MPEP 1800

Patent Cooperation Treaty

Brief Summary:

A Patent Cooperation Treaty (PCT) application enables a U.S. applicant to file one international application (known as the international phase) to the U.S. and have that international application acknowledged as a regularly nationally filed application (known as the national phase) in as many member PCT countries as he or she designates.

An international PCT application goes through the international phase initially. Subsequently, the national phase will begin and the application is examined in the same manner as if it had been filed as a regular, nonprovisional application in each country designated in the international application.

Key Terms:

International Searching AuthorityAn entity designated under the Patent Cooperation Treaty (PCT) responsible for conducting a prior art search and providing a written opinion on the patentability of an international patent application.
Inventor’s CertificateAn Inventor’s Certificate is a government-issued document that recognizes an individual’s contribution to an invention, offering some legal rights or benefits, but typically providing less protection than a full patent.
International BureauThe International Bureau is the central administrative body of the World Intellectual Property Organization (WIPO) that manages the processing of international patent applications filed under the Patent Cooperation Treaty (PCT).
National StageThe National Stage refers to the phase in the Patent Cooperation Treaty (PCT) process where an international patent application enters individual national or regional patent offices for examination and potential grant of a patent.
Patent Cooperation TreatyThe “Patent Cooperation Treaty” (PCT) is an international agreement that simplifies the process of filing patent applications in multiple countries by allowing inventors to file a single international application, which can then be pursued in each member country.
Receiving OfficeThe Receiving Office is the national or regional patent office where an international patent application is initially filed under the Patent Cooperation Treaty (PCT), responsible for checking compliance with formal requirements and forwarding the application to the International Bureau.

37 CFR (Code of Federal Regulations):

37 CFR 1.496 – Examination of international applications in the national stage.
37 CFR 1.496 outlines the procedures for examining international patent applications that enter the national stage in the United States, including compliance with U.S. patent laws and regulations.
37 CFR 1.475 – Unity of invention before the International Searching Authority, the International Preliminary Examining Authority and during the national stage.
37 CFR 1.475 requires that an international patent application must relate to one invention only or to a group of inventions so linked as to form a single general inventive concept, ensuring unity of invention before the International Searching Authority, the International Preliminary Examining Authority, and during the national stage.

35 USC (United States Code):

35 USC 361 – Receiving Office.
35 USC 361 designates the United States Patent and Trademark Office as a Receiving Office for international patent applications, responsible for receiving and processing these applications under the Patent Cooperation Treaty.
35 USC 363 – International application designating the United States: Effect.
35 USC 363 states that an international patent application designating the United States has the same effect as a national application filed in the U.S. as of the international filing date.

Quick Statistics:

Number of Pages:  199 pgs
Sections:  1801 – 1896

List of Sections:

