appendix ai administrative instructions under the pct · pdf fileappendix ai administrative...

Appendix AI Administrative Instructions Under the PCT

(as in force from July 1, 2017) TABLE OF CONTENTS 1

PART 1 INSTRUCTIONS RELATINGTO GENERAL MATTERS

Section 101 Abbreviated Expressions andInterpretation

Section 102 Use of the FormsSection 102 bis [Deleted]Section 103 Languages of the Forms Used

by International AuthoritiesSection 104 Language of CorrespondenceSection 105 Identification of International

Application with Two or MoreApplicants

Section 106 Change of CommonRepresentative

Section 107 Identification of InternationalAuthorities and of Designatedand Elected Offices

Section 108 Correspondence Intended for theApplicant

Section 109 File ReferenceSection 110 DatesSection 111 Procedure and Considerations

in the Case of Excuse of theDelay in Meeting Certain TimeLimits under Rule 82 quater

Section 112 Ceasing of Effect under Articles24(1)(iii) and 39(2), Reviewunder Article 25(2) andMaintaining of Effect underArticles 24(2) and 39(3)

Section 113 Special Fees Payable to theInternational Bureau

Section 114 [Deleted]Section 115 Indications of States, Territories

and IntergovernmentalOrganizations

PART 2 INSTRUCTIONS RELATINGTO THE INTERNATIONALAPPLICATION

Section 201 Language of the InternationalApplication

Section 202 [Deleted]Section 203 Different Applicants for

Different Designated States

Section 204 Headings of the Parts of theDescription

Section 204 bis Numbering of ClaimsSection 205 Numbering and Identification of

Claims upon AmendmentSection 206 Unity of InventionSection 207 Arrangement of Elements and

Numbering of Sheets of theInternational Application

Section 208 Sequence ListingsSection 209 Indications as to Deposited

Biological Material on aSeparate Sheet

Section 210 [Deleted]Section 211 Declaration as to the Identity of

the InventorSection 212 Declaration as to the Applicant’s

Entitlement to Apply for and BeGranted a Patent

Section 213 Declaration as to the Applicant’sEntitlement to Claim Priority ofEarlier Application

Section 214 Declaration of InventorshipSection 215 Declaration as to

Non-Prejudicial Disclosures orExceptions to Lack of Novelty

Section 216 Notice of Correction or Additionof a Declaration under Rule26ter

Section 217 Corrections ConcerningExpressions, Etc., Not to BeUsed in the InternationalApplication under Rule 9.2

Section 218 Processing of a Request forOmission of InformationReferred to in Rules 48.2(l) and94.1(e)

PART 3 INSTRUCTIONS RELATINGTO THE RECEIVINGOFFICE

Section 301 Notification of Receipt ofPurported InternationalApplication

Section 302 Priority Claim Considered Notto Have Been Made

1 Table of Contents and Editor's Notes are added for the convenience of the reader; they do not form part of the AdministrativeInstructions.

Rev. 08.2017, January 2018AI-1

Section 303 Deletion of Additional Matterin the Request

Section 304 Invitation to Pay Fees BeforeDate on Which They Are Due

Section 305 Identifying the Copies of theInternational Application

Section 305 bis Preparation, Identification andTransmittal of the Copies of theTranslation of the InternationalApplication

Section 305 ter Identification and Transmittalof the Translation of an EarlierApplication Furnished underRule 20.6(a)(iii)

Section 306 Delayed Transmittal of SearchCopy

Section 307 System of NumberingInternational Applications

Section 308 Marking of the Sheets of theInternational Application and ofthe Translation Thereof

Section 308 bis Marking of Later SubmittedSheets

Section 309 Procedure in the Case of LaterSubmitted Sheets Furnished forthe Purposes of Incorporationby Reference

Section 310 Procedure in the Case of LaterSubmitted Sheets Not Furnishedfor the Purposes ofIncorporation by Reference

Section 310 bis Procedure in the Case of LaterSubmitted Sheets Resulting inthe Correction of theInternational Filing Date underRule 20.5(c)

Section 310 ter Procedure in the Case of LaterSubmitted Sheets Furnishedafter the Expiration of theApplicable Time Limit Referredto in Rule 20.7

Section 311 Renumbering in the Case ofDeletion, Substitution orAddition of Sheets of theInternational Application and ofthe Translation Thereof

Section 312 Notification of Decision Not toIssue Declaration that theInternational Application IsConsidered Withdrawn

Section 313 Documents Filed with theInternational Application;Manner of Marking theNecessary Annotations in theCheck List

Section 314 Correction or Addition of aPriority Claim Under Rule26 bis

Section 315 Processing of Documents by theReceiving Office under Rule26 bis.3(h- bis)

Section 316 Procedure in the Case Where theInternational Application Lacksthe Prescribed Signature

Section 317 Transmittal of a Notice ofCorrection or Addition of aDeclaration under Rule 26ter.1

Section 318 Cancellation of Designations ofNon-Contracting States

Section 319 Procedure under Rule 4.9(b)Section 320 Invitation to Pay Fees under

Rule 16 bis.1(a)Section 321 Application of Moneys

Received by the ReceivingOffice in Certain Cases

Section 322 Invitation to Submit a Requestfor Refund of the Search Fee

Section 323 Transmittal of PriorityDocuments to InternationalBureau

Section 324 Copy of Notification of theInternational ApplicationNumber and the InternationalFiling Date under Rule 20.2(c)

Section 325 Corrections of Defects underRule 26.4 and Rectifications ofObvious Mistakes under Rule91

Section 326 Withdrawal by Applicant underRule 90 bis.1, 90 bis.2 or90 bis.3

Section 327 Ex Officio Correction ofRequest by the Receiving Office

Section 328 Notifications ConcerningRepresentation

Section 329 Correction of IndicationsConcerning the Applicant’sResidence or Nationality

Section 330 Transmittal of Record CopyPrevented or Delayed byNational Security Prescriptions

AI-2Rev. 08.2017, January 2018

MANUAL OF PATENT EXAMINING PROCEDURE

Section 331 Receipt of Confirmation CopySection 332 Notification of Languages

Accepted by the ReceivingOffice under Rules 12.1(a) and(c) and 12.4(a)

Section 333 Transmittal of InternationalApplication to the InternationalBureau as Receiving Office

Section 334 Notification to Applicant ofSubmission of Demand after theExpiration of 19 Months fromthe Priority Date

Section 335 [Deleted]Section 336 Waivers under Rules 90.4(d)

and 90.5(c)Section 337 [Deleted]

PART 4 INSTRUCTIONS RELATINGTO THE INTERNATIONALBUREAU

Section 401 Marking of the Sheets of theRecord Copy

Section 402 Correction or Addition of aPriority Claim under Rule 26 bis

Section 403 Transmittal of Protest AgainstPayment of Additional Fees andDecision Thereon WhereInternational Application IsConsidered to Lack Unity ofInvention

Section 404 International PublicationNumber of InternationalApplication

Section 405 Publication of Notifications ofLanguages Accepted by thereceiving Office under Rules12.1(a) and (c) and 12.4(a)

Section 406 Publication of InternationalApplications

Section 407 The GazetteSection 408 Priority Application NumberSection 409 Priority Claim Considered Not

to Have Been MadeSection 410 Numbering of Sheets for the

Purposes of InternationalPublication; Procedure in Caseof Missing Sheets

Section 411 Receipt of Priority DocumentSection 411 bis Receipt of Translation of Earlier

Application under Rule20.6(a)(iii)

Section 412 Notification of Lack ofTransmittal of Search Copy

Section 413 Incorporations by Referenceunder Rule 20, Corrections ofDefects under Rule 26.4 andRectifications of ObviousMistakes under Rule 91

Section 413 bis Rectifications of ObviousMistakes under Rule 91

Section 414 Notification to the InternationalPreliminary ExaminingAuthority Where theInternational Application isConsidered Withdrawn

Section 415 Notification of WithdrawalUnder Rule 90 bis.1, 90 bis.2,90 bis.3, 90 bis.3 bis or 90 bis.4

Section 416 Correction of Request in RecordCopy

Section 417 Processing of AmendmentsUnder Article 19

Section 418 Notifications to Elected OfficesWhere the Demand IsConsidered Not to Have BeenSubmitted or Made

Section 419 Processing of a Declarationunder Rule 26 ter

Section 420 Copy of InternationalApplication, InternationalSearch Report andSupplementary InternationalSearch Report for theInternational PreliminaryExamining Authority

Section 421 Invitation to Furnish a Copy ofthe Priority Document

Section 422 Notifications ConcerningChanges Recorded Under Rule92 bis.1

Section 422 bis Objections Concerning Changesin the Person of the ApplicantRecorded under Rule 92 bis.1(a)

Section 423 Cancellation of Designationsand Elections

Section 424 Procedure under Rule 4.9(b)Section 425 Notifications Concerning

RepresentationSection 426-429 [Deleted]Section 430 Notification of Designations

under Rule 32


ADMINISTRATIVE INSTRUCTIONS UNDER THE PCT

Section 431 Publication of Notice ofSubmission of Demand


Section 433 Waivers under Rule 90.4(d)Section 434 Publication of Information

Concerning Waivers underRules 90.4(d) and 90.5(c)

Section 435 Communication of Publicationsand Documents

Section 436 Preparation, Identification andTransmittal of the Copies of theTranslation of the InternationalApplication

PART 5 INSTRUCTIONS RELATINGTO THE INTERNATIONALSEARCHING AUTHORITY

Section 501 [Deleted]Section 502 Transmittal of Protest against

Payment of Additional Fees andDecision Thereon WhereInternational Application IsConsidered to Lack Unity ofInvention

Section 503 Method of IdentifyingDocuments Cited in theInternational Search Report andthe Written Opinion of theInternational SearchingAuthority

Section 504 Classification of the SubjectMatter of the InternationalApplication

Section 505 Indication of Citations ofParticular Relevance in theInternational Search Report

Section 506 [Deleted]Section 507 Manner of Indicating Certain

Special Categories ofDocuments Cited in theInternational Search Report

Section 508 Manner of Indicating the Claimsto Which the Documents Citedin the International SearchReport Are Relevant

Section 509 International Search and WrittenOpinion of the InternationalSearching Authority on the

Basis of a Translation of theInternational Application

Section 510 Refund of Search Fee in Case ofWithdrawal of InternationalApplication

Section 511 Rectifications of ObviousMistakes under Rule 91

Section 512 Notifications ConcerningRepresentation

Section 513 Sequence ListingsSection 514 Authorized OfficerSection 515 Modification of Abstract in

Response to Applicant’sComments


Section 517 Waivers under Rules 90.4(d)and 90.5(c)

Section 518 Guidelines for ExplanationsContained in the Written opinionof the International SearchingAuthority

Section 519 Notification of Receipt of Copyof International Application forthe Purposes of SupplementaryInternational Search

Section 520 Withdrawal by Applicant underRule 90 bis.3 bis

PART 6 INSTRUCTIONS RELATINGTO THE INTERNATIONALPRELIMINARYEXAMINING AUTHORITY


Section 602 Processing of Amendments bythe International PreliminaryExamining Authority

Section 603 Transmittal of Protest againstPayment of Additional Fees andDecision Thereon WhereInternational Application IsConsidered to Lack Unity ofInvention

Section 604 Guidelines for ExplanationsContained in the InternationalPreliminary Examination Report



Section 605 File to Be Used for InternationalPreliminary Examination

Section 606 Cancellation of ElectionsSection 607 Rectifications of Obvious

Mistakes under Rule 91Section 608 Notifications Concerning

RepresentationSection 609 Withdrawal by Applicant under

Rules 90 bis. 1, 90 bis. 2 or90 bis. 3

Section 610 Sequence ListingsSection 611 Method of Identification of

Documents in the InternationalPreliminary Examination Report

Section 612 Authorized OfficerSection 613 Invitation to Submit a Request

for Refund of Fees under Rule57.4 or 58.3

Section 614 Evidence of Right to FileDemand

Section 615 Invitation to Pay Fees beforeDate on Which They Are Due

Section 616 International PreliminaryExamination on the Basis of aTranslation of the InternationalApplication

Section 617 Waivers under Rules 90.4(d)and 90.5(c)

PART 7 INSTRUCTIONS RELATINGTO THE FILING ANDPROCESSING INELECTRONIC FORM OFINTERNATIONALAPPLICATIONS

Section 701 Abbreviated ExpressionsSection 702 Filing, Processing and

Communication in ElectronicForm of InternationalApplications

Section 703 Filing Requirements; BasicCommon Standard

Section 704 Receipt; International FilingDate; Signature; PhysicalRequirements

Section 705 Home Copy, Record Copy andSearch Copy WhereInternational Application isFiled in Electronic Form

Section 705 bis Processing in Electronic Formof International Applications

Filed on Paper; Home Copy,Record Copy and Search Copy

Section 706 Documents in Pre-ConversionFormat

Section 707 Calculation of InternationalFiling Fee and Fee Reduction

Section 708 Special Provisions ConcerningLegibility, Completeness,Infection by Viruses, Etc.

Section 709 Means of Communication withthe Receiving Office

Section 710 Notification and Publication ofReceiving Offices’Requirements and Practices

Section 711 Electronic Records ManagementSection 712 Access to Electronic RecordsSection 713 Application of Provisions to

International Authorities and theInternational Bureau, and toNotifications, Communications,Correspondence and OtherDocuments

Section 714 Furnishing by the InternationalBureau of Copies of DocumentsKept in Electronic Form;Designated Offices’ SignatureRequirements

Section 715 Availability of PriorityDocuments from DigitalLibraries

Section 716 Request that Priority DocumentBe Obtained from a DigitalLibrary under Rule 17.1(b- bis)

PART 8 INSTRUCTIONS RELATINGTO OBSERVATIONS BYTHIRD PARTIES

Section 801 Third Party Observation SystemSection 802 Filing of a Third Party

ObservationSection 803 Availability of an Observation

and Related InformationSection 804 Notification of Receipt of an

Observation to the Applicantand Comments by the Applicantin Response to an Observation

Section 805 Communication of Observationsand Comments to InternationalAuthorities and DesignatedOffices

Annex A FORMSAnnex B UNITY OF INVENTION



Annex C STANDARD FOR THEPRESENTATION OFNUCLEOTIDE AND AMINOACID SEQUENCE LISTINGSIN INTERNATIONAL PATENTAPPLICATIONS UNDER THEPCT

Annex D INFORMATION FROM FRONTPAGE OF PUBLISHEDINTERNATIONALAPPLICATION TO BE

INCLUDED IN THE GAZETTEUNDER RULE 86.1(i)

Annex E INFORMATION TO BEPUBLISHED IN THE GAZETTEUNDER RULE 86.1(v)

Annex F STANDARD FOR THEELECTRONIC FILING ANDPROCESSING OFINTERNATIONALAPPLICATIONS

AI Administrative Instructions Under the PCT

PART 1

INSTRUCTIONS RELATING TO GENERAL MATTERS

101 Abbreviated Expressions andInterpretation

(a) In these Administrative Instructions:

(i) “Treaty” means the Patent CooperationTreaty;

(ii) “Regulations” means the Regulationsunder the Treaty;

(iii) “Article” means an Article of the Treaty;

(iv) “Rule” means a Rule of the Regulations;

(v) “International Bureau” means theInternational Bureau as defined in Article 2(xix) ofthe Treaty;

(vi) “International Authorities” means thereceiving Offices, the International SearchingAuthorities, the International Preliminary ExaminingAuthorities, and the International Bureau;

(vii) “Annex” means an Annex to theseAdministrative Instructions, unless the contraryclearly follows from the wording or the nature ofthe provision, or the context in which the word isused;

(viii) “Form” means a Form contained in

Annex A; 1

(ix) “WIPO Standard” means a Standardestablished by the World Intellectual PropertyOrganization;

(x) “Director General” means the DirectorGeneral as defined in Article 2(xx) of the Treaty;

(xi) “electronic” technology includes thathaving electrical, digital, magnetic, optical orelectromagnetic capabilities;

(xii) the expressions “sequence listing”,“sequence listing forming part of the internationalapplication” and “sequence listing not forming partof the international application” have the samemeaning as in Annex C.

(b) The Annexes are part of these AdministrativeInstructions.

102 Use of the Forms

(a) Subject to paragraphs (b) to (i) and Section103, the International Authorities shall use, or requirethe use of, the mandatory Forms specified below:

(i) Forms for use by the applicant:

PCT/IPEA/401(demand Form)

PCT/RO/101(request Form)

(ii) Forms for use by the receiving Offices:

PCT/RO/152PCT/RO/115PCT/RO/103PCT/RO/153PCT/RO/117PCT/RO/104PCT/RO/154PCT/RO/118PCT/RO/105

1 Editor's Note: Annex A is published separately by the World Intellectual Property Organization.


MANUAL OF PATENT EXAMINING PROCEDURE§ 101

PCT/RO/155PCT/RO/123PCT/RO/106PCT/RO/156PCT/RO/126PCT/RO/107PCT/RO/157PCT/RO/133PCT/RO/109PCT/RO/158PCT/RO/136PCT/RO/110PCT/RO/159PCT/RO/143PCT/RO/111

PCT/RO/147PCT/RO/112PCT/RO/150PCT/RO/113PCT/RO/151PCT/RO/114

(iii) Forms for use by the InternationalSearching Authorities:

PCT/ISA/234PCT/ISA/212PCT/ISA/201PCT/ISA/235PCT/ISA/217PCT/ISA/202PCT/ISA/236PCT/ISA/218PCT/ISA/203PCT/ISA/237PCT/ISA/219PCT/ISA/205

PCT/ISA/220PCT/ISA/206PCT/ISA/225PCT/ISA/209PCT/ISA/233PCT/ISA/210

PCT/SISA/507PCT/SISA/504PCT/SISA/501PCT/SISA/510PCT/SISA/505PCT/SISA/502

PCT/SISA/506PCT/SISA/503

(iv) Forms for use by the InternationalBureau:

PCT/IB/357PCT/IB/325PCT/IB/301PCT/IB/358PCT/IB/326PCT/IB/304PCT/IB/360PCT/IB/331PCT/IB/305PCT/IB/366PCT/IB/332PCT/IB/306PCT/IB/367PCT/IB/335PCT/IB/307PCT/IB/368PCT/IB/336PCT/IB/308PCT/IB/369PCT/IB/337PCT/IB/310PCT/IB/370PCT/IB/338PCT/IB/311PCT/IB/371PCT/IB/339PCT/IB/313PCT/IB/373PCT/IB/344PCT/IB/314PCT/IB/374PCT/IB/345PCT/IB/315PCT/IB/376PCT/IB/346PCT/IB/316PCT/IB/377PCT/IB/349PCT/IB/317PCT/IB/378PCT/IB/350PCT/IB/318PCT/IB/379PCT/IB/351PCT/IB/319PCT/IB/399PCT/IB/353PCT/IB/320

PCT/IB/354PCT/IB/321PCT/IB/356PCT/IB/323

(v) Forms for use by the InternationalPreliminary Examining Authorities:

PCT/IPEA/440PCT/IPEA/414PCT/IPEA/402PCT/IPEA/441PCT/IPEA/415PCT/IPEA/404PCT/IPEA/442PCT/IPEA/416PCT/IPEA/405PCT/IPEA/443PCT/IPEA/420PCT/IPEA/407PCT/IPEA/444PCT/IPEA/425PCT/IPEA/408

PCT/IPEA/431PCT/IPEA/409PCT/IPEA/436PCT/IPEA/412

(b) Slight variations in layout necessary in viewof the printing of the Forms referred to in paragraph(a) in various languages are permitted.

(c) Slight variations in layout in the Formsreferred to in paragraph (a)(ii) to (v) are permittedto the extent necessary to meet the particular officerequirements of the International Authorities, inparticular in view of the production of the Forms bycomputer or of the use of window envelopes.

(d) Where the receiving Office, the InternationalSearching Authority and/or the InternationalPreliminary Examining Authority are each part ofthe same Office, the obligation to use the Formsreferred to in paragraph (a) does not extend tocommunications within that same Office.

(e) The annexes to Forms PCT/RO/106,PCT/RO/118, PCT/ISA/201, PCT/ISA/205,PCT/ISA/206, PCT/ISA/210, PCT/ISA/219,PCT/IB/313, PCT/IB/336, PCT/IPEA/404,PCT/IPEA/405 and PCT/IPEA/415 may be omittedin cases where they are not used.

(f) The notes attached to Forms PCT/RO/101(request Form), PCT/IB/375 (supplementary searchrequest Form) and PCT/IPEA/401 (demand Form)shall be distributed by the International Authoritiesconcerned together with the printed versions of thoseForms. The notes attached to Form PCT/ISA/220shall accompany the Form when sent to theapplicant.

(g) The use of Forms other than those referredto in paragraph (a) is optional.


§ 102ADMINISTRATIVE INSTRUCTIONS UNDER THE PCT

(h) Where the request or the demand is presentedas a computer print-out, such print-out shall beprepared as follows:

(i) the layout and contents of the request andthe demand when presented as computer print-outsshall correspond to the format of Forms PCT/RO/101(request Form) and PCT/IPEA/401 (demand Form)(“the printed Forms”), with the same informationbeing presented on the corresponding pages;

(ii) all boxes shall be drawn by solid lines;double lines may be presented as single lines;

(iii) the box numbers and box titles shall beincluded even where no information is suppliedtherein;

(iv) the boxes for use by the InternationalAuthorities shall be at least as large as those on theprinted Forms;

(v) all other boxes shall be within one cm insize of those on the printed Forms;

(vi) all text shall be 9 points or larger in size;

(vii) titles and other information shall beclearly distinguished;

(viii) explanatory notes presented in italicson the printed Forms may be omitted.

(i) Other formats permitted for the presentationof the request and the demand as computer print-outsmay be determined by the Director General. Anysuch format shall be published in the Gazette.

102 bis [Deleted]

103 Languages of the Forms Used byInternational Authorities

(a) The language of the Forms used by anyreceiving Office shall be the same as the languagein which the international application is filed,provided that:

(i) where the international application is tobe published in the language of a translation requiredunder Rule 12.3(a) or 12.4(a), the receiving Officeshall use the Forms in such language;

(ii) the receiving Office may, in itscommunications to the applicant, use the Forms inany other language being one of its officiallanguages.

(b) Subject to Section 104(b), the language orlanguages of the Forms to be used by anyInternational Searching Authority shall be specifiedin the applicable agreement referred to in Article16(3)(b).

(c) Subject to Section 104(b), the language orlanguages of the Forms to be used by anyInternational Preliminary Examining Authority shallbe specified in the applicable agreement referred toin Article 32(3).

(d) The language of any Form used by theInternational Bureau shall be English where thelanguage of the international application is English,and it shall be French where the language of theinternational application is French. Where thelanguage of the international application is neitherEnglish nor French, the language of any Form usedby the International Bureau in its communicationsto any other International Authority shall be Englishor French according to the wishes of such Authority,and in its communications to the applicant it shallbe English or French according to the wishes of theapplicant.

104 Language of Correspondence

(a) The language of any letter from the applicantto the receiving Office shall be the same as thelanguage of the international application to whichsuch letter relates, provided that, where theinternational application is to be published in thelanguage of a translation required under Rule 12.3(a)or 12.4(a), any letter shall be in such language.However, the receiving Office may expresslyauthorize the use of any other language.

(b) The language of any letter to the InternationalBureau shall be English where the language of theinternational application is English, and it shall beFrench where the language of the internationalapplication is French. Where the language of theinternational application is neither English norFrench, the language of any letter to the InternationalBureau shall be English or French, provided that anycopy, sent to the International Bureau as anotification addressed to it, of a Form sent to theapplicant by the receiving Office, the InternationalSearching Authority or the International PreliminaryExamining Authority, does not require translationinto English or French.


MANUAL OF PATENT EXAMINING PROCEDURE§ 102 bis

(c) Any communication from the applicant tothe International Bureau using ePCT shall be inEnglish, French or the language of publication. TheDirector General may determine thatcommunications in such languages may also besubmitted through other means of communication,and may additionally expand the languagespermitted. Any such decisions by the DirectorGeneral shall be published in the Gazette.

105 Identification of InternationalApplication with Two or More Applicants

Where any international application indicates twoor more applicants, it shall be sufficient, for thepurpose of identifying that application, to indicate,in any Form or correspondence relating to suchapplication, the name of the applicant first namedin the request. The provisions of the first sentenceof this Section do not apply to the demand.

106 Change of Common Representative

Where a change is recorded under Rule 92 bis.1(a)in the person of an applicant who was considered tobe the common representative under Rule 90.2(b),the new applicant shall be considered to be thecommon representative under Rule 90.2(b) if he isentitled according to Rule 19.1 to file an internationalapplication with the receiving Office.

107 Identification of InternationalAuthorities and of Designated and ElectedOffices

(a) Whenever the nature of any communicationfrom or to the applicant, from or to any InternationalAuthority or, before national processing orexamination has started, from or to any designatedor elected Office so permits, any InternationalAuthority or any designated or elected Office maybe indicated in the communication by the two-lettercode referred to in Section 115.

(b) The indication of a receiving Office, anInternational Searching Authority, an InternationalPreliminary Examining Authority or a designatedor elected Office shall be preceded by the letters“RO,” “ISA,” “IPEA,” “DO,” or “EO,” respectively,followed by a slant (e.g., “RO/JP,” “ISA/US,”“IPEA/SE,” “DO/EP,” “EO/AU”).

108 Correspondence Intended for theApplicant

(a) For the purpose of this Section, where thereare two or more agents whose appointments are inforce, “first mentioned agent” means the agent firstmentioned in the document containing theappointments or, where the appointments arecontained in two or more documents, in that whichwas filed first.

(b) Where a sole applicant has appointed anagent or agents under Rule 90.1(a), correspondenceintended for the applicant from the InternationalAuthorities shall, subject to paragraph (d), beaddressed to the agent or, where applicable, to thefirst mentioned agent.

(c) Where there are two or more applicants,correspondence intended for the applicants from theInternational Authorities shall, subject to paragraph(d), be addressed:

(i) if no common agent has been appointedunder Rule 90.1 —to the common representative or,where applicable, to his agent or first mentionedagent; or

(ii) if the applicants have appointed acommon agent or common agents under Rule90.1(a)—to that common agent or, where applicable,to the first mentioned common agent.

(d) Where an agent has or agents have beenappointed under Rule 90.1(b), (c) or (d)(ii),paragraphs (b) and (c) shall apply to correspondenceintended for the applicant relating to the procedurebefore the International Searching Authority or theInternational Preliminary Examining Authority, asthe case may be, as if those paragraphs referred tothe agent or agents so appointed.

(e) Where, in accordance with paragraph (c),correspondence intended for the applicants from theInternational Authorities is to be addressed to thecommon representative but the indication requiredunder Rule 4.5(a)(ii) has not been provided for thecommon representative, correspondence shall beaddressed:

(i) to the first applicant named in the requestwho is entitled according to Rule 19.1 to file aninternational application with the receiving Officeand in respect of whom the indication required under



Rule 4.5(a)(ii) has been provided; or, if there is nosuch applicant,

(ii) to the applicant first named in the requestwho is entitled according to Article 9 to file aninternational application and in respect of, whomthe indication required under Rule 4.5(a)(ii) has beenprovided; or, if there is no such applicant,

(iii) to the applicant first named in the requestin respect of whom the indication required underRule 4.5(a)(ii) has been provided.

109 File Reference

(a) Where any document submitted by theapplicant contains an indication of a file reference,that reference shall not exceed 12 characters inlength and may be composed of either letters of theLatin alphabet or Arabic numerals, or both.

(b) Correspondence from InternationalAuthorities intended for the applicant shall indicateany such file reference.

110 Dates

Any date in the international application, or used inany correspondence emanating from InternationalAuthorities relating to the international application,shall be indicated by the Arabic number of the day,by the name of the month, and by the Arabic numberof the year. The receiving Office, where the applicanthas not done so, or the International Bureau, wherethe applicant has not done so and the receivingOffice fails to do so, shall, after, above, or belowany date indicated by the applicant in the request,repeat the date, in parentheses, by indicating it bytwo-digit Arabic numerals each for the number ofthe day and for the number of the month followedby the number of the year in four digits, in that orderand with a period, slant or hyphen after the digitpairs of the day and of the month (for example, “20March 2004 (20.03.2004),” “20 March 2004(20/03/2004),” or “20 March 2004 (20-03-2004)”).

111 Procedure and Considerations in theCase of Excuse of the Delay in MeetingCertain Time Limits under Rule 82 quater

(a) Where the receiving Office, the InternationalSearching Authority, the Authority specified forsupplementary search, the International Preliminary

Examining Authority, or the International Bureaureceives a request under Rule 82 quater for theexcuse of a delay in meeting a time limit, it shallpromptly:

(i) communicate its decision whether or notto excuse such a delay to the interested party; and

(ii) where applicable, transmit a copy of sucha request, a copy of any evidence furnished and ofits decision to the International Bureau.

