Administrative Instructions under the Patent Cooperation Treaty

 as in force from July 1, 2019

TABLE OF CONTENTS1

PART 1: INSTRUCTIONS RELATING TO GENERAL MATTERS

  • Section 101: Abbreviated Expressions and Interpretation
  • Section 102: Use of the Forms
  • Section 102bis[Deleted]
  • Section 103: Languages of the Forms Used by International Authorities
  • Section 104: Language of Correspondence
  • Section 105: Identification of International Application with Two or More Applicants
  • Section 106: Change of Common Representative
  • Section 107: Identification of International Authorities and of Designated and Elected Offices
  • Section 108: Correspondence Intended for the Applicant
  • Section 109: File Reference
  • Section 110: Dates
  • Section 111: Procedure and Considerations in the Case of Excuse of the Delay in Meeting Certain Time Limits under Rule 82quater
  • Section 112: Ceasing of Effect under Articles 24(1)(iii) and 39(2), Review under Article 25(2) and Maintaining of Effect under Articles 24(2) and 39(3)
  • Section 113: Special Fees Payable to the International Bureau
  • Section 114: [Deleted]
  • Section 115: Indications of States, Territories and Intergovernmental Organizations

PART 2: INSTRUCTIONS RELATING TO THE INTERNATIONAL APPLICATION

  • Section 201: Language of the International Application
  • Section 202: [Deleted]
  • Section 203: Different Applicants for Different Designated States
  • Section 204: Headings of the Parts of the Description
  • Section 204bis:  Numbering of Claims
  • Section 205: Numbering and Identification of Claims upon Amendment
  • Section 206: Unity of Invention
  • Section 207: Arrangement of Elements and Numbering of Sheets of the International Application
  • Section 208: Sequence Listings
  • Section 209: Indications as to Deposited Biological Material on a Separate Sheet
  • Section 210: [Deleted]
  • Section 211: Declaration as to the Identity of the Inventor
  • Section 212: Declaration as to the Applicant’s Entitlement to Apply for and Be Granted a Patent
  • Section 213: Declaration as to the Applicant’s Entitlement to Claim Priority of Earlier Application
  • Section 214: Declaration of Inventorship
  • Section 215: Declaration as to Non-Prejudicial Disclosures or Exceptions to Lack of Novelty
  • Section 216: Notice of Correction or Addition of a Declaration under Rule 26ter
  • Section 217:  Corrections Concerning Expressions, Etc., Not to Be Used in the International Application under Rule 9.2
  • Section 218: Processing of a Request for Omission of Information Referred to in Rules 48.2(l) and 94.1(e)

