MPEP § 1806 — MPEP § 1806
Current through: 2022-07-01

1806-Applicants and Inventors 
 
 

 
 
 
 
 
 
 
 

 

 
 
 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 

 
 
 
 
 

 
 
 
 
 
 
 
 
 
 
 

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 Chapter 1800 

 Section 1806 
 

 
 
 
 
 
 1806 Applicants and Inventors [R-07.2015]

 Any resident or national of a Contracting State may file
 an international application. See PCT Article 9 and PCT Rule 18 . The
 applicant can be an individual, corporate entity or other concern. Where there are two
 or more applicants, at least one of them must be a national or a resident of a
 Contracting State.
 

 The question of whether an applicant is a resident or
 national of a Contracting State depends on the national law of that State and is decided
 by the receiving Office. Also, possession of a real and effective industrial or
 commercial establishment in a Contracting State may be considered residence in that
 State, and a legal entity constituted according to the national law of a Contracting
 State is considered a national of that State.
 

 Where the inventor is not the applicant, indications
 concerning the inventor must nevertheless be made in the Request 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 ( PCT Rule
 4.1(a)(iv) ). See PCT Applicant’s Guide, International Phase,
 Annexes B1 and B2, for those States and regional patent systems which require such
 indications. Furthermore, information concerning the inventor is required by most
 countries for the national phase. In such a case, the check-box “inventor only” should
 be marked, the inventor’s name and address indicated in Box No. III, and the inventor’s
 residence and nationality omitted. 
 

 I. APPLICANT FOR PURPOSES OF THE UNITED STATES IN INTERNATIONAL APPLICATIONS
 HAVING AN INTERNATIONAL FILING DATE ON OR AFTER SEPTEMBER 16, 2012 
 37 CFR 1.421 Applicant for international application. 

 [Editor Note: Applicable to patent applications
 filed under 35 U.S.C. 363 on or after September 16, 2012]
 

 
 (a) Only residents or nationals of the United
 States of America may file international applications in the United
 States Receiving Office. If an international application does not
 include an applicant who is indicated as being a resident or national of
 the United States of America, and at least one applicant:
 
 (1) Has indicated a residence or
 nationality in a PCT Contracting State, or
 

 (2) Has no residence or nationality
 indicated, applicant will be so notified and, if the
 international application includes a fee amount equivalent to
 that required by § 1.445(a)(4) , the international application
 will be forwarded for processing to the International Bureau
 acting as a Receiving Office (see also § 1.412(c)(6) ). 
 

 
 

 (b) Although the United States Receiving
 Office will accept international applications filed by any applicant who
 is a resident or national of the United States of America for
 international processing, for the purposes of the designation of the
 United States, an international application will be accepted by the
 Patent and Trademark Office for the national stage only if the applicant
 is the inventor or other person as provided in § 1.422 or § 1.424 . Joint inventors must jointly apply for an
 international application. 
 

 (c) A registered attorney or agent of the
 applicant may sign the international application Request and file the
 international application for the applicant. A separate power of
 attorney from each applicant may be required.
 

 (d) Any indication of different applicants for
 the purpose of different Designated Offices must be shown on the Request
 portion of the international application.
 

 (e) Requests for changes in the indications
 concerning the applicant, agent, or common representative of an
 international application shall be made in accordance with
 PCT Rule 92bis and may be
 required to be signed by all applicants.
 

 (f) Requests for withdrawals of the
 international application, designations, priority claims, the Demand, or
 elections shall be made in accordance with PCT Rule
 90bis and must be signed
 by all applicants. A separate power of attorney from the applicants will
 be required for the purposes of any request for a withdrawal in
 accordance with PCT Rule
 90bis which is not signed by
 all applicants.
 

 
 

 

 
 37 CFR 1.422 Legal representative as applicant in an international
 application. 

 [Editor Note: Applicable to patent applications
 filed under 35 U.S.C. 363 on or after September 16, 2012] 
 

 If an inventor is deceased or under legal
 incapacity, the legal representative of the inventor may be an applicant in an
 international application which designates the United States of America.
 

 
 II. APPLICANT FOR PURPOSES OF THE UNITED STATES IN INTERNATIONAL APPLICATIONS
 HAVING AN INTERNATIONAL FILING DATE BEFORE SEPTEMBER 16, 2012 
 37 CFR 1.421 (pre-AIA) Applicant for international application. 

