Provisions Concerning Implementation of Patent Cooperation Treaty in China
Chapter 1 General Provisions
Rule 1 These Provisions are formulated to implement the Provisions of the Patent Cooperation Treaty.
Rule 2 In these Provisions, (1) "PCT" means the Patent Cooperation Treaty; (2) "Regulations" means the Regulations under the Patent Cooperation Treaty; (3) "Administrative Instructions" means the Administrative Instructions under the
Patent Cooperation Treaty; (4) "International Bureau" means the International Bureau of the World Intellectual
Property Organization: (5) "International application" means an international application for a Patent for
invention or utility model filed under the PCT. (6) "Patent Office" means the Chinese Patent Office: (7) "Patent Law" means the Patent Law of the People's Republic of China; (8) "Implementing Regulations" means the Implementing Regulation of the Patent
Law of the Peoples' Republic of China. (9) for the purposes of computing time limits, where the international application
contains a priority claim, "priority date" means the filing date of the application whose priority is so claimed; where the international application contains several priority claims, the filing date of the ear1iest application whose priority is so claimed; or where the international application does not contain any priority claim, the international filing date of such international application.
Ru1e 3 The provisions of the PCT, the Regulations, the Administrative Instructions and these Provisions shall apply to the international application filed with the Patent Office or designating or electing China. The provisions of the Patent Law and the Implementing Regulations shall apply to the international application once the procedure has started before the Patent Office as the designated office or the elected Office, un1ess the PCT, the Regulations, the Administrative Instructions or these Provisions provide otherwise.
Chapter 2 Procedure Concerning Filing of the International Application
Rule 4 The Patent Office acting as a receiving Office shall receive the international application filed by any Chinese national or any foreigner, foreign enterprise or other foreign organization having habitual residence or business office in China, and shall check and process such international application in accordance with the provisions of the PCT, the Regulations and the Administrative Instructions.
In accordance with any agreement concluded between China and another Contracting State of the PCT, the Patent Office may a1so receive international applications filed by any national or resident of the said Contracting State.
Rule 5. The international application sha1l be filed with the Patent Office in Chinese or English- The international application shall contain a request, a description, one or more claims, one or more drawings where required, and an abstract.
Rule 6. The Patent Office shall accord as the international filing date the date of receipt of the international application filed in accordance with PCT Article 11(1).The second sentence of Article 28 of the Patent Law shall not apply to the determination of the international filing date.
Where it is found that the international application did not fulfill the requirements listed in PCT Article 1l (l), the Patent office shall invite the applicant to file the required correction within the time limit fixed by the Patent office under PCT Rule 20.6. If the correction is filed as required, the Patent Office shall accord as the international filing date the date of receipt of the required correction. If the Patent Office does not, within the time limit, receive a reply to its invitation, or if the correction offered by the applicant still does not fulfill the requirements provided for under PCT Article 11 (1), it shall Promptly notify the applicant that his application Will no be treated as an international application.
If the international application refers to drawings which, in fact, are not inc1uded in that application, the Patent Office shall notify the applicant accordingly and he nay furnish them within 30 days from the date on which the incomplete papers were filed. If the drawings are so furnished, the international filing date shall be the date on which the drawings are received by the Patent Office; otherwise, any reference to the said drawings shall be considered non-existent.
Ru1e 7 When filing an international application with the Patent Office, the applicant may, as provided for in PCT Article 8, claim the priority of one or more earlier applications filed in or for any country party to the Paris Convention for the Protection of Industrial Property. Where such priority is claimed, the Provisions of PCT Rules 4.10 and 17.1 shall apply in so far as the formalities in relation to such priority claims are concerned.
Rule 8 If the Patent Office finds in the international application any of the defects referred to in PCT Article 14(1)(a), it shall invite the applicant to correct the international application as provided for in PCT Rule 26, fai1ing which the international application shall be considered withdrawn and the Patent Office shall so declare.
Chapter 3 Procedure Concerning International Search
Rule 9 The Patent office acting as an International Searching Authority shall carry out international search in respect of international applications in accordance with the provisions of the PCT, the Regulations, the Administrative Instructions, and the agreement concluded under PCT Article 1 6 (3) between the Patent Office and the International Bureau.
If the Patent Office considers (i) that the international application relates to situations or to a subject matter which
the Patent Office is not required, under PCT Rule 13ter.1(c) or 39, to search, and in the particular case decides not to search, or
(ii) that the description, the c1aims, or the drawings, fail to comply with the requirements of the Regulations to such an extent that a meaningful search cou1d not be carried out, it shall so dec1are and shall notify the applicant and the International Bureau that no international search report wil1 be established. If any of the situations referred to in (i) or (ii) mentioned above is found to exist in connection with certain claims only, the international search report shall so indicate in respect of such claims, whereas, for the other claims, the said report shall be established.
If the Patent Office considers that the international application does not comply with the requirement of unity of invention as set forth in PCT Rule 13, it shall invite the applicant to pay additional fees, as provided for in PCT Rule 40. The Patent Office sha1l establish the international search report on those parts of the internationa1 application which relate to the invention first mentioned in the claims ("main invention") and, Provided the required additional fees have been paid within the time 1indt provided for in PCT Rule 40.3, on those parts of the international application which relate to inventions in respect of which the said fees were Paid.
