MPEP § 1840 — MPEP § 1840
Current through: 2022-07-01

1840-The International Searching Authority 
 
 

 
 
 
 
 
 
 
 

 

 
 
 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 

 
 
 
 
 

 
 
 
 
 
 
 
 
 
 
 

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 Chapter 1800 

 Section 1840 
 

 
 
 
 
 
 1840 The International Searching Authority [R-01.2024]

 
 35 U.S.C. 362 
 International Searching Authority and International Preliminary Examining
 Authority. 

 
 (a) The Patent and Trademark Office may act as an International
 Searching Authority and International Preliminary Examining Authority with
 respect to international applications in accordance with the terms and
 conditions of an agreement which may be concluded with the International
 Bureau, and may discharge all duties required of such Authorities, including
 the collection of handling fees and their transmittal to the International
 Bureau.
 

 (b) The handling fee, preliminary examination fee, and any
 additional fees due for international preliminary examination shall be paid
 within such time as may be fixed by the Director.
 

 
 

 

 
 37 CFR 1.413 The United States International Searching Authority. 

 
 (a) Pursuant to appointment by the Assembly, the United States
 Patent and Trademark Office will act as an International Searching Authority
 for international applications filed in the United States Receiving Office
 and in other Receiving Offices as may be agreed upon by the Director, in
 accordance with the agreement between the Patent and Trademark Office and
 the International Bureau ( PCT Art. 16(3)(b) ).
 
 

 (b) The Patent and Trademark Office, when acting as an
 International Searching Authority, will be identified by the full title
 “United States International Searching Authority” or by the abbreviation
 “ISA/US.”
 

 (c) The major functions of the International Searching Authority
 include:
 
 (1) Approving or establishing the title and
 abstract;
 

 (2) Considering the matter of unity of invention;

 (3) Conducting international and international-type
 searches and preparing international and international-type search
 reports ( PCT Art. 15 ,
 17 and
 18 , and
 PCT Rules 25 ,
 33 to
 45 and
 47 ), and
 issuing declarations that no international search report will be
 established ( PCT Article
 17(2)(a) ); 
 

 (4) Preparing written opinions of the International
 Searching Authority in accordance with PCT Rule
 43bis (when
 necessary); and
 

 (5) Transmitting the international search report and the
 written opinion of the International Searching Authority to the
 applicant and the International Bureau.
 

 
 

 
 

 The United States Patent and Trademark Office (USPTO) agreed to and was
 appointed by the PCT Assembly, to act as an International Searching Authority. As such
 an Authority, the primary functions are to establish (1) international search reports
 and (2) for international applications having an international filing date on or after
 January 1, 2004, written opinions. See PCT Article 16 and
 PCT Rule
 43bis .
 

 Pursuant to an agreement concluded with the International Bureau, the
 USPTO, as an International Searching Authority, agreed to conduct international searches
 and prepare international search reports and written opinions of the International
 Searching Authority, for, in addition to the United States of America, Bahrain,
 Barbados, Brazil, Chile, Dominican Republic, Egypt, Georgia, Guatemala, India, Israel,
 Jordan, Mexico, New Zealand, Oman, Panama, Peru, Philippines, Qatar, Saint Kitts and
 Nevis, Saint Lucia, Saint Vincent and the Grenadines, South Africa, Thailand, and
 Trinidad and Tobago. The agreement stipulated the English language and specified that
 the subject matter to be searched is that which is searched or examined in United States
 national applications.
 

 I. TRANSMITTAL OF THE SEARCH COPY TO THE INTERNATIONAL SEARCHING
 AUTHORITY The “search copy” is transmitted by the Receiving Office to the
 International Searching Authority ( PCT Article 12(1) ), the details
 of the transmittal are provided in PCT Rule 23 .
 

 II. THE MAIN PROCEDURAL STEPS IN THE INTERNATIONAL SEARCHING AUTHORITY The main procedural steps that any international application goes
 through in the International Searching Authority are (1) the making of the
 international search ( PCT Article 15 ), (2) the
 preparing of the international search report ( PCT Article 18 and
 PCT Rule
 43 ) and (3) for international applications having an
 international filing date on or after January 1, 2004, the preparing of a written
 opinion of the International Searching Authority ( PCT Rule
 43bis ).
 

