PCT Receiving Office Guidelines

as in force from July 1, 2024

TABLE OF CONTENTS

Chapter I: Introduction

Chapter II: General

• Marking of the Sheets of the International Application, Documents and Correspondence Relating Thereto
• Use of Facsimile Machine and Other Like Means of Communication; Date of Receipt
• Computation of Time Limits
• Documents and Correspondence
  • Documents and Correspondence Submitted by the Applicant
  • Correspondence Intended for the Applicant
  • Mailings by Receiving Offices
• Irregularities in the Mail Service and Excuse of Delay in Meeting Time Limits
  • Delay or Loss in the Mail of a Document or Letter  Sent by the Applicant
  • Use of Delivery Services
  • Excuse of Delay in Meeting Time Limits under Rule 82quater.1
  • Excuse of Delay in Meeting Time Limits under Rule 82quater.2
  • Extension of Time Limits Under Rule 82quater.3
• Forms

Chapter III: National Security Clearance

Chapter IV: Article 11(1) Check; Requirements for International Filing Date

• Receipt of Purported International Application
  • Marking
  • Confirmation Copy of Facsimile Transmission
• Requirements for According an International Filing Date (Article 11(1))
  • Right to File
  • Language
  • Other Minimum Requirements
• Positive Determination (Requirements of Article 11(1) Fulfilled)
  • According of International Filing Date
  • Notification of Applicant 
• Defects under Article 11(1) 
  • Invitation to Correct
  • Time Limit
• Correction under Article 11(2)
• Confirmation of Incorporation by Reference of Missing Elements under Rule 20.6(a)
  • Negative Determination (Rule 20.4)
  • Error by the Receiving Office
• Later Finding of Non-Compliance with Requirements of Article 11(1)

Chapter V: Language Check (Article 3(4)(i); Rules 12.1, 12.3, 12.4 and 26.3ter)

• General
• Language of Request
  • Requirements
  • Correction of Defects
  • Failure to Correct
• Language of Abstract and Text Matter of the Drawings 
  • Requirements
  • Correction of Defects
  • Failure to Correct
• Language of Description and Claims
• Requirements
• Invitation to Furnish Translation of Description or Claims(or Part Thereof) and Late Furnishing Fee
• Language(s) Accepted for the Purposes of International Search and International Publication
  • Requirements of the Competent International Searching Authority as to the Language of the International Application
  • Language Not Accepted for the Purposes of International Search
  • Language Not Accepted for the Purposes of International Publication
  • Invitation to Furnish Translation for the Purposes of International Search and Late Furnishing Fee
  • Invitation to Furnish Translation for the Purposes of International Publication and Late Furnishing Fee
  • Checking of Translation 
  • Failure to Furnish the Required Translation

Chapter VI: Article 14 Check and Other Formal Requirements

General

Formal Requirements

• Form of the Request
• Applicant’s File Reference
• Title of the Invention
• Indications in the Request Concerning Applicant and Inventor 
  • Indications Concerning the Applicant
    • Names and Addresses
    • Nationality and Residence
    • Dependent Territories and Other Entities Not Being States
  • Indications Concerning the Inventor 
  • Different Applicants or Inventors for Different Designated States
  • Indications in the Case of a Deceased Applicant or Inventor
• Designation of States
  • States
  • Exclusion of Certain States from Designation
  • Priority Claim from Excluded State
  • States Not Bound by the PCT on the International Filing Date
• Kind of Protection or Treatment
• Non-Prejudicial Disclosures
• The Competent International Searching Authority
• Reference to Parent Application or Grant
• Use of Earlier Search and Classification Results
  
