purpose of
reasonably uniform international publication.
---SECTION---26.3 Invitation under Article 14(1)(b) to Correct Defects Under Rule 11
The receiving Office shall not be required to issue the invitation under
Article 14(1)(b) to correct a defect under Rule 11 where the physical
requirements referred to in that Rule are complied with to the extent
required under Rule 26.3.
---SECTION---26.3 Invitation to Correct Defects under Article 3(4)(i)
Where the abstract or any text matter of the drawings is filed in a
language which is different from the language of the description and the
claims, the receiving Office shall, unless
a translation of the international application is required under Rule
12.3(a), or
the abstract or the text matter of the drawings is in the language in
which the international application is to be published,
invite the applicant to furnish a translation of the abstract or the
text matter of the drawings into the language in which the international
application is to be published. Rules 26.1(a), 26.2, 26.3, 26.3bis, 26.5
and 29.1 shall apply mutatis mutandis.
If, on October 1, 1997, paragraph (a) is not compatible with the
national law applied by the receiving Office, paragraph (a) shall not
apply to that receiving Office for as long as it continues not to be
compatible with that law, provided that the said Office informs the
International Bureau accordingly by December 31, 1997. The information
received shall be promptly published by the International Bureau in the
Gazette.
Where the request does not comply with Rule 12.1(c), the receiving
Office shall invite the applicant to file a translation so as to comply
with that Rule. Rules 3, 26.1(a), 26.2, 26.5 and 29.1 shall apply
mutatis mutandis.
If, on October 1, 1997, paragraph (c) is not compatible with the
national law applied by the receiving Office, paragraph (c) shall not
apply to that receiving Office for as long as it continues not to be
compatible with that law, provided that the said Office informs the
International Bureau accordingly by December 31,1997. The information
received shall be promptly published by the International Bureau in the
Gazette.
---SECTION---26.4 Procedure
Any correction offered to the receiving Office may be stated in a letter
addressed to that Office if the correction is of such a nature that it
can be transferred from the letter to the record copy without adversely
affecting the clarity and the direct reproducibility of the sheet on to
which the correction is to be transferred; otherwise, the applicant
shall be required to submit a replacement sheet embodying the correction
and the letter accompanying the replacement sheet shall draw attention
to the differences between the replaced sheet and the replacement sheet.
---SECTION---26.5 Decision of the Receiving Office
The receiving Office shall decide whether the applicant has submitted
the correction within the time limit under Rule 26.2 and, if the
correction has been submitted within that time limit, whether the
international application so corrected is or is not to be considered
withdrawn, provided that no international application shall be
considered withdrawn for lack of compliance with the physical
requirements referred to in Rule 11 if it complies with those
requirements to the extent necessary for the purpose of reasonably
uniform international publication.
[Deleted]
---SECTION---26.6 Missing Drawings
If, as provided in Article 14(2), the international application refers
to drawings which in fact are not included in that application, the
receiving Office shall so indicate in the said application.
The date on which the applicant receives the notification provided for
in Article 14(2) shall have no effect on the time limit fixed under Rule
20.2(a)(iii).
---SECTION---26. Correction or Addition of Priority Claim
---SECTION---26.1 Correction or Addition of Priority Claim
The applicant may correct or add a priority claim by a notice submitted
to the receiving Office or the International Bureau within a time limit
of 16 months from the priority date or, where the correction or addition
would cause a change in the priority date, 16 months from the priority
date as so changed, whichever 16-month period expires first, provided
that such a notice may be submitted until the expiration of four months
from the international filing date. The correction of a priority claim
may include the addition of any indication referred to in Rule 4.10.
Any notice referred to in paragraph (a) received by the receiving Office
or the International Bureau after the applicant has made a request for
early publication under Article 21(2)(b) shall be considered not to have
been submitted, unless that request is withdrawn before the technical
preparations for international publication have been completed.
Where the correction or addition of a priority claim causes a change in
the priority date, any time limit which is computed from the previously
applicable priority date and which has not already expired shall be
computed from the priority date as so changed.
---SECTION---26.2 Invitation to Correct Defects in Priority Claims
Where the receiving Office or, if the receiving Office fails to do so,
the International Bureau, finds that a priority claim does not comply
with the requirements of Rule 4.10 or that any indication in a priority
claim is not the same as the corresponding indication appearing in the
priority document, the receiving Office or the International Bureau, as
the case may be, shall invite the applicant to correct the priority
claim.
If, in response to an invitation under paragraph (a), the applicant does
not, before the expiration of the time limit under Rule 26bis.1(a),
submit a notice correcting the priority claim so as to comply with the
requirements of Rule 4.10, that priority claim shall, for the purposes
of the procedure under the Treaty, be considered not to have been made
and the receiving Office or the International Bureau, as the case may
be, shall so declare and shall inform the applicant accordingly,
provided that a priority claim shall not be considered not to have been
made only because the indication of the number of the earlier
application referred to in Rule 4.10(a)(ii) is missing or because an
indication in the priority claim is not the same as the corresponding
indication appearing in the priority document.
Where the receiving Office or the International Bureau has made a
declaration under paragraph (b), the International Bureau shall, upon
request made by the applicant and received by the International Bureau
prior to the completion of the technical preparations for international
publication, and subject to the payment of a special fee whose amount
shall be fixed in the Administrative Instructions, publish, together
with the international application, information concerning the priority
claim which was considered not to have been made. A copy of that request
shall be included in the communication under Article 20 where a copy of
the pamphlet is not used for that communication or where the
international application is not published by virtue of Article 64(3).
---SECTION---27. Lack of Payment of Fees
---SECTION---27.1 Fees
For the purposes of Article 14(3)(a), "fees prescribed under Article
3(4)(iv)" means: the transmittal fee (Rule 14), the basic fee part of
the international fee (Rule 15.1(i)), the search fee (Rule 16), and,
where required, the late payment fee (Rule 16bis.2).
For the purposes of Article 14(3)(a) and (b), "the fee prescribed under
Article 4(2)" means the designation fee part of the international fee
(Rule 15.1(ii)) and, where required, the late payment fee (Rule
16bis.2).
---SECTION---28. Defects Noted by the International Bureau
---SECTION---28.1 Note on Certain Defects
If, in the opinion of the International Bureau, the international
application contains any of the defects referred to in Article
14(1)(a)(i), (ii), or (v), the International Bureau shall bring such
defects to the attention of the receiving Office.
The receiving Office shall, unless it disagrees with the said opinion,
proceed as provided in Article 14(1)(b) and Rule 26.
---SECTION---29. International Applications or Designations Considered
Withdrawn
---SECTION---29.1 Finding by Receiving Office
If the receiving Office declares, under Article 14(1)(b) and Rule 26.5
(failure to correct certain defects), or under Article 14(3)(a) (failure
to pay the prescribed fees under Rule 27.1(a)), or under Article 14(4)
(later finding of non-compliance with the requirements listed in items
(i) to (iii) of Article 11(1)), or under Rule 12.3(d) (failure to
furnish a required translation or, where applicable, to pay a late
furnishing fee), or under Rule 92.4(g)(i) (failure to furnish the
original of a document), that the international application is
considered withdrawn:
the receiving Office shall transmit the record copy (unless already
transmitted), and any correction offered by the applicant, to the
International Bureau;
the receiving Office shall promptly notify both the applicant and the
International Bureau of the said declaration, and the International
Bureau shall in turn notify each designated Office which has already
been notified of its designation;
the receiving Office shall not transmit the search copy as provided in
Rule 23, or, if such copy has already been transmitted, it shall notify
the International Searching Authority of the said declaration;
the International Bureau shall not be required to notify the applicant
of the receipt of the record copy.
If the receiving Office declares under Article 14(3)(b) (failure to pay
the prescribed designation fee under Rule 27.1(b)) that the designation
of any given State is considered withdrawn, the receiving Office shall
promptly notify both the applicant and the International Bureau of the
said declaration. The International Bureau shall in turn notify each
designated Office which has already been notified of its designation.
---SECTION---29.2 [Deleted]
---SECTION---29.3 Calling Certain Facts to the Attention of the
Receiving Office
If the International Bureau or the International Searching Authority
considers that the receiving Office should make a finding under Article
14(4), it shall call the relevant facts to the attention of the
receiving Office.
---SECTION---29.4 Notification of Intent to Make Declaration under
Article 14(4)
Before the receiving Office issues any declaration under Article 14(4),
it shall notify the applicant of its intent to issue such declaration
and the reasons therefor. The applicant may, if he disagrees with the
tentative finding of the receiving Office, submit arguments to that
effect within one month from the notification.
---SECTION---30. Time Limit under Article 14(4)
---SECTION---30.1 Time Limit
The time limit referred to in Article 14(4) shall be four months from
the international filing date.
---SECTION---31. Copies Required under Article 13
---SECTION---31.1 Request for Copies
Requests under Article 13(1) may relate to all, some kinds of, or
individual international applications in which the national Office
making the request is designated. Requests for all or some kinds of such
international applications must be renewed for each year by means of a
notification addressed by that Office before November 30 of the
preceding year to the International Bureau.
Requests under Article 13(2)(b) shall be subject to the payment of a fee
covering the cost of preparing and mailing the copy.
---SECTION---31.2 Preparation of Copies
The preparation of copies required under Article 13 shall be the
responsibility of the International Bureau.
---SECTION---32. [Deleted]
---SECTION---32. [Deleted]
---SECTION---33. Relevant Prior Art for the International Search
---SECTION---33.1 Relevant Prior Art for the International Search
For the purposes of Article 15(2), relevant prior art shall consist of
everything which has been made available to the public anywhere in the
world by means of written disclosure (including drawings and other
illustrations) and which is capable of being of assistance in
determining that the claimed invention is or is not new and that it does
or does not involve an inventive step (i.e., that it is or is not
obvious), provided that the making available to the public occurred
prior to the international filing date.
When any written disclosure refers to an oral disclosure, use,
exhibition, or other means whereby the contents of the written
disclosure were made available to the public, and such making available
to the public occurred on a date prior to the international filing date,
the international search report shall separately mention that fact and
the date on which it occurred if the making available to the public of
the written disclosure occurred on a date which is the same as, or later
than, the international filing date.
Any published application or any patent whose publication date is the
same as, or later than, but whose filing date, or, where applicable,
claimed priority date, is earlier than the international filing date of
the international application searched, and which would constitute
relevant prior art for the purposes of Article 15(2) had it been
published prior to the international filing date, shall be specially
mentioned in the international search report.
---SECTION---33.2 Fields to Be Covered by the International Search
The international search shall cover all those technical fields, and
shall be carried out on the basis of all those search files, which may
contain material pertinent to the invention.
Consequently, not only shall the art in which the invention is
classifiable be searched but also analogous arts regardless of where
classified.
The question what arts are, in any given case, to be regarded as
analogous shall be considered in the light of what appears to be the
necessary essential function or use of the invention and not only the
specific functions expressly indicated in the international application.
The international search shall embrace all subject matter that is
generally recognized as equivalent to the subject matter of the claimed
invention for all or certain of its features, even though, in its
specifics, the invention as described in the international application
is different.
---SECTION---33.3 Orientation of the International Search
International search shall be made on the basis of the claims, with due
regard to the description and the drawings (if any) and with particular
emphasis on the inventive concept towards which the claims are directed.
In so far as possible and reasonable, the international search shall
cover the entire subject matter to which the claims are directed or to
which they might reasonably be expected to be directed after they have
been amended.
---SECTION---34. Minimum Documentation
---SECTION---34.1 Definition
The definitions contained in Article 2(i) and (ii) shall not apply for
the purposes of this Rule.
The documentation referred to in Article 15(4) ("minimum documentation")
shall consist of:
the "national patent documents" as specified in paragraph (c),
the published international (PCT) applications, the published regional
applications for patents and inventors' certificates, and the published
regional patents and inventors' certificates,
such other published items of nonpatent literature as the International
Searching Authorities shall agree upon and which shall be published in a
list by the International Bureau when agreed upon for the first time and
whenever changed.
Subject to paragraphs (d) and (e), the "national patent documents" shall
be the following:
the patents issued in and after 1920 by France, the former
Reichspatentamt of Germany, Japan, the former Soviet Union, Switzerland
(in French and German languages only), the United Kingdom, and the
United States of America,
the patents issued by the Federal Republic of Germany and the Russian
Federation,
the patent applications, if any, published in and after 1920 in the
countries referred to in items (i) and (ii),
the inventors' certificates issued by the former Soviet Union,
the utility certificates issued by, and the published applications for
utility certificates of, France,
such patents issued by, and such patent applications published in, any
other country after 1920 as are in the English, French, German, or
Spanish language and in which no priority is claimed, provided that the
national Office of the interested country sorts out these documents and
places them at the disposal of each International Searching Authority.
Where an application is republished once (for example, an
OffenlegungsschriftasanAuslegeschrift) or more than once, no
International Searching Authority shall be obliged to keep all versions
in its documentation; consequently, each such Authority shall be
entitled not to keep more than one version. Furthermore, where an
application is granted and is issued in the form of a patent or a
utility certificate (France), no International Searching Authority shall
be obliged to keep both the application and the patent or utility
certificate (France) in its documentation; consequently, each such
Authority shall be entitled to keep either the application only or the
patent or utility certificate (France) only.
Any International Searching Authority whose official language, or one of
whose official languages, is not Japanese, Russian or Spanish is
entitled not to include in its documentation those patent documents of
Japan, the Russian Federation and the former Soviet Union as well as
those patent documents in the Spanish language, respectively, for which
no abstracts in the English language are generally available. English
abstracts becoming generally available after the date of entry into
force of these Regulations shall require the inclusion of the patent
documents to which the abstracts refer no later than six months after
such abstracts become generally available. In case of the interruption
of abstracting services in English in technical fields in which English
abstracts were formerly generally available, the Assembly shall take
appropriate measures to provide for the prompt restoration of such
services in the said fields.
For the purposes of this Rule, applications which have only been laid
open for public inspection are not considered published applications.
---SECTION---35. The Competent International Searching Authority
---SECTION---35.1 When Only One International Searching Authority Is
Competent
Each receiving Office shall, in accordance with the terms of the
applicable agreement referred to in Article 16(3)(b), inform the
International Bureau which International Searching Authority is
competent for the searching of the international applications filed with
it, and the International Bureau shall promptly publish such
information.
---SECTION---35.2 When Several International Searching Authorities Are
Competent
Any receiving Office may, in accordance with the terms of the applicable
agreement referred to in Article 16(3)(b), specify several International
Searching Authorities:
by declaring all of them competent for any international application
filed with it, and leaving the choice to the applicant, or
by declaring one or more competent for certain kinds of international
applications filed with it, and declaring one or more others competent
for other kinds of international applications filed with it, provided
that, for those kinds of international applications for which several
International Searching Authorities are declared to be competent, the
choice shall be left to the applicant.
Any receiving Office availing itself of the faculty provided in
paragraph (a) shall promptly inform the International Bureau, and the
International Bureau shall promptly publish such information.
---SECTION---35.3 When the International Bureau Is Receiving Office
Under Rule 19.1(a)(iii)
Where the international application is filed with the International
Bureau as receiving Office under Rule 19.1(a)(iii), an International
Searching Authority shall be competent for the searching of that
international application if it would have been competent had that
international application been filed with a receiving Office competent
under Rule 19.1(a)(i) or (ii), (b) or (c), or Rule 19.2(i).
Where two or more International Searching Authorities are competent
under paragraph (a), the choice shall be left to the applicant.
Rules 35.1 and 35.2 shall not apply to the International Bureau as
receiving Office under Rule 19.1(a)(iii).
---SECTION---36. Minimum Requirements for International Searching
Authorities
---SECTION---36.1 Definition of Minimum Requirements
The minimum requirements referred to in Article 16(3)(c) shall be the
following:
the national Office or intergovernmental organization must have at least
100 full-time employees with sufficient technical qualifications to
carry out searches;
that Office or organization must have in its possession, or have access
to, at least the minimum documentation referred to in Rule 34, properly
arranged for search purposes, on paper, in microform or stored on
electronic media;
that Office or organization must have a staff which is capable of
searching the required technical fields and which has the language
facilities to understand at least those languages in which the minimum
documentation referred to in Rule 34 is written or is translated.
---SECTION---37. Missing or Defective Title
---SECTION---37.1 Lack of Title
If the international application does not contain a title and the
receiving Office has notified the International Searching Authority that
it has invited the applicant to correct such defect, the International
Searching Authority shall proceed with the international search unless
and until it receives notification that the said application is
considered withdrawn.
---SECTION---37.2 Establishment of Title
If the international application does not contain a title and the
International Searching Authority has not received a notification from
the receiving Office to the effect that the applicant has been invited
to furnish a title, or if the said Authority finds that the title does
not comply with Rule 4.3, it shall itself establish a title. Such title
shall be established in the language in which the international
application is to be published or, if a translation into another
language was transmitted under Rule 23.1(b) and the International
Searching Authority so wishes, in the language of that translation.
---SECTION---38. Missing or Defective Abstract
---SECTION---38.1 Lack of Abstract
If the international application does not contain an abstract and the
receiving Office has notified the International Searching Authority that
it has invited the applicant to correct such defect, the International
Searching Authority shall proceed with the international search unless
and until it receives notification that the said application is
considered withdrawn.
---SECTION---38.2 Establishment of Abstract
If the international application does not contain an abstract and the
International Searching Authority has not received a notification from
the receiving Office to the effect that the applicant has been invited
to furnish an abstract, or if the said Authority finds that the abstract
does not comply with Rule 8, it shall itself establish an abstract. Such
abstract shall be established in the language in which the international
application is to be published or, if a translation into another
language was transmitted under Rule 23.1(b) and the International
Searching Authority so wishes, in the language of that translation.
The applicant may, within one month from the date of mailing of the
international search report, submit comments on the abstract established
by the International Searching Authority. Where that Authority amends
the abstract established by it, it shall notify the amendment to the
International Bureau.
---SECTION---39. Subject Matter Under Article 17(2)(a)(i)
---SECTION---39.1 Definition
No International Searching Authority shall be required to search an
international application if, and to the extent to which, its subject
matter is any of the following:
scientific and mathematical theories,
plant or animal varieties or essentially biological processes for the
production of plants and animals, other than microbiological processes
and the products of such processes,
schemes, rules, or methods of doing business, performing purely mental
acts or playing games,
methods for treatment of the human or animal body by surgery or therapy,
as well as diagnostic methods,
mere presentations of information,
computer programs to the extent that the International Searching
Authority is not equipped to search prior art concerning such programs.
---SECTION---40. Lack of Unity of Invention (International Search)
---SECTION---40.1 Invitation to Pay
The invitation to pay additional fees provided for in Article 17(3)(a)
shall specify the reasons for which the inter national application is
not considered as complying with the requirement of unity of invention
and shall indicate the amount to be paid.
---SECTION---40.2 Additional Fees
The amount of the additional fee due for searching under Article
17(3)(a) shall be determined by the competent International Searching
Authority.
The additional fee due for searching under Article 17(3)(a) shall be
payable direct to the International Searching Authority.
Any applicant may pay the additional fee under protest, that is,
accompanied by a reasoned statement to the effect that the international
application complies with the requirement of unity of invention or that
the amount of the required additional fee is excessive. Such protest
shall be examined by a three-member board or other special instance of
the International Searching Authority or any competent higher authority,
which, to the extent that it finds the protest justified, shall order
the total or partial reimbursement to the applicant of the additional
fee. On the request of the applicant, the text of both the protest and
the decision thereon shall be notified to the designated Offices
together with the international search report. The applicant shall
submit any translation thereof with the furnishing of the translation of
the international application required under Article 22.
The three-member board, special instance or competent higher authority,
referred to in paragraph (c), shall not comprise any person who made the
decision which is the subject of the protest.
Where the applicant has, under paragraph (c), paid an additional fee
under protest, the International Searching Authority may, after a prior
review of the justification for the invitation to pay an additional fee,
require that the applicant pay a fee for the examination of the protest
("protest fee"). The protest fee shall be paid within one month from the
date of the notification to the applicant of the result of the review.
If the protest fee is not so paid, the protest shall be considered
withdrawn. The protest fee shall be refunded to the applicant where the
three-member board, special instance or higher authority referred to in
paragraph (c) finds that the protest was entirely justified.
---SECTION---40.3 Time Limit
The time limit provided for in Article 17(3)(a) shall be fixed, in each
case, according to the circumstances of the case, by the International
Searching Authority; it shall not be shorter than 15 or 30 days,
respectively, depending on whether the applicant's address is in the
same country as or in a different country from that in which the
International Searching Authority is located, and it shall not be longer
than 45 days, from the date of the invitation.
---SECTION---41. Earlier Search Other Than International Search
---SECTION---41.1 Obligation to Use Results; Refund of Fee
If reference has been made in the request, in the form provided for in
Rule 4.11, to an international-type search carried out under the
conditions set out in Article 15(5) or to a search other than an
international or international-type search, the International Searching
Authority shall, to the extent possible, use the results of the said
search in establishing the international search report on the
international application. The International Searching Authority shall
refund the search fee, to the extent and under the conditions provided
for in the agreement under Article 16(3)(b) or in a communication
addressed to and published in the Gazette by the International Bureau,
if the international search report could wholly or partly be based on
the results of the said search.
---SECTION---42. Time Limit for International Search
---SECTION---42.1 Time Limit for International Search
The time limit for establishing the international search report or the
declaration referred to in Article 17(2)(a) shall be three months from
the receipt of the search copy by the International Searching Authority,
or nine months from the priority date, whichever time limit expires
later.
---SECTION---43. The International Search Report
---SECTION---43.1 Identifications
The international search report shall identify the International
Searching Authority which established it by indicating the name of such
Authority, and the international application by indicating the
international application number, the name of the applicant, and the
international filing date.
---SECTION---43.2 Dates
The international search report shall be dated and shall indicate the
date on which the international search was actually completed. It shall
also indicate the filing date of any earlier application whose priority
is claimed or, if the priority of more than one earlier application is
claimed, the filing date of the earliest among them.
---SECTION---43.3 Classification
The international search report shall contain the classification of the
subject matter at least according to the International Patent
Classification.
Such classification shall be effected by the International Searching
Authority.
---SECTION---43.4 Language
Every international search report and any declaration made under Article
17(2)(a) shall be in the language in which the international application
to which it relates is to be published or, if a translation into another
language was transmitted under Rule 23.1(b) and the International
Searching Authority so wishes, in the language of that translation.
---SECTION---43.5 Citations
The international search report shall contain the citations of the
documents considered to be relevant.
The method of identifying any cited document shall be regulated by the
Administrative Instructions.
Citations of particular relevance shall be specially indicated.
Citations which are not relevant to all the claims shall be cited in
relation to the claim or claims to which they are relevant.
If only certain passages of the cited document are relevant or
particularly relevant, they shall be identified, for example, by
indicating the page, the column, or the lines, where the passage
appears. If the entire document is relevant but some passages are of
particular relevance, such passages shall be identified unless such
identification is not practicable.