 III. COMPETENT INTERNATIONAL SEARCHING AUTHORITY In respect of international applications filed with the U.S.
 Receiving Office, the United States International Searching Authority is competent
 to carry out the international search ( PCT Article 16 ,
 PCT Rules
 35 and 36 , 35 U.S.C. 362 
 and 37 CFR
 1.413 ). The European Patent Office (EPO), the Korean
 Intellectual Property Office (KIPO), the Australian Patent Office (IP Australia)
 (IPAU), the Israel Patent Office (ILPO), the Japan Patent Office (JPO), and the
 Intellectual Property Office of Singapore (IPOS) may also be competent to carry out
 the international search ( PCT Article 16 ,
 PCT Rules
 35 and 36 ) for international
 applications filed with the U.S. Receiving Office. The choice of International
 Searching Authority (ISA) must be made by the applicant on filing the international
 application. See MPEP
 §§ 1840.01 - 1840.07 for further information regarding the competency
 of the EPO, KIPO, IPAU, ILPO, JPO, and IPOS as an International Searching Authority
 for applications filed by U.S. nationals or residents in the USPTO or in the
 International Bureau (IB) as receiving Office.
 

 The international search fee for the selected ISA must
 be paid to the USPTO as a receiving Office within one month from the time of receipt
 of the international application. The search fee amounts for the competent
 International Searching Authorities are found in each weekly edition of the
 Official Gazette in United States dollars. The search fee
 will change as costs and exchange rates require. If exchange rates fluctuate
 significantly, the fee may change frequently. Notice of changes will be published in
 the Official Gazette shortly before the effective date of any
 change.
 

 If the selected ISA considers that the international
 application does not comply with the requirement of unity of invention as set forth
 in PCT Rule
 13 , the ISA may invite applicants to timely pay directly to
 it an additional search fee in the currency accepted by the ISA for each additional
 invention.
 

 
 1840.01 The European Patent Office as an International Searching
 Authority [R-10.2019]
 

 Since October 1, 1982, the European Patent Office (EPO) has been
 available as an International Searching Authority for PCT applications filed by U.S.
 nationals or residents in the U.S. Patent and Trademark Office (USPTO) as receiving
 Office or in the International Bureau (IB) as receiving Office. The original
 announcement appeared in the Official Gazette at 1022 OG 52 on
 September 28, 1982. An announcement modifying the original arrangement with the EPO
 appeared in the Official Gazette at 1412 OG 61 on March 10,
 2015.
 

 For any limitations or restrictions with the EPO as
 an ISA, please refer to the PCT Information section of the Official
 Gazette found on the USPTO’s website ( www.uspto.gov/learning-and-resources/ official-gazette ).
 

 For additional information, e.g., subject matter
 limitations, additional search fees, cited documents, etc., please refer to Annex D
 of the PCT Applicant’s Guide found on WIPO’s website ( www.wipo.int/pct/en/guide/index.html ).
 

 

 
 1840.02 The Korean Intellectual Property Office as an International
 Searching Authority [R-10.2019]
 

 Since January 1, 2006, the Korean Intellectual Property Office
 (KIPO) has been available as an International Searching Authority for PCT
 applications filed by U.S. nationals or residents in the U.S. Patent and Trademark
 Office (USPTO) as receiving Office or in the International Bureau (IB) as receiving
 Office. The announcement appeared in the Official Gazette at 1302
 OG 1261 on January 17, 2006.
 

 For any limitations or restrictions with the KIPO as
 an ISA, please refer to the PCT Information section of the Official
 Gazette found on the USPTO’s website ( www.uspto.gov/learning-and-resources/ official-gazette ).
 

 For additional information, e.g., subject matter
 limitations, additional search fees, cited documents, etc., please refer to Annex D
 of the PCT Applicant’s Guide found on WIPO’s website ( www.wipo.int/pct/en/guide/index.html ).
 

 

 
 1840.03 The Australian Patent Office (IP Australia) as
 an International Searching Authority [R-10.2019]
 

 Since November 1, 2008, the Australian Patent Office
 (IP Australia) has been available as an International Searching Authority (ISA) for
 PCT applications filed by U.S. nationals or residents in the U.S. Patent and
 Trademark Office (USPTO) as receiving Office or in the International Bureau (IB) as
 receiving Office. The original announcement appeared in the Official
 Gazette at 1337 OG 265 on December 23, 2008. An announcement modifying
 the arrangement with IP Australia appeared in the Official
 Gazette at 1409 OG 302 on December 30, 2014.
 

