MPEP § 1821 — MPEP § 1821
Current through: 2022-07-01

1821-The Request 
 
 

 
 
 
 
 
 
 
 

 

 
 
 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 

 
 
 
 
 

 
 
 
 
 
 
 
 
 
 
 

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 Chapter 1800 

 Section 1821 
 

 
 
 
 
 
 1821 The Request [R-01.2024]

 A general overview of certain aspects of the request follows.

 
 37 CFR 1.434 The request. 

 
 (a) The request shall be made on a standardized form
 ( PCT
 Rules 3 and 4 ). Copies of printed
 Request forms are available from the United States Patent and Trademark
 Office. Letters requesting printed forms should be marked “Mail Stop
 PCT.”
 

 (b) The Check List portion of the Request form should indicate
 each document accompanying the international application on filing.
 

 (c) All information, for example, addresses, names of States
 and dates, shall be indicated in the Request as required by
 PCT
 Rule 4 and Administrative Instructions
 110 and 201 . 
 

 (d) For the purposes of the designation of the United States of
 America, an international application shall include:
 
 (1) The name of the inventor; and;

 (2) A reference to any prior-filed national application
 or international application designating the United States of
 America, if the benefit of the filing date for the prior-filed
 application is to be claimed.
 

 
 

 (e) An international application may also include in the
 Request a declaration of the inventors as provided for in PCT Rule
 4.17(iv) . 
 

 
 

 The Request must either be made on a standardized form PCT/RO/101 to be
 filled in with the required indications or be presented as a computer printout complying
 with the PCT Administrative Instructions. The Request form PCT/RO/101 may be downloaded
 for free from WIPO’s website ( www.wipo.int/pct/en/forms/ ). Applicants may also obtain an English
 language Request form free of charge from the United States Patent and Trademark Office
 using the following address: Mail Stop PCT, Commissioner for Patents, P.O. Box 1450,
 Alexandria, Virginia 22313-1450.
 

 As an alternative to using the standardized Request form
 PCT/RO/101, applicants may use WIPO’s ePCT system to generate a computer printout of the
 Request complying with the PCT Administrative Instructions. ePCT incorporates and
 expands the functionality of WIPO’s prior PCT-SAFE software. As of July 1, 2022, WIPO no
 longer develops, distributes, or supports PCT-SAFE. ePCT is a web-based application that
 does not require installation and subsequent periodic updates of any software on the
 user's computer. The ePCT system validates user-entered data and creates a zip file
 containing the Request and fee calculation sheet in PDF format. Submission of the ePCT
 zip file with an international application filed electronically (i.e., via the USPTO
 patent electronic filing system) entitles the applicant to a reduction of the
 international filing fee. For information on ePCT, see https://pct.wipo.int/ePCT .
 

 For inventions made in the United States, applicants
 should be mindful of certain foreign filing restrictions and the potential need to
 obtain a foreign filing license when using WIPO’s ePCT system. See MPEP § 1832 and
 Facilitating the Use of the World Intellectual Property Organization’s ePCT
 System To Prepare International Applications for Filing With the United States
 Receiving Office , 85 Fed. Reg. 61604 (Sept. 30, 2020).
 

 The Request contains a petition for the international application to be
 processed according to the PCT and must also contain certain indications. It must
 contain the title of the invention. It must identify the applicant and the agent (if
 any), and must contain the designation of at least one Contracting State.
 

 The Request may not contain any matter that is not specified in
 PCT Rules
 4.1 to 4.17 or permitted under
 PCT Rule
 4.18(a) by the Administrative Instructions. Any additional
 material will be deleted ex officio . See PCT Rule 4.18(b) 
 and Administrative Instructions Section 303 . 
 

 I. DATES Each date appearing in the international application or in any
 correspondence must be indicated by the Arabic number of the day, the name of the
 month and the Arabic number of the year, in that order. In the request, after, below
 or above that indication, the date should be repeated in parentheses with a
 two-digit Arabic numeral each for the number of the day and for the number of the
 month and followed by the number of the year in four digits, in that order and
 separated by periods, slashes or hyphens after the digit pairs of the day and of the
 month, for example, "20 March 2020 (20.03.2020)," "20 March 2020 (20/03/2020)," or
 "20 March 2020 (20-03-2020)." See Administrative Instructions Section
 110 . 
 

 II. SUPPLEMENTAL BOX This box is used for any material which cannot be placed in one of
 the previous boxes because of space limitations. The supplemental information placed
 in this box should be clearly entitled with the Box number from which it is
 continued, e.g., “Continuation of Box No. IV.” For indicating the international
 application as a continuation or continuation-in-part of an earlier application, see
 MPEP § 1828.02 .
 

 III. FILE REFERENCE The applicant or the applicant’s agent may indicate a file
 reference in the box provided for this purpose on the first sheet of the Request
 form, on each page of the other elements of the international application, on the
 first sheet of the demand form, and in any other correspondence relating to the
 international application. PCT Rule 11.6(f) indicates that
 the file reference may be included in the top margin of the sheets of the
 international application. As provided in Administrative Instructions Section
 109 , the file reference may be composed either of letters of
 the Latin alphabet or Arabic numerals, or both. It may not exceed 25 characters
 including spaces. If the file reference exceeds 25 characters, the receiving Office
 may ex officio truncate the reference number to 25 characters and
 notify the applicant. The receiving Office, the International Bureau, the
 International Searching Authority and the International Preliminary Examining
 Authority (International Authorities) will use the file reference in correspondence
 with the applicant.
 