Rule 10 The Patent Office shall, within 3 months from the receipt of the search copy of the international application or within 9 months from the priority date, whichever time limit expires later, establish the international search report or make a declaration to the effect that no international search will be carried out.
Rule 11 The applicant has one opportunity to file with the International Bureau amendments to the claims of the international app1ication under PCT, Article 19, as provided for in PCT Rule 46. Such amendments shall be filed within 2 months from the date of transmittal of the international search report to the International Bureau and to the applicant by the Patent Office, or within 16 months from the priority date, whichever time limit expires later. However, any amendment made under PCT Article l9 which is received by the International Bureau after the expiration of the applicable time limit shall be considered to have been received by that Bureau on the 1ast day of that time limit if it reaches it before the technical preparations for international publication have been completed. Such amendments shall not go beyond the disclosure in the international application as filed.
Chapter 4 Procedure Concerning International Preliminary Examination
Rule 12 Any applicant whose international application has been filed with the Patent Office, and any person who is referred to in the agreement concluded between the Patent Office and the International Bureau for the purposes of international Preliminary examination, may file with the Patent Office a demand for internationa1 preliminary examination.
The demand for international preliminary examination shall be made in written form, in the language in which the international application was published, and shall be in conformity with the Provisions of PCT Rule 53.
The demand for international preliminary examination shall indicate at least one Contracting State bound by Chapter II of the PCT in which the applicant intends to use the results of the international Preliminary examination. The election shall relate only to Contracting States already designated in the international application.
Rule 13 The Patent Office acting as International Preliminary Examining Authority shall carry out international preliminary examination in respect of international applications in accordance with the PCT, the Regulations, the Administrative Instructions and the agreement concluded between the Patent office and the International Bureau under the PCT Article 32.
If the Patent office considers (i) that the internationa1 application re1ates to situations or to a subject matter on
which the Patent office is not required, under PCT Rule 66.2(a)(Vi) or (vii) or 67, to carry out an international preliminary examination, and in the Particular case decides not to carry out such examination, or
(iii) that the description, the claims, or the drawings, are so unclear, or the claims are so inadequately supported by the description, that no meaning1lil opinion can be formed on the novelty, inventive step (non-obviousness), or industrial applicability, of the claimed invention, it shall not go into the questions referred to in PCT Article 33(l) and shall inform the applicant of this opinion had the reasons therefore. If any of the situations referred to in (i) or (ii) mentioned above is found to exist in, or in connection with, certain claims only, the Provisions of the previous sentence shall apply only to the said claims.
If the Patent office considers that any of the situations referred to in PCT Rule 66.2(a) exists in an international application, it shall notify the applicant in writing and shall invite the applicant to submit a written reply. The applicant may respond to the invitation by making amendments or if he disagrees with the opinion of the Patent Office by submitting arguments, as the case may be, or do both. Such amendments shall not go beyond the disclosure in the internationa1 application as filed.
Where the Patent Office finds that an international app1ication does not comply with the requirement of unity of invention as provided for in PCT Ru1e l3, it shall proceed in accordance with PCT Article 34(3) and PCT Rule 68. The applicant may choose, at his own option, to restrict the claims or to pay additional fees. If the applicant fails to make the choice within the specified time limit, or if the applicant restricts the c1aims but not sufficiently to comply with the requirement of unity of invention, or if the applicant pays additiona1 fees but not sufficient to cover all additional inventions, the Patent Office shall establish an internationa1 preliminary examination report on those parts of the internationa1 app1ication which relate to what appears to be the main invention or to any additiona1 inventions for which additiona1 fees have been paid.
Rule 14 The applicant may, at the time when the demand for international preliminary examination is filed or before the international preliminary examination reports established, submit amendments to the Patent Office in respect of the claims, the description, and the drawings under PCT Article 34, as provided for in PCT Ru1e 66. Such amendments shall not go beyond the disclosure in the internationa1 application as filed.
Rule 15 The time 1indt for establishing the international preliminary examination report shall be:
(i) 28 months from the priority date, if the demand for international preliminary examination was received by the Patent Office Prior to the expiration of 19 months from the priority date;
(ii) 9 months from the start of the international preliminary examination, if the demand for international preliminary examination was received by the Patent Office after the expiration of l9 months from the Priority date.
Chapter 5 Procedure Concerning Designation and Election
Rule 16 An international application designating China shall, as of the international filing date accorded under PCT Article 11(1 ), have the effect of a Chinese national application for patent filed with the Patent Office on the same date.
Rule 17 Where the applicant of a-n international application designating China intends to seek the grant of a patent for utility model by the Patent Office, he shall so indicate in the request of his international application.'
Ru1e 18 Where the international Publication of an international application for a patent for invention designating China is effected by the International Bureau in accordance with PCT Article 21 in Chinese, the applicant sha1l have the right Provided for in Article 13 of the Patent Law from the date of the internationa1 publication; where the international publication is effected in a language other than Chinese, the app1icant shall have the right Provided for in Article 13 of the Patent Law from the date of the publication in the Chinese Patent Gazette of a translation into Chinese of the international application submitted by the applicant t0 the Patent Office.