 For any limitations or restrictions with IP Australia
 as an ISA, please refer to the PCT Information section of the Official
 Gazette found on the USPTO’s website ( www.uspto.gov/ learning-and-resources/official-gazette ).
 

 For additional information, e.g., subject matter
 limitations, additional search fees, cited documents, etc., please refer to Annex D
 of the PCT Applicant’s Guide found on WIPO’s website ( www.wipo.int/pct/en/guide/index.html ).
 

 

 
 1840.04 [Reserved] 

 

 
 1840.05 The Israel Patent Office (ILPO) as an
 International Searching Authority [R-10.2019]
 

 Since October 1, 2014, the Israel Patent Office (ILPO)
 has been available as an International Searching Authority (ISA) for PCT
 applications filed by U.S. nationals or residents in the U.S. Patent and Trademark
 Office (USPTO) as receiving Office or in the International Bureau (IB) as receiving
 Office. The original announcement appeared in the Official
 Gazette at 1408 OG 52 on November 4, 2014. An announcement modifying
 the arrangement with the ILPO appeared in the Official Gazette at
 1432 OG 264 on November 22, 2016.
 

 For any limitations or restrictions with the ILPO as
 an ISA, please refer to the PCT Information section of the Official
 Gazette found on the USPTO’s website ( www.uspto.gov/learning-and-resources/ official-gazette ).
 

 For additional information, e.g., subject matter
 limitations, additional search fees, cited documents, etc., please refer to Annex D
 of the PCT Applicant’s Guide found on WIPO’s website ( www.wipo.int/pct/en/guide/index.html ).
 

 

 
 1840.06 The Japan Patent Office (JPO) as an International Searching
 Authority [R-10.2019]
 

 Since July 1, 2015, the Japan Patent Office (JPO) has
 been available as an International Searching Authority (ISA) for PCT applications
 filed by U.S. nationals or residents in the U.S. Patent and Trademark Office (USPTO)
 as receiving Office or in the International Bureau (IB) as receiving Office. The
 original announcement appeared in the Official Gazette at 1417 OG
 63 on August 4, 2015. An announcement modifying the arrangement with the JPO
 appeared in the Official Gazette at 1454 OG 51 on September 4,
 2018. 
 

 For any limitations or restrictions with the JPO as
 an ISA, please refer to the PCT Information section of the Official
 Gazette found on the USPTO’s website ( www.uspto.gov/learning-and-resources/ official-gazette ).
 

 For additional information, e.g., subject matter
 limitations, additional search fees, cited documents, etc., please refer to Annex D
 of the PCT Applicant’s Guide found on WIPO’s website ( www.wipo.int/pct/en/guide/index.html ).
 

 

 
 1840.07 The Intellectual Property Office of
 Singapore (IPOS) as an International Searching Authority [R-10.2019]
 

 Since April 1, 2016, the Intellectual Property Office
 of Singapore (IPOS) has been available as an International Searching Authority (ISA)
 for PCT applications filed by U.S. nationals or residents in the U.S. Patent and
 Trademark Office (USPTO) as receiving Office or in the International Bureau (IB) as
 receiving Office. The announcement appeared in the Official
 Gazette at 1425 OG 190 on April 19, 2016.
 

 For any limitations or restrictions with the IPOS as
 an ISA, please refer to the PCT Information section of the Official
 Gazette found on the USPTO’s website ( www.uspto.gov/learning-and-resources/ official-gazette ).
 

 For additional information, e.g., subject matter
 limitations, additional search fees, cited documents, etc., please refer to Annex D
 of the PCT Applicant’s Guide found on WIPO’s website ( www.wipo.int/pct/en/guide/index.html ).
 