PART 3: INSTRUCTIONS RELATING TO THE RECEIVING OFFICE

  • Section 301: Notification of Receipt of Purported International Application
  • Section 302: Priority Claim Considered Not to Have Been Made
  • Section 303: Deletion of Additional Matter in the Request
  • Section 304: Invitation to Pay Fees before Date on Which They Are Due
  • Section 305: Identifying the Copies of the International Application
  • Section 305bis: Preparation, Identification and Transmittal of the Copies of the Translation of the International Application
  • Section 305ter: Identification and Transmittal of the Translation of an Earlier Application Furnished under Rule 20.6(a)(iii)
  • Section 306: Delayed Transmittal of Search Copy
  • Section 307: System of Numbering International Applications
  • Section 308: Marking of the Sheets of the International Application and of the Translation Thereof
  • Section 308bis: Marking of Later Submitted Sheets
  • Section 309: Procedure in the Case of Later Submitted Sheets Furnished for the Purposes of Incorporation by Reference
  • Section 310: Procedure in the Case of Later Submitted Sheets Not Furnished for the Purposes of Incorporation by Reference
  • Section 310bis: Procedure in the Case of Later Submitted Sheets Resulting in the Correction of the International Filing Date under Rule 20.5(c)
  • Section 310ter: Procedure in the Case of Later Submitted Sheets Furnished after the Expiration of the Applicable Time Limit Referred to in Rule 20.7
  • Section 311: Renumbering in the Case of Deletion, Substitution or Additionof Sheets of the International Application and of the Translation Thereof
  • Section 312: Notification of Decision Not to Issue Declaration that the International Application Is Considered Withdrawn
  • Section 313: Documents Filed with the International Application; Manner of Marking the Necessary Annotations in the Check List
  • Section 314: Correction or Addition of a Priority Claim under Rule 26bis
  • Section 315:  Processing of Documents by the Receiving Office under Rule 26bis.3(hbis)
  • Section 316: Procedure in the Case Where the International Application Lacks the Prescribed Signature
  • Section 317: Transmittal of a Notice of Correction or Addition of a Declaration under Rule 26ter.1
  • Section 318: Cancellation of Designations of Non-Contracting States
  • Section 319: Procedure under Rule 4.9(b)
  • Section 320: Invitation to Pay Fees under Rule 16bis.1(a)
  • Section 321: Application of Moneys Received by the Receiving Office in Certain Cases
  • Section 322: Invitation to Submit a Request for Refund of the Search Fee
  • Section 323: Transmittal of Priority Documents to International Bureau
  • Section 324: Copy of Notification of the International Application Number and the International Filing Date under Rule 20.2(c)
  • Section 325: Corrections of Defects under Rule 26.4 and Rectifications of Obvious Mistakes under Rule 91
  • Section 326: Withdrawal by Applicant under Rule 90bis.1, 90bis.2 or 90bis.3
  • Section 327: Ex Officio Correction of Request by the Receiving Office
  • Section 328: Notifications Concerning Representation
  • Section 329: Correction of Indications Concerning the Applicant’s Residence or Nationality
  • Section 330: Transmittal of Record Copy Prevented or Delayed by National Security Prescriptions
  • Section 331: Receipt of Confirmation Copy
  • Section 332: Notification of Languages Accepted by the Receiving Office under Rules 12.1(a) and (c) and 12.4(a)
  • Section 333: Transmittal of International Application to the International Bureau as Receiving Office
  • Section 334: Notification to Applicant of Submission of Demand after the Expiration of 19 Months from the Priority Date
  • Section 335[Deleted]
  • Section 336: Waivers under Rules 90.4(d) and 90.5(c)
  • Section 337:  [Deleted]

PART 4: INSTRUCTIONS RELATING TO THE INTERNATIONAL BUREAU

  • Section 401: Marking of the Sheets of the Record Copy
  • Section 402: Correction or Addition of a Priority Claim under Rule 26bis
  • Section 403: Transmittal of Protest against Payment of Additional Fees and Decision Thereon Where International Application Is Considered to Lack Unity of Invention
  • Section 404: International Publication Number of International Application
  • Section 405: Publication of Notifications of Languages Accepted by the Receiving Office under Rules 12.1(a) and (c) and 12.4(a)
  • Section 406: Publication of International Applications
  • Section 406bis: Suggested English Translation of the Title of the Invention
  • Section 407: The Gazette
  • Section 408: Priority Application Number
  • Section 409: Priority Claim Considered Not to Have Been Made
  • Section 410: Numbering of Sheets for the Purposes of International Publication; Procedure in Case of Missing Sheets
  • Section 411: Receipt of Priority Document
  • Section 411bis: Receipt of Translation of Earlier Application under Rule 20.6(a)(iii)
  • Section 412: Notification of Lack of Transmittal of Search Copy
  • Section 413: Incorporations by Reference under Rule 20, Corrections of Defects under Rule 26.4 and Rectifications of Obvious Mistakes under Rule 91, and Corrections under Rule 9.2
  • Section 413bis: Rectifications of Obvious Mistakes under Rule 91
  • Section 414: Notification to the International Preliminary Examining Authority Where the International Application Is Considered Withdrawn
  • Section 415: Notification of Withdrawal under Rule 90bis.1, 90bis.2, 90bis.3, 90bis.3bis or 90bis.4
  • Section 416: Correction of Request in Record Copy
  • Section 417: Processing of Amendments under Article 19
  • Section 418: Notifications to Elected Offices Where the Demand Is Considered Not to Have Been Submitted or Made
  • Section 419: Processing of a Declaration under Rule 26ter
  • Section 420:  Copy of International Application, International Search Report and Supplementary International Search Report for the International Preliminary Examining Authority
  • Section 421: Invitation to Furnish a Copy of the Priority Document
  • Section 422: Notifications Concerning Changes Recorded under Rule 92bis.1
  • Section 422bis: Objections Concerning Changes in the Person of the Applicant Recorded under Rule 92bis.1(a)
  • Section 423: Cancellation of Designations and Elections
  • Section 424: Procedure under Rule 4.9(b)
  • Section 425: Notifications Concerning Representation
  • Sections 426 to 429: [Deleted]
  • Section 430: Notification of Designations under Rule 32
  • Section 431: Publication of Notice of Submission of Demand
  • Section 432: Notification to Applicant of Submission of Demand after the Expiration of 19 Months from the Priority Date
  • Section 433: Waivers under Rule 90.4(d)
  • Section 434: Publication of Information Concerning Waivers under Rules 90.4(d) and 90.5(c)
  • Section 435: Communication of Publications and Documents
  • Section 436:  Preparation, Identification and Transmittal of the Copies of the Translation of the International Application