 IV. TITLE OF INVENTION The Request must contain the title of the invention; the title must
 be short (preferably 2 to 7 words) and precise ( PCT Rule 4.3 ). The title in Box
 No. I of the Request is considered to be the title of the application. The title
 appearing on the first page of the description ( PCT Rule 5.1(a) ) and on the
 page containing the abstract should be consistent with the title indicated in Box
 No. I of the Request form. 
 

 A title should not be changed by the examiner merely because it
 contains words which are not considered descriptive of the invention. Words, for
 example, such as “improved” or “improvement of” are acceptable. If the title is
 otherwise not descriptive of the invention, a change to a more descriptive title
 should be made and the applicant informed thereof in the search report.
 

 Where the title is missing or is inconsistent with the title in the
 description, the receiving Office invites the applicant to correct the missing or
 inconsistent title.
 

 V. APPLICANT See MPEP § 1806 regarding who can be
 an applicant.
 

 VI. NAMES The name of a natural person must be indicated by the family name
 followed by the given name(s). Academic degrees or titles or other indications which
 are not part of the person’s name must be omitted. The family name should preferably
 be written in capital letters.
 

 The name of a legal entity must be indicated by its full official
 designation (preferably in capital letters).
 

 VII. ADDRESSES Addresses must be indicated in such a way as to satisfy the
 requirements for prompt postal delivery at the address indicated and must consist of
 all the relevant administrative units up to and including the house number (if any).
 The address must also include the country.
 

 VIII. DESIGNATION OF STATES 
 PCT Rule 4 

 The Request (Contents) 

 *****

 
 4.9 Designation of States; Kinds of
 Protection; National and Regional Patents
 

 
 (a) The filing of a request shall
 constitute:
 
 (i) the designation of all
 Contracting States that are bound by the Treaty on the
 international filing date;
 

 
 
 (ii) an indication that the
 international application is, in respect of each designated
 State to which Article
 43 or 44 applies, for the grant of
 every kind of protection which is available by way of the
 designation of that State:
 

 
 
 (iii) an indication that the
 international application is, in respect of each designated
 State to which Article
 45(1) applies, for the grant of a
 regional patent and also, unless PCT
 Article 45(2) applies, a national
 patent.
 

 
 

 (b) Notwithstanding paragraph (a)(i), if,
 on October 5, 2005, the national law of a Contracting State provides
 that the filing of an international application which contains the
 designation of that State and claims the priority of an earlier
 national application having effect in that State shall have the
 result that the earlier national application ceases to have effect
 with the same consequences as the withdrawal of the earlier national
 application, any request in which the priority of an earlier
 national application filed in that State is claimed may contain an
 indication that the designation of that State is not made, provided
 that the designated Office notifies the International Bureau by
 January 5, 2006, that this paragraph shall apply in respect of
 designations of that State and that the notification is still in
 force on the international filing date. The information received
 shall be promptly published by the International Bureau in the
 Gazette.
 

 
 

 

 

 
 37 CFR 1.432 Designation of States by filing an international application. 

 The filing of an international application request
 shall constitute:
 

 
 (a) The designation of all Contracting States
 that are bound by the Treaty on the international filing date;
 

 (b) An indication that the international
 application is, in respect of each designated State to which
 PCT Article 43 or 44 applies, for the grant of every kind of
 protection which is available by way of the designation of that State;
 and
 

 (c) An indication that the international
 application is, in respect of each designated State to which
 PCT Article 45(1) applies, for the grant of a
 regional patent and also, unless PCT Article 45(2) 
 applies, a national patent.
 

 
 

 The filing of an international application request
 constitutes: (A) the designation of all Contracting States that are bound by the
 Treaty on the international filing date; (B) an indication that the international
 application is, in respect of each designated State to which PCT Article
 43 or 44 applies, for the grant of
 every kind of protection which is available by way of the designation of that State;
 and (C) an indication that the international application is, in respect of each
 designated State to which PCT Article 45(1) applies, for
 the grant of a regional patent and also, unless PCT Article 45(2) applies, a
 national patent. See 37 CFR 1.432 and
 PCT Rule
 4.9 .
 

 Pursuant to PCT Rule 4.9(b) , certain States
 may be excepted from the all-inclusive designation system under limited
 circumstances. Specifically, where the international application contains a priority
 claim to an earlier national application having effect in a State whose national law
 provides that the designation of such State has the result that the earlier national
 application ceases to have effect in such State, then the request may contain an
 indication that such State is not designated. Applicability of PCT Rule
 4.9(b) is contingent upon timely notice by the affected
 Office to the International Bureau. The Request may exclude the following
 designations: Germany (DE), Japan (JP), and Republic of Korea (KR). See
 Reservations, Declarations, Notifications and Incompatibilities at www.wipo.int/pct/en/texts/ reservations/res_incomp.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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 03/09/2026 20:49:28