(b) An interested party desiring to have delaysexcused due to general unavailability of electroniccommunications services must establish that theoutage of electronic communications servicesaffected a widespread geographical area rather thanbeing a localized problem, that it was unexpected orunforeseen, and that there was no alternativecommunication means available to him.

112 Ceasing of Effect under Articles 24(1)(iii)and 39(2), Review under Article 25(2) andMaintaining of Effect under Articles 24(2)and 39(3)

(a) Each national Office shall, in its capacity asdesignated Office, notify the International Bureauonce a year of:

(i) the number of international applicationsin respect of which, during the preceding calendaryear, the time limit applicable under Article 22 hasexpired;

(ii) the number of international applicationsin respect of which, during the preceding calendaryear, the requirements provided for in Article 22have not been complied with before the expirationof the time limit applicable under that Article, withthe consequence that the effects of the internationalapplications concerned have ceased under Article24(1)(iii).

(b) Each national Office shall, in its capacity aselected Office, notify the International Bureau oncea year of:

(i) the number of international applicationsin respect of which, during the preceding calendaryear, the time limit applicable under Article 39(1)has expired;

(ii) the number of international applicationsin respect of which, during the preceding calendaryear, the requirements provided for in Article 39(1)

AI-10Rev. 08.2017, January 2018


have not been complied with before the expirationof the time limit applicable under that Article, withthe consequence that the effects of the internationalapplications concerned have ceased under Article39(3).

(c) Where, under Article 25(2), the designatedOffice decides that the refusal, declaration or findingreferred to in Article 25(1) was not justified, it shallpromptly notify the International Bureau that it willtreat the international application as if the error oromission referred to in Article 25(2) had notoccurred. The notification shall preferably containthe reasons for the decision of the designated Office.

(d) Where, under Article 24(2) or under Article39(3), the designated or elected Office maintains theeffect provided for in Article 11(3), it shall promptlynotify the International Bureau accordingly. Thenotification shall preferably contain the reasons forthe decision of the designated or elected Office.

113 Special Fees Payable to the InternationalBureau

(a) The special publication fee provided for inRule 48.4 shall be 200 Swiss francs.

(b) The special fee provided for in Rule 91.3(d)shall be payable to the International Bureau and shallbe 50 Swiss francs plus 12 Swiss francs for eachsheet in excess of one. Where that fee has not beenpaid prior to the expiration of the time limit under

Rule 91.3(d), the request for rectification, the reasonsfor refusal by the authority and any further briefcomments submitted by the applicant shall not bepublished. Where the last sentence of Rule 91.3(d)applies and the said fee has not been paid before thetime of the communication of the internationalapplication under Article 20, a copy of the requestfor rectification shall not be included in thatcommunication.

(c) The special fee provided for in Rule26 bis.2(e) shall be payable to the InternationalBureau and shall be 50 Swiss francs plus 12 Swissfrancs for each sheet in excess of one.

114 [Deleted]

115 Indications of States, Territories andIntergovernmental Organizations

The indication of a State, territory, orintergovernmental organization shall be made eitherby its full name, by a generally accepted short titlewhich, if the indications are in English or French,shall be as appears in WIPO Standard ST.3(Recommended Standard Two-Letter Code for theRepresentation of Countries, and of Other Entitiesand International Organizations Issuing orRegistering Industrial Property Titles), or by the

two-letter code as appears in that Standard. 1

PART 2

INSTRUCTIONS RELATING TO THE INTERNATIONAL APPLICATION

201 Language of the InternationalApplication

The language in which the international applicationis filed shall preferably be indicated in the request.

202 [Deleted]

203 Different Applicants for DifferentDesignated States

(a) Different applicants may be indicated fordifferent States designated for a regional patent.

(b) Where a particular State has been designatedfor both a national patent and a regional patent, thesame applicant or applicants shall be indicated forboth designations.

1 Editor's Note: Published in the WIPO Handbook on Industrial Property Information and Documentation.

Rev. 08.2017, January 2018AI-11


204 Headings of the Parts of the Description

(a) The headings of the parts of the descriptionshall preferably be as follows:

(i) for matter referred to in Rule 5.1(a)(i),“Technical Field”;

(ii) for matter referred to in Rule 5.1(a)(ii),“Background Art”;

(iii) for matter referred to in Rule 5.1(a)(iii),“Disclosure of Invention” or “Summary ofInvention”;

(iv) for matter referred to in Rule 5.1(a)(iv),“Brief Description of Drawings”;

(v) for matter referred to in Rule 5.1(a)(v),“Best Mode for Carrying out the Invention,” or,where appropriate, “Mode(s) for Carrying Out theInvention” or “Description of Embodiments”;

(vi) for matter referred to in Rule 5.1(a)(vi),“Industrial Applicability”;

(vii) for matter referred to in Rule 5.2(a),“Sequence Listing”;

(viii) for matter referred to in Rule 5.2(b),“Sequence Listing Free Text.”

(b) The heading “Title of Invention” shallpreferably precede the title of the invention.

204 bis Numbering of Claims

The number of each claim referred to in Rule 6.1(b)shall preferably be preceded by the expression“Claim” (for example, “Claim 1”, “Claim 2”, “Claim3”).

205 Numbering and Identification of Claimsupon Amendment

(a) Amendments to the claims under Article 19or Article 34(2)(b) may be made either by cancellingone or more entire claims, by adding one or morenew claims or by amending the text of one or moreof the claims as filed. Where a claim is cancelled,no renumbering of the other claims shall be required.In all cases where claims are renumbered, they shallbe renumbered consecutively in Arabic numerals.

(b) The applicant shall, in the letter referred toin Rule 46.5(b) or Rule 66.8(c), indicate thedifferences between the claims as filed and the

claims as amended or, as the case may be,differences between the claims as previouslyamended and currently amended. He shall, inparticular, indicate in the said letter, in connectionwith each claim appearing in the internationalapplication (it being understood that identicalindications concerning several claims may begrouped), whether:

(i) the claim is unchanged;

(ii) the claim is cancelled;

(iii) the claim is new;

(iv) the claim replaces one or more claimsas filed;

(v) the claim is the result of the division ofa claim as filed;

(vi) the claim replaces one or more claimsas previously amended;

(vii) the claim is the result of the division ofa claim as previously amended.

206 Unity of Invention

The determination by the International SearchingAuthority, the International Preliminary ExaminingAuthority and the designated and elected Officeswhether an international application complies withthe requirement of unity of invention under Rule 13shall be made in accordance with Annex B.

207 Arrangement of Elements andNumbering of Sheets of the InternationalApplication

(a) In effecting the sequential numbering of thesheets of the international application in accordancewith Rule 11.7, the elements of the internationalapplication shall be placed in the following order:

(i) the request;

(ii) the description (if applicable, includingthe sequence listing free text referred to in Rule5.2(b) but excluding the sequence listing part of thedescription referred to in item (vi) of this paragraph):

(iii) the claims;

(iv) the abstract;

(v) if applicable, the drawings;

AI-12Rev. 08.2017, January 2018


(vi) if applicable, the sequence listing partof the description.

(b) The sequential numbering of the sheets shallbe effected by using the following separate series ofnumbering:

(i) the first series applying to the request onlyand commencing with the first sheet of the request;

(ii) the second series commencing with thefirst sheet of the description (as referred to inparagraph (a)(ii)) and continuing through the claimsuntil the last sheet of the abstract;

(iii) if applicable, a further series applyingto the sheets of the drawings only and commencingwith the first sheet of the drawings; the number ofeach sheet of the drawings shall consist of twoArabic numerals separated by a slant, the first beingthe sheet number and the second being the totalnumber of sheets of drawings (for example, 1/3, 2/3,3/3);

(iv) if applicable, a further series applyingto the sequence listing part of the description,commencing with the first sheet of that part.

208 Sequence Listings

Any sequence listing, whether on paper or inelectronic form, whether forming part of theinternational application or not forming part of theinternational application, shall comply with AnnexC.

209 Indications as to Deposited BiologicalMaterial on a Separate Sheet

(a) To the extent that any indication with respectto deposited biological material is not contained inthe description, it may be given on a separate sheet.Where any such indication is so given, it shallpreferably be on Form PCT/RO/134 and, if furnishedat the time of filing, the said Form shall, subject toparagraph (b), preferably be attached to the requestand referred to in the check list referred to in Rule3.3(a)(ii).

(b) For the purposes of designated Offices,which have so notified the International Bureauunder Rule 13 bis.7(a), paragraph (a) applies onlyif the said Form or sheet is included as one of the

sheets of the description of the internationalapplication at the time of filing.

210 [Deleted]

211 Declaration as to the Identity of theInventor

(a) Any declaration as to the identity of theinventor, referred to in Rule 4.17(i), shall be wordedas follows:

“Declaration as to the identity of the inventor(Rules 4.17(i) and 51 bis.1(a)(i)):

in relation to [this] international application[No. PCT/…], … (name) of … (address) isthe inventor of the subject matter for whichprotection is sought by way of [the] [this]international application”

(b) This declaration need not be made if thename and address of the inventor are otherwiseindicated in the request.

(c) This declaration may, where applicable, becombined, in accordance with Section 212(b), withthe declaration referred to in Section 212(a).

212 Declaration as to the Applicant’sEntitlement to Apply for and Be Granted aPatent

(a) Any declaration as to the applicant’sentitlement, as at the international filing date, toapply for and be granted a patent, referred to in Rule4.17(ii), shall be worded as follows, with suchinclusion, omission, repetition and re-ordering ofthe matters listed as items (i) to (viii) as is necessaryto explain the applicant’s entitlement:

“Declaration as to the applicant’s entitlement,as at the international filing date, to apply forand be granted a patent (Rules 4.17(ii) and51 bis.1(a)(ii)), in a case where the declarationunder Rule 4.17(iv) is not appropriate:

in relation to [this] international application[No. PCT/…],

Rev. 08.2017, January 2018AI-13


… (name) is entitled to apply for and begranted a patent by virtue of the following:

(i) ... (name) of ... (address) … is the inventorof the subject matter for which protection issought by way of [the] [this] internationalapplication

(ii) … (name) [is] [was] entitled as employerof the inventor, … (inventor’s name)

(iii) an agreement between … (name) and … (name), dated …

(iv) an assignment from … (name) to … (name), dated …

(v) consent from … (name) in favor of … (name), dated …

(vi) a court order issued by … (name of court),effecting a transfer from … (name) to … (name), dated …

(vii) transfer of entitlement from … (name) to… (name) by way of … (specify kindof transfer), dated ...

(viii) the applicant’s name changed from … (name) to … (name) on … (date)”

(b) The declaration referred to in paragraph (a)may, where applicable, be combined with thedeclaration referred to in Section 211(a), in whichcase the introductory phrase shall be worded asfollows and the remainder of the combineddeclaration shall be worded as prescribed inparagraph (a):

“Combined declaration as to the applicant’sentitlement, as at the international filing date,to apply for and be granted a patent (Rules4.17(ii) and 51 bis.1(a)(ii)) and as to the identityof the inventor (Rules 4.17(i) and51 bis.1(a)(i)), in a case where the declarationunder Rule 4.17(iv) is not appropriate:”

213 Declaration as to the Applicant’sEntitlement to Claim Priority of EarlierApplication

Any declaration as to the applicant’s entitlement, asat the international filing date, to claim priority ofthe earlier application, referred to in Rule 4.17(iii), shall be worded as follows, with such inclusion,omission, repetition and re-ordering of the matterslisted as items (i) to (viii) as is necessary to explainthe applicant’s entitlement:

“Declaration as to the applicant’s entitlement,as at the international filing date, to claim thepriority of the earlier application specifiedbelow, where the applicant is not the applicantwho filed the earlier application or where theapplicant’s name has changed since the filingof the earlier application (Rules 4.17(iii) and51 bis.1(a)(iii)):


... (name) is entitled to claim priority of earlierapplication No. … by virtue of the following:

(i) the applicant is the inventor of the subjectmatter for which protection was sought by wayof the earlier application

(ii) … (name) [is] [was] entitled as employerof the inventor, … (inventor’s name)

(iii) an agreement between … (name) and … (name), dated …

(iv) an assignment from … (name) to … (name), dated …

(v) consent from … (name) in favor of … (name), dated …

AI-14Rev. 08.2017, January 2018


(vi) a court order, issued by …. (name ofcourt), effecting a transfer from … (name) to… (name), dated …

(vii) transfer of entitlement from … (name) to… (name) by way of … (specify kind oftransfer), dated …

(viii) the applicant’s name changed from … (name) to … (name) on … (date)”

214 Declaration of Inventorship

(a) A declaration of inventorship, referred to inRule 4.17(iv), that is made for the purposes of thedesignation of the United States of America shall beworded as follows:

“Declaration of inventorship (Rules 4.17(iv)and 51 bis.1(a)(iv) ) for the purposes of thedesignation of the United States of America:

I hereby declare that I believe I am theoriginal inventor or an original joint inventorof a claimed invention in the application.

This declaration is directed to theinternational application of which it forms apart (if filing declaration with application).

This declaration is directed to internationalapplication No. PCT/… (if furnishingdeclaration pursuant to Rule 26 ter ).

I hereby declare that the above-identifiedinternational application was made orauthorized to be made by me.

I hereby acknowledge that any willful falsestatement made in this declaration is punishableunder 18 U.S.C. 1001 by fine or imprisonmentof not more than five (5) years, or both.

Name: …

Residence: … (city and either US state, ifapplicable, or country)

Mailing Address: …

Inventor’s Signature: … (The signaturemust be that of the inventor, not that of theagent)

Date: …”

(b) Where there is more than one inventor andall inventors do not sign the same declarationreferred to in paragraph (a), each declaration shallindicate the names of all the inventors.

(c) Any correction or addition under Rule26 ter.1 of a declaration referred to in paragraph (a)shall take the form of a declaration referred to in thatparagraph and be signed by the inventor. In addition,any such correction shall be entitled “Supplementaldeclaration of inventorship (Rules 4.17(iv) and51 bis.1(a)(iv))”.

215 Declaration as to Non-PrejudicialDisclosures or Exceptions to Lack of Novelty

Any declaration as to non-prejudicial disclosures orexceptions to lack of novelty shall be worded asfollows, with such inclusion, omission, repetitionand re-ordering of the matters listed as items (i)to (iv) as is necessary:

“Declaration as to non-prejudicial disclosuresor exceptions to lack of novelty (Rules 4.17(v)and 51 bis.1(a)(v)):


… (name) declares that the subject matterclaimed in [the] [this] international applicationwas disclosed as follows:

(i) kind of disclosure (include as applicable):

Rev. 08.2017, January 2018AI-15


(a) international exhibition

(b) publication

(c) abuse

(d) other: ... (specify)

(ii) date of disclosure: ...

(iii) title of disclosure (if applicable): ...

(iv) place of disclosure (if applicable): ...”

216 Notice of Correction or Addition of aDeclaration under Rule 26ter

Any notice referred to in Rule 26 ter.1 shall consistof a replacement sheet containing a correcteddeclaration, or of an additional sheet containing adeclaration, and an accompanying letter explainingthe correction or addition.

217 Corrections Concerning Expressions,Etc., Not to Be Used in the InternationalApplication under Rule 9.2

(a) Where the receiving Office, the InternationalSearching Authority or the Authority specified forsupplementary search receives corrections aimed atcomplying with Rule 9.1, it shall:

(i) indelibly mark, in the upper right-handcorner of each replacement sheet, the internationalapplication number and the date on which that sheetwas received;

(ii) indelibly mark, in the middle of thebottom margin of each replacement sheet, the words“SUBSTITUTE SHEET (RULE 9.2)” or theirequivalent in the language of publication of theinternational application;

(iii) indelibly mark on the letter containingthe correction or accompanying any replacementsheet the date on which that letter was received;

(iv) keep in its files a copy of the lettercontaining the correction or, when the correction is

contained in a replacement sheet, the replaced sheet,a copy of the letter accompanying the replacementsheet, and a copy of the replacement sheet;

(v) unless the circumstances in item (vi)apply, promptly transmit any letter and anyreplacement sheet to the International Bureau and acopy thereof to the receiving Office, the InternationalSearching Authority and the Authority specified forsupplementary search, as applicable;

(vi) where transmittals under Article 12(1)have not yet been made, the receiving Office shalltransmit any letter and any replacement sheet to theInternational Bureau together with the record copyand, except where the international application isconsidered withdrawn and Rule 29.1(iii) applies, acopy of the said letter or replacement sheet to theInternational Searching Authority together with thesearch copy. The record copy and the search copyshall contain any replaced sheet.

(b) Where the International Bureau receivescorrections under paragraph (a) from the receivingOffice, the International Searching Authority or theAuthority specified for supplementary search, theInternational Bureau shall transfer the correction tothe record copy, together with the indication of thedate on which the Office or Authority received theletter, or shall insert the replacement sheet in therecord copy. Any letter and any replaced sheet shallbe kept in the file of the international application.Where the International Bureau receives correctionsunder paragraph (a) from the receiving Office or theInternational Searching Authority, it shall, whereapplicable, promptly transmit a copy of any letterand replacement sheet to the Authority specified forsupplementary search.

(c) Where the International Bureau receives fromthe applicant corrections aimed at complying withRule 9.1, it shall:


(ii) indelibly mark, in the middle of thebottom margin of each replacement sheet, the words“SUBSTITUTE SHEET (RULE 9.2)” or theirequivalent in the language of publication of theinternational application;

AI-16Rev. 08.2017, January 2018


(iii) indelibly mark on the letter containingthe correction or accompanying any replacementsheet the date on which that letter was received;

(iv) keep in its files the letter containing thecorrection or, when the correction is contained in areplacement sheet, the replaced sheet, the letteraccompanying the replacement sheet and, thereplacement sheet;

(v) promptly transmit a copy of any letterand any replacement sheet to the receiving Office,the International Searching Authority and theAuthority specified for supplementary search, asapplicable.

218 Processing of a Request for Omission ofInformation Referred to in Rules 48.2(l) and94.1(e)

(a) Where the International Bureau decides toomit information from international publicationunder Rule 48.2(l) or not to provide access toinformation contained in its file under Rule 94.1(e),it shall:


(ii) indelibly mark, in the middle of thebottom margin of each replacement sheet, the words“SUBSTITUTE SHEET (RULE 48.2(l))” (wherethe replacement sheet contains an omission under

Rule 48.2(l)) or “SUBSTITUTE SHEET (RULE94.1(e))” (where the replacement sheet contains anomission under Rule 94.1(e)) or their equivalent inthe language of publication of the internationalapplication;

(iii) indelibly mark on the letter containingthe omission or accompanying any replacement sheetthe date on which that letter was received;

(iv) keep in its files the letter containing theproposed omission or, where the proposed omissionis contained in a replacement sheet, the replacedsheet, the letter accompanying the replacement sheet,and the replacement sheet;

(v) promptly transmit a copy of anyreplacement sheet to the receiving Office, theInternational Searching Authority, the Authorityspecified for supplementary search or theInternational Preliminary Examining Authority(where the replaced sheet is also contained in thefile of the international application held by thatOffice or Authority).

(b) Where the International Bureau decides notto omit information from international publicationunder Rule 48.2(l) or to provide access toinformation contained in its file under Rule 94.1(e),it shall proceed as indicated under paragraph (a)(i),(iii) and (iv).

(c) Section 311, paragraphs (a) to (c) shall apply mutatis mutandis to any deletion, substitution oraddition of a sheet of the international applicationreceived by the International Bureau.

PART 3

INSTRUCTIONS RELATING TO THE RECEIVING OFFICE

301 Notification of Receipt of PurportedInternational Application

Before the determination under Article 11(1), thereceiving Office may notify the applicant of thereceipt of the purported international application.The notification should indicate the date of actualreceipt and the international application number ofthe purported international application referred to inSection 307 as well as, where useful for purposes ofidentification, the title of the invention.

302 Priority Claim Considered Not to HaveBeen Made

Where the receiving Office declares, under Rule26 bis.2(b), that a priority claim is considered not tohave been made, that Office shall enclose the priorityclaim concerned within square brackets, draw a linebetween the square brackets, while still leavinglegible the indications concerned, and enter, in themargin, the words “NOT TO BE CONSIDEREDFOR PCT PROCEDURE (RO)” or their equivalentin the language of publication of the international

Rev. 08.2017, January 2018AI-17


application, and shall notify the applicantaccordingly. If copies of the international applicationhave already been sent to the International Bureauand the International Searching Authority, thereceiving Office shall also notify that Bureau andthat Authority.

303 Deletion of Additional Matter in theRequest

(a) Where, under Rule 4.19(b), the receivingOffice deletes ex officio any matter contained in therequest, it shall do so by enclosing such matterwithin square brackets and entering, in the margin,the words “DELETED BY RO” or their equivalentin the language of publication of the internationalapplication, and shall notify the applicantaccordingly. If copies of the international applicationhave already been sent to the International Bureauand the International Searching Authority, thereceiving Office shall also notify that Bureau andthat Authority.

(b) The receiving Office shall not delete exofficio any indication made in declarations referredto in Rule 4.17 which are contained in the request.

304 Invitation to Pay Fees Before Date onWhich They Are Due

If the receiving Office finds, before the date onwhich they are due, that the transmittal fee, theinternational filing fee (including any supplementper sheet over 30) or the search fee are lacking inwhole or in part, it may invite the applicant to paythe missing amounts within one month from the dateof receipt of the international application.

305 Identifying the Copies of theInternational Application

(a) Where, under Rule 11.1(a), the internationalapplication has been filed in one copy, the receivingOffice shall, after preparing under Rule 21.1(a) theadditional copies required under Article 12(1), mark,

(i) the words “RECORD COPY” in the upperleft-hand corner of the first page of the original copy,

(ii) in the same space on one additional copy,the words “SEARCH COPY,” and

(iii) in the same space on the other such copy,the words “HOME COPY,” or their equivalent inthe language of publication of the internationalapplication.

(b) Where, under Rule 11.1(b), the internationalapplication has been filed in more than one copy,the receiving Office shall choose the copy mostsuitable for reproduction purposes, and mark thewords “RECORD COPY,” or their equivalent in thelanguage of publication of the internationalapplication, in the upper left-hand corner of its firstpage. After verifying the identity of any additionalcopies and, if applicable, preparing under Rule21.1(b) the home copy, it shall mark, in the upperleft-hand corner of the first page of one such copy,the words “SEARCH COPY,” and, in the same spaceon the other such copy, the words “HOME COPY,”or their equivalent in the language of publication ofthe international application.

305 bis Preparation, Identification andTransmittal of the Copies of the Translationof the International Application

(a) Where a translation of the internationalapplication is furnished under Rule 12.3, thereceiving Office shall:

(i) be responsible for the prompt preparationof any additional copies required where thetranslation is furnished in less than the number ofcopies required for the purposes of this paragraph,and shall have the right to fix a fee for performingthat task and to collect such fee from the applicant;

(ii) mark the words “RECORD COPY -TRANSLATION (RULE 12.3)” in the upperleft-hand corner of the first page of the original copyof the translation and transmit that copy to theInternational Bureau;

(iii) mark the words “SEARCH COPY -TRANSLATION (RULE 12.3)” in the same spaceon one additional copy of the translation which,together with a copy of the request marked“SEARCH COPY” under Section 305(a)(ii), isconsidered pursuant to Rule 23.1(b) to be the searchcopy, and transmit such search copy to theInternational Searching Authority; and

(iv) mark the words “HOME COPY-TRANSLATION (RULE 12.3)” in the same space

AI-18Rev. 08.2017, January 2018


on the other such copy of the translation, and keepthat copy in its files.

(b) The receiving Office may, when marking thecopies of the translation under paragraph (a), use,instead of the words referred to in that paragraph,the equivalent of those words in the language ofpublication of the international application.

(c) Where a translation of the internationalapplication is furnished under Rule 12.4, thereceiving Office shall:

(i) be responsible for the prompt preparationof any additional copies required where thetranslation is furnished in less than the number ofcopies required for the purposes of this paragraph,and shall have the right to fix a fee for performingthat task and to collect such fee from the applicant;

(ii) mark the words “RECORD COPY –TRANSLATION (RULE 12.4)” in the upperleft-hand corner of the first page of the original copyof the translation and transmit that copy to theInternational Bureau; and

(iii) mark the words “HOME COPY –TRANSLATION (RULE 12.4)” in the same spaceon the other such copy of the translation, and keepthat copy in its files.

305 ter Identification and Transmittal of theTranslation of an Earlier ApplicationFurnished under Rule 20.6(a)(iii)

Where a translation of an earlier application isfurnished under Rule 20.6(a)(iii), the receivingOffice shall mark the words “TRANSLATION OFEARLIER APPLICATION (RULE 20.6(a)(iii))” inthe upper left-hand corner of the first page of thetranslation and, after having made a finding underRule 20.6(b) or (c), transmit the translation to theInternational Bureau.

306 Delayed Transmittal of Search Copy

Where the search copy will be transmitted to theInternational Searching Authority after the date onwhich the record copy is transmitted to theInternational Bureau, the receiving Office shallnotify the International Bureau. The notification maybe made by marking a check-box provided for thispurpose on the request.

307 System of Numbering InternationalApplications

Papers purporting to be an international applicationunder Rule 20.1(a) shall be allocated an internationalapplication number, consisting of the letters “PCT,”a slant, the two-letter code referred to in Section 115,indicating the receiving Office, a four-digitindication of the year in which such papers were firstreceived, a slant and a six-digit number, allotted insequential order corresponding to the order in whichthe international applications are received (e.g.,“PCT/SE2004/000001”). Where the InternationalBureau acts as receiving Office, the two-letter code“IB” shall be used.

308 Marking of the Sheets of theInternational Application and of theTranslation Thereof

(a) Upon receipt of papers purporting to be aninternational application, the receiving Office shallindelibly mark the date of actual receipt on therequest of each copy received.

(b) The receiving Office shall indelibly markthe international application number referred to inSection 307 in the upper right-hand corner of eachsheet of each copy of the purported internationalapplication and of any translation of the internationalapplication furnished under Rules 12.3 or 12.4.

(c) If a positive determination is made underRule 20.2, the receiving Office shall mark on therequest the name of the receiving Office and thewords “PCT International Application” or “Demandeinternationale PCT”. If the official language of thereceiving Office is neither English nor French, thewords “International Application” or “Demandeinternationale” may be accompanied by a translationof these words in the official language of thereceiving Office.

(d) If a negative determination is made underRule 20.4 or a declaration is made under Article14(4), the letters “PCT” shall be deleted by thereceiving Office from the indication of theinternational application number on any papersmarked previously with that number, and the saidnumber shall be used without such letters in anyfuture correspondence relating to the purportedinternational application.

Rev. 08.2017, January 2018AI-19


308 bis Marking of Later Submitted Sheets

The receiving Office shall indelibly mark any sheetcontaining an element referred to in Article11(1)(iii)(d) or (e), or a part referred to in Rule20.5(a), received on a date later than the date onwhich sheets were first received (“later submittedsheet”), in the upper right-hand corner of each sheet,with the international application number referredto in Section 307 and the date of actual receipt ofthat sheet.

309 Procedure in the Case of LaterSubmitted Sheets Furnished for the Purposesof Incorporation by Reference

(a) This Section applies, subject to paragraph(f), to later submitted sheets which accompany anotice confirming under Rule 20.6 that an elementor part embodied in those sheets was incorporatedby reference.

(b) Where later submitted sheets as referred toin paragraph (a) are received within the applicabletime limit referred to in Rule 20.7 and the receivingOffice makes a finding under Rule 20.6(b), thereceiving Office shall:

(i) indelibly mark, in the middle of thebottom margin of each later submitted sheet, thewords “INCORPORATED BY REFERENCE(RULE 20.6)”, or their equivalent in the languageof publication of the international application;

(ii) notify the applicant that the element orpart contained in the later submitted sheets isconsidered to have been contained in theinternational application or purported internationalapplication on the date when sheets were firstreceived and that that date has been accorded orretained, as the case may be, as the internationalfiling date;

(iii) keep in its files a copy of the latersubmitted sheets marked under item (i) and of thenotice under Rule 20.6(a);

(iv) where transmittals under Article 12(1)have already been made, notify the InternationalBureau and the International Searching Authorityaccordingly, and transmit the later submitted sheetsmarked under item (i) to the said Bureau and a copythereof to the said Authority;

(v) where transmittals under Article 12(1)have not yet been made, attach the later submittedsheets marked under item (i) and the notice underRule 20.6(a) to the record copy and a copy thereofto the search copy.