PART 5: INSTRUCTIONS RELATING TO THE INTERNATIONAL SEARCHING AUTHORITY

  • Section 501:   [Deleted]
  • Section 502: Transmittal of Protest against Payment of Additional Fees and Decision Thereon Where International Application Is Considered to Lack Unity of Invention
  • Section 503: Method of Identifying Documents Cited in the International Search Report and the Written Opinion of the International Searching Authority
  • Section 504: Classification of the Subject Matter of the International Application
  • Section 505: Indication of Citations of Particular Relevance in the International Search Report
  • Section 506: [Deleted]
  • Section 507: Manner of Indicating Certain Special Categories of Documents Cited in the International Search Report
  • Section 508: Manner of Indicating the Claims to Which the Documents Cited in the International Search Report Are Relevant
  • Section 509: International Search and Written Opinion of the International Searching Authority on the Basis of a Translation of the International Application
  • Section 510: Refund of Search Fee in Case of Withdrawal of International Application
  • Section 511: Rectifications of Obvious Mistakes under Rule 91
  • Section 512: Notifications Concerning Representation
  • Section 513: Sequence Listings
  • Section 514: Authorized Officer
  • Section 515: Modification of Abstract in Response to Applicant’s Comments
  • Section 516: Notification to Applicant of Submission of Demand after the Expiration of 19 Months from the Priority Date
  • Section 517: Waivers under Rules 90.4(d) and 90.5(c)
  • Section 518: Guidelines for Explanations Contained in the Written Opinion of the International Searching Authority
  • Section 519:  Notification of Receipt of Copy of International Application for the Purposes of Supplementary International Search
  • Section 520:  Withdrawal by Applicant under Rule 90bis.3bis