Ru1e 19 Subject to Rule 20 of these Provisions, for an international application designating China which was filed in a language other than Chinese, the applicant shall furnish the Chinese translation of the international application to the Patent Office not later than the expiration of 20 m0nths from the Priority date. If the Chinese translation was not furnished within the applicable time limit l the effect of the international application in China shall cease.
Rule 20 Where the applicant of an international app1ication has elected China prior to the expiration of l 9 months from the Priority date, if that apPlicati0n was filed in a language other than Chinese, he shall furnish the Chinese translation of the international
application to the Patent Office not later than the expiration of 30 months fr0m the Priority date. If the Chinese translation was not furnished within the applicable time limit, the effect of the internationa1 application in China shall cease.
Ru1e 21 The translation of the international application submitted by the applicant under Rule 19 or 20 of these provisions shall include the request, the description, the claims, any text matter of the drawings on a copy of the drawing and the abstract, all in two copies. Where amendments have been made to the claims in accordance with PCT Article l9, the translation shall also contain the amended claims and any statement made under that Aitic1e; where amendments have been made to the international application in accordance With PCT Article 34, the translation shall also contain any amendment annexed to the international preliminary examination report.
Where the applicant, while furnishing a translation of the international application referred to in the previous paragraph, fails to furnish, in respect of the amendments, a trans1ation both as originally filed and as amended, the Patent Office sha1l invite the applicant to furnish the missing translation within a time limit Which shall be reasonable under the circumstances and shall be fixed in the invitation. Where the applicant fails to comply with the invitation to furnish the missing translation of the international application as originally filed, the international application shall be considered withdrawn. Where the applicant fails to comply with the invitation to furnish the missing translation of amendments, the amendments shall be disregarded.
Where the applicant furnishes only one copy of the translation, the Patent Office shall invite the applicant to furnish another copy within a time limit which shall be reasonable under the circumstances and shall be fixed in the invitation. Where the applicant fails to comply with the invitation, the international application shall be considered withdrawn.
Where the applicant does not furnish a translation of any statement made under Pry Article l 9, such statement shall be disregarded.
Rule 22 Where the international application has designated China, the app1icant may submit to the Patent Office amendments to the claims, the description and the drawings within one month from the Performance of the acts under Rule 19 of these Provisions, provided that, if the communication under PCT Rule 47. l has not been effected by the expiration of the time limit applicable under Rule l9 of these Provisions, the applicant may submit such amendments within 4 months from the expiration of that time limit. Such amendments shall not go beyond the disclosure in the international application as filed.
Rule 23 Where the international application elects China prior to the expiration of l9 months from the Priority date, the applicant may submit to the Patent Office amendments to the claims, the description and the drawings within one month from the performance of the acts under Rule 20 of these provisions, provided that, if the transmittal of the international preliminary examination report has not taken place by the expiration of the time limit as Provided for in Rule 20 of these Provisions, the applicant may submit such
amendments within 4 months from the expiration of that time limit. Such amendments shall not go beyond the disclosure in the international application as filed.
Rule 24 Where some parts of an international application designation or electing China have not been searched or subjected to international preliminary examination because of lack of compliance with the requirements of unity of invention, the applicant shall pay a special fee as Provided for in PCT Article l7(3)(b) or 34(3)(b) within the time limit fixed by the Patent Office. If the fee is not paid or not paid in full within the said time limit, those parts of the international application relating to inventions which have not been searched or subjected to internationa1 preliminary examination shall be considered withdrawn.
Rule 25 Where, in accordance with the Patent Law and the Implementing Regulations, any documents and evidence under PCT Article 27(2) and (6) are required to be furnished to the Patent Office in respect of an international application designating or electing China, those documents and evidence shall be furnished before the expiration of the applicable time limit provided for in Rule 19 or 20 of these Provisions, failing which, the Patent Office shall invite the applicant to furnish them within the time limit specified in the invitation.
Ru1e 26 Where the international application designates China and claims the Priority of one or more earlier applications filed under the Patent Law, the provisions of Ru1e 33 of the Implementing Regulations shall apply.
Chapter 6 Fees
Rule 27 In the international phase of an international application, the app1icant shall be subject to the payment of the following fees as provided for in the Regulations:
(1) the transmittal fee; (2) the international fee, including the basic fee and the designation fees1 (3) the search fee and the additional search fee; (4) the handling fee; (5) the Preliminary examination fee and the additional preliminary examination fee; (6) the confirmation fee; (7) the late payment fee; (8) any other fees as provided for in the Regulations.
The amounts of the fees mentioned in the preceding paragraph, the currencies in which they are Payab1e and the Permitted methods of payment shall be published by the Patent Office.
Rule 28 The applicant shall, within the time limit of one month from the date of receipt of the international app1ication by the Patent Office, Pay the transmittal fee, the basic fee and the search fee. If the said fees are not paid or not paid in fu1l within the time limit, the Patent Office shall invite the applicant to Pay l within one month from the date of the
invitation, the missing fees and the late payment fee, failing which the international application shall be considered withdrawn.