(c) Where later submitted sheets referred to inparagraph (a) are received within the applicable timelimit referred to in Rule 20.7 and the receiving Officemakes a finding under Rule 20.6(c), the receivingOffice shall, subject to Section 310 bis :

(i) effect the required correction of theinternational filing date or accord as the internationalfiling date the date of receipt of the later submittedsheets;

(ii) notify the applicant that the content ofthe later submitted sheets is not considered to havebeen contained in the international application orpurported international application on the date whensheets were first received and that the internationalfiling date has been accorded as, or corrected to, asthe case may be, the date on which the new sheetswere received;

(iii) keep in its files a copy of the latersubmitted sheets and of the notice under Rule20.6(a);

(iv) where transmittals under Article 12(1)have already been made, notify the InternationalBureau and the International Searching Authorityaccordingly and transmit a copy of the corrected firstand last sheets of the request, the later submittedsheets and the notice under Rule 20.6(a) to the saidBureau and a copy thereof to the said Authority;

(v) where transmittals under Article 12(1)have not yet been made, attach the later submittedsheets and the notice under Rule 20.6(a) to the recordcopy and a copy thereof to the search copy.

(d) Where later submitted sheets referred to inparagraph (a) are received within the applicable timelimit referred to in Rule 20.7 but the purportedinternational application still does not fulfill therequirements of Article 11(1), the receiving Officeshall proceed as provided in Rule 20.4, but not beforethe expiration of the time limit under Rule 20.7.

(e) Where later submitted sheets referred to inparagraph (a) are received after the expiration of theapplicable time limit referred to in Rule 20.7, thereceiving Office shall proceed as provided in Section310 ter .

AI-20Rev. 08.2017, January 2018


(f) Where later submitted sheets referred to inparagraph (a) are received but a missing element orpart contained in those sheets cannot be incorporatedby reference in the international application underRules 4.18 and 20.6 because of the operation of Rule20.8(a), the receiving Office shall:

(i) inform the applicant that the notice underRule 20.6(a) confirming the incorporation byreference of the missing element or part has beendisregarded:

(ii) proceed in accordance with Section310(b), which shall apply mutatis mutandis, as ifthe notice under Rule 20.6(a) were a correctionfurnished under Rule 20.3(b)(i), or a missing partfurnished under Rules 20.5(b) or (c), as the case maybe; and

(iii) proceed in accordance with Section310 bis(b) where the applicant requests, within thetime limit under Rule 20.5(e), that the missing partconcerned be disregarded.

310 Procedure in the Case of LaterSubmitted Sheets Not Furnished for thePurposes of Incorporation by Reference

(a) This Section applies to later submitted sheetswhich do not accompany a notice confirming underRule 20.6 that an element or part embodied in thosesheets was incorporated by reference.

(b) Where later submitted sheets as referred toin paragraph (a) are received within the applicabletime limit referred to in Rule 20.7 and where theinternational filing date is to be accorded under Rules20.3(b)(i) or 20.5(b), or corrected under Rule 20.5(c),the receiving Office shall, subject to Section 310 bis:

(i) accord the international filing date inaccordance with Rules 20.3(b)(i) or 20.5(b), or effectthe required correction of the international filingdate in accordance with Rule 20.5(c), as the casemay be;

(ii) notify the applicant of the correction orthe according of the international filing date effectedunder item (i);

(iii) keep in its files a copy of the latersubmitted sheets;

(iv) where transmittals under Article 12(1)have already been made, notify the International

Bureau and the International Searching Authorityaccordingly and transmit a copy of the corrected firstand last sheets of the request and the later submittedsheets to the said Bureau and a copy thereof to thesaid Authority;

(v) where transmittals under Article 12(1)have not yet been made, attach the later submittedsheets to the record copy and a copy thereof to thesearch copy.

(c) Where later submitted sheets referred to inparagraph (a) are received within the applicable timelimit referred to in Rule 20.7 but the purportedinternational application still does not fulfill therequirements of Article 11(1), the receiving Officeshall proceed as provided in Rule 20.4.

(d) Where later submitted sheets referred to inparagraph (a) are received after the expiration of theapplicable time limit referred to in Rule 20.7, thereceiving Office shall proceed as provided in Section310 ter .

310 bis Procedure in the Case of LaterSubmitted Sheets Resulting in the Correctionof the International Filing Date under Rule20.5(c)

(a) Where, following the receipt of latersubmitted sheets referred to in Sections 309(a) or310(a) within the applicable time limit referred toin Rule 20.7, the international filing date has beencorrected under Rule 20.5(c), the receiving Officeshall, in addition to proceeding under Sections309(c)(i) to (iii), or 310(b)(i) to (iii), as the case maybe:

(i) draw the attention of the applicant to theprocedure available under Rule 20.5(e);

(ii) proceed under Sections 309(c)(iv) or (v),or 310(b)(iv) or (v), as the case may be, but onlyafter the expiration of the time limit under Rule20.5(e) and only where the applicant has not madea request under that Rule.

(b) Where the applicant requests within the timelimit under Rule 20.5(e) that the missing partconcerned be disregarded, the receiving Office shall:

(i) restore the international filing date to thatwhich had applied prior to its correction under Rule20.5(c);

Rev. 08.2017, January 2018AI-21

§ 310 bisADMINISTRATIVE INSTRUCTIONS UNDER THE PCT

(ii) indelibly mark, in the middle of thebottom margin of each sheet containing the missingpart concerned, the words “NOT TO BECONSIDERED (RULE 20.5(e))”, or their equivalentin the language of publication of the internationalapplication;

(iii) notify the applicant that the missing partis considered not to have been furnished and that theinternational filing date has been restored to thatwhich had applied prior to its correction under Rule20.5(c);

(iv) keep in its files a copy of the latersubmitted sheets marked under item (ii) and of therequest made under Rule 20.5(e);

(v) where transmittals under Article 12(1)have already been made, notify the InternationalBureau and the International Searching Authorityaccordingly, and transmit a copy of the correctedfirst and last sheets of the request, the later submittedsheets marked under item (ii) and the request madeunder Rule 20.5(e) to the said Bureau and a copythereof to the said Authority;

(vi) where transmittals under Article 12(1)have not yet been made, notify the InternationalBureau accordingly and attach the later submittedsheets marked under item (ii), the notice under Rule20.6(a) and the request under Rule 20.5(e) to therecord copy.

310 ter Procedure in the Case of LaterSubmitted Sheets Furnished after theExpiration of the Applicable Time LimitReferred to in Rule 20.7

Where later submitted sheets referred to in Sections309(a) or 310(a) are received after the expiration ofthe applicable time limit referred to in Rule 20.7,the receiving Office shall:

(i) notify the applicant of the fact and of the dateof receipt of the later submitted sheets, and of thefact that they will not be considered for the PCTprocedure;

(ii) indelibly mark, in the middle of the bottommargin of each sheet containing the missing elementor part concerned, the words “NOT TO BECONSIDERED (RULE 20.7)”, or their equivalentin the language of publication of the internationalapplication;

(iii) keep in its files a copy of the later submittedsheets marked under item (ii) and, where applicable,of the notice under Rule 20.6(a);

(iv) where transmittals under Article 12(1) havealready been made, notify the International Bureauaccordingly, and transmit the later submitted sheetsmarked under item (ii) and, where applicable, thenotice under Rule 20.6(a) to the said Bureau;

(v) where transmittals under Article 12(1) havenot yet been made, notify the International Bureauaccordingly, and attach the later submitted sheetsmarked under item (ii) and, where applicable, thenotice under Rule 20.6(a) to the record copy.

311 Renumbering in the Case of Deletion,Substitution or Addition of Sheets of theInternational Application and of theTranslation Thereof

(a) The receiving Office shall, subject to Section207, sequentially renumber the sheets of theinternational application when necessitated by theaddition of any new sheet, the deletion of entiresheets, a change in the order of the sheets or anyother reason.

(b) The sheets of the international applicationshall be provisionally renumbered in the followingmanner:

(i) when a sheet is deleted, the receivingOffice shall either include a blank sheet with thesame number and with the word “DELETED,” orits equivalent in the language of publication of theinternational application, below the number, orinsert, in brackets, below the number of thefollowing sheet, the number of the deleted sheet withthe word “DELETED” or its equivalent in thelanguage of publication of the internationalapplication;

(ii) when one or more sheets are added, eachsheet shall be identified by the number of thepreceding sheet followed by a slant and then byanother Arabic numeral such that the additionalsheets are numbered consecutively, starting alwayswith number one for the first sheet added after anunchanged sheet (e.g., 10/1, 15/1, 15/2, 15/3, etc.);when later additions of sheets to an existing seriesof added sheets are necessary, an extra numeral shallbe used for identifying the further additions (e.g.,15/1, 15/1/1, 15/1/2, 15/2, etc.).

AI-22Rev. 08.2017, January 2018

MANUAL OF PATENT EXAMINING PROCEDURE§ 310 ter

(c) In the cases mentioned in paragraph (b), it isrecommended that the receiving Office should write,below the number of the last sheet, the total numberof the sheets of the international application followedby the words “TOTAL OF SHEETS” or theirequivalent in the language of publication of theinternational application. It is further recommendedthat, at the bottom of any last sheet added, the words“LAST ADDED SHEET” or their equivalent in thelanguage of publication of the internationalapplication should be inserted.

(d) Paragraphs (a) to (c) shall apply mutatismutandis to any translation of the internationalapplication furnished under Rule 12.3 or 12.4.

312 Notification of Decision Not to IssueDeclaration that the InternationalApplication Is Considered Withdrawn

Where the receiving Office, after having notified theapplicant under Rule 29.4(a) of its intent to issue adeclaration under Article 14(4), decides not to issuesuch a declaration, it shall notify the applicantaccordingly.

313 Documents Filed with the InternationalApplication; Manner of Marking theNecessary Annotations in the Check List

(a) Any power of attorney, any prioritydocument, any fee calculation sheet and any separatesheet referred to in Section 209(a) containingindications as to deposited biological material, filedwith the international application shall accompanythe record copy; any other document referred to inRule 3.3(a)(ii) shall be sent only at the specificrequest of the International Bureau. If any documentwhich is indicated in the check list as accompanyingthe international application is not, in fact, filed atthe latest by the time the record copy leaves thereceiving Office, that Office shall so note on thecheck list and the said indication shall be consideredas if it had not been made.

(b) Where, under Rule 3.3(b), the receivingOffice itself completes the check list, that Officeshall enter, in the margin, the words “COMPLETEDBY RO” or their equivalent in the language ofpublication of the international application. Whereonly some of the indications are completed by thereceiving Office, the said words and each indication

completed by that Office shall be identified by anasterisk.

(c) Any sequence listing not forming part of theinternational application, whether on paper or inelectronic form, that is furnished for the purposes ofthe international search to the receiving Officetogether with the international application orsubsequent to the filing of the internationalapplication, shall be transmitted to the InternationalSearching Authority together with the search copy.Where such a sequence listing is received by thereceiving Office after the transmittal of the searchcopy, that sequence listing shall be promptlytransmitted to the International Searching Authority.

314 Correction or Addition of a PriorityClaim Under Rule 26 bis

(a) Where the applicant, in a notice submittedto the receiving Office, corrects or adds a priorityclaim under Rule 26 bis , that Office shall enter thecorrection or addition in the request, draw a linethrough, while still leaving legible, any indicationdeleted as a result of the correction, and enter, in themargin, the letters “RO.”

(b) The applicant and, if copies of theinternational application have already been sent tothe International Bureau and the InternationalSearching Authority, that Bureau and that Authorityshall be promptly notified by the receiving Officeof any correction or addition of a priority claim underRule 26 bis and of the date on which it received suchcorrection or addition.

315 Processing of Documents by theReceiving Office under Rule 26 bis.3(h- bis)

(a) Where the receiving Office receives a requestunder Rule 26 bis.3(h- bis) and decides not totransmit a document or part thereof to theInternational Bureau, it shall

indelibly mark on the request under Rule26 bis.3(h- bis) the date on which that request wasreceived;

(ii) indelibly mark, in the upper right-handcorner of each replacement sheet received, theinternational application number and the date onwhich that sheet was received;

(iii) indelibly mark, in the middle of thebottom margin of each replacement sheet received,

Rev. 08.2017, January 2018AI-23


the words “SUBSTITUTE SHEET (RULE26 bis.3(h- bis))” or their equivalent in the languageof publication of the international application;

(iv) keep in its files a copy of the requestunder Rule 26 bis.3(h- bis), and, where applicable,the replaced sheet, and a copy of the replacementsheet;

(v) promptly transmit any replacement sheetto the International Bureau.

(b) Where the receiving Office receives a requestunder Rule 26 bis.3(h- bis) and finds that informationin a part of a document meets the requirements inthis Rule, but the receiving Office has not receiveda replacement sheet from the applicant in which thatpart has been removed, it may decide not to transmitthe entire document or part thereof to theInternational Bureau and proceed as indicated underparagraph (a)(i) and (iv) as applicable, or invite theapplicant to submit such a replacement sheet. Wherethe applicant submits a replacement sheet within thetime limit set by the receiving Office, the receivingOffice proceeds as indicated under paragraph (a).Where the applicant does not submit a replacementsheet within the time limit set by the receivingOffice, the receiving Office may either transmit thedocument containing that part and the request underRule 26 bis.3(h- bis) to the International Bureau, ordecide not to transmit the entire document or partthereof to the International Bureau under Rule26 bis.3(h- bis).

(c) Where the receiving Office finds on its owndecision that information in a part of a documentmeets the requirements in Rule 26 bis.3(h- bis), itmay either invite the applicant to submit areplacement sheet in which that part has beenremoved and proceed as indicated under paragraph(b), or decide not to transmit the entire document orpart thereof to the International Bureau.

(d) Where the receiving Office receives a requestunder Rule 26 bis.3(h- bis), but nevertheless decidesto transmit that document or part thereof to theInternational Bureau, it shall proceed as indicatedunder paragraph (a)(i), (ii) and (iv), and promptlytransmit the request under Rule 26 bis.3(h- bis) andany proposed replacement sheet to the InternationalBureau.

316 Procedure in the Case Where theInternational Application Lacks thePrescribed Signature

Where, under Article 14(1)(a)(i), the receiving Officefinds that the international application is defectivein that it lacks the prescribed signature, that Officeshall send to the applicant, together with theinvitation to correct under Article 14(1)(b), a copyof the relevant sheet of the request part of theinternational application. The applicant shall, withinthe prescribed time limit, return said copy afteraffixing thereto the prescribed signature.

317 Transmittal of a Notice of Correction orAddition of a Declaration under Rule 26ter.1

If a notice under Rule 26 ter.1 is submitted by theapplicant to the receiving Office, that Office shallmark the date of receipt on the notice and transmitit promptly to the International Bureau. The noticeshall be considered to have been received by theInternational Bureau on the date marked.

318 Cancellation of Designations ofNon-Contracting States

The receiving Office shall cancel ex officio thedesignation of any State which is not a ContractingState, shall enclose that designation within squarebrackets, shall draw a line between the squarebrackets while still leaving the designation legible,shall enter, in the margin, the words “CANCELLEDEX OFFICIO BY RO” or their equivalent in thelanguage of publication of the internationalapplication, and shall promptly notify the applicantaccordingly. If the record copy has already been sentto the International Bureau, the receiving Office shallalso notify that Bureau.

319 Procedure under Rule 4.9(b)

(a) Where the receiving Office finds that therequest contains an indication under Rule 4.9(b) thatthe designation of a State is not made but the requestdoes not contain a priority claim to an earlier nationalapplication filed in that State, the receiving Officeshall promptly notify the applicant accordingly andshall draw the applicant’s attention to Rule 26 bis .

AI-24Rev. 08.2017, January 2018


(b) If the receiving Office does not, before theexpiration of the time limit under Rule 26 bis.1(a),receive a notice correcting or adding a priority claimto an earlier national application filed in the State,the designation of which is not made, it shall cancel ex officio the indication under Rule 4.9(b), shallenclose that indication in square brackets, draw aline between the square brackets while still leavingthe indication legible, enter, in the margin, the words“CANCELLED EX OFFICIO BY RO” or theirequivalent in the language of publication of theinternational application, and promptly notify theapplicant accordingly. If the record copy has alreadybeen sent to the International Bureau, the receivingOffice shall also notify that Bureau.

320 Invitation to Pay Fees under Rule16 bis.1(a)

When issuing an invitation under Rule 16 bis.1(a),the receiving Office shall, if it received moneys fromthe applicant before the due date, inform theapplicant of the fees to which those moneys havebeen applied.

321 Application of Moneys Received by theReceiving Office in Certain Cases

(a) The receiving Office shall, to the extent thatit has received instructions from the applicant as tothe fees to which it shall apply moneys received byit from the applicant, apply those moneysaccordingly.

(b) Where the receiving Office receives moneysfrom the applicant which, together with any othermoneys so received, are not sufficient to cover infull the transmittal fee (if any), the internationalfiling fee and the search fee (if any), the receivingOffice shall, to the extent that it has not receivedinstructions from the applicant as to the fees to whichit shall apply the moneys which are available for thepurpose, apply those moneys in payment,successively, of the fees set out below to the extentthat they are due and unpaid and in the order inwhich they appear below:

(i) the transmittal fee;

(ii) the international filing fee;

(iii) the search fee.

322 Invitation to Submit a Request forRefund of the Search Fee

The receiving Office may, before making a refundof the search fee under Rule 16.2, first invite theapplicant to submit a request for the refund.

323 Transmittal of Priority Documents toInternational Bureau

(a) Any priority document which is submittedto the receiving Office under Rule 17.1(a) shall betransmitted by that Office to the International Bureautogether with the record copy or, if received afterthe record copy has been sent to the InternationalBureau, promptly after having been received by thatOffice.

(b) Where the priority document is issued by thereceiving Office and the applicant has, not later than16 months after the priority date, requested thereceiving Office under Rule 17.1(b) to prepare andtransmit it to the International Bureau, the receivingOffice shall, promptly after receipt of such request(“request for priority document”) and, whereapplicable, the payment of the fee referred to in thatRule, transmit the priority document to theInternational Bureau. Where such request for prioritydocument has been made but the required fee hasnot been paid, the receiving Office shall promptlynotify the applicant that the request for prioritydocument will be considered not to have been madeunless the fee is paid not later than 16 months afterthe priority date or, in the case referred to in Article23(2), not later than at the time the processing orexamination of the international application isrequested.

(c) When transmitting a priority document, thereceiving Office shall notify the International Bureauof the date on which it received the prioritydocument or the request for priority document.

(d) Where a request for priority document has,under paragraph (b), been considered not to havebeen made, the receiving Office shall promptlynotify the International Bureau. Where the receivingOffice fails to notify the International Bureauaccordingly within 17 months from the priority date,the receiving Office shall prepare and transmit thepriority document to the International Bureau even

Rev. 08.2017, January 2018AI-25


though the required fee has not been paid by theapplicant.

(e) Where a request for priority document hasbeen received by the receiving Office later than 16months after the priority date, or where such requesthas, under paragraph (b), been considered not tohave been made, the receiving Office shall promptlynotify the applicant accordingly, directing attentionto the requirements of Rule 17.1(a).

324 Copy of Notification of the InternationalApplication Number and the InternationalFiling Date under Rule 20.2(c)

The copy, sent to the International Bureau, of thenotification of the international application numberand the international filing date under Rule 20.2(c)shall also include, if the priority of an earlierapplication is claimed in the internationalapplication, the date of filing – as indicated in theinternational application – of that earlier application.If the priority of several earlier applications isclaimed, the earliest filing date shall be indicated.

325 Corrections of Defects under Rule 26.4and Rectifications of Obvious Mistakes underRule 91

(a) Where the receiving Office receives acorrection of defects under Rule 26.4 or authorizesa rectification of an obvious mistake under Rule 91,it shall:


(ii) indelibly mark, in the middle of thebottom margin of each replacement sheet, the words“SUBSTITUTE SHEET (RULE 26)” (where thereplacement sheet contains a correction of defectsunder Rule 26) or “RECTIFIED SHEET (RULE91)” (where the replacement sheet contains therectification of an obvious mistake under Rule 91)or their equivalent in the language of publication ofthe international application;

(iii) indelibly mark on the letter containingthe correction or rectification, or accompanying anyreplacement sheet, the date on which that letter wasreceived;

(iv) keep in its files a copy of the lettercontaining the correction or rectification or, whenthe correction or rectification is contained in areplacement sheet, the replaced sheet, a copy of theletter accompanying the replacement sheet, and acopy of the replacement sheet;

(v) subject to item (vi), promptly transmitany letter and any replacement sheet to theInternational Bureau, and a copy thereof to theInternational Searching Authority;

(vi) where transmittals under Article 12(1)have not yet been made, transmit any letter and anyreplacement sheet to the International Bureautogether with the record copy and, except where theinternational application is considered withdrawnand Rule 29.1(iii) applies, a copy of the said letteror replacement sheet to the International SearchingAuthority together with the search copy. The recordcopy and the search copy shall contain any replacedsheet.

(b) Where the receiving Office refuses toauthorize the rectification of an obvious mistakeunder Rule 91, it shall proceed as indicated underparagraph (a)(i), (iii) and (iv) and promptly transmitany letter and any proposed replacement sheet to theInternational Bureau. If the record copy has not yetbeen sent to the International Bureau, any letter andany proposed replacement sheet shall be transmittedtogether with the record copy.

326 Withdrawal by Applicant under Rule90 bis.1, 90 bis.2 or 90 bis.3

(a) The receiving Office shall promptly transmitto the International Bureau any notice from theapplicant effecting withdrawal of the internationalapplication under Rule 90 bis.1, of a designationunder Rule 90 bis.2 or of a priority claim under Rule90 bis.3 which has been filed with it together withan indication of the date of receipt of the notice. Ifthe record copy has not yet been sent to theInternational Bureau, the receiving Office shalltransmit the said notice together with the recordcopy.

(b) If the search copy has already been sent tothe International Searching Authority and theinternational application is withdrawn under Rule90 bis.1 or a priority claim is withdrawn under Rule90 bis.3, the receiving Office shall promptly transmit

AI-26Rev. 08.2017, January 2018


a copy of the notice effecting withdrawal to theInternational Searching Authority.

(c) If the search copy has not yet been sent tothe International Searching Authority and theinternational application is withdrawn under Rule90 bis.1, the receiving Office shall not send thesearch copy to the International Searching Authorityand shall, subject to Section 322, refund the searchfee to the applicant unless it has already beentransferred to the International Searching Authority.If the search fee has already been transferred to theInternational Searching Authority, the receivingOffice shall send a copy of the request and of thenotice effecting withdrawal to that Authority.

(d) If the search copy has not yet been sent tothe International Searching Authority and a priorityclaim is withdrawn under Rule 90 bis.3, the receivingOffice shall transmit a copy of the notice effectingwithdrawal to the International Searching Authoritytogether with the search copy.

327 Ex Officio Correction of Request by theReceiving Office

(a) Subject to paragraph (d), where the recordcopy has not yet been sent to the InternationalBureau and the request requires correction becauseit contains an inconsistency or a minor defect suchas non-compliance with the requirement forindications under Section 115, the receiving Officemay correct the request ex officio. If the receivingOffice does so, it shall notify the applicantaccordingly.

(b) When making a correction under paragraph(a), the receiving Office shall enter, in the margin,the letters “RO.” Where any matter is to be deleted,the receiving Office shall enclose such matter withinsquare brackets and shall draw a line between thesquare brackets while still leaving the deleted matterlegible. Where any matter is to be replaced, both thefirst and second sentences of this paragraph shallapply.

(c) The receiving Office shall check the numberof characters of the file reference, if any, and shalldelete any characters beyond the number permittedby Section 109.

(d) The receiving Office shall not make any exofficio correction to declarations referred to inRule 4.17 which are contained in the request.

328 Notifications Concerning Representation

(a) Where a power of attorney or a documentcontaining the revocation or renunciation of anappointment is submitted to the receiving Office andthe record and search copies have already beentransmitted, the receiving Office shall immediatelynotify the International Bureau and the InternationalSearching Authority by sending them a copy of thepower of attorney or document and request theInternational Bureau to record a change in theindications concerning the agent or commonrepresentative under Rule 92 bis.1(a)(ii).

(b) If the record copy and/or search copy havenot yet been transmitted by the receiving Office, acopy of the power of attorney or documentcontaining the revocation or renunciation of anappointment shall be transmitted by the receivingOffice with the record copy and/or search copy.

329 Correction of Indications Concerningthe Applicant’s Residence or Nationality

Where, in response to an invitation to correct a defectunder Article 11(1)(i), evidence is submittedindicating to the satisfaction of the receiving Officethat, in fact, the applicant had, on the date on whichthe international application was actually received,the right to file an international application with thatreceiving Office, the invitation shall be consideredto be an invitation to correct a defect under Article14(1)(a)(ii) and Rule 4.5 in the prescribed indicationsconcerning the applicant’s residence and/ornationality, and the applicant may correct thoseindications accordingly. If such correction is made,no defect shall be considered to exist under Article11(1)(i).

330 Transmittal of Record Copy Preventedor Delayed by National Security Prescriptions

(a) Where prescriptions concerning nationalsecurity prevent the transmittal of the record copyby the receiving Office to the International Bureauunder Rule 22.1(a), the receiving Office shall notifythe applicant and the International Bureauaccordingly.

(b) The notifications under paragraph (a) shallbe sent before the expiration of 13 months from thepriority date. Where the receiving Office believes

Rev. 08.2017, January 2018AI-27


that national security clearance is imminent, it maypostpone the sending of the notifications, but shallsend them before the expiration of 17 months fromthe priority date if no clearance has been given bythat time.

331 Receipt of Confirmation Copy

Where, subject to Rule 92.4, the receiving Officereceives an international application by facsimilemachine transmission and subsequently receives theoriginal of that international application, it shall marksuch original with the words “CONFIRMATIONCOPY” or their equivalent in the language ofpublication of the international application on thebottom of the first page of the request and on thefirst page of the description. The marking underSection 325 is not required in such a case. Theinternational application as received by facsimilemachine transmission shall constitute the recordcopy. The confirmation copy shall be transmitted tothe International Bureau in addition to the recordcopy.

332 Notification of Languages Accepted bythe Receiving Office under Rules 12.1(a) and(c) and 12.4(a)

(a) Each receiving Office shall notify theInternational Bureau of the language or languageswhich, having regard to Rule 12.1(b), it is preparedto accept under Rule 12.1(a) for the filing ofinternational applications.

(b) Each receiving Office shall notify theInternational Bureau of any change to theinformation notified under paragraphs (a), (d) and(e). If the change means that

(i) the receiving Office is no longer preparedto accept the filing of international applications in alanguage that it had previously notified theInternational Bureau that it was prepared to accept;or

(ii) the receiving Office is no longer preparedto accept the translation of international applicationsinto a language of publication that it had previouslynotified the International Bureau that it was preparedto accept; or

(iii) the receiving Office is no longerprepared to accept the filing of requests in a languagethat it had previously notified the InternationalBureau that it was prepared to accept,

the effective date of such change shall be two monthsafter the date of publication of the notification of thechange in the Gazette pursuant to Section 405 orsuch later date as may be determined by the receivingOffice.

(c) Nothing in paragraph (a), (b), (d) or (e)prevents any receiving Office from accepting, in aparticular case,

(i) the filing of an international applicationin a language that it has not notified the InternationalBureau that it is prepared to accept; or

(ii) the translation of an internationalapplication into a language of publication that it hasnot notified the International Bureau that it isprepared to accept; or

(iii) the filing of a request in a language thatit has not notified the International Bureau that it isprepared to accept.

(d) Each receiving Office concerned shall notifythe International Bureau of the language or languageswhich it is prepared to accept under Rule 12.4(a) forthe translation of international applications into alanguage of publication.

(e) Each receiving Office shall notify theInternational Bureau of the language or languageswhich it is prepared to accept under Rule 12.1(c) forthe filing of requests.

333 Transmittal of International Applicationto the International Bureau as ReceivingOffice

(a) Where a national Office intends to proceedunder Rule 19.4(b) having regard to Rule 19.4(a)(i)or (ii), it shall, if it requires payment of the feereferred to in Rule 19.4(b) and that fee has notalready been paid, promptly invite the applicant topay that fee within a time limit of 15 days from thedate of the invitation.

(b) Where a national Office intends to proceedunder Rule 19.4(b) having regard to Rule 19.4(a)(iii),it shall promptly request the International Bureau asreceiving Office to agree to the transmittal of the

AI-28Rev. 08.2017, January 2018


international application. The International Bureauas receiving Office shall promptly respond to thatrequest. If the International Bureau as receivingOffice agrees to the transmittal, the national Officeshall promptly invite the applicant:

(i) if the transmittal has not already beenauthorized by the applicant, to submit to that Office,within a time limit of 15 days from the date of theinvitation, an authorization of the transmittal, and,

(ii) if the Office requires payment of the feereferred to in Rule 19.4(b) and that fee has notalready been paid, to pay that fee within the timelimit referred to in item (i).

(c) The national Office:

(i) need not proceed under Rule 19.4(b)having regard to Rule 19.4(a)(i) to (iii) if the Officerequires payment of the fee referred to in Rule19.4(b) and the applicant does not pay that fee;

(ii) shall not proceed under Rule 19.4(b)having regard to Rule 19.4(a)(iii) if the InternationalBureau as receiving Office does not agree to, or ifthe applicant does not authorize, the transmittal ofthe international application under Rule 19.4(a)(iii).