 [Editor Note: Applicable to patent applications
 filed under 35 U.S.C. 363 before September 16, 2012] 
 

 
 (a) Only residents or nationals of the United
 States of America may file international applications in the United
 States Receiving Office. If an international application does not
 include an applicant who is indicated as being a resident or national of
 the United States of America, and at least one applicant:
 
 (1) Has indicated a residence or
 nationality in a PCT Contracting State, or
 

 (2) Has no residence or nationality
 indicated, applicant will be so notified and, if the
 international application includes a fee amount equivalent to
 that required by § 1.445(a)(4) , the international application
 will be forwarded for processing to the International Bureau
 acting as a Receiving Office (see also § 1.412(c)(6) ). 
 

 
 

 (b) Although the United States Receiving
 Office will accept international applications filed by any resident or
 national of the United States of America for international processing,
 for the purposes of the designation of the United States, an
 international application must be filed, and will be accepted by the
 Patent and Trademark Office for the national stage only if filed, by the
 inventor or as provided in §§ 1.422 or
 1.423 . Joint
 inventors must jointly apply for an international application.
 

 (c) For the purposes of designations other than
 the United States, international applications may be filed by the
 assignee or owner.
 

 (d) A registered attorney or agent of the
 applicant may sign the international application Request and file the
 international application for the applicant. A separate power of
 attorney from each applicant may be required.
 

 (e) Any indication of different applicants for
 the purpose of different Designated Offices must be shown on the Request
 portion of the international application.
 

 (f) Requests for changes in the indications
 concerning the applicant, agent, or common representative of an
 international application shall be made in accordance with
 PCT Rule 92bis and may be
 required to be signed by all applicants.
 

 (g) Requests for withdrawals of the
 international application, designations, priority claims, the Demand, or
 elections shall be made in accordance with PCT Rule
 90bis and must be signed
 by all applicants. A separate power of attorney from the applicants will
 be required for the purposes of any request for a withdrawal in
 accordance with PCT Rule
 90bis which is not signed by
 all applicants. The submission of a separate power of attorney may be
 excused upon the request of another applicant where one or more
 inventors cannot be found or reached after diligent effort. Such a
 request must be accompanied by a statement explaining to the
 satisfaction of the Director the lack of the signature concerned.
 

 
 

 

 
 37 CFR 1.422 (pre-AIA) When the inventor is dead. 

 [Editor Note: Applicable to patent applications
 filed under 35 U.S.C. 363 before September 16, 2012] 
 

 In case of the death of the inventor, the legal
 representative (executor, administrator, etc.) of the deceased inventor may file
 an international application which designates the United States of America.
 

 

 
 37 CFR 1.423 (pre-AIA) When the inventor is insane or legally
 incapacitated. 

 [Editor Note: Applicable to patent applications
 filed under 35 U.S.C. 363 before September 16, 2012]
 

 In case an inventor is insane or otherwise legally
 incapacitated, the legal representative (guardian, conservator, etc.) of such
 inventor may file an international application which designates the United
 States of America.
 

 

 For international applications having international
 filing dates before September 16, 2012, only inventors (and legal representatives of
 deceased or legally incapacitated inventors) can be applicants for purposes of the
 designation of the United States. Therefore, for the purpose of entering the
 national stage in the United States of America, the inventor(s) must be indicated in
 the PCT Request as “applicant and inventor” for at least the United States.
 

 A legal representative of a deceased inventor may be
 indicated in the international application as an applicant for the purposes of the
 United States. In such a case, the indication in the Request (in Box II or III, as
 appropriate) for the legal representative should be made as follows: SMITH, Alfred,
 legal representative of JONES, Bernard (deceased), followed by indications of the
 address, nationality and residence of the legal representative. The legal
 representative should be indicated as an “applicant only” except where the legal
 representative is also an inventor, in which case the legal representative should be
 indicated as an “applicant and inventor.” The name of the deceased inventor should
 also appear in a separate box (in Box III) with the indication of “deceased” (e.g.,
 “JONES, Bernard (deceased))” and identified as an “inventor only” and not as an
 applicant.
 

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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 20:50:36