The applicant shall, within the time limit of one year from the priority date or one month from the date of receipt of the international application by the Patent Office, whichever expires later, pay the designation fee. If the said fee is not Paid or not paid in full within the applicable time limit, the Patent Office shall invite the applicant to pay, Within one month from the date of the invitat1on, the missing fees and the 1ate payment fee, failing which the designations concerned or, if no designation fee has been paid, the international application shall be considered withdrawn.
Where a designation is confirmed under PCT Rule 4, 9(c), the applicant shall pay the designation fee and the confirmation fee before the expiration of l5 months from the priority date.
The applicant shall pay the handling fee and the Preliminary examination fee when filing the demand for international preliminary examination with the Patent Office. If the said fees are not paid or not paid in fu1l, the Patent Office shall invite the applicant to pay the missing fees within one month from the date of the invitation, failing which the demand shall be considered as if it had not been submitted.
Where the international app1italion does not comply with the requirements of unity of invention, the app1icant shall pay the additional search fee and the additional preliminary examination fee within the ti1ne fixed by the Patent Office under PCT Rule 40.3 or 68.2.
Ru1e 29 Where an international app1ication designates or elects China, the applicant shall, within the time limit applicable under Rule 19 or 20 of these provisions, Pay the application fee. If the fee is not paid or no paid in full within the applicable time limit, the effect of an international application in China shall cease.
If, in respect of the international application designating or electing China, the right of Priority is claimed, the applicant shall, within the time 1indt applicable under Rule 19 of 20 of these Provisions, pay the fee for claiming priority. If the fee is not Paid or not paid in fu11 within the applicable time limit, the Patent Office shall invite the app1icant to Pay the missing fees within the time fixed in the invitation, failing which, the priority claim shall be considered not t0 have been made.
Rule 30 Where an international application designating or electing China applies for the grant of a patent for invention, the applicant shall Pay a fee for the maintenance of the application f0r the third year before the expiration of 25 months from the filing date of the international application.
If the time limit specified in the previous paragraph expires earlier than the time limit applicable under Rule 20 of these Provisions, the applicant sha1l pay the fee for the maintenance of the application for the third year before the expiration of the time limit prescribed in Ru1e 20 of these Provisions. If the maintenance fee is not paid or not Paid
in full, the Patent Office shall invite the applicant to Pay it Within the time limit of 6 months from the expiration of the time limit due for the Payment of the maintenance fee, and at the same time pay a surcharge Which amounts to 25% the of the maintenance fee.
Rule 31 For an international application designating or electing China, after the acts specified in Rule 19 or 20 of these Provisions have been performed, and the fees specified in the first paragraph of Rule 29 of these Provisions have been paid, unless otherwise Provided for in Rules 29 and 30 of these Provisions, the applicant shall pay the other fees in accordance with the provisions of the Patent Law and the Implementing Regulations.
Chapter 7 Other Provisions
Rule 32 For the fi1ing of an international application With the Patent Office, for the procedure before the Patent Office as the International Searching Authority or as the International Preliminary Examining Authority and as the designated Office or the elected Office as well as other matters related to the international application, the applicant shall appoint a patent agency designated by the Patent Office to act as his agent.
Rule 33 Any Chinese entity or individual intending to file an international application shall obtain the approval of the competent department concerned of the State Council.
Any Chinese entity or individual intending to file an international application may first file a national application with the Patent Office and. within 12 months from the filing date, file an international application designating or electing any other State party to the PCT, or file with the Patent Office directly an international application designating or electing China and any other State party to the PCT.
Rule 34 Where the receiving Office has refused to accord an international filing date or has declared that the international application is considered withdrawn, or where the International Bureau has made a finding under PCT Article l2(3), the applicant may, after having performed the acts specified in Rule 19 or 20 of these Provisions, and having paid the fees specified in the first paragraph of Rule 29 0f these Provisions, in accordance with PCT Article 25(2)(a), request the Patent Office to decide whether that refusal, declaration or finding was justified under the Provisions of the PCT and the Regulations. If the Patent Office finds that the refusal or declaration was the result of an error or omission on the Part of the receiving Office, or that the finding was the result of an error or omission on the part of the International Bureau, the international application shall be treated for the purpose of these Provisions as if such error or omission had not occurred.
Rule 35 Where the effect of an international application designating or electing China ceases in China for having not performed the acts specified in Rule l9 or 20 of these Provisions and having not paid the fees specified in the first paragraph of Rule 29 0f these Provisions, the applicant may request for the restoration of right within two months from the expiration 0f the applicable time limit under Rule l9 or 20 of these Provisions.
When the applicant requests for the restoration of right, he shall pay the restoration fee and, at the same time, perform the acts specified the Rules mentioned above.
Unless these Provisions provide otherwise, after the acts have been performed in accordance with Rule 19 or 20 of these Provisions and the fees paid in accordance with the first paragraph of Rule 29 0f these Provisions, in respect of an international application designating or electing China, if because of force majeure or other justified reason, the time prescribed in the Patent Law or the Implementing Regulations or specified by the Patent Office, is not observed, resulting in the loss of any right, the Provisions of Rule 7 of the Implementing Regulations shall apply.
