1. Pursuant to Rules 96.2(b) and 96.2(c) and Section 114 of the PCT Administrative Instructions, the notification of receipt of fees and the transfer of fees collected by one Office for the benefit of another Office shall be carried out in accordance with the provisions set out in this Annex.
2. For the purposes of this Annex, the term “Office” has the same definition as in Rule 96.2(a).
II.1 AGREEMENT TO PARTICIPATE IN THE WIPO FEE TRANSFER SERVICE
3. An Office (“participating Office”) may agree with the International Bureau to participate in the WIPO process for exchanging fees via the International Bureau (“WIPO Fee Transfer Service”) for PCT purposes by:
(a) transferring some or all fees collected by it for the benefit of another participating Office to that other participating Office via the International Bureau in accordance with the provisions set out in this Annex; and
(b) having some or all fees collected by another participating Office for its benefit transferred to it via the International Bureau in accordance with the provisions set out in this Annex.
4. Where a collecting Office and the corresponding beneficiary Office have agreed to participate in the WIPO Fee Transfer Service, the transfer of
(a) international filing fees under Rule 15.2(c) or (d) collected by the Office in its capacity as a receiving Office for the benefit of the International Bureau;
(b) search fees under Rule 16.1(c) or (d) collected by the Office in its capacity as a receiving Office for the benefit of a participating Office in its capacity as an International Searching Authority;
(c) supplementary search fees under Rule 45bis.3(b) collected by the International Bureau for the benefit of a participating Office in its capacity as an Authority specified for supplementary search;
(d) handling fees under Rule 57.2(c) or (d) collected by an International Preliminary Examining Authority for the benefit of the International Bureau; and
(e) differences under Rule 16.1(e) relating to search fees received by the Office in its capacity as an International Searching Authority in a currency other than its fixed currency;
from the collecting office to the International Bureau for further transfer to the beneficiary Office shall be considered to be the transfer of said fee in accordance with Rule 15.2(c) or (d), Rule 16.1(c) or (d), Rule 45bis.3(b), Rule 57.2(c) or (d), or Rule 16.1(e), as applicable and shall not be considered a payment by the collecting office to a third party. The transfer shall be carried out promptly in accordance with a timetable for such transfers agreed between the Offices concerned and/or the International Bureau. The Office carrying out the transfer (including, where applicable, the International Bureau) shall bear all bank charges for the transfer of the fees.
5. A participating Office, in its capacity as an International Searching Authority, may agree with the International Bureau that some or all of the transfers of fees by it under paragraph 3(a) and the transfer of fees to it under paragraph 3(b) shall be subject to netting in accordance with the provisions set out in this Annex (“fee transfer subject to netting”).
6. The agreement shall specify the formats referred to in paragraphs 10 and 14, below, in which notifications of fee payments and lists of fees to be transferred shall be exchanged.
7. The International Bureau shall publish a list of the PCT fee transfers that are part of the WIPO Fee Transfer Service for each participating Office in the PCT Gazette.
II.2 COMMON TIMETABLE FOR FEE LISTS AND FEE TRANSFERS
8. The International Bureau shall, following consultation with participating Offices and taking into account dates when Offices are closed or bank transfers may not be possible, annually establish a timetable (“the common timetable”) specifying the latest dates each month by which lists should be established under paragraphs 13 and 14, below, and transfer of fees made to and from the International Bureau under paragraphs 19 to 23, below. The timetable and any subsequently required modifications shall be transmitted to each participating Office and published in the PCT Gazette.
III. NOTIFICATION AND TRANSFER OF FEES VIA THE INTERNATIONAL BUREAU
III.1 NOTIFICATION OF THE RECEIPT OF FEES
Notification to the International Bureau by a Collecting Office
9. In accordance with Rule 96.2(b), a collecting Office shall promptly notify the International Bureau of each fee received in full by the Office for the benefit of the International Bureau or to be transferred to a beneficiary Office via the International Bureau. It shall preferably also promptly notify the International Bureau of other fees received, whether for the benefit of itself or of other beneficiary Offices in their role as receiving Office, International Searching Authority, Authority specified for supplementary search or International Preliminary Examining Authority.
10. A notification of a fee received by a collecting Office according to paragraph 9 shall be made to the International Bureau in a format agreed between the collecting Office and the International Bureau. The notification shall contain sufficient information to make clear the relevant international application and the type of fee paid and shall preferably be made using XML conforming to a DTD published for the purpose in Appendix I to Annex F.
11. In the case where an overpayment has been received, the fee shall be promptly notified as having been paid in the proper amount, without waiting for any refunds to be made.
Notification to the Beneficiary Office by the International Bureau
12. Where a notification under Rule 96.2(b) relates to a fee for a beneficiary Office other than the International Bureau, the International Bureau shall promptly inform the Office concerned. Where the search copy is transmitted to the International Searching Authority by the International Bureau on behalf of the receiving Office, information that the search fee has been paid may take the form of the transmission of the search copy and, where necessary, be delayed until the other requirements for such transmission have been met.
III.2 TRANSMISSION OF INFORMATION BY PARTICIPATING OFFICES TO THE INTERNATIONAL BUREAU CONCERNING MONTHLY OR OTHER PERIODIC FEE TRANSFERS
Transmission of fee transfer information by the Collecting Office
13. A participating collecting Office shall establish and transmit to the International Bureau, in accordance with the common timetable, a list of:
(a) the fees collected by that Office in the course of the preceding month or other agreed interval, which are to be paid to the International Bureau or to be transferred via the International Bureau for the benefit of another Office; and
(b) corrections and omissions relating to fees transferred, or which should have been transferred, in previous months.