---SECTION---43.6 Fields Searched
The international search report shall list the classification
identification of the fields searched. If that identification is
effected on the basis of a classification other than the International
Patent Classification, the International Searching Authority shall
publish the classification used.
If the international search extended to patents, inventors'
certificates, utility certificates, utility models, patents or
certificates of addition, inventors' certificates of addition, utility
certificates of addition, or published applications for any of those
kinds of protection, of States, periods, or languages, not included in
the minimum documentation as defined in Rule 34, the international
search report shall, when practicable, identify the kinds of documents,
the States, the periods, and the languages to which it extended. For the
purposes of this paragraph, Article 2(ii) shall not apply.
If the international search was based on, or was extended to, any
electronic data base, the international search report may indicate the
name of the data base and, where considered useful to others and
practicable, the search terms used.
---SECTION---43.7 Remarks Concerning Unity of Invention
If the applicant paid additional fees for the international search, the
international search report shall so indicate. Furthermore, where the
international search was made on the main invention only or on less than
all the inventions (Article 17(3)(a)), the international search report
shall indicate what parts of the international application were and what
parts were not searched.
---SECTION---43.8 Authorized Officer
The international search report shall indicate the name of the officer
of the International Searching Authority responsible for that report.
---SECTION---43.9 Additional Matter
The international search report shall contain no matter other than that
specified in Rules 33.1(b) and (c), 43.1 to 43.3, 43.5 to 43.8, and
44.2, and the indication referred to in Article 17(2)(b), provided that
the Administrative Instructions may permit the inclusion in the
international search report of any additional matter specified in the
Administrative Instructions. The international search report shall not
contain, and the Administrative Instructions shall not permit the
inclusion of, any expressions of opinion, reasoning, arguments, or
explanations.
---SECTION---43.10 Form
The physical requirements as to the form of the international search
report shall be prescribed by the Administrative Instructions.
---SECTION---44. Transmittal of the International Search Report, Etc.
---SECTION---44.1 Copies of Report or Declaration
The International Searching Authority shall, on the same day, transmit
one copy of the international search report or the declaration referred
to in Article 17(2)(a) to the International Bureau and one copy to the
applicant.
---SECTION---44.2 Title or Abstract
The international search report shall either state that the
International Searching Authority approves the title and the abstract as
submitted by the applicant or be accompanied by the text of the title
and/or abstract as established by the International Searching Authority
under Rules 37 and 38.
---SECTION---44.3 Copies of Cited Documents
The request referred to in Article 20(3) may be presented any time
during seven years from the international filing date of the
international application to which the international search report
relates.
The International Searching Authority may require that the party
(applicant or designated Office) presenting the request pay to it the
cost of preparing and mailing the copies. The level of the cost of
preparing copies shall be provided for in the agreements referred to in
Article 16(3)(b) between the International Searching Authorities and the
International Bureau.
[Deleted]
Any International Searching Authority may perform the obligations
referred to in paragraphs (a) and (b) through another agency responsible
to it.
---SECTION---45. Translation of the International Search Report
---SECTION---45.1 Languages
International search reports and declarations referred to in Article
17(2)(a) shall, when not in English, be translated into English.
---SECTION---46. Amendment of Claims Before the International Bureau
---SECTION---46.1 Time Limit
The time limit referred to in Article 19 shall be two months from the
date of transmittal of the international search report to the
International Bureau and to the applicant by the International Searching
Authority or 16 months from the priority date, whichever time limit
expires later, provided that any amendment made under Article 19 which
is received by the International Bureau after the expiration of the
applicable time limit shall be considered to have been received by that
Bureau on the last day of that time limit if it reaches it before the
technical preparations for international publication have been
completed.
---SECTION---46.2 Where to File
Amendments made under Article 19 shall be filed directly with the
International Bureau.
---SECTION---46.3 Language of Amendments
If the international application has been filed in a language other than
the language in which it is published, any amendment made under Article
19 shall be in the language of publication.
---SECTION---46.4 Statement
The statement referred to in Article 19(1) shall be in the language in
which the international application is published and shall not exceed
500 words if in the English language or if translated into that
language. The statement shall be identified as such by a heading,
preferably by using the words "Statement under Article 19(1)" or their
equivalent in the language of the statement.
The statement shall contain no disparaging comments on the international
search report or the relevance of citations contained in that report.
Reference to citations, relevant to a given claim, contained in the
international search report may be made only in connection with an
amendment of that claim.
---SECTION---46.5 Form of Amendments
The applicant shall be required to submit a replacement sheet for every
sheet of the claims which, on account of an amendment or amendments
under Article 19, differs from the sheet originally filed. The letter
accompanying the replacement sheets shall draw attention to the
differences between the replaced sheets and the replacement sheets. To
the extent that any amendment results in the cancellation of an entire
sheet, that amendment shall be communicated in a letter.
---SECTION---47. Communication to Designated Offices
---SECTION---47.1 Procedure
The communication provided for in Article 20 shall be effected by the
International Bureau.
bisThe International Bureau shall notify each designated Office, at the
time of the communication provided for in Article 20, of the fact and
date of receipt of the record copy and of the fact and date of receipt
of any priority document. Such notification shall also be sent to any
designated Office which has waived the communication provided for in
Article 20, unless such Office has also waived the notification of its
designation.
Such communication shall be effected promptly after the international
publication of the international application and, in any event, by the
end of the 19th month after the priority date. Any amendment received by
the International Bureau within the time limit under Rule 46.1 which was
not included in the communication shall be communicated promptly to the
designated Offices by the International Bureau, and the latter shall
notify the applicant accordingly.
The International Bureau shall send a notice to the applicant indicating
the designated Offices to which the communication has been effected and
the date of such communication. Such notice shall be sent on the same
day as the communication. Each designated Office shall be informed,
separately from the communication, about the sending and the date of
mailing of the notice. The notice shall be accepted by all designated
Offices as conclusive evidence that the communication has duly taken
place on the date specified in the notice.
Each designated Office shall, when it so requires, receive the
international search reports and the declarations referred to in Article
17(2)(a) also in the translation referred to in Rule 45.1.
Where any designated Office has waived the requirement provided under
Article 20, the copies of the documents which otherwise would have been
sent to that Office shall, at the request of that Office or the
applicant, be sent to the applicant at the time of the notice referred
to in paragraph (c).
---SECTION---47.2 Copies
The copies required for communication shall be prepared by the
International Bureau.
They shall be on sheets of A4 size.
Except to the extent that any designated Office notifies the
International Bureau otherwise, copies of the pamphlet under Rule 48 may
be used for the purposes of the communication of the international
application under Article 20.
---SECTION---47.3 Languages
The international application communicated under Article 20 shall be in
the language in which it is published.
Where the language in which the international application is published
is different from the language in which it was filed, the International
Bureau shall furnish to any designated Office, upon the request of that
Office, a copy of that application in the language in which it was
filed.
---SECTION---47.4 Express Request under Article 23(2)
Where the applicant makes an express request to a designated Office
under Article 23(2) before the communication provided for in Article 20
has taken place, the International Bureau shall, upon request of the
applicant or the designated Office, promptly effect that communication
to that Office.
---SECTION---48. International Publication
---SECTION---48.1 Form
The international application shall be published in the form of a
pamphlet.
The particulars regarding the form of the pamphlet and the method of
reproduction shall be governed by the Administrative Instructions.
---SECTION---48.2 Contents
The pamphlet shall contain:
a standardized front page,
the description,
the claims,
the drawings, if any,
subject to paragraph (g), the international search report or the
declaration under Article 17(2)(a); the publication of the international
search report in the pamphlet shall, however, not be required to include
the part of the international search report which contains only matter
referred to in Rule 43 already appearing on the front page of the
pamphlet,
any statement filed under Article 19(1), unless the International Bureau
finds that the statement does not comply with the provisions of Rule
46.4,
any request for rectification referred to in the third sentence of Rule
91.1(f),
the relevant data from any indications in relation to deposited
biological material furnished under Rule 13bis separately from the
description, together with an indication of the date on which the
International Bureau received such indications,
any information concerning a priority claim considered not to have been
made under Rule 26bis.2(b), the publication of which is requested under
Rule 26bis.2(c).
Subject to paragraph (c), the front page shall include:
data taken from the request sheet and such other data as are prescribed
by the Administrative Instructions,
a figure or figures where the international application contains
drawings, unless Rule 8.2(b) applies,
the abstract; if the abstract is both in English and in another
language, the English text shall appear first.
Where a declaration under Article 17(2)(a) has issued, the front page
shall conspicuously refer to that fact and need include neither a
drawing nor an abstract.
The figure or figures referred to in paragraph (b)(ii) shall be selected
as provided in Rule 8.2. Reproduction of such figure or figures on the
front page may be in a reduced form.
If there is not enough room on the front page for the totality of the
abstract referred to in paragraph (b)(iii), the said abstract shall
appear on the back of the front page. The same shall apply to the
translation of the abstract when such translation is required to be
published under Rule 48.3(c).
If the claims have been amended under Article 19, the publication shall
contain either the full text of the claims both as filed and as amended
or the full text of the claims as filed and specify the amendments. Any
statement referred to in Article 19(1) shall be included as well, unless
the International Bureau finds that the statement does not comply with
the provisions of Rule 46.4. The date of receipt of the amended claims
by the International Bureau shall be indicated.
If, at the time of the completion of the technical preparations for
international publication, the international search report is not yet
available (for example, because of publication on the request of the
applicant as provided in Articles 21(2)(b) and 64(3)(c)(i)), the
pamphlet shall contain, in place of the international search report, an
indication to the effect that that report was not available and that
either the pamphlet (then also including the international search
report) will be republished or the international search report (when it
becomes available) will be separately published.
If, at the time of the completion of the technical preparations for
international publication, the time limit for amending the claims under
Article 19 has not expired, the pamphlet shall refer to that fact and
indicate that, should the claims be amended under Article 19, then,
promptly after such amendments, either the pamphlet (containing the
claims as amended) will be republished or a statement reflecting all the
amendments will be published. In the latter case, at least the front
page and the claims shall be republished and, if a statement under
Article 19(1) has been filed, that statement shall be published as well,
unless the International Bureau finds that the statement does not comply
with the provisions of Rule 46.4.
The Administrative Instructions shall determine the cases in which the
various alternatives referred to in paragraphs (g) and (h) shall apply.
Such determination shall depend on the volume and complexity of the
amendments and/or the volume of the international application and the
cost factors.
---SECTION---48.3 Languages of Publication
If the international application is filed in Chinese, English, French,
German, Japanese, Russian or Spanish ("languages of publication"), that
application shall be published in the language in which it was filed.
bisIf the international application is not filed in a language of
publication and a translation into a language of publication has been
furnished under Rule 12.3, that application shall be published in the
language of that translation.
If the international application is filed in a language which is not a
language of publication and no translation into a language of
publication is required under Rule 12.3(a), that application shall be
published in English translation. The translation shall be prepared
under the responsibility of the International Searching Authority, which
shall be obliged to have it ready in time to permit international
publication by the prescribed date, or, where Article 64(3)(b) applies,
to permit the communication under Article 20 by the end of the 19th
month after the priority date. Notwithstanding Rule 16.1(a), the
International Searching Authority may charge a fee for the translation
to the applicant. The International Searching Authority shall give the
applicant an opportunity to comment on the draft translation. The
International Searching Authority shall fix a time limit reasonable
under the circumstances of the case for such comments. If there is no
time to take the comments of the applicant into account before the
translation is communicated or if there is a difference of opinion
between the applicant and the said Authority as to the correct
translation, the applicant may send a copy of his comments, or what
remains of them, to the International Bureau and each designated Office
to which the translation was communicated. The International Bureau
shall publish the relevant portions of the comments together with the
translation of the International Searching Authority or subsequently to
the publication of such translation.
If the international application is published in a language other than
English, the international search report to the extent that it is
published under Rule 48.2(a)(v), or the declaration referred to in
Article 17(2)(a), the title of the invention, the abstract and any text
matter pertaining to the figure or figures accompanying the abstract
shall be published both in that language and in English. The
translations shall be prepared under the responsibility of the
International Bureau.
---SECTION---48.4 Earlier Publication on the Applicant's Request
Where the applicant asks for publication under Articles 21(2)(b) and
64(3)(c)(i) and the international search report, or the declaration
referred to in Article 17(2)(a), is not yet available for publication
together with the international application, the International Bureau
shall collect a special publication fee whose amount shall be fixed in
the Administrative Instructions.
Publication under Articles 21(2)(b) and 64(3)(c)(i) shall be effected by
the International Bureau promptly after the applicant has asked for it
and, where a special fee is due under paragraph (a), after receipt of
such fee.
---SECTION---48.5 Notification of National Publication
Where the publication of the international application by the
International Bureau is governed by Article 64(3)(c)(ii), the national
Office concerned shall, promptly after effecting the national
publication referred to in the said provision, notify the International
Bureau of the fact of such national publication.
---SECTION---48.6 Announcing of Certain Facts
If any notification under Rule 29.1(a)(ii) reaches the International
Bureau at a time later than that at which it was able to prevent the
international publication of the in international application, the
International Bureau shall promptly publish a notice in the Gazette
reproducing the essence of such notification.
[Deleted]
If the international application, the designation of any designated
State or the priority claim is withdrawn under Rule 90bis after the
technical preparations for international publication have been
completed, notice of the withdrawal shall be published in the Gazette.
---SECTION---49. Copy, Translation and Fee under Article 22
---SECTION---49.1 Notification
Any Contracting State requiring the furnishing of a translation or the
payment of a national fee, or both, under Article 22, shall notify the
International Bureau of:
the languages from which and the language into which it requires
translation,
the amount of the national fee.
bisAny Contracting State not requiring the furnishing, under Article 22,
by the applicant of a copy of the international application (even though
the communication of the copy of the international application by the
International Bureau under Rule 47 has not taken place by the expiration
of the time limit applicable under Article 22) shall notify the
International Bureau accordingly.
terAny Contracting State which, pursuant to Article 24(2), maintains, if
it is a designated State, the effect provided for in Article 11(3) even
though a copy of the international application is not furnished by the
applicant by the expiration of the time limit applicable under Article
22 shall notify the International Bureau accordingly.
Any notification received by the International Bureau under paragraphs
(a), (abis) or (ater) shall be promptly published by the International
Bureau in the Gazette.
If the requirements under paragraph (a) change later, such changes shall
be notified by the Contracting State to the International Bureau and
that Bureau shall promptly publish the notification in the Gazette. If
the change means that translation is required into a language which,
before the change, was not required, such change shall be effective only
with respect to international applications filed later than two months
after the publication of the notification in the Gazette. Otherwise, the
effective date of any change shall be determined by the Contracting
State.
---SECTION---49.2 Languages
The language into which translation may be required must be an official
language of the designated Office. If there are several of such
languages, no translation may be required if the international
application is in one of them. If there are several official languages
and a translation must be furnished, the applicant may choose any of
those languages. Notwithstanding the foregoing provisions of this
paragraph, if there are several official languages but the national law
prescribes the use of one such language for foreigners, a translation
into that language may be required.
---SECTION---49.3 Statements under Article 19; Indications under Rule 13
bis .4
For the purposes of Article 22 and the present Rule, any statement made
under Article 19(1) and any indication furnished under Rule 13bis.4
shall, subject to Rule 49.5(c) and (h), be considered part of the
international application.
---SECTION---49.4 Use of National Form
No applicant shall be required to use a national form when performing
the acts referred to in Article 22.
---SECTION---49.5 Contents of and Physical Requirements for the
Translation
For the purposes of Article 22, the translation of the international
application shall contain the description (subject to paragraph (abis)),
the claims, any text matter of the drawings, and the abstract. If
required by the designated Office, the translation shall also, subject
to paragraphs (b), (cbis) and (e),
contain the request,
if the claims have been amended under Article 19, contain both the
claims as filed and the claims as amended, and
be accompanied by a copy of the drawings.
bisNo designated Office shall require the applicant to furnish to it a
translation of any text matter contained in the sequence listing part of
the description if such sequence listing part complies with Rule 12.1(d)
and if the description complies with Rule 5.2(b).
Any designated Office requiring the furnishing of a translation of the
request shall furnish copies of the request form in the language of the
translation free of charge to the applicants. The form and contents of
the request form in the language of the translation shall not be
different from those of the request under Rules 3 and 4; in particular,
the request form in the language of the translation shall not ask for
any information that is not in the request as filed. The use of the
request form in the language of the translation shall be optional.
Where the applicant did not furnish a translation of any statement made
under Article 19(1), the designated Office may disregard such statement.
bisWhere the applicant furnishes, to a designated Office which requires
under paragraph (a)(ii) a translation of both the claims as filed and
the claims as amended, only one of the required two translations, the
designated Office may disregard the claims of which a translation has
not been furnished or invite the applicant to furnish the missing
translation within a time limit which shall be reasonable under the
circumstances and shall be fixed in the invitation. Where the designated
Office chooses to invite the applicant to furnish the missing
translation and the latter is not furnished within the time limit fixed
in the invitation, the designated Office may disregard those claims of
which a translation has not been furnished or consider the international
application withdrawn.
If any drawing contains text matter, the translation of that text matter
shall be furnished either in the form of a copy of the original drawing
with the translation pasted on the original text matter or in the form
of a drawing executed anew.
Any designated Office requiring under paragraph (a) the furnishing of a
copy of the drawings shall, where the applicant failed to furnish such
copy within the time limit applicable under Article 22, invite the
applicant to furnish such copy within a time limit which shall be
reasonable under the circumstances and shall be fixed in the invitation.
The expression "Fig." does not require translation into any language.
Where any copy of the drawings or any drawing executed anew which has
been furnished under paragraph (d) or (e) does not comply with the
physical requirements referred to in Rule 11, the designated Office may
invite the applicant to correct the defect within a time limit which
shall be reasonable under the circumstances and shall be fixed in the
invitation.
Where the applicant did not furnish a translation of the abstract or of
any indication furnished under Rule 13bis.4, the designated Office shall
invite the applicant to furnish such translation, if it deems it to be
necessary, within a time limit which shall be reasonable under the
circumstances and shall be fixed in the invitation.
Information on any requirement and practice of designated Offices under
the second sentence of paragraph (a) shall be published by the
International Bureau in the Gazette.
No designated Office shall require that the translation of the
international application comply with physical requirements other than
those prescribed for the international application as filed.
Where a title has been established by the International Searching
Authority pursuant to Rule 37.2, the translation shall contain the title
as established by that Authority.
If, on July 12, 1991, paragraph (cbis) or paragraph (k) is not
compatible with the national law applied by the designated Office, the
paragraph concerned shall not apply to that designated Office for as
long as it continues not to be compatible with that law, provided that
the said Office informs the International Bureau accordingly by December
31, 1991. The information received shall be promptly published by the
International Bureau in the Gazette.
---SECTION---50. Faculty under Article 22(3)
---SECTION---50.1 Exercise of Faculty
Any Contracting State allowing a time limit expiring later than the time
limits provided for in Article 22(1) or (2) shall notify the
International Bureau of the time limits so fixed.
Any notification received by the International Bureau under paragraph
(a) shall be promptly published by the International Bureau in the
Gazette.
Notifications concerning the shortening of the previously fixed time
limit shall be effective in relation to international applications filed
after the expiration of three months computed from the date on which the
notification was published by the International Bureau.
Notifications concerning the lengthening of the previously fixed time
limit shall become effective upon publication by the International
Bureau in the Gazette in respect of international applications pending
at the time or filed after the date of such publication, or, if the
Contracting State effecting the notification fixes some later date, as
from the latter date.
---SECTION---51. Review by Designated Offices
---SECTION---51.1 Time Limit for Presenting the Request to Send Copies
The time limit referred to in Article 25(1)(c) shall be two months
computed from the date of the notification sent to the applicant under
Rules 20.7(i), 24.2(c), 29.1(a)(ii), or 29.1(b).
---SECTION---51.2 Copy of the Notice
Where the applicant, after having received a negative determination
under Article 11(1), requests the International Bureau, under Article
25(1), to send copies of the file of the purported international
application to any of the named Offices he has attempted to designate,
he shall attach to his request a copy of the notice referred to in Rule
20.7(i).
---SECTION---51.3 Time Limit for Paying National Fee and Furnishing
Translation
The time limit referred to in Article 25(2)(a) shall expire at the same
time as the time limit prescribed in Rule 51.1.
---SECTION---51. Certain National Requirements Allowed Under Article
27(1), (2), (6) and (7)
---SECTION---51.1
Certain National Requirements Allowed
The documents referred to in Article 27(2)(ii), or the evidence referred
to in Article 27(6), which the applicant may be required to furnish
under the national law applicable by the designated Office include, in
particular:
any document relating to the identity of the inventor,
any document relating to any transfer or assignment of the right to the
application,
any document containing an oath or declaration by the inventor alleging
his inventorship,
any document containing a declaration by the applicant designating the
inventor or alleging the right to the application,
any document containing any proof of the right of the applicant to claim
priority where he is different from the applicant having filed the
earlier application the priority of which is claimed,
any evidence concerning non-prejudicial disclosures or exceptions to
lack of novelty, such as disclosures resulting from abuse, disclosures
at certain exhibitions, and disclosures by the applicant during a
certain period of time.
The national law applicable by the designated Office may, in accordance
with Article 27(7), require that
the applicant be represented by an agent having the right to represent
applicants before that Office and/or have an address in the designated
State for the purpose of receiving notifications,
the agent, if any, representing the applicant be duly appointed by the
applicant.
The national law applicable by the designated Office may, in accordance
with Article 27(1), require that the international application, the
translation thereof or any document relating thereto be furnished in
more than one copy.
The national law applicable by the designated Office may, in accordance
with Article 27(2)(ii), require that the translation of the
international application furnished by the applicant under Article 22 be
verified by the applicant or the person having translated the
international application in a statement to the effect that, to the best
of his knowledge, the translation is complete and faithful.
---SECTION---51.2 Opportunity to Comply with National Requirements
Where any of the requirements referred to in Rule 51bis.1, or any other
requirement of the national law applicable by the designated Office
which that Office may apply under Article 27(1), (2), (6), or (7), is
not already fulfilled during the same period within which the
requirements under Article 22 must be complied with, the applicant shall
have an opportunity to comply with the requirement after the expiration
of that period.
The national law applicable by the designated Office may, in accordance
with Article 27(2)(ii), require that the applicant, upon invitation by
the designated Office, furnish a certification of the translation of the
international application by a public authority or a sworn translator,
if the designated Office deems such certification to be necessary under
the circumstances, within a time limit which shall be reasonable under
the circumstances and shall be fixed in the invitation.
[Deleted]
---SECTION---52. Amendment of the Claims, the Description, and the
Drawings, Before Designated Offices
---SECTION---52.1 Time Limit
In any designated State in which processing or examination starts
without special request, the applicant shall, if he so wishes, exercise
the right under Article 28 within one month from the fulfillment of the
requirements under Article 22, provided that, if the communication under
Rule 47.1 has not been effected by the expiration of the time limit
applicable under Article 22, he shall exercise the said right not later
than four months after such expiration date. In either case, the
applicant may exercise the said right at any other time if so permitted
by the national law of the said State.