334 Notification to Applicant of Submissionof Demand after the Expiration of 19 Monthsfrom the Priority Date

Where the demand is submitted after the expirationof 19 months from the priority date to a receivingOffice and the time limit under Article 22(1), as inforce from April 1, 2002, does not apply in respectof all designated Offices, the receiving Office shall:

(i) promptly notify the applicant accordingly,directing attention to the fact that the time limit underArticle 39(1)(a) does not apply, and that Article22(1), as in force until March 31, 2002, continuesto apply in respect of any such designated Office,and

(ii) proceed under Rule 59.3.

335 [Deleted]

336 Waivers under Rules 90.4(d) and 90.5(c)

(a) Where, in accordance with Rule 90.4(d), areceiving Office waives the requirement under Rule90.4(b) that a separate power of attorney besubmitted to it, the receiving Office shall notify theInternational Bureau accordingly.

(b) Where, in accordance with Rule 90.5(c), areceiving Office waives the requirement under Rule90.5(a)(ii) that a copy of a general power of attorneybe attached to the request or any separate notice, thereceiving Office shall notify the International Bureauaccordingly.

(c) A receiving Office may require a separatepower of attorney, or a copy of a general power ofattorney, in particular instances even if the receivingOffice has waived the requirement in general.

(d) A receiving Office which has notified theInternational Bureau under paragraph (a) or (b) shallnotify the International Bureau of any change to theinformation notified under those paragraphs.

337 [Deleted]

PART 4

INSTRUCTIONS RELATING TO THE INTERNATIONAL BUREAU

401 Marking of the Sheets of the RecordCopy

(a) The International Bureau shall, upon receiptof the record copy, mark the date of receipt of therecord copy in the appropriate space on the request.

(b) If the receiving Office has failed to mark anysheet as provided in Sections 311 and 325, themarking which has not been made may be insertedby the International Bureau.

402 Correction or Addition of a PriorityClaim under Rule 26 bis

(a) Where the applicant, in a notice submittedto the International Bureau, corrects or adds apriority claim under Rule 26 bis , that Bureau shallenter the correction or addition in the request, drawa line through, while still leaving legible, anyindication deleted as a result of the correction, andenter, in the margin, the letters “IB”.

Rev. 08.2017, January 2018AI-29


(b) [Deleted]

(c) The applicant, the receiving Office and theInternational Searching Authority shall be promptlynotified by the International Bureau of any correctionor addition of a priority claim under Rule 26 bis andof the date on which it received such correction oraddition.

403 Transmittal of Protest Against Paymentof Additional Fees and Decision ThereonWhere International Application IsConsidered to Lack Unity of Invention

Where, under Rules 40.2(c) or 68.3(c), theInternational Bureau receives a request from theapplicant to forward to any designated or electedOffice the texts of both the protest against paymentof additional fees as provided for in Articles 17(3)(a)and 34(3)(a) where the international application isconsidered to lack unity of invention and the decisionthereon by the International Searching Authority orthe International Preliminary Examining Authority,as the case may be, it shall proceed according to suchrequest.

404 International Publication Number ofInternational Application

The International Bureau shall assign to eachpublished international application an internationalpublication number which shall be different fromthe international application number. Theinternational publication number shall be used onthe published international application and in theGazette entry. It shall consist of the two-letter code“WO” followed by a four-digit indication of the yearof publication, a slant, and a serial number consistingof six digits (e.g., “WO 2004/123456”).

405 Publication of Notifications of LanguagesAccepted by the receiving Office under Rules12.1(a) and (c) and 12.4(a)

The International Bureau shall promptly publish inthe Gazette any notification under Section 332(a),(b), (d) or (e).

406 Publication of International Applications

(a) International applications shall be publishedon a given day of the week.

(b) International applications may be published,for the purposes of Article 21, on paper or whollyor partly in electronic form.

(c) Details concerning the publication ofinternational applications, and the form andparticulars of the front page of each publishedinternational application, shall be decided by theDirector General, after consultation with the Officesor Authorities which have a direct interest in thosedetails.

407 The Gazette

(a) The Gazette referred to in Rule 86.1 shall bepublished in electronic form on the Internet. It maybe made available by any other electronic means asdetermined by the Director General after consultationwith the Offices and Authorities which have a directinterest in the means by which the Gazette ispublished.

(b) In respect of each published internationalapplication, the Gazette shall contain the contentsspecified in Rule 86.1(i), the contents specified inRule 86.1(iv), and the data indicated in Annex D.

(c) The information referred to in Rule 86.1(v)shall be that which is indicated in Annex E.

(d) Details concerning the form and furtherparticular content of the Gazette shall be decided bythe Director General after consultation with Officesand Authorities which have a direct interest in thosedetails.

408 Priority Application Number

(a) [Deleted]

(b) If the number of the earlier applicationreferred to in Rule 4.10(a)(ii) (“priority applicationnumber”) is furnished after the expiration of theprescribed time limit, the International Bureau shallinform the applicant and the designated Offices ofthe date on which the said number was furnished. Itshall indicate the said date in the internationalpublication by including on the front page of thepublished international application next to thepriority application number the words “FURNISHED

AI-30Rev. 08.2017, January 2018


LATE ON... (date),” and the equivalent of suchwords in the language in which the internationalapplication is published if that language is other thanEnglish.

(c) If the priority application number has notbeen furnished at the time of the completion of thetechnical preparations for international publication,the International Bureau shall indicate that fact byincluding on the front page of the publishedinternational application in the space provided forthe priority application number the words “NOTFURNISHED” and the equivalent of such words inthe language in which the international applicationis published if that language is other than English.

409 Priority Claim Considered Not to HaveBeen Made

Where the International Bureau declares, under Rule26 bis.2(b), that a priority claim is considered not tohave been made, that Bureau shall enclose thepriority claim concerned within square brackets,draw a line between the square brackets, while stillleaving legible the indications concerned, and enter,in the margin, the words “NOT TO BECONSIDERED FOR PCT PROCEDURE (IB)” ortheir equivalent in the language of publication of theinternational application, and shall notify theapplicant accordingly. The International Bureau shallalso notify the receiving Office and the InternationalSearching Authority.

410 Numbering of Sheets for the Purposesof International Publication; Procedure inCase of Missing Sheets

(a) In the course of preparing the internationalapplication for international publication, theInternational Bureau shall sequentially renumber thesheets to be published only when necessitated by theaddition of any new sheet, the deletion of entiresheets or a change in the order of the sheets.Otherwise, the numbering provided under Section207 shall be maintained.

(b) Where a sheet has not been filed or is not tobe taken into consideration for the purposes ofinternational processing under Section 310 bis or310 ter , the International Bureau shall include anindication to that effect in the published internationalapplication.

411 Receipt of Priority Document

(a) The International Bureau shall, in respect ofany priority document received or obtained by it,record the date on which the priority document hasbeen received or obtained by it, and notify theapplicant and the designated Offices accordingly.The notification should indicate whether the prioritydocument was or was not submitted, transmitted, orobtained in compliance with Rule 17.1(a), (b) or(b- bis), and with respect to the designated Offices,should preferably be made together with thenotification under Rule 47.1(a- bis ).

(b) Where the priority document has beensubmitted, transmitted, or obtained but not incompliance with Rule 17.1(a), (b) or (b- bis), theInternational Bureau shall, in the notification underparagraph (a) of this Section, direct the attention ofthe applicant and the designated Offices to theprovisions of Rule 17.1(c).

411 bis Receipt of Translation of EarlierApplication under Rule 20.6(a)(iii)

The International Bureau shall indicate the words“TRANSLATION (RULE 20.6(a)(iii))”, or theirequivalent in French, on any translation receivedunder Rule 20.6(a)(iii).

412 Notification of Lack of Transmittal ofSearch Copy

If the International Bureau does not receive from theInternational Searching Authority a notificationunder Rule 25.1 within two months from the date ofreceipt of the record copy, the International Bureaushall remind the receiving Office to transmit thesearch copy to the International Searching Authority.A copy of the reminder shall be sent to theInternational Searching Authority.

413 Incorporations by Reference under Rule20, Corrections of Defects under Rule 26.4and Rectifications of Obvious Mistakes underRule 91

(a) Where the International Bureau receives fromthe receiving Office a letter containing a correctionof any defects under Rule 26.4, or a replacementsheet and the letter accompanying it, the

Rev. 08.2017, January 2018AI-31


International Bureau shall transfer the correction tothe record copy, together with the indication of thedate on which the receiving Office received theletter, or shall insert the replacement sheet in therecord copy. Any letter and any replaced sheet shallbe kept in the file of the international application.

(b) Paragraph (a) shall apply mutatis mutandisto rectifications of obvious mistakes under Rule 91authorized by the receiving Office, by theInternational Searching Authority or, where ademand has been made, by the InternationalPreliminary Examining Authority.

(b- bis) Where the International Bureau receivesfrom the receiving Office, under Sections 309(c)(iv),310(b)(iv), or 310 bis(b)(v), corrected sheets of therequest or later submitted sheets, the InternationalBureau shall transfer any correction to the recordcopy and insert any later submitted sheets in therecord copy.

(c) Where the International Bureau is notifiedby the International Searching Authority under Rule43.6 bis(b) that the rectification of an obviousmistake authorized under Rule 91 has not been takeninto account for the purposes of the internationalsearch, the International Bureau shall notify thedesignated Offices and, where a demand has beenmade, the International Preliminary ExaminingAuthority accordingly.

(d) Where the International Bureau is notifiedby the International Preliminary ExaminingAuthority under Rule 70.2(e) that the rectificationof an obvious mistake authorized under Rule 91 hasnot been taken into account for the purposes of theinternational preliminary examination, theInternational Bureau shall notify the elected Officesaccordingly.

413 bis Rectifications of Obvious Mistakesunder Rule 91

(a) Where the International Bureau authorizes arectification under Rule 91, it shall:


(ii) indelibly mark, in the middle of thebottom margin of each replacement sheet, the words“RECTIFIED SHEET (RULE 91)” or their

equivalent in the language of publication of theinternational application;

(iii) indelibly mark on the letter containingthe rectification or accompanying any replacementsheet the date on which that letter was received;

(iv) keep in its files a copy of the lettercontaining the rectification or, when the rectificationis contained in a replacement sheet, the replacedsheet, a copy of the letter accompanying thereplacement sheet, and a copy of the replacementsheet.

(b) Where the International Bureau refuses toauthorize a rectification under Rule 91, it shallproceed as indicated under paragraph (a)(i), (iii) and(iv).

(c) Where the International Bureau authorizesor refuses to authorize the rectification of an obviousmistake under Rule 91, it shall notify the applicant,the International Searching Authority, where ademand has been made, the International PreliminaryExamining Authority, as well as the designated orelected Offices accordingly and, where theInternational Bureau refuses to authorize arectification, the notification shall also include thereasons for the refusal.

414 Notification to the InternationalPreliminary Examining Authority Where theInternational Application is ConsideredWithdrawn

If a demand has been submitted and the internationalapplication is considered withdrawn under Article14(1), (3) or (4), the International Bureau shallpromptly notify the International PreliminaryExamining Authority, unless the internationalpreliminary examination report has already issued.

415 Notification of Withdrawal Under Rule90 bis.1, 90 bis.2, 90 bis.3, 90 bis.3 bis or90 bis.4

(a) The fact of withdrawal by the applicant ofthe international application under Rule 90 bis.1, ofdesignations under Rule 90 bis.2, or of a priorityclaim under Rule 90 bis.3, together with the date onwhich the notice effecting withdrawal reached theInternational Bureau, the International PreliminaryExamining Authority or the receiving Office, shall

AI-32Rev. 08.2017, January 2018


be recorded by the International Bureau andpromptly notified by it to the receiving Office, theapplicant, the designated Offices affected by thewithdrawal and, where the withdrawal concerns theinternational application or a priority claim andwhere the international search report, or thedeclaration referred to in Article 17(2)(a), and thewritten opinion of the International SearchingAuthority have not yet issued, the InternationalSearching Authority. However, where the withdrawalconcerns the international application and where thenotice effecting withdrawal was filed with thereceiving Office before the sending of the recordcopy to the International Bureau, that Bureau shallsend the notifications referred to in the precedingsentence and in Rule 24.2(a) to the receiving Officeand the applicant only.

(b) If, at the time of the withdrawal of theinternational application under Rule 90 bis.1, or ofa priority claim under Rule 90 bis.3, a demand hasalready been submitted and the internationalpreliminary examination report has not yet issued,the International Bureau shall, unless the noticeeffecting withdrawal was submitted to theInternational Preliminary Examining Authority,promptly notify the fact of withdrawal to thatAuthority, together with the date on which the noticeeffecting withdrawal has reached the InternationalBureau or the receiving Office.

(c) If, at the time of the withdrawal of theinternational application under Rule 90 bis.1, or ofa priority claim under Rule 90 bis.3, a supplementarysearch request has already been submitted and thesupplementary international search report has notyet been established, the International Bureau shallpromptly notify the fact of withdrawal to theAuthority specified for supplementary search,together with the date on which the notice effectingwithdrawal has reached the International Bureau orthe receiving Office.

(d) The fact of withdrawal by the applicant ofthe supplementary search request under Rule90 bis.3 bis, together with the date on which thenotice effecting withdrawal was, or was consideredto have been, submitted to the International Bureau,shall be promptly notified by that Bureau:

(i) to the applicant, and

(ii) to the Authority specified forsupplementary search, unless the notice effectingwithdrawal was submitted to that Authority.

(e) The fact of withdrawal by the applicant ofthe demand or of one or more elections under Rule90 bis.4, together with the date on which the noticeeffecting withdrawal was, or was considered to havebeen, submitted to the International Bureau, shall bepromptly notified by that Bureau:

(i) to the applicant,

(ii) to each elected Office affected by thewithdrawal, except where it has not yet been notifiedof its election, and

(iii) in the case of withdrawal of the demandor of all elections, to the International PreliminaryExamining Authority, unless the notice effectingwithdrawal was submitted to that Authority.

416 Correction of Request in Record Copy

(a) Where the request requires correction as aconsequence of the withdrawal of a designation orof a change made under Rule 92 bis , theInternational Bureau shall make the necessarycorrection in the record copy and shall notify theapplicant and the receiving Office accordingly.

(b) When making a correction under paragraph(a), the International Bureau shall enter, in themargin, the letters “IB.” Where the correctioninvolves the deletion or replacement of some matter,the International Bureau shall enclose such matterwithin square brackets and shall draw a line betweenthe square brackets while still leaving the deleted orreplaced matter legible.

417 Processing of Amendments UnderArticle 19

(a) The International Bureau shall record thedate on which, under Rule 46.1, any amendmentmade under Article 19 was received, shall notify theapplicant of that date and indicate it in anypublication or copy issued by it.

(b) The International Bureau shall mark, in theupper right-hand corner of each replacement sheetsubmitted under Rule 46.5(a), the internationalapplication number, the date on which that sheet wasreceived under Rule 46.1 and, in the middle of thebottom margin, the words “AMENDED SHEET

Rev. 08.2017, January 2018AI-33


(ARTICLE 19).” It shall keep in its files anyreplaced sheet and the letter accompanying thereplacement sheet or sheets.

(c) The International Bureau shall insert anyreplacement sheet or sheets in the record copy.

(d) If, at the time when the demand is receivedby the International Bureau, the international searchreport and the written opinion of the InternationalSearching Authority have been established and noamendments under Article 19 have been made, theInternational Bureau shall inform the InternationalPreliminary Examining Authority accordingly, unlessthe Authority has informed the International Bureauthat it wishes not to be so notified.

418 Notifications to Elected Offices Wherethe Demand Is Considered Not to Have BeenSubmitted or Made

Where, after any elected Office has been notified ofits election under Article 31(7), the demand isconsidered not to have been submitted or made, theInternational Bureau shall notify the said Officeaccordingly.

419 Processing of a Declaration under Rule26 ter

(a) Where any declaration referred to in Rule4.17, or any correction thereof under Rule 26 ter.1,is submitted to the International Bureau within thetime limit under Rule 26 ter.1, the InternationalBureau shall indicate the date on which it receivedthe declaration or correction and insert the additionalsheet or replacement sheet in the record copy.

(b) The International Bureau shall promptlynotify the applicant, the receiving Office and theInternational Searching Authority of any declarationcorrected or added under Rule 26 ter.1.

(c) The International Bureau shall not make any ex officio correction to declarations referred to inRule 4.17 which are contained in the request.

(d) Where any declaration referred to in Rule4.17, or any correction thereof under Rule 26 ter .1,is submitted to the International Bureau after theexpiration of the time limit under Rule 26 ter.1, theInternational Bureau shall notify the applicantaccordingly and inform the applicant that such adeclaration or correction should be submitted directly

to the designated Office or Offices concerned. Anydeclaration referred to in Rule 4.17(iv), signed asprescribed in Section 214, which is submitted to theInternational Bureau after the expiration of the timelimit under Rule 26 ter.1 shall be returned to theapplicant.

420 Copy of International Application,International Search Report andSupplementary International Search Reportfor the International Preliminary ExaminingAuthority

(a) Where the International PreliminaryExamining Authority is not part of the same nationalOffice or intergovernmental organization as theInternational Searching Authority, the InternationalBureau shall, promptly upon receipt of theinternational search report or, if the demand wasreceived after the international search report,promptly upon receipt of the demand, send a copyof the international application, the internationalsearch report and, where applicable, a copy of theEnglish translation of the said report to theInternational Preliminary Examining Authority. Incases where, instead of the international searchreport, a declaration under Article 17(2)(a) wasissued, references in the preceding sentence to theinternational search report shall be consideredreferences to the said declaration.

(b) Where an Authority specified forsupplementary search has established asupplementary international search report under Rule45 bis.7, and the International PreliminaryExamining Authority is not part of the same nationalOffice or intergovernmental organization as theAuthority specified for supplementary search, theInternational Bureau shall, promptly upon receipt ofthe supplementary international search report, senda copy of the supplementary international searchreport and, where applicable, a copy of the Englishtranslation of the said report to the InternationalPreliminary Examining Authority (Rule 45 bis.8(c)).In cases where, instead of the supplementaryinternational search report, a declaration underArticle 17(2)(a) was issued, references in thepreceding sentence to the supplementaryinternational search report shall be consideredreferences to the said declaration.

AI-34Rev. 08.2017, January 2018


421 Invitation to Furnish a Copy of thePriority Document

Where a request for a copy of the application whosepriority is claimed in the international application ismade under Rule 43 bis.1(b) by the InternationalSearching Authority or, under Rule 66.7(a), by eitherthe International Searching Authority, or theInternational Preliminary Examining Authoritybefore the International Bureau has received thepriority document under Rule 17.1, the InternationalBureau shall, unless the applicable time limit referredto in Rule 17.1(a) has already expired, inform theapplicant of such request and remind him of therequirements of Rule 17.1.

422 Notifications Concerning ChangesRecorded Under Rule 92 bis.1

(a) The International Bureau shall givenotifications concerning changes recorded by itunder Rule 92 bis.1(a), except changes which arethe subject of notifications under Section 425:

(i) to the receiving Office;

(ii) as long as the international search report,or the declaration referred to in Article 17(2)(a), andthe written opinion of the International SearchingAuthority have not been established, to theInternational Searching Authority;

(iii) to the designated Offices unless thechange can be duly reflected in the publishedinternational application used for the purposes ofthe communication under Article 20;

(iv) as long as the international preliminaryexamination report has not been established, to theInternational Preliminary Examining Authority;

(v) to the elected Offices, unless the changecan be duly reflected in the published internationalapplication used for the purposes of thecommunication under Article 20;

(vi) to the applicant; where the changeconsists of a change in the person of the applicant,the notification shall be sent to the earlier applicantand the new applicant, provided that, where theearlier applicant and the new applicant arerepresented by the same agent, one notification onlyshall be sent to the said agent.

(b) Where Rule 92 bis.1(b) applies, theInternational Bureau shall notify the applicantaccordingly and, if the change was requested by thereceiving Office, that Office.

422 bis Objections Concerning Changes inthe Person of the Applicant Recorded underRule 92 bis.1(a)

(a) Where a change recorded by the InternationalBureau under Rule 92 bis.1(a):

(i) consists of a change in the person of theapplicant, and

(ii) the request under Rule 92 bis.1(a) wasnot signed by or on behalf of both the earlier and thenew applicant, and

(iii) the earlier applicant objects to the changein writing,

the change under Rule 92 bis.1(a) shall be consideredas if it had not been recorded.

(b) Where paragraph (a) applies, theInternational Bureau shall notify all those whoreceived a notification under Section 422(a)accordingly.

423 Cancellation of Designations andElections

(a) The International Bureau shall, if thereceiving Office has failed to do so, cancel ex officiothe designation of any State which is not aContracting State, shall enclose that designationwithin square brackets, draw a line between thesquare brackets while still leaving the designationlegible, enter, in the margin, the words“CANCELLED EX OFFICIO BY IB” or theirequivalent in French, and notify the applicant andthe receiving Office accordingly.

(b) The International Bureau shall cancel exofficio:

(i) the election of any State which is not adesignated State;

(ii) the election of any State not bound byChapter II of the Treaty, if the InternationalPreliminary Examining Authority has failed to doso.

Rev. 08.2017, January 2018AI-35


(c) The International Bureau shall enclose thecancelled election within square brackets, draw aline between the square brackets while still leavingthe election legible, enter, in the margin, the words“CANCELLED EX OFFICIO BY IB” or theirequivalent in French, and notify the applicant and,if the election is in the demand, the InternationalPreliminary Examining Authority accordingly.

424 Procedure under Rule 4.9(b)

(a) Where the International Bureau finds, if theReceiving Office has failed to do so, that the requestcontains an indication under Rule 4.9(b) that thedesignation of a State is not made but the requestdoes not contain a priority claim to an earlier nationalapplication filed in that State, the InternationalBureau shall promptly notify the applicantaccordingly and shall draw the applicant’s attentionto Rule 26 bis .

(b) If the International Bureau does not, beforethe expiration of the time limit under Rule26 bis.1(a), receive a notice correcting or adding apriority claim to an earlier national application filedin the State, the designation of which is not made,it shall cancel ex officio the indication under Rule4.9(b), shall enclose that indication in squarebrackets, draw a line between the square bracketswhile still leaving the indication legible, enter, inthe margin, the words “CANCELLED EX OFFICIOBY IB” or their equivalent in French, and notify theapplicant and the receiving Office accordingly.


Where a power of attorney or a document containingthe revocation or renunciation of an appointment issubmitted to the International Bureau, theInternational Bureau shall immediately notify thereceiving Office, the International SearchingAuthority, the Authority specified for supplementarysearch and the International Preliminary ExaminingAuthority by sending them a copy of the power ofattorney or document and shall record a change inthe indications concerning the agent or commonrepresentative under Rule 92 bis . In the case of arenunciation of an appointment, the InternationalBureau shall also notify the applicant. Where theInternational Bureau receives a notificationconcerning representation under Section 328, it shallimmediately notify the Authority specified for

supplementary search and the InternationalPreliminary Examining Authority accordingly.

426-429 [Deleted]

430 Notification of Designations under Rule32

Where the effects of any international applicationare extended to a successor State under Rule 32.1(a),the International Bureau shall promptly, but notbefore the international publication of theinternational application, effect the communicationunder Article 20 to the designated Office concerned,and notify that Office under Rule 47.1(a- bis )

431 Publication of Notice of Submission ofDemand

(a) For international applications in respect ofwhich a demand is filed before January 1, 2004, thepublication in the Gazette of information on thedemand and the elected States concerned, as referredto in Rule 61.4, as in force until December 31, 2003,shall consist of a notice indicating that a demand hasbeen submitted prior to the expiration of 19 monthsfrom the priority date and, as applicable, indicatingthat all eligible States have been elected or, wherenot all eligible States have been elected, indicatingthose eligible States which have not been elected.

(b) For international applications in respect ofwhich a demand is filed on or after January 1, 2004,the publication in the Gazette of information on thedemand and the elected States concerned, as referredto in Rule 61.4, as in force from January 1, 2004,shall consist of a notice indicating that a demand hasbeen submitted prior to the expiration of theapplicable time limit under Rule 54 bis.1(a) and thatall Contracting States which were designated andwere bound by Chapter II of the Treaty have beenelected. Where the demand is made subsequent tothe expiration of 19 months from the priority dateand the time limit under Article 22(1), as in forcefrom April 1, 2002, does not apply in respect of alldesignated Offices, the notice shall also indicate thatfact.

AI-36Rev. 08.2017, January 2018



Where the demand is submitted after the expirationof 19 months from the priority date and subsequentlytransmitted to the International Bureau under Rule59.3(a), or is submitted after the expiration of 19months from the priority date to the InternationalBureau, and the time limit under Article 22(1), as inforce from April 1, 2002, does not apply in respectof all designated Offices, the International Bureaushall, together with the notification sent to theapplicant under Rule 59.3(c)(i) or the invitation sentto the applicant under Rule 59.3(c)(ii), as the casemay be:

(i) promptly notify the applicant accordingly,directing attention to the fact that the time limit underArticle 39(1)(a) does not apply, and that Article22(1), as in force until March 31, 2002, continuesto apply in respect of any such designated Office,


433 Waivers under Rule 90.4(d)

(a) Where, in accordance with Rule 90.4(d), theInternational Bureau waives the requirement underRule 90.4(b) that a separate power of attorney besubmitted to it, the International Bureau shall publisha notice of this fact in the Gazette.

(b) The International Bureau may require aseparate power of attorney in particular instanceseven if the International Bureau has waived therequirement in general.

434 Publication of Information ConcerningWaivers under Rules 90.4(d) and 90.5(c)

(a) Any waivers of the requirement under Rule90.4(b) that a separate power of attorney besubmitted, or any changes to the information,notified to the International Bureau under Sections336(a), 517(a), or 617(a) shall be promptly publishedin the Gazette. The effective date of any change shallbe two months after the date of publication of thechange in the Gazette, or such later date as may bedetermined by the International Bureau.

(b) Any waivers of the requirement under Rule90.5(a)(ii) that a copy of a general power of attorney

be attached to the request, the demand or anyseparate notice, or any changes to the information,notified to the International Bureau under Sections336(b), 517(b), or 617(b) shall be promptly publishedin the Gazette. The effective date of any change shallbe two months after the date of publication of thechange in the Gazette, or such later date as may bedetermined by the International Bureau.

435 Communication of Publications andDocuments

(a) Subject to paragraph (b), publications underRule 87.1 and documents under Rule 93 bis.1 shallbe communicated in electronic form via theInternational Bureau’s electronic data exchangeservices.

(b) Where so agreed between the InternationalBureau and the Authority or Office concerned,publications under Rule 87.1 and documents underRule 93 bis.1 may be communicated in other formsand by other means.

(c) Pursuant to Rule 93 bis.1(b), where so agreedbetween the International Bureau and the Officeconcerned, the communication of documents underRule 93 bis.1 shall be considered to be effected atthe time when the International Bureau makes thedocument available to that Office in electronic formvia the International Bureau’s electronic dataexchange services.

(d) Technical details concerning thecommunication of publications under Rule 87.1 andof documents under Rule 93 bis.1 shall be agreedbetween the International Bureau and the Authorityor Office concerned.

436 Preparation, Identification andTransmittal of the Copies of the Translationof the International Application

Where, for the purposes of a supplementaryinternational search, a translation of the internationalapplication is furnished under Rule 45 bis.1(c)(i),the International Bureau shall mark the words“TRANSLATION (RULE 45 bis.1(c)(i))” in theupper left-hand corner of the first page of thetranslation and transmit a copy of that translation tothe Authority specified for the supplementary search.

Rev. 08.2017, January 2018AI-37


PART 5

INSTRUCTIONS RELATING TO THE INTERNATIONAL SEARCHINGAUTHORITY

501 [Deleted]

502 Transmittal of Protest against Paymentof Additional Fees and Decision ThereonWhere International Application IsConsidered to Lack Unity of Invention

The International Searching Authority shall transmitto the applicant, preferably at the latest together withthe international search report, any decision whichit has taken under Rule 40.2(c) on the protest of theapplicant against payment of additional fees wherethe international application is considered to lackunity of invention. At the same time, it shall transmitto the International Bureau a copy of both the protestand the decision thereon, as well as any request bythe applicant to forward the texts of both the protestand the decision thereon to the designated Offices.

503 Method of Identifying Documents Citedin the International Search Report and theWritten Opinion of the InternationalSearching Authority

Identification of any document cited in theinternational search report shall be as provided inWIPO Standard ST.14 (Recommendation for the

Inclusion of References Cited in Patent Documents).1 Any document cited in the international searchreport may be referred to in a shortened form in thewritten opinion of the International SearchingAuthority, provided that the reference to thedocument is unambiguous.

504 Classification of the Subject Matter ofthe International Application

(a) Where the subject matter of the internationalapplication is such that classification thereof requiresmore than one classification symbol according tothe principles to be followed in the application of

the International Patent Classification to any givenpatent document, the international search report shallindicate all such symbols.

