WARNING: Although the information which follows was correct at the time of publication, some information may no longer be applicable; for example, amendments may have been made to the PCT Regulations and Administrative Instructions, as well as to PCT Forms, since the PCT Newsletter concerned was published; changes to certain fees and references to certain publications may no longer be valid. Wherever there is a reference to a PCT Rule, please check carefully whether the Rule in force at the date of publication of the advice has since been amended.

The minimum requirements for filing an international application

Q: I have an international application that needs to be submitted as soon as possible. What are the minimum requirements for filing a PCT application and what can I submit at a later date? What is the recommended filing method, if I have a choice?

A: You are strongly advised to file your international application electronically as the different types of e-filing software accepted by various PCT receiving Offices will guide you towards providing the essential data and documents that must be present for an international filing date to be accorded.

In particular, the ePCT system provided by WIPO contains an online-filing function, ePCT-Filing, and it offers you a simple, intuitive interface for web-based filing that will ensure all the minimum requirements are fulfilled before you file. The receiving Office of the International Bureau (RO/IB) and a number of other receiving Offices (ROs) accept international applications filed via ePCT. It provides real-time validations against data held in the database of the International Bureau (IB), which means that the reference data and online validation messages are always the most up-to-date. Formalities errors will in many cases be detected and can be corrected before the application is filed with the RO. There is no need to worry about having the latest version of software installed on your computer - all that is required is a WIPO account set up with a strong authentication method.

Moreover, after an international application has been filed using ePCT, and provided that the RO to which the application was submitted is an Office that accepts the upload of post-filing documents using ePCT, you can submit 'same day corrections' up until midnight in the time zone of the RO in order to add documents that may have been omitted at the time of filing and which affect the according of the international filing date, such as the description, claims and drawings.

Irrespective of how you submit your PCT application, before your application is accepted, the RO will accord the international filing date as the date of receipt of the international application provided that that the following conditions have been complied with in accordance with PCT Article 11:

(i) the applicant does not obviously lack, for reasons of residence or nationality, the right to file an international application with the receiving Office;

(ii) the international application is in the prescribed language; and

(iii) the international application contains at least the following elements:

(a) an indication that it is intended as an international application;

(b) the designation of at least one Contracting State;

(c) the name of the applicant, as prescribed;

(d) a part which on the face of it appears to be a description; and

(e) a part which on the face of it appears to be a claim or claims.

Note that if you file your international application using electronic filing software, none of the above omissions would be possible as most e-filing software will not allow you to submit the application if any of the above conditions is not complied with. If you do not file electronically and any of the above information is missing or defective at the time of filing, the RO will invite you to file the required correction. If you comply with the invitation, the RO will accord the date of receipt of the required correction as the international filing date.

Provided that you fulfill all the above requirements, you will be accorded an international filing date. The according of such a date means that your PCT application will have the effect of a regular national application filed in each designated State on that date within the meaning of the Paris Convention for the Protection of Industrial Property (see PCT Article 11(4)).

The RO will then check the international application for defects under Article 14, that is to say:

(i) it is not signed as provided in the Regulations;

(ii) it does not contain the prescribed indications concerning the applicant;

(iii) it does not contain a title;

(iv) it does not contain an abstract;

(v) it does not comply to the extent provided in the Regulations with the prescribed physical requirements.

Again, if the RO finds any of the above defects, it will invite the applicant to correct the international application within the prescribed time limit. The signature, information regarding the applicant, the title and the abstract can all be provided after the initial submission of the international application as can corrections of the physical requirements. It should also be noted that if the international application refers to drawings which in fact are not included in the application, the RO will notify the applicant accordingly. If you furnish them within the prescribed time limit, the international filing date will be amended to the date on which the drawings were received by the RO (you would then still have a chance to decide whether you would accept this new international filing date or request that the later submitted drawings be disregarded to keep the original international filing date). The same applies to the completion of the international application for other reasons.

The above requirements are provided for in the PCT Treaty and Regulations, and once complied with, the international application must be accepted as to its form by all designated Offices also for the purposes of the national phase. This avoids the applicant having to comply with the variety of differing formal requirements in the many countries in which protection may be sought.

After filing, it is possible to request the addition of a priority claim that was not included at the time of filing, provided that the request is made within the time limit provided for in PCT Rule 26bis.1(a). Declarations of inventorship under PCT Rule 4.17(iv) may also be submitted after the filing of the international application.

For further information please refer to the "Practical Advice" published in the following issues of the PCT Newsletter:

No. 05/2007: Later furnishing of missing elements or parts of the international application;

No. 12/2007: Later submission of the abstract of the international application;

No. 03/2014: Submitting declarations of inventorship under PCT Rule 4.17(iv) after the filing of the international application;

No. 12/2014: Conditions to be met when confirming incorporation by reference of a missing part of the international application;

No. 07-08/2015: Diverging practices of receiving Offices regarding the incorporation of missing parts; and

No. 02/2019: Requesting the addition of a missing priority claim.