In any designated State in which the national law provides that
examination starts only on special request, the time limit within or the
time at which the applicant may exercise the right under Article 28
shall be the same as that provided by the national law for the filing of
amendments in the case of the examination, on special request, of
national applications, provided that such time limit shall not expire
prior to, or such time shall not come before, the expiration of the time
limit applicable under paragraph (a).
---SECTION---Rules Concerning Chapter II of the Treaty
---SECTION---53. The Demand
---SECTION---53.1 Form
The demand shall be made on a printed form or be presented as a computer
printout. The particulars of the printed form and of a demand presented
as a computer printout shall be prescribed by the Administrative
Instructions.
Copies of printed demand forms shall be furnished free of charge by the
receiving Office or by the International Preliminary Examining
Authority.
[Deleted]
---SECTION---53.2 Contents
The demand shall contain:
a petition,
indications concerning the applicant and the agent if there is an agent,
indications concerning the international application to which it
relates,
election of States,
where applicable, a statement concerning amendments.
The demand shall be signed.
---SECTION---53.3 The Petition
The petition shall be to the following effect and shall preferably be
worded as follows: "Demand under Article 31 of the Patent Cooperation
Treaty: The undersigned requests that the international application
specified below be the subject of international preliminary examination
according to the Patent Cooperation Treaty."
---SECTION---53.4 The Applicant
As to the indications concerning the applicant, Rules 4.4 and 4.16 shall
apply, and Rule 4.5 shall apply mutatis mutandis. Only applicants for
the elected States are required to be indicated in the demand.
---SECTION---53.5 Agent or Common Representative
If an agent or common representative is designated, the demand shall so
indicate. Rules 4.4 and 4.16 shall apply, and Rule 4.7 shall apply
mutatis mutandis.
---SECTION---53.6 Identification of the International Application
The international application shall be identified by the name and
address of the applicant, the title of the invention, the international
filing date (if known to the applicant) and the international
application number or, where such number is not known to the applicant,
the name of the receiving Office with which the international
application was filed.
---SECTION---53.7 Election of States
The demand shall indicate at least one Contracting State, from among
those States which are designated and are bound by Chapter II of the
Treaty ("eligible States"), as an elected State.
Election of Contracting States in the demand shall be made:
by an indication that all eligible States are elected, or,
in the case of States which have been designated for the purpose of
obtaining national patents, by an indication of those eligible States
that are elected, and, in the case of States which have been designated
for the purpose of obtaining a regional patent, by an indication of the
regional patent concerned together with either an indication that all
eligible States party to the regional patent treaty concerned are
elected or an indication of those among the said States that are
elected.
---SECTION---53.8 Signature
Subject to paragraph (b), the demand shall be signed by the applicant
or, if there is more than one applicant, by all applicants making the
demand.
Where two or more applicants file a demand which elects a State whose
national law requires that national applications be filed by the
inventor and where an applicant for that elected State who is an
inventor refused to sign the demand or could not be found or reached
after diligent effort, the demand need not be signed by that applicant
("the applicant concerned") if it is signed by at least one applicant
and
a statement is furnished explaining, to the satisfaction of the
International Preliminary Examining Authority, the lack of signature of
the applicant concerned, or
the applicant concerned did not sign the request but the requirements of
Rule 4.15(b) were complied with.
---SECTION---53.9 Statement Concerning Amendments
If amendments under Article 19 have been made, the statement concerning
amendments shall indicate whether, for the purposes of the international
preliminary examination, the applicant wishes those amendments
to be taken into account, in which case a copy of the amendments shall
preferably be submitted with the demand, or
to be considered as reversed by an amendment under Article 34.
If no amendments under Article 19 have been made and the time limit for
filing such amendments has not expired, the statement may indicate that
the applicant wishes the start of the international preliminary
examination to be postponed in accordance with Rule 69.1(d).
If any amendments under Article 34 are submitted with the demand, the
statement shall so indicate.
---SECTION---54. The Applicant Entitled to Make a Demand
---SECTION---54.1 Residence and Nationality
Subject to the provisions of paragraph (b), the residence or nationality
of the applicant shall, for the purposes of Article 31(2), be determined
according to Rule 18.1(a) and (b).
The International Preliminary Examining Authority shall, in the
circumstances specified in the Administrative Instructions, request the
receiving Office or, where the international application was filed with
the International Bureau as receiving Office, the national Office of, or
acting for, the Contracting State concerned to decide the question
whether the applicant is a resident or national of the Contracting State
of which he claims to be a resident or national. The International
Preliminary Examining Authority shall inform the applicant of any such
request. The applicant shall have an opportunity to submit arguments
directly to the Office concerned. The Office concerned shall decide the
said question promptly.
---SECTION---54.2 Right to Make a Demand
The right to make a demand under Article 31(2) shall exist if the
applicant making the demand or, if there are two or more applicants, at
least one of them is a resident or national of a Contracting State bound
by Chapter II and the international application has been filed with a
receiving Office of or acting for a Contracting State bound by Chapter
II.
[Deleted]
[Deleted]
---SECTION---54.3 International Applications Filed with the
International Bureau as Receiving Office
Where the international application is filed with the International
Bureau as receiving Office under Rule 19.1(a)(iii), the International
Bureau shall, for the purposes of Article 31(2)(a), be considered to be
acting for the Contracting State of which the applicant is a resident or
national.
---SECTION---54.4 Applicant Not Entitled to Make a Demand
If the applicant does not have the right to make a demand or, in the
case of two or more applicants, if none of them has the right to make a
demand under Rule 54.2, the demand shall be considered not to have been
submitted.
---SECTION---55. Languages (International Preliminary Examination)
---SECTION---55.1 Language of Demand
The demand shall be in the language of the international application or,
if the international application has been filed in a language other than
the language in which it is published, in the language of publication.
However, if a translation of the international application is required
under Rule 55.2, the demand shall be in the language of that
translation.
---SECTION---55.2 Translation of International Application
Where neither the language in which the international application is
filed nor the language in which the international application is
published is accepted by the International Preliminary Examining
Authority that is to carry out the international preliminary
examination, the applicant shall, subject to paragraph (b), furnish with
the demand a translation of the international application into a
language which is both:
a language accepted by that Authority, and a language of publication.
Where a translation of the international application into a language
referred to in paragraph (a) was transmitted to the International
Searching Authority under Rule 23.1(b) and the International Preliminary
Examining Authority is part of the same national Office or
intergovernmental organization as the International Searching Authority,
the applicant need not furnish a translation under paragraph (a). In
such a case, unless the applicant furnishes a translation under
paragraph (a), the international preliminary examination shall be
carried out on the basis of the translation transmitted under Rule
23.1(b).
If the requirement of paragraph (a) is not complied with and paragraph
(b) does not apply, the International Preliminary Examining Authority
shall invite the applicant to furnish the required translation within a
time limit which shall be reasonable under the circumstances. That time
limit shall not be less than one month from the date of the invitation.
It may be extended by the International Preliminary Examining Authority
at any time before a decision is taken.
If the applicant complies with the invitation within the time limit
under paragraph (c), the said requirement shall be considered to have
been complied with. If the applicant fails to do so, the demand shall be
considered not to have been submitted and the International Preliminary
Examining Authority shall so declare.
[Deleted]
---SECTION---55.3 Translation of Amendments
Where a translation of the international application is required under
Rule 55.2, any amendments which are referred to in the statement
concerning amendments under Rule 53.9 and which the applicant wishes to
be taken into account for the purposes of the international preliminary
examination, and any amendments under Article 19 which are to be taken
into account under Rule 66.1(c), shall be in the language of that
translation. Where such amendments have been or are filed in another
language, a translation shall also be furnished.
Where the required translation of an amendment referred to in paragraph
(a) is not furnished, the International Preliminary Examining Authority
shall invite the applicant to furnish the missing translation within a
time limit which shall be reasonable under the circumstances. That time
limit shall not be less than one month from the date of the invitation.
It may be extended by the International Preliminary Examining Authority
at any time before a decision is taken.
If the applicant fails to comply with the invention within the time
limit under paragraph (b), the amendment shall not be taken into account
for the purposes of of the international preliminary examination.
---SECTION---56. Later Elections
---SECTION---56.1 Elections Submitted Later Than the Demand
The election of States subsequent to the submission of the demand
("later election") shall be effected by a notice submitted to the
International Bureau. The notice shall identify the international
application and the demand, and shall include an indication as referred
to in Rule 53.7(b)(ii).
Subject to paragraph (c), the notice referred to in paragraph (a) shall
be signed by the applicant for the elected States concerned or, if there
is more than one applicant for those States, by all of them.
Where two or more applicants file a notice effecting a later election of
a State whose national law requires that national applications be filed
by the inventor and where an applicant for that elected State who is an
inventor refused to sign the notice or could not be found or reached
after diligent effort, the notice need not be signed by that applicant
("the applicant concerned") if it is signed by at least one applicant
and
a statement is furnished explaining, to the satisfaction of the
International Bureau, the lack of signature of the applicant concerned,
or
the applicant concerned did not sign the request but the requirements of
Rule 4.15(b) were complied with, or did not sign the demand but the
requirements of Rule 53.8(b) were complied with.
An applicant for a State elected by a later election need not have been
indicated as an applicant in the demand.
If a notice effecting a later election is submitted after the expiration
of 19 months from the priority date, the International Bureau shall
notify the applicant that the election does not have the effect provided
for under Article 39(1)(a) and that the acts referred to in Article 22
must be performed in respect of the elected Office concerned within the
time limit applicable under Article 22.
If, notwithstanding paragraph (a), a notice effecting a later election
is submitted by the applicant to the International Preliminary Examining
Authority rather than the International Bureau, that Authority shall
mark the date of receipt on the notice and transmit it promptly to the
International Bureau. The notice shall be considered to have been
submitted to the International Bureau on the date marked.
---SECTION---56.2 Identification of the International Application
The international application shall be identified as provided in Rule
53.6.
---SECTION---56.3 Identification of the Demand
The demand shall be identified by the date on which it was submitted and
by the name of the International Preliminary Examining Authority to
which it was submitted.
---SECTION---56.4 Form of Later Elections
The notice effecting the later election shall preferably be worded as
follows: "In relation to the international application filed with ... on
... under No. ... by ... (applicant) (and the demand for international
preliminary examination submitted on ... to ...), the undersigned elects
the following additional State(s) under Article 31 of the Patent
Cooperation Treaty: ..."
---SECTION---56.5 Language of Later Elections
The later election shall be in the language of the demand.
---SECTION---57. The Handling Fee
---SECTION---57.1 Requirement to Pay
Each demand for international preliminary examination shall be subject
to the payment of a fee for the benefit of the International Bureau
("handling fee") to be collected by the International Preliminary
Examining Authority to which the demand is submitted.
---SECTION---57.2 Amount
The amount of the handling fee is as set out in the Schedule of Fees.
[Deleted]
The handling fee shall be payable in the currency or one of the
currencies prescribed by the International Preliminary Examining
Authority ("prescribed currency"), it being understood that, when
transferred by that Authority to the International Bureau, it shall be
freely convertible into Swiss currency. The amount of the handling fee
shall be established, in each prescribed currency, for each
International Preliminary Examining Authority which prescribes the
payment of the handling fee in any currency other than Swiss currency,
by the Director General after consultation with the Office with which
consultation takes place under Rule 15.2(b) in relation to that
currency, or, if there is no such Office, with the Authority which
prescribes payment in that currency. The amount so established shall be
the equivalent, in round figures, of the amount in Swiss currency set
out in the Schedule of Fees. It shall be notified by the International
Bureau to each International Preliminary Examining Authority prescribing
payment in that prescribed currency and shall be published in the
Gazette.
Where the amount of the handling fee set out in the Schedule of Fees is
changed, the corresponding amounts in the prescribed currencies shall be
applied from the same date as the amount set out in the amended Schedule
of Fees.
Where the exchange rate between Swiss currency and any prescribed
currency becomes different from the exchange rate last applied, the
Director General shall establish the new amount in the prescribed
currency according to directives given by the Assembly. The newly
established amount shall become applicable two months after its
publication in the Gazette, provided that the interested International
Preliminary Examining Authority and the Director General may agree on a
date falling during the said two-month period in which case the said
amount shall become applicable for that Authority from that date.
---SECTION---57.3 Time Limit for Payment; Amount Payable
The handling fee shall be paid within one month from the date on which
the demand was submitted, provided that, where the demand was
transmitted to the International Preliminary Examining Authority under
Rule 59.3, the handling fee shall be paid within one month from the date
of receipt by that Authority. The amount payable shall be the amount
applicable on that date of submittal or date of receipt, as the case may
be. For the purposes of the preceding two sentences, Rule 59.3(e) shall
not apply.
[Deleted]
[Deleted]
---SECTION---57.4 [Deleted]
---SECTION---57.5 [Deleted]
---SECTION---57.6 Refund
The International Preliminary Examining Authority shall refund the
handling fee to the applicant:
if the demand is withdrawn before the demand has been sent by that
Authority to the International Bureau, or
if the demand is considered, under Rule 54.4, not to have been
submitted.
---SECTION---58. The Preliminary Examination Fee
---SECTION---58.1 Right to Ask for a Fee
Each International Preliminary Examining Authority may require that the
applicant pay a fee ("preliminary examination fee") for its own benefit
for carrying out the international preliminary examination and for
performing all other tasks entrusted to International Preliminary
Examining Authorities under the Treaty and these Regulations.
The amount of the preliminary examination fee, if any, shall be fixed by
the International Preliminary Examining Authority. As to the time limit
for payment of the preliminary examination fee and the amount payable,
the provisions of Rule 57.3 relating to the handling fee shall apply
mutatis mutandis.
The preliminary examination fee shall be payable directly to the
International Preliminary Examining Authority. Where that Authority is a
national Office, it shall be payable in the currency prescribed by that
Office, and where the Authority is an intergovernmental organization, it
shall be payable in the currency of the State in which the
intergovernmental organization is located or in any other currency which
is freely convertible into the currency of the said State.
---SECTION---58.2 [Deleted]
---SECTION---58.3 Refund
The International Preliminary Examining Authorities shall inform the
International Bureau of the extent, if any, to which, and the
conditions, if any, under which, they will refund any amount paid as a
preliminary examination fee where the demand is considered as if it had
not been submitted, and the International Bureau shall promptly publish
such information.
---SECTION---58. Extension of Time Limits for Payment of Fees
---SECTION---58.1 Invitation by the International Preliminary Examining
Authority
Where, by the time they are due under Rules 57.3 and 58.1(b), the
International Preliminary Examining Authority finds that no fees were
paid to it, or that the amount paid to it is insufficient to cover the
handling fee and the preliminary examination fee, the Authority shall
invite the applicant to pay to it the amount required to cover those
fees, together with, where applicable, the late payment fee under Rule
58bis.2, within a time limit of one month from the date of the
invitation.
Where the International Preliminary Examining Authority has sent an
invitation under paragraph (a) and the applicant has not, within the
time limit referred to in that paragraph, paid in full the amount due,
including, where applicable, the late payment fee under Rule 58bis.2,
the demand shall, subject to paragraph (c), be considered as if it had
not been submitted and the International Preliminary Examining Authority
shall so declare.
Any payment received by the International Preliminary Examining
Authority before that Authority sends the invitation under paragraph (a)
shall be considered to have been received before the expiration of the
time limit under Rule 57.3 or 58.1(b), as the case may be.
Any payment received by the International Preliminary Examining
Authority before that Authority proceeds under paragraph (b) shall be
considered to have been received before the expiration of the time limit
under paragraph (a).
---SECTION---58.2
Late Payment Fee
The payment of fees in response to an invitation under Rule 58bis.1(a)
may be subjected by the International Preliminary Examining Authority to
the payment to it, for its own benefit, of a late payment fee. The
amount of that fee shall be:
50% of the amount of unpaid fees which is specified in the invitation,
or,
if the amount calculated under item (i) is less than the handling fee,
an amount equal to the handling fee.
The amount of the late payment fee shall not, however, exceed double the
amount of the handling fee.
---SECTION---59. The Competent International Preliminary Examining
Authority
---SECTION---59.1 Demands under Article 31(2)(a)
For demands made under Article 31(2)(a), each receiving Office of or
acting for a Contracting State bound by the provisions of Chapter II
shall, in accordance with the terms of the applicable agreement referred
to in Article 32(2) and (3), inform the International Bureau which
International Preliminary Examining Authority is or which International
Preliminary Examining Authorities are competent for the international
preliminary examination of international applications filed with it. The
International Bureau shall promptly publish such information. Where
several International Preliminary Examining Authorities are competent,
the provisions of Rule 35.2 shall apply mutatis mutandis.
Where the international application was filed with the International
Bureau as receiving Office under Rule 19.1(a)(iii), Rule 35.3(a) and (b)
shall apply mutatis mutandis. Paragraph (a) of this Rule shall not apply
to the International Bureau as receiving Office under Rule 19.1(a)(iii).
---SECTION---59.2 Demands under Article 31(2)(b)
As to demands made under Article 31(2)(b), the Assembly, in specifying
the International Preliminary Examining Authority competent for
international applications filed with a national Office which is an
International Preliminary Examining Authority, shall give preference to
that Authority; if the national Office is not an International
Preliminary Examining Authority, the Assembly shall give preference to
the International Preliminary Examining Authority recommended by that
Office.
---SECTION---59.3 Transmittal of Demand to the Competent International
Preliminary Examining Authority
If the demand is submitted to a receiving Office, an International
Searching Authority, or an International Preliminary Examining Authority
which is not competent for the international preliminary examination of
the international application, that Office or Authority shall mark the
date of receipt on the demand and, unless it decides to proceed under
paragraph (f), transmit the demand promptly to the International Bureau.
If the demand is submitted to the International Bureau, the
International Bureau shall mark the date of receipt on the demand.
Where the demand is transmitted to the International Bureau under
paragraph (a) or submitted to it under paragraph (b), the International
Bureau shall promptly:
if there is only one competent International Preliminary Examining
Authority, transmit the demand to that Authority and inform the
applicant accordingly, or
if two or more International Preliminary Examining Authorities are
competent, invite the applicant to indicate, within 15 days from the
date of the invitation or 19 months from the priority date, whichever is
later, the competent International Preliminary Examining Authority to
which the demand should be transmitted.
Where an indication is furnished as required under paragraph (c)(ii),
the International Bureau shall promptly transmit the demand to the
competent International Preliminary Examining Authority indicated by the
applicant. Where no indication is so furnished, the demand shall be
considered not to have been submitted and the International Bureau shall
so declare.
Where the demand is transmitted to a competent International Preliminary
Examining Authority under paragraph (c), it shall be considered to have
been received on behalf of that Authority on the date marked on it under
paragraph (a) or (b), as applicable, and the demand so transmitted shall
be considered to have been received by that Authority on that date.
Where an Office or Authority to which the demand is submitted under
paragraph (a) decides to transmit that demand directly to the competent
International Preliminary Examining Authority, paragraphs (c) to (e)
shall apply mutatis mutandis.
---SECTION---60. Certain Defects in the Demand or Elections
---SECTION---60.1 Defects in the Demand
If the demand does not comply with the requirements specified in Rules
53.1, 53.2(a)(i) to (iv), 53.2(b), 53.3 to 53.8, and 55.1, the
International Preliminary Examining Authority shall invite the applicant
to correct the defects within a time limit which shall be reasonable
under the circumstances. That time limit shall not be less than one
month from the date of the invitation. It may be extended by the
International Preliminary Examining Authority at any time before a
decision is taken.
If the applicant complies with the invitation within the time limit
under paragraph (a), the demand shall be considered as if it had been
received on the actual filing date, provided that the demand as
submitted contained at least one election and permitted the
international application to be identified; otherwise, the demand shall
be considered as if it had been received on the date on which the
International Preliminary Examining Authority receives the correction.
Subject to paragraph (d), if the applicant does not comply with the
invitation within the time limit under paragraph (a), the demand shall
be considered as if it had not been submitted and the International
Preliminary Examining Authority shall so declare.
Where, after the expiration of the time limit under paragraph (a), a
signature required under Rule 53.8 or a prescribed indication is lacking
in respect of an applicant for a certain elected State, the election of
that State considered as if it had not been made.
If the defect is noticed by the International Bureau, it shall bring the
defect to the attention of the International Preliminary Examining
Authority, which shall then proceed as provided in paragraphs (a) to
(d).
If the demand does not contain a statement concerning amendments, the
International Preliminary Examining Authority shall proceed as provided
for in Rules 66.1 and 69.1(a) or (b).
Where the statement concerning amendments contains an indication that
amendments under Article 34 are submitted with the demand (Rule 53.9(c))
but no such amendments are, in fact, submitted, the International
Preliminary Examining Authority shall invite the applicant to submit the
amendments within a time limit fixed in the invitation and shall proceed
as provided for in Rule 69.1(e).
---SECTION---60.2 Defects in Later Elections
If the notice effecting a later election does not comply with the
requirements of Rule 56, the International Bureau shall invite the
applicant to correct the defects within a time limit which shall be
reasonable under the circumstances. That time limit shall not be less
than one month from the date of the invitation. It may be extended by
the International Bureau at any time before a decision is taken.
If the applicant complies with the invitation within the time limit
under paragraph (a), the notice shall be considered as if it had been
received on the actual filing date, provided that the notice as
submitted contained at least one election and permitted the
international application to be identified; otherwise, the notice shall
be considered as if it had been received on the date on which the
International Bureau receives the correction.
Subject to paragraph (d), if the applicant does not comply with the
invitation within the time limit under paragraph (a), the notice shall
be considered as if it had not been submitted.
Where, in respect of an applicant for a certain elected State, the
signature required under Rule 56.1(b) and (c) or the name or address is
lacking after the expiration of the time limit under paragraph (a), the
later election of that State shall be considered as if it had not been
made.
---SECTION---61. Notification of the Demand and Elections
---SECTION---61.1 Notification to the International Bureau and the
Applicant
The International Preliminary Examining Authority shall indicate on the
demand the date of receipt or, where applicable, the date referred to in
Rule 60.1(b). The International Preliminary Examining Authority shall
promptly either send the demand to the International Bureau and keep a
copy in its files or send a copy to the International Bureau and keep
the demand in its files.
The International Preliminary Examining Authority shall promptly notify
the applicant of the date of receipt of the demand. Where the demand has
been considered under Rules 54.4, 55.2(d), 58bis.1(b) or 60.1(c) as if
it had not been submitted or where an election has been considered under
Rule 60.1(d) as if it had not been made, the International Preliminary
Examining Authority shall notify the applicant and the International
Bureau accordingly.