(b) Where any national classification system isused, the international search report may indicate allthe applicable classification symbols also accordingto that system.

(c) Where the subject matter of the internationalapplication is classified both according to theInternational Patent Classification and to anynational classification system, the internationalsearch report shall, wherever possible, indicate thecorresponding symbols of both classificationsopposite each other.

(d) The version of the International PatentClassification applicable at the time the internationalapplication is published under Article 21 shall beused whenever feasible.

505 Indication of Citations of ParticularRelevance in the International Search Report

(a) Where any document cited in theinternational search report is of particular relevance,the special indication required by Rule 43.5(c) shallconsist of the letter(s) “X” and/or “Y” placed nextto the citation of the said document.

(b) Category “X” is applicable where adocument is such that when taken alone, a claimedinvention cannot be considered novel or cannot beconsidered to involve an inventive step.

(c) Category “Y” is applicable where a documentis such that a claimed invention cannot be consideredto involve an inventive step when the document iscombined with one or more other such documents,such combination being obvious to a person skilledin the art.

1 Editor’s Note: Published in the WIPO Handbook on Industrial Property Information and Documentation.

AI-38Rev. 08.2017, January 2018


506 [Deleted]

507 Manner of Indicating Certain SpecialCategories of Documents Cited in theInternational Search Report

(a) Where any document cited in theinternational search report refers to an oraldisclosure, use, exhibition, or other means referredto in Rule 33.1(b), the separate indication requiredby that Rule shall consist of the letter “O” placednext to the citation of the said document.

(b) Where any document cited in theinternational search report is a published applicationor patent as defined in Rule 33.1(c), the specialmention required by that Rule shall consist of theletter “E” placed next to the citation of the saiddocument.

(c) Where any document cited in theinternational search report is not considered to be ofparticular relevance requiring the use of categories“X” and/or “Y” as provided in Section 505 butdefines the general state of the art, it shall beindicated by the letter “A” placed next to the citationof the said document.

(d) Where any document cited in theinternational search report is a document whosepublication date occurred earlier than theinternational filing date of the internationalapplication, but later than the priority date claimedin that application, it shall be indicated by the letter“P” next to the citation of the said document.

(e) Where any document cited in theinternational search report is a document whosepublication date occurred after the filing date or thepriority date of the international application and isnot in conflict with the said application, but is citedfor the principle or theory underlying the invention,which may be useful for a better understanding ofthe invention, or is cited to show that the reasoningor the facts underlying the invention are incorrect,it shall be indicated by the letter “T” next to thecitation of the document.

(f) Where in the international search report anydocument is cited for reasons other than thosereferred to in paragraphs (a) to (e), for example:

— a document which may throw doubt ona priority claim,

— a document cited to establish thepublication date of another citation,

such document shall be indicated by the letter “L”next to the citation of the document and the reasonfor citing the document shall be given.

(g) Where a document is a member of a patentfamily, it shall, whenever feasible, be mentioned inthe international search report in addition to the onecited belonging as well to this family and should bepreceded by the sign ampersand (&). Members of apatent family may also be mentioned on a separatesheet, provided that the family to which they belongshall be clearly identified and that any text matteron that sheet, if not in the English language, shallalso be furnished to the International Bureau inEnglish translation.

(h) A document whose contents have not beenverified by the search examiner but are believed tobe substantially identical with those of anotherdocument which the search examiner has inspected,may be cited in the international search report in themanner indicated for patent family members in thefirst sentence of paragraph (g).

508 Manner of Indicating the Claims toWhich the Documents Cited in theInternational Search Report Are Relevant

(a) The claims to which cited documents arerelevant shall be indicated by placing in theappropriate column of the international search report:

(i) where the cited document is relevant toone claim, the number of that claim; for example,“2” or “17”;

(ii) where the cited document is relevant totwo or more claims numbered in consecutive order,the number of the first and last claims of the seriesconnected by a hyphen; for example, “1-15” or“2-3”;

(iii) where the cited document is relevant totwo or more claims that are not numbered inconsecutive order, the number of each claim placedin ascending order and separated by a comma orcommas; for example, “1, 6” or “1, 7, 10”;

(iv) where the cited document is relevant tomore than one series of claims under (ii), above, orto claims of both categories (ii) and (iii), above, the

Rev. 08.2017, January 2018AI-39


series or individual claim numbers and series placedin ascending order using commas to separate theseveral series, or to separate the numbers ofindividual claims and each series of claims; forexample, “1-6, 9-10, 12-15” or “1, 3-4, 6, 9-11.”

(b) Where different categories apply to the samedocument cited in an international search report inrespect of different claims or groups of claims, eachrelevant claim or group of claims shall be listedseparately opposite each indicated category ofrelevance. Each category and each relevant claim orgroup of claims may be separated by a line.

The following example illustrates the situationwhere a document is of particular relevance underSection 505(b) as to claims 1 to 3 and under Section505(c) as to claim 4, and indicates the general stateof the art under Section 507(c) as to claims 11 and12:

509 International Search and WrittenOpinion of the International SearchingAuthority on the Basis of a Translation of theInternational Application

Where the International Searching Authority hascarried out the international search and establishedthe written opinion on the basis of a translation ofthe international application transmitted to thatAuthority under Rule 23.1(b), the internationalsearch report and the written opinion of theInternational Searching Authority shall so indicate.

510 Refund of Search Fee in Case ofWithdrawal of International Application

(a) Where the international application iswithdrawn or is considered withdrawn before theInternational Searching Authority has started theinternational search, that Authority shall, subject toparagraphs (b) and (c), refund the search fee to theapplicant.

(b) If the refund referred to in paragraph (a) isnot compatible with the national law of the nationalOffice acting as International Searching Authorityand as long as it continues to be not compatible withthat law, the International Searching Authority mayabstain from refunding the search fee.

(c) The International Searching Authority may,before making a refund under paragraph (a), firstinvite the applicant to submit a request for therefund.

511 Rectifications of Obvious Mistakes underRule 91

(a) Where the International Searching Authorityauthorizes a rectification under Rule 91, it shall:


(ii) indelibly mark, in the middle of thebottom margin of each replacement sheet, the words“RECTIFIED SHEET (RULE 91)” or theirequivalent in the language of publication of theinternational application as well as an indication ofthe International Searching Authority as providedfor in Section 107(b);


(iv) keep in its files a copy of the lettercontaining the rectification or, when the rectificationis contained in a replacement sheet, the replacedsheet, a copy of the letter accompanying thereplacement sheet, and a copy of the replacementsheet;

(v) promptly transmit any letter and anyreplacement sheet to the International Bureau and acopy thereof to the receiving Office.

AI-40Rev. 08.2017, January 2018


(b) Where the International Searching Authorityrefuses to authorize a rectification under Rule 91, itshall proceed as indicated under paragraph (a)(i),(iii), and (iv) and promptly transmit any letter andany proposed replacement sheet to the InternationalBureau.


Where a power of attorney or a document containingthe revocation or renunciation of an appointment issubmitted to the International Searching Authority,that Authority shall immediately notify theInternational Bureau by sending it a copy of thepower of attorney or document and request theInternational Bureau to record a change in theindications concerning the agent or commonrepresentative under Rule 92 bis.1(a)(ii).


(a) Where the International Searching Authorityreceives a correction of a defect under Rule13 ter.1(f), it shall:


(ii) indelibly mark, in the middle of thebottom margin of each replacement sheet, the words“SUBSTITUTE SHEET (RULE 13 ter.1(f))” or theirequivalent in the language of publication of theinternational application;

(iii) indelibly mark on the letter containingthe correction, or accompanying any replacementsheet, the date on which that letter was received;

(iv) keep in its files a copy of the lettercontaining the correction or, when the correction iscontained in a replacement sheet, the replaced sheet,a copy of the letter accompanying the replacementsheet, and a copy of the replacement sheet;

(v) promptly transmit any letter and anyreplacement sheet to the International Bureau, anda copy thereof to the receiving Office.

(b) Where the international search report andthe written opinion of the International SearchingAuthority are based on a sequence listing not

forming part of the international application butfurnished for the purposes of the international search,the international search report and the writtenopinion of the International Searching Authorityshall so indicate.

(c) Where a meaningful international searchcannot be carried out and a meaningful writtenopinion, as to whether the claimed invention appearsto be novel, to involve an inventive step (to benon-obvious) and to be industrially applicable,cannot be established because a sequence listing isnot available to the International Searching Authorityin the required form, that Authority shall so state inthe international search report or declaration referredto in Article 17(2)(a), and in the written opinion.

(d) The International Searching Authority shallindelibly mark, on the first sheet of any sequencelisting on paper which does not form part of theinternational application but was furnished for thepurposes of the international search, the words“SEQUENCE LISTING NOT FORMING PARTOF THE INTERNATIONAL APPLICATION” ortheir equivalent in the language of publication of theinternational application. Where such sequencelisting is furnished in electronic form on a physicalmedium, that Authority shall physically label thatmedium accordingly.

(e) The International Searching Authority shall:

(i) keep in its files one copy of any sequencelisting, whether on paper or in electronic form, whichdoes not form part of the international applicationbut was furnished for the purposes of theinternational search; and

(ii) where the sequence listing which doesnot form part of the international application but wasfurnished for the purposes of the international searchis in electronic form, transmit one copy thereof tothe International Bureau together with the copy ofthe international search report. If that listing inelectronic form is filed on a physical medium in lessthan the number of copies required by theInternational Searching Authority, that Authorityshall be responsible for the preparation of theadditional copy and shall have the right to fix a feefor performing that task and to collect such fee fromthe applicant.

Rev. 08.2017, January 2018AI-41


(f) Any International Searching Authority whichrequires, for the purposes of the international search,the furnishing of a sequence listing in electronicform shall notify the International Bureauaccordingly. In that notification, the Authority shallspecify the means of transmittal of the sequencelisting in electronic form accepted by it inaccordance with Annex F. The International Bureaushall promptly publish details of the notification inthe Gazette.

514 Authorized Officer

The officer of the International Searching Authorityresponsible for the international search report, asreferred to in Rule 43.8, and for the written opinionof the International Searching Authority, as referredto in Rule 43 bis.1(b), means the person who actuallyperformed the search work and prepared the searchreport and the written opinion of the InternationalSearching Authority, or another person who wasresponsible for supervising the search and theestablishment of the written opinion.

515 Modification of Abstract in Response toApplicant’s Comments

The International Searching Authority shall informthe applicant and the International Bureau of anymodifications made by it to an abstract under Rule38.3.


Where the demand is submitted after the expirationof 19 months from the priority date to anInternational Searching Authority and the time limitunder Article 22(1), as in force from April 1, 2002,does not apply in respect of all designated Offices,that Authority shall:




(a) Where, in accordance with Rule 90.4(d), anInternational Searching Authority waives therequirement under Rule 90.4(b) that a separate powerof attorney be submitted to it, the InternationalSearching Authority shall notify the InternationalBureau accordingly.

(b) Where, in accordance with Rule 90.5(c), anInternational Searching Authority waives therequirement under Rule 90.5(a)(ii) that a copy of ageneral power of attorney be attached to any separatenotice, it shall notify the International Bureauaccordingly.

(c) An International Searching Authority mayrequire a separate power of attorney, or a copy of ageneral power of attorney, in particular instanceseven if the International Searching Authority haswaived the requirement in general.

(d) An International Searching Authority whichhas notified the International Bureau under paragraph(a) or (b) shall notify the International Bureau of anychange to the information notified under thoseparagraphs.

518 Guidelines for Explanations Containedin the Written opinion of the InternationalSearching Authority

For the purposes of establishing the written opinionof the International Searching Authority, Section604shall apply mutatis mutandis.

519 Notification of Receipt of Copy ofInternational Application for the Purposesof Supplementary International Search

The Authority specified for supplementary searchshall promptly notify the International Bureau andthe applicant of the fact and the date of receipt ofthe copy of the international application for thepurposes of the supplementary international search.

520 Withdrawal by Applicant under Rule90 bis.3 bis

The Authority specified for supplementary searchshall promptly transmit to the International Bureau

AI-42Rev. 08.2017, January 2018


http://www.wipo.int/pct/en/texts/ai/annex_f.html

any notice from the applicant effecting withdrawalof the supplementary search request under Rule90 bis.3 bis which has been filed with it. The

Authority specified for supplementary search shallmark the notice with the date on which it wasreceived.

PART 6

INSTRUCTIONS RELATING TO THE INTERNATIONAL PRELIMINARYEXAMINING AUTHORITY


(a) Where the demand is submitted after theexpiration of 19 months from the priority date andthe time limit under Article 22(1), as in force fromApril 1, 2002, does not apply in respect of alldesignated Offices, the International PreliminaryExamining Authority shall promptly notify theapplicant accordingly, directing attention to the factthat the time limit under Article 39(1)(a) does notapply, and that Article 22(1), as in force until March31, 2002, continues to apply in respect of any suchdesignated Office.

(b) Where the demand is submitted after theexpiration of 19 months from the priority date to anInternational Preliminary Examining Authoritywhich is not competent for the internationalpreliminary examination of the internationalapplication, and the time limit under Article 22(1),as in force from April 1, 2002, does not apply inrespect of all designated Offices, that Authority shall:



602 Processing of Amendments by theInternational Preliminary ExaminingAuthority

(a) The International Preliminary ExaminingAuthority shall:

(i) indelibly mark, in the upper right-handcorner of each replacement sheet submitted underRule 66.8, the international application number andthe date on which that sheet was received;

(ii) indelibly mark, in the middle of thebottom margin of each replacement sheet, the words“AMENDED SHEET” or their equivalent in thelanguage of the demand as well as an indication ofthe International Preliminary Examining Authorityas provided for in Section 107(b);

(iii) keep in its files any replaced sheet, anyreplacement sheet, whether or not superseded, anyletter accompanying such sheets and any letterreferred to in the last sentence of Rule 66.8(b);

(iv) where any superseded replacement sheetand letter relating to such superseded replacementsheet are to be annexed to the internationalpreliminary examination report under Rule 70.16(b),indelibly mark, in addition to the markings referredto in items (i) and (ii), in the middle of the bottommargin of each superseded replacement sheet andof each letter relating to a superseded replacementsheet, without obscuring the marking made underitem (ii), the words “SUPERSEDEDREPLACEMENT SHEET (RULE 70.16(b))” or, asapplicable, the words “ACCOMPANYING LETTER(RULE 70.16(b))”;

(v) annex to the copy of the internationalpreliminary examination report which is transmittedto the International Bureau any replacement sheetand letter as provided for under Rule 70.16;

(vi) annex to the copy of the internationalpreliminary examination report which is transmittedto the applicant a copy of each replacement sheetand letter as provided for under Rule 70.16.

(b) Section 311(b)(ii) relating to the numberingof replacement sheets shall apply when one or moresheets are added under Rule 66.8.

Rev. 08.2017, January 2018AI-43


(c) Where the International PreliminaryExamining Authority receives from the applicant acopy of a purported amendment under Article 19submitted after the time limit set forth in Rule 46.1,the International Preliminary Examining Authoritymay consider such an amendment as an amendmentunder Article 34 in which case it shall inform theapplicant accordingly.

(d) Where the International PreliminaryExamining Authority receives a copy of anamendment under Article 19, paragraphs (a) and (b)shall apply mutatis mutandis.

603 Transmittal of Protest against Paymentof Additional Fees and Decision ThereonWhere International Application IsConsidered to Lack Unity of Invention

The International Preliminary Examining Authorityshall transmit to the applicant, preferably at the latesttogether with the international preliminaryexamination report, any decision which it has takenunder Rule 68.3(c) on the protest of the applicantagainst payment of additional fees where theinternational application is considered to lack unityof invention. At the same time, it shall transmit tothe International Bureau a copy of both the protestand the decision thereon, as well as any request bythe applicant to forward the texts of both the protestand the decision thereon to the elected Offices.

604 Guidelines for Explanations Containedin the International Preliminary ExaminationReport

(a) Explanations under Rule 70.8 shall clearlypoint out to which of the three criteria of novelty,inventive step (non-obviousness) and industrialapplicability referred to in Article 35(2), takenseparately, any cited document is applicable andshall clearly describe, with reference to the citeddocuments, the reasons supporting the conclusionthat any of the said criteria is or is not satisfied.

(b) Explanations under Article 35(2) shall beconcise and preferably in the form of short sentences.

605 File to Be Used for InternationalPreliminary Examination

Where the International Preliminary ExaminingAuthority is part of the same national Office orintergovernmental organization as the InternationalSearching Authority, the same file shall serve thepurposes of international search and internationalpreliminary examination.

606 Cancellation of Elections

(a) The International Preliminary ExaminingAuthority shall cancel ex officio:

(i) the election of any State which is not adesignated State;

(ii) the election of any State not bound byChapter II of the Treaty.

(b) The International Preliminary ExaminingAuthority shall enclose that election within squarebrackets, shall draw a line between the squarebrackets while still leaving the election legible andshall enter, in the margin, the words “CANCELLEDEX OFFICIO BY IPEA” or their equivalent in thelanguage of the demand, and shall notify theapplicant accordingly.

607 Rectifications of Obvious Mistakes underRule 91

(a) Where the International PreliminaryExamining Authority authorizes a rectification ofan obvious mistake under Rule 91, it shall:


(ii) indelibly mark, in the middle of thebottom margin of each replacement sheet, the words“RECTIFIED SHEET (RULE 91)” or theirequivalent in the language of the demand as well asan indication of the International PreliminaryExamining Authority as provided for in Section107(b);


AI-44Rev. 08.2017, January 2018


(iv) keep in its files a copy of the lettercontaining the rectification or, when the rectificationis contained in a replacement sheet, the replacedsheet, a copy of the letter accompanying thereplacement sheet and a copy of the replacementsheet;

(v) annex to the copy of the internationalpreliminary examination report which is transmittedto the International Bureau any replacement sheetand any letter as provided for under Rule 70.16;

(vi) annex to the copy of the internationalpreliminary examination report which is transmittedto the applicant a copy of each replacement sheetand any letter as provided for under Rule 70.16.

(b) Where the rectification of an obvious mistakeis not taken into account by the InternationalPreliminary Examining Authority pursuant to Rule66.4 bis , and the Authority so indicates in theinternational preliminary examination report inaccordance with Rule 70.2(e), it shall proceed asindicated under paragraph (a), provided that thewords “RECTIFIED SHEET (RULE 91) – NOTCONSIDERED FOR REPORT (RULE 66.4 bis)”shall be used when marking in accordance withparagraph (a)(ii).

(c) Where the rectification of an obvious mistakeis not taken into account by the InternationalPreliminary Examining Authority pursuant to Rule66.4 bis , and the Authority is not able to so indicatein the international preliminary examination reportin accordance with the second sentence of Rule70.2(e), it shall proceed as indicated under paragraph(a)(i) to (iv) and forward any replacement sheet andany letter containing the rectification oraccompanying any replacement sheet to theInternational Bureau. The International Bureau willpromptly notify the elected Offices accordingly.


Where a power of attorney or a document containingthe revocation or renunciation of an appointment issubmitted to the International Preliminary ExaminingAuthority, that Authority shall immediately notifythe International Bureau by sending it a copy of thepower of attorney or document and request theInternational Bureau to record a change in theindications concerning the agent or commonrepresentative under Rule 92 bis.1(a)(ii).

609 Withdrawal by Applicant under Rules90 bis. 1, 90 bis. 2 or 90 bis. 3

The International Preliminary Examining Authorityshall promptly transmit to the International Bureauany notice from the applicant effecting withdrawalof the international application under Rule90 bis.1(b), of a designation under Rule 90 bis.2(d),or of a priority claim under Rule 90 bis.3(c) whichhas been filed with it. The International PreliminaryExamining Authority shall mark the notice with thedate on which it was received.


(a) Where the written opinion of theInternational Preliminary Examining Authority orthe international preliminary examination report isbased on a sequence listing not forming part of theinternational application but furnished for thepurposes of the international preliminaryexamination, the written opinion and theinternational preliminary examination report of theInternational Preliminary Examining Authority shallso indicate.

(b) Where a meaningful written opinion of theInternational Preliminary Examining Authoritycannot be established, or a meaningful internationalpreliminary examination cannot be carried out, asto whether the claimed invention appears to be novel,to involve an inventive step (to be non-obvious) andto be industrially applicable, because a sequencelisting is not available to the InternationalPreliminary Examining Authority in the requiredform, that Authority shall so state in the writtenopinion and in the international preliminaryexamination report.

(c) The International Preliminary ExaminingAuthority shall indelibly mark, on the first sheet ofany sequence listing on paper which does not formpart of the international application but was furnishedfor the purposes of the international preliminaryexamination, the words “SEQUENCE LISTINGNOT FORMING PART OF THEINTERNATIONAL APPLICATION” or theirequivalent in the language of publication of theinternational application. Where such sequencelisting is furnished in electronic form on a physicalmedium, that Authority shall physically label thatmedium accordingly.

Rev. 08.2017, January 2018AI-45


(d) The International Preliminary ExaminingAuthority shall keep in its files one copy of anysequence listing, whether on paper or in electronicform, which does not form part of the internationalapplication but was furnished for the purposes of theinternational preliminary examination.

(e) Any International Preliminary ExaminingAuthority which requires, for the purposes of theinternational preliminary examination, the furnishingof a sequence listing in electronic form shall notifythe International Bureau accordingly. In thatnotification, the Authority shall specify the meansof transmittal of the sequence listing in electronicform accepted by it in accordance with Annex F.The International Bureau shall promptly publishdetails of the notification in the Gazette.

(f) Where the national Office orintergovernmental organization that acted as theInternational Searching Authority also acts as theInternational Preliminary Examining Authority, anysequence listing not forming part of the internationalapplication but furnished to that Office ororganization for the purposes of the internationalsearch shall be considered to have been furnished toit also for the purposes of the internationalpreliminary examination.

611 Method of Identification of Documentsin the International Preliminary ExaminationReport

Any document cited in the international preliminaryexamination report which was not cited in theinternational search report shall be cited in the sameform as required under Section 503 for internationalsearch reports. Any document cited in theinternational preliminary examination report whichwas previously cited in the international search reportmay be cited in a shortened form, provided that thereference to the document is unambiguous.

612 Authorized Officer

The officer of the International PreliminaryExamining Authority responsible for theinternational preliminary examination report, asreferred to in Rule 70.14, means the person whoactually performed the examination work andprepared the international preliminary examination

report or another person who was responsible forsupervising the examination.

613 Invitation to Submit a Request forRefund of Fees under Rule 57.4 or 58.3

The International Preliminary Examining Authoritymay, before making a refund under Rule 57.4 or58.3, first invite the applicant to submit a request forthe refund.

614 Evidence of Right to File Demand

Where a demand is considered as not having beenmade under Rule 61.1(b) by the InternationalPreliminary Examining Authority because theapplicant appeared, on the basis of the indicationmade in the demand, not to have the right to file ademand with that Authority under Rule 54 butevidence is submitted indicating to the satisfactionof the International Preliminary Examining Authoritythat in fact, an applicant had, on the date on whichthe demand was received, the right to file the demandwith that Authority, the International PreliminaryExamining Authority shall regard the requirementsunder Article 31(2)(a) as having been fulfilled onthe date of actual receipt of the demand.

615 Invitation to Pay Fees before Date onWhich They Are Due

If the International Preliminary Examining Authorityfinds, before the date on which they are due, that thehandling fee or the international preliminaryexamination fee are lacking in whole or in part, itmay invite the applicant to pay the missing amountswithin the time limit under Rule 57.3 or 58.1(b), asthe case may be.

616 International Preliminary Examinationon the Basis of a Translation of theInternational Application

Where the International Preliminary ExaminingAuthority has carried out international preliminaryexamination on the basis of a translation of theinternational application furnished to that Authorityunder Rule 55.2(a) or, in the case referred to in Rule55.2(b), transmitted, under Rule 23.1(b), to the

AI-46Rev. 08.2017, January 2018



national Office or intergovernmental organizationof which that Authority is part, the internationalpreliminary examination report shall so indicate.


(a) Where, in accordance with Rule 90.4(d), anInternational Preliminary Examining Authoritywaives the requirement under Rule 90.4(b) that aseparate power of attorney be submitted to it, theInternational Preliminary Examining Authority shallnotify the International Bureau accordingly.

(b) Where, in accordance with Rule 90.5(c), anInternational Preliminary Examining Authoritywaives the requirement under Rule 90.5(a)(ii) that

a copy of a general power of attorney be attached tothe demand or any separate notice, it shall notify theInternational Bureau accordingly.

(c) An International Preliminary ExaminingAuthority may require a separate power of attorney,or a copy of a general power of attorney, in particularinstances even if the International PreliminaryExamining Authority has waived the requirement ingeneral.

(d) An International Preliminary ExaminingAuthority which has notified the InternationalBureau under paragraph (a) or (b) shall notify theInternational Bureau of any change to theinformation notified under those paragraphs.

PART 7

INSTRUCTIONS RELATING TO THE FILING AND PROCESSING INELECTRONIC FORM OF INTERNATIONAL APPLICATIONS

701 Abbreviated Expressions

For the purposes of this Part and Annex F, unlessthe contrary clearly follows from the wording, thenature of the provision or the context:

(i) “electronic package” means a package of oneor more electronic files assembled for the purposesof transmission of one or more documents inelectronic form;

(ii) “electronic document format” means thepresentation or arrangement of the information in adocument in electronic form;

(iii) “means of transmittal,” in connection witha document in electronic form, means the mannerin which a document is transmitted, for example, byelectronic means or physical means;

(iv) “electronic signature” means informationin electronic form which is attached to, or logicallyassociated with, a document in electronic form,which may be used to identify the signer and whichindicates the signer’s approval of the content of thedocument;

(v) “basic common standard” means the basiccommon standard for electronic filing ofinternational applications provided for in Annex F;

(vi) “communication” of an internationalapplication or other document has the same meaningas in Rule 89 bis.3;

(vii) words and expressions whose meanings areexplained in Annex F have the same meanings inthis Part.

702 Filing, Processing and Communicationin Electronic Form of InternationalApplications

(a) The filing, processing and communicationof international applications filed in electronic form,and the processing and communication in electronicform of international applications filed on paper,shall be in accordance with this Part and Annex F.

(b) Subject to this Part, an internationalapplication that is filed, processed or communicatedin electronic form shall not be denied legal effectmerely because it is in electronic form.

(c) [Deleted]

703 Filing Requirements; Basic CommonStandard

(a) An international application may, subject tothis Part, be filed in electronic form if the receivingOffice has notified the International Bureau in

Rev. 08.2017, January 2018AI-47






accordance with Rule 89 bis.1(d) that it is preparedto receive international applications in such form.

(b) An international application filed inelectronic form shall be:

(i) in an electronic document format that hasbeen specified by the receiving Office in accordancewith Annex F or that complies with the basiccommon standard;

(ii) filed by a means of transmittal that hasbeen specified by the receiving Office in accordancewith Annex F or that complies with the basiccommon standard;

(iii) in the form of an electronic package,appropriate to the means of transmittal, that has beenspecified by the receiving Office in accordance withAnnex F or that complies with the basic commonstandard;

(iv) prepared and filed using electronic filingsoftware that has been specified by the receivingOffice in accordance with Annex F or that complieswith the basic common standard; and

(v) free of viruses and other forms ofmalicious logic in accordance with Annex F or thatcomplies with the basic common standard.

(c) An international application filed inelectronic form shall, for the purposes of Article14(1)(a)(i), be signed by the applicant using a typeof electronic signature that has been specified by thereceiving Office in accordance with Annex F or,subject to Section 704(g), that complies with thebasic common standard.

(d) A receiving Office which has not notifiedthe International Bureau in accordance with Rule89 bis.1(d) that it is prepared to receive internationalapplications in electronic form may neverthelessdecide in a particular case to receive an internationalapplication submitted to it in such form, in whichcase this Part shall apply accordingly.

(e) Any receiving Office may refuse to receivean international application submitted to it inelectronic form if the application does not complywith paragraph (b), or may decide to receive theapplication.

(f) If, on 7 January 2002, the applicable nationallaw and the technical systems of a national Officeprovide for the filing with it of national applicationsin electronic form according to requirements which

are incompatible with any of items (ii) to (iv) ofparagraph (b):

(i) the provisions concerned shall not applyin respect of the Office in its capacity as a receivingOffice for as long as the incompatibility continues;and

(ii) the Office may instead provide for thefiling with it of international applications inelectronic form according to that national law andthose technical systems; provided that the Officeinforms the International Bureau accordingly by thedate on which the Office sends the InternationalBureau a notification under Rule 89 bis.1(d) and inany case no later than 7 April 2002. The informationreceived shall be promptly published by theInternational Bureau in the Gazette.