Rule 36 Where an international application designating or electing China concerns a new microorganism, a microbiologica1 process or a product thereof and involves the use of a microorganism which is no available to the public, the applicant shall' at the latest, deposit on the filing date of the international application a sample 0f the microorganism with a depositary institution designated by the Patent 0ffibe or with any depositary institution who has acquired the status of "international depositary authorities" in accordance with the "Budapest Treaty on the International Recognition of the Deposit of Microorganisms for the Purposes of Patent Procedure". In the latter case, the applicant shall deposit a sarnp1e of the microorganism with the depositary institution designated by the Patent Office before the expiration of the time limit referred to in Rule 19 or 20 of these Provisions.
When the sample 0f the micro-organism is deposited with a depositary institution designated by the Patent Office in accordance with the provisions of the Previous paragraph, the applicant sha1l furnish a receipt of deposit and the viability proof from the depositary institution within three months from the expiration of the applicable time limit under Rule l9 or 20 of these Provisions, failing which, the sample of the micro-organism shall be considered not to have been deposited.
Rule 37 The Chinese Patent Office sha1l be responsible for interpreting these Provisions.
Rule 38 These Provisions shall enter into force on January 1, 1994.
专利局局令
（第 5 号）
1993 年 10 月 1 日，我国政府向世界知识产权组织递交了专利合作条约加入 书。该加入书将于 1994 年 1 月 1 日起生效，届时，我国将成为专利合作条约的缔 约国。为此，特制订《关于中国实施专利合作条约的规定》，现予以发布，自
1994 年 1 月 1 日起施行。
局长高卢麟
1993 年 11 月 23 日
中国专利局关于中国实施专利合作条约的规定
第一章 总则
第一条 为实施《专利合作条约》，特制定本规定。
第二条 在本规定中：
（一）“条约” 是指《专利合作条约》；
（二）“条约实施细则”是指上述条约的实施细则；
（三）“条约行政规程“是指上述条约的行政规程；
（四）“国际局”是指世界知识产权组织的国际局；
（五）“国际申请”是指按照上述条约规定提出的发明或者实用新型专利申 请；
（六）“专利局”是指中华人民共和国专利局；
（七）“专利法”是指中华人民共和国专利法；
（八）“实施细则”是指中华人民共和国专利法实施细则；
（九）、为计算期限的目的，“优先权日” 是指：国际申请要求优先权的，指 在先申请的申请日；国际申请要求多项优先权的，指最早的在先申请的申请日；国
际申请未要求优先权的，指该国际申请的国际申请日。
第三条 向专利局提出或者指定或者选定中国的国际申请适用条约、条约实
施细则、条约行政规程和本规定的规定。除非条约、条约实施细则、条约行政规程
或者本规定另有规定，在专利局作为指定局或者选定局的程序开始后，国际申请
适用专利法和实施细则的规定。
第二章 国际申请程序
第四条 专利局作为国际申请的受理局，负责受理中国国民，或者在中国有经
