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 Authority | An 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 Certificate | An 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 Bureau | The 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 Stage | The 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 Treaty | The “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 Office | The 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:
1801 | Basic Patent Cooperation Treaty (PCT) Principles | |
1802 | PCT Definitions | |
1803 | Reservations Under the PCT Taken by, and Notifications of Incompatibility Made by, the United States of America | |
1804 | [Reserved] | |
1805 | Where To File an International Application | |
1806 | Applicants and Inventors | |
1807 | Agent or Common Representative and General Power of Attorney | |
1808 | Change in or Revocation of the Appointment of an Agent or a Common Representative | |
1809 | Private PAIR Access | |
1810 | Filing Date Requirements | |
1811 | [Reserved] | |
1812 | Elements of the International Application | |
1813 – 1816 | [Reserved] | |
1817 | PCT Member States | |
1818 | [Reserved] | |
1819 | Earlier Search | |
1820 | Signature of Applicant | |
1821 | The Request | |
1822 | [Reserved] | |
1823 | The Description | |
• 1823.01 Reference to Deposited Biological Material • 1823.02 Filing Nucleotide and/or Amino Acid Sequence Listings in International Applications | ||
1824 | The Claims | |
1825 | The Drawings | |
1826 | The Abstract | |
1827 | Fees | |
• 1827.01 Refund of International Application Fees | ||
1828 | Priority Claim and Document | |
• 1828.01 Restoration of the Right of Priority • 1828.02 Continuation or Continuation-in-Part Indication in the Request | ||
1829 | [Reserved] | |
1830 | International Application Transmittal Letter | |
1831 | [Reserved] | |
1832 | License Request for Foreign Filing Under the PCT | |
1833 | [Reserved] | |
1834 | Correspondence | |
• 1834.01 Filing of Correspondence by Facsimile • 1834.02 Irregularities in the Mail or Electronic Communications Service | ||
1835 | [Reserved] | |
1836 | Rectification of Obvious Mistakes | |
1837 – 1839 | [Reserved] | |
1840 | The 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] | |
1842 | Basic Flow Under the PCT | |
1843 | The 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 | ||
1844 | The International Search Report | |
• 1844.01 Preparing the International Search Report (Form PCT/ISA/210) | ||
1845 | Written 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] | |
1848 | Sequence Listings | |
1849 | [Reserved] | |
1850 | Unity of Invention Before the International Searching Authority | |
1851 | Identification of Patent Documents | |
1852 | Taking Into Account Results of Earlier Search(es) | |
1853 | Amendment Under PCT Article 19 | |
1854 – 1855 | [Reserved] | |
1856 | Supplementary International Searches | |
1857 | International Publication | |
1858 | [Reserved] | |
1859 | Withdrawal of International Application, Designations, or Priority Claims | |
1860 | International Preliminary Examination Procedure | |
1861 | [Reserved] | |
1862 | Agreement With the International Bureau To Serve as an International Preliminary Examining Authority | |
1863 | [Reserved] | |
1864 | The 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 | ||
1865 | Filing of Demand | |
1866 | [Reserved] | |
1867 | Preliminary Examination Fees | |
1868 | Correction of Defects in the Demand | |
1869 | Notification to International Bureau of Demand | |
1870 | Priority Document and Translation Thereof | |
1871 | Processing Amendments Filed Under Article 19 and Article 34 Prior to or at the Start of International Preliminary Examination | |
1872 | Availability of the International Application File for International Preliminary Examination by the Examining Corps | |
1873 | [Reserved] | |
1874 | Determination if International Preliminary Examination Is Required and Possible | |
1875 | Unity 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 | ||
1876 | Notation of Errors and Informalities by the Examiner | |
• 1876.01 Request for Rectification and Notification of Action Thereon | ||
1877 | Nucleotide and/or Amino Acid Sequence Listings During the International Preliminary Examination | |
1878 | Preparation 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 | ||
1879 | Preparation 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 | ||
1880 | Withdrawal of Demand or Election | |
1881 | Receipt of Notice of Election and Preliminary Examination Report by the United States Patent and Trademark Office | |
1882 – 1892 | [Reserved] | |
1893 | National 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] | |
1895 | A 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 | ||
1896 | The 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 |