704 Receipt; International Filing Date;Signature; Physical Requirements

(a) The receiving Office shall promptly notifythe applicant of, or otherwise enable the applicantto obtain confirmation of, the receipt of anypurported international application filed with it inelectronic form. The notification or confirmationshall indicate or contain:

(i) the identity of the Office;

(ii) the date of receipt;

(iii) any reference number or applicationnumber assigned to the purported application by theOffice; and

(iv) a message digest, generated by theOffice, of the purported application as received; andmay, at the option of the Office, also indicate orcontain other information such as:

(v) the names and sizes of the electronic filesreceived;

(vi) the dates of creation of the electronicfiles received; and

(vii) a copy of the purported application asreceived.

(b) Where the receiving Office refuses inaccordance with Rule 89 bis.1(d) or Section 703(e)to receive a purported international applicationsubmitted to it in electronic form, it shall, ifpracticable having regard to the indications furnishedby the applicant, promptly notify the applicantaccordingly.

AI-48Rev. 08.2017, January 2018








(c) Promptly after receiving a purportedinternational application in electronic form, thereceiving Office shall determine whether thepurported application complies with the requirementsof Article 11(1) and shall proceed accordingly.

(d) Where an international application filed inelectronic form is not signed in compliance withSection 703(c), the application shall be considerednot to comply with the requirements of Article14(1)(a)(i) and the receiving Office shall proceedaccordingly.

(e) Where an international application filed inelectronic form does not comply with Section 703(b)but the receiving Office decides, under Section703(e), to receive it, that non-compliance shall beconsidered to be non-compliance with the physicalrequirements referred to in Article 14(1)(a)(v) andthe receiving Office shall proceed accordingly,having regard to whether compliance is necessaryfor the purpose of reasonably uniform internationalpublication (Rule 26.3) and satisfactory electroniccommunications.

(f) An international application filed in electronicform may, in accordance with the provisions of Rule19.4, be transmitted by the Office with which theapplication was filed to the International Bureau asreceiving Office.

(g) Where an international application filed inelectronic form was signed using a type of electronicsignature that complies with the basic commonstandard but that has not been specified by thereceiving Office under Section 703(c), the Officemay require that any subsequent document orcorrespondence submitted to it in electronic form besigned using a type of electronic signature that hasbeen so specified. If that requirement is not compliedwith, Rule 92.1(b) and (c) shall apply mutatismutandis.

705 Home Copy, Record Copy and SearchCopy Where International Application isFiled in Electronic Form

(a) Where an international application is filedin electronic form as a wrapped and signed packagein accordance with Annex F, the home copy and therecord copy in relation to that application for thepurposes of Article 12 shall each consist of a copyin electronic form of that package.

(b) Where an international application is filedin electronic form but is not filed as a wrapped andsigned package in accordance with Annex F, thehome copy and the record copy in relation to thatapplication for the purposes of Article 12 shall eachconsist of a copy in electronic form of the applicationas filed. If the application as filed was encrypted,the home copy and the record copy shall consist ofthe decrypted version. If the application as filed wasinfected by a virus or other form of malicious logic,the home copy and the record copy shall consist ofthe disinfected version.

(c) Where the international application is filedin electronic form on a physical medium, the homecopy and the record copy shall not include thephysical medium, but the receiving Office shall, forthe purposes of Rule 93.1, retain the application asoriginally filed, together with the physical medium.

(d) Where the International Searching Authorityhas notified the International Bureau in accordancewith Rule 89 bis.1(d) that it is prepared to processinternational applications in electronic form,paragraphs (a) and (b) apply mutatis mutandis tothe search copy; otherwise, the search copy shallconsist of a copy of the application printed on paperby the receiving Office.

705 bis Processing in Electronic Form ofInternational Applications Filed on Paper;Home Copy, Record Copy and Search Copy

(a) Where an international application is filedon paper, it may, subject to this Part, be processedand kept as a complete and accurate copy inelectronic form prepared by the receiving Office,the International Searching Authority, theInternational Preliminary Examining Authority orthe International Bureau. Any receiving Office,International Searching Authority or InternationalPreliminary Examining Authority which proceedsunder this paragraph shall notify the InternationalBureau accordingly.

(b) Pursuant to paragraph (a) and for thepurposes of Article 12, where an internationalapplication is filed on paper:

(i) the receiving Office may keep a copy inelectronic form referred to in that paragraph as thehome copy;

Rev. 08.2017, January 2018AI-49

§ 705 bisADMINISTRATIVE INSTRUCTIONS UNDER THE PCT



(ii) the International Bureau may keep a copyin electronic form referred to in that paragraph asthe record copy;

(iii) the International Searching Authoritymay keep a copy in electronic form referred to inthat paragraph as the search copy.

(c) Where a copy in electronic form is kept asthe record copy under paragraph (b)(ii), the originalof the international application as filed on paper shallbe kept, for a period of at least 10 years from theinternational filing date, by the International Bureauor, where so agreed by the receiving Office and theInternational Bureau, by the receiving Office onbehalf of the International Bureau. The original shallbe marked with the words “INTERNATIONALAPPLICATION— ORIGINAL AS FILED ONPAPER (SECTION 705 bis )” or their equivalent inthe language of publication of the internationalapplication on the bottom of the first page of therequest and of the first page of the description.

(d) Where, before the expiration of the periodreferred to in paragraph (c), the International Bureaufinds, upon request for correction made by theapplicant or otherwise, that a copy in electronic formkept as the record copy under paragraph (b)(ii) isnot in fact a complete and accurate copy of theoriginal kept under paragraph (c), it shall correct therecord copy so as to bring it into conformity withthe original. If the receiving Office, the InternationalSearching Authority, the International PreliminaryExamining Authority or a designated or electedOffice considers that the International Bureau shouldmake a finding under the first sentence of thisparagraph, it shall call the relevant facts to theattention of the International Bureau.

(e) Where the International Bureau has correctedthe record copy in accordance with paragraph (d),it shall promptly notify the applicant, publish thecorrected international application together with arevised front page, and publish a notice of this factin the Gazette. Section 422(a)(i) to (v) shall apply mutatis mutandis with regard to the notification ofthe receiving Office, the International SearchingAuthority, the International Preliminary ExaminingAuthority and the designated and elected Offices.

706 Documents in Pre-Conversion Format

(a) Where, for the purposes of filing theinternational application in electronic form, thedocument making up the international applicationhas been prepared by conversion from a differentelectronic document format (“pre-conversionformat”), the applicant may, if the receiving Officeso permits and the pre-conversion format is acceptedfor that purpose by that Office, submit, together withthe international application, the document in thepre-conversion format, in which case:

(i) the document in the pre-conversion formatshall be identified as such and shall be accompaniedby a statement by the applicant that the internationalapplication as filed in electronic form is a completeand accurate copy of the document in thepre-conversion format;

(ii) the request shall preferably contain anindication that the document in the pre-conversionformat is submitted under Section 706 together withthe international application.

(b) Where it is found that the internationalapplication as filed in electronic form is not in facta complete and accurate copy of the document inthe pre-conversion format submitted under paragraph(a), the applicant may, within 30 months from thepriority date, request the receiving Office to correctthe international application so as to bring it intoconformity with the document in the pre-conversionformat. Rule 26.4 shall apply mutatis mutandis tothe manner in which corrections under paragraph(b) shall be requested.

(c) Where the receiving Office, the InternationalSearching Authority, the International PreliminaryExamining Authority or the International Bureaudiscover what appears to be a correctable defectunder paragraph (b), that Office, Authority orBureau, as the case may be, may bring such defectto the attention of the applicant, drawing attentionto the correction procedure under paragraph (b).

(d) The applicant and, if copies of theinternational application have already been sent tothe International Bureau and the InternationalSearching Authority, that Bureau and that Authorityshall be promptly notified by the receiving Officeof any correction under paragraph (b). If required,

AI-50Rev. 08.2017, January 2018


the International Bureau shall notify the InternationalPreliminary Examining Authority accordingly.Where a correction is made after the completion ofthe technical preparations for internationalpublication, the International Bureau shall promptlypublish any international application as so correctedtogether with a revised front page.

(e) A correction under paragraph (b) shall betaken into account by the International SearchingAuthority for the purposes of the international searchand the establishment of the written opinion, and bythe International Preliminary Examining Authorityfor the purposes of international preliminaryexamination, if it is notified to that Authority beforeit has begun to draw up the international searchreport, the written opinion or the internationalpreliminary examination report, as applicable, inwhich case the said report or opinion shall soindicate.

(f) Paragraphs (a) to (e) shall apply mutatismutandis to any document making up any elementof the international application referred to in Article3(2).

707 Calculation of International Filing Feeand Fee Reduction

(a) Where an international application is filedin electronic form, the international filing fee shall,subject to paragraph (a- bis), be calculated on thebasis of the number of sheets that the applicationwould contain if presented as a print-out complyingwith the physical requirements prescribed in Rule

11. 1

(a-bis) Where a sequence listing is contained inan international application filed in electronic form,the calculation of the international filing fee shallnot take into account any sheet of the sequencelisting if that listing is presented as a separate partof the description in accordance with Rule 5.2(a)and is in the electronic document format specifiedin paragraph 40 of Annex C.

(b) Item 4(b), (c), and (d) of the Schedule ofFees annexed to the Regulations shall apply toreduce the fees payable in respect of an international

application filed in electronic form with a receivingOffice which has notified the International Bureauunder Section 710(a) that it is prepared to receiveinternational applications in electronic form or whichhas decided to receive such an application inaccordance with Section 703(d).

708 Special Provisions Concerning Legibility,Completeness, Infection by Viruses, Etc.

(a) Where an international application is filedin electronic form, the receiving Office shallpromptly check whether the application is legibleand whether it appears to have been fully received.Where the Office finds that all or part of theinternational application is illegible or that part ofthe application appears not to have been received,the international application shall be treated as nothaving been received to the extent that it is illegibleor, where transmitted by electronic means, that theattempted transmission failed, and the Office shall,if practicable having regard to the indicationsfurnished by the applicant, promptly notify theapplicant accordingly.

(b) Where a purported international applicationis received in electronic form, the receiving Officeshall promptly check it for infection by viruses andother forms of malicious logic. Where the Officefinds that the purported application is so infected:

(i) the Office is not required to disinfect thepurported application and may, under Section 703(e),refuse to receive it;

(ii) if the Office decides under Section 703(e)to receive the purported application, the Office shalluse means reasonably available under thecircumstances to read it, for example, by disinfectingit or preparing a backup copy under Section 706,and to store it in such a way that its contents may beascertained if necessary;

(iii) if the Office finds that it is able to readand store the purported application as mentioned initem (ii), it shall determine whether an internationalfiling date should be accorded;

(iv) if the Office accords an internationalfiling date to the application, it shall, if possible

1 Editor's Note: Rule 11 leaves some flexibility as to the margins of the sheets (see Rule 11.6) and the size of the characters(see Rule 11.9(d)). The international filing fee should be calculated on the basis of the number of sheets that the application wouldcontain if presented as a print-out complying with the minimum margin and character size requirements. In practice, however, thereceiving Office should not print-out the international application but rather rely on the number of pages of the internationalapplication as calculated by the electronic filing software and indicated in the request.

Rev. 08.2017, January 2018AI-51


having regard to the indications furnished by theapplicant, promptly notify the applicant and, ifnecessary, invite the applicant to submit a substitutecopy of the application free of infection;

(v) if the Office accords an internationalfiling date to the application, it shall prepare thehome copy, the record copy and the search copy onthe basis of the disinfected application, the backupcopy or the substitute copy referred to in items (ii)or (iv), as applicable, provided that the applicationshall be stored by the Office, as referred to in item(ii), for the purposes of Rule 93.1.

709 Means of Communication with theReceiving Office

(a) Where an international application is filedin electronic form and by electronic means oftransmittal, the receiving Office shall, if practicable,send any notifications, invitations and othercorrespondence to the applicant by electronic meansof transmittal in accordance with Annex F, or bysuch other means indicated by the applicant fromamong those offered by the Office.

(b) Where it appears to the receiving Office thata notification, invitation or other correspondencesent to the applicant by electronic means oftransmittal was not successfully transmitted, theOffice shall, if practicable, promptly retransmit thenotification, invitation or other correspondence bythe same or another means.

(c) At times when the electronic systems of thereceiving Office are not available for the filing ofdocuments in electronic form or by electronic meansof transmittal, the Office shall, if possible, promptlypublish information to that effect by meansreasonably available to it under the circumstances,for example, by including a notice on the Office’sInternet site, if any.

710 Notification and Publication of ReceivingOffices’ Requirements and Practices

(a) A notification by a receiving Office to theInternational Bureau under Rule 89 bis.1(d) andSection 703(a) that it is prepared to receiveinternational applications in electronic form shallindicate, where applicable:

(i) the electronic document formats(including, where applicable, the versions of such

electronic document formats), means of transmittal,types of electronic packages, electronic filingsoftware and types of electronic signature specifiedby it under Section 703(b)(i) to (iv) and (c), and anyoptions specified by it under the basic commonstandard;

(ii) the conditions, rules and proceduresrelating to electronic receipt, including hours ofoperation, choices for processes to verify oracknowledge receipt, choices for electroniccommunication of invitations and notifications, anymethods of online payment, details concerning anyhelp desks, electronic and software requirementsand other administrative matters related to the filingin electronic form of international applications andrelated documents;

(iii) the kinds of documents which may betransmitted to or by the Office in electronic form;

(iv) whether and under what conditions theOffice accepts the filing, under Section 706(a) and(f), of documents in pre-conversion formats and theelectronic document format(s) (including, whereapplicable, the versions of such electronic documentformat(s)) accepted by it under that Section;

(v) procedures for notification of applicantsand procedures which applicants may follow asalternatives when the electronic systems of the Officeare not available;

(vi) the certification authorities that areaccepted by the Office, and the electronic addressesof the certificate policies under which certificatesare issued;

(vii) the procedures relating to access to thefiles of international applications filed or stored inelectronic form.

(b) The receiving Office shall notify theInternational Bureau of any change in the matterspreviously indicated by it in a notification underSection 705 bis(a) or paragraph (a) of this Section.

(c) The International Bureau shall promptlypublish in the Gazette any notification received byit under Section 705 bis(a) or paragraph (a) or (b)of this Section.

(d) The effective date of any change notifiedunder paragraph (b) shall be as specified by thereceiving Office in the notification, provided thatany change which restricts filing options shall not

AI-52Rev. 08.2017, January 2018



be effective earlier than two months after the dateof publication of the notification of the change inthe Gazette.

711 Electronic Records Management

(a) Records, copies and files in electronic formin relation to international applications shall beprocessed and, for the purposes of Rule 93, kept inaccordance with the requirements of authentication,integrity, confidentiality and non-repudiation, andhaving due regard to the principles of electronicrecords management, set out in Annex F.

(b) Upon request by the applicant or otherinterested party in relation to a particularinternational application, the receiving Office shall,subject to any restrictions applicable under the Treaty

as to access by third parties, 1 certify that anyelectronic records relating to that application aremaintained and stored by it in accordance withparagraph (a).

712 Access to Electronic Records

Access permitted by the Treaty, the Regulations orthese Administrative Instructions to documentscontained in the file of an international applicationfiled, processed or kept in electronic form may, atthe option of the national Office orintergovernmental organization concerned, beprovided by electronic means or in electronic form,having due regard to the need to ensure the integrityand where applicable confidentiality of data, theprinciples of electronic records management set outin Annex F, and the need to ensure security of theelectronic networks, systems and applications of theOffice or organization.

713 Application of Provisions toInternational Authorities and theInternational Bureau, and to Notifications,Communications, Correspondence and OtherDocuments

(a) The provisions of this Part, other thanSections 703(c), 704(c) to (g), 706, 707, 708(b)(iii)to (v), 710(a)(iv) and 714(b), shall, if they arecapable of applying but do not expressly apply tothe International Searching Authorities, the

International Preliminary Examining Authorities andthe International Bureau, apply mutatis mutandis tothose Authorities and that Bureau.

(b) The provisions of this Part, other thanSections 703(c), 704(c) to (f), 705, 705 bis(b) to (e),706, 707, 708(b)(iii) to (v) and 710(a)(iv), shall, ifthey are capable of applying but do not expresslyapply to notifications, communications,correspondence or other documents relating tointernational applications that are filed, processedor communicated in electronic form, apply mutatismutandis to such notifications, communications,correspondence or other documents relating tointernational applications.

714 Furnishing by the International Bureauof Copies of Documents Kept in ElectronicForm; Designated Offices’ SignatureRequirements

(a) Where any International Searching Authority,International Preliminary Examining Authority ordesignated Office has not notified the InternationalBureau in accordance with Rule 89 bis.1(d) orSection 705 bis(a) that it is prepared to processinternational applications in electronic form, theInternational Bureau shall furnish to that Office orAuthority a copy on paper of any document whichis kept by the International Bureau in electronic formand which that Office or Authority is entitled toreceive. The International Bureau may also, uponrequest by the Authority or Office concerned, furnishsuch copy in electronic form.

(b) Any designated Office may require that anydocument or correspondence submitted to it by theapplicant in electronic form be signed by theapplicant using a type of electronic signaturespecified by it in accordance with Annex F.

715 Availability of Priority Documents fromDigital Libraries

(a) For the purposes of Rules 17.1(b- bis),17.1(d) (where appropriate, as applicable by virtueof Rules 17.1(c) and 82 ter.1(b)), 66.7(a) (whereappropriate, as applicable by virtue of Rule43 bis.1(b)) and 91.1(e), a priority document shallbe considered to be available from a digital libraryto the International Bureau, a designated Office, the

1 Editor's Note: Articles 30 and 38 and Rule 94 restrict access.

Rev. 08.2017, January 2018AI-53





International Searching Authority or the InternationalPreliminary Examining Authority, as the case maybe:

(i) if the Office or Authority concerned hasnotified the International Bureau, or the InternationalBureau has declared, as the case may be, that it isprepared to obtain priority documents from thatdigital library; and

(ii) the priority document concerned is heldin that digital library and the applicant has, to theextent required by the procedures for accessing therelevant digital library, authorized the Office orAuthority concerned or the International Bureau, asthe case may be, to access that priority document.

(b) A notification to the International Bureauunder paragraph 12 of the Framework Provisionsfor the Digital Access Service for Priority

Documents 1 by

(i) the International Bureau; or

(ii) an Office in its capacity as designatedOffice, International Searching Authority orInternational Preliminary Examining Authority,

that it is prepared to obtain priority documents viathe Digital Access Service shall be taken as adeclaration or notification under paragraph (a)(i)that the International Bureau or Office acting in therelevant capacity will obtain priority documentsthrough the Digital Access Service from any digitallibrary which has been the subject of a notificationin accordance with paragraph 10 of the FrameworkProvisions, including libraries for which such anotification is subsequently made with effect priorto the date on which the Office or Bureau isrequested to retrieve the priority document.

(c) An Office or Authority which has given anotification to the International Bureau underparagraph (a)(i) or (b) shall notify the InternationalBureau of any change in the information so notified.

(d) The International Bureau shall promptlypublish in the Gazette any notification received byit under paragraph (a)(i) or (b) of this Section, anydeclaration made by it under paragraph (a)(i) or (b),and any change in the information so declared.

(e) The effective date of any change publishedunder paragraph (d) shall be as specified by theOffice or Authority concerned or by the InternationalBureau, as the case may be, provided that any changewhich restricts the ability of the applicant to requestthe Office, the Authority or the International Bureauto obtain a priority document from the digital libraryshall, except in the case where priority documentsare no longer held in the digital library, not beeffective earlier than two months after the date ofpublication of the change in the Gazette.

716 Request that Priority Document BeObtained from a Digital Library under Rule17.1(b- bis)

(a) Any request under Rule 17.1(b- bis ):

(i) shall identify the priority documentconcerned in accordance with Rule 4.10(a); and

(ii) shall, where required, include the accesscode provided to the applicant by the InternationalBureau or by the Office with which the earlierapplication was filed.

(b) Where the applicant, in accordance with Rule17.1(b- bis ) and paragraph (a) of this Section,requests the International Bureau to obtain a prioritydocument which, in accordance with Section 715(a),is considered to be available from a digital libraryto it, but the International Bureau finds that thepriority document is in fact not available to it, theInternational Bureau, shall notify the applicant,giving the opportunity to furnish the prioritydocument to it, or to ensure that the document ismade available to it from a digital library, within atime limit of not less than two months from the dateof the notification or within the time limit specifiedin Rule 17.1(a), whichever time limit expires later.Where the priority document is furnished or becomesavailable to the International Bureau within that timelimit, the requirements of Rule 17.1(b- bis ) shall beconsidered to have been met. If the priority documentis not so furnished or does not become availablewithin that time limit, the request that the documentbe obtained from a digital library shall be considerednot to have been made.

(c) Where the applicant requests the InternationalBureau under Rule 17.1(b- bis ) to obtain a priority

1 Editor’s Note : Established by the International Bureau on 31 March 2009 and available from the WIPO website at:www.wipo.int/export/sites/www/das/en/pdf/framework_of_march_31_2009.pdf.

AI-54Rev. 08.2017, January 2018


http://www.wipo.int/export/sites/www/das/en/pdf/framework_of_march_31_2009.pdf

document from a digital library but that request doesnot comply with the requirements of that Rule andparagraph (a) of this Section, or the prioritydocument concerned is not considered to be available

to it in accordance with Section 715(a), theInternational Bureau shall promptly inform theapplicant accordingly.

PART 8

INSTRUCTIONS RELATING TO OBSERVATIONS BY THIRD PARTIES

801 Third Party Observation System

(a) The International Bureau shall provide anelectronic system for third parties to makeobservations referring to prior art which they believeto be relevant to the question of whether theinvention claimed in the international application isnew and/or involves an inventive step (“third partyobservation system”).

(b) The third party observation system:

(i) shall provide a third party with the optionto remain anonymous;

(ii) shall allow observations to include a briefexplanation of the relevance of each prior artdocument referred to in the observation and toinclude a copy of the prior art document;

(iii) may limit the number of prior artdocuments which may be referred to in oneobservation; and

(iv) may limit the number of observationspermitted to be made in relation to one internationalapplication, per third party and in total.

(c) The International Bureau shall take technicalsteps to prevent abuse of the third party observationsystem.

(d) The International Bureau may temporarilyor indefinitely suspend the use of the third partyobservation system if it considers it necessary to doso.

802 Filing of a Third Party Observation

(a) An observation by a third party made inrelation to an international application shall:

(i) be submitted to the International Bureauthrough the third party observation system asprovided in Section 801;

(ii) be submitted between the date ofinternational publication and 28 months from the

priority date of the international applicationindicated;

(iii) be in a language of publication, with theexception that copies of submitted prior artdocuments may be in any language;

(iv) relate to the international applicationindicated;

(v) refer to prior art;

(vi) be free of viruses or other forms ofmalicious logic;

(vii) be free of comments or other matter notrelevant to the question of novelty or inventive stepof the invention claimed in the internationalapplication; and

(viii) be free of comments or other matterwhich are an abuse of the third party observationsystem.

(b) Any purported observation by a third partywhich, in the view of the International Bureau,appears not to be in compliance with paragraph (a)shall not be treated as a third party observation. TheInternational Bureau shall inform the third partyaccordingly, unless the purported observationappears to be a clear attempt at abuse of the system.The purported observation shall not be open to publicinspection and shall not be communicated to theapplicant, any International Authority or anydesignated Office.

803 Availability of an Observation andRelated Information

(a) Any third party observation shall be promptlymade available for public inspection, with theexception that copies of prior art documentsuploaded through the system shall be made availableonly to the applicant, competent InternationalAuthorities and designated Offices.

Rev. 08.2017, January 2018AI-55


(b) Where the third party requests theInternational Bureau to remain anonymous asprovided in Section 801(b), the International Bureaushall not reveal any details of the third party to thepublic, the applicant, any International Authority orany designated Office.

804 Notification of Receipt of an Observationto the Applicant and Comments by theApplicant in Response to an Observation

(a) The International Bureau shall notify theapplicant when the first third party observation isreceived in relation to an international application.If further observations are received, the InternationalBureau shall notify the applicant of the receipt of allfurther observations promptly after the expirationof 28 months from the priority date.

(b) The applicant may, within 30 months fromthe priority date, submit comments in response toany third party observation which has been received.The comments shall be submitted in English, Frenchor the language of publication of the internationalapplication, at the choice of the applicant, and shallbe promptly made available for public inspection.

805 Communication of Observations andComments to International Authorities andDesignated Offices

(a) The International Bureau shall communicateany third party observation and any comment by theapplicant promptly to the International SearchingAuthority specified to carry out the internationalsearch, the International Searching Authorityspecified to carry out the supplementary internationalsearch and the International Preliminary ExaminingAuthority specified to carry out the internationalpreliminary examination, unless the internationalsearch report, the supplementary international searchreport or the international preliminary examinationreport, respectively, has already been received bythe International Bureau.

(b) Promptly after the expiration of 30 monthsfrom the priority date, the International Bureau shallcommunicate any third party observation and anycomment by the applicant to all designated Offices,subject to PCT Rule 93 bis . The designated Officesshall not be obliged to take either the observationsor any comments into account during nationalprocessing.

[Annexes follow]

AI-56Rev. 08.2017, January 2018


Annex A

FORMS

[Editor's Note: This Annex, which is not reproducedhere, contains Forms for use by applicants and bythe International Authorities, including thosereferred to in Section 102 of the AdministrativeInstructions. It consists of five Parts, as follows:

Part I: Forms Relating to the Receiving Office;

Part II: Forms Relating to the InternationalSearching Authority and to Authority Specified forSupplementary Search;

Part III: Forms Relating to the InternationalBureau;

Part IV: Forms Relating to the InternationalPreliminary Examining Authority;

Part V: Request and Demand Forms.

These forms are available from the WIPO websiteat: www.wipo.int/pct/en/forms .]

[Annex B follows]

Annex B

UNITY OF INVENTION

(a) Unity of Invention. Rule 13.1 deals with therequirement of unity of invention and states theprinciple that an international application shouldrelate to only one invention or, if there is more thanone invention, that the inclusion of those inventionsin one international application is only permitted ifall inventions are so linked as to form a singlegeneral inventive concept.

(b) Technical Relationship. Rule 13.2 definesthe method for determining whether the requirementof unity of invention is satisfied in respect of a groupof inventions claimed in an international application.Unity of invention exists only when there is atechnical relationship among the claimed inventionsinvolving one or more of the same or corresponding“special technical features”. The expression “specialtechnical features” is defined in Rule 13.2 asmeaning those technical features that define acontribution which each of the inventions, consideredas a whole, makes over the prior art. Thedetermination is made on the contents of the claimsas interpreted in light of the description and drawings(if any).

(c) Independent and Dependent Claims. Unityof invention has to be considered in the first placeonly in relation to the independent claims in aninternational application and not the dependentclaims. By “dependent” claim is meant a claim which

contains all the features of another claim and is inthe same category of claim as that other claim (theexpression “category of claim” referring to theclassification of claims according to the subjectmatter of the invention claimed for example, product,process, use or apparatus or means, etc.).

(i) If the independent claims avoid the priorart and satisfy the requirement of unity of invention,no problem of lack of unity arises in respect of anyclaims that depend on the independent claims. Inparticular, it does not matter if a dependent claimitself contains a further invention. Equally, noproblem arises in the case of a genus/speciessituation where the genus claim avoids the prior art.Moreover, no problem arises in the case of acombination/subcombination situation where thesubcombination claim avoids the prior art and thecombination claim includes all the features of thesubcombination.

(ii) If, however, an independent claim doesnot avoid the prior art, then the question whetherthere is still an inventive link between all the claimsdependent on that claim needs to be carefullyconsidered. If there is no link remaining, an objectionof lack of unity a posteriori (that is, arising onlyafter assessment of the prior art) may be raised.Similar considerations apply in the case of a

Rev. 08.2017, January 2018AI-57


http://www.wipo.int/pct/en/forms

genus/species or combination/subcombinationsituation.

(iii) This method for determining whetherunity of invention exists is intended to be appliedeven before the commencement of the internationalsearch. Where a search of the prior art is made, aninitial determination of unity of invention, based onthe assumption that the claims avoid the prior art,may be reconsidered on the basis of the results ofthe search of the prior art.

(d) Illustrations of Particular Situations. Thereare three particular situations for which the methodfor determining unity of invention contained in Rule13.2 is explained in greater detail:

(i) combinations of different categories ofclaims;

(ii) so-called “Markush practice”; and

(iii) intermediate and final products.

Principles for the interpretation of the methodcontained in Rule 13.2, in the context of each ofthose situations are set out below. It is understoodthat the principles set out below are, in all instances,interpretations of and not exceptions to therequirements of Rule 13.2.

Examples to assist in understanding the interpretationon the three areas of special concern referred to inthe preceding paragraph are set out below.