常居所或者营业所的外国人、外国企业或者外国其他组织提出的国际申请，并按
照条约、条约实施细则和条约行政规程的规定对该国际申请进行检查和处理。
根据中国与其他的条约缔约国签订的双边协定，专利局也可以受理该缔约国
的国民或者居民提出的国际申请。
第五条 申请人应当使用中文或者英文向专利局提出国际申请，该申请应当包
括请求书、说明书、一项或者几项权利要求、一幅或者几幅附图（需要时）和摘
要各一份。
第六条 专利局收到符合条约第十一条第一款规定的国际申请之日为国际申请
日。
专利法第二十八条第二句不适用于国际申请日的确定。
国际申请不符合条约第十一条第一款规定的，专利局应当通知申请人在专利局
依照条约实施细则第二十条第六款指定的期限内进行改正。申请人按照要求进行
改正的，以专利局收到改正之日为国际申请日；申请人期满未答复的，或者改正
后，专利局认为仍然不符合条约第十一条第一款规定的，专利局应当迅速通知申
请人，其申请将不作为国际申请处理。
国际申请中写有对附图的说明但申请中又未包括该附图的，专利局应当通知
申请人在不完整的文件提交之日起三十天内补交附图。
申请人在规定期限内补交附图的，以专利局收到该附图之日为国际申请日；
否则，对附图的说明被认为不存在。
第七条 申请人向专利局提出国际申请的，可以按照条约第八条规定要求在
《保护工业产权巴黎公约》的缔约国提出的或者对该缔约国有效的一项或者几项
在先申请的优先权。要求该优先权的，其手续适用条约实施细则第四条第十款和第
十七条第一款的规定。
第八条 专利局发现国际申请存在条约第十四条第一款（ⅰ）项所述缺陷
的，应当通知申请人按照条约实施细则第二十六条的规定进行改正；未改正的，该
国际申请被认为撤回，并由专利局予以宣布。
第三章 国际检索程序
第九条 专利局作为国际申请的主管国际检索单位，应当按照条约、条约实施
细则、条约行政规程以及专利局与国际局依照条约第十六条第三款签订的协议的
规定对该申请进行国际检索。
如果专利局认为：
（ⅰ）国际申请涉及的情况或者主题按照条约实施细则第十三条之三第一款
（C）或者第三十九条的规定无须专利局检索而且专利局决定对该申请不作检索， 或者
（ⅱ）说明书、权利要求书或者附图不符合条约实施细则规定的要求，以至
不能进行有意义的检索，专利局应当作出相应的宣布，并通知申请人和国际局将
不作出国际检索报告。如果（ⅰ）或者（ⅱ）所述的情形仅存在于某些权利要求，
国际检索报告中应当对这些权利要求加以说明，而对其它权利要求则应当作出检
索报告。如果专利局认为国际申请不符合条约实施细则第十三条规定的发明单一
性的要求，它应当要求申请人按照条约实施细则第四十条的规定缴纳附加费。
专利局应当对国际申请的权利要求中首先提到的发明（“主要发明”）部分作 出国际检索报告，并在要求的附加费已在条约实施细则第四十条第三款规定的期限
内付清后，对国际申请中已经缴纳该项费用的发明部分作出国际检索报告。
第十条 专利局应当在自收到检索本之日起三个月内或者自优先权日起九个月
内，以后到期的为准，作出国际检索报告或者宣布不进行国际检索。
第十一条 申请人根据条约实施细则第四十六条的规定，有一次机会按照条
约第十九条向国际局对国际申请的权利要求提出修改。
修改应当在自专利局向国际局和申请人送交国际检索报告之日起二个月内或
者自优先权日起十六个月内提出，以后到期的为准。但国际局在适用的期限届满后
收到按照条约第十九条规定所作的修改的，如果该修改在国际公布的技术准备工
作完成之前到达国际局，应当认为国际局已在上述期限的最后一日收到该修改。这
种修改不得超出国际申请提出时对发明公开的范围。
第四章 国际初步审查程序
第十二条 已经向专利局提出了国际申请的申请人以及属于专利局与国际局
为国际初步审查目的签订的协议中所规定的范围内的人，可以请求专利局对该申请
进行国际初步审查。
国际初步审查的要求应当以书面形式提交，使用提出国际申请时所用的语
言，并应当符合条约实施细则第五十三条的规定。
国际初步审查要求书中应当至少指明一个预定使用该国际初步审查结果，并
受条约第二章约束的缔约国作为选定国，该选定应当仅选已经在国际申请中指定的
国家。
第十三条 专利局作为国际申请的主管国际初步审查单位，应当按照条约、
条约实施细则、条约行政规程以及专利局与国际局根据条约第三十二条签订的协议
的规定对国际申请进行国际初步审查。
如果专利局认为：（ⅰ）国际申请涉及的情况或者主题按照条约实施细则第
六十六条第二款（a）（ⅶ）或者（a）（ⅶ）或者第六十七条的规定，无须专利局 进行国际初步审查，并且专利局决定对该申请不作审查，或者（ⅱ）说明书、权
利要求书或者附图不清楚，或者权利要求书在说明书中没有适当的依据，因而不能
对请求保护的发明的新颖性、创造性（非显而易见性）或者工业上的实用性，形
成有意义的意见，专利局应当不就条约第三十三条第一款规定的各项问题进行审
查，并应当将这种意见和理由通知申请人。如果认为（ⅰ）或者（）所述的任何
一种情况只存在于某些权利要求中，或者只与某些权利要求有关，上句规定只适用
于这些权利要求。
专利局发现国际申请存在条约实施细则第六十六条第二款（a）项所列情形 的，专利局应当书面通知申请人并要求申请人提出书面答复。申请人答复时可以提