14. The list shall be in a format agreed between the collecting Office and the International Bureau. The list shall contain sufficient information to validate the amounts to be transferred and shall preferably be made using XML conforming to the DTD published for the purpose in Appendix I of Annex F.
Differences in Fees Received by International Searching Authorities from Non-Participating Offices
15. Any participating International Searching Authority that receives search fees directly from receiving Offices in a prescribed currency different from the fixed currency shall, at agreed intervals, establish and transmit to the International Bureau a list of the amounts of fees received in the prescribed and fixed currencies in a format agreed between the Authority and the International Bureau, sufficient to determine the difference due to the International Bureau or to the International Searching Authority in accordance with Rule 16.1(e).
16. The Authority shall also submit documentation agreed with the International Bureau showing the amounts transferred in the prescribed currency, the date, the exchange rate applied and the amount received in the fixed currency.
III.3 CHECKING OF FEE INFORMATION RECEIVED
17. The International Bureau shall check the fee information received in accordance with paragraphs 9, 13 and 15 against the information it holds in its databases with regard to the international applications concerned and confirm to that Office that the information it has received is consistent. In case of differences that require reconciliation, the International Bureau shall contact the participating Office. Where possible, any required corrections shall be made to the relevant notifications and lists in time to be reflected in the transmission of fees in the month following their receipt by the collecting Office.
III.4 CORRECTION OF ERRORS AND OMISSIONS
18. Any errors or omissions discovered in the information transmitted concerning fees collected by one Office for the benefit of another to be transferred through the WIPO Fee Transfer Service shall be notified promptly to the International Bureau. The International Bureau shall promptly inform any other Office to which the erroneous information has been transmitted, including notifying the beneficiary Office of any corrections required to amounts that have already been transferred to that Office. Where the error is discovered too late to correct the lists on which the transfers of fees are based during the same month, the correction shall be included in the lists and transfers to be made the following month.
III.5 CALCULATION OF AMOUNTS TO BE TRANSFERRED VIA THE INTERNATIONAL BUREAU; TRANSFER OF FEES VIA THE INTERNATIONAL BUREAU
III.5.1 Fee Transfers to the International Bureau Not Subject to Netting
19. Where a fee transfer referred to in paragraph 3, above, is not subject to netting, the collecting Office shall transfer the amount indicated in the list transmitted according to paragraph 13, above, no later than the date set in the common timetable for the purpose. The collecting Office shall bear all bank charges, if any, for this transfer.
III.5.2 Fee Transfers from the International Bureau Not Subject to Netting
20. Where a fee transfer referred to in paragraph 3, above, is not subject to netting, the International Bureau shall transmit a list of the fees to be transferred to the beneficiary Office and transfer the total amount indicated in that list no later than the dates set in the common timetable for those purposes. The International Bureau shall bear all bank charges, if any, for this transfer.
III.5.3 Fee Transfers Subject to Netting
21. Where the agreement between a participating Office and the International Bureau has specified under paragraph 5, above, that fee transfer shall be subject to netting, the International Bureau shall establish and transmit each month, to that participating Office (“netting office”), no later than the date set in the common timetable, a netting statement comprising:
(i) a list of the fees collected by other Offices for the benefit of the netting Office;
(ii) a list of the fees collected by the netting Office for the benefit of other Offices; and
(iii) an indication of the net amount in favor of the netting Office or of the International Bureau.
22. Where the net amount indicated on a netting statement is in favor of the participating Office, the International Bureau shall transfer the net amount to the netting Office no later than the date set in the common timetable. The International Bureau shall bear all bank charges, if any, for this transfer.
23. Where the net amount indicated on a netting statement is in favor of the International Bureau, the netting Office shall transfer the net amount to the International Bureau, no later than the date set in the common timetable. The participating Office shall bear all bank charges, if any, for this transfer.
III.5.4 Transfer of Fees Not Included in the WIPO Fee Transfer Service
24. Any fee transfer between a collecting Office and a beneficiary Office that is not included in the WIPO Fee Transfer Service, despite one or other Office being a participating Office, shall be carried out in accordance with paragraph 25, below.
IV. TRANSFER OF FEES BY OR TO OFFICES NOT PARTICIPATING IN THE WIPO FEE TRANSFER SERVICE
25. Where either a collecting Office or the corresponding beneficiary Office has not agreed to participate in the WIPO Fee Transfer Service (“non-participating Office”), the transfer, where applicable, of:
(a) international filing fees under Rule 15.2(c) or (d) collected by the Office in its capacity as a receiving Office for the benefit of the International Bureau;
(b) search fees under Rule 16.1(c) or (d) collected by the Office in its capacity as a receiving Office for the benefit of a non-participating Office in its capacity as an International Searching Authority;
(c) supplementary search fees under Rule 45bis.3(b) collected by the International Bureau for the benefit of the non-participating Office in its capacity as an Authority specified for supplementary search;
(d) handling fees under Rule 57.2(c) or (d) collected by the Office in its capacity as an International Preliminary Examining Authority for the benefit of the International Bureau; and
(e) differences under Rule 16.1(e) relating to search fees received by the Office in its capacity as an International Searching Authority;
shall be carried out promptly in accordance with Rule 15.2(c) or (d), Rule 16.1(c) or (d), Rule 45bis.3(b), Rule 57.2(c) or (d), or Rule 16.1(e), as applicable, preferably in accordance with a monthly time table for such transfers agreed between the Offices concerned and/or the International Bureau. The Office carrying out the transfer shall bear all bank charges, if any, for the transfer of the fees referred to in paragraphs (a), (b) and (d) and, where the difference belongs to the International Bureau, paragraph (e), whereas the International Bureau shall bear all bank charges, if any, for the transfer of the fees referred to in paragraph (c) and, where the difference belongs to the Office in its capacity as an International Searching Authority, paragraph (e).