 

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 1801-Basic Patent Cooperation Treaty (PCT) Principles 

 1802-PCT Definitions 

 1803-Reservations Under the PCT Taken by, and Notifications of Incompatibility Made by, the United States of America 

 1804-[Reserved] 

 1805-Where To File an International Application 

 1806-Applicants and Inventors 

 1807-Agent or Common Representative and General Power of Attorney 

 1808-Change in or Revocation of the Appointment of an Agent or a Common Representative 

 1809-Access to the USPTO patent electronic filing system 

 1810-Filing Date Requirements 

 1811-[Reserved] 

 1812-Elements of the International Application 

 1813 - 1816-[Reserved] 

 1817-PCT Member States 

 1818-[Reserved] 

 1819-Earlier Search 

 1820-Signature of Applicant 

 1821-The Request 

 1822-[Reserved] 

 1823-The Description 
 1823.01-Reference to Deposited Biological Material 

 1823.02-Filing Nucleotide and/or Amino Acid Sequence Listings in International Applications 

 
 

 1824-The Claims 

 1825-The Drawings 

 1826-The Abstract 

 1827-Fees 
 1827.01-Refund of International Application Fees 

 
 

 1828-Priority Claim and Document 
 1828.01-Restoration of the Right of Priority 

 1828.02-Continuation or Continuation-in-Part Indication in the Request 

 
 

 1829-[Reserved] 

 1830-International Application Transmittal Letter 

 1831-[Reserved] 

 1832-License Request for Foreign Filing Under the PCT 

 1833-[Reserved] 

 1834-Correspondence 
 1834.01-Filing of Correspondence by Facsimile 

 1834.02-Irregularities in the Mail or Electronic Communications Service 

 
 

 1835-[Reserved] 

 1836-Rectification of Obvious Mistakes 

 1837 - 1839-[Reserved] 

 1840-The International Searching Authority 
 1840.01-The European Patent Office as an International Searching Authority 

 1840.02-The Korean Intellectual Property Office as an International Searching Authority 

 1840.03-The Australian Patent Office (IP Australia) as an International Searching Authority 

 1840.04-[Reserved] 

 1840.05-The Israel Patent Office (ILPO) as an International Searching Authority 

 1840.06-The Japan Patent Office (JPO) as an International Searching Authority 

 1840.07-The Intellectual Property Office of Singapore (IPOS) as an International Searching Authority 

 
 

 1841-[Reserved] 

 1842-Basic Flow Under the PCT 

 1843-The International Search 
 1843.01-Prior Art for Chapter I Processing 

 1843.02-Certain Subject Matter Need Not Be Searched 

 1843.03-No Search Required if Claims Are Unclear 

 1843.04-Procedure for Claims Not Required To Be Searched and for Claims That Are Unclear 

 1843.05-Time Limit for Establishing the International Search Report and the Written Opinion of the International Searching Authority 

 
 

 1844-The International Search Report 
 1844.01-Preparing the International Search Report (Form PCT/ISA/210) 

 
 

 1845-Written Opinion of the International Searching Authority 
 1845.01-Preparing the Written Opinion of the International Searching Authority (Form PCT/ISA/237) 

 1845.02-Notification of Transmittal of the International Search Report and the Written Opinion of the International Searching Authority,
 or the Declaration (Form PCT/ISA/220) 

 
 

 1846 - 1847-[Reserved] 

 1848-Sequence Listings 

 1849-[Reserved] 

 1850-Unity of Invention Before the International Searching Authority 

 1851-Identification of Patent Documents 

 1852-Taking Into Account Results of Earlier Search(es) 

 1853-Amendment Under PCT Article 19 

 1854 - 1855-[Reserved] 

 1856-Supplementary International Searches 

 1857-International Publication 

 1858-[Reserved] 

 1859-Withdrawal of International Application, Designations, or Priority Claims 

 1860-International Preliminary Examination Procedure 

 1861-[Reserved] 

 1862-Agreement With the International Bureau To Serve as an International Preliminary Examining Authority 

 1863-[Reserved] 

 1864-The Demand and Preparation for Filing of Demand 
 1864.01-Amendments Filed Under PCT Article 34 

 1864.02-Applicant’s Right To File a Demand 

 1864.03-States Which May Be Elected 

 1864.04-Agent’s Right To Act 

 
 

 1865-Filing of Demand 

 1866-[Reserved] 