出修改，或者，申请人不同意专利局意见的，可以提出答辩，或者两者兼用。这
种修改不得超出国际申请提出时对发明公开的范围。
专利局认为国际申请不符合条约实施细则第十三条关于发明单一性的规定
的，专利局应当根据条约第三十四条第三款和条约实施细则第六十八条的规定进行
处理。申请人可以自己选择对权利要求书加以限制，或者缴纳附加费；申请人未
在指定期限内进行选择的，或者，申请人虽然对权利要求作了限制，但是仍然不足
以符合发明单一性要求的，或者申请人缴纳附加费不足的，专利局仅就国际申请
中看来是主要发明的部分或者已经交纳附加费的发明部分作出国际初步审查报告。
第十四条 申请人可以在提出国际初步审查要求书时，或者在国际初步审查
报告作出之前，按照条约实施细则第六十六条的规定，向专利局提出条约第三十四
条规定的对权利要求书、说明书和附图的修改。这种修改不得超出国际申请提出
时对发明公开的范围。
第十五条 专利局作出国际初步审查报告的期限应当为：（ⅰ）如果国际初
步审查要求书是在优先权日起十九个月届满之前收到的，自优先权日起二十八个
月；（ⅱ）如果国际初步审查要求书是在优先权日起十九个月届满之后收到的，
自国际初步审查开始起九个月。
第五章 指定和选定程序
第十六条 指定中国的国际申请，自按照条约第十一条第一款确定的国际申请
日起与同一日向专利局提出的中国国家申请具有同等效力。
第十七条 指定中国的国际申请的申请人，如果要求专利局授予实用新型专
利的，应当在其国际申请请求书中作出说明。
第十八条 指定中国并要求获得发明专利保护的国际申请，由国际局按照条
约第二十一条规定以中文进行国际公布的，自国际公布日起，申请人享有专利法第
十三条规定的权利；由国际局以中文以外的文字进行国际公布的，自专利局收到
申请人提交的该国际申请中文译文并在中国专利公报上公布该译文之日起，申请人
享有专利法第十三条规定的权利。
第十九条 除本规定第二十条的规定外，指定中国的国际申请以中文以外的
文字提交的，申请人应当在自优先权日起二十个月届满前向专利局提交国际申请的
中文译文；期满未提交中文译文的，该申请在中国的效力终止。
第二十条 在自优先权日起第十九个月届满前已经选定中国的国际申请，如
果是以中文以外的文字提交的，申请人应当在自优先权日起三十个月届满前向专利
局提交国际申请的中文译文；期满未提交中文译文的，该申请在中国的效力终
止。
第二十一条 申请人按照本规定第十九条或者第二十条规定提交的国际申请
的译文应当包括请求书、说明书、权利要求书、附图中的文字（附具附图副本）和
摘要各一式两份，如果权利要求书已经按照条约第十九条规定进行了修改，该译
文还应当包括修改后的权利要求和条约第十九条所述的声明；如果申请文件已经按
照条约第三十四条规定进行了修改，该译文还应当包括国际初步审查报告附件中
的任何修改。
如果申请人提交了前款所述的译文，但对于修改部分未同时提交原始提出的
和修改后的译文的，专利局应当通知申请人在根据情况是适当的并在通知中规定的
期限内提交缺少的译文。如果申请人未按通知规定提交缺少的原始申请的译文，
该国际申请被认为撤回；如果申请人未按通知规定提交缺少的修改后的译文，该修
改不予以考虑。
如果申请人仅提交了一份译文，专利局应当通知申请人在根据情况是适当的
并在通知中规定的期限内提交另一份译文。申请人未遵守通知规定的，该申请被认
为撤回。如果申请人未提交按条约第十九条所述的声明的译文，该声明不予以考
虑。
第二十二条 国际申请指定中国的，申请人可以在履行本规定第十九条规定的
行为之日起一个月内向专利局提出对权利要求书、说明书和附图的修改；但是，
如果在本规定第十九条规定的期限届满时，条约实施细则第四十七条第一款规定的
送达尚未进行，申请人可以在自该期限届满之日起四个月内向专利局提出上述修
改。这种修改不得超出国际申请提出时对发明公开的范围。
第二十三条 国际申请在自优先权日起十九个月届满前选定中国的，申请人
可以在履行本规定第二十条规定的行为之日起一个月内向专利局提出对权利要求
书、说明书和附图的修改；但是，如果在本规定第二十条规定的期限届满时，国
际初步审查报告的送交尚未进行，申请人可以在自该期限届满之日起四个月内向专
利局提出上述修改。这种修改不得超出国际申请提出时对发明公开的范围。
第二十四条 指定中国或者选定中国的国际申请由于不符合发明单一性的规
定，其某些部分未经国际检索或者国际初步审查的，申请人应当在专利局指定的期
限内缴纳条约第十七条第三款（b）或者条约第三十四条第三款（b）中所述的特 别的费用。期满未缴纳或者未缴足的，该申请中的发明的未经检索或者国际初步审
查部分被认为撤回。
第二十五条 按照专利法和实施细则的规定，指定中国或者选定中国的国际
申请应当向专利局提交条约第二十七条第二款和第六款规定的证明文件的，应当在
本规定第十九条或者第二十条规定的期限届满前提交；期满未提交的，专利局应
当通知申请人在通知规定的期限内补交。
第二十六条 指定中国并要求一个或者几个按照专利法规定提出的在先申请的
优先权的国际申请适用实施细则第三十三条的规定。
第六章 费用
第二十七条 在国际申请的国际程序中，申请人应当按照条约实施细则的规
定缴纳下列费用：
（一）传送费；
（二）国际费，包括基本费和指定费；