The International Bureau shall promptly notify the applicant of the
receipt, and the date of receipt, of any notice effecting a later
election. That date shall be the actual date of receipt by the
International Bureau or, where applicable, the date referred to in Rule
56.1(f) or 60.2(b). Where the notice has been considered under Rule
60.2(c) as if it had not been submitted or where a later election has
been considered under Rule 60.2(d) as if it had not been made, the
International Bureau shall notify the applicant accordingly.
---SECTION---61.2 Notification to the Elected Offices
The notification provided for in Article 31(7) shall be effected by the
International Bureau.
The notification shall indicate the number and filing date of the
international application, the name of the applicant, the filing date of
the application whose priority is claimed (where priority is claimed),
the date of receipt by the International Preliminary Examining Authority
of the demand, and - in the case of a later election - the date of
receipt of the notice effecting the later election. The latter date
shall be the actual date of receipt by the International Bureau or,
where applicable, the date referred to in Rule 56.1(f) or 60.2(b).
The notification shall be sent to the elected Office together with the
communication provided for in Article 20. Elections effected after such
communication shall be notified promptly after they have been made.
Where the applicant makes an express request to an elected Office under
Article 40(2) before the communication provided for in Article 20 has
taken place, the International Bureau shall, upon request of the
applicant or the elected Office, promptly effect that communication to
that Office.
---SECTION---61.3 Information for the Applicant
The International Bureau shall inform the applicant in writing of the
notification referred to in Rule 61.2 and of the elected Offices
notified under Article 31(7).
---SECTION---61.4 Publication in the Gazette
Where a demand has been filed before the expiration of 19 months from
the priority date, the International Bureau shall, promptly after the
filing of the demand but not before the international publication of the
international application, publish in the Gazette information on the
demand and the elected States concerned, as provided in the
Administrative Instructions.
---SECTION---62. Copy of Amendments Under Article 19 for the
International Preliminary Examining Authority
---SECTION---62.1 Amendments Made Before the Demand Is Filed
Upon receipt of a demand, or a copy thereof, from the International
Preliminary Examining Authority, the International Bureau shall promptly
transmit a copy of any amendments under Article 19, and any statement
referred to in that Article, to that Authority, unless that Authority
has indicated that it has already received such a copy.
---SECTION---62.2 Amendments Made After the Demand Is Filed
If, at the time of filing any amendments under Article 19, a demand has
already been submitted, the applicant shall preferably, at the same time
as he files the amendments with the International Bureau, also file with
the International Preliminary Examining Authority a copy of such
amendments and any statement referred to in that Article. In any case,
the International Bureau shall promptly transmit a copy of such
amendments and statement to that Authority.
---SECTION---63. Minimum Requirements for International Preliminary
Examining Authorities
---SECTION---63.1 Definition of Minimum Requirements
The minimum requirements referred to in Article 32(3) shall be the
following:
the national Office or intergovernmental organization must have at least
100 full-time employees with sufficient technical qualifications to
carry out examinations;
that Office or organization must have at its ready disposal at least the
minimum documentation referred to in Rule 34, properly arranged for
examination purposes;
that Office or organization must have a staff which is capable of
examining in the required technical fields and which has the language
facilities to understand at least those languages in which the minimum
documentation referred to in Rule 34 is written or is translated.
---SECTION---64. Prior Art for International Preliminary Examination
---SECTION---64.1 Prior Art
For the purposes of Article 33(2) and (3), everything made available to
the public anywhere in the world by means of written disclosure
(including drawings and other illustrations) shall be considered prior
art provided that such making available occurred prior to the relevant
date.
For the purposes of paragraph (a), the relevant date will be:
subject to item (ii), the international filing date of the international
application under international preliminary examination;
where the international application under international preliminary
examination validly claims the priority of an earlier application, the
filing date of such earlier application.
---SECTION---64.2 Non-Written Disclosures
In cases where the making available to the public occurred by means of
an oral disclosure, use, exhibition or other non-written means
("non-written disclosure") before the relevant date as defined in Rule
64.1(b) and the date of such non-written disclosure is indicated in a
written disclosure which has been made available to the public on a date
which is the same as, or later than, the relevant date, the non-written
disclosure shall not be considered part of the prior art for the
purposes of Article 33(2) and (3). Nevertheless, the international
preliminary examination report shall call attention to such non-written
disclosure in the manner provided for in Rule 70.9.
---SECTION---64.3 Certain Published Documents
In cases where any application or any patent which would constitute
prior art for the purposes of Article 33(2) and (3) had it been
published prior to the relevant date referred to in Rule 64.1 was
published on a date which is the same as, or later than, the relevant
date but was filed earlier than the relevant date or claimed the
priority of an earlier application which had been filed prior to the
relevant date, such published application or patent shall not be
considered part of the prior art for the purposes of Article 33(2) and
(3). Nevertheless, the international preliminary examination report
shall call attention to such application or patent in the manner
provided for in Rule 70.10.
---SECTION---65. Inventive Step or Non-Obviousness
---SECTION---65.1 Approach to Prior Art
For the purposes of Article 33(3), the international preliminary
examination shall take into consideration the relation of any particular
claim to the prior art as a whole. It shall take into consideration the
claim's relation not only to individual documents or parts thereof taken
separately but also its relation to combinations of such documents or
parts of documents, where such combinations are obvious to a person
skilled in the art.
---SECTION---65.2 Relevant Date
For the purposes of Article 33(3), the relevant date for the
consideration of inventive step (non-obviousness) is the date prescribed
in Rule 64.1.
---SECTION---66. Procedure Before the International Preliminary
Examining Authority
---SECTION---66.1 Basis of the International Preliminary Examination
Subject to paragraphs (b) to (d), the international preliminary
examination shall be based on the international application as filed.
The applicant may submit amendments under Article 34 at the time of
filing the demand or, subject to Rule 66.4bis, until the international
preliminary examination report is established.
Any amendments under Article 19 made before the demand was filed shall
be taken into account for the purposes of the international preliminary
examination unless superseded, or considered as reversed, by an
amendment under Article 34.
Any amendments under Article 19 made after the demand was filed and any
amendments under Article 34 submitted to the International Preliminary
Examining Authority shall, subject to Rule 66.4bis, be taken into
account for the purposes of the international preliminary examination.
Claims relating to inventions in respect of which no international
search report has been established need not be the subject of
international preliminary examination.
---SECTION---66.2 First Written Opinion of the International Preliminary
Examining Authority
If the International Preliminary Examining Authority
considers that any of the situations referred to in Article 34(4)
exists,
considers that the international preliminary examination report should
be negative in respect of any of the claims because the invention
claimed therein does not appear to be novel, does not appear to involve
an inventive step (does not appear to be non-obvious), or does not
appear to be industrially applicable,
notices that there is some defect in the form or contents of the
international application under the Treaty or these Regulations,
considers that any amendment goes beyond the disclosure in the
international application as filed,
wishes to accompany the international preliminary examination report by
observations on the clarity of the claims, the description, and the
drawings, or the question whether the claims are fully supported by the
description,
considers that a claim relates to an invention in respect of which no
international search report has been established and has decided not to
carry out the international preliminary examination in respect of that
claim, or
considers that a nucleotide and/or amino acid sequence listing is not
available to it in such a form that a meaningful international
preliminary examination can be carried out, the said Authority shall
notify the applicant accordingly in writing. Where the national law of
the national Office acting as International Preliminary Examining
Authority does not allow multiple dependent claims to be drafted in a
manner different from that provided for in the second and third
sentences of Rule 6.4(a), the International Preliminary Examining
Authority may, in case of failure to use that manner of claiming, apply
Article 34(4)(b). In such case, it shall notify the applicant
accordingly in writing.
The notification shall fully state the reasons for the opinion of the
International Preliminary Examining Authority.
The notification shall invite the applicant to submit a written reply
together, where appropriate, with amendments.
The notification shall fix a time limit for the reply. The time limit
shall be reasonable under the circumstances. It shall normally be two
months after the date of notification. In no case shall it be shorter
than one month after the said date. It shall be at least two months
after the said date where the international search report is transmitted
at the same time as the notification. It shall not be more than three
months after the said date but may be extended if the applicant so
requests before its expiration.
---SECTION---66.3 Formal Response to the International Preliminary
Examining Authority
The applicant may respond to the invitation referred to in Rule 66.2(c)
of the International Preliminary Examining Authority by making
amendments or - if he disagrees with the opinion of that Authority - by
submitting arguments, as the case may be, or do both.
Any response shall be submitted directly to the International
Preliminary Examining Authority.
---SECTION---66.4 Additional Opportunity for Submitting Amendments or
Arguments
If the International Preliminary Examining Authority wishes to issue one
or more additional written opinions, it may do so, and Rules 66.2 and
66.3 shall apply.
On the request of the applicant, the International Preliminary Examining
Authority may give him one or more additional opportunities to submit
amendments or arguments.
---SECTION---66.4 Consideration of Amendments and Arguments
Amendments or arguments need not be taken into account by the
International Preliminary Examining Authority for the purposes of a
written opinion or the international preliminary examination report if
they are received after that Authority has begun to draw up that opinion
or report.
---SECTION---66.5 Amendment
Any change, other than the rectification of obvious errors, in the
claims, the description, or the drawings, including cancellation of
claims, omission of passages in the description, or omission of certain
drawings, shall be considered an amendment.
---SECTION---66.6 Informal Communications with the Applicant
The International Preliminary Examining Authority may, at any time,
communicate informally, over the telephone, in writing, or through
personal interviews, with the applicant. The said Authority shall, at
its discretion, decide whether it wishes to grant more than one personal
interview if so requested by the applicant, or whether it wishes to
reply to any informal written communication from the applicant.
---SECTION---66.7 Priority Document
If the International Preliminary Examining Authority needs a copy of the
application whose priority is claimed in the international application,
the International Bureau shall, on request, promptly furnish such copy.
If that copy is not furnished to the International Preliminary Examining
Authority because the applicant failed to comply with the requirements
of Rule 17.1, the international preliminary examination report may be
established as if the priority had not been claimed.
If the application whose priority is claimed in the international
application is in a language other than the language or one of the
languages of the International Preliminary Examining Authority, that
Authority may invite the the applicant to furnish a translation in the
said language or one of the said languages within two months from the
date of the invitation. If the translation is not furnished within that
time limit, the international preliminary examination report may be
established as if the priority had not been claimed.
---SECTION---66.8 Form of Amendments
Subject to paragraph (b), the applicant shall be required to submit a
replacement sheet for every sheet of the international application
which, on account of an amendment, differs from the sheet previously
filed. The letter accompanying the replacement sheets shall draw
attention to the differences between the replaced sheets and the
replacement sheets and shall preferably also explain the reasons for the
amendment.
Where the amendment consists in the deletion of passages or in minor
alterations or additions, the replacement sheet referred to in paragraph
(a) may be a copy of the relevant sheet of the international application
containing the alterations or additions, provided that the clarity and
direct reproducibility of that sheet are not adversely affected. To the
extent that any amendment results in the cancellation of an entire
sheet, that amendment shall be communicated in a letter which shall
preferably also explain the reasons for the amendment.
---SECTION---66.9 Language of Amendments
Subject to paragraphs (b) and (c), if the international application has
been filed in a language other than the language in which it is
published, any amendment, as well as any letter referred to in Rule
66.8, shall be submitted in the language of publication.
If the international preliminary examination is carried out, pursuant to
rule 55.2, on the basis of a translation of the international
application, any amendment, as well as any letter referred to in
paragraph (a), shall be submitted in the language of that translation.
Subject to Rule 55.3, if an amendment or letter is not submitted in a
language as required under paragraph (a) or (b), the International
Preliminary Examining Authority shall, if practicable, having regard to
the time limit for establishing the international preliminary
examination report, invite the applicant to furnish the amendment or
letter in the required language within a time limit which shall be
reasonable under the circumstances.
If the applicant fails to comply, within the time limit under paragraph
(c), with the invitation to furnish an amendment in the required
language, the amendment shall not be taken into account for the purposes
of the international preliminary examination. If the applicant fails to
comply, within the time limit under paragraph (c), with the invitation
to furnish a letter referred to in paragraph (a) in the required
language, the amendment concerned need not be taken into account for the
purposes of the international preliminary examination.
---SECTION---67. Subject Matter Under Article 34(4)(a)(i)
---SECTION---67.1 Definition
No International Preliminary Examining Authority shall be required to
carry out an international preliminary examination on an international
application if, and to the extent to which, its subject matter is any of
the following:
scientific and mathematical theories,
plant or animal varieties or essentially biological processes for the
production of plants and animals, other than microbiological processes
and the products of such processes,
schemes, rules, or methods of doing business, performing purely mental
acts, or playing games,
methods for treatment of the human or animal body by surgery or therapy,
as well as diagnostic methods,
mere presentations of information,
computer programs to the extent that the International Preliminary
Examining Authority is not equipped to carry out an international
preliminary examination concerning such programs.
---SECTION---68. Lack of Unity of Invention (International Preliminary
Examination)
---SECTION---68.1 No Invitation to Restrict or Pay
Where the International Preliminary Examining Authority finds that the
requirement of unity of invention is not complied with and chooses not
to invite the applicant to restrict the claims or to pay additional
fees, it shall proceed with the international preliminary examination,
subject to Article 34(4)(b) and Rule 66.1(e), in respect of the entire
international application, but shall indicate, in any written opinion
and in the international preliminary examination report, that it
considers that the requirement of unity of invention is not fulfilled
and it shall specify the reasons therefor.
---SECTION---68.2 Invitation to Restrict or Pay
Where the International Preliminary Examining Authority finds that the
requirement of unity of invention is not complied with and chooses to
invite the applicant, at his option, to restrict the claims or to pay
additional fees, it shall specify at least one possibility of
restriction which, in the opinion of the International Preliminary
Examining Authority, would be in compliance with the applicable
requirement, and shall specify the amount of the additional fees and the
reasons for which the international application is not considered as
complying with the requirement of unity of invention. It shall, at the
same time, fix a time limit, with regard to the circumstances of the
case, for complying with the invitation; such time limit shall not be
shorter than one month, and it shall not be longer than two months, from
the date of the invitation.
---SECTION---68.3 Additional Fees
The amount of the additional fee due for international preliminary
examination under Article 34(3)(a) shall be determined by the competent
International Preliminary Examining Authority.
The additional fee due for international preliminary examination under
Article 34(3)(a) shall be payable direct to the International
Preliminary Examining Authority.
Any applicant may pay the additional fee under protest, that is,
accompanied by a reasoned statement to the effect that the international
application complies with the requirement of unity of invention or that
the amount of the required additional fee is excessive. Such protest
shall be examined by a three-member board or other special instance of
the International Preliminary Examining Authority, or any competent
higher authority, which, to the extent that it finds the protest
justified, shall order the total or partial reimbursement to the
applicant of the additional fee. On the request of the applicant, the
text of both the protest and the decision thereon shall be notified to
the elected Offices as an annex to the international preliminary
examination report.
The three-member board, special instance or competent higher authority,
referred to in paragraph (c), shall not comprise any person who made the
decision which is the subject of the protest.
Where the applicant has, under paragraph (c), paid an additional fee
under protest, the International Preliminary Examining Authority may,
after a prior review of the justification for the invitation to pay an
additional fee, require that the applicant pay a fee for the examination
of the protest ("protest fee"). The protest fee shall be paid within one
month from the date of the notification to the applicant of the result
of the review. If the protest fee is not so paid, the protest shall be
considered withdrawn. The protest fee shall be refunded to the applicant
where the three-member board, special instance or higher authority
referred to in paragraph (c) finds that the protest was entirely
justified.
---SECTION---68.4 Procedure in the Case of Insufficient Restriction of
the Claims
If the applicant restricts the claims but not sufficiently to comply
with the requirement of unity of invention, the International
Preliminary Examining Authority shall proceed as provided in Article
34(3)(c).
---SECTION---68.5 Main Invention
In case of doubt which invention is the main invention for the purposes
of Article 34(3)(c), the invention first mentioned in the claims shall
be considered the main invention.
---SECTION---69. Start of and Time Limit for International Preliminary
Examination
---SECTION---69.1 Start of International Preliminary Examination
Subject to paragraphs (b) to (e), the International Preliminary
Examining Authority shall start the international preliminary
examination when it is in possession both of the demand and of either
the international search report or a notice of the declaration by the
International Searching Authority under Article 17(2)(a) that no
international search report will be established.
If the competent International Preliminary Examining Authority is part
of the same national Office or intergovernmental organization as the
competent International Searching Authority, the international
preliminary examination may, if the International Preliminary Examining
Authority so wishes and subject to paragraph (d), start at the same time
as the international search.
Where the statement concerning amendments contains an indication that
amendments under Article 19 are to be taken into account (Rule
53.9(a)(i)), the International Preliminary Examining Authority shall not
start the international preliminary examination before it has received a
copy of the amendments concerned.
Where the statement concerning amendments contains an indication that
the start of the international preliminary examination is to be
postponed (Rule 53.9(b)), the International Preliminary Examining
Authority shall not start the international preliminary examination
before
it has received a copy of any amendments made under Article 19,
it has received a notice from the applicant that he does not wish to
make amendments under Article 19, or
the expiration of 20 months from the priority date, whichever occurs
first.
Where the statement concerning amendments contains an indication that
amendments under Article 34 are submitted with the demand (Rule 53.9(c))
but no such amendments are, in fact, submitted, the International
Preliminary Examining Authority shall not start the international
preliminary examination before it has received the amendments or before
the time limit fixed in the invitation referred to in Rule 60.1(g) has
expired, whichever occurs first.
---SECTION---69.2 Time Limit for International Preliminary Examina tion
The time limit for establishing the international preliminary
examination report shall be:
28 months from the priority date, or
eight months from the date of payment of the fees referred to in Rules
57.1 and 58.1(a), or
eight months from the date of receipt by the International Preliminary
Examining Authority of the translation furnished under Rule 55.2,
whichever expires last.
---SECTION---70. The International Preliminary Examination Report
---SECTION---70.1 Definition
For the purposes of this Rule, "report" shall mean international
preliminary examination report.
---SECTION---70.2 Basis of the Report
If the claims have been amended, the report shall issue on the claims as
amended.
If, pursuant to Rule 66.7(a) or (b), the report is established as if the
priority had not been claimed, the report shall so indicate.
If the International Preliminary Examining Authority considers that any
amendment goes beyond the disclosure in the international application as
filed, the report shall be established as if such amendment had not been
made, and the report shall so indicate. It shall also indicate the
reasons why it considers that the amendment goes beyond the said
disclosure.
Where claims relate to inventions in respect of which no international
search report has been established and have therefore not been the
subject of international preliminary examination, the international
preliminary examination report shall so indicate.
---SECTION---70.3 Identifications
The report shall identify the International Preliminary Examining
Authority which established it by indicating the name of such Authority,
and the international application by indicating the international
application number, the name of the applicant, and the international
filing date.
---SECTION---70.4 Dates
The report shall indicate:
the date on which the demand was submitted, and
the date of the report; that date shall be the date on which the report
is completed.
---SECTION---70.5 Classification
The report shall repeat the classification given under Rule 43.3 if the
International Preliminary Examining Authority agrees with such
classification.
Otherwise, the International Preliminary Examining Authority shall
indicate in the report the classification, at least according to the
International Patent Classification, which it considers correct.
---SECTION---70.6 Statement Under Article 35(2)
The statement referred to in Article 35(2) shall consist of the words
"YES" or "NO," or their equivalent in the language of the report, or
some appropriate sign provided for in the Administrative Instructions,
and shall be accompanied by the citations, explanations, and
observations, if any, referred to in the last sentence of Article 35(2).
If any of the three criteria referred to in Article 35(2) (that is,
novelty, inventive step (non- obviousness), industrial applicability) is
not satisfied, the statement shall be negative. If, in such a case, any
of the criteria, taken separately, is satisfied, the report shall
specify the criterion or criteria so satisfied.
---SECTION---70.7 Citations Under Article 35(2)
The report shall cite the documents considered to be relevant for
supporting the statements made under Article 35(2), whether or not such
documents are cited in the international search report. Documents cited
in the international search report need only be cited in the report when
they are considered by the International Preliminary Examining Authority
to be relevant.
The provisions of Rule 43.5(b) and (e) shall apply also to the report.
---SECTION---70.8 Explanations Under Article 35(2)
The Administrative Instructions shall contain guidelines for cases in
which the explanations referred to in Article 35(2) should or should not
be given and the form of such explanations. Such guidelines shall be
based on the following principles:
explanations shall be given whenever the statement in relation to any
claim is negative;
explanations shall be given whenever the statement is positive unless
the reason for citing any document is easy to imagine on the basis of
consultation of the cited document;
generally, explanations shall be given if the case provided for in the
last sentence of Rule 70.6(b) obtains.
---SECTION---70.9 Non-Written Disclosures
Any non-written disclosure referred to in the report by virtue of Rule
64.2 shall be mentioned by indicating its kind, the date on which the
written disclosure referring to the non-written disclosure was made
available to the public, and the date on which the non-written
disclosure occurred in public.
---SECTION---70.10 Certain Published Documents
Any published application or any patent referred to in the report by
virtue of Rule 64.3 shall be mentioned as such and shall be accompanied
by an indication of its date of publication, of its filing date, and its
claimed priority date (if any). In respect of the priority date of any
such document, the report may indicate that, in the opinion of the
International Preliminary Examining Authority, such date has not been
validly claimed.
---SECTION---70.11 Mention of Amendments
If, before the International Preliminary Examining Authority, amendments
have been made, this fact shall be indicated in the report. Where any
amendment has resulted in the cancellation of an entire sheet, this fact
shall also be specified in the report.
---SECTION---70.12 Mention of Certain Defects and Other Matters
If the International Preliminary Examining Authority considers that, at
the time it prepares the report:
the international application contains any of the defects referred to in
Rule 66.2(a)(iii), it shall include this opinion and the reasons
therefor in the report;
the international application calls for any of the observations referred
to in Rule 66.2(a)(v), it may include this opinion in the report and, if
it does, it shall also indicate in the report the reasons for such
opinion;
any of the situations referred to in Article 34(4) exists, it shall
state this opinion and the reasons therefor in the reports;
a nucleotide and/or amino acid sequence listing is not available to it
in such a form that a meaningful international preliminary examination
can be carried out, it shall so state in the report.
---SECTION---70.13 Remarks Concerning Unity of Invention
If the applicant paid additional fees for the international preliminary
examination, or if the international application or the international
preliminary examination was restricted under Article 34(3), the report
shall so indicate. Furthermore, where the international preliminary
examination was carried out on restricted claims (Article 34(3)(a)), or
on the main invention only (Article 34(3)(c)), the report shall indicate
what parts of the international application were and what parts were not
the subject of international preliminary examination. The report shall
contain the indications provided for in Rule 68.1, where the
International Preliminary Examining Authority chose not to invite the
applicant to restrict the claims or to pay additional fees.
---SECTION---70.14 Authorized Officer
The report shall indicate the name of the officer of the International
Preliminary Examining Authority responsible for that report.
