World Intellectual Property Organization

PCT Receiving Office Guidelines

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

Later Finding of Non-Compliance with Requirements of Article 11(1)

52. If, within four months from the international filing date, the receiving Office finds that any of the requirements listed in Article 11(1)(i) to (iii) was not complied with on that date, it proceeds in accordance with Article 14(4) and Rules 29.4 and 30. However, the receiving Office does not apply that procedure if the requirements for transmittal of a purported international application to the International Bureau as receiving Office under Rule 19.4(a)(i) or (ii) are fulfilled, in which case it transmits the international application to the International Bureau as receiving Office (paragraphs 274 to 276).

53.  Where the receiving Office intends to declare the international application withdrawn under Article 14(4), it notifies (Form PCT/RO/115) the applicant of its intention and the reasons therefor. At the same time, it invites the applicant to submit arguments under Rule 29.4(a) within two months from the notification. Where the defect consists of a missing element referred to in Article 11(1)(iii)(d) or (e), the receiving Office also invites the applicant to confirm, in accordance with Rule 20.6(a), that the element is incorporated by reference under Rule 4.18, unless the receiving Office has notified the International Bureau under Rule 20.8(a) that Rule 20.6(a) is incompatible with its national law. If, following such notification, the receiving Office decides, for example, after having considered the arguments presented by the applicant, and/or after having made a finding under Rule 20.6(b), not to issue such a declaration, it notifies (Form PCT/RO/127) the applicant as provided for in Section 312, and/or it proceeds as described in Section 309(b) and issues Form PCT/RO/114.

54. If, despite the applicant’s arguments, or after having refused the incorporation by reference of a missing element (Rule 20.6(c)), the receiving Office declares the international application withdrawn under Article 14(4), it proceeds in compliance with Rule 29.1. A declaration under Article 14(4) may only be issued if the receiving Office has found, within four months from the international filing date, that any of the requirements listed in Article 11(1)(i) to (iii) was not complied with on that date (Rule 30.1). Form PCT/RO/143 is used to notify the applicant. The notification must indicate the reasons for such declaration.  Where applicable, Form PCT/RO/114 is issued at the same time, refusing the incorporation by reference.

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