  • Reference to Earlier Search
  • Incomplete or Incorrect Indications or Missing or Inconsistent Earlier Search Results
  • Transmission of the earlier search and classification results to the International Searching Authority by the receiving Office where the applicant did not make a request under Rule 4.12
  • Informal Comments on Earlier Search Results
  • Missing Indications or Missing Informal Comments
  • Submission of Informal Comments After the Filing of the International Application
• Agent, Common Representative and Address for Correspondence 
• Signature
  • Request Signed by Agent or Common Representative
  • Authorization to Sign on Behalf of a Legal Entity 
• Compliance with the Physical Requirements Referred to in Rule 11
  • General
  • Arrangement of Elements and Numbering of Sheets
  • Writing of Text Matter
  • Requirements Concerning Margins
  • Line Numbering Sequence
  • Other Physical Requirements Concerning Text
  • Drawings and Photographs 

• Abstract 
• Matter Appearing Not to be Part of the International Application
• Check List 
• Indications Made by the Applicant
• Annotations by the Receiving Office

Corrections of Defects

• Corrections under Article 14(1)(b) and Rule 26
• Invitation to Correct 
• Procedure to Correct
• Failure to Correct under Article 14(1)(b) and Rule 26

• Correction of Other Formal Defects
• Ex Officio Corrections 
• Defects Which May Be Corrected Ex Officio 
• Manner of Correcting Defects Ex Officio
• Making Ex officio Corrections in Requests in PCT-EASY Format
• Notification about Ex Officio Correction

Chapter VII: Priority Claims and Priority Documents

• Requirements for Priority Claims
• Restoration of the Right of Priority 
  • Restoration of the Right of Priority
  • Non-Acceptance by Receiving Office
  • Receipt of a Request for the Restoration of the Right of Priority
  • Time Limit under Rule 26bis.3(e)
  • Checking of Formal Requirements
  • Statement of Reasons
  • Declaration and Evidence
  • Criteria Applied by the Receiving Office
  • Unintentionality Criterion
  • Due Care Criterion
  • Documents or Parts Thereof Meeting the Criteria of Rule 26bis.3(h-bis).
  • Intended Refusal of the Request to Restore the Right of Priority
  • Decision and Notification to the Applicant
  • Notification of the International Bureau
• Requirements Not Fulfilled
  • Invitation to Correct or Restore 
  • Time Limit for Correction 
  • Time Limit for Requesting Restoration
  • Correction by Applicant 
  • Failure to Correct 
• Correction or Addition of Priority Claim on the Applicant’s Own Initiative 
• Transmittal to the International Bureau of a Priority Document Furnished by the Applicant 
• Certification of an Earlier Application and Transmittal to the International Bureau
• Effect of a Change of Priority Date 

Chapter VIIbis: Declarations Relating to National Requirements

• Requirements for Declarations
• Requirements Not Fulfilled 
• Correction or Addition of Declarations 

Chapter VIII: Missing Parts or Erroneously Filed Elements or Parts in the International Application 

• Missing Parts and Reference to Drawings in the International Application
• Erroneously Filed Elements or Parts
• Invitation to Applicant 
  • Time Limit to Respond 
• Sheets Pertaining to the International Application Received without Prior Invitation 
  • Time Limit
• Processing of Later Received Sheets
• Sheets Completing an International Application under Rule 20.5(b) or (c)
• Procedure Where No Drawings Are Received in Response to the Invitation
• Sheets Correcting an International Application under Rule 20.5bis(b) or (c)
• Confirmation of Incorporation by Reference of Missing Parts or Correct Elements or Parts under Rule 20.6(a)
  • Positive Finding 
  • Negative Finding
• Sheets Submitted under Rule 20.6(a)(i) Which Contain Matter Not Completely Contained in Earlier Application 
• Processing of Erroneously Filed Elements or Parts Following Incorporation by Reference of Correct Elements or Parts 
• Procedure Where Later Submitted Sheets Are Received outside the Time Limit
• Later Receipt of Abstract

Substitute Sheets under Rule 26 and Other Replacement Sheets

• Substitute Sheets under Rule 26 
• Other Replacement Sheets
• Replacement Sheets of the Request Submitted Together with Request for Recording of Change
• Rectified Sheets 
• Procedure in the Case of Correction of Defects under Rule 26 and Rectification of Obvious Mistakes under Rule 91
• Replacement Sheet Containing Correction under Rule 26 and Rectification of Obvious Mistakes under Rule 91