---SECTION---70.15 Form
The physical requirements as to the form of the report shall be
prescribed by the Administrative Instructions.
---SECTION---70.16 Annexes to the Report
Each replacement sheet under Rule 66.8(a) or (b), each replacement sheet
containing amendments under Article 19 and each replacement sheet
containing rectifications of obvious errors authorized under Rule
91.1(e)(iii) shall, unless superseded by later replacement sheets or
amendments resulting in the cancellation of entire sheets under Rule
66.8(b), be annexed to the report. Amendments under Article 19 which
have been considered as reversed by an amendment under Article 34 and
letters under Rule 66.8 shall not be annexed.
---SECTION---70.17 Languages of the Report and the Annexes
The report and any annex shall be in the language in which the
international application to which they relate is published, or, if the
international preliminary examination is carried out, pursuant to Rule
55.2, on the basis of a translation of the international application in
the language of that translation.
---SECTION---71. Transmittal of the International Preliminary
Examination Report
---SECTION---71.1 Recipients
The International Preliminary Examining Authority shall, on the same
day, transmit one copy of the international preliminary examination
report and its annexes, if any, to the International Bureau, and one
copy to the applicant.
---SECTION---71.2 Copies of Cited Documents
The request under Article 36(4) may be presented any time during seven
years from the international filing date of the international
application to which the report relates.
The International Preliminary Examining Authority may require that the party (applicant or elected Office) presenting
the request pay to it the cost of preparing and mailing the copies. The
level of the cost of preparing copies shall be provided for in the
agreements referred to in Article 32(2) between the International
Preliminary Examining Authorities and the International Bureau.
[Deleted]
Any International Preliminary Examining Authority may perform the
obligations referred to in paragraphs (a) and (b) through another agency
responsible to it.
---SECTION---72. Translation of the International Preliminary
Examination Report
---SECTION---72.1 Languages
Any elected State may require that the international preliminary
examination report, established in any language other than the official
language, or one of the official languages, of its national Office, be
translated into English.
Any such requirement shall be notified to the International Bureau,
which shall promptly publish it in the Gazette.
---SECTION---72.2 Copy of Translation for the Applicant
The International Bureau shall transmit a copy of the translation
referred to in Rule 72.1(a) of the international preliminary examination
report to the applicant at the same time as it communicates such
translation to the interested elected Office or Offices.
---SECTION---72.3 Observations on the Translation
The applicant may make written observations on what, in his opinion, are
errors of translation in the translation of the international
preliminary examination report and shall send a copy of any such
observations to each of the interested elected Offices and a copy to the
International Bureau.
---SECTION---73. Communication of the International Preliminary
Examination Report
---SECTION---73.1 Preparation of Copies
The International Bureau shall prepare the copies of the documents to be
communicated under Article 36(3)(a).
---SECTION---73.2 Time Limit for Communication
The communication provided for in Article 36(3)(a) shall be effected as
promptly as possible but not earlier than the communication under
Article 20.
---SECTION---74. Translations of Annexes of the International
Preliminary Examination Report and Transmittal Thereof
---SECTION---74.1 Contents of Translation and Time Limit for Transmittal
Thereof
Where the furnishing of a translation of the international application
is required by the elected Office under Article 39(1), the applicant
shall, within the time limit applicable under Article 39(1), transmit a
translation of any replacement sheet referred to in Rule 70.16 which is
annexed to the international preliminary examination report unless such
sheet is in the language of the required translation of the
international application. The same time limit shall apply where the
furnishing of a translation of the international application to the
elected Office must, because of a declaration made under Article
64(2)(a)(i), be effected within the time limit applicable under Article
22.
Where the furnishing under Article 39(1) of a translation of the
international application is not required by the elected Office, that
Office may require the applicant to furnish, within the time limit
applicable under that Article, a translation into the language in which
the international application was published of any replacement sheet
referred to in Rule 70.16 which is annexed to the international
preliminary examination report and is not in that language.
---SECTION---75. [Deleted]
---SECTION---76. Copy, Translation and Fee Under Article 39(1);
Translation of Priority Document
---SECTION---76.1 , 76.2, and 76.3 [Deleted]
---SECTION---76.4 Time Limit for Translation of Priority Document
The applicant shall not be required to furnish to any elected Office a
translation of the priority document before the expiration of the
applicable time limit under Article 39.
---SECTION---76.5 Application of Rules 22.1(g), 49 and 51 bis
Rules 22.1(g), 49 and 51bis shall apply, provided that:
any reference in the said Rules to the designated Office or to the
designated State shall be construed as a reference to the elected Office
or to the elected State, respectively;
any reference in the said Rules to Article 22 or Article 24(2) shall be
construed as a reference to Article 39(1) or Article 39(3),
respectively;
the words "international applications filed" in Rule 49.1(c) shall be
replaced by the words "a demand submitted;"
for the purposes of Article 39(1), where an international preliminary
examination report has been established, a translation of any amendment
under Article 19 shall only be required if that amendment is annexed to
that report.
---SECTION---76.6 Transitional Provision
If, on July 12, 1991, Rule 76.5(iv) is not compatible with the national
law applied by the elected Office in respect of claims amended under
Article 19, Rule 76.5(iv) shall not apply in that respect to that
elected Office for as long as it continues not to be compatible with
that law, provided that the said Office informs the International Bureau
accordingly by December 31, 1991. The information received shall be
promptly published by the International Bureau in the Gazette.
---SECTION---77. Faculty Under Article 39(1)(b)
---SECTION---77.1 Exercise of Faculty
Any Contracting State allowing a time limit expiring later than the time
limit provided for in Article 39(1)(a) shall notify the International
Bureau of the time limit so fixed.
Any notification received by the International Bureau under paragraph
(a) shall be promptly published by the International Bureau in the
Gazette.
Notifications concerning the shortening of the previously fixed time
limit shall be effective in relation to demands submitted after the
expiration of three months computed from the date on which the
notification was published by the International Bureau.
Notifications concerning the lengthening of the previously fixed time
limit shall become effective upon publication by the International
Bureau in the Gazette in respect of demands pending at the time or
submitted after the date of such publication, or, if the Contracting
State effecting the notification fixes some later date, as from the
latter date.
---SECTION---78. Amendment of the Claims, the Description, and the
Drawings, Before Elected Offices
---SECTION---78.1 Time Limit Where Election Is Effected Prior To
Expiration of 19 Months from Priority Date
Where the election of any Contracting State is effected prior to the
expiration of the 19th month from the priority date, the applicant
shall, if he so wishes, exercise the right under Article 41 to amend the
claims, the description and the drawings, before the elected Office
concerned within one month from the fulfillment of the requirements
under Article 39(1)(a), provided that, if the transmittal of the
international preliminary examination report under Article 36(1) has not
taken place by the expiration of the time limit applicable under Article
39, he shall exercise the said right not later than four months after
such expiration date. In either case, the applicant may exercise the
said right at any other time if so permitted by the national law of the
said State.
In any elected State in which the national law provides that examination
starts only on special request, the national law may provide that the
time limit within or the time at which the applicant may exercise the
right under Article 41 shall, where the election of any Contracting
State is effected prior to the expiration of the 19th month from the
priority date, be the same as that provided by the national law for the
filing of amendments in the case of the examination, on special request,
of national applications, provided that such time limit shall not expire
prior to, or such time shall not come before, the expiration of the time
limit applicable under paragraph (a).
---SECTION---78.2 Time Limit Where Election is Effected after Expiration
of 19 Months from Priority Date
Where the election of any Contracting State has been effected after the
expiration of the 19th month from the priority date and the applicant
wishes to make amendments under Article 41, the time limit for making
amendments under Article 28 shall apply.
---SECTION---78.3 Utility Models
The provisions of Rules 6.5 and 13.5 shall apply, mutatis mutandis,
before elected Offices. If the election was made before the expiration
of the 19th month from the priority date, the reference to the time
limit applicable under Article 22 is replaced by a reference to the time
limit applicable under Article 39.
---SECTION---Rules Concerning Chapter III of the Treaty
---SECTION---79. Calendar
---SECTION---79.1 Expressing Dates
Applicants, national Offices, receiving Offices, International Searching
and Preliminary Examining Authorities, and the International Bureau,
shall, for the purposes of the Treaty and the Regulations, express any
date in terms of the Christian era and the Gregorian calendar, or, if
they use other eras and calendars, they shall also express any date in
terms of the Christian era and the Gregorian calendar.
---SECTION---80. Computation of Time Limits
---SECTION---80.1 Periods Expressed in Years
When a period is expressed as one year or a certain number of years,
computation shall start on the day following the day on which the
relevant event occurred, and the period shall expire in the relevant
subsequent year in the month having the same name and on the day having
the same number as the month and the day on which the said event
occurred, provided that if the relevant subsequent month has no day with
the same number the period shall expire on the last day of that month.
---SECTION---80.2 Periods Expressed in Months
When a period is expressed as one month or a certain number of months,
computation shall start on the day following the day on which the
relevant event occurred, and the period shall expire in the relevant
subsequent month on the day which has the same number as the day on
which the said event occurred, provided that if the relevant subsequent
month has no day with the same number the period shall expire on the
last day of that month.
---SECTION---80.3 Periods Expressed in Days
When a period is expressed as a certain number of days, computation
shall start on the day following the day on which the relevant event
occurred, and the period shall expire on the day on which the last day
of the count has been reached.
---SECTION---80.4 Local Dates
The date which is taken into consideration as the starting date of the
computation of any period shall be the date which prevails in the
locality at the time when the relevant event occurred.
The date on which any period expires shall be the date which prevails in
the locality in which the required document must be filed or the
required fee must be paid.
---SECTION---80.5 Expiration on a Non-Working Day
If the expiration of any period during which any document or fee must
reach a national Office or intergovernmental organization falls on a day
on which such Office or organization is not open to the public for the
purposes of the transaction of official business, or on which ordinary
mail is not delivered in the locality in which such Office or
organization is situated, the period shall expire on the next subsequent
day on which neither of the said two circumstances exists.
---SECTION---80.6 Date of Documents
Where a period starts on the day of the date of a document or letter
emanating from a national Office or intergovernmental organization, any
interested party may prove that the said document or letter was mailed
on a day later than the date it bears, in which case the date of actual
mailing shall, for the purposes of computing the period, be considered
to be the date on which the period starts. Irrespective of the date on
which such a document or letter was mailed, if the applicant offers to
the national Office or intergovernmental organization evidence which
satisfies the national Office or intergovernmental organization that the
document or letter was received more than seven days after the date it
bears, the national Office or intergovernmental organization shall treat
the period starting from the date of the document or letter as expiring
later by an additional number of days which is equal to the number of
days which the document or letter was received later than seven days
after the date it bears.
---SECTION---80.7 End of Working Day
A period expiring on a given day shall expire at the moment the national
Office or intergovernmental organization with which the document must be
filed or to which the fee must be paid closes for business on that day.
Any Office or organization may depart from the provisions of paragraph
(a) up to midnight on the relevant day.
[Deleted]
---SECTION---81. Modification of Time Limits Fixed in the Treaty
---SECTION---81.1 Proposal
Any Contracting State or the Director General may propose a modification
under Article 47(2).
Proposals made by a Contracting State shall be presented to the Director
General.
---SECTION---81.2 Decision by the Assembly
When the proposal is made to the Assembly, its text shall be sent by the
Director General to all Contracting States at least two months in
advance of that session of the Assembly whose agenda includes the
proposal.
During the discussion of the proposal in the Assembly, the proposal may
be amended or consequential amendments proposed.
The proposal shall be considered adopted if none of the Contracting
States present at the time of voting votes against the proposal.
---SECTION---81.3 Voting by Correspondence
When voting by correspondence is chosen, the proposal shall be included
in a written communication from the Director General to the Contracting
States, inviting them to express their vote in writing.
The invitation shall fix the time limit within which the reply
containing the vote expressed in writing must reach the International
Bureau. That time limit shall not be less than three months from the
date of the invitation.
Replies must be either positive or negative. Proposals for amendments or
mere observations shall not be regarded as votes.
The proposal shall be considered adopted if none of the Contracting
States opposes the amendment and if at least one-half of the Contracting
States express either approval or indifference or abstention.
---SECTION---82. Irregularities in the Mail Service
---SECTION---82.1 Delay or Loss in Mail
Any interested party may offer evidence that he has mailed the document
or letter five days prior to the expiration of the time limit. Except in
cases where surface mail normally arrives at its destination within two
days of mailing, or where no airmail service is available, such evidence
may be offered only if the mailing was by airmail. In any case, evidence
may be offered only if the mailing was by mail registered by the postal
authorities.
If the mailing, in accordance with paragraph (a), of a document or
letter is proven to the satisfaction of the national Office or
intergovernmental organization which is the addressee, delay in arrival
shall be excused, or, if the document or letter is lost in the mail,
substitution for it of a new copy shall be permitted, provided that the
interested party proves to the satisfaction of the said Office or
organization that the document or letter offered in substitution is
identical with the document or letter lost.
In the cases provided for in paragraph (b), evidence of mailing within
the prescribed time limit, and, where the document or letter was lost,
the substitute document or letter as well as the evidence concerning its
identity with the document or letter lost shall be
submitted within one month after the date on which the interested party
noticed - or with due diligence should have noticed - the delay or the
loss, and in no case later than six months after the expiration of the
time limit applicable in the given case.
Any national Office or intergovernmental organization which has notified
the International Bureau that it will do so shall, where a delivery
service other than the postal authorities is used to mail a document or
letter, apply the provisions of paragraphs (a) to (c) as if the delivery
service was a postal authority. In such a case, the last sentence of
paragraph (a) shall not apply but evidence may be offered only if
details of the mailing were recorded by the delivery service at the time
of mailing. The notification may contain an indication that it applies
only to mailings using specified delivery services or delivery services
which satisfy specified criteria. The International Bureau shall publish
the information so notified in the Gazette.
Any national Office or intergovernmental organization may proceed under
paragraph (d):
even if, where applicable, the delivery service used was not one of
those specified, or did not satisfy the criteria specified, in the
relevant notification under paragraph (d), or
even if that Office or organization has not sent to the International
Bureau a notification under paragraph (d).
---SECTION---82.2 Interruption in the Mail Service
Any interested party may offer evidence that on any of the 10 days
preceding the day of expiration of the time limit the postal service was
interrupted on account of war, revolution, civil disorder, strike,
natural calamity, or other like reason, in the locality where the
interested party resides or has his place of business or is staying.
If such circumstances are proven to the satisfaction of the national
Office or intergovernmental organization which is the addressee, delay
in arrival shall be excused, provided that the interested party proves
to the satisfaction of the said Office or organization that he effected
the mailing within five days after the mail service was resumed. The
provisions of Rule 82.1(c) shall apply mutatis mutandis.
---SECTION---82. Excuse by the Designated or Elected State of Delays in
Meeting Certain Time Limits
---SECTION---82.1 Meaning of "Time Limit" in Article 48(2)
The reference to "any time limit" in Article 48(2) shall be construed as
comprising a reference:
to any time limit fixed in the Treaty or these Regulations;
to any time limit fixed by the receiving Office, the International
Searching Authority, the International Preliminary Examining Authority
or the International Bureau or applicable by the receiving Office under
its national law;
to any time limit fixed by, or in the national law applicable by, the
designated or elected Office, for the performance of any act by the
applicant before that Office.
---SECTION---82.2 Reinstatement of Rights and Other Provisions to Which
Article 48(2) Applies
The provisions of the national law which is referred to in Article 48(2)
concerning the excusing, by the designated or elected State, of any
delay in meeting any time limit are those provisions which provide for
reinstatement of rights, restoration, restitutio in integrum or further
processing in spite of noncompliance with a time limit, and any other
provision providing for the extension of time limits or for excusing
delays in meeting time limits.
---SECTION---82. Rectification of Errors Made by the Receiving Office or
by the International Bureau
---SECTION---82.1 Errors Concerning the International Filing Date and
the Priority Claim
If the applicant proves to the satisfaction of any designated or elected
Office that the international filing date is incorrect due to an error
made by the receiving Office or that the priority claim has been
erroneously considered by the receiving Office or the International
Bureau not to have been made, and if the error is an error such that,
had it been made by the designated or elected Office itself, that Office
would rectify it under the national law or national practice, the said
Office shall rectify the error and shall treat the international
application as if it
had been accorded the rectified international filing date or as if the
priority claim had not been considered not to have been made.
---SECTION---83. Right to Practice Before International Authorities
---SECTION---83.1 Proof of Right
The International Bureau, the competent International Searching
Authority, and the competent International Preliminary Examining
Authority may require the production of proof of the right to practice
referred to in Article 49.
---SECTION---83.1 Where the International Bureau Is the Receiving Office
Any person who has the right to practice before the national Office of,
or acting for, a Contracting state of which the applicant or, if there
are two or more applicants, any of the applicants is a resident or
national shall be entitled to practice in respect of the international
application before the International Bureau in its capacity as receiving
Office under Rule 19.1(a)(iii).
Any person having the right to practice before the International Bureau
in its capacity as receiving Office in respect of an international
application shall be entitled to practice in respect of that application
before the International Bureau in any other capacity and before the
competent International Searching Authority and competent International
Preliminary Examining Authority.
---SECTION---83.2 Information
The national Office or the intergovernmental organization which the
interested person is alleged to have a right to practice before shall,
upon request, inform the International Bureau, the competent
International Searching Authority, or the competent International
Preliminary Examining Authority, whether such person has the right to
practice before it.
Such information shall be binding upon the International Bureau, the
International Searching Authority, or the International Preliminary
Examining Authority, as the case may be.
---SECTION---Rules Concerning Chapter V of the Treaty
---SECTION---84. Expenses of Delegations
---SECTION---84.1 Expenses Borne by Governments
The expenses of each Delegation participating in any organ established
by or under the Treaty shall be borne by the Government which has
appointed it.
---SECTION---85. Absence of Quorum in the Assembly
---SECTION---85.1 Voting by Correspondence
In the case provided for in Article 53(5)(b), the International Bureau
shall communicate the decisions of the Assembly (other than those
concerning the Assembly's own procedure) to the Contracting States which
were not represented and shall invite them to express in writing their
vote or abstention within a period of three months from the date of the
communication. If, at the expiration of that period, the number of
Contracting States having thus expressed their vote or abstention
attains the number of Contracting States which was lacking for attaining
the quorum in the session itself, such decisions shall take effect
provided that at the same time the required majority still obtains.
---SECTION---86. The Gazette
---SECTION---86.1 Contents and Form
The Gazette referred to in Article 55(4) shall contain:
for each published international application, the data specified by the
Administrative Instructions taken from the front page of the pamphlet
published under Rule 48, the drawing (if any) appearing on the said
front page, and the abstract,
the schedule of all fees payable to the receiving Offices, the
International Bureau, and the International Searching and Preliminary
Examining Authorities,
notices the publication of which is required under the Treaty or these
Regulations,
information, if and to the extent furnished to the International Bureau
by the designated or elected Offices, on the question whether the
requirements provided for in Articles 22 or 39 have been complied with
in respect of the international applications designating or electing the
Office concerned,
any other useful information prescribed by the Administrative
Instructions, provided access to such information is not prohibited
under the Treaty or these Regulations.
The information referred to in paragraph (a) shall be made available in
two forms:
as a Gazette in paper form, which shall contain the data specified by
the Administrative Instructions taken from the front page of the
pamphlet published under Rule 48 ("bibliographic data") and the matters
referred to in paragraph (a)(ii) to (v);
as a Gazette in electronic form, which shall contain the bibliographic
data, the drawing (if any) appearing on the said front page, and the
abstract.
---SECTION---86.2 Languages; Access to the Gazette
The Gazette in paper form shall be published in a bilingual (English and
French) edition. It shall also be published in editions in any other
language, provided the cost of publication is assured through sales or
subventions.
The Assembly may order the publication of the Gazette in languages other
than those referred to in paragraph (a).
The Gazette in electronic form referred to in Rule 86.1(b)(ii) shall be
made accessible, in English and French at the same time, by any
electronic ways and means specified in the Administrative Instructions.
The translations shall be ensured by the International Bureau in English
and French. The International Bureau shall ensure that the making
accessible of the Gazette in electronic form shall be effected on, or as
soon as possible after, the date of publication of the pamphlet
containing the international application.
---SECTION---86.3 Frequency
The frequency of publication of the Gazette shall be determined by the
Director General.
---SECTION---86.4 Sale
The subscription and other sale prices of the Gazette shall be
determined by the Director General.
---SECTION---86.5 Title
The title of the Gazette shall be determined by the Director General.
---SECTION---86.6 Further Details
Further details concerning the Gazette may be provided for in the
Administrative Instructions.
---SECTION---87. Copies of Publications
---SECTION---87.1 International Searching and Preliminary Examining
Authorities
Any International Searching or Preliminary Examining Authority shall
have the right to receive, free of charge, two copies of every published
international application, of the Gazette, and of any other publication
of general interest published by the International Bureau in connection
with the Treaty or these Regulations.
---SECTION---87.2 National Offices
Any national Office shall have the right to receive, free of charge, one
copy of every published international application, of the Gazette, and
of any other publication of general interest published by the
International Bureau in connection with the Treaty or these Regulations.
The publications referred to in paragraph (a) shall be sent on special
request. If any publication is available in more than one language, the
request shall specify the language or languages in which it is desired.
---SECTION---88. Amendment of the Regulations
---SECTION---88.1 Requirement of Unanimity
Amendment of the following provisions of these Regulations shall require
that no State having the right to vote in the Assembly vote against the
proposed amendment:
Rule 14.1 (Transmittal Fee),
[Deleted]
Rule 22.3 (Time Limit under Article 12(3)),
Rule 33 (Relevant Prior Art for International Search),
Rule 64 (Prior Art for International Preliminary Examination),
Rule 81 (Modification of Time Limits Fixed in the Treaty),
the present paragraph (i.e., Rule 88.1).
---SECTION---88.2 [Deleted]
---SECTION---88.3 Requirement of Absence of Opposition by Certain States
Amendment of the following provisions of these Regulations shall require
that no State referred to in Article 58(3)(a)(ii) and having the right
to vote in the Assembly vote against the proposed amendment:
Rule 34 (Minimum Documentation),
Rule 39 (Subject Matter under Article 17(2)(a)(i)),
Rule 67 (Subject Matter under Article 34(4)(a)(i)),
the present paragraph (i.e., Rule 88.3).
---SECTION---88.4 Procedure
Any proposal for amending a provision referred to in Rules 88.1 or 88.3
shall, if the proposal is to be decided upon in the Assembly, be
communicated to all Contracting States at least two months prior to the
opening of that session of the Assembly which is called upon to make a
decision on the proposal.
---SECTION---89. Administrative Instructions
---SECTION---89.1 Scope
The Administrative Instructions shall contain provisions:
concerning matters in respect of which these Regulations expressly refer
to such Instructions,
concerning any details in respect of the application of these
Regulations.