 1867-Preliminary Examination Fees 

 1868-Correction of Defects in the Demand 

 1869-Notification to International Bureau of Demand 

 1870-Priority Document and Translation Thereof 

 1871-Processing Amendments Filed Under Article 19 and Article 34 Prior to or at the Start of International Preliminary Examination 

 1872-Availability of the International Application File for International Preliminary Examination by the Examining Corps 

 1873-[Reserved] 

 1874-Determination if International Preliminary Examination Is Required and Possible 

 1875-Unity of Invention Before the International Preliminary Examining Authority 
 1875.01-Preparation of Invitation Concerning Unity 

 1875.02-Reply to Invitation Concerning Lack of Unity of Invention 

 
 

 1876-Notation of Errors and Informalities by the Examiner 
 1876.01-Request for Rectification and Notification of Action Thereon 

 
 

 1877-Nucleotide and/or Amino Acid Sequence Listings During the International Preliminary Examination 

 1878-Preparation of the Written Opinion of the International Preliminary Examining Authority 
 1878.01-Includes Subsections Regarding Prior Art, Novelty, Inventive Step, and Industrial Applicability for Purposes of the Written
 Opinion and the International Preliminary Examination Report 
 1878.01(a)-Prior Art for Purposes of the Written Opinion and the International Preliminary Examination Report 
 1878.01(a)(1)-Novelty for Purposes of the Written Opinion and the International Preliminary Examination Report 

 1878.01(a)(2)-Inventive Step for Purposes of the Written Opinion and the International Preliminary Examination Report 

 1878.01(a)(3)-Industrial Applicability for Purposes of the Written Opinion and the International Preliminary Examination Report 

 
 

 
 

 1878.02-Reply to the Written Opinion of the ISA or IPEA 

 
 

 1879-Preparation of the International Preliminary Examination Report 
 1879.01-Time Limit for Preparing Report 

 1879.02-Transmittal of the International Preliminary Examination Report and Related Documents 

 1879.03-Translations 

 1879.04-Confidential Nature of the Report 

 
 

 1880-Withdrawal of Demand or Election 

 1881-Receipt of Notice of Election and Preliminary Examination Report by the United States Patent and Trademark Office 

 1882 - 1892-[Reserved] 

 1893-National Stage (U.S. National Application Filed Under 35 U.S.C. 371) 
 1893.01-Commencement and Entry 
 1893.01(a)-Entry via the U.S. Designated or Elected Office 
 1893.01(a)(1)-Submissions Required by 30 Months from the Priority Date 

 1893.01(a)(2)-Article 19 Amendment (Filed With the International Bureau) 

 1893.01(a)(3)-Article 34 Amendments (Filed with the International Preliminary Examining Authority) 

 1893.01(a)(4)-Claim Amendment (Filed With the U.S. Designated or Elected Office) 

 
 

 1893.01(b)-Applicant for a U.S. National Stage Application 

 1893.01(c)-Fees 

 1893.01(d)-Translation 

 1893.01(e)-Inventor’s Oath or Declaration 

 
 

 1893.02-Abandonment 

 1893.03-Prosecution of U.S. National Stage Applications Before the Examiner 
 1893.03(a)-How To Identify That an Application Is a U.S. National Stage Application 

 1893.03(b)-The Filing Date of a U.S. National Stage Application 

 1893.03(c)-The Priority Date, Priority Claim, and Priority Papers for a U.S. National Stage Application 

 1893.03(d)-Unity of Invention 

 1893.03(e)-Documents Received from the International Bureau and Placed in a U.S. National Stage Application File 
 1893.03(e)(1)-Title of the Invention 

 
 

 1893.03(f)-Drawings and PCT Rule 11 

 1893.03(g)-Information Disclosure Statement in a National Stage Application 

 
 

 
 

 1894-[Reserved] 

 1895-A Continuation, Divisional, or Continuation- in- Part Application of a PCT Application Designating the United States 
 1895.01-Handling of and Considerations in the Handling of Continuations, Divisions, and Continuations-In-Part of PCT Applications 

 
 

 1896-The Differences Between a National Application Filed Under 35 U.S.C. 111(a) and a National Stage Application Submitted Under
 35 U.S.C. 371 

 

 

 
 

 
 
 

 
 

 

 
 
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 Last Modified: 
 
 03/09/2026 20:49:28