1801Basic Patent Cooperation Treaty (PCT) Principles
1802PCT Definitions
1803Reservations Under the PCT Taken by, and Notifications of Incompatibility Made by, the United States of America
1804[Reserved]
1805Where To File an International Application
1806Applicants and Inventors
1807Agent or Common Representative and General Power of Attorney
1808Change in or Revocation of the Appointment of an Agent or a Common Representative
1809Private PAIR Access
1810Filing Date Requirements
1811[Reserved]
1812Elements of the International Application
1813 – 1816[Reserved]
1817PCT Member States
1818[Reserved]
1819Earlier Search
1820Signature of Applicant
1821The Request
1822[Reserved]
1823The Description
 1823.01 Reference to Deposited Biological Material
 1823.02 Filing Nucleotide and/or Amino Acid Sequence Listings in International Applications
1824The Claims
1825The Drawings
1826The Abstract
1827Fees
 1827.01 Refund of International Application Fees
1828Priority Claim and Document
 1828.01 Restoration of the Right of Priority
 1828.02 Continuation or Continuation-in-Part Indication in the Request
1829[Reserved]
1830International Application Transmittal Letter
1831[Reserved]
1832License Request for Foreign Filing Under the PCT
1833[Reserved]
1834Correspondence
 1834.01 Filing of Correspondence by Facsimile
 1834.02 Irregularities in the Mail or Electronic Communications Service
1835[Reserved]
1836Rectification of Obvious Mistakes
1837 – 1839[Reserved]
1840The International Searching Authority
 1840.01 The European Patent Office as an International Searching Authority
 1840.02 The Korean Intellectual Property Office as an International Searching Authority
 1840.03 The Australian Patent Office (IP Australia) as an International Searching Authority
 1840.04 The Federal Service for Intellectual Property (Rospatent) (Russian Federation) as an International Searching Authority
 1840.05 The Israel Patent Office (ILPO) as an International Searching Authority
 1840.06 The Japan Patent Office (JPO) as an International Searching Authority
 1840.07 The Intellectual Property Office of Singapore (IPOS) as an International Searching Authority
1841[Reserved]
1842Basic Flow Under the PCT
1843The International Search
 1843.01 Prior Art for Chapter I Processing
 1843.02 Certain Subject Matter Need Not Be Searched
 1843.03 No Search Required if Claims Are Unclear
 1843.04 Procedure for Claims Not Required To Be Searched and for Claims That Are Unclear
 1843.05 Time Limit for Establishing the International Search Report and the Written Opinion of the International Searching Authority
1844The International Search Report
 1844.01 Preparing the International Search Report (Form PCT/ISA/210)
1845Written Opinion of the International Searching Authority
 1845.01 Preparing the Written Opinion of the International Searching Authority (Form PCT/ISA/237)
 1845.02 Notification of Transmittal of the International Search Report and the Written Opinion of the International Searching Authority, or the Declaration (Form PCT/ISA/220)
1846 – 1847[Reserved]
1848Sequence Listings
1849[Reserved]
1850Unity of Invention Before the International Searching Authority
1851Identification of Patent Documents
1852Taking Into Account Results of Earlier Search(es)
1853Amendment Under PCT Article 19
1854 – 1855[Reserved]
1856Supplementary International Searches
1857International Publication
1858[Reserved]
1859Withdrawal of International Application, Designations, or Priority Claims
1860International Preliminary Examination Procedure
1861[Reserved]
1862Agreement With the International Bureau To Serve as an International Preliminary Examining Authority
1863[Reserved]
1864The Demand and Preparation for Filing of Demand
 1864.01 Amendments Filed Under PCT Article 34
 1864.02 Applicant’s Right To File a Demand
 1864.03 States Which May Be Elected
 1864.04 Agent’s Right To Act
1865Filing of Demand
1866[Reserved]
1867Preliminary Examination Fees
1868Correction of Defects in the Demand
1869Notification to International Bureau of Demand
1870Priority Document and Translation Thereof
1871Processing Amendments Filed Under Article 19 and Article 34 Prior to or at the Start of International Preliminary Examination
1872Availability of the International Application File for International Preliminary Examination by the Examining Corps
1873[Reserved]
1874Determination if International Preliminary Examination Is Required and Possible
1875Unity of Invention Before the International Preliminary Examining Authority
 1875.01 Preparation of Invitation Concerning Unity
 1875.02 Reply to Invitation Concerning Lack of Unity of Invention
1876Notation of Errors and Informalities by the Examiner
 1876.01 Request for Rectification and Notification of Action Thereon
1877Nucleotide and/or Amino Acid Sequence Listings During the International Preliminary Examination
1878Preparation of the Written Opinion of the International Preliminary Examining Authority
 1878.01 Includes Subsections Regarding Prior Art, Novelty, Inventive Step, and Industrial Applicability for Purposes of the Written Opinion and the International Preliminary Examination Report
 1878.01(a) Prior Art for Purposes of the Written Opinion and the International Preliminary Examination Report
 1878.01(a)(1) Novelty for Purposes of the Written Opinion and the International Preliminary Examination Report
 1878.01(a)(2) Inventive Step for Purposes of the Written Opinion and the International Preliminary Examination Report
 1878.01(a)(3) Industrial Applicability for Purposes of the Written Opinion and the International Preliminary Examination Report
 1878.02 Reply to the Written Opinion of the ISA or IPEA
1879Preparation of the International Preliminary Examination Report
 1879.01 Time Limit for Preparing Report
 1879.02 Transmittal of the International Preliminary Examination Report and Related Documents
 1879.03 Translations
 1879.04 Confidential Nature of the Report
1880Withdrawal of Demand or Election
1881Receipt of Notice of Election and Preliminary Examination Report by the United States Patent and Trademark Office
1882 – 1892[Reserved]
1893National Stage (U.S. National Application Filed Under 35 U.S.C. 371)
 1893.01 Commencement and Entry
 1893.01(a) Entry via the U.S. Designated or Elected Office
 1893.01(a)(1) Submissions Required by 30 Months from the Priority Date
 1893.01(a)(2) Article 19 Amendment (Filed With the International Bureau)
 1893.01(a)(3) Article 34 Amendments (Filed with the International Preliminary Examining Authority)
 1893.01(a)(4) Claim Amendment (Filed With the U.S. Designated or Elected Office)
 1893.01(b) Applicant for a U.S. National Stage Application
 1893.01(c) Fees
 1893.01(d) Translation
 1893.01(e) Inventor’s Oath or Declaration
 1893.02 Abandonment
 1893.03 Prosecution of U.S. National Stage Applications Before the Examiner
 1893.03(a) How To Identify That an Application Is a U.S. National Stage Application
 1893.03(b) The Filing Date of a U.S. National Stage Application
 1893.03(c) The Priority Date, Priority Claim, and Priority Papers for a U.S. National Stage Application
 1893.03(d) Unity of Invention
 1893.03(e) Documents Received from the International Bureau and Placed in a U.S. National Stage Application File
 1893.03(e)(1) Title of the Invention
 1893.03(f) Drawings and PCT Rule 11
 1893.03(g) Information Disclosure Statement in a National Stage Application
1894[Reserved]
1895A Continuation, Divisional, or Continuation- in- Part Application of a PCT Application Designating the United States
 1895.01 Handling of and Considerations in the Handling of Continuations, Divisions, and Continuations-In-Part of PCT Applications
1896The Differences Between a National Application Filed Under 35 U.S.C. 111(a) and a National Stage Application Submitted Under 35 U.S.C. 371

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