The Administrative Instructions shall not be in conflict with the
provisions of the Treaty, these Regulations, or any agreement concluded
by the International Bureau with an International Searching Authority,
or an International Preliminary Examining Authority.
---SECTION---89.2 Source
The Administrative Instructions shall be drawn up and promulgated by the
Director General after consultation with the receiving Offices and the
International Searching and Preliminary Examining Authorities.
They may be modified by the Director General after consultation with the
Offices or Authorities which have a direct interest in the proposed
modification.
The Assembly may invite the Director General to modify the
Administrative Instructions, and the Director General shall proceed
accordingly.
---SECTION---89.3 Publication and Entry into Force
The Administrative Instructions and any modification thereof shall be
published in the Gazette.
Each publication shall specify the date on which the published
provisions come into effect. The dates may be different for different
provisions, provided that no provision may be declared effective prior
to its publication in the Gazette.
 ---SECTION---Rules Concerning Several Chapters of the Treaty
---SECTION---89. Filing, Processing and Transmission of International
Applications and Other Documents in Electronic Form or by Electronic
Means
---SECTION---89.1
International Applications
International applications may, subject to paragraphs (b) to (e), be
filed and processed in electronic form or by electronic means, in
accordance with the Administrative Instructions, provided that any
receiving Office shall permit the filing of international applications
on paper.
These Regulations shall apply mutatis mutandis to international
applications filed in electronic form or by electronic means, subject to
any special provisions of the Administrative Instructions.
The Administrative Instructions shall set out the provisions and
requirements in relation to the filing and processing of international
applications filed, in whole or in part, in electronic form or by
electronic means, including but not limited to, provisions and
requirements in relation to acknowledgment of receipt, procedures
relating to the according of an international filing date, physical
requirements and the consequences of non-compliance with those
requirements, signature of documents, means of authentication of
documents and of the identity of parties communicating with Offices and
authorities, and the operation of Article 12 in relation to the home
copy, the record copy and the search copy, and may contain different
provisions and requirements in relation to international applications
filed in different languages.
No national Office or intergovernmental organization shall be obliged to
receive or process international applications filed in electronic form
or by electronic means unless it has notified the International Bureau
that it is prepared to do so in compliance with the applicable
provisions of the Administrative Instructions. The International Bureau
shall publish the information so notified in the Gazette.
No receiving Office which has given the International Bureau a
notification under paragraph (d) may refuse to process an international
application filed in electronic form or by electronic means which
complies with the applicable requirements under the Administrative
Instructions.
---SECTION---89.2 Other Documents
Rule 89bis.1 shall apply mutatis mutandis to other documents and
correspondence relating to international applications.
---SECTION---89.3 Transmittal Between Offices
Where the Treaty, these Regulations or the Administrative Instructions
provide for documents, notifications, communications or correspondence
to be transmitted by one national Office or intergovernmental
organization to another, such transmittal may, where so agreed by both
the sender and the receiver, be effected in electronic form or by
electronic means.
---SECTION---89. Copies in Electronic Form of Documents Filed on Paper
---SECTION---89.1 Copies in Electronic Form of Documents Filed on Paper
Any national Office or intergovernmental organization may provide that,
where an international application or other document relating to an
international application is filed on paper, a copy thereof in
electronic form, in accordance with the Administrative Instructions, may
be furnished by the applicant.
---SECTION---90. Agents and Common Representatives
---SECTION---90.1 Appointment as Agent
A person having the right to practice before the national Office with
which the international application is filed or, where the international
application is filed with the International Bureau, having the right to
practice in respect of the international application before the
International Bureau as receiving Office may be appointed by the
applicant as his agent to represent him before the receiving Office, the
International Bureau, the International Searching Authority, and the
International Preliminary Examining Authority.
A person having the right to practice before the national Office or
intergovernmental organization which acts as the International Searching
Authority may be appointed by the applicant as his agent to represent
him specifically before that Authority.
A person having the right to practice before the national Office or
intergovernmental organization which acts as the International
Preliminary Examining Authority may be appointed by the applicant as his
agent to represent him specifically before that Authority.
An agent appointed under paragraph (a) may, unless otherwise indicated
in the document appointing him, appoint one or more subagents to
represent the applicant as the applicant's agent:
before the receiving Office, the International Bureau, the International
Searching Authority, and the International Preliminary Examining
Authority, provided that any person so appointed as sub-agent has the
right to practice before the national Office with which the
international application was filed or to practice in respect of the
international application before the International Bureau as receiving
Office, as the case may be;
specifically before the International Searching Authority or the
International Preliminary Examining Authority, provided that any person
so appointed as sub-agent has the right to practice before the national
Office or intergovernmental organization which acts as the International
Searching Authority or International Preliminary Examining Authority, as
the case may be.
---SECTION---90.2 Common Representative
Where there are two or more applicants and the applicants have not
appointed an agent representing all of them (a "common agent") under
Rule 90.1(a), one of the applicants who is entitled to file an
international application according to Article 9 may be appointed by the
other applicants as their common representative.
Where there are two or more applicants and all the applicants have not
appointed a common agent under Rule 90.1(a) or a common representative
under paragraph (a), the applicant first named in the request who is
entitled according to Rule 19.1 to file an international application
with the receiving Office shall be considered to be the common
representative of all the applicants.
---SECTION---90.3 Effects of Acts by or in Relation to Agents and Common
Representatives
Any act by or in relation to an agent shall have the effect of an act by
or in relation to the applicant or applicants concerned.
If there are two or more agents representing the same applicant or
applicants, any act by or in relation to any of those agents shall have
the effect of an act by or in relation to the said applicant or
applicants.
Subject to Rule 90bis.5(a), second sentence, any act by or in relation
to a common representative or his agent shall have the effect of an act
by or in relation to all the applicants.
---SECTION---90.4 Manner of Appointment of Agent or Common
Representative
The appointment of an agent shall be effected by the applicant signing
the request, the demand, or a separate power of attorney. Where there
are two or more applicants, the appointment of a common agent or common
representative shall be effected by each applicant signing, at his
choice, the request, the demand or a separate power of attorney.
Subject to Rule 90.5, a separate power of attorney shall be submitted to
either the receiving Office or the International Bureau, provided that,
where a power of attorney appoints an agent under Rule 90.1(b), (c), or
(d)(ii), it shall be submitted to the International Searching Authority
or the International Preliminary Examining Authority, as the case may
be.
If the separate power of attorney is not signed, or if the required
separate power of attorney is missing, or if the indication of the name
or address of the appointed person does not comply with Rule 4.4, the
power of attorney shall be considered nonexistent unless the defect is
corrected.
---SECTION---90.5 General Power of Attorney
Appointment of an agent in relation to a particular international
application may be effected by referring in the request, the demand, or
a separate notice to an existing separate power of attorney appointing
that agent to represent the applicant in relation to any international
application which may be filed by that applicant (i.e., a "general power
of attorney"), provided that:
the general power of attorney has been deposited in accordance with
paragraph (b), and
a copy of it is attached to the request, the demand or the separate
notice, as the case may be; that copy need not be signed.
The general power of attorney shall be deposited with the receiving
Office, provided that, where it appoints an agent under Rule 90.1(b),
(c), or (d)(ii), it shall be deposited with the International Searching
Authority or the International Preliminary Examining Authority, as the
case may be.
---SECTION---90.6 Revocation and Renunciation
Any appointment of an agent or common representative may be revoked by
the persons who made the appointment or by their successors in title, in
which case any appointment of a sub-agent under Rule 90.1(d) by that
agent shall also be considered as revoked. Any appointment of a subagent
under Rule 90.1(d) may also be revoked by the applicant concerned.
The appointment of an agent under Rule 90.1(a) shall, unless otherwise
indicated, have the effect of revoking any earlier appointment of an
agent made under that Rule.
The appointment of a common representative shall, unless otherwise
indicated, have the effect of revoking any earlier appointment of a
common representative.
An agent or a common representative may renounce his appointment by a
notification signed by him.
Rule 90.4(b) and (c) shall apply, mutatis mutandis, to a document
containing a revocation or renunciation under this Rule.
---SECTION---90. Withdrawals
---SECTION---90.1
Withdrawal of the International Application
The applicant may withdraw the international application at any time
prior to the expiration of 20 months from the priority date or, where
Article 39(1) applies, prior to the expiration of 30 months from the
priority date.
Withdrawal shall be effective on receipt of a notice addressed by the
applicant, at his option, to the International Bureau, to the receiving
Office or, where Article 39(1) applies, to the International Preliminary
Examining Authority.
No international publication of the international application shall be
effected if the notice of withdrawal sent by the applicant or
transmitted by the receiving Office or the International Preliminary
Examining Authority reaches the International Bureau before the
technical preparations for international publication have been
completed.
---SECTION---90.2 Withdrawal of Designations
The applicant may withdraw the designation of any designated State at
any time prior to the expiration of 20 months from the priority date or,
where Article 39(1) applies in respect of that State, prior to the
expiration of 30 months from the priority date. Withdrawal of the
designation of a
State which has been elected shall entail withdrawal of the
corresponding election under Rule 90bis.4.
Where a State has been designated for the purpose of obtaining both a
national patent and a regional patent, withdrawal of the designation of
that State shall be taken to mean withdrawal of only the designation for
the purpose of obtaining a national patent, except where otherwise
indicated.
Withdrawal of the designations of all designated States shall be treated
as withdrawal of the international application under Rule 90bis.1.
Withdrawal shall be effective on receipt of a notice addressed by the
applicant, at his option, to the International Bureau, to the receiving
Office or, where Article 39(1) applies, to the International Preliminary
Examining Authority.
No international publication of the designation shall be effected if the
notice of withdrawal sent by the applicant or transmitted by the
receiving Office or the International Preliminary Examining Authority
reaches the International Bureau before the technical preparations for
international publication have been completed.
---SECTION---90.3 Withdrawal of Priority Claims
The applicant may withdraw a priority claim, made in the international
application under Article 8(1), at any time prior to the expiration of
20 months from the priority date or, where Article 39(1) applies, 30
months from the priority date.
Where the international application contains more than one priority
claim, the applicant may exercise the right provided for in paragraph
(a) in respect of one or more or all of the priority claims.
Withdrawal shall be effective on receipt of a notice addressed by the
applicant, at his option, to the International Bureau, to the receiving
Office or, where Article 39(1) applies, to the International Preliminary
Examining Authority.
Where the withdrawal of a priority claim causes a change in the priority
date, any time limit which is computed from the original priority date
and which has not already expired shall, subject to paragraph (e), be
computed from the priority date resulting from that change.
In the case of the time limit referred to in Article 21(2)(a), the
International Bureau may nevertheless proceed with the international
publication on the basis of the said time limit as computed from the
original priority date if the notice of withdrawal sent by the applicant
or transmitted by the receiving Office or the International Preliminary
Examining Authority reaches the International Bureau after the
completion of the technical preparations for international publication.
---SECTION---90.4 Withdrawal of the Demand, or of Elections
The applicant may withdraw the demand or any or all elections at any
time prior to the expiration of 30 months from the priority date.
Withdrawal shall be effective upon receipt of a notice addressed by the
applicant to the International Bureau.
If the notice of withdrawal is submitted by the applicant to the
International Preliminary Examining Authority, that Authority shall mark
the date of receipt on the notice and transmit it promptly to the
International Bureau. The notice shall be considered to have been
submitted to the International Bureau on the date marked.
---SECTION---90.5 Signature
Any notice of withdrawal referred to in Rules 90bis.1 to 90bis.4 shall,
subject to paragraph (b), be signed by the applicant. Where one of the
applicants is considered to be the common representative under Rule
90.2(b), such notice shall, subject to paragraph (b), require the
signature of all the applicants.
Where two or more applicants file an international application which
designates a State whose national law requires that national
applications be filed by the inventor and where an applicant for that
designated State who is an inventor could not be found or reached after
diligent effort, a notice of withdrawal referred to in Rules 90bis.1 to
90bis.4 need not be signed by that applicant ("the applicant concerned")
if it is signed by at least one applicant and
a statement is furnished explaining, to the satisfaction of the
receiving Office, the International Bureau, or the International
Preliminary Examining Authority, as the case may be, the lack of
signature of the applicant concerned, or
in the case of a notice of withdrawal referred to in Rule 90bis.1(b),
90bis.2(d), or 90bis.3(c), the applicant concerned did not sign the
request but the requirements of Rule 4.15(b) were complied with, or
in the case of a notice of withdrawal referred to in Rule 90bis.4(b),
the applicant concerned did not sign the demand but the requirements of
Rule 53.8(b) were complied with, or did not sign the later election
concerned but the requirements of Rule 56.1(c) were complied with.
---SECTION---90.6 Effect of Withdrawal
Withdrawal under Rule 90bis of the international application, any
designation, any priority claim, the demand or any election shall have
no effect in any designated or elected Office where the processing or
examination of the international application has already started under
Article 23(2) or Article 40(2).
Where the international application is withdrawn under Rule 90bis.1, the
international processing of the international application shall be
discontinued.
Where the demand or all elections are withdrawn under Rule 90bis.4, the
processing of the international application by the International
Preliminary Examining Authority shall be discontinued.
---SECTION---90.7 Faculty under Article 37(4)(b)
Any Contracting State whose national law provides for what is described
in the second part of Article 37(4)(b) shall notify the International
Bureau in writing.
The notification referred to in paragraph (a) shall be promptly
published by the International Bureau in the Gazette, and shall have
effect in respect of international applications filed more than one
month after the date of such publication.
---SECTION---91. Obvious Errors in Documents
---SECTION---91.1 Rectification
Subject to paragraphs (b) to (gquater), obvious errors in the
international application or other papers submitted by the applicant may
be rectified.
Errors which are due to the fact that something other than what was
obviously intended was written in the international application or other
paper shall be regarded as obvious errors. The rectification itself
shall be obvious in the sense that anyone would immediately realize that
nothing else could have been intended than what is offered as
rectification.
Omissions of entire elements or sheets of the international application,
even if clearly resulting from inattention, at the stage, for example,
of copying or assembling sheets, shall not be rectifiable.
Rectification may be made on the request of the applicant. The authority
having discovered what appears to be an obvious error may invite the
applicant to present a request for rectification as provided in
paragraphs (e) to (gquater). Rule 26.4 shall apply mutatis mutandis to
the manner in which rectifications shall be requested.
No rectification shall be made except with the express authorization:
of the receiving Office if the error is in the request,
of the International Searching Authority if the error is in any part of
the international application other than the request or in any paper
submitted to that Authority,
of the International Preliminary Examining Authority if the error is in
any part of the international application other than the request or in
any paper submitted to that Authority, and
of the International Bureau if the error is in any paper, other than the
international application or amendments or corrections to that
application, submitted to the International Bureau.
Any authority which authorizes or refuses any rectification shall
promptly notify the applicant of the authorization or refusal and, in
the case of refusal, of the reasons therefor. The authority which
authorizes a rectification shall promptly notify the International
Bureau accordingly. Where the authorization of the rectification was
refused, the International Bureau shall, upon request made by the
applicant prior to the time relevant under paragraph (gbis), (gter), or
(gquater) and subject to the payment of a special fee whose amount shall
be fixed in the Administrative Instructions, publish the request for
rectification together with the international application. A copy of the
request for rectification shall be included in the communication under
Article 20 where a copy of the pamphlet is not used for that
communication or where the international application is not published by
virtue of Article 64(3).
The authorization for rectification referred to in paragraph (e) shall,
subject to paragraphs (gbis), (gter), and (gquater), be effective:
where it is given by the receiving Office or by the International
Searching Authority, if its notification to the International Bureau
reaches that Bureau before the expiration of 17 months from the priority
date;
where it is given by the International Preliminary Examining Authority,
if it is given before the establishment of the international preliminary
examination report;
where it is given by the International Bureau, if it is given before the
expiration of 17 months from the priority date.
bisIf the notification made under paragraph (g)(i) reaches the
International Bureau, or if the rectification made under paragraph
(g)(iii) is authorized by the International Bureau, after the expiration
of 17 months from the priority date but before the technical
preparations for international publication have been completed, the
authorization shall be effective and the rectification shall be
incorporated in the said publication.
terWhere the applicant has asked the International Bureau to publish his
international application before the expiration of 18 months from the
priority date, any notification made under paragraph (g)(i) must reach,
and any rectification made under paragraph (g)(iii) must be authorized
by, the International Bureau, in order for the authorization to be
effective, not later than at the time of the completion of the technical
preparations for international publication.
quaterWhere the international application is not published by virtue of
Article 64(3), any notification made under paragraph (g)(i) must reach,
and any rectification made under paragraph (g)(iii) must be authorized
by, the International Bureau, in order for the authorization to be
effective, not later than at the time of the communication of the
international application under Article 20.
---SECTION---92. Correspondence
---SECTION---92.1 Need for Letter and for Signature
Any paper submitted by the applicant in the course of the international
procedure provided for in the Treaty and these Regulations, other than
the international application itself, shall, if not itself in the form
of a letter, be accompanied by a letter identifying the international
application to which it relates. The letter shall be signed by the
applicant.
If the requirements provided for in paragraph (a) are not complied with,
the applicant shall be informed as to the non-compliance and invited to
remedy the omission within a time limit fixed in the invitation. The
time limit so fixed shall be reasonable in the circumstances; even where
the time limit so fixed expires later than the time limit applying to
the furnishing of the paper (or even if the latter time limit has
already expired), it shall not be less than 10 days and not more than
one month from the mailing of the invitation. If the omission is
remedied within the time limit fixed in the invitation, the omission
shall be disregarded; otherwise, the applicant shall be informed that
the paper has been disregarded.
Where non-compliance with the requirements provided for in paragraph (a)
has been overlooked and the paper taken into account in the
international procedure, the non-compliance shall be disregarded.
---SECTION---92.2 Languages
Subject to Rules 55.1 and 66.9 and to paragraph (b) of this Rule, any
letter or document submitted by the applicant to the International
Searching Authority or the International Preliminary Examining Authority
shall be in the same language as the international application to which
it relates. However, where a translation of the international
application has been transmitted under Rule 23.1(b) or furnished under
Rule 55.2, the language of such translation shall be used.
Any letter from the applicant to the International Searching Authority
or the International Preliminary Examining Authority may be in a
language other than that of the international application, provided the
said Authority authorizes the use of such language.
[Deleted]
Any letter from the applicant to the International Bureau shall be in
English or French.
Any letter or notification from the International Bureau to the
applicant or to any national Office shall be in English or French.
---SECTION---92.3 Mailings by National Offices and Intergovernmental
Organizations
Any document or letter emanating from or transmitted by a national
Office or an intergovernmental organization and constituting an event
from the date of which any time limit under the Treaty or these
Regulations commences to run shall be sent by air mail, provided that
surface mail may be used instead of air mail in cases where surface mail
normally arrives at its destination within two days from mailing or
where air mail service is not available.
---SECTION---92.4 Reproductions
A document making up the international application, and any later
document or correspondence relating thereto, may, notwithstanding the
provisions of Rules 11.14 and 92.1(a), but subject to paragraph (h), be
transmitted, to the extent feasible, by telegraph, teleprinter,
facsimile machine or other like means of communication resulting in the
filing of a printed or written document.
A signature appearing on a document transmitted by facsimile machine
shall be recognized for the purposes of the Treaty and these Regulations
as a proper signature.
Where the applicant has attempted to transmit a document by any of the
means referred to in paragraph (a) but part or all of the received
document is illegible or part of the document is not received, the
document shall be treated as not having been received to the extent that
the received document is illegible or that the attempted transmission
failed. The national Office or intergovernmental organization shall
promptly notify the applicant accordingly.
Any national Office or intergovernmental organization may require that
the original of any document transmitted by any of the means referred to
in paragraph (a) and an accompanying letter identifying that earlier
transmission be furnished within 14 days from the date of the
transmission, provided that such requirement has been notified to the
International Bureau and the International Bureau has published
information thereon in the Gazette. The notification shall specify
whether such requirement concerns all or only certain kinds of
documents.
Where the applicant fails to furnish the original of a document as
required under paragraph (d), the national Office or intergovernmental
organization concerned may, depending on the kind of document
transmitted and having regard to Rules 11 and 26.3,
waive the requirement under paragraph (d), or
invite the applicant to furnish, within a time limit which shall be
reasonable under the circumstances and shall be fixed in the invitation,
the original of the document transmitted, provided that, where the
document transmitted contains defects, or shows that the original
contains defects, in respect of which the national Office or
intergovernmental organization may issue an invitation to correct, that
Office or organization may issue such an invitation in addition to, or
instead of, proceeding under item (i) or (ii).
Where the furnishing of the original of a document is not required under
paragraph (d) but the national Office or intergovernmental organization
considers it necessary to receive the original of the said document, it
may issue an invitation as provided for under paragraph (e)(ii).
If the applicant fails to comply with an invitation under paragraph
(e)(ii) or (f):
where the document concerned is the international application, the
latter shall be considered withdrawn and the receiving Office shall so
declare;
where the document concerned is a document subsequent to the
international application, the document shall be considered as not
having been submitted.
No national Office or intergovernmental organization shall be obliged to
receive any document submitted by a means referred to in paragraph (a)
unless it has notified the International Bureau that it is prepared to
receive such a document by that means and the International Bureau has
published information thereon in the Gazette.
---SECTION---92. Recording of Changes in Certain Indications in the
Request or the Demand
---SECTION---92.1 Recording of Changes by the International Bureau
The International Bureau shall, on the request of the applicant or the
receiving Office, record changes in the following indications appearing
in the request or demand:
person, name, residence, nationality, or address of the applicant,
person, name, or address of the agent, the common representative, or the
inventor.
The International Bureau shall not record the requested change if the
request for recording is received by it after the expiration:
of the time limit referred to in Article 22(1), where Article 39(1) is
not applicable with respect to any Contracting State;
of the time limit referred to in Article 39(1)(a), where Article 39(1)
is applicable with respect to at least one Contracting State.
---SECTION---93. Keeping of Records and Files
---SECTION---93.1 The Receiving Office
Each receiving Office shall keep the records relating to each
international application or purported international application,
including the home copy, for at least 10 years from the international
filing date or, where no international filing date is accorded, from the
date of receipt.
---SECTION---93.2 The International Bureau
The International Bureau shall keep the file, including the record copy,
of any international application for at least 30 years from the date of
receipt of the record copy.
The basic records of the International Bureau shall be kept
indefinitely.
---SECTION---93.3 The International Searching and Preliminary Examining
Authorities
Each International Searching Authority and each International
Preliminary Examining Authority shall keep the file of each
international application it receives for at least 10 years from the
international filing date.
---SECTION---93.4 Reproductions
For the purposes of this Rule, records, copies and files may be kept as
photographic, electronic or other reproductions, provided that the
reproductions are such that the obligations to keep records, copies and
files under Rules 93.1 to 93.3 are met.
---SECTION---94. Access to Files
---SECTION---94.1 Access to the File Held by the International Bureau
At the request of the applicant or any person authorized by the
applicant, the International Bureau shall furnish, subject to
reimbursement of the cost of the service, copies of any document
contained in its file.
