MPEP § 1896 — MPEP § 1896
Current through: 2022-07-01

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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 Chapter 1800 

 Section 1896 
 

 
 
 
 
 
 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 [R-01.2024]
 

 The following section describes some differences between a U.S.
 national application filed under 35 U.S.C. 111(a) , including those
 claiming benefit of a PCT application under 35 U.S.C. 120 (a
 continuation, division, or a continuation-in-part of a PCT
 application), and a U.S. national stage application (submitted under
 35 U.S.C.
 371 ). 
 

 
 Chart of Some Common Differences 
 
 
 
 National Applications (filed under
 35
 U.S.C. 111(a) ) 
 
 National Stage Applications (submitted
 under 35 U.S.C. 371 ) 
 
 

 
 
 
 Filing Date 
 see 37 CFR
 1.53(b) 
 International filing date of
 PCT application
 
 

 
 35
 U.S.C. 119(a) - (d) Priority Requirement 
 
 Claim for priority in
 accordance with 37 CFR 1.55(d)(1) 
 Certified copy provided by applicant in accordance with
 37 CFR 1.55(f)(1) ,
 unless the requirements of 37 CFR 1.55(h) or
 (i) have been
 met
 
 Claim for priority in
 accordance with 37 CFR 1.55(d)(2) 
 Copy of certified priority document provided by the International Bureau
 or in accordance with 37 CFR 1.55(f)(2) .
 
 
 

 
 Unity of Invention 
 U.S. restriction practice
 under 37 CFR 1.141 - 1.146 
 Unity of invention practice
 under 37 CFR 1.499 
 

 
 Filing Fees 
 37 CFR
 1.16 
 37 CFR
 1.492 
 

 
 
 The differences between a national application filed under
 35 U.S.C.
 111(a) and a national application submitted under
 35 U.S.C.
 371 are often subtle, but the differences are important. 
 

 I. FILING DATE The filing date of a 35 U.S.C. 111(a) application
 is, except as provided in 35 U.S.C. 111(c) , the date when
 a specification is received in the USPTO. See 37 CFR 1.53(b) and
 37 CFR
 1.57(a) . 
 

 The filing date of a PCT international application is the date
 applicant satisfies Article 11 requirements, i.e.,
 includes a description, a claim, names at least one applicant who is a resident or
 national of a PCT Contracting State, filed in the prescribed language, and
 designates at least one Contracting State. See MPEP § 1810 . By
 virtue of 35
 U.S.C. 363 , the U.S. filing date of an international
 application that designates the United States is, for most legal purposes, the
 international filing date. See MPEP § 1893.03(b) .
 

 II. 35 U.S.C. 119(a)-(d) AND 365(b) PRIORITY REQUIREMENTS In a U.S. national application filed under 35 U.S.C.
 111(a) , the claim for priority must be filed within the later
 of four months from the actual filing date of the application or sixteen months from
 the filing date of the prior foreign application. See 37 CFR
 1.55(d) . The certified copy of the foreign priority
 application must be provided to the Office by applicant within the time period set
 forth in 37 CFR 1.55(f) , which is the later of four months from the
 actual filing date of the application or sixteen months from the prior foreign
 application, unless the requirements of 37 CFR
 1.55(h) or 37 CFR 1.55(i) have been met.
 See MPEP §
 1895.01 . 
 

 In a U.S. national stage application submission under
 35 U.S.C.
 371 , where applicant filed an international application
 claiming priority to an earlier filed national application, the claim for priority
 must be made and the certified copy of the priority application must be furnished
 during the international stage within the time limit set forth in the PCT and
 Regulations under the PCT. The International Bureau sends a copy of the certified
 priority document to each designated office that has requested to receive such
 documents. Upon receipt of applicant’s submission to enter the U.S. national stage
 under 35 U.S.C.
 371 , the USPTO will request from the International Bureau a
 copy of the certified priority document submitted in the international stage. Upon
 receipt of the priority document, the USPTO will place the document in the image
 file wrapper of the national stage application. Such a copy from the International
 Bureau is acceptable in a U.S. national stage application to establish that
 applicant has filed a certified copy of the priority document in compliance with
 37
 CFR 1.55(f)(2) . For procedures when the certified priority
 document was not provided during the international stage, see MPEP §
 1893.03(c) . 
 

 III. UNITY OF INVENTION U.S. national applications filed under 35 U.S.C.
 111(a) are subject to restriction practice in accordance with
 37 CFR
 1.141 - 1.146 . See
 MPEP §
 803 . U.S. national stage applications are subject to
 unity of invention practice in accordance with 37 CFR 1.475 and
 1.499 . See MPEP § 1893.03(d) .
 

 IV. FILING FEES U.S. national applications filed under 35 U.S.C.
 111(a) are subject to the national application filing fees
 set forth at 37
 CFR 1.16 . Submissions to enter the U.S. national stage under
 35 U.S.C.
 371 are subject to the national stage fees prescribed at
 37 CFR
 1.492 . 
 

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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 20:49:30