PART 6: INSTRUCTIONS RELATING TO THE INTERNATIONAL PRELIMINARY EXAMINING AUTHORITY

  • Section 601: Notification to Applicant of Submission of Demand after the Expiration of 19 Months from the Priority Date
  • Section 602: Processing of Amendments by the International Preliminary Examining Authority
  • Section 603: Transmittal of Protest against Payment of Additional Fees and Decision Thereon Where International Application Is Considered to Lack Unity of Invention
  • Section 604: Guidelines for Explanations Contained in the International Preliminary Examination Report
  • Section 605: File to Be Used for International Preliminary Examination
  • Section 606: Cancellation of Elections
  • Section 607: Rectifications of Obvious Mistakes under Rule 91
  • Section 608: Notifications Concerning Representation
  • Section 609: Withdrawal by Applicant under Rules 90bis.1, 90bis.2 or 90bis.3
  • Section 610: Sequence Listings
  • Section 611: Method of Identification of Documents in the International Preliminary Examination Report
  • Section 612: Authorized Officer
  • Section 613: Invitation to Submit a Request for Refund of Fees under Rule 57.4 or 58.3
  • Section 614: Evidence of Right to File Demand
  • Section 615: Invitation to Pay Fees before Date on Which They Are Due
  • Section 616: International Preliminary Examination on the Basis of a Translation of the International Application
  • Section 617: Waivers under Rules 90.4(d) and 90.5(c)

PART 7: INSTRUCTIONS RELATING TO THE FILING AND PROCESSING IN ELECTRONIC FORM OF INTERNATIONAL APPLICATIONS

  • Section 701: Abbreviated Expressions
  • Section 702: Filing, Processing and Communication in Electronic Form of International Applications
  • Section 703: Filing Requirements; Basic Common Standard
  • Section 704: Receipt; International Filing Date; Signature; Physical Requirements
  • Section 705: Home Copy, Record Copy and Search Copy Where International Application Is Filed in Electronic Form
  • Section 705bis: Processing in Electronic Form of International Applications Filed on Paper; Home Copy, Record Copy and Search Copy
  • Section 706:  Documents in Pre-Conversion Format 
  • Section 707: Calculation of International Filing Fee and Fee Reduction
  • Section 708: Special Provisions Concerning Legibility, Completeness, Infection by Viruses, Etc.
  • Section 709: Means of Communication with the Receiving Office
  • Section 710: Notification and Publication of Receiving Offices' Requirements and Practices
  • Section 711: Electronic Records Management
  • Section 712: Access to Electronic Records
  • Section 713: Application of Provisions to International Authorities and the International Bureau, and to Notifications, Communications, Correspondence and Other Documents
  • Section 714: Furnishing by the International Bureau of Copies of Documents Kept in Electronic Form; Designated Offices’ Signature Requirements
  • Section 715:  Availability of Priority Documents from Digital Libraries
  • Section 716:  Request that Priority Document Be Obtained from a Digital Library under Rule 17.1(b-bis)

PART 8: INSTRUCTIONS RELATING TO OBSERVATIONS BY THIRD PARTIES

  • Section 801: Third Party Observation System
  • Section 802: Filing of a Third Party Observation
  • Section 803: Availability of an Observation and Related Information
  • Section 804: Notification of Receipt of an Observation to the Applicant and Comments by the Applicant in Response to an Observation
  • Section 805: Communication of Observations and Comments to International Authorities and Designated Offices

ANNEX A: FORMS

ANNEX B: UNITY OF INVENTION

ANNEX C: STANDARD FOR THE PRESENTATION OF NUCLEOTIDE AND AMINO ACID SEQUENCE LISTINGS IN INTERNATIONAL PATENT APPLICATIONS UNDER THE PCT

  • Appendix 1: Numeric Identifiers
  • Appendix 2: Nucleotide and Amino Acid Symbols and Feature Table

Table 1: List of Nucleotides

Table 2: List of Modified Nucleotides

Table 3: List of Amino Acids

Table 4: List of Modified and Unusual Amino Acids

Table 5: List of Feature Keys Related to Nucleotide Sequences

Table 6: List of Feature Keys Related to Protein Sequences

ANNEX D: INFORMATION FROM FRONT PAGE OF PUBLISHED INTERNATIONAL APPLICATION TO BE INCLUDED IN THE GAZETTE UNDER RULE 86.1(i)

ANNEX E: INFORMATION TO BE PUBLISHED IN THE GAZETTE UNDER RULE 86.1(v)

ANNEX F: Standard for the Electronic Filing and Processing of International Applications

  1.  Editor’s Note: Table of Contents and Editor’s Notes are added for the convenience of the reader; they do not form part of the Administrative Instructions.