The International Bureau shall, at the request of any person but not
before the international publication of the international application
and subject to Article 38, furnish, subject to the reimbursement of the
cost of the service, copies of any document contained in its file.
---SECTION---94.2 Access to the File Held by the International
Preliminary Examining Authority
At the request of the applicant or any person authorized by the
applicant, or, once the international preliminary examination report has
been established, of any elected Office, the International Preliminary
Examining Authority shall furnish, subject to reimbursement of the cost
of the service, copies of any document contained in its file.
---SECTION---94.3 Access to the File Held by the Elected Office
If the national law applicable by any elected Office allows access by
third parties to the file of a national application, that Office may
allow access to any documents relating to the international application,
including any document relating to the international preliminary
examination, contained in its file, to the same extent as provided by
the national law for access to the file of a national application, but
not before the international publication of the international
application. The furnishing of copies of documents may be subject to
reimbursement of the cost of the service.
---SECTION---95. Availability of Translations
---SECTION---95.1 Furnishing of Copies of Translations
At the request of the International Bureau, any designated or elected
Office shall provide it with a copy of the translation of the
international application furnished by the applicant to that Office.
The International Bureau may, upon request and subject to reimbursement
of the cost, furnish to any person copies of the translations received
under paragraph (a).
---SECTION---96. The Schedule of Fees
---SECTION---96.1 Schedule of Fees Annexed to Regulations
The amounts of the fees referred to in Rules 15 and 57 shall be
expressed in Swiss currency. They shall be specified in the Schedule of
Fees which is annexed to these Regulations and forms an integral part
thereof.
---SECTION---SCHEDULE OF FEES
Fees
Amounts
1. Basic Fee: (Rule 15.2(a))
(a) if the international application contains not more than 30 sheets
650 1 Swiss francs
(b) in the international application contains more than 30 sheets
650 1 Swiss francs plus 15 Swiss francs for each sheet in excess of 30
sheets
2. Designation Fee: (Rule 15.2(a))
(a) for designations made under Rule 4.9(a)
150 1 Swiss francs per designation, provided that any designation made
under Rule 4.9(a) in excess of 11 shall not require the payment of a
designation fee
(b) for designations made under Rule 4.9(b) and confirmed under Rule
4.9(c)
150 1 Swiss francs per designation
3. Handling Fee: (Rule 57.2(a))
233 Swiss francs
All fees are reduced by 75% for international applications filed by any
applicant who is a natural person and who is a national of and resides
in a State whose per capita national income is below US $3,000
(according to the average per capita national income figures used by the
United Nations for determining its scale of assessments for the
contributions payable for the years 1995, 1996 and 1997); if there are
several applicants, each must satisfy those criteria.
______________ 1. Editor's Note : The amount of the basic fee and the
designation fee as shown apply only to international applications filed
on or after January 1, 1998. The amounts previously in force (basic fee:
762 Swiss francs, designation fee: 185 Swiss francs) remain applicable
for international applications filed before that date.
---SECTION---PCT INDEX-LEGEND
Acronym/Term
Meaning
Art.
Patent Cooperation Treaty Article
A.I.
Patent Cooperation Treaty Administrative Instruction
CFR
U.S. Code of Federal Regulations
DO
Designated Office
EO
Elected Office
HC
Home Copy of International Application
IA
International Application
IB
International Bureau
IPE
International Preliminary Examination
IPEA
International Preliminary Examining Authority
IPER
International Preliminary Examination Report
Ipub
International Publication
IS
International Search
ISA
International Searching Authority
ISR
International Search Report
PCT
Patent Cooperation Treaty
PD
Priority Date of Earlier Filed National Application
RC
Record Copy of International Application
RO
Receiving Office
Rule
Patent Cooperation Treaty Rule
SC
Search Copy of International Application
U.S.C.
United States Code
USPTO
United States Patent and Trademark Office
---SECTION---A
Abandonment of IA as to USPTO  37 CFR 1.494(g) 37 CFR 1.495(h)
Abbreviated expressions used in IA
Meaning of A.I. 101 37 CFR 1.401
Codes/Indications A.I. 115
Abstract Rule 8
Amendment by ISA in response to applicant's comments A.I. 515
Missing or defective Rule 38
U.S. Rule regarding  37 CFR 1.438
Absence of quorum in assembly, voting Rule 25
Access of files Rule 94
Additional (new) matter in request, deletion of A.I. 303
Addresses of applicants, inventors and agents Rule 4.4
Administrative instructions - scope, source, entry into force Rule 89
Administrative provisions of the PCT
Assembly Art. 53
Committee for technical cooperation Art. 56
Executive committee Art. 54
Finances Art. 57
International bureau Art. 55
Regulations Art. 58
Agent
See also Common representative
See also Representative
"Applicant" encompasses the term "agent" in certain situations Rule 2.1
Appointment of Rule 90.1
Changes, recording of by IB Rule 93 bis .1
In general Rule 2.2 Rule 4.7 Rule 90
Indications concerning, In demand Rule 53.2 Rule 53.5
In request Art. 4 Rule 4.1 Rule 4.7
National law requirements Art. 27 Rule 51 bis .1b
Notice of change of agent sent to IB A.I. 328
Agent-Continued
Notice of change of agent sent from IB to ISA and IPEA A.I. 425
Notice of change of agent sent from ISA to IB.  A.I. 512
Notice of change of agent sent from IPEA to IB A.I. 608
Right of agent to practice before international authorities Art. 49
Amendment
Copy of amendment under Article 19 for IPEA  . . Rule 62
Copy of amendment under Article 19 sent (communicated) to DO Art. 20
Rule 47.1(b)
Definition of, before IPEA Rule 66.5
Form of, before IPEA Rule 66.8
Language of, before IPEA Rule 66.9
Processing of Article 19 amendment by IB A.I. 417
Processing of by IPEA A.I. 602
Of abstract by ISA A.I. 515
Of claims, description, and drawing before DO Rule 52
Of claims before IB Art. 19 Rule 46
Of claims before IPEA Art. 34 37 CFR 1.485
Of claims before EO Art. 41 Rule 78
Of claims Numbering and identification in amendment A.I. 205
Of description before IPEA Art. 34 37 CFR 1.485
Of description before EO Art. 41 Rule 78
Of drawing before EO Art. 41 Rule 78
Of drawing before IPEA Art. 34 37 CFR 1.485
Of certain PCT provisions Art. 61
See also Revision of PCT
Of PCT regulations Rule 88 Art. 58
Sheet(s) - processing of by RO A.I. 309
Applicant
Different applicants for different designated states Rule 4.5 A.I. 203
Entitled to make a demand Art. 31(2) Rule 54
First named used to identify IA A.I. 105
Improper, in U.S. national stage  35 U.S.C. 373
In general Art. 9 Rule 2.1 Rule 4.5 Rule 18
Recording by IB of changes regarding applicant  . .Rule 92 bis
U.S. regulation regarding  37 CFR 1.421
Application - See International application
Assembly of PCT contracting states Art 53
Executive committee established by Art. 54
Assignment
Of IA, possible requirement to furnish to a national Office Rule 51 bis
.1
Recording by USPTO if U.S. is a designated country in the IA  . . . . .
.37 CFR 3.21
Authorized officer Rule 43.8 Rule 70.14 A.I. 514 A.I. 612
Availability of translation of IA to IB Rule 95
---SECTION---B
Biological material invention,  Rule 13 bis
Deposited, Indications as to A.I. 209
See also
Nucleotide or amino acid sequence listing
Sequence listing
---SECTION---C
Calendar (Gregorian to express dates)  Rule 79
See also Dates
Changes in person, name or address of applicants and inventors (U.S.
requirements)  37 CFR 1.472
Check list (In request)
Re documents filed with IA Rule 3.3
Necessary annotations by RO A.I. 313
Citations (proper) of documents in the ISR A.I. 503
Claims
Amendment before EO Art. 41
Amendment before IB Art. 19 Rule 46
Amendment before IPEA Art. 34 Rule 66.4 Rule 66.8
In general Art. 6 Rule 6
Numbering and identification upon amendment A.I. 205
U.S. regulation regarding  37 CFR 1.436
Classification of IA subject matter A.I. 504
Committee established by assembly of states Art. 56
Common representative Rule 2.2 bis Rule 90.2
Change of A.I. 106
Notice of change sent from RO to IB A.I. 328
Notice of change sent from IB to RO, ISA, & IPEA A.I. 425
Notice of change sent by ISA to IB A.I. 512
Notice of change sent by IPEA to IB A.I. 608
Communication
From IB, of IA, ISR, or any Article 17(2)(a) determination and
indication that no search will be established, to each DO Art. 20 Rule
47
Communication transmitted electronically A.I. 114
Competent IPEA Rule 59
Competent ISA Art. 16 Rule 35
Competent RO Art. 11(1)(i) Rule 19
Confidential nature
Of IA Art. 30
Of IPE Art. 38
Confirmation copy of facsimile transmission (N/A in U.S.)  Rule 92.4
A.I. 331
Confirmation by RO of designation necessary annotations by RO Rule
4.9(b) Rule 4.9(c) A.I. 315
Continuation or continuation-in-part, IA treated as in any designated
state Rule 4.14
Copies
In electronic form of documents filed on paper Rule 89 ter
Making home copy and search copy from original IA (record copy) by RO
Rule 21
Identifying RC, SC, and HC by RO A.I. 305
Correction of request by RO ex officio A.I. 327
Corrections and amendments during international processing.  Rule 26.4
Rule 46 37 CFR 1.471
Correspondence
For applicant, to whom sent A.I. 108
In general Rule 92
---SECTION---D
Dates (using Gregorian calendar)  Rule 79
Format of, in IA A.I. 110
Deadlines ( See also Time limit)
Applicable to Applicants
(1) Before the RO
After which applicant can request RO to certify copy of IA as identical
with IA as filed and applicant can send certified copy to IB (14 months
from PD)  Rule 22.1
To correct Article 14(1) defects in IA Art. 14(1)b
(e.g., IA is not properly signed, does not contain proper indications re
applicant, has no title, has no abstract, does not comply with physical
requirements in Rule 11)  Rule 26.2
Extensions of time available Rule 26.2
Sanction: RO declares IA withdrawn under Rule 29.
To correct defects under Article 11 to obtain an international filing
date Art. 11(2) Rule 20.6
Sanctions: International filing date given IA when Article 11(1) defect
is corrected in time set by RO; but RO declares IA withdrawn if not
corrected within time set.
To provide missing drawings (30 days)  Art. 14(2) Rule 26.2 37 CFR 1.437
Deadlines (See also Time limit)-Continued
Extensions of time available Rule 26.2
Sanction: Drawings considered nonexistent.
To pay deficiencies in transmittal fee (Rule 14), international basic
fee (Rule 15.1(i)), search fee (Rule 16), late payment fee (Rule 16 bis
.2)  Art. 14(3) Rule 16 bis .1 37 CFR 1.431
Extension of time - One month set by RO when RO finds deficiency Rule 16
bis .1
Sanction: RO declares IA withdrawn under Rule 29.
To pay deficiencies in the transmittal fee, basic fee (incl. suppl. for
over 30 pages) or search fee when RO finds discrepancies before fees are
due A.I. 304(b)
To pay deficiencies in designation fees Art. 14(3) Rule 26.2 37 CFR
1.432
Extensions of time available Rule 26.2
Sanction: Appropriate designations withdrawn.
To pay deficiencies in designation fees when RO finds discrepancies
before fees are due A.I. 304(b) Rule 30
(2) Before the ISA
To amend claims under Article 19 before IB within two months of date of
transmittal of ISR to IB, or 16 months from priority date Rule 46.1
To amend claims under Article 19 - latest of 2 months from date ISR sent
to IB and Applicant or 16 months from PD or if amendment reaches IB
before completion of technical preparations for Ipub Rule 46.1
To submit priority document, unless already filed with RO together with
IA, to IB or RO not later than 16 months after PD, or where DO processes
IA at any time on express request of applicant (Art. 23(2)), not later
than date processing or examination is requested Rule 17.1
Deadlines (See also Time limit)-Continued
Where lack of unity of invention is held, time limit of between 15 and
45 days set to pay additional fees to have additional inventions
searched Art. 17(3) Rule 40.3, 37 CFR 1.476
(3) Before the IPEA
To amend claims, description, or drawings under Article 34 before the
IPE Rule 66 37 CFR 1.485
To amend claims, description, or drawings under Article 34 before the
IPEA at time of filing demand or, subject to Rule 66.4 bis , until IPER
is established Rule 66.1, Rule 66.4 bis
To correct defects in demand upon invitation within a time limit not
less than 1 month and which may be extended by IPEA before a decision is
made Rule 60.1
To correct later elections not complying with Rule 56 within a time
limit not less than 1 month and which may be extended by IPEA before a
decision is made Rule 60.2
To provide translation of priority document upon invitation by IPEA
within 2 months of invitation date Rule 66.7
To respond (including Article 34 amendments) to a written opinion within
time set therein (not less than 1 month)  Rule 66.2
Rule 66.2 permits response time set in written opinion to be from 1
month to 3 months (plus extensions)  Rule 66.2
37 CFR 1.484 permits reply time set in written opinion to be from 1 to 2
months with no extensions possible  37 CFR 1.484
Where lack of unity of invention is held by IPEA, time limit of between
1 and 2 months set to pay additional fees to have additional inventions
searched Art. 34(3) Rule 68.2 37 CFR 1.488
Deadlines (See also Time limit)-Continued
When filing a demand for IPE, must pay handling fee at time demand filed
or within the 1 month deadline set when IPEA invites applicant to pay
the fee Rule 57
Sanction: IPEA considers IA withdrawn.
When seeking IPE, preliminary examination fee must be paid at time
demand filed or within the 1 month deadline set when IPEA invites
applicant to pay the fee Rule 58 bis
Sanction: IPEA considers IA withdrawn.
(4) Before the DO/EO
To enter the National Stage under 35 U.S.C. 371 where U.S. is DO  37 CFR
1.494
To enter the National Stage under 35 U.S.C. 371 where the U.S. is EO  37
CFR 1.495
To amend claims, description, or drawing under Article 28 before the DO
Rule 52
For amendment of claims, description, or drawings before EO (varies)
Rule 78
Applicable to the RO
For RO to check certain elements (request is signed, has indications re
applicant, has an abstract, meets physical requirements of Rule 11) of
IA Rule 26.1
For RO to transmit record copy to IB (normally 13 months or earlier,
unless failure to obtain national security clearance obtained)  Rule 22
For RO to transmit search copy to ISA Rule 23
Applicable to the IB
IB shall promptly notify each EO of receipt and date of receipt, of any
later election, and will be sent along with the Article 20 communication
(of the IA, ISR, Article 19 amendments), if possible Rule 61.2
For IB to notify applicant, RO, ISA (unless it declined to be notified)
and DO (if it asked to be notified) of fact and date receipt of record
copy of IA Rule 24
Deadlines (See also Time limit)-Continued
International publication of IA promptly after expiration of 18 months
from PD, unless earlier publication requested under Articles 21(2)(b)
and 64(3)(c)(i)  Art. 21 Rule 48
Applicable to the ISA
For ISA to establish the ISR (or declaration that the subject matter is
not required to be searched or is unsearchable as per Article 17(2)) -
the later of 3 months from date of receipt of SC by ISA or 9 months from
PD Rule 42
Applicable to the IPEA
For IPEA to establish the IPER (28 months from PD if demand was filed
prior to expiration of 19 months from PD; or 9 months from start of IPE
if demand filed after expiration of 19 months from PD Rule 69.2
For IPEA to start IPE (may start as early as international search but no
later than 20 months from PD)  Rule 69.1
IPEA shall promptly notify applicant of receipt of the demand Rule 61.1
Deceased inventor (U.S. Rule)  37 CFR 1.422
Defects
Correction
Processing by IB A.I. 413
Of indications re applicant's residence or nationality A.I. 329
Of request, ex officio , by RO A.I. 327
Of obvious defects, by RO A.I. 325
IA held withdrawn because of failure to correct certain defects Rule
29.1
In abstract Rule 38
In certain original documents submitted to national Office Rule 92.4
In demand Rule 60.1
In drawings furnished to DO under Rule 49.5, possibly permitting
correction by invitation Rule 49.5(g)
In later election Rule 60.2
In power of attorney - consequences Rule 90.4(c)
In the title Rule 37
Defects-Continued
Invitation to correct Article 14(1)(b) defects Rule 26.3 bis
Invitation to correct Article 3(4)(i) defects Rule 26.3 ter
Mentioned in IPER Rule 90.12
Noted by IB Rule 28
Definition of PCT terms Art. 2 37 CFR 1.401
Delays in meeting time limits, excuse of Rule 82 37 CFR 1.468
Demand for international preliminary examination (IPE)
Applicant entitled to make demand Rule 54
Copy sent by IPEA to IB Rule 61.1
Defects in Rule 60.1
Evidence of right to file demand A.I. 614
In general Art. 31 Rule 53
Not considered to have been made: Notification by IB to EOs A.I. 418
Notice sent by IPEA re filing after 19 months from PD A.I. 601
Publication of notice of demand filed prior to 19 months from PD Rule
61.4
Recording by IB of changes:  Rule 92 bis
Notifications regarding this sent by IB A.I. 422
U.S. regulation regarding  37 CFR 1.480
Deposited microorganism
Indications on separate sheet Rule 13 bis A.I. 209
Description
Amendment before IPEA Art. 34
Amendment before EO Art. 41 Rule 78
Headings for parts of A.I. 204
In general Art. 5 Rule 5
Of nucleotide/amino acid sequence Rule 5.2 Rule 13 ter 37 CFR 1.821
U.S. regulation regarding  37 CFR 1.435
Design - not mentioned as subject matter for IA Art. 2(i) A.I. 202
Designated Office (DO)
Amendment of claims, description, and drawings before DO Art. 28
Communication of IA, ISR, or declaration under Article 17(2)(a)  Art. 20
Rule 47
Notification by DO to IB of number of IAs that did not enter the
national stage timely A.I. 112
Opportunity to correct IA before DO Art. 26
Review by Art. 25
U.S. regulation regarding  37 CFR 1.414
Designated states
Possible loss of effect in Art. 24
Withdrawal of/held withdrawn Art. 24 Rule 29
Designation of States
Cancellation, ex officio , by IB A.I. 423
Cancellation of designations of noncontracting States by RO, ex officio
A.I. 318
Confirmation of precautionary, after expiration of 15 months from PD-
considered withdrawn Rule 4.9(b)
Confirmation of precautionary, before expiration of 15 months from PD
Rule 4.9(b) Rule 4.9(c) 37 CFR 1.432(c)
Confirmation of precautionary, notification by RO to IB and applicant
A.I. 315
Considered withdrawn Rule 29.1(b)
Notice of designation sent by IB to DO Rule 24.2(b) A.I. 426
Publication of notice of confirmation of precautionary designation A.I.
427
U.S. regulation regarding  37 CFR 1.432
Designation fee Rule 15
U.S. regulation regarding payment of  37 CFR 1.432
Designation fee calculation A.I. 210
Diagrams, considered as drawings Rule 7.1
Disputes Art. 59
Docket reference (applicant's IA file reference)  A.I. 109
Documents cited in ISR A.I. 503
Documents filed with IA
Manner of marking necessary annotations in checklist sent to IB by RO
with RC of IA A.I. 313
Drawing(s)
Amendment of, before DO Art. 34
Amendment of, before EO Art. 41
Flowsheets and diagrams considered as Rule 7.1
In general Art. 7 Rule 7
Invitation by RO to correct informal drawings Rule 26
Missing - RO procedure concerning A.I. 310
Time set to file where not necessary to understanding of invention Rule
7.2
Referred to, but not included in IA Art. 14(2)
U.S. regulation regarding  37 CFR 1.437
---SECTION---E
Elected Office (EO)
Notification to IB of number of applications filed after national stage
deadline A.I. 112
U.S. as  37 CFR 1.414
Election(s)
Cancellation of ex officio by IB A.I. 423(b)
Cancellation of ex officio by IPEA A.I. 606
Later than demand Rule 56
Defects in later elections Rule 60.2
Not considered made
Notification by IB to EO A.I. 418
Indication of in demand by IPEA A.I. 606 bis
Errors
By RO or IB, rectification of Rule 82 ter
Correction of obvious
Ex officio by RO A.I. 325 A.I. 327
Processing by IB A.I. 413
Authorization of by IPEA A.I. 607
In documents Rule 91
In request, ex officio , by RO A.I. 327
Ex Officio correction of request by RO A.I. 327
Expenses of delegations Rule 84
Expressions and language, not to be used Rule 9
See also Language prohibited
Correction of A.I. 501
Extension of time
to pay basic fee, search fee, designation
fee, and transmittal fee - under Rules 14, 15, and 16  Rule 16 bis
Before IPEA Rule 58 bis
---SECTION---F
Fee(s)
Additional fees per invention where lack of unity is found by ISA Art.