（三）检索费和附加检索费；
（四）手续费；
（五）初步审查费和附加初步审查费；
（六）确认费；
（七）滞纳金；
（八）条约实施细则规定的其他费用。前款所列各种费用的数额，缴费的币
种和缴费方式由专利局另行公布。
第二十八条 申请人应当在自专利局收到国际申请之日起一个月内缴纳传送
费、基本费和检索费；期满未缴纳或者未缴足的，专利局应当通知申请人在自通
知之日起一个月内缴纳未缴的费用和滞纳金；期满未缴纳的，该申请被认为撤回。
申请人应当在自优先权日起一年内，或者在专利局收到国际申请之日起一个
月内，以后到期的为准，缴纳指定费；期满未缴纳或者未缴足的，专利局应当通知
申请人在自通知之日起一个月内缴纳未缴的费用和滞纳金；期满未缴纳的，与该
费用有关的指定，或者如果未缴纳任何指定费的，该项指定或者该国际申请被认为
撤回。在按照条约实施细则第四条第九款（C）确认一项指定时，申请人应当在自 优先权日起十五个月内缴纳指定费和确认费。
申请人在向专利局提交国际初步审查要求书时应当缴纳手续费和初步审查
费；未按规定缴纳或者缴足的，专利局应当通知申请人在通知之日起一个月内缴
纳；期满未缴纳的，该要求书被认为未提交。国际申请不符合发明单一性的规定
的，申请人应当在专利局按照条约实施细则第四十条第三款或者第六十八条第二款
指定的期限内缴纳附加检索费和附加初步审查费。
第二十九条 国际申请指定中国或者选定中国的，申请人应当在本规定第十
九条或者第二十条规定的期限内缴纳申请费；期满未缴纳或者未缴足的，该申请在
中国的效力终止。
国际申请指定中国或者选定中国并要求优先权的，申请人应当在本规定第十
九条或者第二十条规定的期限内缴纳优先权要求费；期满未缴纳或者未缴足的，专
利局应当通知申请人在自通知规定的期限内缴纳，期满仍未缴纳的，该优先权被
认为未要求。
第三十条 国际申请指定中国或者选定中国并要求获得发明专利保护的，申请
人应当在自国际申请日起第二十五个月届满前缴纳第三年度申请维持费。如果上
述缴费期限届满之日早于本规定第二十条规定的期限届满之日，申请人应当在本规
定第二十条规定的期限届满前缴纳第三年度申请维持费；期满未缴纳或者未缴足
的，专利局应当通知申请人自应当缴纳该申请维持费期限届满之日起六个月内补
缴，同时缴纳金额为申请维持费的 25％滞纳金。
第三十一条 指定中国或者选定中国的国际申请，在履行本规定第十九条或
者第二十条规定的行为和缴纳本规定第二十九条第一款规定的申请费之后，除本规
定第二十九条和第三十条另有规定外，申请人应当按照专利法和实施细则的规定
缴纳费用。
第七章 其他条款
第三十二条 向专利局提出国际申请，在专利局作为国际检索单位或者国际
初步审查单位，或者作为指定局或者选定局的程序中，以及处理与国际申请有关的
其他事务的，申请人应当委托专利局指定的专利代理机构办理。
第三十三条 中国单位和个人提出国际申请的，应当经国务院有关主管部门
同意。
中国单位和个人提出国际申请的，可以首先向专利局提出国内申请，并在自
申请日起十二个月内提出国际申请指定或者选定条约其它缔约国，或者直接向专利
局提出国际申请指定或者选定中国和条约其它缔约国。
第三十四条 如果受理局拒绝给予国际申请日，或者宣布国际申请已被认为
撤回，或者如果国际局已经按条约第十二条第三款作出认定，申请人在履行本规定
第十九条或者第二十条规定的行为和缴纳本规定第二十九条第一款规定的申请费
之后，根据条约第二十五条第二款（a），可以要求专利局根据条约和条约实施细 则决定该拒绝，宣布或者认定是否合理。如果专利局认为拒绝或者宣布是由受理
局的错误或者疏忽所造成，或者认定是由国际局的错误或者疏忽所造成，就本规定
而言，该国际申请应当和未发生这种错误或者疏忽一样被对待。
第三十五条 指定中国或者选定中国的国际申请因未履行本规定第十九条或
者第二十条规定的行为和缴纳本规定第二十九条第一款规定的申请费其效力在中
国被终止的，申请人可以在本规定第十九条或者第二十条规定的期限届满之日起二
个月内请求恢复其权利。申请人请求恢复权利的，应当缴纳恢复费并同时履行上
述各条款中规定的行为。
除本规定另有规定的以外，指定中国或者选定中国的国际申请在履行本规定第
十九条或者第二十条规定的行为和缴纳本规定第二十九条第一款规定的申请费之
后由于不可抗拒的事由或者由于正当理由未能遵守专利法或者实施细则规定的期限
或者专利局指定的期限，造成其权利丧失的，适用实施细则第七条的规定。
第三十六条 指定中国或者选定中国的国际申请涉及新的微生物、微生物学
方法或者其产品，而且使用的微生物是公众不能得到的，申请人最迟应当在国际
申请日向专利局指定的保藏单位，或者，向依照《国际承认用于专利程序的微生物
保藏布达佩斯条约》取得了“国际保藏单位”资格的保藏单位，提交微生物菌种保 藏。在后一种情况下，申请人应当在本规定第十九条或者第二十条规定的期限届满
前，将该微生物菌种提交专利局指定的微生物菌种保藏单位保藏。
申请人按照上款提交微生物菌种保藏的，应当在本规定第十九条或者第二十
条规定的期限届满之日起三个月内提交专利局指定的保藏单位出具的保藏证明和存
活证明；期满未提交证明的，该菌种被认为未提交保藏。
第三十七条 本规定由中国专利局负责解释。
第三十八条 本规定自一九九四年一月一日起施行。