(e) Combinations of Different Categories ofClaims. The method for determining unity ofinvention under Rule 13.2 shall be construed aspermitting, in particular, the inclusion of any one ofthe following combinations of claims of differentcategories in the same international application:

(i) in addition to an independent claim for agiven product, an independent claim for a processspecially adapted for the manufacture of the saidproduct, and an independent claim for a use of thesaid product, or

(ii) in addition to an independent claim fora given process, an independent claim for anapparatus or means specifically designed for carryingout the said process, or

(iii) in addition to an independent claim fora given product, an independent claim for a processspecially adapted for the manufacture of the said

product and an independent claim for an apparatusor means specifically designed for carrying out thesaid process,

it being understood that a process is speciallyadapted for the manufacture of a product if itinherently results in the product and that an apparatusor means is specifically designed for carrying out aprocess if the contribution over the prior art of theapparatus or means corresponds to the contributionthe process makes over the prior art.

Thus, a process shall be considered to be speciallyadapted for the manufacture of a product if theclaimed process inherently results in the claimedproduct with the technical relationship being presentbetween the claimed product and claimed process.The words “specially adapted” are not intended toimply that the product could not also bemanufactured by a different process.

Also an apparatus or means shall be considered tobe “specifically designed for carrying out” a claimedprocess if the contribution over the prior art of theapparatus or means corresponds to the contributionthe process makes over the prior art. Consequently,it would not be sufficient that the apparatus or meansis merely capable of being used in carrying out theclaimed process. However, the expression“specifically designed” does not imply that theapparatus or means could not be used for carryingout another process, nor that the process could notbe carried out using an alternative apparatus ormeans.

(f) “Markush Practice.” The situation involvingthe so-called “Markush practice” wherein a singleclaim defines alternatives (chemical ornon-chemical) is also governed by Rule 13.2. In thisspecial situation, the requirement of a technicalinterrelationship and the same or correspondingspecial technical features as defined in Rule 13.2,shall be considered to be met when the alternativesare of a similar nature.

(i) When the Markush grouping is foralternatives of chemical compounds, they shall beregarded as being of a similar nature where thefollowing criteria are fulfilled:

(A) all alternatives have a commonproperty or activity, and

AI-58Rev. 08.2017, January 2018


(B)(1) a common structure is present, i.e.,a significant structural element is shared by all ofthe alternatives, or

(B)(2) in cases where the commonstructure cannot be the unifying criteria, allalternatives belong to a recognized class of chemicalcompounds in the art to which the invention pertains.

(ii) In paragraph (f)(i)(B)(1), above, thewords “significant structural element is shared byall of the alternatives” refer to cases where thecompounds share a common chemical structurewhich occupies a large portion of their structures,or in case the compounds have in common only asmall portion of their structures, the commonlyshared structure constitutes a structurally distinctiveportion in view of existing prior art, and the commonstructure is essential to the common property oractivity. The structural element may be a singlecomponent or a combination of individualcomponents linked together.

(iii) In paragraph (f)(i)(B)(2), above, thewords “recognized class of chemical compounds”mean that there is an expectation from the knowledgein the art that members of the class will behave inthe same way in the context of the claimed invention.In other words, each member could be substitutedone for the other, with the expectation that the sameintended result would be achieved.

(iv) The fact that the alternatives of aMarkush grouping can be differently classified shallnot, taken alone, be considered to be justificationfor a finding of a lack of unity of invention.

(v) When dealing with alternatives, if it canbe shown that at least one Markush alternative isnot novel over the prior art, the question of unity ofinvention shall be reconsidered by the examiner.Reconsideration does not necessarily imply that anobjection of lack of unity shall be raised.

(g) Intermediate and Final Products. Thesituation involving intermediate and final productsis also governed by Rule 13.2.

(i) The term “intermediate” is intended tomean intermediate or starting products. Suchproducts have the ability to be used to produce finalproducts through a physical or chemical change inwhich the intermediate loses its identity.

(ii) Unity of invention shall be considered tobe present in the context of intermediate and finalproducts where the following two conditions arefulfilled:

(A) the intermediate and final productshave the same essential structural element, in that:

(1) the basic chemical structures ofthe intermediate and the final products are the same,or

(2) the chemical structures of the twoproducts are technically closely interrelated, theintermediate incorporating an essential structuralelement into the final product, and

(B) the intermediate and final productsare technically interrelated, this meaning that thefinal product is manufactured directly from theintermediate or is separated from it by a smallnumber of intermediates all containing the sameessential structural element.

(iii) Unity of invention may also beconsidered to be present between intermediate andfinal products of which the structures are not known— for example, as between an intermediate havinga known structure and a final product the structureof which is not known, or as between an intermediateof unknown structure and a final product of unknownstructure. In order to satisfy unity in such cases, thereshall be sufficient evidence to lead one to concludethat the intermediate and final products aretechnically closely interrelated as, for example, whenthe intermediate contains the same essential elementas the final product or incorporates an essentialelement into the final product.

(iv) It is possible to accept in a singleinternational application different intermediateproducts used in different processes for thepreparation of the final product, provided that theyhave the same essential structural element.

(v) The intermediate and final products shallnot be separated, in the process leading from one tothe other, by an intermediate which is not new.

(vi) If the same international applicationclaims different intermediates for different structuralparts of the final product, unity shall not be regardedas being present between the intermediates.

(vii) If the intermediate and final productsare families of compounds, each intermediate

Rev. 08.2017, January 2018AI-59


compound shall correspond to a compound claimedin the family of the final products. However, someof the final products may have no correspondingcompound in the family of the intermediate productsso that the two families need not be absolutelycongruent.

(h) As long as unity of invention can berecognized applying the above interpretations, thefact that, besides the ability to be used to producefinal products, the intermediates also exhibit otherpossible effects or activities shall not affect thedecision on unity of invention.

(i) Rule 13.3 requires that the determination ofthe existence of unity of invention be made withoutregard to whether the inventions are claimed inseparate claims or as alternatives within a singleclaim.

(j) Rule 13.3 is not intended to constitute anencouragement to the use of alternatives within asingle claim, but is intended to clarify that thecriterion for the determination of unity of invention(namely, the method contained in Rule 13.2) remainsthe same regardless of the form of claim used.

(k) Rule 13.3 does not prevent an InternationalSearching or Preliminary Examining Authority oran Office from objecting to alternatives beingcontained within a single claim on the basis ofconsiderations such as clarity, the conciseness ofclaims or the claims fee system applicable in thatAuthority or Office.

(l) Examples giving guidance on how theseprinciples may be interpreted in particular cases areset out in the PCT International Search andPreliminary Examination Guidelines.

[Annex C follows]

Annex C

STANDARD FOR THE PRESENTATION OF NUCLEOTIDE AND AMINO ACIDSEQUENCE LISTINGS IN INTERNATIONAL PATENT APPLICATIONS UNDER THE

PCT

INTRODUCTION

1. This Standard has been elaborated so as toprovide standardization of the presentation ofnucleotide and amino acid sequence listings ininternational patent applications. The Standard isintended to allow the applicant to draw up a singlesequence listing which is acceptable to all receivingOffices, International Searching and PreliminaryExamining Authorities for the purposes of theinternational phase, and to all designated and electedOffices for the purposes of the national phase. It isintended to enhance the accuracy and quality ofpresentations of nucleotide and amino acid sequencesgiven in international applications, to make for easierpresentation and dissemination of sequences for thebenefit of applicants, the public and examiners, tofacilitate searching of sequence data and to allowthe exchange of sequence data in electronic formand the introduction of sequence data ontocomputerized databases.

DEFINITIONS

2. For the purposes of this Standard:

(i) the expression “sequence listing” meansa nucleotide and/or amino acid sequence listingwhich gives a detailed disclosure of the nucleotideand/or amino acid sequences and other availableinformation;

(i-bis) the expression “sequence listingforming part of the international application” meansa sequence listing contained in the internationalapplication as filed (as referred to in paragraph 3),including any sequence listing or part thereof whichis included in the international application underRule 20.5(b) or (c), which is considered to have beencontained in the international application under Rule20.6(b), or which has been corrected under Rule 26,rectified under Rule 91 or amended under Article34(2); or a sequence listing included in theinternational application by way of an amendmentunder Article 34(2)(b) of the description in relationto sequences contained in the internationalapplication as filed (as referred to in paragraphs 3 bisand 3 ter);

(i-ter) the expression “sequence listing notforming part of the international application” means

AI-60Rev. 08.2017, January 2018


a sequence listing which does not form part of theinternational application but is furnished for thepurposes of the international search or internationalpreliminary examination (as referred to in paragraphs4 and 4 bis);

(ii) sequences which are included are anyunbranched sequences of four or more amino acidsor unbranched sequences of ten or more nucleotides.Branched sequences, sequences with fewer than fourspecifically defined nucleotides or amino acids aswell as sequences comprising nucleotides or aminoacids other than those listed in Appendix 2, Tables1, 2, 3 and 4, are specifically excluded from thisdefinition;

(iii) “nucleotides” embrace only thosenucleotides that can be represented using the symbolsset forth in Appendix 2, Table 1. Modifications, forexample, methylated bases, may be described as setforth in Appendix 2, Table 2, but shall not be shownexplicitly in the nucleotide sequence;

(iv) “amino acids” are those L-amino acidscommonly found in naturally occurring proteins andare listed in Appendix 2, Table 3. Those amino acidsequences containing at least one D-amino acid arenot intended to be embraced by this definition. Anyamino acid sequence that containspost-translationally modified amino acids may bedescribed as the amino acid sequence that is initiallytranslated using the symbols shown in Appendix 2,Table 3, with the modified positions, for example,hydroxylations or glycosylations, being describedas set forth in Appendix 2, Table 4, but thesemodifications shall not be shown explicitly in theamino acid sequence. Any peptide or protein thatcan be expressed as a sequence using the symbolsin Appendix 2, Table 3, in conjunction with adescription elsewhere to describe, for example,abnormal linkages, cross-links (for example,disulfide bridge) and end caps, non-peptidyl bonds,etc., is embraced by this definition;

(v) “sequence identifier” is a unique integerthat corresponds to the SEQ ID NO assigned to eachsequence in the listing;

(vi) “numeric identifier” is a three-digitnumber which represents a specific data element;

(vii) “language-neutral vocabulary” is acontrolled vocabulary used in the sequence listingthat represents scientific terms as prescribed by

sequence database providers (including scientificnames, qualifiers and their controlled-vocabularyvalues, the symbols appearing in Appendix 2, Tables1, 2, 3 and 4, and the feature keys appearing inAppendix 2, Tables 5 and 6);

(viii) “competent Authority” is theInternational Searching Authority that is to carry outthe international search and to establish the writtenopinion of the International Searching Authority onthe international application, or the InternationalPreliminary Examining Authority that is to carry outthe international preliminary examination on theinternational application.

SEQUENCE LISTINGS

Sequence Listing Forming Part of the InternationalApplication

3. A sequence listing which is contained in theinternational application as filed:

(i) shall be presented as a separate part of thedescription, be placed at the end of the application,preferably be entitled “Sequence Listing”, begin ona new page and have independent page numbering;preferably, the sequence listing shall not bereproduced in any other part of the application;subject to paragraph 36, it is unnecessary to describethe sequences elsewhere in the description;

(ii) shall present the sequences representedin the sequence listing and other availableinformation in the sequence listing in accordancewith paragraphs 5 to 35;

(iii) if contained in an internationalapplication filed in electronic form, shall be in anelectronic document format and filed by a means oftransmittal in accordance with paragraph 37.

3bis. Any correction under Rule 26, rectificationunder Rule 91 or amendment under PCT Article34(2) of the description submitted in relation to asequence listing contained in the internationalapplication filed on paper and any sequence listingincluded in the international application by way ofan amendment under Article 34(2)(b) of thedescription in relation to sequences contained in theinternational application filed on paper shall besubmitted in accordance with Rule 26.4, Rule 91 orRule 66.8, respectively.

Rev. 08.2017, January 2018AI-61


3ter. Any correction under Rule 26, rectificationunder Rule 91 or amendment under Article 34(2)(b)of the description submitted in relation to a sequencelisting contained in the international application filedin electronic form and any sequence listing includedin the international application by way of anamendment under Article 34(2)(b) of the descriptionin relation to sequences contained in the internationalapplication filed in electronic form shall be submittedin the form of a sequence listing in electronic formcomprising the entire listing with the relevantcorrection, rectification or amendment. Any suchsequence listing:

(i) shall preferably be entitled “SequenceListing – Correction”, “Sequence Listing –Rectification” or “Sequence Listing – Amendment”,as the case may be, and have independent pagenumbering;

(ii) shall present the sequences representedin the sequence listing and other availableinformation in the sequence listing in accordancewith paragraphs 5 to 35; where applicable, theoriginal numbering of the sequences in theinternational application as filed (as referred to inparagraph 5) shall be maintained; otherwise, thesequences shall be numbered in accordance withparagraph 5;

(iii) shall be in an electronic document formatand filed by a means of transmittal in accordancewith paragraph 38.

Sequence Listing Not Forming Part of the InternationalApplication

4. A sequence listing furnished under Rule 13 terfor the purposes of the international search orinternational preliminary examination:

(i) shall preferably be entitled “SequenceListing – Rule 13 ter”;

(ii) shall present the sequences representedin the sequence listing and other availableinformation in the sequence listing in accordancewith paragraphs 5 to 35; where applicable, theoriginal numbering of the sequences in theinternational application as filed (as referred to inparagraph 5) shall be maintained; otherwise, thesequences shall be numbered in accordance withparagraph 5;

(iii) if furnished on paper in accordance withRule 13 ter.1(b), shall have independent pagenumbering;

(iv) if furnished in electronic form, shall bein an electronic document format and filed by ameans of transmittal in accordance with paragraph39;

(v) if furnished in electronic form togetherwith the international application, shall be identicalto the sequence listing as contained in the applicationand be accompanied by a statement that “theinformation recorded in electronic form furnishedunder Rule 13 ter is identical to the sequence listingas contained in the international application”;

(vi) if furnished subsequently to the filing ofthe international application, shall not go beyond thedisclosure in the international application as filedand be accompanied by a statement to that effect;any such sequence listing shall contain only thosesequences that were disclosed in the internationalapplication as filed.

4bis. Any correction under Rule 26, rectificationunder Rule 91 or amendment under Article 34(2)(b)of the description submitted in relation to a sequencelisting contained in the international application asfiled and any sequence listing included in theinternational application by way of an amendmentunder Article 34(2)(b) of the description in relationto sequences contained in the internationalapplication as filed shall be accompanied, for thepurposes of the international search or internationalpreliminary examination, by a sequence listing inelectronic form in an electronic document format inaccordance with paragraph 39, comprising the entirelisting including any such correction, rectificationor amendment, whenever this is required by thecompetent authority, unless such listing in electronicform is already available to that authority in a formand manner acceptable to it. Any such sequencelisting in electronic form:

(i) shall preferably be entitled “SequenceListing – Correction – Rule 13 ter”, “SequenceListing – Rectification – Rule 13 ter” or “SequenceListing – Amendment – Rule 13 ter”, as the casemay be;

(ii) shall present the sequences representedin the sequence listing and other availableinformation in the sequence listing in accordance

AI-62Rev. 08.2017, January 2018


with paragraphs 5 to 35; where applicable, theoriginal numbering of the sequences in theinternational application as filed (as referred to inparagraph 5) shall be maintained; otherwise, thesequences shall be numbered in accordance withparagraph 5;

(iii) shall be filed by a means of transmittalin accordance with paragraph 39;

(iv) shall be identical to the corrected oramended sequence listing and be accompanied by astatement that “the information recorded in electronicform furnished under Rule 13 ter is identical to thecorrected sequence listing” (or to the “amendedsequence listing”, as the case may be).

Where such sequence listing in electronic form and,where applicable, such statement is not available tothe competent authority, any such correction,rectification or amendment need only be taken intoaccount by that authority for the purposes of theinternational search or preliminary examination tothe extent that a meaningful search or preliminaryexamination can be carried out without suchsequence listing in electronic form.

PRESENTATION OF SEQUENCES

5. Each sequence shall be assigned a separatesequence identifier. The sequence identifiers shallbegin with 1 and increase sequentially by integers.If no sequence is present for a sequence identifier,the code 000 should appear under numeric identifier<400>, beginning on the next line following the SEQID NO. The response for numeric identifier <160>shall include the total number of SEQ ID NOs,whether followed by a sequence or by the code 000.

6. In the description, claims or drawings of theapplication, the sequences represented in thesequence listing shall be referred to by the sequenceidentifier and preceded by “SEQ ID NO:”.

7. Nucleotide and amino acid sequences shouldbe represented by at least one of the following threepossibilities:

(i) a pure nucleotide sequence;

(ii) a pure amino acid sequence;

(iii) a nucleotide sequence together with itscorresponding amino acid sequence.

For those sequences disclosed in the format specifiedin option (iii), above, the amino acid sequence mustbe disclosed separately in the sequence listing as apure amino acid sequence with a separate integersequence identifier.

Nucleotide Sequences

Symbols to Be Used

8. A nucleotide sequence shall be presented onlyby a single strand, in the 5’-end to 3’-end directionfrom left to right. The terms 3’ and 5’ shall not berepresented in the sequence.

9. The bases of a nucleotide sequence shall berepresented using the one-letter code for nucleotidesequence characters. Only lower case letters inconformity with the list given in Appendix 2, Table1, shall be used.

10. Modified bases shall be represented as thecorresponding unmodified bases or as “n” in thesequence itself if the modified base is one of thoselisted in Appendix 2, Table 2, and the modificationshall be further described in the feature section ofthe sequence listing, using the codes given inAppendix 2, Table 2. These codes may be used inthe description or the feature section of the sequencelisting but not in the sequence itself (see alsoparagraph 32). The symbol “n” is the equivalent ofonly one unknown or modified nucleotide.

Format to Be Used

11. A nucleotide sequence shall be listed with amaximum of 60 bases per line, with a space betweeneach group of 10 bases.

12. The bases of a nucleotide sequence(including introns) shall be listed in groups of 10bases, except in the coding parts of the sequence.Leftover bases, fewer than 10 in number at the endof non-coding parts of a sequence, should be groupedtogether and separated from adjacent groups by aspace.

13. The bases of the coding parts of a nucleotidesequence shall be listed as triplets (codons).

14. The enumeration of the nucleotide shall startat the first base of the sequence with number 1. Itshall be continuous through the whole sequence inthe direction 5’ to 3’. It shall be marked in the right

Rev. 08.2017, January 2018AI-63


margin, next to the line containing the one-lettercodes for the bases, and giving the number of thelast base of that line. The enumeration method fornucleotide sequences set forth above remainsapplicable to nucleotide sequences that are circularin configuration, with the exception that thedesignation of the first nucleotide of the sequencemay be made at the option of the applicant.

15. A nucleotide sequence that is made up ofone or more non-contiguous segments of a largersequence or of segments from different sequencesshall be numbered as a separate sequence, with aseparate sequence identifier. A sequence with a gapor gaps shall be numbered as a plurality of separatesequences with separate sequence identifiers, withthe number of separate sequences being equal innumber to the number of continuous strings ofsequence data.

Amino Acid Sequences

Symbols to Be Used

16. The amino acids in a protein or peptidesequence shall be listed in the amino to carboxydirection from left to right. The amino and carboxygroups shall not be represented in the sequence.

17. The amino acids shall be represented usingthe three-letter code with the first letter as a capitaland shall conform to the list given in Appendix 2,Table 3. An amino acid sequence that contains ablank or internal terminator symbols (for example,“Ter” or “*” or “.”) may not be represented as asingle amino acid sequence, but shall be presentedas separate amino acid sequences (see paragraph22).

18. Modified and unusual amino acids shall berepresented as the corresponding unmodified aminoacids or as “Xaa” in the sequence itself if themodified amino acid is one of those listed inAppendix 2, Table 4, and the modification shall befurther described in the feature section of thesequence listing, using the codes given in Appendix2, Table 4. These codes may be used in thedescription or the feature section of the sequencelisting but not in the sequence itself (see alsoparagraph 32). The symbol “Xaa” is the equivalentof only one unknown or modified amino acid.

Format to Be Used

19. A protein or peptide sequence shall be listedwith a maximum of 16 amino acids per line, with aspace provided between each amino acid.

20. Amino acids corresponding to the codons inthe coding parts of a nucleotide sequence shall beplaced immediately under the corresponding codons.Where a codon is split by an intron, the amino acidsymbol should be given below the portion of thecodon containing two nucleotides.

21. The enumeration of amino acids shall startat the first amino acid of the sequence, with number1. Optionally, the amino acids preceding the matureprotein, for example pre-sequences, pro-sequences,pre-pro-sequences and signal sequences, whenpresent, may have negative numbers, countingbackwards starting with the amino acid next tonumber 1. Zero (0) is not used when the numberingof amino acids uses negative numbers to distinguishthe mature protein. It shall be marked under thesequence every five amino acids. The enumerationmethod for amino acid sequences set forth aboveremains applicable for amino acid sequences thatare circular in configuration, with the exception thatthe designation of the first amino acid of thesequence may be made at the option of the applicant.

22. An amino acid sequence that is made up ofone or more non-contiguous segments of a largersequence or of segments from different sequencesshall be numbered as a separate sequence, with aseparate sequence identifier. A sequence with a gapor gaps shall be numbered as a plurality of separatesequences with separate sequence identifiers, withthe number of separate sequences being equal innumber to the number of continuous strings ofsequence data.

OTHER AVAILABLE INFORMATION IN THESEQUENCE LISTING

23. The order of the items of information in thesequence listings shall follow the order in whichthose items are listed in the list of numeric identifiersof data elements as defined in Appendix 1.

24. Only numeric identifiers of data elements asdefined in Appendix 1 shall be used for thepresentation of the items of information in thesequence listing. The corresponding numericidentifier descriptions shall not be used. Theprovided information shall follow immediately afterthe numeric identifier while only those numeric

AI-64Rev. 08.2017, January 2018


identifiers for which information is given needappear on the sequence listing. Two exceptions tothis requirement are numeric identifiers <220> and<300>, which serve as headers for “Feature” and“Publication Information,” respectively, and areassociated with information in numeric identifiers<221> to <223> and <301> to <313>, respectively.When feature and publication information isprovided in the sequence listing under those numericidentifiers, numeric identifiers <220> and <300>,respectively, should be included, but left blank.Generally, a blank line shall be inserted betweennumeric identifiers when the digit in the first orsecond position of the numeric identifier changes.An exception to this general rule is that no blankline should appear preceding numeric identifier<310>. Additionally, a blank line shall precede anyrepeated numeric identifier.

Mandatory Data Elements

25. The sequence listing shall include, inaddition to and immediately preceding the actualnucleotide and/or amino acid sequence, the followingitems of information defined in Appendix 1(mandatory data elements):

Applicant name<110>Title of invention<120>Number of SEQ ID NOs<160>SEQ ID NO: x<210>Length<211>Type<212>Organism<213>Sequence<400>

Where the name of the applicant (numeric identifier<110>) is written in characters other than those ofthe Latin alphabet, it shall also be indicated incharacters of the Latin alphabet either as a meretransliteration or through translation into English.

The data elements, except those under numericidentifiers <110>, <120> and <160>, shall berepeated for each sequence included in the sequencelisting. Only the data elements under numericidentifiers <210> and <400> are mandatory if nosequence is present for a sequence identifier (see

paragraph 5, above, and SEQ ID NO: 4 in theexample depicted in Appendix 3 of this Standard).

26. In addition to the data elements identified inparagraph 25, above, when a sequence listing isfurnished at any time prior to the assignment of anapplication number, the following data element shallbe included in the sequence listing:

File reference<130>

27. In addition to the data elements identified inparagraph 25, above, when a sequence listing isfurnished at any time following the assignment ofan application number, the following data elementsshall be included in the sequence listing:

Current patent application<140>Current filing date<141>

28. In addition to the data elements identified inparagraph 25, above, when a sequence listing is filedrelating to an application which claims the priorityof an earlier application, the following data elementsshall be included in the sequence listing:

Earlier patent application<150>Earlier application filing date<151>

29. If “n” or “Xaa” or a modified base ormodified/unusual L-amino acid is used in thesequence, the following data elements aremandatory:

Feature<220>Name/key<221>Location<222>Other information<223>

30. If the organism (numeric identifier <213>)is “Artificial Sequence” or “Unknown,” thefollowing data elements are mandatory:

Feature<220>Other information<223>

Optional Data Elements

Rev. 08.2017, January 2018AI-65


31. All data elements defined in Appendix 1,not mentioned in paragraphs 25 to 30, above, areoptional (optional data elements).

Presentation of Features

32. When features of sequences are presented(that is, numeric identifier <220>), they shall bedescribed by the “feature keys” set out in Appendix2, Tables 5 and 6.

Free Text

33. “Free text” is a wording describingcharacteristics of the sequence under numericidentifier <223> (Other information) which does notuse language-neutral vocabulary as referred to inparagraph 2(vii).

34. The use of free text shall be limited to a fewshort terms indispensable for the understanding ofthe sequence. It shall not exceed four lines with amaximum of 65 characters per line for each givendata element, when written in English. Any furtherinformation shall be included in the main part of thedescription in the language thereof.

35. Any free text should preferably be in theEnglish language.

REPETITION OF FREE TEXT IN MAIN PART OFDESCRIPTION

36. Where the sequence listing forming part ofthe international application contains free text, anysuch free text shall be repeated in the main part ofthe description in the language thereof. It isrecommended that the free text in the language ofthe main part of the description be put in a specificsection of the description called “Sequence ListingFree Text”.

SEQUENCE LISTINGS IN ELECTRONIC FORM

37. Any sequence listing referred to in paragraph3 contained in an international application filed inelectronic form shall be in an electronic documentformat and be filed by a means of transmittal thathas been specified by the receiving Office for thepurposes of filing of international applications inelectronic form, provided that any such sequencelisting shall preferably be in the electronic documentformat specified in paragraph 40 and be filed, ifpossible, by a means of transmittal which has been

specified by both the receiving Office and thecompetent authority.

38. Any sequence listing in electronic formreferred to in paragraph 3ter shall be in an electronicdocument format that has been specified by thereceiving Office (in the case of a correction) or bythe competent authority (in the case of a rectificationor an amendment) for the purposes of filing ofinternational applications in electronic form,provided that any such listing shall preferably be inthe electronic document format specified inparagraph 40. Any such listing shall be filed by ameans of transmittal which has been specified bythe receiving Office or the competent authority, asapplicable, for the purposes of this paragraph; ifpossible, it shall preferably be filed by a means oftransmittal which has been specified by both thereceiving Office and the competent authority.

39. Any sequence listing in electronic formreferred to in paragraphs 4 and 4 bis furnished forthe purposes of the international search orinternational preliminary examination shall be in theelectronic document format specified in paragraph40 and be filed by a means of transmittal which hasbeen specified by the competent authority for thepurposes of this paragraph.

40. For the purposes of the international searchand international preliminary examination, anysequence listing in electronic form shall be containedwithin one electronic file encoded using IBM CodePage 437, IBM Code Page 932 or a compatible codepage to represent the sequence listing as set out inparagraphs 5 to 36 with no other codes included. Acompatible code page, as would be required for, forexample, Japanese, Chinese, Cyrillic, Arabic, Greekor Hebrew characters, is one that assigns the Romanalphabet and numerals to the same hexadecimalpositions as do the specified code pages.

41. Any sequence listing in the electronicdocument format specified in paragraph 40 shallpreferably be created by dedicated software such asPatentIn.

PROCEDURE BEFORE DESIGNATED ANDELECTED OFFICES

42. For the purposes of the procedure before adesignated or elected Office before which theprocessing of an international application whichcontains the disclosure of one or more nucleotide

AI-66Rev. 08.2017, January 2018


and/or amino acid sequences has started (see Rule13 ter.3):

(i) any reference to the receiving Office orthe competent authority shall be construed as areference to the designated or elected Officeconcerned;

(ii) any reference to a sequence listing whichis included in the international application by wayof a rectification under Rule 91 or an amendmentunder Article 34(2)(b) of the description in relationto sequences contained in the application as filedshall be construed to also include any sequencelisting included in the application, under the nationallaw applied by the designated or elected Officeconcerned, by way of a rectification (of an obviousmistake) or amendment of the description in relationto sequences contained in the application as filed;

(iii) any reference to a sequence listingfurnished for the purposes of international search orinternational preliminary examination shall beconstrued to also include any such listing furnishedto the designated or elected Office concerned for thepurposes of national search or examination by thatOffice;

(iv) the designated or elected Officeconcerned may invite the applicant to furnish to it,within a time limit which shall be reasonable underthe circumstances, for the purposes of national searchand/or examination, a sequence listing in electronicform complying with this Standard, unless suchlisting in electronic form is already available to thatOffice in a form and manner acceptable to it.

Appendices

Appendix 1: Numeric Identifiers

Appendix 2: Nucleotide and Amino AcidSymbols and Feature Table

Table 1: List of Nucelotides

Table 2: List of Modified Nucleotides

Table 3: List of Amino Acids

Table 4: List of Modified and UnusualAmino Acids

Table 5: List of Feature Keys Related toNucleotide Sequences

Table 6: List of Feature Keys Related toProtein Sequences

Appendix 3: Specimen Sequence Listing

[Appendices 1 to 3 to Annex C follow]

Annex C, Appendix 1 Numeric Identifiers

Only numeric identifiers as defined below may beused in sequence listings submitted in applications.The text of the data element headings given belowshall not be included in the sequence listings.