17(3) Rule 40
IPEA Art. 34(3), Rule 68
Application of money received by RO in certain cases A.I. 321
Associated with request
Transmittal fee Rule 14
U.S. rule  37 CFR 1.445(a)(1)
PCT search fee Rule 16
No prior U.S. application  37 CFR 1.445 (a)(2)(ii)
Prior U.S. national application  37 CFR 1.445 (a)(2)(i)
International fee Rule 15
Basic fee (first thirty pages)  Rule 15
Basic supplemental fee (per page over 30)  Rule 15
Designation fee per country (maximum fee is ten times single country
designation fee)  Rule 96 37 CFR 1.432
U.S. regulation regarding.  37 CFR 1.445
(Where lack of unity of invention held by ISA, there is a fee for each
additional claimed invention)  Art. 17(3), Rule 40
Associated with demand
Handling fee Rule 57
(Where lack of unity of invention held by IPEA, there is a fee for each
additional claimed invention)  Art. 34(3) Rule 68
Preliminary examination fee Rule 58
ISA was U.S.  37 CFR 1. 482(a)(2)
Fee(s)-Continued
ISA was not U.S  37 CFR 1.482(a)(3)
U.S. regulation regarding  37 CFR 1.482
Confirmation of precautionary designation fee Rule 4.9(c) Rule 15.5,
Rule 96 37 CFR 1.445(a)(4)
Designation fee Rule 15
Calculation for national and regional patents A.I. 210
Extension of time to pay Rule 16 bis
U.S. regulation regarding payment of  37 CFR 1.432
Extension of time to pay basic fee, search fee, designation fee, and
transmittal fee - under Rules 14, 15, and 16  Rule 16 bis
Before IPEA Rule 58 bis
Handling fee (re demand)  Rule 57
IA filing, processing, and search fees, U.S. regulation  37 CFR 1.445
International fee (basic and designation)  Rule 15
IS fee Rule 16 37 CFR 1.445(a)(2)
Invitation by RO to pay before date due A.I. 304
Invitation by RO to request search fee refund.  A.I. 322
Invitation to pay fees A.I. 320
Invitation to request refund of fees before IPEA A.I. 613
Lack of payment of Rule 27
Late payment fee re basic fee, search fee, designation fee, and
transmittal fee - under Rules 14, 15, and 16  Rule 16 bis .2
National stage fee to DO Art. 22
U.S. statute regarding  35 U.S.C. 376
U.S. regulation regarding  37 CFR 1.492
National stage fee to EO Art. 39
U.S. statute regarding  35 U.S.C. 376
U.S. regulation regarding  37 CFR 1.492
Preliminary examination fee Rule 58
Refund of IA filing and processing fees Rule 15.6 Rule 16.2 Rule 40.2(c)
U.S. regulation regarding  37 CFR 1.446
Schedule of fees Rule 96
Special fees for publication, payable to the IB A.I. 113
Fee(s)-Continued
Surcharge for filing oath or declaration later than 20 months from PD
under 37 CFR 1.494(c) or later than 30 months from PD under 37 CFR
1.495(c)  37 CFR 1.492(e)
Transmittal fee Rule 14 37 CFR 1.445(a)(1)
File (IA) reference (IA docket no. of applicant)  A.I. 109
On IA sheets Rule 11.6(f)
Filing date
Certificate of U.S. Postal Service Express Mail Rule 20.1 37 CFR 1.10
Of IA Art. 11, 35 U.S.C. 363 35 U.S.C. 371 35 U.S.C 102(e) 37 CFR 1.496
Finances (budget) of union of PCT states Art. 57
Flowsheets, considered as drawings Rule 7.1
Form(s)
Computer generated A.I. 102 (h) & (i)
Request Rule 3.7
Demand Rule 53.1(a)
PCT A.I. Annex A
PCT, use of A.I. 102
---SECTION---G
Gazette, PCT Rule 86, A.I. 407 A.I. Annexes D and E
Free copies of, to ISA, IPEA, national Office Rule 87
---SECTION---H
Handling fee for IPE (re demand)  Rule 57
Home Copy (HC) of IA, preparation of Rule 21 A.I. 305
---SECTION---I
Identification
Of DO A.I. 107
Of EO A.I. 107
Of IA having two or more applicants A.I. 105
Of IA file (docket reference by applicant)  A.I. 109
Of international authorities A.I. 107
Indications (two letter codes identifying countries and other entities)
A.I. 115
Industrial applicability Art. 34(4), Art. 35(2) Rule 70.6(b), Rule 66.2
Intellectual property protected under PCT Art. 2(i), A.I. 202
International application (IA)
Application no.  A.I. 307
Indelibly marked on each sheet of IA A.I. 308
Arrangement of contents/elements A.I. 207
Availability of, to DO Art. 13
Certain defects in Art. 14
Checking by RO and correcting parts of before RO Rule 26
Communicated (sent) to each DO by IB Art. 20 Rule 47
Confidential nature of IA Rule 30
Considered withdrawn Rule 29 Rule 30 Rule 49
Copy of IA sent from IB to IPEA A.I. 420
Copy, translation and national fee to EO Art. 39
Effect of IA designation of U.S  35 U.S.C. 364
Filing date and effects of Art. 11
Filing in electronic form  89 bis
In general Art. 3
Ipub number of A.I. 404
Language of Rule 12
Numbering - three sets: one for request, another for description, and a
third for drawings A.I. 207
Physical requirements of Rule 11 37 CFR 1.433
Purported IA, notification of receipt of, by RO A.I. 301
Requirements, U.S. regulation regarding  37 CFR 1.431
Numbering system of IA.  .A.I. 307
Marking each sheet of IA with A.I. 308
Copy of notification of IA number and IA filing and PD(s) sent to IB
A.I. 324
Sheet numbering (separate sets for request, description, and drawings)
A.I. 207
For Ipub A.I. 410
Sheet(s)
Cancellation, substitution, addition, renumbering by RO A.I. 311
Translation of IA sent by applicant to DO Art. 22
Transmittal of IA to IB and ISA Art. 12
International application (IA)-Continued
Treated as continuation or continuation-in-part Rule 4.14
Withdrawn IA, U.S. statute regarding  35 U.S.C. 366
International Bureau (IB)
In general Art. 55
Patent information services provided by Art. 50
U.S. regulation regarding  37 CFR 1.415
International fee Rule 15
International preliminary examination (IPE)
Conduct of, in U.S.  37 CFR 1.484
Confidential nature of Art. 38
Copy, translation and fee for, furnished to EO Art. 39
Delay to enter national stage Art. 39(1)(a)
Demand for Art. 31
Withdrawal of Art. 37
In general Art. 33
IPEA Art. 32
IPER Art. 35 Rule 70
Communication of IPER Rule 73
Guidelines for explanations in A.I. 604
Method of identifying documents cited in A.I. 611
Start of, and time limit for Rule 69
Transmittal, translation, and communication of IPER to applicant and IB
Art. 36 Rule 71
Translation of Rule 72
Translation of annexes and transmittal Rule 74
Inventive step Rule 65 Art. 33(3)
Prior art for Rule 64
Use of same file for ISA and IPEA A.I. 604
Written opinion by IPEA Art. 34 Rule 66
Amendment of claims, description, and drawing under Article 34 in
response to Art. 34
International preliminary examination authority (IPEA)
Competent IPEA Rule 59
In general Art. 32
Lack of unity determination Rule 68
Minimum requirements for Rule 63
Nonexaminable subject matter Rule 67
International preliminary examination authority (IPEA)-Continued
Notification by IPEA of date of receipt of demand and of election to IB
and applicant Rule 61.1
Procedure before Art. 34 Rule 66
U.S. statute regarding  35 U.S.C. 362
U.S. regulation regarding  37 CFR 1.416
International publication
By IB of IA Art. 21, Rule 48
Copies of publications to ISA, IPEA, national offices Rule 87
Effect of, in United States  35 U.S.C. 374
Number A.I. 404
Of IA, effects of Art. 29
Publication number (WO _________)  A.I. 404
International search (IS)  Art. 15
Time limit for accomplishing Rule 42
International searching authority (ISA)  Art. 16
Competent Rule 35
Minimum requirements Rule 36
Procedure before Art. 17
U.S. statute regarding  35 U.S.C. 362
U.S. regulation regarding  37 CFR 1.413
International search fee Rule 16
International search report (ISR)
Communicated (sent) from IB to DO Art. 20 Rule 47
Copy of IA provided by IB for ISA A.I. 420
Indication of citations of relevance in A.I. 505
Indications of special categories of documents cited in A.I. 507
Indication of claims to which documents are relevant A.I. 508
In general Art. 18
Method of identifying documents cited in A.I. 503
Subject matter not required to be searched Rule 39
Time limit for establishing Rule 42
Transmittal of, from ISA to IB Rule 44
Translation of ISR Rule 45
International-type search Rule 41.1
Inventive step Rule 65, Art. 33(3)
Inventions
Protection available under PCT Art. 43 Art. 44, A.I. 202
Indications of kinds of protection Rule 4.12
Inventor(s)
Correction of Rule 92 bis
Deceased  37 CFR 1.422
Filing of IA designating U.S. by someone other than the inventor(s)  37
CFR 1.425
Incapacitated or insane  37 CFR 1.423
Joint  37 CFR 1.424
---SECTION---L
Lack of unity of invention
Examples A.I. Annex B
In IPE Rule 68, 37 CFR 1.488 37 CFR 1.489
In IS Rule 40, 37 CFR 1.475 37 CFR 1.476 37 CFR 1.477
In national stage  37 CFR 1.499
Unity of invention in IA, in general Rule 13
Examples A.I. Annex B
Language
Of correspondence by applicant to IB and RO A.I. 104
Of demand for IPE Rule 55
Of forms used by international authorities A.I. 103
Of IA Art. 11(1)(ii) Rule 12
Of Ipub of IA Rule 48.3
Of IPER Rule 72
Of ISA Rule 43.4
Of translation of IA Rule 49.2
Prohibited expressions Rule 9
Correction of A.I. 501
Later elections (elections submitted after the demand)
Defects in Rule 60.2
In general Rule 56
Publication of notice of later elections by IB in Gazette A.I. 428
Later indication of priority application number by RO to IB A.I. 319
Later submitted sheets, RO procedure A.I. 309
Loss of effect of IA in designated states Article 24
(Same consequences as withdrawal of IA)
---SECTION---M
Mail service
Irregularities in Rule 82
Microbiological inventions
See Biological material inventions Nucleotide/amino acid sequence
listings
Minimum documentation in ISA Art. 15(4) Rule 34
Missing drawings, RO procedure Art. 14(2) Rule 26.6 A.I. 310
---SECTION---N
National Office
Right to practice before Art. 49 Rule 83, Rule 90.1
National stage
Amendment of claims, description, and drawings before DOs Art. 28, Rule
52
Before EOs Art. 41, Rule 78
Certain national requirements allowed under Article 27(1),(2),(6),(7)
Art. 27 Rule 51 bis
Copy of IA, translation and fee to DO Art. 22
Delaying of national examination and other processing Art. 23 Art. 40
Protection available
Other than patent protection Art. 43
As well as patent protection Art. 44
Requirements Art. 27
Results of national examination in different countries Art. 42
United States
Commencement in  35 U.S.C. 371
Entering U.S. as DO  37 CFR 1.494
Entering U.S. as EO  37 CFR 1.495
Entry into U.S., time of  37 CFR 1.491
Examination in  37 CFR 1.496
Improper applicant  35 U.S.C. 373
National U.S. patent issued on IA, effect  35 U.S.C. 375
National security prescriptions Art. 27(8)
Delay or prevention of transmittal of RC to IB A.I. 330
Nationality
Qualifications Rule 18.2
In demand Rule 54.1
Recording of changes to by the IB Rule 92 bis .1
Nationality or residence of applicant, correction of A.I. 329, A.I. 614
New (additional) matter
In request, deletion of ex offici o A.I. 303
Nomenclature - See also Terminology and signs Rule 10
Notification by IPEA of date of receipt of demand to IB and applicant
Rule 61
Nucleotide and/or amino acid sequence listings Rule 13 ter
Transmitted by RO to ISA A.I. 313(c)
Number and numbering of claims Rule 6.1
Number of (accorded to) IA Rule 20.1
Number of copies of IA to be filed Rule 11.1
Numbering of amendments Rule 6.1, A.I. 205 A.I. 207, A.I. 311
Numbering of lines on a page of IA Rule 11.8
Numbering of sheets of IA Rule 11.7
Numbering of sheets for Ipub A.I. 410
---SECTION---O
Oath or declaration in U.S. national stage application  35 U.S.C. 371
(c)(4) 37 CFR 1.497
Obvious errors in documents Rule 91
Rectification of A.I. 511
Obviousness/nonobviousness Art. 33(3), Rule 65
See also Inventive step
Opportunity to correct IA before DO Art. 26
---SECTION---P
Pamphlets (form of publishing the IA)  Rule 48
Patent Cooperation Treaty (PCT)
Administrative provisions Arts. 53 - 58
Amendment of certain provisions Art. 61
Assembly of contracting states Art. 53
Becoming a party to Art. 62
Committee for technical cooperation Art. 56
Denunciation Art. 66
Depositary functions Art. 68
Disputes Art. 59
Entry into force of PCT Art. 63
Executive committee of assembly Art. 54
Patent Cooperation Treaty-Continued
Final provisions (becoming party to treaty, entry into force of treaty,
reservations, gradual application, denunciation, signature and
languages, depositary functions, notifications)  Art. 62
Finances Art. 57
Gradual application of PCT in a state Art. 65
International Bureau (IB)  Art. 55
Notifications to states/governments re PCT issues Art. 69
Reservations by any state re Application of PCT provisions Art. 64
Revision of PCT Art. 60
Patent information services furnished by IB Art. 50
Physical requirements of IA Rule 11
Power of attorney
Definition Rule 3.3a
General Rule 90.5
Practice before international authorities
Right to do so Art. 49 Rule 83, Rule 90
Precautionary designations Rule 4.9(b) Rule 4.9(c)
Fees for Rule 15.5
Form (optional) for making precautionary designations PCT/DO Form 144
Preliminary examination fee Rule 58
Prior art
Citation of (proper method)  A.I. 503
For IPE Rule 64
Indications A.I. 505
Of special categories of documents A.I. 507
Relevant to IS Rule 33.1
Priority application number A.I. 408
Later indication of A.I. 319
Priority claim in IA Rule 4.10
Correction or cancellation by RO A.I. 314, Rule 26 bis .1
Correction or cancellation by IB A.I. 402, Rule 26 bis .1
Invitation to correct defects in Rule 26 bis .2
Not considered to have been made A.I. 302
Priority claim in IA-Continued
Notice to that effect by IB, if not by RO A.I. 409
U.S. regulation regarding  37 CFR 1.451
Withdrawal of, by applicant Rule 90 bis .3
Priority, right of (in U.S.)  35 U.S.C. 365
Benefit of filing date of a prior application  35 U.S.C. 365
Priority document Rule 17
Benefit of filing date of a prior application  35 U.S.C. 365
Copy, translation, and fee furnished to EO under Article 39(1)  Rule 76
Fee for certified copy of, from USPTO  37 CFR1.19(b)(1)
In proceedings before IPEA Rule 66.7
Invitation by IB to furnish A.I. 421
Receipt of by IB A.I. 411
Translation and time limit to furnish to EO Rule 76
Transmittal by RO to IB A.I. 323
U.S. regulation regarding  37 CFR 1.451
Protection available under PCT Art. 43, Art. 44 Art. 45, A.I. 202
Indications of kinds of protection in request Rule 4.12
Protest against payment of additional fees re holding of lack of unity
Rule 68, Rule 40 A.I. 403 A.I. 502
Before U.S. IPEA  37 CFR 1.489
Before U.S. ISA  37 CFR 1.477
Publication - See International publication
---SECTION---Q
Quorum, absence of
Voting by correspondence Rule 85
---SECTION---R
Receipt of IA by RO Rule 20
Notification of by RO to IB Rule 20.5(b)
Notification of by RO to applicant A.I. 301
Receiving Office (RO)
In general Art. 10
Competent Rule 19
U.S. RO  35 U.S.C. 361 37 CFR 1.412
Record copy (RC) (originally filed IA)
Definition Rule 20.5(b)
Transmittal to IB by RO Rule 22 37 CFR 1.461
Receipt by IB Rule 24
Marking sheets of, by IB A.I. 401
Rectification of obvious errors Rule 91
Authorized or not by the ISA A.I. 511
Authorized by IPEA A.I. 607
Handling of, by RO A.I. 325
Limitations/restrictions on Rules 91.1(b) to (g quater )
Refund
If search is based in part on earlier search Rule 41
Invitation by RO to request search fee refund A.I. 322
Invitation to request refund of fees before IPEA A.I. 613
Of handling fee Rule 57.6
Of international fee Rule 15.6
Of IPE fee Rule 58.3
Of IS fee Rule 16
Regional patent treaties Art. 45
Regulations of the PCT Art. 58
Representation/representative
See also Common representative
Appointment of Rule 90.4
Notice by IB to ISA and IPEA A.I. 425
Notice by IPEA to IB A.I. 608
Notice by ISA to IB A.I. 512
Notice by RO to IB A.I. 328
Common (definition)  Rule 2.2 bis
General power of attorney Rule 90.5
Limited recognition in patent cases  37 CFR Part 10, Section  10.9
Revocation and renunciation of representative Rule 90.6
U.S. regulation regarding  37 CFR 1.455
Request (part of IA)
Contents Art. 4, Rule 4
Deletion of additional material I.A. 303
Form Rule 3
In general Art. 4
Recording of changes in, by IB Rule 92 bis
Notification by IB A.I. 422
Request (part of IA)-Continued
Rectification of, including limitations on ability to rectify Rule 91.1
U.S. regulation regarding  37 CFR 1.434
Residence
Corrections to
Invitation by RO A.I. 329
Qualifications Rule 18
In demand Rule 54.1
Recording of changes to by the IB Rule 92 bis .1
Results of national examination in EO Art. 42
Restriction:
See Lack of unity of invention
See Unity of invention
Revival of U.S. national stage application  37 CFR 1.137
Right to practice before international authorities Rule 83 Art. 49
Review of RO determinations by other international authorities re
Failure to accord an international filing date Art. 25
Review by USPTO  35 U.S.C. 367
Declaration that an IA is to be withdrawn Art. 25
Review by USPTO  35 U.S.C. 367
Designation of a state considered withdrawn Art. 25
Review by USPTO  35 U.S.C. 367
Review by DOs of
Refusal to accord filing date to IA Art. 25
Declaration that an IA is withdrawn Art. 25
IB decided the IA is withdrawn under Article 12(3)  Art. 25
Revision of PCT Art. 60
See also Amendment of PCT provisions
---SECTION---S
Search - See also international search report
Search other than IS Rule 41
Search Copy (SC) of IA
Preparation of by RO Rule 21
Transmittal of to IB Rule 23
Receipt of by ISA Rule 25.1
Notification of lack of transmittal of SC by IB A.I. 412
Security measures of national Office delaying or preventing transmittal
of RC to IB A.I. 330
U.S. statute regarding  35 U.S.C. 368
Sequence listings in machine readable form Rule 13 ter
Considered by ISA A.I. 513
Considered by IPEA A.I. 610
Transmitted of Rule 23
Sheets
Later submitted - RO handling of A.I. 309
Deletion, addition, substitution, and renumbering of by RO A.I. 311
Size of IA Rule 11.5
Signature
By parties to the PCT Art. 62
Notification by director general re Art. 69
Defective, in IA Art.14(1)
IA lacking prescribed signature - RO procedure A.I. 316
Definition (includes "seal")  Rule 2.3
Lacking, in demand Rule 60.1(d)
Lacking, in later election Rule 60.2(d)
National requirements Art. 27
Of PCT in English and French Art. 67
Requirements re correspondence Rule 92
Requirements re demand Rule 53.8
Requirements re later elections Rule 56.1
Requirements re request Rule 4.15
Requirements re withdrawals Rule 90 bis .5
Signs (terminology)  Rule 10
Size of IA sheets Rule 11.5
Subject matter that is proper in IA Rule 67
Successor states Rule 32
Surcharge - See also Fees: Late payment fee
---SECTION---T
Technical Services
Patent information services furnished by IB Art. 50
Technical assistance committee Art. 51
Relation to other PCT provisions Art. 52
Terminology and signs Rule 10
Time limit
Computation of Rule 80
Delay in meeting certain Art. 48
Delays due to mail service Rule 82
Time limit-Continued
Excuse by the designated or elected state of delays in meeting certain
time limits Rule 82 bis
Extended beyond or shortened with respect to Article 39 deadline for
copy, translation, and fee filed with EO Rule 77
Extensions of, for payment of fees Rule 16 bis
For amendments before EO Rule 78
For amendment of claims before the IB Art. 19 Rule 46.1
For amendment of claims, description, and drawings before DO Rule 52.1
For applicant to request IB to send files to any DO pursuant to Article
25(1)(c) so DO can review adverse holding by RO or IB Rule 51.1
For check by RO of certain defects in the IA Rule 26.1
For communication by the IB of IPER translation and annexes to each EO)
Rule 73.2
For considering IA withdrawn re Article 12(3)  Rule 22.3
For considering IA withdrawn re Article 14(4)  Rule 30
For correcting priority claim Rule 4.10
For correction by applicant of certain defects found by and invited by
RO to correct Rule 26.2
For establishing the IS Rule 42
For establishing the IPE Rule 69.2
For paying national fee and furnishing translation before DO pursuant to
Article 25(2)(a) so DO can review adverse holding by RO or IB Rule 51.3
For presenting request by applicant for IB to send copies of IA to DO
after receiving determination that IA is withdrawn Rule 51
For start of, and establishment of, IPE Rule 69
For submitting priority document Rule 17
For translation of priority document before EO Rule 76.4
For transmittal by applicant of translation of any replacement sheet
referred to in Rule 70.16 that is attached to the IPER Rule 74.1
In general Art. 47
Time limit-Continued
Meaning of term "Time Limit" in Article 48(2)  Rule 82 bis
Modification of time limit fixed in PCT Rule 81
Of application processing based on PD Rule 4.10 37 CFR 1.465
Timing of IA processing based on priority date  37 CFR 1.465
To confirm precautionary designations Rule 4.9
To furnish drawings which are not necessary for the understanding of the
invention Art. 7.2 Rule 7.2
To furnish IA copy, translation, and fee to DO beyond time limit allowed
by Article 22  Rule 50
To pay fees before ISA in response to a holding of lack of unity of
invention Rule 40.3
To request review by DO of failure to accord international filing date
Art. 25
Utility models Rule 6.5
Title of invention in IA
Content Rule 4.3
Missing or defective Rule 37
Translation
Availability of translations Rule 95
By applicant, IS based on Art. 15
Defective/incorrect of IA Art. 46
Draft, of IA, prepared by ISA for publication, comments on by applicant
A.I. 506
For purpose of international search Rule 12.3
Of certain words not in Latin alphabet, in request Rule 4.16
Of IA, availability to IB Rule 95
Of IA, transmittal by IB to DOs Art. 22
Of IA, transmittal by IB to EOs Art. 39
Of IPER Art. 36 Rule 72
Of IPER annexes, and transmittal of to EOs by applicant Rule 74
Of Ipub, affecting protection of rights in any designated state Art. 29
Of ISR Art. 18, Rule 45
Of priority document before EO Rule 76
Transmitted to ISA Rule 23
Transmittal
Fee Rule 14
In electronic form Rule 89 bis and 89 ter
Of RC to IB by RO Rule 22 37 CFR 1.461
Of SC to ISA by RO Rule 23
Delayed A.I. 306
Treaty - See also Patent Cooperation Treaty, above
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Unity of invention
During U.S. national stage  37 CFR 1.499
Examples and guidelines A.I. Annex B
In general Rule 13 37 CFR 1.475
Lack of unity before IPEA Art. 34(3) Rule 68 37 CFR 1.488 37 CFR 1.489
Lack of unity before ISA Art. 17(3) Rule 40 37 CFR 1.476 37 CFR 1.477
Compliance with Rule 13  A.I. 206
Transmittal of protest to pay fees for additional claimed inventions
Transmittal by IB A.I. 403
Transmittal by IPEA A.I. 603
Transmittal by ISA A.I. 502
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WO - See also International publication number
Withdrawals (by applicant), in general Rule 90 bis A.I. 326
Of demand or election Art. 37 Rule 90 bis .4
Withdrawn
Application, U.S. statute regarding  35 U.S.C. 366
Determination by RO re IA or designation Rule 29
Decision by RO not to hold withdrawn after notifying applicant of intent
to so hold A.I. 312
Notification to IPEA by IB A.I. 414
Review of by DO Art. 25 Rule 51
Determination by IB under Article 12(3)
Review by DO Art. 25 Rule 51
Written opinion by IPEA Art. 34 Rule 66
Amendment of claims, description, and drawing under Article 34 in
response to Art. 34