Chapter IX: Nucleotide and/or Amino Acid Sequence Listing

• General
• Procedure in the case of disclosure of sequences in a non-compliant file format
• Checking for Compliance with WIPO Standard ST.26 and Other Defects
• Subsequently Furnished Sequence Listing
• Incorporation by Reference;  Missing and Erroneously Filed Parts
• Transmission of Sequence Listing between Offices

Chapter X: References to Deposited Microorganisms or Other Biological Material

• General
• References to Deposited Microorganisms or Other Biological Material as Part of the Description
• Requirements as to the Language of Sheets Containing References to Deposited Microorganisms or Other Biological Material

Chapter XI: Fees

• General
• Amounts, Prescribed Currencies and Reductions of Certain Fees
  • The Transmittal Fee
  • The Search Fee
  • The International Filing Fee 
    • The International Filing Fee
    • Reduction of International Filing Fee for Applicants from Certain States
• Time Limits for Payment
• Notification Concerning Payment of Fees before the Date on Which They Are Due 
• Notification to the International Bureau and the International Searching Authority of Receipt of Fees 
• Invitation to Pay Fees after the Date on Which They Are Due
  • Late Payment Fee
• Application of Moneys Received 
• Failure to Pay the Prescribed Fees under Article 14(3)
• Refund of Fees
• Transfer of Fees 

Chapter XII: Transmittal of International Application to International Bureau as Receiving Office (Rule 19.4)

• Transmittal of International Application for Reasons of Nationality and Residence of the Applicant, or Language or Electronic File Format of the Application (Rule 19.4(a)(i) to (ii-bis))
• Transmittal of International Application for Other Reasons (Rule 19.4(a)(iii)) 
• Request for Priority Document

Chapter XIII: Record Copy, Search Copy and Home Copy

• Preparation of Record Copy, Search Copy and Home Copy 
  • General
• Transmittal to the International Bureau of the Record Copy of the International Application and Other Items 
  • Items to Accompany the Record Copy
  • Time Limit for Transmittal of the Record Copy 
  • Failure to Transmit the Record Copy
• Transmittal to the International Searching Authority of the Search Copy and Other Items 
  • General
  • Items to Accompany the Search Copy
  • Time Limit for Transmittal
  • Failure to Pay the Search Fee; Delayed Transmittal of the Search Copy
• Documents and Diskettes Not to Be Transmitted to the International Searching Authority
• National Security Clearance

Chapter XIV: [Deleted]

Chapter XV: Rectification of Obvious Mistakes under Rule 91

• Request for Rectification Submitted to the Receiving Office 
  • Decision of Receiving Office
  • Notification of Applicant and International Bureau 
  • Refusal of Authorization of Rectification
• Transmittal to Another Authority of a Request for Rectification 
• Invitation to the Applicant to Request Authorization of Rectification

Chapter XVI: Changes Concerning the Applicant, Inventor, Agent or Common Representative

• Receipt of Request to Record a Change
• Notification of International Bureau 

Chapter XVII: Withdrawal of the International Application, Any Designation or Any Priority Claim

• Receipt of Notice Effecting Withdrawal of the International Application, Any Designation or Any Priority Claim under Rule 90bis.1, 90bis.2 or 90bis.3
• Transmittal of Notice Effecting Withdrawal

Chapter XVIII: Items to Be Transmitted to Another Authority

• Items to Be Transmitted to the International Bureau
• Transmittal of Demand under Rule 59.3

Chapter XIX: Miscellaneous

• Expressions, Etc., Not to Be Used (Rule 9)
• Information Meeting the Criteria of Rule 48.2(l)
• Access to the File held by the Receiving Office
• Certifying Copies of the International Application
• Notification about Right to Practice of Agent before Receiving Office
• Keeping of Records and Files
• Completion of Technical Preparations for International Publication by the International Bureau
• Certain Kinds of Documents to Be Returned to the Applicant
• Correction of Errors Made by the Receiving Office

Annex A: [Deleted]

Annex B: Examples of Typical Defects in the Request and Corrections Thereof