Numeric identifiers of mandatory data elements, thatis, data elements which must be included in allsequence listings (see paragraph 25 of this Standard:items 110, 120, 160, 210, 211, 212, 213 and 400)and numeric identifiers of data elements which mustbe included in circumstances specified in thisStandard (see paragraphs 26, 27, 28, 29 and 30 ofthis Standard: items 130, 140, 141, 150 and 151, and220 to 223) are marked by the symbol “M.”

Numeric identifiers of optional data elements (seeparagraph 31 of this Standard) are marked by thesymbol “O.”

CommentMandatory (M) or Optional(O)

NumericIdentifierDescription

NumericIdentifier

where the name of the applicant is written incharacters other than those of the Latin alphabet, the

MApplicant name<110>

same shall also be indicated in characters of the Latinalphabet either as a mere transliteration or throughtranslation into English

Rev. 08.2017, January 2018AI-67




NumericIdentifier

MTitle ofInvention

<120>

see paragraph 26 of this StandardM, in the circumstances specifiedin paragraph 26 of this Standard

File Reference<130>

see paragraph 27 of this Standard; the current patentapplication shall be identified, in the following order,

M, in the circumstances specifiedin paragraph 27 of this Standard

Current patentapplication

<140>

by the two-letter code indicated in accordance withWIPO Standard ST.3 and the application number (inthe format used by the industrial property Office withwhich the current patent application is filed) or, foran international application, by the internationalapplication numbersee paragraph 27 of this Standard; the date shall beindicated in accordance with WIPO Standard ST.2(CCYY MM DD)


Current filingdate

<141>

see paragraph 28 of this Standard; the earlier patentapplication shall be identified, in the following order,


Earlier patentapplication

<150>

by the two-letter code indicated in accordance withWIPO Standard ST.3 and the application number (inthe format used by the industrial property Office withwhich the earlier patent application was filed) or, foran international application, by the internationalapplication numbersee paragraph 28 of this Standard; the date shall beindicated in accordance with WIPO Standard ST.2(CCYY MM DD)


Earlierapplicationfiling date

<151>

MNumber of SEQID NOs

<160>

OSoftware<170>response shall be an integer representing the SEQ IDNO shown

MInformation forSEQ ID NO: x

<210>

sequence length expressed in number of base pairsor amino acids

MLength<211>

type of molecule sequenced in SEQ ID NO: x, eitherDNA, RNA or PRT; if a nucleotide sequence contains

MType<212>

both DNA and RNA fragments, the value shall be“DNA”; in addition, the combined DNA/RNAmolecule shall be further described in the <220> to<223> feature sectionGenus Species (that is, scientific name) or “ArtificialSequence” or “Unknown”

MOrganism<213>

leave blank; see paragraphs 29 and 30 of thisStandard; description of points of biological

M, in the circumstances specifiedin paragraph 29 and 30 of thisStandard

Feature<220>

significance in the sequence in SEQ ID NO: x) (may

AI-68Rev. 08.2017, January 2018




NumericIdentifier

be repeated depending on the number of featuresindicated)see paragraph 29 of this Standard; only those keysas described in Table 5 or 6 of Appendix 2 shall beused

M in the circumstances specifiedin paragraph 29 of this Standard

Name/key<221>

see paragraph 29 of this Standard; - from (numberof first base/amino acid in the feature) - to (number


Location<222>

of last base/amino acid in the feature) - base pairs(numbers refer to positions of base pairs in anucleotide sequence) - amino acids (numbers referto positions of amino acid residues in an amino acidsequence) - whether feature is located on thecomplementary strand to that filed in the sequencelistingsee paragraphs 29 and 30 of this Standard; any otherrelevant information, using language neutral

M, in the circumstances specifiedin paragraphs 29 and 30 of thisStandard

Otherinformation:

<223>

vocabulary, or free text (preferably in English); anyfree text is to be repeated in the main part of thedescription in the language thereof (see paragraph 36of this Standard); where any modified base ormodified/unusual L-amino acid appearing inAppendix 2, Tables 2 and 4, is in the sequence, thesymbol associated with that base or amino acid fromAppendix 2, Tables 2 and 4, should be usedleave blank; repeat section for each relevantpublication

OPublicationinformation

<300>

OAuthors<301>title of publicationOTitle<302>journal name in which data publishedOJournal<303>journal volume in which data publishedOVolume<304>journal issue number in which data publishedOIssue<305>journal page numbers on which data publishedOPages<306>journal date on which data published; if possible, thedate shall be indicated in accordance with WIPOStandard ST.2 (CCYY MM DD)

ODate<307>

accession number assigned by database includingdatabase name

ODatabaseaccessionnumber

<308>

date of entry in database; the date shall be indicatedin accordance with WIPO Standard ST.2 (CCYYMM DD)

ODatabase entrydate

<309>

document number, for patent type citations only; thefull document shall specify, in the following order,

ODocumentnumber

<310>

the two-letter code indicated in accordance withWIPO Standard ST.3, the publication number

Rev. 08.2017, January 2018AI-69




NumericIdentifier

indicated in accordance with WIPO Standard ST.6,and the kind-of-document code indicated inaccordance with WIPO Standard ST.16document filing date, for patent-type citations only;the date shall be indicated in accordance with WIPOStandard ST.2 (CCYY MM DD)

OFiling date<311>

document publication date; for patent-type citationsonly; the date shall be indicated in accordance withWIPO Standard ST.2 (CCYY MM DD)

OPublication date<312>

ORelevantresidues in SEQ

<313>

ID NO: x: fromto

SEQ ID NO: x should follow the numeric identifierand should appear on the line preceding the sequence(see Appendix 3)

MSequence<400>

Annex C, Appendix 2 Nucleotide and AminoAcid Symbols and Feature Table

Table 1: List of Nucleotides

Origin of designationMeaningSymboladenineaaguanineggcytosineccthyminetturaciluupurineg or arpyrimidinet/u or cyaminoa or cmketog or t/ukstrong interactions 3H-bondsg or csweak interactions 2H-bondsa or t/uwnot ag or c or t/ubnot ca or g or t/udnot ga or c or t/uhnot t, not ua or g or cvanya or g or c or t/u, unknown, or

othern

Table 2: List of Modified Nucleotides

AI-70Rev. 08.2017, January 2018


MeaningSymbol4-acetylcytidineac4c5-(carboxyhydroxymethyl)uridinechm5u2'-O-methylcytidinecm5-carboxymethylaminomethyl-2-thiouridinecmnm5s2u5-carboxymethylaminomethyluridinecmnm5udihydrouridined2'-O-methylpseudouridinefmbeta, D-galactosylqueuosinegal q2'-O-methylguanosinegminosineiN6-isopentenyladenosinei6a1-methyladenosinem1a1-methylpseudouridinem1f1-methylguanosinem1g1-methylinosinem1i2,2-dimethylguanosinem22g2-methyladenosinem2a2-methylguanosinem2g3-methylcytidinem3c5-methylcytidinem5cN6-methyladenosinem6a7-methylguanosinem7g5-methylaminomethyluridinemam5u5-methoxyaminomethyl-2-thiouridinemam5s2ubeta, D-mannosylqueuosineman q5-methoxycarbonylmethyl-2-thiouridinemcm5s2u5-methoxycarbonylmethyluridinemcm5u5-methoxyuridinemo5u2-methylthio-N6-isopentenyladenosinems2i6aN-((9-beta-D-ribofuranosyl-2-methylthiopurine-6-yl)carbamoyl)threoninems2t6aN-((9-beta-D-ribofuranosylpurine-6-yl)N-methylcarbamoyl)threoninemt6auridine-5-oxyacetic acid-methylestermvuridine-5-oxyacetic acido5uwybutoxosineosywpseudouridinepqueuosineq2-thiocytidines2c5-methyl-2-thiouridines2t2-thiouridines2u4-thiouridines4u5-methyluridinetN-((9-beta-D-ribofuranosylpurine-6-yl)-carbamoyl)threoninet6a

Rev. 08.2017, January 2018AI-71


MeaningSymbol2'-O-methyl-5-methyluridinetm2'-O-methyluridineumwybutosineyw3-(3-amino-3-carboxy-propyl)uridine, (acp3)ux

Table 3: List of Amino Acids

MeaningSymbolAlanineAlaCysteineCysAspartic AcidAspGlutamic AcidGluPhenylalaninePheGlycineGlyHistidineHisIsoleucineIleLysineLysLeucineLeuMethionineMetAsparagineAsnProlineProGlutamineGlnArginineArgSerineSerThreonineThrValineValTryptophanTrpTyrosineTyrAsp or AsnAsxGlu or GlnGlxunknown or otherXaa

Table 4: List of Modified and Unusual Amino Acids

MeaningSymbol2-Aminoadipic acidAad3-Aminoadipic acidbAadbeta-Alanine, beta-Aminopropionic acidbAla2-Aminobutyric acidAbu4-Aminobutyric acid, piperidinic acid4Abu6-Aminocaproic acidAcp2-Aminoheptanoic acidAhe2-Aminoisobutyric acidAib3-Aminoisobutyric acidbAib

AI-72Rev. 08.2017, January 2018


MeaningSymbol2-Aminopimelic acidApm2,4 Diaminobutyric acidDbuDesmosineDes2,2'-Diaminopimelic acidDpm2,3-Diaminopropionic acidDprN-EthylglycineEtGlyN-EthylasparagineEtAsnHydroxylysineHylallo-HydroxylysineaHyl3-Hydroxyproline3Hyp4-Hydroxyproline4HypIsodesmosineIdeallo-IsoleucineaIleN-Methylglycine, sarcosineMeGlyN-MethylisoleucineMeIle6-N-MethyllysineMeLysN-MethylvalineMeValNorvalineNvaNorleucineNleOrnithineOrn

Table 5: List of Feature Keys Related to Nucleotide Sequences

DescriptionKeya related individual or strain contains stable, alternative forms of the same genewhich differs from the presented sequence at this location (and perhaps others)

allele

(1) region of DNA at which regulation of termination of transcription occurs, whichcontrols the expression of some bacterial operons; (2) sequence segment located

attenuator

between the promoter and the first structural gene that causes partial terminationof transcriptionconstant region of immunoglobulin light and heavy chains, and T-cell receptoralpha, beta, and gamma chains; includes one or more exons depending on theparticular chain

C_region

CAAT box; part of a conserved sequence located about 75 bp up-stream of thestart point of eukaryotic transcription units which may be involved in RNApolymerase binding; consensus=GG (C or T) CAATCT

CAAT_signal

coding sequence; sequence of nucleotides that corresponds with the sequence ofamino acids in a protein (location includes stop codon); feature includes aminoacid conceptual translation

CDS

independent determinations of the “same” sequence differ at this site or regionconflictdisplacement loop; a region within mitochondrial DNA in which a short stretch ofRNA is paired with one strand of DNA, displacing the original partner DNA strand

D-loop

in this region; also used to describe the displacement of a region of one strand ofduplex DNA by a single stranded invader in the reaction catalyzed by RecA proteindiversity segment of immunoglobulin heavy chain, and T-cell receptor beta chainD-segment

Rev. 08.2017, January 2018AI-73


DescriptionKeya cis-acting sequence that increases the utilization of (some) eukaryotic promoters,and can function in either orientation and in any location (upstream or downstream)relative to the promoter

enhancer

region of genome that codes for portion of spliced mRNA; may contain 5'UTR allCDSs, and 3'UTR

exon

GC box; a conserved GC-rich region located upstream of the start point ofeukaryotic transcription units which may occur in multiple copies or in eitherorientation; consensus=GGGCGG

GC_signal

region of biological interest identified as a gene and for which a name has beenassigned

gene

intervening DNA; DNA which is eliminated through any of several kinds ofrecombination

iDNA

a segment of DNA that is transcribed, but removed from within the transcript bysplicing together the sequences (exons) on either side of it

intron

joining segment of immunoglobulin light and heavy chains, and T-cell receptoralpha, beta, and gamma chains

J_segment

long terminal repeat, a sequence directly repeated at both ends of a definedsequence, of the sort typically found in retroviruses

LTR

mature peptide or protein coding sequence; coding sequence for the mature or finalpeptide or protein product following post-translational modification; the locationdoes not include the stop codon (unlike the corresponding CDS)

mat_peptide

site in nucleic acid which covalently or non-covalently binds another moiety thatcannot be described by any other Binding key (primer_bind or protein_bind)

misc_binding

feature sequence is different from that presented in the entry and cannot be describedby any other Difference key (conflict, unsure, old_sequence, mutation, variation,allele, or modified_base)

misc_difference

region of biological interest which cannot be described by any other feature key;a new or rare feature

misc_feature

site of any generalized, site-specific or replicative recombination event where thereis a breakage and reunion of duplex DNA that cannot be described by other

misc_recomb

recombination keys (iDNA and virion) or qualifiers of source key (/insertion_seq,/transposon, /proviral)any transcript or RNA product that cannot be defined by other RNA keys(prim_transcript, precursor_RNA, mRNA, 5'clip, 3'clip, 5'UTR, 3'UTR, exon,

misc_RNA

CDS, sig_peptide, transit_peptide, mat_peptide, intron, polyA_site, rRNA, tRNA,scRNA, and snRNA)any region containing a signal controlling or altering gene function or expressionthat cannot be described by other Signal keys (promoter, CAAT_signal,

misc_signal

TATA_signal, -35_signal, -10_signal, GC_signal, RBS, polyA_signal, enhancer,attenuator, terminator, and rep_origin)any secondary or tertiary structure or conformation that cannot be described byother Structure keys (stem_loop and D-loop)

misc_structure

the indicated nucleotide is a modified nucleotide and should be substituted for bythe indicated molecule (given in the mod_base qualifier value)

modified_base

messenger RNA; includes 5' untranslated region (5'UTR), coding sequences (CDS,exon) and 3' untranslated region (3'UTR)

mRNA

AI-74Rev. 08.2017, January 2018


DescriptionKeya related strain has an abrupt, inheritable change in the sequence at this locationmutationextra nucleotides inserted between rearranged immunoglobulin segmentsN_regionthe presented sequence revises a previous version of the sequence at this locationold_sequencerecognition region necessary for endonuclease cleavage of an RNA transcript thatis followed by polyadenylation; consensus=AATAAA

polyA_signal

site on an RNA transcript to which will be added adenine residues bypost-transcriptional polyadenylation

polyA_site

any RNA species that is not yet the mature RNA product; may include 5' clippedregion (5'clip), 5' untranslated region (5'UTR), coding sequences (CDS, exon),

precursor_RNA

intervening sequences (intron), 3' untranslated region (3'UTR), and 3' clipped region(3'clip)primary (initial, unprocessed) transcript; includes 5' clipped region (5'clip), 5'untranslated region (5'UTR), coding sequences (CDS, exon), intervening sequences(intron), 3' untranslated region (3'UTR), and 3' clipped region (3' clip)

prim_transcript

non-covalent primer binding site for initiation of replication, transcription, orreverse transcription; includes site(s) for synthetic, for example, PCR primerelements

primer_bind

region on a DNA molecule involved in RNA polymerase binding to initiatetranscription

promoter

non-covalent protein binding site on nucleic acidprotein_bindribosome binding siteRBSregion of genome containing repeating unitsrepeat_regionsingle repeat elementrepeat_unitorigin of replication; starting site for duplication of nucleic acid to give two identicalcopies

rep_origin

mature ribosomal RNA; the RNA component of the ribonucleoprotein particle(ribosome) which assembles amino acids into proteins

rRNA

switch region of immunoglobulin heavy chains; involved in the rearrangement ofheavy chain DNA leading to the expression of a different immunoglobulin classfrom the same B-cell

S_region

many tandem repeats (identical or related) of a short basic repeating unit; manyhave a base composition or other property different from the genome average thatallows them to be separated from the bulk (main band) genomic DNA

satellite

small cytoplasmic RNA; any one of several small cytoplasmic RNA moleculespresent in the cytoplasm and (sometimes) nucleus of a eukaryote

scRNA

signal peptide coding sequence; coding sequence for an N-terminal domain of asecreted protein; this domain is involved in attaching nascent polypeptide to themembrane; leader sequence

sig_peptide

small nuclear RNA; any one of many small RNA species confined to the nucleus;several of the snRNAs are involved in splicing or other RNA processing reactions

snRNA

identifies the biological source of the specified span of the sequence; this key ismandatory; every entry will have, as a minimum, a single source key spanning theentire sequence; more than one source key per sequence is permissable

source

hairpin; a double-helical region formed by base-pairing between adjacent (inverted)complementary sequences in a single strand of RNA or DNA

stem_loop

Rev. 08.2017, January 2018AI-75


DescriptionKeySequence Tagged Site; short, single-copy DNA sequence that characterizes amapping landmark on the genome and can be detected by PCR; a region of thegenome can be mapped by determining the order of a series of STSs

STS

TATA box; Goldberg-Hogness box; a conserved AT-rich septamer found about25 bp before the start point of each eukaryotic RNA polymerase II transcript unit

TATA_signal

which may be involved in positioning the enzyme for correct initiation;consensus=TATA(A or T)A(A or T)sequence of DNA located either at the end of the transcript or adjacent to a promoterregion that causes RNA polymerase to terminate transcription; may also be site ofbinding of repressor protein

terminator

transit peptide coding sequence; coding sequence for an N-terminal domain of anuclear-encoded organellar protein; this domain is involved in post-translationalimport of the protein into the organelle

transit_peptide

mature transfer RNA, a small RNA molecule (75-85 bases long) that mediates thetranslation of a nucleic acid sequence into an amino acid sequence

tRNA

author is unsure of exact sequence in this regionunsurevariable region of immunoglobulin light and heavy chains, and T-cell receptoralpha, beta, and gamma chains; codes for the variable amino terminal portion; canbe made up from V_segments, D_segments, N_regions, and J_segments

V_region

variable segment of immunoglobulin light and heavy chains, and T-cell receptoralpha, beta, and gamma chains; codes for most of the variable region (V_region)and the last few amino acids of the leader peptide

V_segment

a related strain contains stable mutations from the same gene (for example, RFLPs,polymorphisms, etc.) which differ from the presented sequence at this location(and possibly others)

variation

3'-most region of a precursor transcript that is clipped off during processing3'clipregion at the 3 end of a mature transcript (following the stop codon) that is nottranslated into a protein

3'UTR

5'-most region of a precursor transcript that is clipped off during processing5'clipregion at the 5' end of a mature transcript (preceding the initiation codon) that isnot translated into a protein

5'UTR

pribnow box; a conserved region about 10 bp upstream of the start point of bacterialtranscription units which may be involved in binding RNA polymerase;consensus=TAtAaT

-10_signal

a conserved hexamer about 35 bp upstream of the start point of bacterialtranscription units; consensus=TTGACa [ ] or TGTTGACA [ ]

-35_signal

Table 6: List of Feature Keys Related to Protein Sequences

DescriptionKeydifferent papers report differing sequencesCONFLICTauthors report that sequence variants existVARIANTdescription of sequence variants produced by alternativesplicing

VARSPLIC

site which has been experimentally alteredMUTAGENpost-translational modification of a residueMOD_RES

AI-76Rev. 08.2017, January 2018


DescriptionKeyN-terminal or otherACETYLATIONgenerally at the C-terminal of a mature active peptideAMIDATIONundetermined N- or C-terminal blocking groupBLOCKEDof the N-terminal methionineFORMYLATIONof asparagine, aspartic acid, proline or lysineGAMMA-CARBOXYGLUTAMIC

ACID HYDROXYLATIONgenerally of lysine or arginineMETHYLATIONof serine, threonine, tyrosine, aspartic acid or histidinePHOSPHORYLATIONN-terminal glutamate which has formed an internal cycliclactam

PYRROLIDONE CARBOXYLIC ACID

generally of tyrosineSULFATATIONcovalent binding of a lipidic moietyLIPIDmyristate group attached through an amide bond to theN-terminal glycine residue of the mature form of a proteinor to an internal lysine residue

MYRISTATE

palmitate group attached through a thioether bond to acysteine residue or through an ester bond to a serine orthreonine residue

PALMITATE

farnesyl group attached through a thioether bond to acysteine residue

FARNESYL

geranyl-geranyl group attached through a thioether bondto a cysteine residue

GERANYL-GERANYL

glycosyl-phosphatidylinositol (GPI) group linked to thealpha-carboxyl group of the C-terminal residue of themature form of a protein

GPI-ANCHOR

N-terminal cysteine of the mature form of a prokaryoticlipoprotein with an amide-linked fatty acid and a glycerylgroup to which two fatty acids are linked by ester linkages

N-ACYL DIGLYCERIDE

disulfide bond; the ‘FROM’ and ‘TO’ endpoints representthe two residues which are linked by an intra-chain

DISULFID

disulfide bond; if the ‘FROM’ and ‘TO’ endpoints areidentical, the disulfide bond is an interchain one and thedescription field indicates the nature of the cross-linkthiolester bond; the ‘FROM’ and ‘TO’ endpoints representthe two residues which are linked by the thiolester bond

THIOLEST

thioether bond; the ‘FROM’ and ‘TO’endpoints representthe two residues which are linked by the thioether bond

THIOETH

glycosylation site; the nature of the carbohydrate (ifknown) is given in the description field

CARBOHYD

binding site for a metal ion; the description field indicatesthe nature of the metal

METAL

binding site for any chemical group (co-enzyme, prostheticgroup, etc.); the chemical nature of the group is given inthe description field

BINDING

extent of a signal sequence (prepeptide)SIGNAL

Rev. 08.2017, January 2018AI-77


DescriptionKeyextent of a transit peptide (mitochondrial, chloroplastic,or for a microbody)

TRANSIT

extent of a propeptidePROPEPextent of a polypeptide chain in the mature proteinCHAINextent of a released active peptidePEPTIDEextent of a domain of interest on the sequence; the natureof that domain is given in the description field

DOMAIN

extent of a calcium-binding regionCA_BINDextent of a DNA-binding regionDNA_BINDextent of a nucleotide phosphate binding region; the natureof the nucleotide phosphate is indicated in the descriptionfield

NP_BIND

extent of a transmembrane regionTRANSMEMextent of a zinc finger regionZN_FINGextent of a similarity with another protein sequence;precise information, relative to that sequence is given inthe description field

SIMILAR

extent of an internal sequence repetitionREPEATsecondary structure: Helices, for example, Alpha-helix,3(10) helix, or Pi-helix

HELIX

secondary structure: Beta-strand, for example, Hydrogenbonded beta-strand, or Residue in an isolated beta-bridge

STRAND

secondary structure Turns, for example, H-bonded turn(3-turn, 4-turn or 5-turn)

TURN

amino acid(s) involved in the activity of an enzymeACT_SITEany other interesting site on the sequenceSITEthe sequence is known to start with an initiator methionineINIT_METthe residue at an extremity of the sequence is not theterminal residue; if applied to position 1, this signifies that

NON_TER

the first position is not the N-terminus of the completemolecule; if applied to the last position, it signifies thatthis position is not the C-terminus of the completemolecule; there is no description field for this keynon consecutive residues; indicates that two residues in asequence are not consecutive and that there are a numberof unsequenced residues between them

NON_CONS

uncertainties in the sequence; used to describe region(s)of a sequence for which the authors are unsure about thesequence assignment

UNSURE

[Annex C, Appendix 3, follows] Annex C, Appendix 3 Specimen Sequence Listing

AI-78Rev. 08.2017, January 2018


Rev. 08.2017, January 2018AI-79


[Annex D follows]

Annex D

INFORMATION FROM FRONT PAGE OF PUBLISHED INTERNATIONALAPPLICATION TO BE INCLUDED IN THE GAZETTE UNDER RULE 86.1(i)

The following information shall be extracted fromthe front page of the publication of the internationalpublication for each published internationalapplication and shall, in accordance with Rule86.1(i), appear in the corresponding entry of theGazette:

1. as to the international publication:

1.1 the international publication number

1.2 the date of the international publication

1.3 an indication whether the following itemswere published in the published internationalapplication:

1.31 international search report

1.32 declaration under Article 17(2)

1.33 claims amended under Article 19(1)

1.34 statement under Article 19(1)

1.35 [ Deleted]

1.36 request for rectification under thefirst sentence of Rule 91.3(d)

1.37 information concerning theincorporation by reference of an element or part asreferred to in Rule 48.2(b)(v)

1.38 information concerning a priorityclaim under Rule 26 bis.2(d)

AI-80Rev. 08.2017, January 2018


1.39 information concerning a requestunder Rule 26 bis.3 for restoration of the right ofpriority

1.4 the language in which the internationalapplication was filed

1.5 the language of publication of theinternational application

2. as to the international application:

2.1 the title of the invention

2.2 the symbol(s) of the International PatentClassification (IPC)

2.3 the international application number

2.4 the international filing date

3. as to any priority claim:

3.1 the application number of the earlierapplication

3.2 the date on which the earlier applicationwas filed

3.3 where the earlier application is:

3.31 a national application: the countryin which the earlier application was filed

3.32 a regional application: the authorityentrusted with the granting of regional patents underthe applicable regional patent treaty and, in the casereferred to in Rule 4.10(b)(ii), a country party to theParis Convention for the Protection of IndustrialProperty for which that earlier application was filed

3.33 an international application: thereceiving Office with which it was filed

4. as to the applicant, inventor and agent:

4.1 their name(s)

4.2 their mailing address(es)

5. as to the designated States:

5.1 their names

5.2 the indication of any wish for a regionalpatent

5.3 the indication that every kind ofprotection available is sought, unless otherwiseindicated

6. as to a statement concerning non-prejudicialdisclosure or exception to lack of novelty:

6.1 the date of the disclosure

6.2 the place of the disclosure

6.3 the kind of the disclosure (e.g.,exhibition, scientific publication, conference reports,etc.)

6.4 the title of the exhibition, publication orconference

7. as to any indication in relation to depositedbiological material furnished under Rule 13 bisseparately from the description:

7.1 the fact that such indication is published

7.2 the date on which the InternationalBureau received such indication

8. as to any declaration referred to in Rule 4.17which was received by the International Bureaubefore the expiration of the time limit under Rule26 ter.1:

8.1 the fact that such a declaration was madeand a reference to the applicable item in Rule 4.17under which it was made

[Annex E follows]

Annex E

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

1. The time limits applicable under Articles 22and 39 in respect of each Contracting State.

2. The list of the non-patent literature agreedupon by the International Searching Authorities forinclusion in the minimum documentation.

3. The names of the national Offices which donot wish to receive copies under Article 13(2)(c).

4. The provisions of the national laws ofContracting States concerning international-typesearch.

5. The text of the agreements entered intobetween the International Bureau and theInternational Searching Authorities or theInternational Preliminary Examining Authorities.

Rev. 08.2017, January 2018AI-81


6. The names of the national Offices whichentirely or in part waived their rights to anycommunication under Article 20.

7. The names of the Contracting States whichare bound by Chapter II of the PCT.

8. Index of concordance of internationalapplication numbers and international publicationnumbers, listed according to international applicationnumbers.

9. Index of applicants’ names giving, for eachname, the corresponding international publicationnumber(s).

10. Index of international publication numbers,grouped according to the International PatentClassification symbols.

11. Indication of any subject matter that will notbe searched or examined by the various International

Searching and Preliminary Examining Authoritiesunder Rules 39 and 67.

12. Requirements of designated and electedOffices under Rules 49.5 and 76.5 in relation to thefurnishing of translations.

13. The dates defining the period referred to inRule 32.1(b) during which the internationalapplication, whose effects may be extended to asuccessor State under Rule 32.1, must have beenfiled.

14. The criteria for restoration of the right ofpriority applied by receiving Offices under Rule26 bis.3 or designated Offices under Rule 49 ter.2,and any subsequent changes in that respect.

[Annex F follows]

Annex F

STANDARD FOR THE ELECTRONIC FILING AND PROCESSING OF INTERNATIONALAPPLICATIONS

[Editor's Note: Annex F consists of nine mainsections and four appendices, the titles of which arereproduced below. The full text of Annex F and itsAppendices are set out in two separate documentsavailable from the WIPO Web site at:http://www.wipo.int/pct/en/texts/index.html.]

1. Introduction

2. The E-PCT standard: Overview and vision

3. E-PCT submission structure and format

4. IA documents packaging

5. Transmission

6. Electronic filing software

7. [Deleted]

8. Principles of electronic records management

9. Abbreviated expressions, interpretation andglossary

Appendix I XML DTDs for the E-PCT Standard

Appendix II PKI Architecture for the E-PCTStandard

Appendix III Basic Common Standard for ElectronicFiling

Appendix IV Use of Physical Media for the E-PCTStandard

[End of Appendix, Annex and document]

AI-82Rev. 08.2017, January 2018




http://www.wipo.int/pct/en/texts/index.html